Or. Admin. Code § 166-150-0160

Current through Register Vol. 63, No. 12, December 1, 2024

Section 166-150-0160 - Personnel Records

(1)Affirmative Action Records Records documenting agency compliance with the statutes and regulatory requirements of the U.S. Equal Employment Opportunity Commission. May include plans, updates, policy statements, reports, and supporting information. (Minimum retention:

(a) Plans, updates, and policy statements: Permanent

(b) Other records: 3 years)

(2)Benefits Continuation Records Records document notifications to employees or dependents informing them of their rights to continue insurance coverage after termination of during disability or family leave. Continuation may be under COBRA or another provision. Notice is also sent to a third party administrator who administers the extended coverage. The records typically consist of notices sent and correspondence. Records may be filed with the Employee Benefits Records or Employee Personnel Records. SEE ALSO Employee Payroll Records in the Payroll section. (Minimum retention: 3 years after employee separation of eligibility expired)

(3)Collective Bargaining Records Records documenting negotiations between the agency and employee representatives. May include contracts, reports, negotiation notes, arbitration findings, cost analyses, minutes, tape recordings, and related significant records. (Minimum retention:

(a) Contracts and minutes: 75 years after contract expires

(b) Other records: 6 years after contract expired)

(4)Comparable Worth Study Records Records documenting the analysis, study, and resolution of pay equity, alleged job discrimination, and related issues involving the agency and its employees. May include job content questionnaire summaries, position allocation reports, personnel reclassification studies, job category listings, study outlines, graphs, tables, and significant related records. (Minimum retention:

(a) Final study or report: Permanent

(b) Other records: 5 years)

(5)Criminal Background Check Records Records document the pre-employment or periodic criminal records checks performed on prospective or current staff, faculty, and volunteers. Records may include but are not limited to a log recording when background checks are done and whom they are done on, and a fingerprintbased criminal history verification form documenting the result of a criminal history background check coordinated by the Oregon Law Enforcement Data System (LEDS). The form includes name and other personally identifiable information, indication of existence or absence of criminal record, and related documentation. (Minimum retention:

(a) Retain background check log: until superseded or obsolete

(b) Retain all other records: 90 days)

(6)Disciplinary Action Records Records documenting termination, suspension, progressive disciplinary measures, and other actions against employees. May include statements, investigative records, interview and hearing records, findings, and related records. May be filed with Employee Personnel Records. (Minimum retention:

(a) Retain investigations resulting in termination: 10 years after employee separation

(b) Retain investigations resulting in disciplinary action or exoneration: 3 years after resolution

(c) Retain unfounded investigations: 3 years)

(7)Drug Testing Records Records document the testing of current and prospective employees for controlled substances prohibited by policy, procedure, or statute. Records may include but are not limited to the documentation of test results, the collection process, the random sample process, and those documenting the decision to administer reasonable suspicion drug testing. (Minimum retention:

(a) Retain positive test results: 5 years

(b) Retain negative test results: 1 year)

(8)Employee Benefits Records Records document an individual agency employee's benefit information such as selection of insurance plans, retirement, pension, and disability plans, flexible benefits, deferred compensation plans, and other benefit program information. Records may include but are not limited to plan selection and application forms, enrollment records, contribution and deduction summaries, personal data records, authorizations, beneficiary information, year-end leave balance reports, and related documentation. Records may be filed with the Employee Personnel Record. SEE ALSO Payroll Section. (Minimum retention:

(a) Year-end leave balance reports and official copy of retirement enrollment records: 75 years after date of hire

(b) Other records: 3 years after employee separation or eligibility expired)

(9)Employee Medical Records Records document an individual employee's work related medical history. These records are not personnel records and must be kept physically separate from employee personnel records -- in a separate location, as required by the Americans with Disabilities Act. Records may include but are not limited to medical examination records (pre-employment, pre-assignment, periodic, or episodic), X-rays, records of significant health or disability limitations related to job assignments, documentation of work related injuries or illnesses, hearing test records, hazard exposure records, drug testing records, first-aid incident records, physician statements, release consent forms, and related correspondence. SEE ALSO Hazard Exposure Records in this section. (Minimum retention:

(a) Hazard exposure records: 30 years after separation (29 CFR 1910.1020)

(b) Other records: 6 years after separation)

(10)Employee Personnel Records Records document an individual employee's work history. Records may include but are not limited to applications; notices of appointment; employment applications; training and certification records; records of health limitations; salary schedules; tuition reimbursement records; personnel actions; performance appraisal evaluations; letters of commendation and recommendation; letters of reprimand; notices of disciplinary action; notices of layoff; letters of resignation; home address and telephone disclosures; emergency notification forms; grievance and complaint records; and related correspondence and documentation. SEE ALSO Disciplinary Action Records; Employee Benefits Records; Employee Medical Records; Grievance and Complaint Records; Recruitment and Selection Records; and Volunteer Worker Records in this section. SEE ALSO Oaths of Office in the County Clerk-General section. (Minimum retention:

(a) Retain letters of reprimand and notices of disciplinary action 3 years

(b) Retain all other records 6 years after separation)

(11)Employee Recognition Records Recognition of employees for special service to the agency. May include service awards, recognition certificates, commendations, award nominations, lists of past recipients, and presentation or ceremony records and photographs. Some records in this series may have historic value. For appraisal assistance contact the Oregon State Archives. SEE ALSO Employee Suggestion Award Records in this section. (Minimum retention: 6 years)

(12)Employee Suggestion Award Records Records documenting an employee suggestion program where employees may submit suggestions that improve effectiveness, efficiency, and economy in agency operations. Employees may receive awards for adopted suggestions. Records may include suggestion forms and evaluations, award information, and related documentation. SEE ALSO Employee Recognition Records in this section. (Minimum retention:

(a) Adopted suggestions: 2 years

(b) Suggestions not adopted: 1 year)

(13)Employment Eligibility Verification Forms (I-9) Records document the filing of U.S. Immigration and Naturalization Service Form I-9 form that verifies that an applicant or employee is eligible to work in the United States. Information includes employee information and verification data such as citizenship or alien status and signature, and employer review and verification data such as documents that establish identity and eligibility, and employer's signature certifying that documents have been checked. (Minimum retention: 3 years after date of hire or 1 year after employee separation, whichever is longer (8 CFR 274a.2))

(14)Equal Employment Opportunity Compliance Records Reports and records maintained by the agency with 15 or more employees in compliance with the U.S. Equal Opportunity Commission regulations. Contains EEO-4 reports and all records related to the completion of the reports. (Minimum retention: 3 years)

(15)Equal Employment Opportunity Complaint Records Case files maintained in relation to discrimination complaints made against the agency. Records may include complaints, reports, exhibits, withdrawal notices, copies of decisions, hearings and meetings records, and related documentation and correspondence. (Minimum retention: 3 years after final decision issued)

(16)Equal Employment Opportunity Policy Development Records Records documenting the adoption and administration of agency programs to set personnel policies and procedures within the scope of the Civil Rights Act of 1964 and the Equal Employment Opportunity Act of 1972. May contain antidiscrimination committee meeting records and reports, workplace analyses, discrimination complaint policies and procedures, and related records. (Minimum retention:

(a) Plans, updates, and policy statements: Permanent

(b) Other records: 3 years)

(17)Grievance and Complaint Records Grievances or complaints filed by current employees, terminated employees, applicants, or private citizens regarding employment practices. Often relates to interpretations and alleged violations of employment contracts. Records often include complaints, investigation records, interview and hearing reports, arbitrator's findings and decisions, tape recordings, and related records. (Minimum retention: 3 years)

(18)Hazard Exposure Records Records document an agency employee's exposure to hazardous conditions such as chemicals, toxic substances, bloodborne pathogens, biological agents, bacteria, virus, fungus, radiation, noise, dust, heat, cold, vibration, repetitive motion, or other dangerous work related conditions. These records are not personnel records and should be maintained in an Employee Medical File. Records may include but are not limited to hearing test records, radiation measurement records, blood test or other laboratory results, incident reports, first-aid records, X-rays, work station air sampling reports, and correspondence. SEE ALSO Employee Medical Records in this section. (Minimum retention: 30 years after separation (29 CFR 1910.1020))

(19)Hearing Test Records Records documenting employee participation in the State Hearing Conservation Program as required by the Oregon Workers' Compensation Division. The program applies to employees exposed to working conditions that may impair hearing. Contains measurement records that include audiogram number, employee's name and department, technician's name, date tested, and remarks. Also contains hearing test results which include employee's name, department, job classification, length of service, phone number, date of birth, previous hearing condition, exposure to sound levels, results of noise exposure and audiometer tests, comments, and related information. (Minimum retention: Until employee separation (29 CFR 1910.95))

(20)Layoff Records Series documents procedures and computations used in laying off agency employees. May include service credit computations, service credit lists, and layoff ranking lists. Related records may be filed in Employee Personnel Files. (Minimum retention: 3 years)

(21)Photo Identification Records Photographs and other records used to identify agency employees, private security personnel, contract workers, and others. May include photographs taken for agency identification cards, driver's license photographs, and information such as name, date of birth, physical description, identification number, driver's license number, and other data. (Minimum retention: Until superseded or obsolete)

(22)Position Description, Classification, and Compensation Records Records document the description, classification, reclassification, and compensation of agency jobs and positions, a process also known as desk auditing. Usually includes details of duties and responsibilities of each position, time percentage breakdowns of tasks, skills and abilities needed for each position, and related records documenting the development, modification, or redefinition of each job or position. Records often include reports, job analyses, interview data, selection criteria, authorizations, agreements, and significant related records. (Minimum retention: 3 years after superseded or obsolete)

(23)Recruitment and Selection Records Records document the recruitment and selection of agency employees. Records may also document the recruitment and selection of contracted service providers such as attorneys, auditors, insurance agents, labor consultants, and others. Records may include but are not limited to job announcements and descriptions, applicant lists, applications and resumes, position advertisement records, civil service and other examination records, classification specifications, affirmative action records, interview questions, interview and application scoring notes, applicant background investigation information, letters of reference, civil service records, position authorization forms, certification of eligibles, recruitment summary records (job announcement, position description, documentation relating to the announcement and test, and test items and rating levels), and related correspondence and documentation. SEE ALSO Employee Personnel Records and Employment Eligibility Verification Forms (I-9) in this section. (Minimum retention:

(a) Retain announcement records, position description, and records documenting creation of test and rating scale 10 years

(b) Retain unsolicited applications and resumes 3 months if not returned to solicitor

(c) Retain unsuccessful applications and other records 3 years after position filled or recruitment cancelled)

(24)Training Program Records Records related to the design and implementation of training programs provided to employees by the agency. May include class descriptions, instructor certifications, planning documentation, instructional materials, course outlines, class enrollment and attendance records, and related significant records. (Minimum retention:

(a) Significant program records: 5 years

(b) Class enrollment and attendance records: 2 years

(c) Other records: 1 year)

(25)Volunteer Program Records Records documenting the activities and administration of volunteer programs and volunteers in the agency. May include volunteer hour statistics, volunteer program publicity records, insurance requirement information, inactive volunteer files, and related records. SEE ALSO Volunteer Worker Records in this section for records related to individual volunteers. (Minimum retention: Retain 5 years)

(26)Volunteer Worker Records Records documenting work performed for the agency by citizens without compensation for their services. May include agreements, applications, skill test results, training documentation, task assignment and monitoring records, and related information. (Minimum retention: 3 years after separation)

Or. Admin. Code § 166-150-0160

OSA 4-2004, f. & cert. ef. 9-1-04

Stat. Auth.: ORS 192 & 357

Stats. Implemented: ORS 192.005-192.170 & 357.805 - 357.895