OAR 166-150-0160: Personnel Records

(1) Affirmative Action Records: Series documents agency compliance with the statutes and regulatory requirements of the U.S. Equal Employment Opportunity Commission. Records may include plans, updates, policy statements, reports, and related documentation. Minimum retention: (a) Plans, updates, and policy statements, permanent; (b) All other records, 3 years. (2) Appointment Records: Series documents appointments to boards, commissions, advisory boards, or other task forces. Records may include applications, interviews, staff reports, and related documentation. Minimum retention: (a) Governing body appointments, permanent; (b) Other appointments, 6 years after separation; (c) Application materials not leading to an appointment, 1 year. (3) Child Abuse Report Records: Series documents suspected child abuse reported by agency staff. Records may include notes and observations of the child, record of contact with the Oregon Department of Human Services or law enforcement agency, and related documentation. Minimum retention: 3 years. (4) Collective Bargaining Records: Series documents negotiations between the agency and employee representatives. Records may include contracts, reports, negotiation notes, letters of agreement, arbitration findings, cost analyses, minutes, audio and video recordings, and related documentation. Minimum retention: (a) Contracts and minutes, 75 years after contract expires; (b) All other records, 6 years after contract expires. (5) Communicable Disease Contact Tracing Records: Series documents the movement of employees, volunteers, and visitors at agency sponsored activities or agency facilities, not otherwise covered by Visitor Logs or Liability Waiver Records. Includes documentation for any disease for which there is a public health risk and need to track. Records may include screening information, sign-in sheets, and related documentation. Note: Agencies may be required to transfer tracing data to Oregon Health Authority (OHA) or County Public Health departments in the event of an epidemic or pandemic. SEE ALSO: Employee Medical Records for individual cases among employees. Minimum Retention: (a) Logs involved in an active contact tracing event, 30 days or until resolution of event, whichever is longer; (b) All other logs, 30 days. (6) Criminal Background Check Records: Series documents criminal record checks performed on prospective or current staff, faculty, and volunteers using the Oregon Law Enforcement Data System (LEDS). Records may include logs and criminal history verification forms. Minimum retention: (a) Background check log, until superseded or obsolete; (b) All other records, 90 days. (7) Disciplinary Action Records: Series documents dismissal, suspension, progressive disciplinary measures, and other actions against employees. Records may include statements, investigative records, interview and hearing records, findings, and related documentation. Note: For law enforcement officers or reserve officers, as defined by ORS 181A, retain per Employee Personnel Records or Law Enforcement Internal Investigations Case Files. Minimum retention: (a) Investigations resulting in disciplinary action or exoneration, 5 years after resolution; (b) Investigations resulting in termination, 10 years after employee separation; (c) Unfounded claims, 3 years. (8) Drug Testing Records: Series documents the testing of current and prospective employees for controlled substances prohibited by policy, procedure, or statute. Records may include 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) Positive test results, 5 years; (b) Negative test results, 1 year. (9) Employee Benefits Records: S eries documents an individual agency employee’s benefit information such as retirement, disability, or insurance plans. Records may include plan selection and application forms, enrollment records, contribution and deduction summaries, personal data records, authorizations, beneficiary information, year-end leave balance reports, notices of disability payments made, benefits continuation records, and related documentation. SEE ALSO: Leave Balance Reports. Minimum retention: (a) Official copy of retirement enrollment records, 75 years after date of hire; (b) All other records, 3 years after employee separation or eligibility expired. (10) Employee Hazard Exposure Records: Series documents an agency employee’s exposure to hazardous conditions such as chemicals, toxic substances, blood-borne pathogens, biological agents, bacteria, viruses, fungi, radiation, noise, dust, heat, cold, vibration, repetitive motion, or other dangerous work-related conditions. Records may include radiation measurement records, blood test or other laboratory results, incident reports, first-aid records, X-rays, workstation air sampling reports, and related documentation. SEE ALSO: Employee Medical Records. Minimum retention: (a) Noise exposure measurement records, 2 years (29 CFR 1910.95); (b) Audiometric test records, until employee separation (29 CFR 1910.95); (c) All other records, 30 years after separation (29 CFR 1910.1020). (11) Employee Medical Records: Series documents an individual employee’s work-related medical history. Records may include 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, first-aid incident records, physician statements, release consent forms, vaccination records, and related documentation. Note: 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. SEE ALSO: Employee Hazard Exposure Records. Minimum retention: 6 years after separation. (12) Employee Personnel Records: Series documents an individual employee’s work history. Records may include 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, oaths of office, grievance and complaint records, and related documentation. SEE ALSO: Disciplinary Action Records; Employee Benefits Records; Employee Medical Records; Grievance and Complaint Records; Law Enforcement Internal Investigations Case Files; Recruitment and Selection Records; K9 Records; and Volunteer Worker Records. Minimum retention: (a) Law enforcement officers or reserve officers, as defined by ORS 181A, 10 years after separation; (b) All other records, 6 years after separation. (13) Employee Recognition Records: Series documents the recognition of employees for special service to the agency. Records 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. Minimum retention: 6 years. (14) Employment Eligibility Verification Forms (I-9): Series documents the filing of U.S. Immigration and Naturalization Service Form I-9. Minimum retention: 3 years after date of hire or 1 year after employee separation, whichever is longer. (15) Equal Employment Opportunity (EEO) Compliance Records: Series documents reports and records maintained by agencies with 15 or more employees in compliance with U.S. Equal Employment Opportunity Commission regulations. Contains EEO-4 reports and all records related to the completion of the reports. Minimum retention: 3 years. (16) Equal Employment Opportunity (EEO), Oregon Workplace Fairness Act, and Public Civil Rights Complaint Records: Series documents complaints made against an agency. Records may include complaints, case files, reports, exhibits, withdrawal notices, copies of decisions, hearings and meetings records, and related documentation. Minimum retention: 5 years after final decision issued. (17) Equal Employment Opportunity (EEO) Policy Records: Series documents 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. Records may include anti-discrimination committee meeting records and reports, workplace analyses, discrimination complaint policies and procedures, and related documentation. Minimum retention: (a) Plans, updates, and policy statements, permanent; (b) All other records, 3 years. (18) Grievance and Complaint Records: Series documents grievances or complaints filed by current employees, terminated employees, applicants, or private citizens regarding employment practices. Records may include complaints, investigation records, interview and hearing reports, arbitrator’s findings and decisions, and related documentation. Minimum retention: 5 years after final decision issued. (19) Health Initiative Records: Series documents the development, operation, and activities of internal agency health initiatives such as wellness programs, smoking cessation programs, etc. Records may include program statements, health and safety surveys, committee minutes, newsletters, and related documentation. Minimum retention: 2 years. (20) Layoff Records: Series documents procedures and computations used in laying off agency employees. Records may include service credit computations, service credit lists, and layoff ranking lists. Related records may be filed in Employee Personnel Files. Minimum retention: 5 years. (21) Pay Equity Records: Series documents the analysis, study, and resolution of pay equity, alleged job discrimination, and related issues involving the agency and its employees. Records may include job content questionnaire summaries, position allocation reports, personnel reclassification studies, job category listings, and related documentation. Minimum retention: (a) Final study or report, permanent; (b) All other records, 5 years. (22) Photo Identification Records: Series documents photographs and other records used to identify agency employees, private security personnel, contract workers, and others. Minimum retention: Until updated or employee separates. (23) Position Description, Classification, and Compensation Records: S eries documents the description, classification, and compensation of agency jobs and positions. Records may include reports, position desc riptions, position evaluations, compensation studies, job analyses, interview data, selection criteria, authorizations, agreements, and related documentation. Minimum retention: 3 years after updated or position abolished. (24) Recruitment and Selection Records: Series documents the recruitment and selection of agency employees and contracted service providers. Records may include 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, letters of reference, civil service records, position authorization forms, certification of eligibility, recruitment summary records, and related documentation. Unsolicited application materials are non-record and may be destroyed when not needed. SEE ALSO: Criminal Background Check Records; Employee Personnel Records; and Employment Eligibility Verification Forms (I-9). Minimum retention: (a) Announcement records, position description, and test and rating records, 10 years; (b) All other records, 5 years after position filled or recruitment cancelled. (25) Volunteer Program Records: Series documents the activities and administration of volunteer programs in the agency. Records may include volunteer time tracking, volunteer program publicity records, insurance requirement information, inactive volunteer files, and related documentation. SEE ALSO: Volunteer Worker Records for records related to individual volunteers. Minimum retention: 4 years. (26) Volunteer Worker Records: Series documents work performed for the agency by citizens without compensation for their services. Records may include agreements, applications, skills test results, training documentation, task assignment and monitoring records, and related documentation. Minimum retention: 4 years after separation.