Or. Admin. Code § 166-300-0040

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

Section 166-300-0040 - Personnel Records

(1)Affirmative Action Records Records document agency compliance with the statutes and regulations of the U.S. Equal Employment Opportunity Commission regarding affirmative action. Records include affirmative action plans and/or policies, and their revisions and updates, which are required to be submitted to the Governor's Affirmative Action Office. Records may also include but are not limited to reports, supporting documentation, and correspondence. The Governor's Affirmative Action Office maintains the statewide record copy of plans and policies. (Retention:

(a) Retain Affirmative Action plans and policies: 3 years after superseded or obsolete, destroy;

(b) Retain all other Affirmative Action records: 3 years, destroy).

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

(3)Collective Bargaining Records Records document the agency's role in initial and ongoing collective bargaining between the state and a bargaining unit. Records may include but are not limited to union contracts and amendments, tentative agreements, arbitrator's recommendations, negotiation work notes, strike contingency plans, management counter proposals, negotiation updates, newspaper clippings, press releases, research background material, employee classification printouts, and related correspondence. The Department of Administrative Services maintains the statewide record copy. (Retention:

(a) Retain agency proposals and notes: until contract superseded or obsolete: transfer to Department of Administrative Services;

(b) Retain all other agency collective bargaining records: 6 years after contract expiration, destroy).

(4)Comparable Worth Study Records Records document the study, analysis and resolution of pay equity, alleged job discrimination, and related issues involving an agency and its employees. Records may include but are not limited to job content questionnaire summaries, position allocation reports, personnel reclassification studies, job category listings, study outlines, graphs, tables, and related records. (Retention: Retain 15 years, destroy).

(5)Criminal Background Check Records Records document the pre-employment or periodic criminal record check performed on prospective or current staff, faculty, and volunteers by the agency. Records may include but are not limited to a Fingerprint-Based 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 personal identifying information, indication of the existence or absence of criminal record, and related documentation. (Retention:

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

(b) Retain all other criminal background check records: 90 days, destroy).

(6)Drug Testing Records Records document the testing of current and prospective employees for controlled substances prohibited by policy, procedure, or statute. Records may include by 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. (Retention:

(a) Retain positive test results: 5 years, destroy;

(b) Retain negative test results: 1 year, destroy).

(7)Employee Benefits Records Records document an individual employee's benefit information such as selection of insurance plans, retirement, pension, and disability plans, 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, and related documentation. Records may be filed with the individual Employee Personnel Record. SEE ALSO Employee Payroll Records in the Payroll section. (Retention:

(a) Retain PERS enrollment records: 75 years, destroy;

(b) Retain all other benefits records: 3 years after employee separation or eligibility expired, destroy).

(8)Employee Medical Records Records document an individual employee's work related medical history. These records are not personnel records and must be kept in a separate location from employee personnel records 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, first-aid incident records, physician statements, release consent forms, and related correspondence. SEE ALSO Hazard Exposure Records in the Risk Management Records section and Drug Testing Records in this section. (Retention:

(a) Retain hazard exposure records: 30 years after employee separation (29 CFR 1910.1020), destroy;

(b) Retain audiometric test records: until employee separation (29 CFR 1910.95), destroy;

(c) Retain all other employee medical records: 3 years after employee separation, destroy).

(9)Employee Personnel Records Records document an individual employee's work history. Records may include but are not limited to applications, personnel actions, performance evaluations, training records, letters of commendation and recommendation, letters of reprimand, notices of disciplinary action, notices of layoff, letters of resignation, home address/telephone disclosures, emergency notification forms, oaths of office, grievance, complaint, and disciplinary records, and correspondence. The Department of Administrative Services, Human Resource Services Division maintains the statewide record copy of the Employee History File. SEE ALSO Employee Payroll Records in the Payroll Records section. (Retention:

(a) Retain employment applications (most recent and first successful), personnel actions (other than salary changes), employee contracts, home address/ telephone disclosures and emergency notification forms (most recent), oaths of office, summary of service prior to 1954: 10 years after employee separation, destroy;

(b) Retain all other employee personnel records: 3 years, destroy).

(10)Employee Suggestion Award Records Records document an agency's response to employee suggestions for improving effectiveness, efficiency, and economy in state government. Suggestion material is received from the Department of Administrative Services' Employee Suggestions Awards Commission, which ultimately approves or rejects employee suggestions. Records may include but are not limited to agency copies of suggestion applications and attachments, the agency's response, and correspondence. The Department of Administrative Services, Employee Suggestions Awards Committee maintains the statewide record copy. (Retention: Retain 1 year, destroy).

(11)Employee Training Records Records document individual employee participation in required or optional training. Records may include but are not limited to enrollment and attendance records, grade reports, certificates of completion, and correspondence. (Retention: Retain 3 years, destroy).

(12)Employment Eligibility Verification Forms (I-9) Records document the filing of U.S. Immigration and Naturalization Service Form I-9 verifying that an applicant or employee is eligible to work in the United States. (Retention: Retain 3 years after date of hire or 1 year after employee separation, whichever is longer ( 8 CFR 274), destroy).

(13)Equal Employment Opportunity Commission Compliance Records Records document agency compliance with U.S. Equal Employment Opportunity (EEO) Commission regulations. Records may include but are not limited to EE0-4 reports, anti-discrimination committee meeting records and reports, workplace analyses, discrimination complaint policies and procedures, and related documentation and correspondence. SEE ALSO Equal Employment Opportunity Complaint Records in this section. (Retention:

(a) Retain policies and procedures: 3 years after superseded, destroy;

(b) Retain all other EEO records: 4 years, destroy).

(14)Equal Employment Opportunity Complaint Records Records document discrimination complaints made against an agency. Records may include but are not limited to complaints, case files, reports, exhibits, withdrawal notices, copies of decisions, hearings and meetings records, and related documentation and correspondence. (Retention: Retain 3 years after final decision issued, destroy).

(15)Human Resource Services Division Statistical Reports Records document routine and on-demand reports issued to agencies by the Department of Administrative Services, Human Resource Services Division, for agency use in personnel management. Reports are be produced by the Personnel and Position Database (PPDB). These consist primarily of statistical reports containing a variety of personnel information. (Retention: Retain 4 years, destroy).

(16)Layoff Records Records document procedures and computations used in laying off agency employees. Records may include but are not limited to service credit computations, service credit lists, layoff ranking lists, layoff notice letters, employee layoff election forms, and correspondence. Related records may be filed in an individual employee's personnel record. (Retention: Retain 3 years, destroy).

(17)Position Description and Reclassification Records Records document studies and evaluations of individual positions or classes to determine if reclassification is appropriate. Records may include but are not limited to old and new position descriptions, organizational charts, classification specifications, desk audits, salary surveys, classification review reports, and correspondence. (Retention: Retain 3 years after superseded or obsolete, destroy).

(18)Position Inventory Control System (PICS) Reports Records document agency compliance with budgetary personnel authority using reports generated by the Department of Administrative Services. Information includes personnel by division, organizational structure, position and classification numbers, vacancies, budget authority number, position type, compensation type, salary range and pay step information, FTE, position count, and review date. The Department of Administrative Services maintains the statewide record copy. (Retention: Retain 4 years, destroy).

(19)Recruitment and Selection Records Records document the recruitment and selection of agency employees. Records may include but are not limited to position authorization forms, job announcements, classification specifications, position advertisement records, applicant lists, certificates of eligibles, affirmative action statistical sheets, interview questions, tests (such as experience and training ratings, multiple-choice tests, and interview panel ratings), interview notes, applicant criminal history records, recruitment summary records (job announcement, position description, documentation relating to the announcement and test, and test items and ratings levels), and related records. SEE ALSO Criminal Background Check Records in this section. (Retention:

(a) Retain announcement records, position description, and test and rating records: 10 years, destroy;

(b) Retain graded applications, rejected applications, interview notes, and tests: 2 years, destroy;

(c) Retain unsolicited applications: 3 months, destroy;

(d) Retain all other recruitment and selection records: 3 years after position filled or recruitment cancelled, destroy).

(20) Volunteer Program Records Records document the activities and administration of volunteer programs in an agency. Records may include but are not limited to volunteer applications, emergency notification forms, volunteer hour statistics, volunteer program publicity records, insurance requirement information, and related documentation. SEE ALSO Criminal Background Check Records in this section. (Retention:

(a) Retain individual volunteer records: 5 years after volunteer separation, destroy;

(b) Retain all other volunteer program records: 5 years, destroy).

(21) Work Schedules and Assignment Records Records document the scheduling and assignment of shifts, tasks, projects, or other work to agency employees. Useful for budget and personnel planning and review, assessing employee work performance, and other purposes. Records may include but are not limited to calendars, schedules, lists, charts, rosters, and related records. (Retention:

(a) Retain records designed and used to assess employee performance: 3 years, destroy;

(b) Retain all other work schedules and assignment records: 1 year, destroy).

Or. Admin. Code § 166-300-0040

OSA 1-1995, f. & cert. ef. 5-25-95; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-1998, f. & cert. ef. 12-30-98; OSA 1-1999, f. & cert. ef. 2-4-99, Renumbered from 166-308-0010; OSA 5-2002, f. & cert. ef. 10-14-02; OSA 3-2012, f. & cert. ef. 10-29-12

Stat. Auth.: ORS 192 & 357

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