OAR 166-300-0040: Personnel Records

(1) Affirmative Action Records : Series documents agency compliance with the statutes and regulations of the U.S. Equal Employment Opportunity Commission regarding affirmative action. Records include affirmative action plans and policies and their revisions and updates, which are required to be submitted to the Office of Cultural Change (OCC) at the Department of Administrative Services (DAS) . Records may also include reports and supporting documentation. The OCC 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 Retention: (a) Retain Affirmative Action plans and policies 3 years after superseded or obsolete, destroy; (b) Retain all other Affirmative Action records 3 years, destroy.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) Collective Bargaining Records : Series documents the agency’s role in initial and ongoing collective bargaining between the state and a bargaining unit. Records may include 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 documentation. 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 Retention: (a) Retain agency proposals and notes until contract superseded or obsolete, transfer to Department of Administrative Services; (b) Retain all other agency collective bargaining records 6 years after contract expiration,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. (3) Criminal Background Check Records : Series documents the pre-employment or periodic criminal record check performed by the agency on prospective or current staff, faculty, and volunteers. Records may include 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). Retention: (a) Retain background check log until superseded or obsolete, destroy; (b) Retain all other criminal background check records 90 days, destroy. (4) 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 documentation regarding 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. (5) Employee Benefits Records : Series documents 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 plan selection and application forms, enrollment records, contribution and deduction summaries, personal data records, authorizations, beneficiary information, benefits continuation records, and related documentation. SEE ALSO: Employee Payroll Records. Retention: (a) Retain PERS enrollment records 75 years, destroy; (b) Retain all other benefits records 3 years after employee separation or eligibility expired, destroy. (6) 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, and related documentation. SEE ALSO: Employee Hazard Exposure Records. 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. Retention: Retain 7 years after separation, destroy. (7) Employee Personnel Records : Series documents an individual’s work history. Records may include records used to determine the employee’s qualification for employment, promotion, compensation, employment termination or other disciplinary action; application and separation documentation; performance and disciplinary records; personal contact information; and conflict of interest forms and oaths of office. The Department of Administrative Services Chief Human Resources Office maintains the statewide record. Retention: (a) Retain employment applications (most recent and first successful), personnel actions, employee contracts, home address/telephone disclosures and emergency notification information (most recent), and oaths of office 10 years after employee separation, destroy; (b) Retain disciplinary and investigatory records for 7 years, destroy; (c) Retain all other employee personnel records 3 years, destroy. (8) Employee Training Records : Series documents individual employee participation in required or optional training. Records may include enrollment and attendance records, grade reports, certificates of completion, and related documentation. Retention: Retain 3 years, destroy. (9) Employment Eligibility Verification Forms (I-9) Records : Series documents 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 5 years after date of hire or 1 year after employee separation, whichever is longer (8 CFR 274), destroy. (10) Equal Employment Opportunity Commission Compliance Records : Series documents agency compliance with U.S. Equal Employment Opportunity (EEO) Commission regulations. Records may include EE0-4 reports, anti-discrimination committee meeting records and reports, workplace analyses, discrimination complaint policies and procedures, and related documentation. SEE ALSO: Equal Employment Opportunity, Oregon Workplace Fairness Act, and Public Civil Rights Complaint Records. Retention: (a) Retain policies and procedures 3 years after superseded, destroy; (b) Retain all other EEO records 4 years, destroy. (11) Equal Employment Opportunity, 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. Retention: Retain 5 years after final decision issued, destroy. (12) Layoff Records : Series documents procedures and computations used in laying off agency employees. Records may include service credit computations, service credit lists, layoff ranking lists, layoff notice letters, employee layoff election forms, and related documentation. Related records may be filed in an individual employee’s personnel record. Retention: Retain 5 years, destroy. (13) Pay Equity Records : Series documents the study, analysis, and resolution of pay equity, alleged job discrimination, and related issues involving an agency and its employees. Records may include job content questionnaire summaries, position allocation reports, personnel reclassification studies, job category listings, and related documentation. Retention: Retain 15 years, destroy. (14) Position Description and Reclassification Records : Series documents studies and evaluations of individual positions or classes to determine if reclassification is appropriate. Records may include old and new position descriptions, organizational charts, classification specifications, desk audits, salary surveys, classification review reports, and related documentation. Retention: Retain 3 years after updated or position abolished, destroy. (15) Position Inventory Control System (PICS) Reports : Series documents agency compliance with budgetary personnel authority using reports generated by the Department of Administrative Services. The Department of Administrative Services maintains the statewide record copy. Retention: Retain 4 years, destroy. (16) Recruitment and Selection Records : Series documents the recruitment and selection of agency employees. Records may include 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, recruitment summary records (job announcement, position description, documentation relating to the announcement and test, and test items and ratings levels), and related documentation. Note: Unsolicited application materials are non-record and may be destroyed when not needed. SEE ALSO: Criminal Background Check Records. Retention: (a) Retain announcement records, position description, and test and rating records 10 years, destroy; (b) Retain all other records 5 years after position filled or recruitment cancelled, destroy. (17) Volunteer Program Records : Series documents the activities and administration of volunteer programs in an agency. Records may include volunteer applications, emergency notification forms, volunteer hour statistics, volunteer program publicity records, insurance requirement information, and related documentation. SEE ALSO: Criminal Background Check Records. Retention: (a) Retain individual volunteer records 3 years after volunteer separation, destroy; (b) Retain all other volunteer program records 5 years, destroy. (18) Work Schedules and Assignment Records : Series documents the scheduling and assignment of shifts, tasks, projects, or other work to agency employees. Records may include calendars, schedules, lists, charts, rosters, and related documentation. 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.