Utah Department of Administrative Services

Division of Archives & Records Service

Insurance Department

84495--Hearing files
84497--Company applications
81678--Personnel files
81681--Records retention schedule
81682--Records transfer sheets
81683--Staff minutes
81684--Telephone bills
81685--Travel reimbursement files
81688--FINET payment vouchers/price agreements
81569--Administrative or legal results of official actions
81570--Administrative rules hearing files
81571--Consumer complaint files
81650--Domestic insurance companies annual financial statements
81652--Foreign and alien insurance companies' annual financial statements
81653--Foreign insurance company examination reports files
81655--Individual insurance appointment records
81656--Individual insurance producer and insurance agency licensing records
81658--Insurance company application and renewal files
81659--Insurance company correspondence
81660--Investigative case files
81661--Legal process files for foreign companies
81662--Executive correspondence
81666--Budget requests
81667--Budget workpapers
81671--Fixed asset inventory list
81673--Inter-agency transactions
18177--Legislative records
17130--Insurance company master report
17131--Individual insurance agent master file
17132--Consumer complaint report from computer system
17133--Individual insurance appointment master file
17134--Insurance agency master file
17135--Insurance company history master file
17143--Docket pleadings
17144--Examiner billing history files
17040--Insurance provider regulatory database
17379--Professional employer organization licensing files
21033--Bank statements
21034--Department revenue reports
21898--Legal counsel work product files
22002--Insurance regulatory application system
22006--Fiduciary audit files
20557--Domestic companies form and rate filings
14140--Risk retention group files
14141--Excess and surplus lines insurance files
14142--Purchasing group files
23498--Domestic insurance companies financial information files
23119--Insurance code
23083--Time sheets
15105--Agent licensing education course applications
15107--Insurance companies appointment renewal lists
15108--Authorization to appoint and remove agents records
14967--Annual medicare supplement report files
14970--Title insurance organization annual reports
14971--Compliance and enforcement administrative actions without hearings
14975--Market conduct examination work papers
14976--Domestic market conduct examination reports
15034--Warranty service contract filings
15035--Foreign insurance company certified public accountant reports
14774--Policy and procedures files
15099--Domestic insurance company certified public account reports
15100--Domestic insurance company legal files
26514--Health insurance research records
27449--Title and Escrow Commission meeting minutes
27450--Bail Bond Surety Oversight Board meeting minutes
26437--Health benefit plan ratings
677--Annual reports
5508--Examination billing account records
5516--Foreign companies' legal records
5523--Insurance agent termination of appointment records
3005--Insurance company examinations
3007--Publications
3619--Health maintenance organization financial statements
3621--Insurance company legal case files
11246--Foreign companies form and rate filings
11324--Utah Comprehensive Health Insurance Pool (HIPUtah) Records
11325--Liquidation records

AGENCY: Insurance Department

SERIES: 84495
TITLE: Hearing files
DATES: 1978-
ARRANGEMENT: non

DESCRIPTION: These files include notices of hearings, hearing records, minutes, testimonies,and consent of decree. The hearings are administered under UAC R590-160.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer output microfiche master: Retain in Office for 1 year and then destroy.

Microfiche master: Retain in Office for 10 years and then destroy.

APPRAISAL

Administrative

This series has only administrative value since the information is duplicated in final reports.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 84497
TITLE: Company applications
DATES: [ca._1896]-
ARRANGEMENT: none

DESCRIPTION: This record includes insurance companies names, and location of insurance company applying for company license.

RETENTION

Retain 10 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer output microfiche master: Retain in Office for 1 year and then destroy.

Microfiche master: Retain in Office for 10 years and then destroy.

Paper: Retain in State Records Center for 10 years and then destroy.

APPRAISAL

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81678
TITLE: Personnel files
DATES: undated
ARRANGEMENT: none

DESCRIPTION:

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years after separation or transfer to reassigned agency and then transfer to State Records Center. Retain in State Records Center for 56 years and then destroy.

APPRAISAL

Administrative

This retention is based on Utah General Schedule 1 Item 1.

PRIMARY DESIGNATION

Private. except for 19 data elements identified by the State Records Committee


AGENCY: Insurance Department

SERIES: 81681
TITLE: Records retention schedule
DATES: undated
ARRANGEMENT: none

DESCRIPTION: These files contain the Records Retention Schedule for the Insurance Department. The Records Retention Schedule contains the retention requirements for all of the Insurance Department's records series. The schedule details the in office retention for the files contained in the series, the total retention required, the ultimate disposition of the files, whether it be destruction or transfer to the Utah State Archives and Records Service for permanent retention. Government records are required to be schedul ed by the Government Records Access and Management Act (UCA 63-2-101 et. al.) and the Records Retention Schedule documents the compliance of the Insurance Department in the management of these records.

RETENTION

Retain until next update.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until next update of retention schedule and then destroy.

APPRAISAL

Administrative

This retention is based on Utah General Schedule 16 Item 11.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81682
TITLE: Records transfer sheets
DATES: undated
ARRANGEMENT: none

DESCRIPTION: 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

Retain 5 years after final disposition of records.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 6 months after final disposition of records and then destroy.

APPRAISAL

Administrative

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 26.

This retention is based on Utah General Schedule 16 Item 3c.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81683
TITLE: Staff minutes
DATES: 1986-
ARRANGEMENT: none

DESCRIPTION:

RETENTION

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 5 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

This retention is based on Utah General Schedule 23 Item 2a.


AGENCY: Insurance Department

SERIES: 81684
TITLE: Telephone bills
DATES: 1989-
ARRANGEMENT: none

DESCRIPTION: Bills which document calls made from state offices. Bills also include the number called and the length, time, and date of phone call.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then destroy.

Paper copy: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on Utah State General Records Retention Schedule, Schedule 7, Item 43.

This retention is based on Utah General Schedule 12 Item 2c.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81685
TITLE: Travel reimbursement files
DATES: 1989-
ARRANGEMENT: none

DESCRIPTION: Records relating to reimbursing individuals, such as travel orders, travel 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 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 6 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on Utah State General Records Retention Schedule, Schedule 7, Item 18.

This retention is based on Utah General Schedule 9 Item 4.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81688
TITLE: FINET payment vouchers/price agreements
DATES: 1989-
ARRANGEMENT: none

DESCRIPTION: These files contain all documents recording payments made by the Insurance Department. They include invoices, reimbursement requests, and all FINET documentation.

RETENTION

Retain 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on Utah State General Records Retention Schedule, Schedule 7, Item 49.

This retention is based on Utah General Schedule 6 Item 1.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81569
TITLE: Administrative or legal results of official actions
DATES: 1982-
ARRANGEMENT: Chronological.

DESCRIPTION: These are the results of an administrative hearing or a trial against a company or an agent for violations of state law or regulations. These files include exhibits, results of case, and transcripts of hearings. Includes financial reports and actions taken on foreign company receiverships.

RETENTION

Retain 2 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 1 year and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical Legal

This retention is based on the records series' apparent research value and the recommendation of the department. Previous decision: 04/17/85: permanent/public.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81570
TITLE: Administrative rules hearing files
DATES: 1982-
ARRANGEMENT: Chronological

DESCRIPTION: These records document the preparatory work done in rule-making, the hearings held, and the results of the decisions made for or against adoption of the rule. Includes administrative rules, notice of hearings, minutes, testimony for and against, and consent decrees.

RETENTION

Retain in office for 1 year

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper copy: Retain in Office until next update and then destroy.

Paper: Retain in Office for 1 year and then transfer to State Archives and transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical Legal

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 2.

These records are historically valuable. There is another factor in the retention which is UCA 63-46a-14, but the historical value outweighs this requirement which would only be 2 years. Previous decision: 4/17/85: COM retain on microfiche 10 years/public.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81571
TITLE: Consumer complaint files
DATES: 1970-
ARRANGEMENT: alphabetical by company name

DESCRIPTION: These records are complaints received at random from the public concerning problems and unfair treatment that the consumer has encountered when dealing with an insurance agency in Utah. At times, these complaints serve as a flag for examiners to look for trouble in this area. They may also be used to instigate a hearing to revoke the companies'/agents' right to sell insurance in Utah or start litigation criminal activities. These files include letters, memorandums, and written records of telephone conversations.

RETENTION

Retain 5 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 4 years and then destroy.

APPRAISAL

Administrative Legal

This retention is based on UCA 76-1-302 and the recommendations of the department. Previous decision: 04/26/86: 10 years/private.

PRIMARY DESIGNATION

Private


AGENCY: Insurance Department

SERIES: 81650
TITLE: Domestic insurance companies annual financial statements
DATES: 1950-
ARRANGEMENT: Alphabetical by company name

DESCRIPTION: These are individual files of all domestic insurance companies (companies whose corporate headquarters reside in the state). They provide reference information to the staff for analysis of the financial condition of these companies and for compliance investigations. These files include balance sheets, company exhibits, statistical fiscal data, and historical data regarding profit and loss.

RETENTION

Retain 50 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 49 years and then destroy.

APPRAISAL

Administrative Fiscal

Previous decision: 04/26/86: 10 years and microfilm/public.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81652
TITLE: Foreign and alien insurance companies' annual financial statements
DATES: 1984-
ARRANGEMENT: alphabetical by company name

DESCRIPTION: These are individual files of all foreign-based insurance companies (companies whose corporate headquarters are outside the state). They provide reference information to the staff for analysis of the financial condition of these companies and for compliance investigations. These files include balance sheets, company exhibits, statistical fiscal data, and historical data regarding profit and loss.

RETENTION

Retain for 2 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to Tax Commission for review then destroy.

APPRAISAL

Administrative

This retention is based on the administrative needs as negotiated with the staff of the department. Previous decisions: 04/26/86: 5 years/public, and 6/1/87.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81653
TITLE: Foreign insurance company examination reports files
DATES: 1983-
ARRANGEMENT: alphabetical by company name, thereunder chronological

DESCRIPTION: These are reports sent to the department from other states concerning the fiscal conditions of foreign insurance companies. They are used as reference material for the staff when questions arise about compliance with federal and state laws, company operations, or insurance regulations. These files include work papers, final audit reports, corporate financial data, correspondence, with company.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until next examination report is received and then transfer to State Records Center. Retain in State Records Center for 1 year and then destroy.

APPRAISAL

Administrative

This retention is based on the administrative needs as negotiated with the staff of the department. Previous decision: 04/26/86: microfilm after 10 years and destroy original/public.

PRIMARY DESIGNATION

Protected. financial information

SECONDARY DESIGNATION

Private


AGENCY: Insurance Department

SERIES: 81655
TITLE: Individual insurance appointment records
DATES: 1954-
ARRANGEMENT: Chronological by processing date
ANNUAL ACCUMULATION: 3.00 cubic feet.

DESCRIPTION: These records are the formal notice to the department, confirming that an insurer has appointed an agent or agency to represent the insurer in the sale and placement of their insurance product. The records include the agent's or agency's name, Utah Insurance Department license number, effective date of appointment, and the agent's social security number, or agency's tax identification number.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 months after date of processing and then transfer to State Records Center. Retain in State Records Center for 33 months and then destroy.

APPRAISAL

Administrative

After they are inactive, these records have administrative value only. They may also be used in an audit. Previous decisions: 6/1/87: retain 3 years after the records become inactive. 4-17-85: microfiche and retain 10 years.

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 81656
TITLE: Individual insurance producer and insurance agency licensing records
DATES: 1984-
ARRANGEMENT: Chronological by processing date
ANNUAL ACCUMULATION: 25.00 cubic feet.

DESCRIPTION: These records are used to obtain information regarding statutory requirements of character, legal, and qualifications to license individuals and organizations as insurance producers dealing with the general public. The records include initial and renewal applications for insurance licenses, letters of qualification for non-residents from their domicile state, financial records, examination results, records of disciplinary actions, continuing education information, and correspondence related to the licenses. Records of disciplinary actions are retained permanently in series 81569--Administrative or legal results of official actions.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 months and then transfer to State Records Center. Retain in State Records Center for 33 months and then destroy.

APPRAISAL

Administrative

These records lose their value to the department once the agent's file is inactive. However, it is necessary to maintain it for the period above in case the agent decides to begin selling insurance again. Records are occasionally needed for disciplinary hearings, and are the principal audit record for receipt of license fees. Previous decision: 4-17-85: 25 years.

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 81658
TITLE: Insurance company application and renewal files
DATES: 1984-
ARRANGEMENT: Alphanumerical by company name and number

DESCRIPTION: These are individual files containing the original application to sell insurance in Utah and subsequent renewals of the right. These files include biographies of corporate heads, corporate financial data, and corporate by-laws

RETENTION

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office until file is inactive and then transfer to State Records Center. Retain in State Records Center for 2 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

The company by-laws and biographies have historical value. Previous decision: 04/17/85: COM at year's end, 10 years/public.

PRIMARY DESIGNATION

Protected. Financial information

SECONDARY DESIGNATION

Private


AGENCY: Insurance Department

SERIES: 81659
TITLE: Insurance company correspondence
DATES: 1982-
ARRANGEMENT: Alphabetical by company name or subject

DESCRIPTION: These are general correspondence files with companies and consumers concerning routine inquiries about rates, locations, and other insurance companies. Other correspondence is filed under specific records series. This is not correspondence relating to routine administrative matters. These files include incoming, outgoing letters, and memorandums.

RETENTION

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 1 year and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative

This retention is based on administrative needs as negotiated with the staff of the department. Previous decision: 04/26/86: 10 years/private.

PRIMARY DESIGNATION

Protected. Financial information


AGENCY: Insurance Department

SERIES: 81660
TITLE: Investigative case files
DATES: 1981-
ARRANGEMENT: Numerical by investigative file number
ANNUAL ACCUMULATION: 0.10 cubic feet.

DESCRIPTION: These are preliminary investigative case files used to determine if docketed action is necessary against a company or individual who is suspected of having violated a state insurance law or regulation. These files include letters, depositions, summaries of phone calls, investigative notes, memorandums, and applications.

RETENTION

Retain 10 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical Legal

This retention is based on the evidentiary value of these records to researchers.

PRIMARY DESIGNATION

Protected. Investigative information UCA 63G-2-305(9)(2008)

SECONDARY DESIGNATION

Private. UCA 63G-2-302(2)(d)(2008)


AGENCY: Insurance Department

SERIES: 81661
TITLE: Legal process files for foreign companies
DATES: 1984-
ARRANGEMENT: Alphabetical by name of company

DESCRIPTION: Whenever litigation has been initiated by another state against a company licensed in Utah, the code requires that the Commission be served and documents forwarded to the County for fee. The Commission forwards a copy of the legal documentation to that company in order that it can be filed. These files include correspondence, summons, complaints, service of processes, and briefs.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 1 year and then destroy.

APPRAISAL

Administrative

This retention is based on the administrative needs as negotiated with the staff of the department.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81662
TITLE: Executive correspondence
DATES: 1969-
ARRANGEMENT: Chronological

DESCRIPTION: 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

Retain 3 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 2 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 9.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Protected. Correspondence which could be detrimental to individual involved if the information were released


AGENCY: Insurance Department

SERIES: 81666
TITLE: Budget requests
DATES: undated
ARRANGEMENT: none

DESCRIPTION: This series contains financial information, budget requests, salary schedules, employee benefits, travel expenses, payroll information, appropriation requests, correspondence, organization charts, memorandum, and a variety of other records that probably were used to compile the annual reports.

RETENTION

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

This retention is based on Utah General Schedule 5 Item 2 (year?).

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 81667
TITLE: Budget workpapers
DATES: undated
ARRANGEMENT: none

DESCRIPTION:

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative Fiscal

This retention is based on Utah General Schedule 5 Item 4.


AGENCY: Insurance Department

SERIES: 81671
TITLE: Fixed asset inventory list
DATES: ca. 1985-
ARRANGEMENT: none

DESCRIPTION:

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years after last inventory and then destroy.

APPRAISAL

Administrative Fiscal

This retention is based on Utah General Schedule 3 Item 10a.


AGENCY: Insurance Department

SERIES: 81673
TITLE: Inter-agency transactions
DATES: 1990-
ARRANGEMENT: none

DESCRIPTION: These files contain all documents regarding transactions between the Insurance Department and other state agencies.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 2 years and then destroy.

APPRAISAL

Administrative

This disposition is based on Utah State General Records Retention Schedule, Schedule 7, Item 54.

This retention is based on Utah General Schedule 6 Item 5.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 18177
TITLE: Legislative records
DATES: 1990-
ARRANGEMENT: Chronological
ANNUAL ACCUMULATION: 4.00 cubic feet.

DESCRIPTION: These records document the Insurance Departments legislation and rules activities. The records are used to track previously submitted legislation and rules, to determine future needs of the agency. The information documents both rules submitted to the division of Administrative Rules, and proposed legislation to the Legislature. Information includes copies of approved and failed legislation, and rules.

RETENTION

Retain 7 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then transfer to State Archives with authority to weed.

APPRAISAL

Historical

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 40.

The records in this series document agency history and functions. The records have ongoing research potential.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 17130
TITLE: Insurance company master report
DATES: ca. 1985-
ARRANGEMENT: None

DESCRIPTION: This report is generated from the Insurance Department's computer master file which contains records of all companies licensed to sell insurance in the state. It contains name, home address, phone, date organized, date admitted, date modified, date cancelled, business address and phone number, complaint address, domicile state, company type, classification, license code, status, cancellation reason, file codes, minimum capital, appointments, complaints, year to date complaints, other mailing addresses, power of attorney, and persons who are authorized to appoint. The hard copy report is used as a reference tool.

RETENTION

Retain 1 year.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 17131
TITLE: Individual insurance agent master file
DATES: ca. 1985-
ARRANGEMENT: Numerical

DESCRIPTION: These are records of all licensed insurance agents in the state of Utah. These records contain name, social security number, home and business address, birth date, license date, modified date, and codes pertinent to management of the agent. These records are mostly used to determine the status of an individual insurance agent.

RETENTION

Retain until superseded.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer data files: Retain in Office until superseded and then delete.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 17132
TITLE: Consumer complaint report from computer system
DATES: 1989-
ARRANGEMENT: Numerical

DESCRIPTION: These reports are generated from the Insurance Department's computer system on which records of all complaints received by the department regarding the insurance industry in the state are maintained. Each record contains the date it was opened, the date the case was closed, the amount of damages/monies collected if appropriate, record modification dates, complaintant's name, address, phone number, type of complaint, whom against, coverage, reason for complaint, final disposition, source, status, form letters, justification, number of calls, interviews, and outgoing letters.

RETENTION

Retain 1 year.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(9)

SECONDARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 17133
TITLE: Individual insurance appointment master file
DATES: ca. 1985-
ARRANGEMENT: Numerical by record number

DESCRIPTION: This file contains records showing the date an organization or individual was appointed to represent an insurance company. It contains date of appointment, date of cancellation, linking record numbers, date modified, and current status of appointment.

RETENTION

Retain until superseded.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer data files: Retain in Office until superseded and then delete.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 17134
TITLE: Insurance agency master file
DATES: ca. 1985-
ARRANGEMENT: Numerical by agency number

DESCRIPTION: These are records of agencies licensed to broker insurance policies offered by insurance companies that do not sell insurance directly to the public in Utah. These records contain name and home address, business address, license date, modified date, cancel date, status of the agency, comments section, codes, and authorized persons to act.

RETENTION

Retain until superseded.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer data files: Retain in Office until superseded and then delete.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 17135
TITLE: Insurance company history master file
DATES: ca. 1985-
ARRANGEMENT: Chronological

DESCRIPTION: This file documents the history of all inactive complaints for each licensee in the State of Utah. It contains history date, time, license number, type, and a description of the event.

RETENTION

Retain until superseded.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer data files: Retain in Office until superseded and then delete.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 17143
TITLE: Docket pleadings
DATES: 1981-
ARRANGEMENT: Numerical by docket number
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These are records of actions taken by the department against licensees and others for violations of insurance laws and rules. The action can include monetary forfeitures, and revocation, suspension or limitation of license. The records contain the name of company or individual against whom the action is taken, reference number, examiner number, text of proceedings, date record was created and closed, and codes violated.

RETENTION

Retain 10 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 10 years and then transfer to State Archives with authority to weed.

APPRAISAL

Historical

This disposition is based on the historical information contained in these records. The information documents violations which could effect the financial stability of the company or could protect individuals from insurance fraud.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 17144
TITLE: Examiner billing history files
DATES: undated
ARRANGEMENT: Numerical
TOTAL VOLUME: 0.20 cubic feet.

DESCRIPTION: These records are used to document the time spent by the field examiners on giving examinations and the related billing for their services. They contain the date of the examination, the examiner's number, the company number, and the description of time spent. This information is also retained on the Insurance Regulatory Application System (IRAS).

RETENTION

Retain 8 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years after examination date and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

Computer data files: Retain in Office for 8 years and then delete.

APPRAISAL

Administrative Fiscal

This disposition is based on the financial information concerning the amounts that insurance companies are billed for examinations.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 17040
TITLE: Insurance provider regulatory database
DATES: ca. 1985-
ARRANGEMENT: None

DESCRIPTION: This series is a database containing data on all licensed insurance agents, agencies, and companies doing business in Utah, along with reporting, inquiry, and some analysis capabilities. The agency maintains the database in order to track activity related to licensing of insurance providers. The information in the database is drawn from a number of sources, including several other record series. The information in the database includes data from the Debt revenue reports (series 21034), Daily receipt registers (series 2194), Individual insurance producer and insurance agency licensing records (series 81656), Consumer complaint files (series 81571), Insurance company application and renewal of certificate of authority (series 81658), Docket pleadings (series 17143), Individual insurer appointment records (series 81655), and Insurance agent termination of appointment records (series 5523).

RETENTION

Retain 10 years after license becomes inactive.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer data files: Retain in Office for 10 years after license becomes inactive and then delete.

APPRAISAL

Administrative Fiscal

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d) (2008)


AGENCY: Insurance Department

SERIES: 17379
TITLE: Professional employer organization licensing files
DATES: 1994-
ARRANGEMENT: Numerical by license number
ANNUAL ACCUMULATION: 0.10 cubic feet.

DESCRIPTION: These are applications and licenses for employee leasing companies. Employee leasing companies, under an agreement between the client company and the leasing company places employees of the client company on the leasing company's payroll and leases them to the client company on an ongoing basis with no restrictions on the duration of employment. Applicants must meet criteria for licenses. (UCA 58-1-301 (2005). Information includes name address, birthdate, education, and work experience.

RETENTION

Retain 10 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Public. UCA 63G-2-301(2)(r) (2008)

SECONDARY DESIGNATION

Private. UCA 63G-2-302(2)(d) (2008)

Exempt. UCA 58-1-106(2)and(3) (2008)


AGENCY: Insurance Department

SERIES: 21033
TITLE: Bank statements
DATES: 1980-
ARRANGEMENT: Chronological by date

DESCRIPTION: These files document department revenue. In addition to the bank statements, they contain deposit slips, copies of returned checks, and refund requests. FINET reconciliation reports are also included.

RETENTION

Retain for 6 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper copy: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on Utah State General Records Retention Schedule, Schedule 7, Item 9.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 21034
TITLE: Department revenue reports
DATES: 1980-
ARRANGEMENT: Numerical by receipt number

DESCRIPTION: These files contain the Insurance Department's revenue receipts for all agency services. The information includes cash register reports, the department's copies of receipt books, monthly and annual register reports, copies of returned checks, and refund or reimbursment requests.

RETENTION

Retain for 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 2 years and then destroy.

Paper copy: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on Utah State General Records Retention Schedule, Schedule 7, Item 54.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 21898
TITLE: Legal counsel work product files
DATES: 1990-
ARRANGEMENT: Alphabetical by respondent name
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: These records are the work product files of the Insurance Department's legal counsel. The files are used to prosecute administrative actions taken by the department against licensees and others who fall under the agency's jurisdiction.

RETENTION

Retain 10 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.

APPRAISAL

Administrative

This disposition is based on the use of these records in the preparation of legal actions against licensees or others under the jurisdiction of the Insurance Department.

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(17)(2008)


AGENCY: Insurance Department

SERIES: 22002
TITLE: Insurance regulatory application system
DATES: 1996-
ARRANGEMENT: none

DESCRIPTION: This system is a database of all licensed insurance agents, agencies, and companies doing business in Utah, along with reporting, inquiry, and some analysis capabilities. The data files found on this system are the company master file, the individual master file, the agency master file, the complaint master file, the appointment master file, the docket master file, the examiner billing history file and the fees and revenue collections master file. The Insurance Regulatory Application System (IRAS) replaced the Insurance Department regulatory computer system (series 17040) in 1996.

RETENTION

Retain 3 years after system is no longer used.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Computer data files: Retain in Office for 3 years after system is no longer used and then delete.

APPRAISAL

Administrative Fiscal

This disposition is based on the use of the system and data in regulating the insurance industry in Utah and documenting fees and charges administered by the Insurance Department. The data files on the system are scheduled under other series numbers.

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)(2008)


AGENCY: Insurance Department

SERIES: 22006
TITLE: Fiduciary audit files
DATES: 1981-
ARRANGEMENT: Alphabetical by name of agency
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These records are gathered and reviewed to determine if the licensee is in compliance with UCA 31A-23-211, 313, and 403(8) (1999), and UAC R590-136(1999). The files include letters, copies of account statements and checks, summaries of phone calls, audit work papers, notes, memoranda, balance sheets, and reports.

RETENTION

Retain 5 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 4 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on the use of these files in audits of licensees' financial records to ensure their compliance with UCA 31A-23-211, 313, and 403(8)(1999), and UAC R590-136(1999).

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(2)(a)


AGENCY: Insurance Department

SERIES: 20557
TITLE: Domestic companies form and rate filings
DATES: 1975-
ARRANGEMENT: Alphabetical by company name.
ANNUAL ACCUMULATION: 4.00 cubic feet.

DESCRIPTION: These records contain insurance forms created by insurance companies whose corporate offices are located in the state of Utah. These forms and rate filings are the actual documents used by insurance companies when enrolling or changing a company's or individual's insurance plan. Information includes policy changes, insurance rate changes, changes in insurance forms, new forms, and forms being submitted for approval.

RETENTION

Retain 50 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 49 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on the agency's need to maintain these records because of the insurance companies' incorporation in the state of Utah.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Protected. UCA 63G-2-305 (1),(40)(i)(ii)(iii)(2008) and UCA 31A-30-106 (4)(2008)


AGENCY: Insurance Department

SERIES: 14140
TITLE: Risk retention group files
DATES: 1990-
ARRANGEMENT: Alphabetical

DESCRIPTION: These are Risk Retention companies who have either withdrawn from operating in Utah or have been terminated by the Insurance Department because they were not in compliance with state of Utah rules. UCA 31A-15-204(1996) sets the guidelines for Risk Retention Insurance companies. Information includes application, biographical data, legal documents pertaining to the Risk Retention insurance company licensing, and related correspondence.

RETENTION

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Private. UCA_63G-2-302(2)(6)_(2008)

Exempt. UCA_31A-5-204(8)_(2008)


AGENCY: Insurance Department

SERIES: 14141
TITLE: Excess and surplus lines insurance files
DATES: 1990-
ARRANGEMENT: Alphabetical by insurance company name
ANNUAL ACCUMULATION: 10.00 cubic feet.

DESCRIPTION: Annual statements collected from insurance companies through out the United States concerning the financial status of insurance companies conducting business in Utah. They include statements from insurance companies conducting business in the state of Utah Includes financial data on insurance companies, applications material, correspondence, documents pertaining to surplus liens companies, and taxation information.

RETENTION

Retain 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 6 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 14142
TITLE: Purchasing group files
DATES: 1990-
ARRANGEMENT: Alphabetical by company name
ANNUAL ACCUMULATION: 0.50 cubic feet.

DESCRIPTION: These files contain applications from insurance companies requesting licenses to conduct business in the state of Utah as a purchasing group. Information in the files includes disclosure statements, power of attorney, and general correspondence.

RETENTION

Retain 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 23498
TITLE: Domestic insurance companies financial information files
DATES: 1950-
ARRANGEMENT: Alphabetical by company name.
ANNUAL ACCUMULATION: 4.00 cubic feet.

DESCRIPTION: This record series consists of information collected from and about all domestic insurance companies (companies which were incorporated within the state of Utah) by the Financial Analysis Unit. These records are compiled under the authority of UCA 31A-2-201 through 205(2000). The files include, but are not limited to: management discussion and analysis notes; quarterly statements; National Association of Insurance Companies (NAIC) profiles; risk based capital reports; desk audit papers; quarterly and annual analysis files; reports to stockholders; and miscellaneous analyst workpapers.

RETENTION

Retain 4 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 2 years and then transfer to State Archives with authority to weed.

Paper copy: Retain in Office for 2 years and then destroy.

APPRAISAL

Administrative Historical Legal

This retention is based on the agency's need to maintain these records because of the insurance companies' incorporation in the state of Utah. The records have a secondary historical value to researchers interested in business activities in Utah.

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(4)(2008)


AGENCY: Insurance Department

SERIES: 23119
TITLE: Insurance code
DATES: 1953-
ARRANGEMENT: Chronological

DESCRIPTION: These publications contain six divisions: The Insurance Code, Other Utah Code Sections, Administrative Rules, Rule Attachments, Bulletins and an Index. The first division contains the entire Utah Insurance Code (Title 31A of the Utah Code). The second division contains selected sections from the Utah Code that relate to insurance as chosen by the Department of Insurance. These selected sections may not include complete chapters. The third division contains all the Administrative Rules of the Department of Insurance as of the effective date of the publication. The fourth section includes a reproduction of forms and tables relating to Administrative Rules as selected by the Insurance Department. The fifth division includes Bulletins of the Insurance Department. The last division is a topical index.

RETENTION

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in State Archives permanently with authority to weed.

APPRAISAL

Historical

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 25.

This is a convenient compilation of laws, regulations, rules, etc., related to the duties and responsibilities of the department.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 23083
TITLE: Time sheets
DATES: 1985-
ARRANGEMENT: Alphabetical by surname
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These records track the time and attendance of Insurance Department employees. Information may include flextime attendance reports, supplemental time and attendance records (i.e. sign-in and sign-out sheets), and work reports that are used for time accounting under flextime systems.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then destroy.

APPRAISAL

Administrative

This disposition is based on Utah State General Records Retention Schedule, Schedule 10, Item 25.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 15105
TITLE: Agent licensing education course applications
DATES: 1987-
ARRANGEMENT: Alphabetical by education provider's business name
ANNUAL ACCUMULATION: 3.00 cubic feet.

DESCRIPTION: Documents sent to the department by various institutions wishing to be licensed to conduct training for insurance personnel. Includes name and address of provider, course to be taught, course outline, and signature of person authorized to sign course completion form.

RETENTION

Retain 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 7 years or until administrative need ends and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 15107
TITLE: Insurance companies appointment renewal lists
DATES: 1992-
ARRANGEMENT: Alphabetical by insurance company name
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These records are computer printouts with instructions from the Insurance Department. They are sent, in odd numbered years, to licensed insurance companies in the state of Utah to renew or terminate the appointments of agents and agencies who were previously appointed by the companies. The records include the agent's or agency's name, Utah Insurance Department license number, and the agent's social security number, or the agency's tax identification number.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 months and then transfer to State Records Center. Retain in State Records Center for 33 months and then destroy.

APPRAISAL

Administrative

This disposition is based on the use of these records in the audits of fees collected by the Insurance Department for processing appointments.

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)


AGENCY: Insurance Department

SERIES: 15108
TITLE: Authorization to appoint and remove agents records
DATES: 1982-
ARRANGEMENT: Alphabetical by agent name
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: Insurance Department authorized forms sent to the department by companies designating individuals within their respective companies who are authorized to appoint and remove agents from their agent licensing list, as established by UAC_590-101(1995). This information is collected as a department policy and gives the department an individual to contact within the company.

RETENTION

Retain until updated.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until updated and then destroy.

APPRAISAL

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

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 14967
TITLE: Annual medicare supplement report files
DATES: 1989-
ARRANGEMENT: Chronological, thereunder alphabetical by report name.
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: Policy reports that are required by the minimum standards rule established by UAC_R590-146(1995). The reports are created by insurance companies and sent to the Insurance Department. The information documents premiums and loss ratios of every medicare supplement policy that each company writes in the state of Utah.

RETENTION

Retain 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 6 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Protected. UCA 63G-2-305 (1),(40) (i) (ii) (iii) (2008)


AGENCY: Insurance Department

SERIES: 14970
TITLE: Title insurance organization annual reports
DATES: 1980-
ARRANGEMENT: Alphabetical by insurance organization name
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: Annual financial, reserve fund, and bonding requirements reports required by title agents/organizations as required by Utah Administrative Code R590-16, and UCA 31A-23-313 (1994). The information documents the financial and security of title companies doing business in Utah. The reports are filed with the Commissioner of the Insurance Department.

RETENTION

Retain 5 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 3 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

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


AGENCY: Insurance Department

SERIES: 14971
TITLE: Compliance and enforcement administrative actions without hearings
DATES: 1987-
ARRANGEMENT: Numerical by docket number
ANNUAL ACCUMULATION: 3.00 cubic feet.

DESCRIPTION: Investigative case files used to determine if action is necessary against an insurance company, organization, or individual who may have violated a state insurance law or regulation. Once the administrative action has been determined, there is no need for a hearing. The information is also used to verify that an insurance company, agent, or organization has never been proven guilty of abusing the insurance law or regulation. Information includes letters, summaries of telephone calls, investigative notes, investigators impressions/notes, and memoranda.

RETENTION

Retain 12 years after administrative action has been completed.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years after administrative action has been completed and then transfer to State Records Center. Retain in State Records Center for 10 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

This disposition is based on the historical investigation procedures used by the department.

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(8)(2008) Investigative procedures

SECONDARY DESIGNATION

Private. UCA 63G-2-302(2008) Information on individuals

Public. UCA 63G-2-301(2008) Pre-Hearing information


AGENCY: Insurance Department

SERIES: 14975
TITLE: Market conduct examination work papers
DATES: 1987-
ARRANGEMENT: Alphabetical by last name
ANNUAL ACCUMULATION: 8.00 cubic feet.

DESCRIPTION: Documents used by the examiner to complete the examination process of individuals testing to obtain a license to sell insurance in the state of Utah. Information includes examination documents, notes, correspondence, premiums, and claim information.

RETENTION

Retain 3 years after audit.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years after next audit of company, agent, or organization and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on the administration and fiscal needs as expressed by the agency.

PRIMARY DESIGNATION

Protected. UCA 63G-2-305 (8)(b)(e)(2008)


AGENCY: Insurance Department

SERIES: 14976
TITLE: Domestic market conduct examination reports
DATES: 1989-
ARRANGEMENT: Alphabetical by company, agent, or organization name
ANNUAL ACCUMULATION: 4.00 cubic feet.

DESCRIPTION: Reports prepared by the Market Conduct Examiner upon completion of an audit or examination of insurance company, agent, or organization. Information includes financial data and information pertaining to code requirements and licensure.

RETENTION

Retain 6 years after company or organization is closed.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year after company, or organization is closed and then transfer to State Records Center. Retain in State Records Center for 5 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

This disposition is based on the evidentiary value of these records and the agency's interest in permanently retaining records of Utah based insurance companies.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 15034
TITLE: Warranty service contract filings
DATES: 1992-
ARRANGEMENT: Alphabetical by provider name
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: These records contain policy forms sent to the department by "nonadmitted insurer" companies. UCA 31A-1-301(80)(a) defines "nonadmitted insurer" companies as insurance entities that do not have certificates of authority to conduct insurance business in the state of Utah. They are allowed to conduct business under UCA 31A-6a-101 thru 31A-6a-110. The records document warranty and extended service contracts.

RETENTION

Retain for 5 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office until administrative need ends and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 15035
TITLE: Foreign insurance company certified public accountant reports
DATES: 1990-
ARRANGEMENT: Alphabetical by company name
ANNUAL ACCUMULATION: 3.00 cubic feet.

DESCRIPTION: These reports are submitted in accordance with UCA_31A-4-113(2)(1999), which requires an insurance company's annual statement be prepared in accordance with the Annual Statement Instructions and the Accounting Practices and Procedures Manual that is published by the National Association of Insurance Commissioners (NAIC). The NAIC Annual Statement Instructions require "All insurers shall have an annual audit by an independent certified public accountant and shall file an audited financial report as a supplement to the annual statement on or before June 1 for the year ended December 31 immediately preceding". The financial reports are filed by an independent certified public accountant in accordance with the instructions.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 2 years and then destroy.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 14774
TITLE: Policy and procedures files
DATES: 1975-
ARRANGEMENT: Numerical by policy number

DESCRIPTION: Policies and procedures that govern the operation and administration of various programs within the organization.

RETENTION

Retain until superseded

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office until superseded and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Historical

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 23.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 15099
TITLE: Domestic insurance company certified public account reports
DATES: 1990-
ARRANGEMENT: Alphabetical by company name
ANNUAL ACCUMULATION: 3.00 cubic feet.

DESCRIPTION: Reports required by UCA_31a-4-113.5(2)_(1994) for Utah insurance companies to file annual financial statements which contain information concerning the companies financial condition. These reports are normally filed when the company renews its annual Certificate of Authority, required by UCA 31A-5-212_(1994), which is also filed annually. The financial reports are filed by the company's accountant.

RETENTION

Retain 7 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 15100
TITLE: Domestic insurance company legal files
DATES: 1954-
ARRANGEMENT: Alphabetical by insurance company name.
ANNUAL ACCUMULATION: 4.00 cubic feet.

DESCRIPTION: Files which contain the original application to do business in the state (certificate of authority), bylaws, articles of incorporation, mergers, form A (an acquisition of control of insurer) and form B (changes of control and other changes pertaining to holding companies), filings and other legal documents pertaining to the licensing of an insurance company. The information documents Insurance companies compliance to Insurance Department regulations and state laws.

RETENTION

Retain until administrative need ends.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office until administrative need ends or until microfilmed and then transfer to State Archives with authority to weed.

Microfilm master: Retain in State Archives permanently with authority to weed.

Microfilm duplicate: Retain in State Archives permanently with authority to weed.

APPRAISAL

Administrative Historical

This disposition is based on the historical legal information contained in these files.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Exempt. UCA 31A-16-109(2008)


AGENCY: Insurance Department

SERIES: 26514
TITLE: Health insurance research records
DATES: 2001-
ARRANGEMENT: Chronological by date thereunder alphanumerical by name of record and company code
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: These records contain completed surveys and other research data covering a broad range of topics related to the health insurance market which are used to evaluate health insurance companies and track insurance statistics in Utah. These records may contain insurance company codes, marketing information, health plans, statistical data on membership, policy counts, premiums, paid claims (losses), and the age and gender of commercially insured Utah residents. Collected information is used to generate reports, such as the comprehensive Health Insurance Market Report, for the Utah State Legislature, Governor's Office, Insurance Commission, and other related audiences; these annual reports are found in series 677.

RETENTION

Retain 10 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years after reports created and then transfer to State Records Center. Retain in State Records Center for 8 years and then destroy.

Computer data files: Retain in Office for 10 years and then delete.

APPRAISAL

Administrative

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 33.

These records must be created and maintained to meet requirements established by Utah Code 31A-2-201.2.

PRIMARY DESIGNATION

Protected. Utah Code 63G-2-305(2)


AGENCY: Insurance Department

SERIES: 27449
TITLE: Title and Escrow Commission meeting minutes
DATES: 2005-
ARRANGEMENT: Chronological by meeting date.

DESCRIPTION: These records document the monthly meetings of the Title and Escrow Commission. The commission is composed of five appointed members and makes rules relating to title insurance and renewals of title licenses. The commission also concurs in issuance and renewals of title licenses, establishes title fee schedules, and determines assessments on title insurers. Information includes agenda, meeting minutes, licensing and enforcement reports, attachments, audio tapes, and related records.

RETENTION

Retain 8 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then transfer to State Archives with authority to weed.

Audio cassettes: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then transfer to State Archives with authority to weed.

Computer data files: Retain in Office until administrative need ends and then delete.

APPRAISAL

Administrative Fiscal Historical Legal

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 51.

These records are used administratively and have fiscal value as they document required fee schedules and assessments.They have legal value as they are required and defined by UCA 31A-2-403 and 404 and UAC R592. The records have historical value as they document the activities of the Commission and its decisions and accomplishments and provide historical information for changes in the laws and rules administered by the department. They provide legal and historical value in areas of administrative, enforcement, and licensing actions.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Protected. UCA 63G-2-304 (32)


AGENCY: Insurance Department

SERIES: 27450
TITLE: Bail Bond Surety Oversight Board meeting minutes
DATES: 1998-
ARRANGEMENT: Chronological by meeting date.

DESCRIPTION: These records document the meetings of the Bail Bond Surety Oversight Board. The Board is composed of seven appointed members and makes recommendations for rules regulating bail bonds to the Insurance Commissioner.The board screens bail bond surety companies and individuals procuring bail bond company licenses. The board also investigates unprofessional conduct. Information includes agenda, meeting minutes, reports, attachments, audio tapes, applications, and reports including enforcement and investigation action reports.

RETENTION

Retain 8 years.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then transfer to State Archives with authority to weed.

Audio cassettes: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then transfer to State Archives with authority to weed.

Computer data files: Retain in Office until administrative need ends and then delete.

Microfiche master: Retain in State Archives permanently with authority to weed.

Microfiche duplicate: Retain in State Archives permanently with authority to weed.

APPRAISAL

Administrative Historical Legal

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 51.

These records are used administratively and have legal value as they are required and defined by UCA 31-35-201 and UAC R590. The records have historical value as they document the activities of the board and its decisions and accomplishments. They have legal and historical value in areas of administrative, enforcement, and licensing actions.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Protected. UCA 63G-2-304(32)


AGENCY: Insurance Department

SERIES: 26437
TITLE: Health benefit plan ratings
DATES: 2007-
ARRANGEMENT: Alphabetical by name of insurance company thereunder alphabetical by report name.
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: This series contains the insurance ratings and underwriting guidelines created by insurance companies who do business in the State of Utah. The ratings information is used by insurance companies and agents to rate individual and small employer health benefit plans. The agency requires the filing of this information to insure compliance with Utah statutes and rules. Information includes rating factors, actuarial documents, and rate pages.

RETENTION

Retain 10 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 5 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

Compact disc: Retain in Office for 5 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

Digital Versatile Disk - Rewritable: Retain in Office for 5 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative Legal

These records have legal value as they must be created and maintained to meet requirements established by UCA 31A-30-106(4) and UAC R590-167-11(1)(a).

PRIMARY DESIGNATION

Protected. UCA 31A-30-106 (4)(d)(2008)


AGENCY: Insurance Department

SERIES: 677
TITLE: Annual reports
DATES: 1909-
ARRANGEMENT: Chronological

DESCRIPTION: This series contains reports of the Insurance Department activities from the previous year with information pertaining to agency activities, agency staff, licensing, compliance and enforcement, consumer services, rates, fraud, legislation, research, and fiscal and financial operations.

RETENTION

Retain in Archives custody.

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in State Archives permanently with authority to weed.

Microfilm master: Retain in State Archives permanently with authority to weed.

Microfilm duplicate: Retain in State Archives permanently with authority to weed.

Microfiche master: For records beginning in 1977 through 1979. Retain in State Archives permanently with authority to weed.

Microfiche duplicate: For records beginning in 1977 through 1979. Retain in State Archives permanently with authority to weed.

APPRAISAL

Historical

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 25.

Publications document agency history and functions. Publications have ongoing research value.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 5508
TITLE: Examination billing account records
DATES: 1973-
ARRANGEMENT: Alphanumerical
ANNUAL ACCUMULATION: 2.00 cubic feet.

DESCRIPTION: These files contain the billing records for examinations of domestic insurance companies. The examinations are conducted by the Insurance Department, and the department bills the insurance companies for the cost of each of these examinations. The files contain the invoice for the examination and the examination reports. The reports mostly consist of financial information about the individual companies.

RETENTION

Retain for 7 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative Legal

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

PRIMARY DESIGNATION

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


AGENCY: Insurance Department

SERIES: 5516
TITLE: Foreign companies' legal records
DATES: 1971-
ARRANGEMENT: Chronological, thereunder, alphabetical by company name

DESCRIPTION: These are insurer files which contain the original applications from companies doing business in Utah, but have their corporate office located in another state. Information includes Certificate of Authority, by-laws, articles of incorporation, mergers, form A (company owner change), and form B filings (change of control, exempt status, and miscellaneous changes), and other legal documents pertaining to the licensing of an insurance company.

RETENTION

Retain 5 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 4 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Exempt. UCA 31A-16-109 (2008)


AGENCY: Insurance Department

SERIES: 5523
TITLE: Insurance agent termination of appointment records
DATES: 1980-
ARRANGEMENT: Alphabetical by insurance company name, thereunder chronological by processing date
ANNUAL ACCUMULATION: 1.00 cubic foot.

DESCRIPTION: These records are the formal notice to the department, confirming that an insurer has terminated the appointment of an agent or agency in the sale and placement of their insurance product. Information includes the reason given for termination of the agent or agency. The records include the agent's or agency's name, Utah Insurance Department license number, and the agent's social security number or agency's tax identification number. Records may also contain information of a negative nature regarding the reason for termination in those instances when termination is for cause.

RETENTION

Retain 3 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 3 months after date of processing. and then transfer to State Records Center. Retain in State Records Center for 33 months and then destroy.

APPRAISAL

Administrative

This disposition is based on the use of these records in the audit of fees collected by the Insurance Department for processing appointments.

PRIMARY DESIGNATION

Private. UCA 63G-2-302(2)(d)(2008)


AGENCY: Insurance Department

SERIES: 3005
TITLE: Insurance company examinations
DATES: 1925-
ARRANGEMENT: Chronological by year; thereunder alphabetical by company name.
ANNUAL ACCUMULATION: 0.50 cubic feet.

DESCRIPTION: This series contains work papers which provide a detailed analysis of the fiscal stability of insurance companies. Information includes corporate financial reports, articles of incorporation, correspondence, detailed financial statements and audits, and draft examination reports.

RETENTION

Retain 100 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 99 years and then destroy.

APPRAISAL

Administrative Fiscal Legal

These records are used administratively to audit insurance companies including corporate finances. The records have legal value as they are required by UCA 31A-16-108.

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(2)(a)(2008)


AGENCY: Insurance Department

SERIES: 3007
TITLE: Publications
DATES: 1908-
ARRANGEMENT: Chronological

DESCRIPTION: This series contains documents created by the agency, including pamphlets, reports, leaflets, bulletins, file manuals, and other published or processed documents. These records include information on administration, legal matters, fiscal and financial operations, insurance companies, laws, rules, regulations, and all other activities of the Insurance Department. This series consists primarily of isolated publications not part of a more specific series.

RETENTION

DISPOSITION

Transfer to the State Archives with authority to weed.

FORMAT MANAGEMENT

Paper: Retain in State Archives permanently with authority to weed.

Microfiche master: For records beginning in 1979 through 1983. Retain in State Archives permanently with authority to weed.

Microfiche duplicate: For records beginning in 1979 through 1983. Retain in State Archives permanently with authority to weed.

APPRAISAL

Historical

This disposition is based on Utah State General Records Retention Schedule, Schedule 1, Item 25.

Publications document agency history and functions. Publications have ongoing research value.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 3619
TITLE: Health maintenance organization financial statements
DATES: i 1975-
ARRANGEMENT: Chronological, thereunder alphabetical by health maintenance organization name

DESCRIPTION: This is a file of health maintenance organizations' annual financial statements of companies doing business in Utah. All of these records will remain confidential until July_1,_1986 at which time they will become public data by legislative action. These documents include name of health maintenance organization, address, phone number, profit and loss statement, corporate history, corporate officers, and up-to-date activities of the company.

RETENTION

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office for 10 years and then microfilm and destroy provided microfilm has passed inspection.

Microfilm master: Retain in State Archives permanently with authority to weed.

Microfilm duplicate: Retain in Office permanently.

APPRAISAL

Administrative Historical

This disposition is based on both the primary administrative and secondary evidential needs of these records to document the operations of health maintenance organizations in Utah.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 3621
TITLE: Insurance company legal case files
DATES: i 1980-
ARRANGEMENT: Alphanumerical

DESCRIPTION: These are files of lawsuits that have been recorded against foreign and alien insurance companies. The information in these files includes licensee name, address, phone number, license number, subject name, address, phone number, history of claim, and reason filed.

RETENTION

DISPOSITION

Retain in agency custody.

FORMAT MANAGEMENT

Paper: Retain in Office for 5 years and then transfer to State Records Center. Retain in State Records Center for 10 years and then microfilm and destroy provided microfilm has passed inspection.

Microfilm master: Retain in State Records Center permanently.

Microfilm duplicate: Retain in Office permanently.

APPRAISAL

Administrative

This disposition is based on both the record's primary administrative and secondary evidential values.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 11246
TITLE: Foreign companies form and rate filings
DATES: 1975-
ARRANGEMENT: Alphabetical by company name

DESCRIPTION: These are insurance forms created by insurance companies whose corporate office is not located in the state of Utah. These forms and rate filings are the actual documents used by the insurance company when enrolling or changing a company's or individual's insurance plan. Information includes policy changes, insurance rate changes, changes in insurance forms, new forms, and forms being submitted for approval.

RETENTION

Retain 5 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 4 years and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Public. UCA 63G-2-301

SECONDARY DESIGNATION

Protected. UCA 63G-2-305 (1),(40) (i) (ii) (iii)(2008) and UCA 31A-30-106 (4)(2008)


AGENCY: Insurance Department

SERIES: 11324
TITLE: Utah Comprehensive Health Insurance Pool (HIPUtah) Records
DATES: 1991-
ARRANGEMENT: Chronological
ANNUAL ACCUMULATION: 1.50 cubic feet.

DESCRIPTION: These records document all files in the operation of the Utah Comprehensive Health Insurance Pool ( HIPUtah ), as required by UCA 31A-29-101-123. The HIPUtah program is being administered by SelectHealth and was previously administered by Regence Blue Cross/Blue Shield of Utah. The files contain records of deposits of premiums and interest earned from investment accounts including copies of FINET reports.

RETENTION

Retain 11 years.

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year or until audit and then transfer to State Records Center. Retain in State Records Center for 10 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on the fiscal value of these records and the input of this information into the State's FI-NET system.

PRIMARY DESIGNATION

Public


AGENCY: Insurance Department

SERIES: 11325
TITLE: Liquidation records
DATES: 1977-
ARRANGEMENT: Alphabetical by company name
ANNUAL ACCUMULATION: 6.00 cubic feet.

DESCRIPTION: These are files the department receives from insurance companies that are in receivership and/or liquidation, covered by UCA_31A-27-101_(1993). They contain a variety of information based on the type of company which could include personal information about company employees, Preferred Employee Benefit Association (PEBA) information, financial data, property and/or mortgage information.

RETENTION

Retain 8 years

DISPOSITION

Destroy.

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year after completion of the receivership or liquidation and then transfer to State Records Center. Retain in State Records Center for 7 years or until court orders destruction and then destroy.

APPRAISAL

Administrative

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

PRIMARY DESIGNATION

Private. UCA_63G-2-302_(1)(b) and (2)(d)_(2008)

SECONDARY DESIGNATION

Protected. UCA_63G-2-305_(1), (6), (7), and (8)(b)_(2008)