OAR 166-400-0050
Personnel Records
(1)
Affirmative Action Records Records document school, district, and ESD compliance with the statutes and regulations of the U.S. Equal Opportunity Commission dealing with affirmative action. Records may include but are not limited to plans, updates, policy statements, reports, and supporting information. SEE ALSO Equal Employment Opportunity Commission Compliance Records in this section. Minimum retention: (a) Retain plans, updates, and policy statements: Permanent (b) Retain all 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 document the negotiations and contractual agreements between a school, district, or ESD and an employee 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; minutes, sound recordings, and exhibits; published manuals; and related correspondence and documentation. Minimum retention: (a) Retain contracts: 75 years after contract expires (b) Retain all other records: 6 years after contract expires(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) Retain final study or report: Permanent (b) Retain all other records: 5 years(5)
Compensation Plan Records Records document the development, operation, and maintenance of the school, district, or ESD’s personnel compensation plans. Records include compensation plans; salary surveys; merit matrixes; pay range tables; and related correspondence and documentation. Minimum retention: (a) Retain compensation plans: 20 years (b) Retain pay range tables, merit matrixes: Until superseded (c) Retain all other records: 3 years.(6)
Criminal Background Check Records Records document the pre-employment or periodic criminal record check made on prospective or current staff, faculty, and volunteers by schools, districts, or ESDs. Records 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 Department of Education through the FBI and Oregon Law Enforcement Data System (LEDS). The form includes name and other personal identifying information, indication of existence or absence of criminal record, and related documentation. Records may be retained as part of the Employee Personnel Record. SEE ALSO Employee Personnel Records and Recruitment and Selection Records in this section. Minimum retention: (a) Retain background check logs until superseded or obsolete (b) Retain fingerprint cards until return of card or recipt of investigation findings (c) Retain all other records 90 days, destroy.(7)
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.(8)
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.(9)
Employee Benefits Records Records document school, district, or ESD individual employee 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 Records section. Minimum retention: (a) Retain PERS enrollment records, official copy: 75 years after date of hire (b) Retain all other records: 3 years after employee separation or eligibility expired.(10)
Employee Medical Records Records document school, district, or ESD individual employee 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) Retain hazard exposure records: 30 years after separation (b) Retain all other records: 6 years after separation.(11)
Employee Personnel Records Records document school, district, and ESD individual employee work history. Records may include but are not limited to applications; notices of appointment; training and licensure (certification) records; records of health limitations; in service training records; salary schedules; tuition reimbursement records; personnel actions; performance evaluations; teacher evaluation reports; 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; pension, retirement, disability, and leave records; and related correspondence and documentation. SEE ALSO Criminal History Check Records, Recruitment and Selection Records, Employee Medical Records, and Employee Benefits Records in this section. Minimum retention: (a) Retain employment applications (most recent and first successful), teacher licensure (certification) records, personnel actions, oaths of office, home address/telephone disclosures, emergency notification form (most recent): 75 years after date of hire (b) Retain grievance, complaint, and disciplinary records: 3 years (c) Retain all other records: 3 years after separation.(12)
Employment Eligibility Verification Forms (I-9) Records document the filing of U.S. Immigration and Naturalization Service Form I-9 form which 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 which establish identity and eligibility, and employer’s signature certifying that documents have been checked. Minimum retention: 3 years or 1 year after employee separation, whichever is longer (8 CFR 274a-2).(13)
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.(14)
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) Retain adopted suggestions: 2 years (b) Retain suggestions not adopted: 1 year.(15)
Equal Employment Opportunity Commission Compliance Records Records document school, district, or ESD compliance with the U.S. Equal Employment Opportunity Commission regulations. Records may include but are not limited to reports; anti-discrimination committee meeting records and reports; workplace analyses; discrimination complaint policies and procedures; complaints; reports; exhibits; withdrawal notices; copies of decisions; hearings and meeting records; report listing number of employees by gender, race, and job classification; and related correspondence and documentation. SEE ALSO Affirmative Action Records in this section. Minimum retention: (a) Retain plans, updates, and policy statements: Permanent (b) Retain complaint records and documentation: 3 years after final decision issued (c) Retain all other records: 3 years.(16)
Grievance Records Records document grievances brought by or against employees of schools, districts, or ESDs. Records may include but are not limited to notice of grievance; informal discussion notes; format hearing notes (including audio tapes): final summary statements or reports; private arbitrator or Employment Relations Board rulings; correspondence; and supporting documentation. Minimum retention: 3 years.(17)
Hazard Exposure Records Records document a school, district, or ESD employee’s exposure to hazardous conditions such as chemicals, toxic substances, blood-borne 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 (per 29 CFR 1910.20).(18)
Layoff, Dismissal, and Non-Renewal Records Records document the procedures and computations used in laying off, dismissing, or non-renewal of contracts of school, district, and ESD 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, documentation in support of action taken, and related correspondence. Minimum retention: 3 years after final disposition.(19)
Personnel Research Records Records document the study and analysis of personnel issues such as comparative salary, pay equity, collective bargaining, fringe benefits, manning standards, minimum qualifications, recruitment, training, job discrimination, and related issued involving the school, district, or ESD and its employees. Records may include but are not limited to questionnaires, data, summary reports, studies, surveys, and related documentation. Minimum retention: (a) Retain final study or report: Permanent (b) Retain all other records: 5 years(20)
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(21)
Position Description and Classification Records Records document job descriptions and the studies and evaluations of school, district, or ESD positions to determine if reclassification is appropriate. Records may include but are not limited to current and new job descriptions, organizational charts, classification specifications, desk audits, classification review reports, and related correspondence and documentation. Minimum retention: 3 years after superseded or obsolete(22)
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(23)
Teacher Registration and Licensure (Certification) Records Records document the registration and licensure (certification) of school teachers, including substitute teachers. Records may include but are not limited to licensure (certification) records which list teacher name, type of license (certificate), date of licensure (certification), salary, days taught; Oregon Department of Education licensure (certification) reports which list type of license (certificate), teacher, and district; and related documentation. Early records may include county superintendent administered examination results, copies of examinations, and teacher salary information. SEE ALSO Employee Personnel Records in this section. Minimum retention: (a) Retain licensed (Certificated) Personnel Reports: 2 years after school year in which records were created (b) Retain substitute teachers records: 1 year after school year in which records were created (c) Retain all other records: 75 years after date of hire(24)
Training Program Records Records document the design, implementation, and administration of training programs and opportunities provided to school, district, and ESD employees, including in service training for faculty. Records may include but are not limited to class, workshop, or conference descriptions; instructor certifications; planning documentation; instructional materials; course outlines; class enrollment and attendance records; training certification forms; and related correspondence and documentation. Minimum retention: 3 years after school year in which records were created.(25)
Volunteer Program Records Records document the activities and administration of volunteer programs in the school, district, or ESD. Records may include but are not limited to volunteer hour statistics; volunteer program publicity records; insurance requirement records; volunteer training and orientation records; inactive volunteer files; and related correspondence and documentation. Minimum retention: (a) Retain volunteer worker records: 3 years after separation (b) Retain all other records: 5 years(26)
Wellness Program Records Records document the development, operation, and activities of a school, district, or ESD wellness program. Records may include but are not limited to program statements, health and safety surveys, committee minutes, newsletters, and related correspondence and documentation. Minimum retention: 3 years after school year in which records were created.
Source:
Rule 166-400-0050 — Personnel Records, https://secure.sos.state.or.us/oard/view.action?ruleNumber=166-400-0050.