Oklahoma Administrative Code › Title 595 - Department of Public Safety › Chapter 1 - General Rules of the Department of Public Safety › Subchapter 9 - Inspection and Copying of Final Orders, Decisions, Opinions and Open Records › Section 595:1-9-10 - Retention and destruction of Department records

Current through Vol. 41, No. 20, July 1, 2024
(a)
General.
Records that are no longer of value to the Department in
				carrying out the powers and duties of the Department may be destroyed pursuant
				to the conditions specified in this subsection; provided, nothing in this
				subsection shall compel the Department to destroy any record. In the event
				there is uncertainty or ambiguity regarding what category or retention period
				applies to a particular record and provided no legal action is pending, the
				Commissioner or Commissioner's designee shall make the final retention or
				destruction decision. If legal action involving the records is pending, the
				record(s) shall be retained until the exhaustion of all legal remedies, then
				retained or destroyed at the discretion of the Commissioner or Commissioner's
				designee.
(b)
Records
				retention and disposal schedule.
(1)
Human Capital Management.
Records of DPS personnel shall be
				retained for the term of employment plus an additional ten (10) years unless a
				different time period is specified.
(A)
Applications, resumes, and materials submitted for Employment-Not
				Hired.
Applications for employment and supporting documentation such as
				transcripts, resumes, and letters of recommendation; notes and other records
				pertaining to employment applications and job interviews shall be retained for
				one (1) year after the receipt by the Department.
(B)
Personnel records of regular state
				employees (active).
Record copies of applications, hiring, promotional
				date, and other personnel records pertaining to state employment of active
				regular state employees shall be retained in office until end of employment
				with the Department plus ten (10) years.
(C)
Personnel records of temporary
				state employees.
Record copies of application, hiring, promotional date,
				and all other personnel records pertaining to state employment of temporary
				state employees shall be retained in office or in permanent storage for three
				(3) years after the employee leaves the employ of the Department. At that time
				the employment application, Request for Personnel Action (OPM Form 14),
				Longevity Certification Form (OPM Form 52 or Equivalent), employment history
				cards, Individual Leave Record (OPM Form 1 or equivalent), INS Form I-9,
				correspondence relating to leave without pay, and Department of Defense Form
				DD214 shall be retained in office until the end of employment with the
				Department plus three (3) years.
(D)
Contractual employment
				records.
Records other than copies of contracts and payment information
				pertaining to contractual employment shall be retained in office for five (5),
				years after final payment, provided all audits have been completed and all
				applicable audit reports have been accepted and resolved by all applicable
				federal and state agencies.
(E)
Applicant/Employee Drug Testing Records.
Records shall be retained
				for five (5) years after the date the test was administered to the
				applicant/employee.
(F)
Discipline Records.
Records of the final imposition of informal
				and formal discipline shall be retained for the term of employment plus an
				additional ten (10) years.
(G)
Graded examinations.
Examinations administered to Department
				employees, and the results of such examinations, shall be retained for the term
				of employment of the person tested plus an additional five (5) years.
(H)
Fitness for Duty
				Evaluations.
Records shall be retained for the term of employment plus
				an additional ten (10) years.
(I)
Organizational Charts.
At least one current organizational chart
				indicating overall administrative structure of the Department to the unit level
				shall be retained in office until superseded by subsequent charts, then
				permanently stored for perpetuity.
(J)
Payroll financial records.
Unless specifically provided otherwise by administrative rule, the following
				records shall be retained in office for ten (10) years.
(i) The following records shall be retained
				in office until one (1) year after all audits have been completed and all
				applicable audit reports have been accepted and resolved by all applicable
				federal and state.
(I) Copies of OSF Form 41,
				Payroll Funding Sheet-Record Type C and Tape Layout; OSF Form 41, Payroll
				funding Detail Listing-Record Type S and Tape Layout; and any required
				supporting documents submitted to the Office of State Finance for payment of
				employee wages and salaries
(II)
				Copies of OSF Form PWC, "Request for Payroll Warrant Cancellation" submitted to
				the Office of State Finance.
(III)
				Quarterly computer printouts from the Office of State Finance listing employee
				wages and tax deductions.
(IV)
				Reports listing employee salary and wage deductions for insurance, credit union
				dues, and annuities, as well as billing documents form insurance companies for
				premium payments and copies of applicable miscellaneous claims sent to the
				Office of State Finance.
(V)
				Overtime reports and payroll data for seasonal employees used to compile agency
				payrolls submitted to the Office of State Finance.
(VI) Copies of reports submitted to the State
				Insurance Fund that are the basis for premium calculations.
(VII) Copies of monthly computer printouts
				from the Office of State Finance.
(VIII) Records used to transmit each
				employee's monthly and supplemental payroll warrants and any applicable
				correspondence.
(IX) Records of
				claims by which the Department remits state employees' voluntary payroll
				deductions for supplemental insurance and retirement plans.
(ii) Prelists, copies of employee
				withholding data, payroll cancellation information, and other documents used to
				compile agency payroll shall be retained in office until superseded then
				retained or destroyed at the discretion of the Commissioner.
(iii) Records pertaining to deductions from
				employee salaries and wages for the purchase of U.S. Savings Bonds shall be
				retained in office for seven (7) years then retained or destroyed at the
				discretion of the Commissioner provided no legal action is pending. If legal
				action involving the records is pending, the records shall be retained until
				the exhaustion of all legal remedies, then retained or destroyed at the
				discretion of the Commissioner.
(iv) Cumulative monthly computer printouts
				from the Office of State Finance showing the gross pay, deductions and net pay
				on a calendar year basis shall be retained as follows:
(I) All monthly reports shall be retained in
				office until no longer needed for administrative purposes then retained or
				destroyed at the discretion of the Commissioner.
(II) All calendar year end reports shall be
				retained for two (2) years then retained or destroyed at the discretion of the
				Commissioner.
(K)
Requests for certification
				records.
Copies of requests submitted to the Office of Personnel
				Management for lists of qualified applicants for Merit System Positions shall
				be retained in office until two (2) years after the making of the records or
				the personnel action involved, whichever occurred later.
(L)
Office of Personnel Management
				correspondence.
Incoming letters and copies of outgoing responses to the
				Office of Personnel Management shall be reviewed on an annual basis. Duplicate
				and ancillary records as well as substantive records two (2) years old or more
				shall then retained or destroyed at the discretion of the
				Commissioner.
(M)
Reduction
				in force plans.
Copies of plans filed with the Office of Personnel
				Management outlining how the agencies will proceed in the event of an ordered
				reduction in force shall be retained in office until superseded by new plan
				then retained or destroyed at the discretion of the Commissioner one (1) year
				after all audits have been completed and all applicable audit reports have been
				accepted and resolved by all applicable federal and state.
(N)
Affirmative action records.
Records pertaining to agency affirmative action policies, including but not
				limited to, all information received and sent regarding the Affirmative Action
				Plan, EEO reports, and directives from the Governor or Affirmative Action Plan
				Coordinator for the State, as well as annual reports, semiannual reports, and
				progress reports pertaining to agency affirmative action plan and policies and
				procedures implemented to insure that hirings, promotions, and terminations are
				carried out in full compliance with all applicable laws and rules and
				regulations shall be retained in office until superseded by subsequent plan
				then retained for three (3) years after all audits have been completed and all
				applicable audit reports have been accepted and resolved by all applicable
				federal and state agencies.
(O)
Agency promotional plans.
Copies of required plans submitted to
				the Office of Personnel Management shall be retained in office until superseded
				by subsequent plan, then retained in office for three (3) years after all
				audits have been completed and all applicable audit reports have been accepted
				and resolved by all applicable federal and state agencies.
(P)
Salary administration plan.
The Salary Administration Plan for positions used by the Department shall be
				retained in office for three (3) years provided all audits have been completed
				and all applicable audit reports have been accepted and resolved by all
				applicable federal and state agencies.
(Q)
Current employee rosters.
A
				roster of employees shall be retained in the office until superseded by a
				subsequent roster then retained or destroyed at the discretion of the
				Commissioner.
(R)
Unemployment compensation claims records.
Copies of unemployment
				compensation claim forms, correspondence, and supporting documentation relating
				to claims, appeals, and decisions for unemployment compensation shall be
				retained in office for two (2) years.
(S)
Worker's Compensation quarterly
				report.
Quarterly reports received from the State Insurance Fund
				pertaining to workers' compensation insurance coverage of agency personnel and
				related correspondence shall be retained in office for two (2) years.
(T)
Worker's Compensation accident
				records.
Copies of Form 2, Form 3, Form 4, Form 5, Form 6, Form 7, Form
				19, and other forms filed with the Worker's Compensation Court shall be
				retained in office in hard copy paper form until the employee leaves the
				Department plus ten (10) years.
(U)
Job descriptions - merit.
Copies of Office of Personnel Management
				job descriptions for various classified positions shall be retained in office
				or in permanent storage.
(V)
Job descriptions- non-merit.
Copies of present job descriptions
				for non-merit positions shall be kept permanently in office. A copy of all
				changes/updates to such job descriptions shall be kept permanently in office or
				in permanent storage.
(W)
Grievance procedures records.
Copies of records concerning the
				resolution of employee grievances submitted to the Office of Personnel
				Management shall be retained in office until the subject employee leaves the
				Department plus ten (10) years.
(X)
Merit Protection Commission or Civil Service Division cases.
Copies of materials relating to hearings or appeal requests under investigation
				by the Merit Protection Commission or Civil Service Division for alleged
				violations of the Oklahoma Personnel Act shall be retained in office until the
				subject employee leaves the Department plus ten (10) years.
(Y)
Equal Employment Opportunity
				Commission complaint records.
Copies of material relating to charges of
				discrimination or harassment filed with the Equal Employment Opportunity
				Commission against the Department shall be retained in office until the subject
				employee leaves the Department plus ten (10) years.
(Z)
Access badges.
Access badges
				to certain work areas, storage areas, or other areas where access is restricted
				shall be retained or destroyed at the discretion of the Commissioner upon
				resignation, retirement, or termination of employment of the
				employee.
(AA)
Benefit
				information.
Copies of records relating to benefits available to state
				employees shall be retained in office for one (1) year after superseded by
				subsequent information.
(BB)
Position description questionnaire.
Copies of OPM Form 39,
				(Position Description Questionnaire) used to describe each position within the
				Department and for possible reclassification shall be retained in office for
				one (1) year after being superseded by subsequent.
(CC)
Garnishment records.
Copies
				of salary records filed with county clerks pursuant to a garnishment shall be
				retained in office for one (1) year after notification by the court of payment
				of obligation or release of payment of obligation.
(DD)
Internal Revenue Service levies
				records.
Orders issued by the Internal Revenue Service requiring
				deductions from employee salaries for the payment of taxes owed to the federal
				government shall be retained in office for one (1) year after notification of
				payment of obligation and final release of payment of obligation.
(EE)
Department of Justice Immigration
				and Naturalization Service form I-9.
Department of Justice Immigration
				and Naturalization Service Form I-9 (Employment Eligibility Verification) and
				supporting documentation shall be retained in office for one year after the
				person is no longer employed by the Department provided the records are at
				least three (3) years old.
(FF)
Work activity sheets.
Weekly timesheets, timecards, or equivalent
				which may be signed by the employee and his/her immediate supervisor indicating
				actual hours worked, leave status hours, and total hours for the week shall be
				retained in office for three (3) years provided all audits have been completed
				and all applicable audit reports have been accepted and resolved by all
				applicable federal and state agencies.
(GG)
Selection procedure and
				recruitment records.
Records pertaining to internal recruitment to fill
				position vacancies within the Department including but not limited to, position
				vacancy announcements; position descriptions; salary and benefits information;
				applications; supporting documentation including resumes, transcripts, and
				letters of recommendation; interview notes; correspondence with applicants and
				other materials relating to internal recruitment to fill position vacancies
				shall be retained in office for two (2) years after the position is
				filled.
(HH)
Employee
				mediation records.
Forms, incoming memoranda, copies of outgoing
				memoranda, and other records pertaining to the resolution of employee mediation
				disputes shall be retained in office for five (5) years.
(II)
OSHA log and summary of
				occupational injuries and illnesses.
U.S. Department of Labor OSHA Form
				No. 200 or equivalent maintained as a log and summary record of "recordable"
				injuries as defined in 29 CFR, '1904.1,
et seq.
,shall be
				retained in office for five (5) years "following the end of the year to which
				they relate" (29 CFR, §
												1904.6).
(JJ)
OSHA supplementary record.
U.S. Department of Labor OSHA Form No. 101 or equivalent maintained to record
				supplementary information about "recordable" injuries and illnesses as defined
				in 29 CFR, §
												1904.1,
et seq.,
shall be
				retained in office for five (5) years "following the end of the year to which
				they relate" (29 CFR, §
												1904.6).
(KK)
Oklahoma log of summary of
				occupational injuries and illnesses.
Oklahoma Department of Labor Form
				OK No. 200 or equivalent maintained as a log and summary record of occupational
				injuries and illnesses as required by the Rules and Regulations of the Oklahoma
				Department of Labor shall be retained in office for five (5) years following
				the year to which they.
(LL)
Personnel transaction freeze exception request.
Records submitted
				with a Request for Personnel Action form to the Office of Personnel Management
				by an agency requesting that a job be filled despite a mandated freeze on jobs
				shall be retained in office one (1) year after all audits have been completed
				and all applicable audit reports have been accepted and resolved by all
				applicable federal and state agencies.
(MM)
Other personnel records.
Unless specifically provided otherwise by administrative rule, all other
				personnel records shall be retained in office for a period of five (5)
				years.