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Human Resource Records
Introduction
woman filing
There are many Human Resource (HR) records that state agencies must maintain. HR ensures these records are in compliance with laws, rules, policies and collective bargaining agreements.  
 
If an agency is notified of a complaint or pending complaint, i.e. BOLI, notice of tort, etc, the agency may be compelled to immediately begin retention of all documentation surrounding the complaint, to include all pertinent electronic documents such as e-mails, memos, etc. of the complainant and similarly situated employees. A consultation with DOJ Labor and Employment Section is recommended.
 
Records are kept in several different files, depending on statute, policy or Collective Bargaining Agreement (CBA). Appropriate and inappropriate content of personnel files is addressed in State HR Policy 10.011.01  Employee Personnel Records.
 
Purging schedules follow OAR 166-300-0010—166-300-0045 State Archives General Records Retention Schedules. The personnel records schedule is in section 166-300-0040.
 
Some Collective Bargaining Agreements affect the retention schedule of some documents.
 
To request a file for an employee who transferred from another agency, go to the File Request Form. Ensure any confidential materials are sent in compliance with DAS State Policy 107-004-100 Transporting Information Assets.
 

 
Personnel File
The official personnel file is the official record of each employee that is established and maintained by an appointing authority to include documentation of appointment and each temporary or permanent change in employee status. An employee may view their personnel file with notice to the employer. Each record in the personnel file will have a different purging schedule depending on the type of document. Generally, the personnel file contains the following records:
  • First successful (initial application)        
  • Application for current position
  • Personnel actions (PA)              
  • Performance evaluations
  • Summary of record of training
  • Oaths of Office
  • Letters and notice of disciplinary action
  • Notices of layoff
  • Documentation of resignation                    
  • Emergency notification form
  • Letters of commendation and recommendation 
  • Employee agreements (such as appointment letters, job rotation agreements, developmental assignments)
  • Employee’s written explanation or response regarding critical information contained in the file that the employee believes to be incorrect or a misrepresentation of facts.
Many records must be kept by an agency that are not maintained in the employee’s personnel file. These records include but are not limited to those listed below.
 
For other files such as criminal history files, see the applicable statute or rule. Contact DOJ Labor and Employment at 503-947-4600 for retention schedules of complaint or law suit-related files.

 
EEO Self-Identification Forms
The state is subject to certain nondiscrimination and affirmative action recordkeeping and reporting requirements that require the state to invite employees to voluntarily self-identify their race or ethnicity. Refusal to provide it will not subject the employee to adverse treatment. The information is confidential and may only be used in accordance federal law, executive order and regulations, including those that require the information be summarized and reported to the federal government for civil enforcement purposes.
 
If an employee chooses not to self-identify their race or ethnicity, the federal government requires the state to determine this information by visual survey or by other available information.
 
The agency Human Resource (HR) section is generally responsible for obtaining and retaining an EEO Self Identification Form  from an employee upon hire.  An agency may choose to have a supervisor collect this information.  HR should ensure all requirements are met. 
 
Employment Eligibility Forms

All employers in the United States are responsible for completion and retention of the Employment Eligibility Verification Form I-9 (Form I-9) for each individual they hire for employment in the United States. This includes citizens and noncitizens. On the form, the employer must verify the employment eligibility and identity documents presented by the employee and record the document information on the Form I-9. The Form I-9 contains the list of acceptable documents. 
  
A Form I-9 must be completed for all employees, board or commission members (if remuneration is received), and state temporary employees.  Newly hired employees must complete and sign Section 1 of Form I-9 no later than the first day of employment.  The agency authorized representative must complete Section 2 by examining evidence of identity and employment authorization within 3 business days of the employee's first day of employment.  The Agency HR section is responsible for obtaining Form I-9 information from the employee.  However, an agency may assign this responsibility to the supervisor, but HR must ensure requirements are met.

 
In order to keep records readily accessible, all employees must complete a Form I-9 at the time of hire or transfer to another state agency, board or commission. 
 
Temporary agencies such as Qualified Rehabilitation Facilities (QRFs) are required to maintain a Form I-9 on all people they employ and place with the state in a temporary capacity.
 
An agency must use the correct Form I-9 and follow directions exactly. 
 
Form I-9 must be made available upon request to an authorized official of the US Citizenship and Immigration Services (USCIS), (formerly known as the Bureau of Immigration and Customs Enforcement), the Department of Labor, and the Justice Department’s Office of Special Counsel for Unfair Immigration-Related Employment Practices. 
 
The purge date is one year after separation for individuals employed more than three years.  If an individual is employed less than three years, the Form I-9 must be kept for three years minimum, including one year after separation.   
 
Do not make copies of the completed Form I-9 or identification.

 
Training Records
Records of training provided to employees must be maintained. Records may include: schedule and description of classes, attendees, scores, results or evaluations, and training signature sheets.  An agency may choose to keep individual training records in the employee’s personnel file or in a training file on site.  In the event the agency is involved in litigation or other legal matters regarding employees or former employees, an agency may be required to keep the training records of the employee involved and similarly situated employees for an indefinite period of time. Otherwise, follow the Archives Retention Schedule, OAR 166-300-0040
 
Many agencies keep their training records in iLearnOregon. iLearnOregon maintains all historical training related activity for users in the form of an electronic transcript. Transcripts can be accessed by the user and respective manager at any time. If an employee transfers to another state agency, their transcript will follow that provides a comprehensive view of the employees training activity throughout state service.
 
For more information, please visit the iLearnOregon website. 

 
Medical Records
Types of documents contained in a medical file are: requests for medical leave, Family and Medical Leave; correspondence from the agency (such as approvals, denials, requests for medical certification, etc); information received from medical providers such as medical certifications; communication with medical providers for ADA purposes; and work restrictions and releases. Items for a Workers’ Compensation claim are kept in a separate file. If a workers’ compensation claim is also qualifying under Federal Family and Medical Leave, copies are kept in both files.
 
The purging schedule is outlined in OAR 166-300-0010—166-300-0045, State Archives General Records Retention Schedules.
 
Files containing medical records must be kept in a secure and separate location from personnel records as required by the Americans with Disabilities Act.

 
Workers' Compensation Records
Injured employee
Once a Workers’ Compensation claim is filed it becomes open to review by legal counsel, etc. Any documentation from the Workers’ Compensation file that is used to determine Federal Family Medical Leave should be copied and placed in the medical file. 
 
Generally, the workers’ compensation file contains the following:
 
Injury Report (WCD Form 801), including:
  • notice of claim acceptance or denial
  • determination orders
  • medical reports
  • notice of closures
  • Workers’ Compensation Board hearing transcripts
  • employer’s payroll reports
  • claim disposition agreement documents
  • Board Orders
  • agency investigation reports for claim
  • appeal letters
  • Vocational Rehabilitation records
  • legal documents
  • other correspondence
Incident Report, including:
  • investigation reports
  • completed forms
  • related documentation and correspondence
  • release(s) to return to work
  • job description forms
  • job analysis forms
  • doctor’s notes
  • emergency room follow-up forms
  • 827 copies
  • bonafide job offers
Records pertaining to an actual or potential workers’ compensation claim are kept in a file separate from the medical or personnel file.
 
Follow the Archives Retention Schedule, OAR 166-300-045, for SAIF and Workers’ Compensation.

 
Supervisor Information
people writing
A supervisor’s records may be kept in an optional file maintained at the supervisor’s worksite. This file may contain duplicates of items from other files such as the position description and the performance evaluation. It may contain notations of meetings the supervisor has held with the employee or a collection of information used in preparation for the performance evaluation. Form I-9 and EEOC documents are not kept in the supervisor’s working file, nor is medical information except Family and Medical Leave notification letters or a brief notation of any current workplace restrictions and dates of expected absence. Generally, an employee may view portions of the supervisor file concerning them, after giving notice.  The supervisor file follows the same retention schedule as the personnel file.

 
Recruitment & Interviewing
State HR Policy 40.010.01  Recruitment and Selection Record Retention outlines the recruitment information that is kept on file and the retention schedule for each document. The Archives General Records Retention Schedules, 166-300-040(19), offers additional information about purging timeframes.

 
Grievance & Investigation Info
Investigation files resulting from complaints such as harassment or discrimination, or allegations of violation of law, policy, procedures, supervisor directives, etc., are maintained in a separate file from the personnel and supervisor files. These are situations where discipline could result. Contents of an investigation file usually include the complaint (if applicable), investigatory notes, evidence and the conclusion or response.
 
Generally, all or part of this file may be discoverable. An agency should consult with the DOJ, Labor and Employment Section, for guidance on releasing investigation notes or the file. The phone number for DOJ is 503-947-4600.
 
Commonly, investigation documents are purged after 3 years or less per Collective Bargaining Agreement or other formal agreement.

 
Position History & Description
Each position has a history that is kept in a separate file from the personnel file. If a position description (PD) is included in the personnel file, it should be a copy.
 
A position history file generally contains the following:
  • establishment of the position
  • original position description
  • changes to the PD, including new incumbent changes made to the position itself
  • organizational charts
  • classification specifications
  • desk audits
  • salary surveys
  • classification review reports
  • correspondence
  • reclassification records that document studies and evaluations of individual positions or classes to determine if reclassification is appropriate
The Archive Retention Schedule of position history documentation  is OAR 166-300-0040 (17).

Note:  If an employee transfers to another state agency, this file remains at the agency.