Oregon Administrative Rules › Chapter 166 - SECRETARY OF STATE, ARCHIVES DIVISION › Division 400 - EDUCATIONAL SERVICE DISTRICTS, SCHOOL DISTRICTS, AND INDIVIDUAL SCHOOL RECORDS › Section 166-400-0050 - Personnel Records

Current through Register Vol. 63, No. 7, July 1, 2024
(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.
Stat. Auth.: ORS 192 & 357, Other Auth. Code of Federal
							Regulations Title 34
Stats. Implemented: ORS 192 &
							357