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Oregon Bulletin

December 1, 2012

Secretary of State, Archives Division, Chapter 166

Rule Caption: Amends records retention rules for state agencies; political subdivisions; primary, secondary and higher education institutions.

Adm. Order No.: OSA 3-2012

Filed with Sec. of State: 10-29-2012

Certified to be Effective: 10-29-12

Notice Publication Date: 9-1-2012

Rules Amended: 166-150-0005, 166-150-0035, 166-150-0050, 166-150-0085, 166-150-0110, 166-150-0115, 166-150-0120, 166-150-0135, 166-150-0165, 166-150-0175, 166-150-0185, 166-150-0200, 166-200-0010, 166-200-0050, 166-200-0055, 166-200-0075, 166-200-0095, 166-200-0100, 166-200-0110, 166-200-0130, 166-200-0140, 166-300-0015, 166-300-0025, 166-300-0035, 166-300-0040, 166-400-0010, 166-400-0025, 166-400-0040, 166-450-0005, 166-450-0020, 166-450-0050, 166-475-0010, 166-475-0050

Subject: Amendment updates the public records retention requirements for state agencies, political subdivisions, and educational administration (schools, school districts, educational service districts, community colleges, higher education), addressing the production of new types of public records being produced by government agencies; changes in state statutes lengthening the business need for certain public records; changes in industry standards abbreviating the business need for certain public records; changes in terminology regarding technology used to produce and maintain certain public records; and clarification of existing rule language to more accurately address the retention and disposition of certain public records, pursuant to the legal, fiscal, administrative, and historical need for the records identified by public agency staff, hearing officer, and advisory committee.

Rules Coordinator: Julie Yamaka—(503) 378-5199

166-150-0005

Administrative Records

Note: Inclusion of a record series in this schedule does not require the series to be created. If a record is created electronically, it can be retained in electronic format only as long as the retention period is 99 years or less.

(1) Activity and Room Scheduling Records Records documenting scheduling and reservations related to public participation and use of various agency activities, events, classes and facilities. Includes schedules, logs, lists, requests, and similar records. (Minimum retention: 1 year)

(2) Activity Reports, General Daily, weekly, monthly, or similar reports documenting the activities of employees. Useful for compiling annual reports, planning and budgeting, monitoring work progress and other purposes. Usually tracks type of activity, employees and/or volunteers involved, time spent on activity, work completed, and related information in narrative or statistical form. (Minimum retention: 2 years)

(3) Advertising and Promotion Records (Non-State Fair) Series is used to prepare and produce promotional materials, and to document promotions, advertising campaigns, marketing initiatives and public relations efforts. Records may include event programs and schedules, passes, newsletters, news clippings, paste-ups, drawings, copies of ads, photographs, slides, videotapes, sound recordings, story scripts, posters, brochures, flyers, and correspondence. (Minimum retention: 2 years)

(4) Annual Reports Reports documenting the program or primary functional activities and accomplishments of the office for the previous year. These are often compiled from monthly, quarterly, or other subsidiary activity reports. Usually includes statistics, narratives, graphs, diagrams, and similar information. (Minimum retention: Permanent)

(5) Audit Records, Internal Records document the examination of the agency’s fiscal condition, internal control, and compliance policies and procedures. Records may also document performance or other financially related audits by agency or contracted auditors. Records may include audit reports, supporting documentation, comments, and correspondence. (Minimum retention: 10 years)

(6) Calendars and Scheduling Records Records document planning, scheduling, and similar actions related to meetings, appointments, trips, visits and other activities. Includes calendars, appointment books, notes, telephone messages, diaries, and similar records, regardless of format. Depending on content, some telephone messages and similar records may merit inclusion in related program or project files. This applies to records that contain significant information that is not summarized or otherwise included in reports or similar documents. Calendar and Scheduling information recorded in a personal day planner or personal electronic device may be a public record under ORS Chapter 192. (Minimum retention: 1 year)

(7) Citizen Awards Awards presented by the agency to honor volunteers for civic contributions. May include award nominations, award certificates, presentation or ceremony records and photographs, lists of past recipients, and related records. Some records in this series may have historic value. For appraisal assistance contact the Oregon State Archives. (Minimum retention: 6 years)

(8) Communication Logs Logs document communications made or received through a variety of electronic devices, including but not limited to telephone, smart phone, facsimile (fax), radio, computer-aided dispatch, pager, and teletype, AND are not otherwise specified in this general records retention schedule (OAR 166 Division 150). Logged information may include time, date and disposition of communication, name of caller, number called or received, and action taken. SEE ALSO Correspondence in this section. (Minimum retention: 1 year)

(9) Contracts, Leases, and Agreements* Documents the duly executed and binding contractual agreements between the agency and other parties. May include contracts, exhibits, bid documents, change orders, proposals, and significant related correspondence. Types of contracts include purchase of equipment and supplies, interagency, personal service, capital construction (documenting building construction, alterations, or repair), grant funding, and others. Information in contracts usually includes contract number, certificate of required insurance, dates, terms, parties involved, period covered, and signatures. (Minimum retention: (a) Construction contract records: 10 years after substantial completion, as defined by ORS 12.135(3) (b) Collective bargaining con-tract records: Permanent (c) Other contracts, leases and agreements: 6 years after expiration) Caution: Agencies who enter into contracts with the federal government must ensure that their contracts and agreements meet federal requirements specified in the Code of Federal Regulations.

(10) Correspondence Records that: 1. document communications created or received by an agency AND 2. directly relate to an agency program or agency administration AND 3. are not otherwise specified in the County and Special District General Records Retention Schedule (OAR 166-150) or in ORS 192.170. Records may include but are not limited to letters, memoranda, notes and electronic messages that communicate formal approvals, directions for action, and information about contracts, purchases, grants, personnel and particular projects or programs. (Disposition: File with the associated program or administrative records. Retentions for county and special district records are found in the County and Special District General Records Retention Schedule. Communications not meeting the above criteria do not need to be filed and may be retained as needed.)

(11) Fax Reports Records document facsimile transactions of the agency. Reports may also be used for billing purposes. Information includes date and time fax transmitted or received and recipient/sender’s fax number. (Minimum retention: (a) Retain if used for billing: 3 years (b) Retain all other reports: 1 year)

(12) Intergovernmental Agreements* Agreements entered in-to by the agency with the state, school districts, service districts, cities, or other governmental units. Often refers to consolidating departments, jointly providing administrative officers, and sharing facilities or equipment. Major agreements usually set funding responsibilities, fee apportionment, duration of agreement, rights to terminate agreement, and transfers of property, personnel, and employment benefits. Also includes intergovernmental agreements for common services, equipment, maintenance, etc. (Minimum retention: (a) Significant and historic agreements: Permanent (b) Other agreements: 6 years after expiration)

(13) Key and Keycard Records* Records document the issuance of keys and keycards to staff to enable access to buildings and sites. Records may include but are not limited to key inventories, key issue forms, key replacement records, and key disposal records. Minimum retention: (a) Retain access and entry logs 3 years (b) Retain other records 2 years after key is turned in)

(14) Legislative Tracking Records Series used to monitor legislation that may have an impact on an agency’s current operations or policies. Records include concept statements, proposals, bill logs, fiscal/organizational impact analysis papers, copies of bills, testimony summaries, committee reports, agendas, and correspondence. (Minimum retention: 2 years)

(15) Lobbyist Records Records document lobbyist and lobbyist employer activities and are used to report to these activities to the Oregon Government Ethics Commission. Records may include but are not limited to expenditure reports, registration statements, termination records, guidelines, and correspondence. (Minimum retention: (a) Retain expenditure reports 4 years (b) Retain all other records 5 years after last activity)

(16) Mailing Lists Lists compiled to facilitate billing, community outreach, and other functions of the agency. Information usually includes name of individual or group, address, name and title of contact person, phone number, comments, and similar data. (Minimum retention: Until superseded or obsolete)

(17) Meeting Records, Governing Body* Records documenting the proceedings of any regularly scheduled, special, executive session, or emergency meeting of any governing body, as described in Oregon’s Public Meetings Law (ORS 192.610 to 192.710), that is under agency jurisdiction. These typically consist of boards, commissions, advisory councils, task forces, and similar groups. Records may include minutes, agendas, exhibits, resolutions, staff reports, indexes, meeting packets, tape recordings, and related documentation and correspondence. SEE ALSO Meeting Records, Staff and Meeting Records, in this section and Board, Commission, and Committee in the County Court and Commissioners Records section. (Minimum retention: (a) Minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in county records): Permanent (b) Retain executive session minutes: 10 years (c) Audio or visual recordings: 1 year after minutes prepared and approved (d) Other records and exhibits not pertinent to minutes: 5 years)

(18) Meeting Records, Staff Records documenting meetings within government which are not subject to Oregon’s Public Meetings Law (ORS 192.610 to 192.710). These routine staff meetings deal with tasks and actions within existing policies and procedures. Records may include minutes, notes, reports, and related items. Some records may merit inclusion in other record series with longer retention periods if the subject matter of the meeting adds significant information to that series. (Minimum retention: 2 years)

(19) Mitigation Program Records* Records document the establishment and maintenance of the agency mitigation programs, plans, and procedures. Records may include mitigation plans and strategies, policies, procedures, seismic surveys and structural upgrade records of agency facilities, project reports, hazard mitigation grant records, and related documentation, which may include capital improvement records. SEE ALSO the Emergency Management section. (Minimum retention: (a) Adopted plans: Permanent (b) Other records: for the life of the structure)

(20) News/Press Releases Prepared statements, announcements, news conference transcripts, and similar records issued to the news media. Subjects include the adoption of new programs, termination of old programs, policy shifts, changes in the status of elected officials or senior administrative personnel, and others. Also may include news releases announcing routine events or actions carried out within the scope of existing policies. (Minimum retention: (a) Policy and historic news/press releases: Permanent (b) Routine news/press releases: 2 years)

(21) Notary Public Log Books Records documenting notarial transactions completed by a notary public and employed by a government agency. Agencies may retain logbooks by agreement with the notary after their separation from employment. Agencies retaining notary public log books without notary agreements should consult their legal counsel and/or the Secretary of State, Corporation Division for retention instruction. (Minimum retention: 7 years after date of commission expiration)

(22) Organizational Records Records documenting the arrangement and administrative structure of an agency. Includes charts, statements, studies, and similar records. May also include studies to determine the merit and feasibility of reorganization plans, as well as other major studies related to the administrative hierarchy. (Minimum retention: 2 years after superseded)

(23) Passport Transmittal Records Records document the processing of passport applications. May include but is not limited to calendars, copies of transmittals sent to the United States Passport Office. Information includes daily and weekly totals of passports processed, applicants’ names, amount paid, and departure date. (Minimum retention: 1 year)

(24) Permit and License Records, Agency-Issued* Records documenting agency review, background investigations, recommendations and other actions related to permits and licenses issued for various activities not specified elsewhere in this general schedule. Permits may include but are not limited to those for taxi cab drivers, dances, parades, rocket launching, second hand dealers, alarm system dealers, liquor licenses, keeping livestock, and solicitors. Usually includes applications, background investigation reports, permits, licenses, and related records. (If a specific permitting function is included in another records series under a program or functional area such as public works or law enforcement in this general schedule, the retention period specified in that program or functional area supersedes the retention period listed in this series.) (Minimum retention: (a) Retain fee permits of license records: 3 years after expiration, revocation, or denial (b) Retain free permits or license records: 2 years after expiration, revocation, or denial)

(25) Planning Records Series documents long-range plans and the development of an agency’s mission statement and work objectives. Records include strategic plans, mission statements, preliminary drafts, work notes, and related correspondence. (Minimum retention: (a) Mission Statements and plans: 20 years (b) Other records: 5 years)

(26) Policy and Procedure Guidelines and Manuals* Written instructions, rules, and guidelines in manual form documenting current and past authorized agency policies and procedures. Used for new employee orientation and for ongoing reference. Also useful in establishing past policies or procedures in liability cases, personnel disputes, and other instances. Includes manuals documenting the procedures of departments with higher risk or exposure to liability such as police, fire, emergency medical services, public works, etc. This series also includes routine documentation and basic clerical instructional procedures covering such subjects as formatting letters, data entry, telephone etiquette, and others. Information often includes policy and procedure numbers, revision dates, subject identification, narrative description, authorization information, and effective date. The minimum retention periods refer only to agency-generated manuals. Manuals from other sources should be retained as needed or as mandated by a specific regulating body (federal or state agency, etc.), usually until superseded or obsolete. SEE ALSO Policy Statements and Directives; and Correspondence, Policy and Historical in this section. SEE ALSO Technical Manuals, Specifications, and Warranties in the Public Works-Operations and Maintenance section for published technical manuals and related materials. (Minimum retention: (a) Routine clerical manuals: 2 years after superseded or obsolete (b) Manuals relating to specific construction and/or engineering projects: 10 years after substantial completion, as defined by ORS 12.135(3) (c) One copy of all other manuals: Permanent)

(27) Policy Statements and Directives* Series documents review, assessment, development, and authorization of an agency’s formal policies and procedures that have been approved by a governing body. Records may include authorizing bulletins and advisories, mission and goal statements, manuals, and final policy statements and directives. Information often includes policy and procedure numbers, revision dates, subject identification, narrative description, authorization information, and effective date. SEE ALSO Policy and Procedure Guidelines and Manuals in this section. (Minimum retention: 20 years after superseded or obsolete)

(28) Polygraph Examiners Licensing Records Documents statutory requirement that each polygraph examiner shall register with the County Clerk and that the Clerk shall maintain a list of examiners. Includes name of examiner and business address. (Minimum retention: 60 years)

(29) Postal Records Records documenting transactions with the U.S. Postal Service and private carriers. Includes postage meter records, receipts for registered and certified mail, insured mail, special delivery receipts and forms, loss reports, and related items. (Minimum retention: 3 years)

(30) Professional Membership Records Records documenting institutional or agency-paid individual memberships and activities in professional organizations. (Minimum retention: 3 years)

(31) Program Accreditation Records Records document the evaluation, certification, and accreditation of an agency program by a nationally or regionally recognized accrediting organization AND are not otherwise specified in this general records retention schedule (OAR 166 Division 150). Records may include but are not limited to self-evaluation reports; reports sent to accrediting organization; statistical data; evaluation reports; final accreditation reports and certifications; and related documentation and correspondence. Some records in this series may have historic value. SEE ALSO Professional Membership Records in this section. (Minimum retention: Retain current and one previous accreditation cycle, destroy)

(32) Public Notice Records* Records documenting compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, and others. Records include public or legal notices, certificates, affidavits of publication, and similar documents. SEE ALSO Competitive Bid Records in the Financial section for public notices related to bid openings and awards. (Minimum retention: 3 years)

(33) Publications Published records produced by or for the agency or any of its departments or programs and made available to the public. Includes newsletters, pamphlets, brochures, leaflets, reports, studies, proposals, and similar published records. Does not include publications received from federal, state, private, or other sources -- these publications and extra copies of agency-produced publications should be retained as needed. (Minimum retention: (a) Policy and historic publications: Permanent (b) All others: Until superseded or obsolete)

(34) Reports and Studies Records document special reports or studies conducted on non-fiscal aspects of an agency’s programs, services, or projects, compiled by agency personnel, or by consultants under contract that are not noted elsewhere in this schedule. Includes final report distributed either internally or to other entities and the work papers used to compile the report or study. (Minimum retention: 5 years)

(35) Requests and Complaints Records documenting complaints or requests concerning a variety of agency responsibilities not specified elsewhere in this general schedule. Information often includes name, phone number, and address of person making request or complaint, narration of request or complaint, name of person responding to request or complaint, dates of related activities, and other data. (If a specific request or complaint is listed in another records series under a functional area such as law enforcement in this general schedule, the retention period specified in that functional area supersedes the retention period listed in this series.) SEE ALSO Correspondence, General in this section for routine requests for information or publications and Liability Claims Records in the Risk Management section. (Minimum retention: 2 years after last action)

(36) Resolutions* Formal statements of decisions or expressions of opinions adopted by the agency. Information includes date, number, and text. SEE ALSO Meeting Records, Governing Body in the County Court and County Commissioners Records section. (Minimum retention: Permanent)

(37) Routing and Job Control Records Records used to control the routine flow of documents and other items and actions in and between offices in the agency. Includes routing slips, job control records, status cards, receipts for records charged-out, batch slips, and similar records. (Minimum retention: 1 year)

(38) Security Records* Series documents security provided for agency buildings and grounds. Records include surveillance records, security logs, sign-in sheets, security reports, incident reports, and related records. SEE ALSO Fire and Security Alarm System Records in the Fire and Emergency Medical Services section; Computer System Security Records in the Information and Records Management section; or Alarm Records and Surveillance Tapes in the Law Enforcement section. (Minimum retention: 2 years)

(39) Seminar and Conference Records, Agency-Sponsored Records documenting the design and implementation of agency sponsored seminars, conferences, workshops, conventions, and similar gatherings. Often includes class descriptions, instructional materials, course outlines, enrollment and attendance records, reports, speeches, planning documentation, and related records. For records documenting registration billings and related fiscal actions, see the Financial Records section. (Minimum retention: (a) Significant program records: 5 years (b) Class enrollment and attendance records: 2 years (c) Other records: 1 year)

(40) Seminar and Conference Records, Non-Agency Sponsored Records documenting activities of seminars, conferences, workshops, conventions, and similar gatherings not sponsored by the agency but attended by agency officials or personnel. May include staff reports, instructional materials, recommendations, related correspondence and memoranda, and similar records. (Minimum retention: 2 years)

(41) Special District Charters* Constitution, bylaws, and all amendments to agency charters approved by voters or the State Legislature. Generally includes original charter, amendments, and related significant records. (Minimum retention: Permanent)

(42) Special District Codes* Codified ordinances passed by a special district. Provides reference to all laws for both information and enforcement. Information may include ordinance numbers, amending ordinance numbers, code numbers, and text. (Minimum retention: Permanent)

(43) Special District Ordinances* Legislative action of a special district to regulate, require, prohibit, govern, control, or supervise any activity, business, conduct, or condition authorized by Oregon Revised Statutes. Ordinances typically include a title, preamble, ordaining clause, subject clause, penalty for violation (when applicable), effective date, authorizing signature and seal. May also include indexes calendars, and documentation presented to support action. (Minimum retention: Permanent)

(44) Special Event and Celebration Records Records documenting agency-sponsored celebrations of special and historic occasions such as centennials, pioneer days, and similar events. Provides a record of planning and promotional efforts, public attendance and response, major speeches and dedications, and other significant aspects of the celebration. These significant records may include studies, publications, photographs, attendance summaries, final reports, and other significant documents. This series also includes routine documentation related to implementing the promotion and organization of the event. These often include lists, rosters, correspondence, memoranda, volunteer information, and related records. Records may also include scrapbooks, but does not include news clippings. News clippings are not public records and may be discarded. (Minimum retention: (a) Records documenting significant aspects of the event: Permanent (b) Other records: 2 years after event)

(45) Surveys, Polls, and Questionnaires Records documenting the measurement of public opinion by or for the agency related to various issues, actions, and concerns. May include surveys, polls, questionnaires, summaries, abstracts and significant related records. Examples of summaries include studies which incorporate the significant results of public opinion surveys, abstracts of questionnaires designed to determine the skills and interests of citizens volunteering for agency service, and other records which distill survey data into summary form. (Minimum retention: (a) Summary reports and abstracts: 3 years (b) Other records: Until summary report is completed or 3 years, whichever is sooner)

(46) Visitor Logs Records document visitors to county buildings. Records name include visitors’ names, visitor badges issued, and entrance and exit times. (Minimum retention: 1 year)

(47) Work Orders Records documenting requests and authorizations, according to existing contracts or agreements, for needed services and repairs to agency property and equipment. May include copy center work orders, printing orders, telephone service and installation requests, repair authorizations, and similar records. (Minimum retention: (a) Retain work completed by county personnel: 1 year (b) Retain work completed by outside vendors: 3 years)

(48) Work Schedules and Assignments Records documenting the scheduling and assigning of shifts, tasks, projects, or other work to agency employees. Useful for budget and personnel planning and review, assessing employee work performance, and other purposes. May include calendars, schedules, lists, charts, rosters, and related records. (Minimum retention: 5 years)

(49) Year 2000 (Y2K) Planning Records Records document the planning and development of agency Y2K contingency plans. Records may include but are not limited to meeting minutes, correspondence, draft plans, work notes, plan test results, and final plan. Information includes type of systems vulnerable to Y2K, level of priority, and party responsible for system solution or troubleshooting. (Minimum retention: Destroy)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 2-2005, f. & cert. ef. 5-10-05; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0035

County Clerk — Elections

(1) Absentee Ballot Requests Used to enter a citizen’s request for a ballot to be sent to them for the purpose of voting, without going to their designated polling place, or to change their current status as an absentee voter. Information includes voter name, address of residence, mailing address, and witness signature for illiterates making their mark. (Minimum retention: 1 year.)

(2) Abstract of Votes (Record of Elections) Documents election results for General, Primary, Emergency, and Special Elections. Information includes candidate name/ballot title, precinct name, total votes per candidate/ballot title, total per precinct, under/over votes, and certification by County Clerk or election official. (Minimum retention: Permanent.)

(3) Ballots Documents ballots and stubs of ballots of voters who voted in Primary, General, Emergency, and Special District elections. Includes ballots cast at polls, by vote-by-mail, or by absentee request. Used to register and count votes. Information contains numbers that correspond to a candidate or “yes” or “no” on an issue. May also include written challenge statements and replacement affidavits. (Minimum retention: (a) Special District and Emergency Election: 90 days after last date to contest election; (b) Primary and General Election: 2 years after last date to contest election.)

(4) Contribution and Expenditure Reports Documents contributions and expenditures by candidates or political action committees. Includes statement of organization, amount, source, and detail of expenditures. May also include receipts for expenditures. (Minimum retention: (a) Statement of Organization: Permanent; (b) All other records: 4 years after the date required to file update reports.)

(5) Election Filings Documents all necessary papers required to be filed by a candidate or governing body for primary, general, emergency, and special elections. May include petition of nomination, declaration of candidacy, certification of nomination, filing forms for county voters pamphlet, notice of measure election, and withdrawal of candidates. (Minimum retention: 4 years.)

(6) Election Preparation Records Used to prepare and administrate elections within each precinct in the county. Records may include such information as number of ballots going to each precinct, number and type of pages for each voting machine for each precinct, listing of issues and candidates by precinct order, guides to preparing voting machines, ballot layout records, and public certification test notice. Also may include guides to assist Election Board personnel in reconciling votes cast with eligible voters. (Minimum retention: 2 years.)

(7) Election Security Plan Records document the clerk’s compliance with ORS 254.074 in which they clearly outline, in writing, the county’s procedures for ensuring a secure elections process. Information in the plan includes but is not limited to a written security agreement entered into with any vendor handling ballots; security procedures for transporting ballots; security procedures at official places of deposit for ballots; security procedures for processing ballots; security procedures governing election observers; security procedures for ballots located in county elections work areas, buildings and storage areas; security procedures for vote tally systems, including computer access to vote tally systems; and postelection ballot security. These plans are required to be filed with the Secretary of State by the January 31 in each calendar year or one business day after any revision is made to the county elections security plan. (Minimum retention: 5 years.)

(8) Help America Vote Act Identification Records Records are used to verify the identity of a person registering to vote exists and their residence in the county they are attempting to register to vote in. Records include but are not limited to current and valid photo identification containing voter name and address, or a current copy of a utility bill, bank statement, government check, paycheck, or other government document that shows their name and address. The address listed must match the residence or mailing address submitted on their voter registration card. (Minimum retention: Retain until verified by county elections official.)

(9) Initiative, Referendum, and Recall Records Documents the initiative, referendum, and recall process by which voters propose laws and amendments to the State Constitution, refer an act of the Legislature or other governing body to a vote of the electorate, or recall a public official. Includes petitions, signature sheets, summaries of signature verification, text of proposed law, amendment, or response from public. (Minimum retention: (a) Signature sheets: 6 years after election if measure is approved; (b) Signature sheets if measure is not approved: 90 days after election or 90 days after deadline for sufficient signatures; (c) All other records: Permanent.)

(10) Legal Notices and Publications Documents required pre-election legal notices by the County Clerk. May include publication of ballot title, notice of election, sample ballot, and the county voters pamphlet. (Minimum retention: (a) County Voters Pamphlet (One copy): Permanent; (b) All other records: 4 years.)

(11) Poll Books Records issuance of ballot to eligible voter in an election. Includes name of elector, party affiliation, home address, ballot number, precinct number, and signature of voter. Cover includes number of voters casting ballots for the election and names, signatures, and oaths of Election Board members. May also include certificates of registration. (Minimum retention: (a) Records created prior to 1931: Permanent; (b) All other records: 2 years.)

(12) Registration List Authorizations Documents the request and authorization for transmittal of voter registration information to citizens. Record consists of request and authorization for list of electors for a particular political boundary. (Minimum retention: 2 years.)

(13) Secretary of State Reports Documents required reports to the Office of the Secretary of State summarizing election registration, participation, and costs. May include Special District Election Report, Election Equipment Amortization Worksheet, Average Ballots Cast Worksheet, Allocated Cost Worksheet, and Local Elections Billing Worksheet. (Minimum retention: 2 years.)

(14) Vote by Mail Records are used to prepare, administer and abstract elections conducted by mail. Records include counted, duplicated, rejected, and defective ballots; returned signed, nondeliverable, and secrecy envelopes; and other documents used to prepare, administer and abstract elections conducted by mail. (Minimum retention: (a) Retain counted, duplicated, rejected, and defective ballots 22 months after elections containing federal candidates and 90 days after the last day to contest the election for all other elections; (b) Retain returned signed envelopes 2 years after the election regardless of federal/nonfederal candidates; (c) Retain secrecy and nondeliverable envelopes 60 days after the last day to contest the election for all elections regardless of federal/nonfederal candidates; (d) Retain all other documents used to prepare, administer and abstract elections conducted by mail 2 years after the election to which they relate.)

(15) Voter Registration Records Documents registration or cancellation of registration of eligible voters. Voter Registration Cards include the following information: name, signature, mailing and residence address, previous registration information, if ever registered in Oregon, date (and place) of birth, (parents names, spouse name,) affirmation of citizenship, state residency, (telephone number) and political party. May also include records canceling or making inactive voter registration such as the notice of deceased list from Secretary of State, notice of change of address from Department of Motor Vehicles, U.S. Postal Service notice, and related correspondence. (Minimum retention: 2 years after cancelled.)

(16) Voters Pamphlet Records document the compilation, publication, and distribution of the County Voters’ Pamphlet for primary, general, and statewide special elections. The County Voters’ Pamphlet contains candidate statements, candidate photographs, ballot measure arguments, explanatory and fiscal impact statements of ballot measures, and other information to assist voters. (Minimum retention: (a) Retain 1 copy permanently; (b) Retain pamphlet preparation records: 4 years after election, destroy.)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005 - 192.170 & 357.805 - 357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 10-2009, f. & cert. ef. 12-23-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0050

County Fair Records

(1) Annual Fair Advertising and Promotion Records Series is used to prepare and produce promotional materials, and to document promotions, advertising campaigns and public relations efforts for the annual County Fair. Series also documents categories of exhibit competitions, entry requirements, and prizes offered for 4-H and Open Class exhibits. Records may include fair programs, exhibitor’s handbooks (premium books), schedules of events, passes, newsletters, news clippings, paste-ups, drawings, copies of ads, photographs, slides, videotapes, sound recordings, story scripts, posters, brochures, flyers, and correspondence. (Minimum retention: (a) Fair programs and exhibitor’s handbooks (premium books): Permanent (b) All other records: 2 years)

(2) Commercial Vendor Records Series documents vendor reservations for exhibit booth space at the County Fair. Records may include reservation forms, cash receipts, and exhibitor rosters. (Minimum retention: 4 years)

(3) Communications Equipment Licensing Records Series documents Federal Communications Commission (FCC) authorization for the County Fair to operate a radio station and use radio frequencies. Records include radio station applications and licenses, frequency coordination requests, vendor brochures, radio warranties, and correspondence. (Minimum retention: 1 year after permit expires)

(4) Exhibit Entry, Judging and Award Records Series documents all activities related to judging and awards for adult, 4-H and Future Farmers America (FFA), and open class County Fair exhibits. Records include press releases, entry forms, entrant rosters, judging sheets, award listings, brochures, booth duty schedules, questionnaires, photographs, news clippings, and correspondence. Records may also include receipts for fees received and awards paid. (Minimum retention: 4 years)

(5) Exit Polls and Post-Fair Survey Records Series is used to research and develop marketing and planning strategies. Records may include polls and surveys, objective statements, methodology documents, sampling variability, summaries, exit poll analysis, tables and graphs. (Minimum retention: 5 years)

(6) Fairgrounds Development Records Series documents the development of the County Fairgrounds and physical facilities. Records may include correspondence, drawings, blueprints, maps, permits, contracts, deeds, real estate appraisals, studies and reports, budget reports, long-range development plans, warranties, photographs, and correspondence. (Minimum retention: Permanent)

(7) First Aid Reports Series documents first aid treatment of fairgoers, employees, exhibitors, vendors or others, and may be used to report to the county or other parties. Series does not cover workers’ compensation claims and related records. The reports show report number, patient name, injury or illness, treatment description, date, time, and the name of the doctor, nurse or EMT. (Minimum retention: 2 years)

(8) Gambling Winnings Statements Series is used to report to Internal Revenue Service (IRS) gambling winners and amounts paid by the County Fair on horse racing bets. Records include statements (IRS W-2G) and transmittal forms (IRS 1096). (Minimum retention: 4 years)

(9) Miscellaneous Fairgrounds Event Files Series documents various events at the fairgrounds which are not documented in other record series. Records may include calendars of events, minor repair and construction projects records, security and law enforcement plans, camping regulations, minor personal injury or property damage reports, and correspondence. (Minimum retention: 6 years after event)

(10) Non-Fair Event Records Series documents planning and preparation for non-fair events at county fair facilities. Records include ticket distribution/sales, contracts and agreements, and other related records. (Minimum retention: 6 years after event occurs or is cancelled)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0085

County Museums and Historical Societies Records

(1) Annual Reports Series provides a record of the primary functional activities and accomplishments of the museum and historical society for the previous year. Reports may include narratives, statistics; graphs; diagrams; member lists; descriptions of programs; events and exhibits; and annual financial statements. (Minimum retention: Permanent)

(2) Board Member Personnel Records Series documents the appointment or election and subsequent personnel actions for board members. Records may include appointment letters, resumes, applications, personnel action forms, job descriptions, and employee data sheets. (Minimum retention: 10 years after final term expires)

(3) Board of Director’s Records Series documents the activities and decisions of the board responsible for governing museum and historical society operations or for advising its operations. Records may include minutes, agendas, tape recordings, and Board Committee records. Records may also include constitution and by-laws, intergovernmental agreements, organization charts, draft and approved budgets. (Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in agency records): Permanently (b) Retain audio or visual recordings: 1 year after minutes prepared and approved (c) Retain exhibits not pertinent to minutes: 5 years)

(4) Committee Records Series documents the activities, decisions, and reports of staff committees that oversee or advise programs or functions of the museum and historical society. Committees may include but are not limited to acquisitions, finance, membership, exhibits, education, and facility. Records may include committee agendas, minutes, proposed budgets, reports and correspondence. (Minimum retention: 10 years)

(5) Copyright and Reproduction Records Series provides a record of the activities, policies and procedures related to copyright ownership and reproduction of museum owned objects and publications, and of the museum’s use of items owned by other organizations. Series also documents agreements with other parties for private or commercial use, reproduction, publication and sale of written materials and photographs of museum owned objects and publications. Records may include reproduction, resale and publication policies and procedures, contracts and agreements, use restriction forms, photograph release forms, photographic service request forms, requests for permission to reproduce or publish photographs or documents, fee schedules, correspondence, and work orders for purchase of printed materials. (Minimum retention: (a) Fee schedules and work orders: 3 years (b) All other records: 5 years after superseded or expired)

(6) Development Program Records Series provides a record of administration of the museum and historical society development program. The development program raises funds and other resources for support of the organization and its programs through cultivation of individual, corporate, government and foundation support and special events. The program also develops, submits and reports on grants. Records may include publicity and promotion records, reports, budgets, grant records, fund raising event and project records, records of gifts in kind and financial donations, mailing lists, bulk mailing records, and correspondence. (Minimum retention: (a) Endowment records: 10 years after funds disbursed and account audited (b) All other records: 5 years)

(7) Director’s Records Series provides a record of the administrative activities of the museum director such as executive leadership of the organization, financial and personnel management, policy development, budget development and approval, public contact and lobbying. Records may include correspondence, memos, policies, statistical and narrative reports, draft budget data, and financial reports. (Minimum retention: 5 years)

(8) Exhibit Records Series documents the planning, development, installation and maintenance of temporary and permanent on-site and off-site exhibitions, research of materials and objects, and publication of exhibits. Records may include exhibit contracts, design and installation records, permanent and temporary exhibit inventory listings, exhibit catalogs, art catalogs, photographs and slides, exhibit scheduling records, brochures, research records, price lists, and correspondence. SEE ALSO Equipment Maintenance Records in the Equipment and Property Records section. (Minimum retention: (a) Brochures, exhibit catalogs, installation photographs and slides, and inventory lists: Permanent (b) All other records: 10 years after exhibit ends or is removed)

(9) Loans and Collections Insurance Records Series documents insurance coverage as part of risk management for museum collections and loan objects. Records may include insurance policies, riders, certificates of insurance, correspondence, damage and loss claims, and reports. (Minimum retention: (a) Damage loss and claim records: 5 years after claim paid and resolved (b) All other records: 5 years after superseded or expired)

(10) Member Records Series documents administration of the museum and historical society’s membership program and the status of its membership. Records may include publicity and promotion records, individual member records, membership rosters, reports, membership drive records, mailing lists, address changes, bulk mailing records, and correspondence. (Minimum retention: (a) Individual member records: 5 years after membership ends (b) Address changes: until entered and verified (c) All other records: 5 years)

(11) Permanent Collection Records Series documents the accession, use, care, maintenance, storage and disposition of objects in the permanent collection. Series also provide a record of deaccession of objects no longer in the collection. Records may include acquisition and deaccession policies and procedures, appraisal and authenticity records, accession and catalog worksheets, hardcopy and/or electronic catalog records, accession records, deaccession records, deeds of gift, donor records, temporary custody receipts, inventory and location records, condition/conservation records, photographs of objects, conservation records, collections use records, and library shelf lists and finding aids. (Minimum retention: (a) Catalog worksheets: until entered in catalog records and verified (b) Inventory and location records: until superseded or obsolete (c) Temporary custody receipts: until accessioned, or disposition of object (d) All other records: Permanent)

(12) Research Inquiry and Response Records Series provides a record of research requests received and responses made to them by museum staff. Records may include written or electronic inquiries and responses. Information may include name of researcher, subject of inquiry or request, and reply. (Minimum retention: 1 year)

(13) Temporary Loan Records Series documents the processing and documentation of incoming objects loaned from outside sources and objects being loaned out from the permanent collection. Records may include policies and procedures, loan requests and agreements, facilities reports, insurance records, descriptions of objects received or loaned out, inspection and conditions reports, acknowledgments and receipts, lender lists, photographs and videotapes of objects, inventory listings, deeds of gift, packing and shipping records, damage reports, and insurance reports. Records may also include U.S. and foreign customs forms. (Minimum retention: (a) Policies, procedures and facility reports: 2 years after superseded or obsolete (b) All other records: 5 years after object returned or insurance claim paid)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0110

Financial Records

NOTE: Inclusion of a record series in this schedule does not require the series to be created. If a record is created electronically, it can be retained in electronic format only as long as the retention period is 99 years or less.

(1) Accounts Payable Records Records documenting payment of agency bills for general accounts excluding grants. Includes reports, invoices, statements, vouchers, purchase orders, payment authorizations, receipt records, canceled checks or warrants, and similar records. SEE ALSO Grant Records in this section for records documenting expenditure of grant funds. (Minimum retention: 3 years)

(2) Accounts Receivable Records* Records documenting revenues owed to the agency by vendors, citizens, organizations, governments, and others to be credited to general accounts excluding grants. Also documents billing and collection of moneys. May include reports, receipts, invoices, awards, logs, lists, summaries, statements, and similar records. Information often includes, receipt amount, date, invoice number, name, account number, account balance, adjustments, and similar data. SEE ALSO Grant Records in this section for records documenting receipt of grant funds. (Minimum retention: 3 years after collected or deemed uncollectible)

(4) Audit Reports, External Records documenting annual audits of the financial position of the agency conducted by external auditors in accordance with statutory requirements described in ORS 297.405 through 297.555. Subjects include accounting principles and methods, the accuracy and legality of transactions, accounts, etc., and compliance with requirements, orders, and regulations of other public bodies pertaining to the financial condition or operation of the agency. Information includes accountant’s summary, combined financial statements, schedules, balance sheet details, comments, recommendations, and related data. SEE ALSO Internal Audit Records in the Administrative section. (Minimum retention: Permanent)

(5) Balance Status and Projection Reports Reports created for internal use documenting the status of funds, bank accounts, investments, and other accountings of agency funds. Includes budget allotment and fund reconciliation reports. Also includes projection records related to future receipts and disbursements. Reports are generated on a daily, weekly, monthly, quarterly or similar basis. Information includes date, account balances, type and summary of activity, and related data. (Minimum retention: 3 years)

(6) Bond Records (Employee)* Records documenting the posting of fidelity, performance, or position bonds to guarantee the honest and faithful performance of elected officials, individual employees, or groups of employees. Details of bonds vary, however information usually includes name and position(s) of individual or group, amount of coverage, effective and expired dates, and related data. (Minimum retention: 6 years after expiration)

(7) Budget (Adopted) Records Documenting the final annual financial plan approved by a governing body for all agency expenditures. Information may include budget message, financial summaries, revenues and expenditures, operating programs, debt service, position and wage analysis, overhead allocations, organization charts, previous actual and budgeted amounts, and related data. Duplicate copies should be retained as needed. (Minimum retention: (a) County budgets filed with the County Clerk: Permanent (b) Special district and other budgets: 2 years)

(8) Budget Preparation Records Records documenting the preparation of department budget requests presented to the specified governing body. May include staff reports, budget instructions, worksheets, surveys, allotment reports, spending plans, contingency plans, budget proposals, financial forecasting reports, and similar records. (Minimum retention: 2 years)

(9) Check Conversion Records Records document checks received from customers that are electronically deposited after being imaged and converted to an Automated Clearing House (ACH) transaction or Image Replacement Document (IRD) (Minimum Retention: (a) Retain original paper instrument 30 days, destroy (b) Retain ACH transaction or IRD 6 years, destroy)

(10) Competitive Bid Records Records document the publication, evaluation, rejection and award of quoted bids to vendors and other entities. Records may include but are not limited to requests for proposals (RFPs), requests for qualifications (RFQs), invitations to bid (ITBs), requests for information (RFIs), bid exemption documents, bid and quote lists, notices of bid opening and award, comparison summaries, spreadsheets, tabulation worksheets, bid advertising records, tally sheets, bid specifications, correspondence, and related records. SEE ALSO Purchasing Records in this section. (Minimum retention: (a) Retain accepted bids 10 years after substantial completion (as defined by ORS 12.135(3)) (b) Retain other accepted bids: 6 years after bid awarded or canceled (c) Retain rejected bids and bid exemptions: 2 years after bid awarded or canceled)

(11) Credit and Debit Receipts Agency’s copy of credit or debit card receipts documenting payment received by an agency. Records include customer’s name and account information. (Minimum Retention: Retain 36 months after transaction, destroy)

(12) Credit Slips Slips issued to citizens who have withdrawn from agency-sponsored classes or activities and are due credit for all or part of fees paid. Information usually includes name of class or activity, date, expiration date, name and address of citizen, and related data. (Minimum retention: 3 years after credit expired or redeemed)

(13) Financial Impact Analysis Records Records documenting the financial analysis of various agency practices. Useful for planning future budget proposals. Records include reports, studies, worksheets, and similar records. Subjects may include the impact of specific ballot measures, proposals to increase permit fees, sick leave use analysis, and the agency’s relationship with various utilities. (Minimum retention: 3 years)

(14) Financial Reports Reports documenting the general financial condition and operation of the agency. Includes information on the value of all agency owned property and an accounting of all income and expenditures in relation to the final budget. Records may include monthly, quarterly, annual and similar reports. (Minimum retention: (a) Annual reports: Permanent (b) Other reports: 3 years)

(15) General Ledgers* Records documenting the summary of accounts reflecting the financial position of the agency. Information often includes debit, credit, and balance amounts per account, budget, fund, and department numbers, and totals for notes receivable, interest income, amounts due from other funds, federal grants received, bank loans received, cash in escrow, deferred loans received, cash, encumbrances, revenue, accounts receivable, and accounts payable, as well as other data. (Minimum retention: (a) Year end ledgers: 10 years (b) Other general ledgers: 3 years)

(16) Gift and Contribution Records Records documenting gifts and contributions given to the agency by sources outside of government. Records may include memorial donation records related to money to be used by the agency in the name of an individual. Often contains donor and acknowledgement letters, acquisition lists itemizing purchases with contributed money (books, art, equipment, etc.) checks, receipts, and related records. (Minimum retention: (a) For retention of conditional gift, contribution and donation records: see Contracts and Agreements in the Administrative Records section (b) Retain other records: 3 years)

(17) Grant Records Records document the application, evaluation, awarding, administration, monitoring, and status of grants in which the agency is the recipient, grantor, allocator, or administrator. Grants may come from federal or state governments or foundations or other funding sources. Records may include but are not limited to applications including project proposals, summaries, objectives, activities, budgets, exhibits, and award notification; grant evaluation records and recommendations concerning grant applications; grant administration records including progress reports, budgets, project objectives, proposals, and summaries; records documenting allocation of funds; contracts; records monitoring project plans and measuring achievement; equipment inventories; financial reports, accounting records, audit reports, expenditure reports, and related correspondence and documentation. (Minimum retention: (a) Retain final reports from significant (as defined by county or special district policy) grants to the county or special district: Permanent (b) Retain records documenting the purchase and/or disposal of real property: 10 years after substantial completion (as defined by ORS 12.135(3)), or 3 years after final disposition, or as specified in agreement, whichever is longer (c) Retain other grant records: 3 years after annual or final expenditure report submitted and approved or, as specified in agreement, whichever is longer (d) Retain unsuccessful grant applications: 1 year after rejection or withdrawal)

(18) Improvement Records, Administrative and Financial* Records documenting the non-technical and financial administration of assessable and non-assessable county improvements including capital improvements, local improvement districts (LID), urban renewal, and economic improvement districts. Records often include affidavits of posting, notices or proposed assessment, certificates of mailing, interested party letters, bid quotes, reports, and awards, expense reports, purchase orders, requisitions, cost analyses, construction and maintenance bonds and insurance, and related administrative and financial records not located elsewhere in this schedule. SEE ALSO Assessment Dockets, Ledgers, and Registers; Bond Authorization Records; and other record series in the Financial section for records documenting legislative actions such as resolutions of intent to assess and ordinances for improvements. (Minimum retention: (a) Retain records of project cost: 3 years after disposal or replacement of facility, structure, or system (b) Retain all other improvements 10 years after substantial completion (as defined by ORS 12.135(3))

(19) Inventory Records* Inventory records documenting the capitalized assets and expendable property of the agency. Examples of capitalized assets may include but are not limited to buildings, real estate, infrastructure assets, vehicles, equipment, and furniture. Examples of expendable assets include office supplies and other small, office purchases. Information often contains asset number, description, purchase order number, location of asset, date received, purchase price, replacement cost, depreciation, and related data. This record series applies to routine control inventories. SEE ALSO Grant Records for inventories of property purchased with grant funds. For inventories documenting other special uses, see Historic Structure Inventory Records in the Planning and Development section; Bridge Inspection Records in the Public Works-Engineering section; and Property and Evidence Control and Disposition Records in the Law Enforcement section. (Minimum retention: (a) Retain records of capitalized assets: 3 years after disposal or replacement of asset (b) Retain records of expendable property: 3 years or until superseded, whichever is longer)

(20) Petty Cash Fund Records Records document petty cash activity for the agency. Records include requests and authorizations to establish petty cash funds, ledgers, statements, requests for disbursements, copies of receipts and invoices. (Minimum retention: 3 years)

(21) Purchasing Records Records documenting orders, authorizations, and evidence of receipt of the purchase of goods and services by the agency. Includes purchase orders and requests, purchase authorizations, requisitions, contract release orders, material and cost specifications, central stores or printing orders, telephone service orders, and similar records. SEE ALSO Competitive Bid Records in this section; and Grant Records in this section for records documenting expenditure of grant funds and Improvement Administrative and Financial Records in this section for related purchasing records. (Minimum retention: 3 years)

(22) Signature Authorization Records* Records documenting the authorization of designated employees to sign fiscal and contractual documents. Useful as an aid for management control over expenditures. Information usually includes authorization date, name, sample signature, position, remarks, conditions, and related data. (Minimum retention: 6 years after authorization superseded or expired)

(23) Subsidiary Ledgers, Journals, and Registers Records documenting details of transactions such as those related to receipts and expenditures on a daily, monthly, quarterly or similar basis. Includes journals, ledgers, registers, day books, and other account books that provide backup documentation to the general ledger. May include details of revenues, expenditures, encumbrances, cash receipts, warrants, and others. (Information often includes date, payee, purpose, fund credited or debited, check number, and similar or related data. SEE ALSO Grant Records in this section for records documenting transaction of grant funds. (Minimum retention: (a) Year end payroll register: 75 years (b) Trust fund ledgers: 3 years after trust fund closed (c) Other subsidiary ledgers, journals, and registers: 3 years)

(24) Travel Records, Employee Records documenting requests, authorizations, reimbursements, and other actions related to employee travel. Includes expense reports and receipts, vouchers, requests, authorizations, and related documents. Retention applies to private vehicle usage as well. Information often includes estimated costs, prepayments, final costs, destination, method of transportation, travel dates, approval signatures, and related data. (Minimum retention: 3 years)

(25) Unclaimed Property Report Records Records document annual reports submitted to the Department of State Lands of financial assets being held for a person or entity that cannot be found. Series includes Holder Report, owner information, correspondence and other related documents. Note: Unclaimed property is not real estate, abandoned personal property, or lost and found items. (Minimum Retention: 3 years after the property is remitted to the Department of State Lands)

(26) Vendor Lists Lists documenting vendors providing goods and services to the agency. Information usually includes vendor name of person or company, address, and phone number, name of contact person, as well as a description of goods or services provided. (Minimum retention: Until superseded or obsolete)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 2-2005, f. & cert. ef. 5-10-05; OSA 1-2010, f. 7 cert. ef. 5-27-10; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0115

Fire and Emergency Medical Services

(1) Activity Reports, Fire and Emergency Medical Services (EMS) Individual Shift, project, or other activity reports or logs filed on a daily, weekly, monthly, or similar basis. Useful for reference, performance monitoring, compiling annual reports, planning and budgeting, and briefing subsequent shifts. Information usually includes name, shift, date, description of activities, and various statistical categories for tracking department emergency responses, training, public outreach, inspections, maintenance, and other work. (Minimum retention: 2 years)

(2) Ambulance Licensing Records Records documenting application by the agency to the Oregon Health Division for licenses to operate ambulances. May also include records related to applications submitted to the agency by private ambulance services for operation in areas that have ordinances regulating ambulance services as defined in ORS 823.220. Records often include applications, licenses, affidavits of compliance, certificates of insurance, bonds, and related documents. Information includes name and address, person, or company, and a description of the ambulance, including make, year, registration number, as well as related data. (Minimum retention: 2 years after denial, revocation, or expiration)

(3) Automobile Display Permits Permits issued to allow the display of automobiles or any vehicles which carry fuel inside public or commercial buildings. Permits usually include date of display or expiration date, location, name, address, and telephone number of person or organization requesting the permit, conditions related to the display, comments, and other information. (Minimum retention: 2 years after permit denied, revoked or expired)

(4) Base Camp Expenditure Records Series documents expenses incurred for operation of base camps. Used to monitor costs of operations and for budget preparation. Contains base camp cost report, unit operational cost report, base camp/food service report, recorder food supplies and staples report, and related records. Includes date, unit, items requested, quantity purchased, cost, and related information. (Minimum retention: 4 years)

(5) Burning Permits Permits issued to individuals for open air burning within the area serviced by the agency fire department. Information may include name, phone number, address, amount and location of burn, fire protection equipment and conditions required, date, and signatures of permittee and issuing officer. (Minimum retention: 2 years after denial, revocation, or expiration)

(6) Controlled Substance Inventory and Tracking Records Series documents the possession, storage, use and tracking of controlled substances purchased by or surrendered to the department, pursuant to 21 CFR 1304.04. Records may include but are not limited to logs; inventory reports; sign-in, sign-out sheets; substance administration data; and substance name, quantity, manufacturer, and expiration dates. (Minimum retention: 3 years, or until superseded, whichever is longer).

(7) Emergency Equipment Procurement Case Records Series is used to record information on the use of civil defense equipment from the federal government by the county. Contains loan agreement, project application, procurement agreement, transfer order, and transfer report. Includes date, type of equipment, equipment numbers, location, reason for loan, maintenance information, and related information. (Minimum retention: 3 years after equipment returned or disposed of)

(8) Emergency Medical Incident Records Records documenting services provided by the agency fire and emergency medical services department to sick or injured people. May include pre-hospital care reports, medical aid liability release forms, and related documents. Information often includes name and address of patient, location of incident, description of illness or injury, actions taken, and related data. (Minimum retention: 10 years)

(9) Explosives Storage and Use Permits Records documenting the issuance of permits authorizing the use of explosives for construction and demolition projects, fireworks, theatrical pyrotechnics, and other applications. Records may include permits, applications, insurance verifications, and related documents. Information often includes name and address of permittee, location of use, amount and type of explosives used, conditions, and related data. (Minimum retention: 2 years after permit denied, revoked, or expired)

(10) Fire and Security Alarm System Records Records documenting the agency fire department role in issuing permits, testing, and maintaining fire and security alarms that connect to an agency alarm system. May include permits, applications, malfunction reports, maintenance reports, and related documents. Permit information often includes name and address of property owner, name and address of company installing the system, permit number, alarm location, and date. Maintenance information often includes date, malfunction (if any), tests conducted, corrective actions taken, location of alarm, and related data. (Minimum retention: (a) Permit records: 2 years after expiration (b) Other records: 2 years)

(11) Fire Investigation Records Records documenting investigations conducted by the agency fire department. May include investigative reports, supplemental reports, photographs, maps, drawings, correspondence, memoranda, laboratory reports, notes, and other significant related records. (Minimum retention: (a) Records documenting fires involving loss of life: 75 years (b) Other records: 10 years)

(12) Fire Reports Reports documenting each fire responded to by the agency fire department. These reports are required by the State Fire Marshal. Subjects include cause, casualties, and property loss. Information includes date, run number, location of fire, weather conditions, owner’s name and address, property damage, loss estimate, and other data. Includes additional reports if injuries occurred. (Minimum retention: 10 years)

(13) Grass and Weed Control Records Records documenting agency enforcement of regulations designed to help prevent fires caused by overgrown grass, weeds, or shrubs. May include complaints, inspection reports, notices, violations, contractor mowing bills, receipts, and related records. Information includes name of property owner, address of property, name of complainant, date and expiration of notice, name of fire personnel inspecting property, date, time, and method of grass and weed removal, charges, signature of contractor, and related data. (Minimum retention: 3 years after last action or final payment)

(14) Hazardous Material Emergency Incident Records Records documenting agency response to hazardous material emergencies. Subjects usually pertain to spills and other accidental releases. Includes reports, complaints, and similar documents. Information often includes location, date and time, type of pollutant, extent of pollution, cause, action taken, person reporting pollution, witnesses, related injuries, name and address of responsible party and related data. (Minimum retention: Permanent)

(15) Hazardous Substance Employer Survey Summaries Records documenting the storage and use of hazardous materials within the area served by the fire department. Usually consists of summaries of employer surveys conducted by the State Fire Marshal as well as related records generated by the agency. Information includes employer name and location, emergency phone numbers and procedures, location, type, and quantity of hazardous substances, and related data. State employer surveys are updated each year. (Minimum retention: Until superseded or obsolete)

(16) Inspection and Occupancy Records Records documenting fire prevention inspections performed periodically by the agency fire department. Inspections determine if any violations of fire code are present in premises within the area served by the department. Usually filed by address. Inspection records may include reports, notices, citations, and related documents. Information often includes occupancy name, location, person contacted, violations found, inspector’s name, number of days to correct violations, comments, and other data. Also may include occupancy and pre-fire planning records such as floor plans, sketches, reports, lists, and related documents. Information often includes address, name of property owner, description and fire history of property, name of occupant, potential hazards or exposures, regulated substances, fire escapes, water supply, sprinklers, roof construction, and other data useful in fire fighting situations. (Minimum retention: Retain current and previous inspection reports or 10 years whichever is longer)

(17) Maps, Fire and Emergency Medical Services Maps and related records maintained by the agency fire department for address location reference and for tracking various trends such as fire frequency and location, arson fires, and others. Includes lists, books, and other methods of address location. Some maps may have historic value. For appraisal assistance, contact the State Archives. (Minimum retention: Until superseded, obsolete, or no longer needed)

(18) Public Education Program Records, Fire and EMS Records related to the design and implementation of educational and other outreach programs provided to the public by the agency fire department. Often includes class descriptions, instructional materials, course outlines, class enrollment and attendance records, reports, speeches, and related records. (Minimum retention: (a) Class enrollment and attendance records: 2 years (b) Other records: Until superseded or obsolete)

(19) Public Education Publications, Fire and EMS Publications created by the agency fire department and distributed to the public as part of the department’s public education program or other outreach effort. Often used in conjunction with presentations. Subjects may include CPR, electric wiring, fire prevention, fire safety for children, Christmas fire safety, and others. (Minimum retention: (a) Retain brochures, pamphlets, and leaflets: until superseded or obsolete (b) Retain one copy of all others: Permanently)

(20) Regulated Substances Storage and Use Records Records documenting the storage and use of regulated substances such as gasoline, crude oil, fuel oil, and diesel oil. May include applications, permits, inspection reports and related records for agency regulation of above ground storage tanks as well as reports of substance releases from underground storage tanks. Agencies that administer their own underground storage tank program as described in ORS 466.730 may have additional records such as underground storage tank applications, permits, inspection reports, and related documents. SEE ALSO Inspection and Occupancy Records in this section for regulated substance storage and use records related to structures. (Minimum retention: (a) Records related to underground storage tanks: 25 years after tank removed (b) Records related to above ground storage tanks: 5 years)

(21) Search and Rescue Mission Case Files Series records information about search and rescue missions undertaken by the county. Records include Oregon search and rescue mission report, criminal complaint (incident) report, mission roster, lost/missing person report, equipment involved, description of events, and related information. (Minimum retention: 3 years)

(22) Search and Rescue Unit Case Records Series records administrative and general information about individual search and rescue units. Contains monthly membership update, membership roster, operational cost report, volunteer activity report, volunteer’s personal expense record, and related records. Information includes unit number, personnel names and addresses, hours worked, activities, expenses incurred, and related information. (Minimum retention: 6 years)

(23) Search Rosters Series tracks movements of participants of search and rescue missions. Includes name, date, location, time in and out, and related information. (Minimum retention: 3 years)

(24) State Fire Marshal Exemption Records Records documenting partial or full agency exemption from statutes, rules, and regulations administered by the State Fire Marshal. Exemptions are granted if the agency enacts and enforces adequate regulations to conform with state and national fire standards defined in ORS 476.030(4). Certificates are renewed every two years. Usually includes applications, supporting documentation, reports, exemption certificate, and related documents. (Minimum retention: 2 years after denial, revocation, or expiration)

(25) Youth Fire Prevention and Intervention Records Series documents multi-disciplinary prevention and intervention services provided to children who have a history of or are at risk for setting fires. Community-based services are provided under the guidance of the Office of State Fire Marshal. SEE ALSO County Juvenile Department Records section. (Minimum retention: (a) Until court ordered expunction (ORS 419A.262), (b) If case is not expunged: 5 years after last action, or youth reaches age of majority, whichever is longer).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005 -192.170 & 357.805 - 357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0120

Housing and Community Development Records

(1) Community Development Project Records Records related to the assessment, funding determination, planning, design, and construction of various homeowner improvement projects, including facilities, structures, and systems. Records include work plan, and specifications, bid and contract information, project management/monitoring records, feasibility studies, plans, amendments, inspector reports, change orders, status reports, and related records. May be useful for litigation, reference, or budget planning. (Minimum retention: 10 years after substantial completion, or 3 years after final disposition, or as specified in agreement, whichever is longer)

(2) Environmental Review Records Records documenting individual environmental impact review studies for Community Development projects, as mandated by the Department of Housing and Urban Development (HUD), in accordance with the National Environmental Policy Act (NEPA). Records include duplicate materials from project records, environmental assessment, evaluation, and determinations, reporting information to HUD, supporting documentation and related records. (Minimum retention: Permanent)

(3) Housing Authority Bylaws, Rules, and Policies Documents defining the powers and purposes of the housing authority, as well as implementation policies in accordance with federal and state laws. Includes bylaws. May also include rules and policies on confidentiality, purchasing, tenant grievances, and other subjects. (Minimum retention: Permanent)

(4) Housing Authority Individual Tenant History Records Files documenting the history of individual tenant and housing authority actions from application to separation from the program. May contain application, landlord references, rental agreements, leases, periodic reexamination and hardship data, income verification, billing statements, maintenance requests, damage complaints, eviction notices, grievance hearing records, and significant related material. (Minimum retention: 5 years after separation from program)

(5) Housing Authority Program Management Records Records documenting the activities and status of various programs administered by the housing authority (Section 8, etc.). Records may include staff meeting records and reports, waiting lists, maintenance records, tenant statistics, and related significant records generated in the administration of housing authority programs not specified elsewhere in the schedule. (Minimum retention: 3 years after annual or final expenditure report submitted)

(6) Housing Authority Property Management Records Records documenting the actions of the housing authority in managing housing not owned by the agency. May include applications for funding, subgrants, insurance policies, contracts, and non-profit organization records such as articles of incorporation, bylaws, budgets, minutes, agendas, as well as related significant records. (Minimum retention: 6 years after expiration)

(7) Housing Authority Rejected Assistance Application Records Rejected applications and related records from individuals seeking assistance from the housing authority. Application information may include name, age, occupation, social security number, size of unit needed, assets, annual income, and related information. Records may also include verification forms and related significant records. (Minimum retention: 3 years)

(8) Housing Development Project Records The Housing Development Program utilizes funding from the federal HOME Investment Partnership Program to expand the supply of decent and affordable housing, particularly rental housing, for very low- and low-income citizens. Records related to the assessment, funding determination, planning, design, and construction of various housing development projects, including facilities, structures, and systems, as well as documentation on the acquisition of existing housing structures for housing. Information includes work plan, and specifications, bid and contract information, project management/monitoring records, feasibility studies, plans, amendments, inspector reports, change orders, status reports, and related records. (Minimum retention: 10 years after substantial completion of new structures or acquisition of existing housing units)

(9) Housing Rehabilitation Loan Records County Housing Rehabilitation Programs provide low-income homeowners with loans for needed and critical home repairs. To qualify for the program, a household's total annual gross income must be below HUD's Section 8 income limits. Series documents client application, verification of income, credit report information, deeds of trust, project specifications and work plan, copy of agency agreement with homeowner, financial information by loan type; DPL, CHIP, or Rental Rehabilitation, Cancelled Housing Rehabilitation and related records/correspondence. (Minimum retention: (a) Deferred Payment Loans (DPL): 5 years after homeowner leaves home, sells home, transfers the title, refinances the mortgage, or a change of use (b) County Home Improvement Program Loans (CHIP): 5 years after loan pay-off or foreclosure (c) Rental Rehab Loans: 5 years after loan pay-off or foreclosure (d) Cancelled Housing Rehabilitation Loans: 10 years after loan cancellation)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0135

Law Enforcement

(1) Activity Reports, Law Enforcement Individual officer, shift, and other activity reports usually filed on a daily, weekly, monthly, or annual basis. Useful for reference, performance monitoring, compiling annual reports, planning and budgeting, and for briefing subsequent shifts or activities. Applies to various duties such as dispatch, confinement, investigations, and patrol. Information usually includes name, shift, date, activities, and various statistical categories for tracking the number of arrests, phone calls, mileage, and other indicators. Also includes monthly and annual law enforcement or uniform crime reports summarizing statistics on criminal activity and office operations. Information may include date, categories, totals, and related data. (Minimum retention: (a) Annual reports and monthly reports for years in which no annual report exists: Permanent (b) Other reports: 2 years)

(2) Alarm Records Records documenting the licensing, use, and response to security alarms. Licenses and permits usually contain name and address of holder, type of alarm, location, instructions to officers responding to call, names of individuals to be contacted when alarm sounds, fee charged, and related data. Other records may include alarm response reports and false alarm reports. False alarm reports are used to document ordinance violations concerning the number of false alarms in a given period. (Minimum retention: (a) Alarm licensing and permit records: 3 years after expiration or revocation (b) Other records: 3 years)

(3) Animal Control Records Records document activities relating to animal control. Records may include reports, logs, lists, cards, receipts, and related correspondence. Records may relate to dog licenses, lost and found animals, animals running at large, and bite reports. Dog license information usually includes name, address and phone number of owner, name and description of dog, vaccination dates, and related information. (Minimum retention: (a) Licensing records: 3 years after expiration (b) Other records and reports: Until superseded or obsolete)

(4) Arrest Warrant Log Records Records documenting the status of arrest warrants as served, unserved, or recalled by the court. May include logs, validation listings, checkout sheets, and related records. Logs usually include date of warrant, subject’s name, charge, date, warrant served or recalled, and related information. (Minimum retention: Until superseded or obsolete)

(5) Arrest Warrant Records Records related to a written order made by the court on behalf of the commanding law enforcement officials to bring a specified individual before the court. May also include detainer requests, informational documents related to the wanted person, teletypes, and other records relevant to the service of warrants. Warrant information includes date, court, judge’s name, individual’s name and date of birth, charge, and related data. (Minimum retention: Until served, recalled, or cancelled by the court)

(6) Bail Records Records document the receipt of bail monies or recognizance bonds by the county as stipulated in ORS 135.720. Records may include logs of monies received, names of individuals posting bonds and inmate it applies to, staff member who accepted payment, and dollar totals of deposits made to the State Court. (Minimum retention: 3 years)

(7) Block Home Program Records Records documenting the application for and review, denial, or approval of block home designations. The Block Home Program is designed to provide safety and protection to school age children. The department conducts background checks on applicants. Information often includes date, name, address, date of birth, Social Security number, educational and work background, police record check, approval or denial decision, and related data. (Minimum retention: (a) Approved application records: 2 years after withdrawal from program (b) Denied application records: 2 years)

(8) Booking Records Books, logs, or other records documenting the confinement and release of individuals held in an agency correctional facility. Information usually includes name, charges, date of confinement, date of release, physical condition, and related data. Booking records related to individuals known to be dead need not be retained. (Minimum retention: (a) Homicides: 20 years (b) Felonies: 10 years (c) Misdemeanors: 5 years)

(9) Briefing Records Records document internal communications between supervisors and shift workers or between staffs on different shifts to alert them to problems, issues, or activities. This can include jail, patrol, and other agency staff. Records may include briefing logs and teletype/computer messages. (Minimum retention: (a) Retain messages of interest to law enforcement agency not warranting inclusion in INCIDENT CASE FILES or other record series: 1 year other record series: 1 year (b) Retain all other messages: Until read)

(10) Bulletins from other Agencies Bulletins, circulars, and related records received from federal, state, other state, and local law enforcement agencies. Usually contains descriptions and photographs of fugitives, missing persons, or stolen property. May also include other information of interest to the department. (Minimum retention: Until superseded or obsolete)

(11) Chaplain/Religious Counsel Records document the role of the agency or jail chaplain/religious counsel, volunteer chaplains, or groups that volunteer their time to the agency for religious purposes. Duties may include counseling of staff and/or inmates, counseling of family members of staff/and or inmates, victim’s assistance, death notifications, crisis intervention, and special services, including weddings and funerals. Records may include individual guidance records, schedules, activity reports, authorizations of inmate articles (i.e. prayer feathers, medicine bags, wedding rings, etc.), and marriage and death records. (Minimum retention: (a) Retain inmate counseling records: 3 years after inmate release (b) Retain all other counseling records: 1 year)

(12) Civil Emergency/SWAT Team Records Records document the planning for and performance of hostage negotiations, riot response, bomb threats, or other tactical situations. Records may include maps rosters, equipment inventory, training records, and situation reviews. (Minimum retention: 3 years)

(13) Civil Enforcement Case Files Record of actions taken relating to a specific civil case. Information may include attempts at service, actual service information, and documentation of enforcement actions taken under the provisions of the order. (Minimum retention: 3 years after action completed)

(14) Computer Inquiry Records Logs or other hard copy records documenting requests made to other agencies involving missing persons, wanted persons, stolen vehicles, and other subjects. (Minimum retention: Until superseded or obsolete)

(15) Computer Validation Records Logs or similar hard copy records detailing validation requests and proof of verification for NCIC or other law enforcement information networks. Useful to document maintenance of network standards. (Minimum retention: 5 years or until audited by NCIC or other applicable law enforcement network, whichever is shorter)

(16) Concealed Weapons Permit Records Records documenting issuance of concealed handgun licenses and renewals as specified in ORS 166. Records include license applications, license renewal applications, copies of identification, background check results, license revocations and denials, and related records. Information must include the applicant’s legal name, current address and telephone number, date and place of birth, hair and eye color, height and weight, applicant’s residence address or addresses for the previous three years, photograph of applicant, fingerprints of applicant, and applicant’s signature. (Minimum retention: (a) Revoked permits: 4 years after revocation or denial (b) All other records: 2 years after expiration or transfer of permit)

(17) Crime Analysis Records Records documenting department efforts to anticipate, prevent, or monitor possible criminal activity. May include reports, statistical summaries, trend or prediction information, photographs, sound and video tape recordings, and related documents. Subjects often include crime patterns or modes of operation, analysis of particular crimes, criminal profiles, forecasts, movements of known offenders, alerts from other agencies, and others. (Minimum retention: (a) Major crime analyses or studies: 10 years (b) Other records: Until superseded or obsolete)

(18) Crime Prevention Community Policing Organization Records Mailing lists, plans, evaluations, notes, reports, and other records documenting community organizations, associations, individual volunteers, and others engaged in or interested in crime prevention efforts. Information is also used to develop community support for law enforcement programs and events. Records include presentations, publications, brochures, and newsletters. (Minimum retention: Until superseded or obsolete)

(19) Crime Prevention Community Policing Event Records Records document annual or one-time events organized by the agency or participated in where personnel are available to answer questions and provide educational information. Examples include National Night Out, safety fairs, bicycle rodeos, and open houses. Records include site information, schedules, volunteer rosters, and event evaluations. (Minimum retention: (a) Records of events considered significant and/or historical by local officials: Permanent (b) Retain all other event records: 1 year)

(20) Crime Prevention and Community Policing Program Records Records documenting department efforts to train citizens in crime prevention. May contain training and media presentation records including lesson plans, outlines, tests, evaluations, speeches, and related records. Subjects usually include neighborhood watches, home security, and others. (Minimum retention: (a) Retain significant program records: 5 years (b) Retain class enrollment and attendance records: 2 years (c) Retain other records: 1 year)

(21) Crime Prevention Security Survey Records Records documenting citizen requested officer surveys of homes and businesses and subsequent recommendations related to security. Usually contains a detailed checklist of problems or security defects. Subjects often includes areas of potential break in, blocked exits, landscaping that can hide crime, and similar topics. Survey usually is compiled into a report that is sent to the owner or renter. (Minimum retention: 2 years)

(22) Crime Prevention Vacation House Inspection Records Records documenting the inspection of homes and other properties while the occupants are away. Information often includes name, address, date received, vacation beginning and ending dates, emergency contact information, special conditions at the house or property, dates and times officers checked the house or property, and related data. (Minimum retention: 30 days after inspections end)

(23) Criminal Arrest History Records Records documenting information on the accumulated criminal arrest history of individuals which may be useful in current or future investigations. Records may include summary sheets or cards, arrest reports, fingerprint cards, mug shots, and related documents. Information often includes name, aliases, residence, sex, age, date and place of birth, height, weight, hair and eye color, race, scars, marks, tattoos, abnormalities, date of arrest, offense committed, habits, closest relatives or friends, and more. Records may be destroyed earlier if individual is known dead. (Minimum retention: (a) Homicides: 20 years (b) Felonies: 10 years (c) Misdemeanors: 5 years)

(24) Criminal History Dissemination Records Logs and other records documenting the dissemination of criminal histories and other law enforcement information to other agencies or criminal information systems. May include teletype and computer message logs. Information includes date of release, subject of information, recipient of information, reason information was requested, and identification numbers. (Minimum retention: Until case completed or suspended)

(25) Criminal Intelligence System Database Records Records documenting possible and proven criminal activity by individuals, groups, organizations, and businesses for use by local government law enforcement agencies. Information is categorized into file groupings as defined by OAR 137-090-0080 after collection and evaluation. Retentions are based on procedures detailed in OAR 137-090-0160. Includes investigatory reports, statistical reports, correspondence, memoranda, and related records. Information includes suspect identification, alleged activity, location, date, source validity, and other data. Sources include law enforcement and regulatory agencies, and private citizens. (Minimum retention: (a) “Permanent Files” as defined by OAR 137-090-0080: 5 years (b) “Temporary Files” as defined by OAR 137-090-0080: 1 year (c) “Working Files” as defined by OAR 137-090-0080: 30 working days)

(26) Debriefings Records documenting law enforcement operations, which are distributed in order to improve communication. Records include, but are not limited to, mission sheets, after action reports and operations order records. (Minimum retention: 3 years)

(27) Detoxification Confinement Logs Logs listing names of individuals held because of drunkenness and released when sober. Includes dates and times confined and released, name of individual, and related information. (Minimum retention: 2 years)

(28) Dog Handler Reports Records documenting training and performance of dogs involved in law enforcement operations. Note: For limitations, see ORS 131.125, 131.155, 166.715-177.735, and other applicable statutes. (Minimum retention: 1 year after statute of limitations on case expires)

(29) Electronic Home Detention Records Records documenting the application and use of electronic monitors for inmates selected for electronic home detention monitoring. Documentation includes computerized tracking reports, printouts and computer schedules; documentation on offender violations, including unauthorized absences or activities; notifications to apprehend and control any absconding offenders; system troubleshooting notations and other related correspondence. (Minimum retention: 3 years after removal of monitor)

(30) Emergency Telephone Calls Continuous Audio Files Records document incoming emergency calls, law enforcement and emergency dispatches, radio activity, and 9-1-1 calls. Files are maintained on a 24 hour basis. Recordings of serious incidents may warrant longer retention for legal reasons. These should be transferred onto a separate medium and retained until legal action is resolved. (Minimum retention: 7 months)

(31) Equipment Issued/Quartermaster Records Records documenting equipment issued to an agency law enforcement agency and other agency personnel. Items include but are not limited to handcuffs, keys, uniforms, badges, personal protective and fire fighting equipment, and lockers. May include inventories, optional equipment lists, data sheets, and other records. Information often includes date, employee name, number, and section, description of equipment, and related data. (Minimum retention: Until superseded or obsolete)

(32) Expunged or Sealed Records Records documenting the arrest and/or conviction of a person who petitions and is granted by the court an order sealing or otherwise disposing of any related records according to ORS 137.225. “Upon entry of such an order, the applicant for purposes of the law shall be deemed not to have been previously convicted, or arrested as the case may be, and the court shall issue an order sealing the record of conviction or other official records in the case, including the records of arrest whether or not the arrest resulted in further criminal proceeding.” Also applies to records related to juveniles as outlined in ORS 419A.260 and 419A.262. (Minimum retention: (a) Dispose expunged records according to the directive of the court (b) Retain expungement orders 75 years or according to the directive of the court (c) Retain sealed records 75 years or according to the directive of the court)

(33) Field Interrogation Reports Informational reports written by a law enforcement officer related to individuals, events, or vehicles for which the officer does not have probable cause for enforcement. Information usually includes name and address of person contacted, physical description of person or vehicle, officer’s name, location of contact, date and time, witnesses, reason for contact, and related data. (Minimum retention: 1 year)

(34) Fingerprint Cards Cards containing fingerprints, palmprints, toeprints, and other personal identifiers of arrested individuals. Used for identification and apprehension of suspects in criminal investigations. May also include fingerprints of private security personnel working in an area. Information often includes name, address, date and place of birth, Social Security number, alias, occupation, employer, name of individual taking prints, and related data. Fingerprint cards of individuals known to be dead need not be retained. Fingerprint cards are currently transmitted to the Oregon State Police and maintained there. (Minimum retention: Until transmission to the Oregon State Police verified)

(35) Fingerprint Cards, Latent Cards containing latent fingerprints and palmprints found at crime scenes without identification of suspects. These are compared against cards on file at the agency. Usually contains information related to the crime, location, date and time, and other details of the case. (Minimum retention: (a) Unnatural death: 75 years (b) Sexual felonies defined in ORS 131.125: 27 years (c) Other felonies: 6 years (d) Other offenses: 3 years)

(36) Handgun Dealers’ Sales Records Records documenting purchases of handguns from dealers. May include duplicate register sheets mailed by the dealer to the law enforcement agency and triplicate register sheets mailed by the dealer to the State Police for criminal records checks and then forwarded to the agency. Information includes series number, sheet number, sales person, Date and time, city/county, make, serial number, caliber, name of purchaser, date of birth, address, height, occupation, race, color of eyes and hair, local address (if traveling), and signatures of purchaser and sales person. ORS 166.412(7) states that “the department may retain a record of the information obtained during a request for a criminal records check for no more than five years.” (Minimum retention: 3 years)

(37) Impounded and Abandoned Vehicle Records Records documenting vehicles impounded by the department related to accidents, abandonment, recovered stolen vehicles, vehicles used in the commission of crimes, and other reasons. May include reports, notifications, information cards or sheets, receipts, and related records. Information often includes the make, model, year, color, identification number, tag number, and condition of the vehicle and contents, reason for impounding, location of impoundment, charge, if any, towing company used, release conditions, name and address of individual to whom vehicle was released, and other data. (Minimum retention: 3 years after disposition for records not included in Incident Case Files)

(38) Incident Case File Indexes Indexes to incident case files used as cross references between case numbers, names, dates, modus operandi, and other descriptive information. (Minimum retention: Until superseded or obsolete)

(39) Incident Case Files Central case files documenting complaints or other actions or incidents investigated by the department. Usually filed by case number. Records may include investigative reports, fingerprint cards, original arrest reports, supplemental reports, photographs, correspondence, teletypes, court orders, court dispositions, officer notes, laboratory reports, DUII test records including chemical analyses (also known as intoxilyzer or breathalyzer test records), citizen arrest certificates, copies of warrants, search warrants, and booking sheets, property/evidence reports, custody reports, and other related documents. Information usually includes suspect identification, alleged activity, location, date, validity of source information and other data. Sources include law enforcement and regulatory agencies and private citizens. SEE ALSO Juvenile Temporary Custody Records in this section. (Minimum retention: (a) Retain cases involving crimes with no statutes of limitations: 75 years after case closed (b) Retain Missing Persons Reports: Until cleared (c) Retain all other cases: until statute of limitations expires)

(40) Indemnity Bonds Copies of insurance bonds issued to indemnify the law enforcement agency against claims of wrongful actions in civil seizure cases. (Minimum retention: 2 years after seizure has been completed and a return has been made to the court of issuance)

(41) Informant Case Files Records documenting information about informants used by department personnel. May include reports, correspondence, payment records, fingerprint cards, signature cards, letters of understanding on informant activities, and related records. (Minimum retention: Until superseded or obsolete)

(42) Inmate Accountability Records Logs, lists, rosters, and other records documenting inmate counts, cell locations, and status, as well as related information. May include logs detailing status of individual inmates such as those awaiting action or on hold status, released on their own recognizance, or released on security. May also include rosters documenting the location of all inmates by head counts at regular intervals. (Minimum retention: 1 year)

(43) Inmate Case File Indexes Indexes used to access inmate case files. Usually cross referenced by name, case number, and other identifiers. (Minimum retention: Until superseded or obsolete)

(44) Inmate Case Files Records documenting non-medical information on inmates confined in an agency correctional facility. Often contains date of entry, date of release, incident reports, release receipt indicating return of property, court commitment and release orders, behavioral information, and other relevant information concerning the arrest and confinement of an individual. (Minimum retention: 3 years after release)

(45) Inmate Grievances Records documenting the receipt of, investigation of and actions taken in regard to inmate grievances. (Minimum retention: 3 years after last action)

(46) Inmate Meal Records Records documenting menus used to plan and schedule inmate meals. May include listings of those inmates who received meals. Information may include month, day, meal, menu, inmates served, and related data. (Minimum retention: 6 months)

(47) Inmate Medical Records Records documenting outpatient medical treatment given to inmates. Often contains treatment log, prescriptions, health questionnaires, laboratory reports, x-ray reports, medical reports from other facilities, medication records and related records. Information may include inmate’s name, date of treatment, description of treatment, medications given and information regarding the medication dispensed and related data. (Minimum retention: 6 years after inmate release)

(48) Inmate Program Records Records documenting the education, recreation and miscellaneous programs that inmate participated in while at the facility. (Minimum retention: 3 years)

(49) Inmate Telephone and Mail Records Logs and other records documenting telephone calls and mail sent and received by inmates. Information may include name of inmate, date and time of telephone call or mail, and related data. (Minimum retention: 1 year)

(50) Inmate Visitor Records Records documenting information about visitors to inmates confined in an agency correctional facility. May include logs, request slips, and related records. Information often includes date, time in, visitor’s signature and address, object of visit, time out, and related data. (Minimum retention: 1 year)

(51) Inmate Work Programs Records documenting the control of and participation of inmate work programs. (Minimum retention: 3 years)

(52) Internal Investigations Case Files Records documenting investigations of department personnel for violations of laws, rules, or policies and may include findings and dispositions of investigations. Records often contain complaints, correspondence, investigatory reports, interviews, hearing summaries and testimony, and related documents. Information usually includes name of employee investigated, reason, location of violation, date, accomplices’ names and addresses, witnesses’ names and addresses, action taken, and related data. (Minimum retention: (a) Investigations resulting in Termination: 10 years after employee separation (b) Investigations resulting in disciplinary action or exoneration: 2 years after resolution (c) Unfounded Investigations: 1 year)

(53) Jail Monitoring Records Records include audio and video recordings of prisoners booked into the jail facility. Video recordings are also made during inmate altercations and incidents where the Corrections Emergency Response Team (C.E.R.T.) members are utilized for inmate control. These recordings typically contain footage of use of force that are used in staff training sessions, but may also serve as evidence in criminal proceedings. (Minimum retention: (a) Prisoner booking videos: 30 days (b) C.E.R.T. training videos: Until superseded or obsolete (c) C.E.R.T. videos as evidence in criminal proceedings: destroy by order of the court)

(54) Jail Canteen, Commissary or Kitchen Records Records documenting the routine operations and control of jail canteens, commissary and kitchens. Includes inventory control records, inmate accounting records, and other related files. (Minimum retention: 3 years or until audited, whichever is longer)

(55) Juvenile Offender/Victim Restitution Records Records documenting the facilitation of restitution for crime victims of first time juvenile offenders. Typical cases may include criminal mischief, vandalism, minor assault, theft, and harassment. Information may include name, address, and phone number of person filing complaint, case number, date of activity, narration of the complaint, name of offender, date case closed, and other data. (Minimum retention: 5 years after last action, or youth reaches age of majority, whichever is longer)

(56) Juvenile Temporary Custody Records Records documenting children taken into temporary custody by the department as defined in ORS 419B.150 through 419B.175. The action is not considered an arrest. Information may include the name, age, and address of the child, the name and address of the person having legal or physical custody of the child, reasons for and circumstances under which the child was taken into temporary custody, and other data. SEE ALSO Delinquent Case Files, Adjudicated (Formal); and Delinquent Case Files, Informal in the County Juvenile section. (Minimum retention: 3 years)

(57) Lost and Found Property Records Records documenting agency receipt and maintenance of lost and found or abandoned property such as money, bicycles, automobiles, and other items not related to a crime. Includes receipts, inventory lists, destruction logs, property reports, and related records. (Minimum retention: 2 years after disposition)

(58) Maps, Law Enforcement Maps and related records maintained for reference and for tracking various trends. Examples include but are not limited to Neighborhood Watch Program maps, Block Home Program maps, street number location maps and books, parking meter maps, and maps plotting reported crimes in a given area. (Minimum retention: Until superseded or obsolete)

(59) Marine Enforcement Reports Records document the marine enforcement activities of the county sheriff’s department. Information includes types of waterway and watercraft violations, citations issued and other related information. (Minimum retention: (a) Annual Reports: 5 years (b) Monthly Reports: Retain until annual report created)

(60) Master Name Index Records Records documenting information on each individual who has been field interrogated or arrested, suspects or accomplices in crimes, victims, complainants, and witnesses to incidents. Information may include name, address, date of birth, race, sex, date and time of incident or contact, incident number, and related data. (Minimum retention: Until superseded or obsolete)

(61) Mug Shots Photographs and negatives of arrested individuals used for identification and apprehension of suspects in criminal investigations. Mug shots of individuals known to be dead need not be retained. (Minimum retention: (a) Retain homicides: 20 years (b) Retain felonies: 10 years (c) Retain misdemeanors: 5 years)

(62) Neighborhood Dispute Resolution Records Records documenting a county’s dispute resolution program to handle complaints by citizens about concerns or disputes with neighbors or merchants. Typical cases may include animal control, landlord/tenant issues, noise, harassment, property disputes, and business/consumer issues. Records may include budget, activity, and statistical reports, mediation training information, evaluation and intake records, service referrals, resolution agreements, and follow-up surveys. Information may include name, phone number, and address of person filing complaint, case number, date of activity, narration of request or complaint, name and address of offender, action taken, and other data. (Minimum retention: (a) Retain case records 5 years after last action (b) Retain other records 2 years)

(63) Officer Notes Notes written by officers during the course of a shift containing information which may or may not be included in an official report. May pertain to contacts, incidents, unusual circumstances, and other subjects. Useful for referral in writing reports and testifying in court. Information includes names, dates, times, vehicles, activities, locations, and related data. Note: Officer notes recorded on handheld electronic organizers (e.g. Palm Pilots) are public records under ORS 192. Information on electronic organizers is subject to the same retention as the paper record unless the information is kept in another format for the duration of the retention period. (Minimum retention: 2 years)

(64) Officer Weapon Registration Records Records documenting weapons assigned to law enforcement officers. Information includes officer’s name, and the make, model, serial number, and caliber of the weapon. (Minimum retention: Until superseded or obsolete)

(65) Patrol Car Camera Videotapes Records document patrol activities. Patrol officers may manually activate cameras when calls come in or cameras may automatically activate upon rapid vehicle acceleration or deceleration. (Minimum retention: (a) Retain tapes used as evidence until case reaches final disposition (b) Retain tapes used for internal investigations until investigation ends (c) Retain all other tapes 30 days)

(66) Pawn Broker and Second Hand Dealer Reports Reports submitted to the department documenting merchandise bought and sold by dealers. Useful in tracing stolen items. Information includes name, address, identification, and personal description of pledgor, as well as the date, dealer’s name, and description of article. (Minimum retention: 2 years)

(67) Peer Court Records Records documenting the peer court system where youths who have committed certain first time misdemeanors or violations are judged through a court system of their peers (aged 12-17 years). Records may include policy and procedures manuals, budget, activity and statistical reports, guidelines and instructions for participants, applications to participate in the program, juvenile consent form, intake interview form, defendant questionnaire, summary report, attorney’s analysis, jury verdict record, bailiff record, clerk’s record, community service log, judge’s notes, officer’s status reports, defendant evaluation, parent evaluation, and related documentation. SEE ALSO Policy and Procedure Manuals and Guidelines in the Administrative section. (Minimum retention: (a) Case records: 5 years after final disposition of case, or youth reaches age of majority, whichever is longer (b) Participant guidelines and instructions: Until superseded or obsolete (c) Other records: 2 years)

(68) 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)

(69) Photo Radar Records Records documenting traffic infractions by drivers that have been photographed by the county sheriff’s photo radar equipment. Records may include photographic negatives and prints, copies of citations, copies of drivers’ licenses, forms to dismiss, logs, and related documentation. (Minimum retention: (a) Retain photo radar citations issued and logs: 2 years (b) Retain photo radar citations not issued 30 days)

(70) Polygraph Records Records documenting polygraph tests given to criminal suspects, prospective employees and others. Includes pre-examination records, examination questions for individuals interviewed, statements of consent, polygraph analysis reports, examiner’s original test questions, examination chart tracing reports, polygraph results charts, conclusions, interviewee statements, and background information. (Minimum retention: (a) Retain cases involving crimes with no statute of limitations 75 years (b) Retain all other cases 1 year after statute of limitations expires)

(71) Property and Evidence Control and Disposition Records Records used to track property and evidence coming into department possession. Documents receipt, storage, and disposition of personal property and physical evidence from defendants, victims, and others. May include evidence photographs documenting crime scenes, accidents, and other incidents. Records often include receipt forms, evidence control sheets, property reports, destruction lists, property consignment sheets, seized firearm logs, homicide evidence inventories, and other documents. Information usually includes case number, tag number, date and time, property or evidence description, storage location, release date, and other data. (Minimum retention: (a) Retain cases involving crimes with no statute of limitations 75 years (b) Retain all other cases 1 year after statute of limitations expires)

(72) Property Registration Records Records documenting the registration of property for identification in case of theft, loss, or burglary. Property includes but is not limited to bicycles, televisions, cameras, stereos, and guns. Information may include name, address, and phone number of owner, date, description of property, serial number, and related data. (Minimum retention: Until registration is expired, superseded or obsolete)

(73) Property Sales/Deed Records Documents sale and conveyance of real and personal property by the enforcement agency. May include certificates of levy, notices of sale, publication proofs, mailing receipts, copy of judgment and execution, certificate of sale, return of service, and copy of deed issued. (Minimum retention: 6 years)

(74) Scene Reconstruction Visuals Exhibits and other visual aids created for use in court. Crime scenes were reconstructed and photographed in order to visually present information. (Minimum retention: (a) Retain cases involving crimes with no statute of limitations: Retain 75 years after case closure (b) Retain all other cases: Retain 1 year after statute of limitations expires)

(75) Subpoenas Records document subpoenas issued to law enforcement personnel to appear in court for the purpose of testifying. Information contains date of issuance, date requested, and location. (Minimum retention: Until court appearance)

(76) Surveillance Tapes Records documenting the routine monitoring of courts and other facilities through the use of video recordings. These recordings contain daily footage of activities in the courthouse or other county facilities and may also serve as evidence in criminal proceedings. (Minimum retention: (a) Retain tapes used as evidence: until case reaches final disposition (b) Retain tapes used for internal investigations: until investigation ends (c) Retain all other tapes: 30 days)

(77) Teletype Messages Incoming and outgoing teletype messages concerning a variety of subjects of interest to the department. Subjects include incidents, meetings, arrests, warrant confirmation and others. Information includes date, time, originating agency, and text. (Minimum retention: (a) Retain messages of interest to law enforcement agency not warranting inclusion in INCIDENT CASE FILES or other record series: 1 year (b) Retain all other messages: Until read)

(78) Towed Vehicle Records Rotation lists and related records documenting tow truck requests and responses. Information usually includes date, name of requestor, name of towing company called, location, and other data. Records may also include documentation of vehicles towed from private property at the request of citizens. This information is used to prevent towed vehicles from being reported as stolen. (Minimum retention: 1 year)

(79) Traffic, Transit and Other Citation Logs Logs listing various information related to citations issued by the department. Usually includes type of citation, ticket number, name of violator, date of issue, and officer’s name. (Minimum retention: 1 year)

(80) Traffic, Transit and Other Citations Department copies of citations issued for traffic, transit, motor vehicle, and other violations. Includes Uniform Traffic Citations, parking citations, and others. Information includes city and county, date and time, name and address, date of birth, sex, occupation, license number, state, year, make and model of vehicle, location of violation, law allegedly violated, conditions, name of officer issuing citation, and related data. (Minimum retention: 2 years)

(81) Traffic, Transit Violation Warning Records Series documents warnings issued for alleged traffic, transit and other minor offenses. Records are often used to identify repeat offenders and support follow-up investigations. Information includes date, time, category, name, address, phone number, date of birth, race, sex, hair and eye color, height, weight, drivers license number, make and model of vehicle, location of violation, description of violation, signatures, and related data. (Minimum retention: 1 year)

(82) Transportation of Prisoner Records Records documenting the movement of prisoners from one place to another. Includes times, dates, employee in charge, prisoners transported, locations where prisoners were transported, etc. (Minimum retention: 3 years)

(83) Used Firearm Transfer Records Records document the sale or transfer of a firearm. Information includes business name and address, individual purchasing or trading firearm, time and date of transaction, firearm description, including serial number, caliber, form of identification presented by the seller/trader, and dealer and seller/trader signatures and phone numbers. (Minimum retention: 1 year)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 6-2004, f. & cert. ef. 11-15-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0165

Planning

(1) Comprehensive Plan Records Records indicating the types of uses and activities allowed in particular land designations. Used to guide long term growth and development and to comply with state and federal laws. Usually contains public hearings records, plans, amendments, staff reports, periodic review records, maps, photographs, and other significant records. (Minimum retention: Permanent)

(2) Conditional Use Records Applications and decisions related to requests for certain land uses within a zone that require special review and approval. May include applications, site plans, zoning maps, staff reports, administrative action reports, and related significant records. (Minimum retention: 10 years after expiration, revocation, or discontinuance of use)

(3) Design and Development Review Records Architectural reviews of exterior renovations or new construction within particular geographical areas. Used to ensure integration of visual architectural standards. May include design review board or commission records such as minutes, agendas, and exhibits. Records also may include applications, site plans, staff reports, maps, review and appeal records, tape recordings, and related significant documents. Three dimensional exhibits such as sample boards of brick, tile, and other building materials are not public records. (Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in agency records): Permanently (b) Retain audio or visual recordings: 1 year after minutes prepared and approved (c) Retain exhibits not pertinent to minutes: 5 years (d) Retain all other records if permit issued and structure completed: 2 years after substantial completion (as defined by ORS 12.135(3)) (e) Retain if no permit issued: 180 days (f) Retain if permit issued, but structure not started or completed: 2 years)

(4) Enterprise Zone Records Records documenting the creation and management of enterprise zones by the agency or in conjunction with other agencies. Designation used to encourage business growth by providing tax, permit, and regulatory relief to development within the zone. May include reports, applications for zone status, nominations for federal status, and significant related records. (Minimum retention: (a) Retain reports summarizing results or activities permanently (b) Retain other records 4 years after zone designation expires)

(5) Flood Plain Permit Records Permits issued for construction within a flood plain zone. Records also may include elevation certificates, applications, review records, check lists, and other significant documents. Permit information usually includes date, permit holder’s name and address, U.S. map number, type of structure, and related data. (Minimum retention: (a) Retain permits and elevation certificates, 10 years after the life of the structure or area determined not to be a flood plain, whichever is longer (b) Retain other records 10 years)

(6) Historic Structures Inventory Records Records documenting the results of inventory projects to designate historic properties within a particular geographic area. Inventory is in conjunction with Oregon Land Conservation and Development Commission Goal 5 procedures. Information usually includes street address, legal description, neighborhood, owner’s name and address, date constructed, historic and architectural significance, and references used. (Minimum retention: Until superseded or obsolete)

(7) Historic Structures Rehabilitation Project Reviews Routine reviews of proposals for rehabilitation of structures that have been designated historically significant or are 50 years old. Used to meet grant funding conditions and to protect the historical integrity of structures. Reviews often include address of structure, legal description, owner’s name and address, proposed work, rehabilitation specialist’s evaluation, violations noted, photographs, and related information. May also contain significant related correspondence. (Minimum retention: 3 years after project closed)

(8) Land Use Hearings Officer Records Records documenting appeals to the agency’s hearings officer and decisions reached concerning variances and changes to the zoning code and comprehensive plan. May refer to conditional uses, zone changes, partitions, code variances, and other proposed actions. Records may include applications, hearings minutes, findings of fact, agendas, exhibits such as maps, reports, photographs, etc., tape recordings, and significant related records. (Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in agency records): Permanent (b) Retain audio or visual recordings: 1 year after minutes prepared and approved (c) Retain exhibits not pertinent to minutes: 5 years)

(9) Neighborhood/Citizen Association Charters and Bylaws Charters and bylaws documenting the creation and organization of neighborhood associations designed to meet citizen involvement requirements and goals set by state and federal agencies concerned with urban development and land use issues. Usually includes articles of incorporation, amendments, and significant related records. (Minimum retention: Permanent)

(10) Partition Records Records documenting the partitioning of land into two or three parcels. Includes both major and minor partitions. Records often contain applications, staff reports, technical notes, approval orders, maps, and related significant records. (Minimum retention: (a) If approved and agency conditions met: Permanent (b) If not: 10 years after expiration or revocation)

(11) Sign Review Records Records documenting planning department review of sign construction. Often contains descriptions, drawings, photographs, reports, applications, and related significant records. (Retention: For the life of the structure)

(12) Subdivision Records Records documenting actions on requests to divide one piece of land into four or more lots. Often includes applications, site locations, descriptions of requests, site plans, staff reports, appeals reports, decision statements, maps, and related significant records. Records documenting actions on requests to divide one piece of land into four or more lots. Often includes applications, site locations, descriptions of requests, site plans, inspection reports, appeals reports, decision statements, maps, photographs, bonds and assurances, insurance records, engineering reports, test records, and related significant records. (Minimum retention: (a) If approved and agency conditions met: Permanent (b) If not: 10 years after expiration or revocation)

(13) Temporary Use Records Records documenting action on permits for temporary activities in commercial and industrial zones such as allowing temporary placement of structures incidental to construction. Records often contain applications, permits, staff reports, technical notes, approval orders, and other significant documents. (Minimum retention: 5 years after permit expiration)

(14) Urban Renewal Plans and Reports Plans and reports mandated by ORS 457.085 to provide descriptions and justifications for proposed development in urban renewal areas within a particular geographic area. Includes plans, amendments, reports, hearings records, impact statements, feasibility studies, maps, relocation studies, and related significant records. (Minimum retention: Permanent)

(15) Urban Renewal Project Records Records documenting individual renewal projects within urban renewal areas. Projects include but are not limited to construction, demolition, and rehabilitation of buildings, streets, and utilities. May include project area committee documents, reports, and related records, project plans, design reviews, maps, photographs, consultant studies, feasibility studies, agreements, and other significant records. Some records may have historic value. (Minimum retention: (a) Retain agreements: 10 years after substantial completion (as defined by ORS 12.135(3)) (b) Retain other records: 50 years)

(16) Variance Records Applications and decisions in cases of minor deviations from zone code requirements. Often includes applications, site locations, description of requests, site plans, zoning maps, staff reports, and significant related records. (Minimum retention: 10 years after expiration, revocation, or discontinuance of use)

(17) Withdrawn Land Use Application Records Records document land use applications and supporting documentation withdrawn by the applicant before a decision has been issued by the county or special district. Records may include but are not limited to applications, site location descriptions, site plans, maps and correspondence. (Minimum retention: 180 days if not returned to applicant at the time of withdrawal).

(18) Zone Change Records Applications and decisions related to rezoning land within the scope of an existing comprehensive plan. Often includes applications, staff reports, technical notes, approval orders, and related significant records. (Minimum retention: (a) Applications, findings of fact, and decision documents: Permanent (b) Other records: 10 years after approval or denial)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0175

Public Works Records — Operations and Maintenance

(1) Backflow Prevention Device Test Records Records documenting test results on backflow prevention devices designed to protect the water system from pollution related to substances backing into water lines. Information usually includes date, type and size of device, serial number, location, test records, line pressure, name of tester, name and address of device owner, and related data. (Minimum retention: 10 years)

(2) Buildings and Grounds Maintenance and Repair Records Records of all maintenance and repairs to buildings, grounds, and right-of-ways owned or leased by the agency. Used to verify that repairs were made. May include summaries, logs, reports, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, materials used, personnel completing work, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section, and Administrative and Financial Improvement Records in the Financial section. (Minimum retention: (a) Records requiring engineering stamps: 2 years after life of structure (b) Other records: 2 years)

(3) Cross Connection Control Survey Records Records documenting the monitoring of potential or actual water system health hazards from pollution entering water pipes from other pipes. Records may include reports, surveys, checklists, and related documents. Information often includes address, contact person, business name, date, inspector, type of facility, description of protection, comments, corrections made, and other data. (Minimum retention: 1 year after disconnection or 10 years, whichever is longer)

(4) Delivery Tickets Tickets issued by suppliers to verify delivery of supplies or materials (concrete, road base, gravel, topsoil, etc.) Information usually includes date, time, amount and type of supplies received, and related data. (Minimum retention: 2 years)

(5) Fill and Leaf Delivery Records Records documenting citizen requests and agency delivery of fill material and leaves to private property. Often includes conditions, signature, address, and phone number of property owner, number of loads requested, desired dumping location, and related information. (Minimum retention: 2 years)

(6) Hydrant Records Records documenting the location, specifications, maintenance, testing, and repair of water hydrants in the water system. May include lists, charts, logs, reports, and related records. Information often includes location, make, description (main size, valve size, flow capacity, etc.), maintenance and repair narratives, dates, authorizations, and related data. (Minimum retention: (a) Location and specification records: Until hydrant permanently removed from service (b) Maintenance, test, and repair records: 2 years)

(7) Permit-Required Confined Space Program Records Records document OSHA program outlined in CFR 29.1910.146(e)(6) requiring employers to issue safety permits for employees entering potentially hazardous confined spaces, such as sewers. Records include permit, preentry testing data, field notations, and observations. (Minimum retention: 1 year)

(8) Sewer and Storm Drainage Maintenance and Repair Records Records documenting the maintenance and repair of agency sewers and storm drains. May include summaries, reports, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, amount and type of material used, personnel completing work, dates of activities, authorization, and related data. SEE ALSO Permit Required Confined Space Program Records in this section. (Minimum retention: (a) Records requiring an engineering stamp: 2 years after sewer or storm drain permanently removed from service (b) Other records: 2 years)

(9) Sewer Smoke Test Records Records documenting smoke tests undertaken to verify hookup to main sewer lines, check condition of pipes, or determine effectiveness of backflow prevention devices. Information often includes maps or diagrams of lines tested, location of leaks detected, inspector’s name, pipe size, and related data. (Minimum retention: 10 years)

(10) Sewer Television/Videoscan Inspection Records Reports documenting television inspections used to determine the condition of sewer lines. Inspections locate problems and defects so that corrective measures can be taken. Often consists of periodic inspections of existing lines, final inspections of newly constructed lines, and inspections at the end of warranty periods. Records usually contain videotapes and written reports. Information often includes date, type of inspection, conditions found, repairs needed, distances from manholes, and related data. (Minimum retention: (a) Written reports: 10 years or until superseded or obsolete, whichever is first (b) Video tapes: 1 year after written report submitted)

(11) Temporary Access/Construction Easement Records Records documenting temporary easements allowing entrance and work on property not owned by the easement holder. Permits usually apply to agency crews and utility workers. Information can include applicant name, address, and phone number, contractor name and license number, utility involved, location, description of work, security deposit, surface restoration material used, signature, date, comments, permit number, and related data. (Minimum retention: 5 years after easement expires)

(12) Valve Maintenance Records Records documenting the location, specifications, maintenance, and repair of valves in the water and sewer systems. May include lists, charts, drawings, reports, logs, and related records. Information often includes valve location, identification number, run of pipe, size, make, year installed, depth, turns to open and normal position, narratives of valve maintenance and repair, tests run, personnel completing work, dates, and related data. (Minimum retention: (a) Location and specification records: Until valve permanently removed from service (b) Maintenance and repair records: 5 years)

(13) Water Line Maintenance and Repair Records Records documenting the maintenance and repair of agency-owned water lines. May include reports, summaries, and similar documents usually compiled from daily work records on a monthly or quarterly basis. Information often includes, location, narrative of work completed, amount and type of materials used, personnel completing work, dates of activities, authorization, and related data. (Minimum retention: (a) Records requiring an engineering stamp: 2 years after water line permanently removed from service (b) Other records: 10 years)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0185

Public Works Records — Traffic Engineering and Maintenance Records

(1) Alternative Transportation Committee Meeting Records Records documenting the proceedings of the board of committee responsible for making recommendations to the county on alternative transportation issues, as described in Oregon’s Public Meetings Law (ORS 192.610 to 192.710). Alternative modes of transportation include walking, public transit, and bicycling among others. Committee may provide input on footpath development as well. Records usually include minutes, agendas, exhibits, tape recordings, and related items. Subjects may include design, location, construction maintenance, projected needs, and development of master plans for alternative transportation mediums. (Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in county records): Permanently (b) Retain audio or visual recordings: 1 year after minutes prepared and approved (c) Retain other records and exhibits not pertinent to minutes: 5 years)

(2) Bridge and Culvert Maintenance and Repair Records Records documenting maintenance and repairs on bridges and culverts. Includes pedestrian and bicycle bridges. May include summaries, reports, logs, and related records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, materials used, personnel completing work, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section. (Minimum retention: (a) Records with engineering stamps documenting structural maintenance or repairs: 2 years after bridge or culvert permanently removed from service (b) Other records: 2 years)

(3) Crosswalk Records Records documenting the location and use of crosswalks. Useful in determining the need for and placement of existing and proposed crosswalks. May include reports, maps, studies, and related records. (Minimum retention: 2 years after superseded or obsolete)

(4) Railroad Crossing Records Records documenting agency activities in relation to railroad crossings. Records may include crossing plans and drawings, Oregon Public Utility Commission (PUC)/Oregon Dept. of Transportation (ODOT) public hearings records and rulings, reports and studies, accident records, and related documentation and correspondence. Records may also include documentation of corrective action taken in response to PUC/ODOT inspection reports. Oversight responsibility of railroad and rail safety responsibilities was transferred from the PUC to ODOT in 1995. (Minimum retention: Permanent)

(5) Speed Zone Records Records documenting the establishment and review of speed zones. Includes zones set by the Oregon State Speed Control Board and those established by the agency under OAR 701-010-0010. Records may include reports, photographs, proposals, orders, maps, accident summaries, and related documents. Considerations include pedestrian and bicycle movements, environmental impact, adjacent land use, and other factors. (Minimum retention: 2 years after superseded or obsolete)

(6) Street Banner Records Records documenting proposals for and installations of banners on streets, often in relation to civic events or celebrations. Records may include plans, maps, proposals, reports, applications, and other documents. Applications usually include applicant’s name, address, and phone number, organization name, banner message, display period requested, signature of official approving permit, and related information. (Minimum retention: 2 years)

(7) Street and Road Condition Inventory Records Inventory records documenting the condition of streets, roads, curbs, shoulders, sidewalks, bikeways, alleys, etc. Useful for reference and planning. Information can include street or road name, location, year surveyed, constructed, and surfaced, bed and surface type, surface size, condition, and other data. (Minimum retention: 5 years after annual audit report issued)

(8) Street Light Inventory Records Inventory records of all street lights in an area. Information can include addresses, pole numbers, and map numbers of lights, types of lights, dates of purchase and installation, notes, and other data. (Minimum retention: Until superseded or obsolete)

(9) Street Light Maintenance and Repair Records Records documenting maintenance and repairs on street lights. May include reports, summaries, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, equipment repaired or replaced, supplies used, personnel completing work, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section. (Minimum retention: 3 years after annual audit report issued)

(10) Street Light Request and Survey Records Records documenting requests by citizens for the installation of street lights, as well as surveys to assess need and feasibility. Often includes request forms, correspondence, surveys, reports, and related records. (Minimum retention: 2 years after last action)

(11) Street Maintenance and Repair Records Records documenting maintenance and repairs of agency-owned streets and sidewalks. May include reports, summaries, and similar documents usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, amount of materials used, personnel involved, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section. (Minimum retention: (a) Records requiring an engineering stamp: 10 years after substantial completion (as defined by ORS 12.135(3)) (b) Other records: 2 years)

(12) Street Surface Maintenance Records Records documenting routine and special street sweeping, cleaning, snow removal, sanding, leaf removal, and similar work. Often includes reports, summaries and similar records. Information can include date and time, area covered, broom down time and mileage, traveling time and mileage, operator’s name, equipment used, amount of sand applied, amount of leaves removed, weather conditions, and related data. (Minimum retention: 3 years)

(13) Traffic Accident Analysis Records Records documenting the study of traffic accidents. Useful in identifying hazardous locations and determining possible corrective action. Records may include various statistical data on accidents related to fixed objects, parked automobiles, complicated intersections, bridges, pedestrians, streets/highways/roads, and other factors. May also include records of individual accidents documenting site, date, direction, driver’s sex and age, weather, vehicle type, and related information. SEE ALSO Survey Field Records in the County Surveyor Records section. (Minimum retention: (a) Reports and summaries: 10 years (b) Other records: 5 years)

(14) Traffic Control Equipment Maintenance and Repair Records Records documenting maintenance and repair of traffic signals and signs in an area. May include reports, summaries, and similar records. Information often includes location, narrative of work completed, equipment repaired or replaced, supplies used, personnel completing work, dates of activities, and related data. (Minimum retention: (a) Traffic signals: 3 years after equipment permanently removed from service (b) Traffic signs: 3 years)

(15) Traffic Control Equipment Inventory Records Records documenting the location, type, and use traffic control equipment. Often includes an inventory of all traffic signs and signal equipment. Also may include information noting the timing intervals of traffic signals for red, green, yellow, and pedestrian cycles, type of equipment, date of purchase and installation, location, notes, and other data. (Minimum retention: 2 years after superseded or obsolete)

(16) Traffic Research and Study Records Records documenting data gathering and analysis concerning traffic patterns, speed, direction, and other topics. May include information on vehicles, bicycles, and pedestrians for a given location and period of time. Usually includes machine and manual traffic counts, reports, summaries, and related records. SEE ALSO Engineering Project Technical Records in the Public Works-Engineering section. (Minimum retention: (a) Reports and summaries: 10 years (b) Other records: Until information is summarized or obsolete)

(17) Transit System Records Records document transit system routes, stops, stations and crossings in a particular geographic area, related transit schedules and amenities. Also may contain records related to agency review and approval or denial of individual stops or crossings, and service changes proposed by a transit district. Records may include reports, surveys, decision statements, notifications to affected individuals and property owners, and related records. SEE ALSO Meeting Records, Governing Body, and Special District Ordinances in the Administrative Records section. (Minimum retention: (a) Stop, station and crossing review records: 2 years after denied or approved and stop or crossing removed (b) Transit system maps: Until superseded or obsolete)

(18) Truck Route Records Records documenting the designation of truck routes for transporting goods within and through a particular geographical area. May include reports, maps, studies, and related documents. Subjects often include hazardous materials, triple trailer trucks, log trucks, buses, and others. (Minimum retention: 2 years after superseded or obsolete)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-150-0200

Risk Management Records

(1) Contractor Liability Insurance Verification Records Letters or certificates of coverage provided by insurance companies declaring that specific contractors are covered by appropriate liability insurance. Information usually includes insurance company name and address, issue date, expiration date, amount of coverage, type of coverage, special provisions, signature of insurance company representative, and related data. (Minimum retention: (a) If related to county or special district improvement project: 10 years after substantial completion, (as defined by ORS 12.135(3)) (b) Other records: 6 years after expiration)

(2) Contractor Performance Bond Records Records documenting the posting of performance guarantees or surety bonds by contractors performing work for the agency. May include letters, certificates, copies of bonds, and similar records. Information usually includes name of individual or company covered, amount of coverage, effective and expires dates, name of bonding agent, authorized signatures, and related data. (Minimum retention: (a) If related to county or special district improvement project: 10 years after substantial completion, (as defined by ORS 12.135(3)) (b) Other bond records: 6 years after expiration)

(3) Hazard Communications Program Records Records documenting participation in the Hazard Communications Program as required by the Oregon Occupational Safety and Health Administration (OR-OSHA). These records may be useful as documentation for exposure and other claims because they include chemical content, safe handling instructions, and other facts about a product at a given time in the past. Usually includes plans, reports, and material safety data sheets (MSDS). Information included in the material safety data sheets includes product name, manufacturer’s address and phone number, hazardous ingredients contained, ingredient description, carcinogenicity, quantity of ingredients, fire and explosion data, health hazard data, radioactivity data, spill and leak pressures, safe handling and use information, special use precautions and related data. (Minimum retention: 75 years after superseded or obsolete)

(4) Hazardous Substance Employer Survey Records Series documents the locations, quantities, and individuals responsible for specific hazardous chemicals housed by an agency. This record is sent to the State Fire Marshal. Records include hazardous chemical compositions, lot numbers, and emergency disposition instructions. (Minimum retention: Until superseded or obsolete)

(5) Incident Reports Series documents incidents which result in an investigation of fraud. Information includes correspondence documenting incident, investigation report, and resolution/final determination. (Minimum retention: 5 years)

(6) Injury Reports, Public Use Records documenting injuries sustained by non-employees on county or special district property such as parks, courthouses, libraries, and administrative buildings. Information usually includes date, time, location, and description of injury, name, address, phone number, sex, and age of injured person, witnesses, date reported, and related data. (Minimum retention: (a) If claim filed: See Liability Claims Records (b) If no claim filed: 3 years)

(7) Insurance Fund Claims Series documents requests for payment of insurance claims from insurers. Records may include Auto/Liability/Property Claim Reports, estimates of repairs, accident reports, police reports, and correspondence. (Minimum retention: 5 years)

(8) Insurance Policy Records Records documenting the terms and conditions of insurance policies between the agency and insurers. Types of insurance include liability, property, group employee health and life, motor vehicle, workers’ compensation, flood, and others. Records usually include policies, endorsements, rate change notices, agent of record, and related documents. (Minimum retention: (a) Group employee health and life, property, and liability insurance: 75 years after expiration if no claims pending (b) Other insurance: 6 years after expiration if no claims pending)

(9) Liability Claims Records Records documenting various types of liability claims filed against the agency. These include personal injury, property damage, motor vehicle accident, false arrest, and others. Records often include reports, photographs, summaries, reviews, notices, audio and videotapes, transcriptions of recorded statements, memoranda, correspondence, and related documents. (Minimum retention: (a) If action taken: 10 years after case closed, dismissed, or date of last action (b) If no action taken: 3 years)

(10) Liability Waivers Records Documenting the release of the agency from liability related to various activities that include citizen involvement. Examples include but are not limited to riding in police or emergency medical services vehicles, participating in agency sponsored runs or other activities such as recreational classes including canoeing, kayaking, tennis, basketball, and others. Information usually includes release terms, date, signatures, and related information. (Minimum retention: 3 years)

(11) Master Material Safety Data Records Series documents all hazardous chemicals used and held by an agency. Records include hazardous materials safety sheets, safety instructions, and emergency instructions. (Minimum retention: Until superseded or obsolete)

(12) Occupational Injury and Illness Records Series documents occupational injuries and illnesses, as required by the Oregon Occupational Safety and Health Administration (OR-OSHA). Records may include logs and summaries, serious injury reports, injury cost reports, and annual occupational injuries and illnesses surveys. SEE ALSO Workers’ Compensation Claim Records in this section. (Minimum retention: 6 years)

(13) Personnel Accident Incident Reports Series used to report employee accidents to agency supervisors. Records may include SAIF accident reports, accident reports, occupational injury report and investigation, and employee identification and physical assessment form. (Minimum retention: 10 years after case closed)

(14) Property Damage Records Reports, photographs, and other records documenting damage to agency property such as signs, trees, picnic tables, buildings, fountains, and fences. Information often includes type and location of property damaged, description of damage, date and time of damage (if known), name and address of individual who caused damage (if known), value of damage, billing costs, and related data. (Minimum retention: (a) If litigated: see Civil Case Files in the Counsel or District Attorney section for retention (b) If not litigated: 3 years after date of last action)

(15) Risk Factor Evaluation Records Series is used to assess various risk factors for an agency and determine appropriate insurance needs. Records may include studies, worksheets, yearly risk reports, restoration fund inventory reports, policy manuals, property transfer reports, self insurance manuals, real property reports, money and negotiable securities reports, a general risk survey and correspondence. (Minimum retention: 4 years)

(16) Safety Inspection and Compliance Records Series provides a record of safety inspections and documents agency compliance with state and local safety regulations. Records may include reports on building, fire alarm system, elevator, boiler, transit, and construction inspections performed by state and local agencies as well as citations received by the agency. Also includes follow-up actions and correspondence. (Minimum retention: 10 years)

(17) Safety Program Records Records document the agency’s program to promote safety on agency-owned property and systems. Records may include safety policies, plans and procedures, workplace safety committee records, reports on inspections conducted by the safety officer, evacuation rosters and reports, and related documentation and correspondence. SEE ALSO Engineering Project Technical Records in the Public Works Records – Engineering section. (Minimum retention: (a) Retain safety policies, plans, and procedures: 5 years after superseded or obsolete (b) Retain inspection reports, evaluations and recommendations: 10 years (c) Retain committee minutes, exhibits, and agendas: 3 years (d) Retain other records: 5 years)

(18) State Accident Insurance Fund (SAIF) Claim Records Series documents job-related injury and illness compensation claims made by agency employees to the State Accident Insurance Fund and the resulting claim disposition. Records may include case histories, employer’s payroll reports, SAIF premium reports, hearing transcripts, notices of claim acceptance, injury reports, supervisor’s accident investigation reports, SAIF injury report summaries, opinions and orders, appeal letters, claim adjustment documentation, physician’s reports, cost statements, and associated correspondence. (Minimum retention: 6 years after claim closure)

(19) State Accident Insurance Fund (SAIF) Injury Reports Series documents the information submitted to the State Accident Insurance Fund about personal injuries incurred by agency employees. (Minimum retention: 1 year)

(20) Vehicle Accident Records Records documenting accidents involving agency vehicles. May include dispatch reports with information such as name and address of parties involved, date and time, complaint, description of damage, and other data. Records may also contain motor vehicle accident reports which include the driver’s name, address, phone number, date of birth, and driver’s license number, as well as passenger and witness names, description of events, make and model of vehicle(s), vehicle identification number, and related data. Photographs and correspondence also may be part of these records. (Minimum retention: (a) If litigated: SEE Civil Case Files in Legal Counsel section (b) If not litigated: 3 years)

(21) Workers’ Compensation Claim Records Records documenting the processing of individual employee claims of job related injuries or illnesses, but not those describing actual medical conditions. Includes records satisfying the procedural requirements of the State Workers’ Compensation Division and the State Workers’ Compensation Board, as well as those of (depending on agency arrangements) the State Accident Insurance Fund (SAIF), private insurance providers, or self-insurance. Records may include claim disposition notices, claim reporting and status forms; injury reports; determination orders; insurance premium data; hearing requests; safety citations; inspection reports; medical status updates and reports; investigation reports; reimbursement and payment records; and related correspondence and documentation. SEE ALSO Employee Medical Records in the Personnel section for records describing the job related injury or illness and the related subsequent medical condition of the employee. These often include workers’ compensation accident reports, medical reports, vocational rehabilitation evaluations, disability determinations and related records. (Minimum retention: (a) Records describing injuries and illnesses: SEE Employee Medical Records in the Personnel Records section (b) Other records: 6 years after claim closed or final action)

(22) Workers’ Compensation Program Records Series used to provide a record of an agency’s occupational injury/accident claims, safety compliance inspections, insurance coverage, and related reimbursement issues. Records may include claim disposition notices, claim reporting/status forms, injury reports, WCD Determination Orders, insurance premium data, hearing requests, safety citations, inspection reports, medical status updates, investigation records, and correspondence. (Minimum retention: 6 years)

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0010

Administrative Records

(1) Activity and Room Scheduling and Reservation Records Records document scheduling and reservations related to public participation in and use of various city activities, events, classes, and meeting rooms. Includes schedules, logs, lists, requests, and similar records. SEE ALSO Participant Registration and Attendance Records and Park and Facility Use Permits in the Parks and Recreation section for records documenting public use of services or facilities for which formal registrations or permits are required. (Minimum retention: 1 year).

(2) Activity Reports, General Daily, weekly, monthly, or similar reports other than annual reports documenting the activities of city employees. Useful for compiling annual reports, planning and budgeting, monitoring work progress and other purposes. Usually tracks type of activity, employees and/or volunteers involved, time spent on activity, work completed, and related information in narrative or statistical form. SEE ALSO Grant Records in the Financial-General section for reports documenting activities directly related to projects funded by grants. (Minimum retention: 2 years).

(3) Annual Reports Reports document the program or primary functional activities and accomplishments of the office for the previous year. These are often compiled from monthly, quarterly, or other subsidiary activity reports. Usually includes statistics, narratives, graphs, diagrams, and similar information. SEE ALSO Activity Reports, General in this section for reports documenting shorter periods of time. (Minimum retention: Permanent).

(4) Cemetery Records* Records document the administration and management of city-owned cemeteries. Records may include lists of names and maps of grave locations, deeds, information on purchasing lots and burials, death certificates, State Mortuary and Cemetery Board licensing and reporting documentation, and related correspondence. Some records may have historic value. (Minimum retention: Permanent).

(5) Communication Logs Logs document communications made or received through a variety of electronic devices, including but not limited to telephone, smart phone, facsimile (fax), radio, computer-aided dispatch, pager, and teletype, AND are not otherwise specified in the city general records retention schedule (OAR 166 Division 200). Logged information may include time, date and disposition of communication, name of caller, number called or received, and action taken. SEE ALSO Correspondence in this section. (Minimum retention: 1 year)

(6) Correspondence Records that: 1. document communications created or received by an agency AND 2. directly relate to an agency program or agency administration AND 3. are not otherwise specified in the City General Records Retention Schedule (OAR 166-200) or in ORS 192.170. Records may include but are not limited to letters, memoranda, notes and electronic messages that communicate formal approvals, directions for action, and information about contracts, purchases, grants, personnel and particular projects or programs. (Disposition: File with the associated program or administrative records. Retentions for city records are found in City General Records Retention Schedule. Communications not meeting the above criteria do not need to be filed and may be retained as needed).

(7) Desk Calendars and Notes Records document planning, scheduling, and similar actions related to meetings, appointments, trips, visits, and other activities. Includes calendars, appointment books, notes, telephone messages, diaries, and similar records, regardless of format. Depending on content, some telephone messages and similar records may merit inclusion in related program or project files. This applies to records that contain significant information, which is not summarized or otherwise included in reports or similar documents. Information recorded in a personal day planner or personal electronic device may be a public record under ORS Chapter 192. (Minimum retention: 1 year).

(8) Emergency and Disaster Incident Records* Records document the extent of impact and actions taken by the city in response to disasters, emergencies, and civil disorder. Incidents may be natural or manmade such as earthquakes, wild land fires, severe storms, floods, drought, airplane crashes, utility failures, hazardous materials incidents, riots, and similar events affecting the people, property, or government of the city. Records may include logs, diaries, damage assessment reports, response reports, situation and resource status reports, incident action plans, resource ordering and tracking records, financial documentation, messages, photographs, sign-in sheets, and any other incident related documentation. SEE ALSO the Emergency Management section, the Fire and Emergency Medical Services section, the Police section, the Public Works section, and the Risk Management section for related records. (Minimum retention: Permanent).

(9) Fax Reports Reports document the facsimile transactions of the city. Reports may also be used for billing purposes. Information includes date and time fax transmitted or received and recipient/sender fax number. (Minimum retention: (a) If used for billing, retain 3 years (b) If not used for billing, destroy).

(10) Index/Finding Aid Records Records created to facilitate the location and retrieval of information, files and physical objects. (Minimum retention: Until superseded or obsolete).

(11) Internal Audit Records Records document the examination of the city’s fiscal condition, internal control, and compliance policies and procedures. Records may also document performance or other financially related audits by city or contracted auditors. Records may include audit reports, supporting documentation, comments, and correspondence. (Minimum retention: 10 years).

(12) Key and Keycard Records* Records document the issuance of keys and keycards to agency staff to enable access to agency buildings and sites. Records may include but are not limited to key inventories, key issue forms, key replacement records, and key disposal records. (Minimum retention: 2 years after key is turned in).

(13) Lobbyist Records Records document lobbyist and lobbyist employer activities and are used to report to these activities to the Oregon Government Ethics Commission. Records may include but are not limited to expenditure reports, registration statements, termination records, guidelines, and correspondence. (Minimum retention: (a) Retain expenditure reports 4 years (b) Retain all other records 5 years after last activity)

(14) Mailing Lists Lists compiled to facilitate billing, community outreach, and other functions in the city. Information usually includes name of individual or group, address, name and title of contact person, phone number, comments, and similar data. (Minimum retention: Until superseded or obsolete).

(15) Meeting Records, Board, Commission, and Committee* Records document the proceedings of city boards, commissions, task forces, committees, advisory councils, and other similar groups, as described in Oregon’s Public Meetings Law (ORS 192.610 to 192.710). Records may include minutes, agendas, exhibits, resolutions, staff reports, indexes, petitions, audio or visual recordings, correspondence, and related documentation. (Minimum retention: (a) Minutes* (except executive session minutes), agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records) permanently (b) Executive session minutes, retain 10 years (c) Audio or visual recordings 1 year after minutes prepared and approved (d) Other records and exhibits not pertinent to minutes, retain 5 years).

(16) Meeting Records, Governing Body* Records document the proceedings of any regularly scheduled, special, executive session, or emergency meeting of any governing body, as described in Oregon’s Public Meetings Law (ORS 192.610 to 192.710) that is under city jurisdiction. These typically consist of boards, commissions, advisory councils, task forces, and similar groups. Records may include minutes, agendas, exhibits, resolutions, staff reports, indexes, petitions, tape recordings, and related documentation and correspondence. For further description of several specific examples of meeting records, refer to the subject index. SEE ALSO Meeting Records, Staff and Meeting Records, Board, Commission, and Committee; in this section. (Minimum retention: (a) Minutes* (except executive session minutes), agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records) permanently (b) Executive session minutes 10 years (c) Audio or visual recordings, retain 1 year after minutes prepared and approved (d) Other records and exhibits not pertinent to minutes, retain 5 years).

(17) Meeting Records, Staff Records document meetings within city government, which are not subject to Oregon’s Public Meetings Law (ORS 192.610 to 192.710). These routine staff meetings deal with tasks and actions within existing policies and procedures. Records may include minutes, notes, reports, and related items. Some records may merit inclusion in other record series with longer minimum retention periods if the subject matter of the meeting adds significant information to that series. (Minimum retention: 2 years).

(18) Mitigation Program Records* Records document the establishment and maintenance of the city mitigation program, plans, and procedures. Records may include mitigation plans and strategies, policies, procedures, seismic surveys and structural upgrade records of city facilities, project reports, hazard mitigation grant records, and related documentation which may include capital improvement records, new and revised building codes, and zoning ordinances. SEE ALSO the Risk Management section. (Minimum retention: (a) Adopted plans,* retain permanently (b) Other records, retain for the life of the structure).

(19) News Releases Records document the release of prepared statements, announcements, news conference transcripts, and similar records issued to the news media by the city. Subjects include the adoption of new city programs, termination of old programs, policy shifts, changes in the status of elected officials or senior administrative personnel, and others. Also may include news releases announcing routine events or actions carried out within the scope of existing city policies. Some releases may merit inclusion in applicable related record series (e.g., Incident Case Files, Fire Investigation Records, etc.). (Minimum retention: (a) Policy and historic news releases, retain permanently (b) Routine news releases, retain 2 years).

(20) Notary Public Log Book Records document the notarial transactions completed by a notary public employed by the city. Cities may retain log books by agreement with the notary public after their separation from city employment. Cities retaining notary public log books without notary agreements should consult their city attorney and/or the Secretary of State, Corporation Division for retention instruction. (Minimum retention: 7 years after date of commission expiration).

(21) Organizational Records Records document the arrangement and administrative structure of the city government. May include charts, statements, studies, and similar records. Includes studies to determine the merit and feasibility of reorganization plans as well as other major studies related to the city’s administrative hierarchy. (Minimum retention: Permanent).

(22) Permit and License Records, City Issued* Records document city review, background investigations, recommendations and other actions related to permits and licenses issued for various activities within the city. Subjects may include but are not limited to business, tree removal, temporary signs, taxi cab drivers, dances, parades, rocket launching, second hand dealers, alarm system dealers, keeping livestock in the city, and solicitors. Usually includes applications, background investigation reports, permits, licenses, and related records. This record series does not apply to several types of permit records related to construction, certain public works functions, and others. SEE ALSO the Financial sections, Building Permits in the Building section; Explosives Storage and Use Permits in the Fire and Emergency Medical Services section; Right-of-Way Permit Records in the Public Works-Engineering section; and Industrial Pretreatment Permits in the Public Works-Wastewater Treatment section. (Minimum retention: (a) Fee permits or license records, retain 3 years after expiration, revocation, or denial (b) Free permits or license records, retain 2 years after expiration, revocation, or denial).

(23) Postal Records Records document transactions with the U.S. Postal Service and private carriers. Includes postage meter records, receipts for registered and certified mail, insured mail, special delivery receipts and forms, loss reports, and related items. (Minimum retention: 3 years).

(24) Professional Membership Records Records document institutional or agency-paid individual memberships and activities in professional organizations. (Minimum retention: 3 years).

(25) Program Accreditation Records Records document the evaluation, certification, and accreditation of an agency program by a nationally or regionally recognized accrediting organization AND are not otherwise specified in the city general records retention schedule (OAR 166 Division 200). Records may include but are not limited to self-evaluation reports; reports sent to accrediting organization; statistical data; evaluation reports; final accreditation reports and certifications; and related documentation and correspondence. Some records in this series may have historic value. SEE ALSO Professional Membership Records in this section. (Minimum retention: Retain current and one previous accreditation cycle, destroy.)

(26) Public Notice Records* Records document compliance with laws requiring public notice of city government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, and others. Records include public or legal notices, certificates, affidavits of publication, and similar documents. SEE ALSO Competitive Bid Records in the Financial-General section for public notices related to bid openings and awards. (Minimum retention: 3 years).

(27) Publications Records document the published records produced by or for the city or any of its departments or programs and made available to the public. Includes newsletters, pamphlets, brochures, leaflets, reports, studies, proposals, and similar published records. Does not include publications received from federal, state, private or other sources — these publications and extra copies of city-produced publications should be retained as needed. (Minimum retention: (a) Brochures, pamphlets, and leaflets, retain until superseded or obsolete (b) One copy of all others, retain permanently).

(28) Requests and Complaints Records document complaints or requests concerning a variety of city responsibilities. Information often includes name, phone number, and address of person making request or complaint, narration of request or complaint, name of person responding to request or complaint, dates of related activities, and other data. SEE ALSO Equal Employment Opportunity Complaint Records, and Grievance and Complaint Records in the Personnel Records section; Water Quality Complaint Records in the Public Works-Water Treatment Records section; and Incident Case Files, which contain law enforcement complaints in the Police Records section. SEE ALSO Correspondence, General in this section for routine requests for information or publications and Liability Claims Records in the Risk Management section. (Minimum retention: 2 years after last action).

(29) Routing and Job Control Records Records used to control the routine flow of documents and other items and actions in and between offices in the city. Includes routing slips, job control records, status cards, receipts for records charged-out, batch slips, and similar records. (Minimum retention: 1 year).

(30) Scrapbooks Books document a chronological, historical event or similar record of the city. May contain photographs, newspaper or magazine clippings, commentaries, and other items pertaining to the activities, actions, and reactions of the city officials, personnel, and citizens. Scrapbooks vary greatly in their content and value. Some may have historic value. For appraisal assistance, contact the Oregon State Archives. (Minimum retention: Retain as needed).

(31) Security Records Series documents security provided for agency buildings and grounds. Records include surveillance records, security logs, sign-in sheets, security reports, incident reports, and related records. Minimum retention: 2 years

(32) Seminar and Conference Records, City-Sponsored Records document the design and implementation of city-sponsored seminars, conferences, workshops, conventions, and similar gatherings. Often includes class descriptions, instructional materials, course outlines, enrollment and attendance records, reports, speeches, planning documentation, and related records. For records documenting registration billings and related fiscal actions, see the Financial-General section. (Minimum retention: (a) Significant program and fee records, retain 3 years (b) Class enrollment and attendance records, retain 2 years (c) Other records, retain 1 year).

(33) Seminar and Conference Records, Non-City Sponsored Records document activities, seminars, conferences, workshops, conventions, and similar gatherings not sponsored by the city but attended by city officials or personnel. May include staff reports, instructional materials, recommendations, related correspondence and memoranda, and similar records. (Minimum retention: 2 years).

(34) Special Event and Celebration Records Records document city-sponsored celebrations of special and historic occasions such as pioneer days, centennials, and similar events. Provides a record of planning and promotional efforts, public attendance and response, major speeches and dedications, and other aspects of the celebration. These records may include studies, publications, photographs, attendance summaries, final reports, and other documents. Records may also include routine documentation related to implementing the promotion and organization of the event. These often include lists, rosters, correspondence, volunteer information, and related records. SEE ALSO Special Event Records, Traffic in the Public Works-Traffic Engineering section for related records. (Minimum retention: (a) Records documenting significant aspects of the event, retain permanently (b) Other records, retain 2 years after event).

(35) Surveys, Polls, and Questionnaires Records document the measurement of public opinion by or for the city related to various issues, actions, and concerns. May include surveys, polls, questionnaires, summaries, abstracts and related records. Examples of summaries include studies which incorporate the significant results of public opinion surveys, abstracts of questionnaires designed to determine the skills and interests of citizens volunteering for city service, and other records which distill survey data into summary form. (Minimum retention: (a) Summary reports and abstracts, retain 3 years (b) All other records, retain until summary report is completed or 3 years, whichever is sooner).

(36) Technical Manuals, Specifications, and Warranties* Owners manuals and warranties for city-owned vehicles and equipment. Manuals often include specifications, operating instructions, and safety information. Warranties include terms of coverage for repair or replacement of equipment. (Minimum retention: (a) Manuals, retain until disposition of vehicle or equipment (b) Warranties, retain until expiration).

(37) Vehicle Maintenance and Repair Records Records document the maintenance and repair history of all city-owned vehicles. Records may include reports, summaries, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes a description of work completed, parts and supplies used, date of service, date purchased, price, vehicle number, make and model, and other data. SEE ALSO Contracts and Agreements in Recorder-General section for contract records related to private companies maintaining and repairing city-owned vehicles. SEE ALSO Daily Work Records in the Public Works-Operations and Maintenance section and Work Orders in this section. (Minimum retention: 2 years after disposition of vehicle).

(38) Visitor Logs Records used to track visitors to city buildings. Records may include visitors’ names, visitor badges issued, and entrance and exit times. (Minimum retention: 1 year).

(39) Work Orders Records document requests and authorizations for needed services and repairs to city property and equipment. May include copy center work orders, printing orders, telephone service and installation requests, repair authorizations, and similar records. (Minimum retention: (a) Work completed by city personnel, retain 1 year (b) Work completed by outside vendors, retain 3 years).

(40) Work Schedules and Assignments Records document the scheduling and assigning of shifts, tasks, projects, or other work to city employees. Useful for budget and personnel planning, review and other purposes. May include calendars, schedules, lists, charts, rosters, employee time surveys, and related records. Also includes rosters and similar records documenting vacation schedules. SEE ALSO the Personnel section for related records. (Minimum retention: 2 years).

(41) Year 2000 (Y2K) Planning Records Records document the planning and development of city Y2K Contingency Plans. Records may include but are not limited to meeting minutes, correspondence, draft plans, work notes, plan test results, and final plan. Information includes type of systems vulnerable to Y2K, level of priority, and party responsible for system solution or troubleshooting. (Minimum retention: Destroy).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 2-2005, f. & cert. ef. 5-10-05; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 2-2009, f. & cert. ef. 6-24-09; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0050

Financial-General Records

(1) Accounts Payable Records Records document payment of city bills for general accounts. Includes reports, invoices, statements, vouchers, purchase orders, payment authorizations, receipt records, canceled checks or warrants, and similar records. For other accounts, see City Improvement Administrative and Financial Records in Financial-Assessment and Bonds section for documents related to assessable and non-assessable city improvements. SEE ALSO Grant Records in this section for records documenting expenditure of grant funds. (Minimum retention: 3 years after annual audit report issued).

(2) Accounts Receivable Records* Records document revenues owed to the city by vendors, citizens, organizations, governments, and others to be credited to general accounts. Records also document billing and collection of moneys. May include reports, receipts, invoices, awards, logs, lists, summaries, statements, and similar records. Information often includes, receipt amount, date, invoice number, name, account number, account balance, adjustments, and similar data. For other accounts, see City Improvement Administrative and Financial Records in the Financial-Assessment and Bonds section for documents related to assessable and non-assessable city improvements. SEE ALSO Grant Records in this section for records documenting receipt of grant funds. (Minimum retention: 3 years after collected or deemed uncollectible).

(3) Audit Reports, External Records document annual audits of the financial position of the city conducted by external auditors in accordance with statutory requirements described in ORS 297.405 through 297.555. Subjects include accounting principles and methods, the accuracy and legality of transactions, accounts, etc., and compliance with requirements, orders, and regulations of other public bodies pertaining to the financial condition or operation of the city. Information includes accountant’s summary, combined financial statements, schedules, balance sheet details, comments, recommendations, and related data. SEE ALSO Internal Audit Records in the Administrative section. (Minimum retention: Permanent).

(4) Balance Status and Projection Reports Reports created for internal use documenting the status of funds, bank accounts, investments, and other accountings of city funds. Includes budget allotment and fund reconciliation reports. Also includes projection records related to future receipts and disbursements. Reports are generated on a daily, weekly, monthly, quarterly or similar basis. Information includes date, account balances, type and summary of activity, and related data. (Minimum retention: 3 years after annual audit report issued).

(5) Bank Transaction Records* Records document the current status and transaction activity of city funds held at banks. May include account statements, deposit and withdrawal slips, checks, and related records. Information includes bank and account numbers, transaction dates, beginning balance, check or deposit amount, document numbers, adjustments, description of transaction, ending balance, and related data. (Minimum retention: (a) For retention of records documenting grant transactions, see Grant Records in this section; (b) All other records, retain 3 years after annual audit report issued).

(6) Bankruptcy Notices* Records document the notification to the city that certain individuals have filed for bankruptcy. Used to determine if the individual owes money to the city and to file notice or claim with the court. Records may include notices of bankruptcy filings from U.S. Bankruptcy Court. Information may include debtors name, accounts information, prepared repayment plan, and related documentation. (Minimum retention: 3 years from discharge of debt or 3 years from last action, whichever is shorter).

(7) Check Conversion Records Records document checks received from customers that are electronically deposited after being imaged and converted to an Automated Clearing House (ACH) transaction or Image Replacement Document (IRD) (Minimum Retention: (a) Retain original paper instrument 30 days, destroy (b) Retain ACH transaction or IRD 6 years, destroy).

(8) City Improvement Administrative and Financial Records* Records document the non-technical and financial administration of assessable and non-assessable city improvements including capital improvements, local improvement districts (LID), urban renewal, and economic improvement districts. Records often include affidavits of posting, notices of proposed assessment, certificates of mailing, interested party letters, bid quotes, reports, and awards, expense reports, purchase orders, requisitions, cost analyses, construction and maintenance bonds and insurance, and related administrative and financial records not located elsewhere in this schedule. SEE ALSO Assessment Dockets, Ledgers, and Registers; Bond Authorization Records; and other record series in the Financial-Assessment and Bonds section, and the Public Works-Engineering section for related information. Refer to the Recorder-General section for records documenting legislative actions such as resolutions of intent to assess and ordinances for improvements. (Minimum retention: (a) Records of project cost, retain 3 years after disposal or replacement of facility, structure, or system; (b) All other improvement records, retain 10 years after substantial completion as defined by ORS 12.135(3)).

(9) Competitive Bid Records Records document the publication, evaluation, rejection and award of quoted bids to vendors and other entities. Records may include but are not limited to requests for proposals (RFPs), requests for qualifications (RFQs), invitations to bid (ITBs), requests for information (RFIs), bid exemption documents, bid and quote lists, notices of bid opening and award, comparison summaries, spreadsheets, tabulation worksheets, bid advertising records, tally sheets, bid specifications, correspondence, and related records. SEE ALSO Purchasing Records in this section. (Minimum retention: (a) Accepted city improvement bids 10 years after substantial completion [as defined by ORS 12.135(3)]; (b) All other accepted bids 6 years after bid awarded or canceled (c) Rejected bids and bid exemptions, retain 2 years after bid awarded or canceled).

(10) Credit and Debit Receipts Agency’s copy of credit or debit card receipts documenting payment received by an agency. Records include customer’s name and account information. (Minimum Retention: Retain 36 months after transaction, destroy).

(11) Credit Slips Slips issued to citizens who have withdrawn from city-sponsored classes or activities and are due credit for all or part of fees paid. Information usually includes name of class or activity, date, expiration date, name and address of citizen, and related data. (Minimum retention: 3 years after credit expired or redeemed).

(12) Employee Bond Records* Records document the posting of fidelity, performance, or position bonds to guarantee the honest and faithful performance of elected officials, individual employees, or groups of employees. Details of bonds vary, however information usually includes name and position(s) of individual or group, amount of coverage, effective and expired dates, and related data. (Minimum retention: 6 years after expiration).

(13) Employee Travel Records Records document requests, authorizations, reimbursements, and other actions related to employee travel. Includes expense reports and receipts, vouchers, requests, authorizations, and related documents. Minimum retention applies to private vehicle usage as well. Information often includes estimated costs, prepayments, final costs, destination, method of transportation, travel dates, approval signatures, and related data. (Minimum retention: 3 years after annual audit has been completed).

(14) Financial Reports Reports document the general financial condition and operation of the city. Includes information on the value of all city owned property and an accounting of all income and expenditures in relation to the final budget. Records may include monthly, quarterly, annual, and similar reports. (Minimum retention: (a) Annual reports, retain permanently; (b) All other financial reports, retain 3 years).

(15) General Ledgers* Records document the summary of accounts reflecting the financial position of the city. Information often includes debit, credit, and balance amounts per account, budget, fund, and department numbers, and totals for notes receivable, interest income, amounts due from other funds, federal grants received, bank loans received, cash in escrow, deferred loans received, cash, encumbrances, revenue, accounts receivable, accounts payable, and other data. SEE ALSO Subsidiary Ledgers this section (Minimum retention: (a) year-end ledgers*, retain 10 years; (b) All other general ledger, retain 5 years).

(16) Gift and Contribution Records Records document gifts and contributions to the city. May include memorial donation records related to money to be used by the city in the name of an individual. Often contains donor and acknowledgment letters, acquisition lists itemizing purchases made with contributed money (books, art, equipment, etc.), checks, receipts, and related records. (Minimum retention: (a) For retention of conditional gift, contribution and donation records, see Contracts and Agreements in the Recorder-General section; (b) All other records, retain 3 years).

(17) Grant Records Records document the application, evaluation, awarding, administration, monitoring, and status of grants in which the city is the recipient, grantor, allocator, or administrator. Grants may come from federal or state governments or foundations and other private funding sources. Records may include but are not limited to applications including project proposals, summaries, objectives, activities, budgets, exhibits, and award notifications; grant evaluation records and recommendations concerning grant applications; grant administration records including progress reports, budgets, project objectives, proposals, and summaries; records documenting allocation of funds; contracts; records monitoring project plans and measuring achievement; equipment inventories; financial reports, accounting records, audit reports, expenditure reports, and related correspondence and documentation. SEE ALSO the other Financial sections. (Minimum retention: (a) Final reports from significant (as defined by city policy) grants to the city, retain permanently; (b) Records documenting the purchase and/or disposal of real property, retain 10 years after substantial completion, or 3 years after final disposition, or as specified in agreement, whichever is longer; (c) Other grant records, retain 3 years after annual or final expenditure report submitted and approved or, as specified in agreement, whichever is longer; (d) Unsuccessful grant applications, retain 1 year after rejection or withdrawal).

(18) Inventory Records* Inventory records document the capitalized assets and expendable property of the city. Examples of capitalized assets may include but are not limited to buildings, real estate, infrastructure assets, vehicles, equipment, and furniture. Examples of expendable assets include office supplies and other small, office purchases. Information often contains asset number, description, purchase order number, location of asset, date received, purchase price, replacement cost, depreciation, and related data. This record series applies to routine property control inventories. SEE ALSO Grant Records for inventories of property purchased with grant funds. For inventories documenting other special uses, see Historic Structure Inventory Records in the Planning and Development section; Bridge Inspection Records in the Public Works-Engineering section; and Property and Evidence Control, and Disposition Records in the Police section. (Minimum retention: (a) Records of capitalized assets, retain 3 years after disposal or replacement of asset; (b) Records of expendable property, retain 3 years or until superseded, whichever is longer).

(19) Investment Records Records document and tracking various investments made by the city. Often contains bank statements documenting investment information, journal entries, confirmations of purchase of U.S. Treasury Bills, confirmations of deposit in local investment pool, and deposit slips, correspondence, and memoranda related to specific investments. (Minimum retention: 3 years after investment ends).

(20) Lien Search Records Records document requests from title companies searching for liens against property within the city, which may include street improvements, water, storm sewer, and sewer. Information may include property owner, tax map and lot number, description of property, total assessment, and payments made. SEE ALSO Bancroft Bond Receipts in the Financial-Assessment and Bonds section and Lien Records in the Recorder General section. (Minimum retention: 2 years after date of search).

(21) Property Disposition Records Records document disposition of city-owned non-real property, usually through public auction, competitive bidding, or destruction. Information often includes date, department, description of item, value, disposition, reason for disposition, condition, and authorization. SEE ALSO Real Property Transaction Records and Grant Records in this section for documents related to the disposition of real property. (Minimum retention: 3 years after disposition of property).

(22) Purchasing Records Records document orders, authorizations, and evidence of receipt of the purchase of goods and services by the city. Includes purchase orders and requests, purchase authorizations, requisitions, contract release orders, material and cost specifications, central stores or printing orders, telephone service orders, and similar records. SEE ALSO Grant Records in this section for records documenting the expenditure of grant funds and City Improvement Administrative and Financial Records and Competitive Bid Records in this section for related purchasing records. (Minimum retention: 3 years).

(23) Real Property Transaction Records* Records document acquisitions, dispositions, and relocations of real property and right-of-ways by the city for urban renewal projects, parks, sewers, streets, water lines, traffic signals, and other reasons. Records may include offer letters, options, agreements of short duration, staff reports, appraisal reports and reviews, inspection reports, letters of transmittal, summaries, and related records. For records documenting transactions involving grant funds, see Grant Records in this section. SEE ALSO Deeds To City-Owned Land in the Recorder-General section. (Minimum retention: 10 years after substantial completion as defined by ORS 12.135(3)).

(24) Revenue Sharing Records* Evidence of receipt and administration of federal and/or state revenue sharing funds including those from state liquor and cigarette taxes. Used to track how funds are spent, for budgeting future funds and for other uses. May include transmittals, affidavits of publication, planned and actual use reports, supporting documentation used to qualify for revenue sharing funds, and related records. (Minimum retention: 3 years).

(25) Signature Authorization Records* Records document the authorization of designated employees to sign fiscal and contractual documents. Useful as an aid for management control over expenditures. Information usually includes authorization date, name, sample signature, position, remarks, conditions, and related data. (Minimum retention: 6 years after authorization superseded or expired).

(26) Subsidiary Ledgers, Journals, and Registers Records document details of transactions such as those related to receipts and expenditures on a daily, monthly, quarterly or similar basis. Includes journals, ledgers, registers, day books, and other account books that provide backup documentation to the general ledger. May include details of revenues, expenditures, encumbrances, cash receipts, warrants, and others. Information often includes date, payee, purpose, fund credited or debited, check number, and similar or related data. Refer to Grant Records in this section for records documenting transactions of grant funds. SEE ALSO Financial — General Records General Ledgers and Financial-Assessment and Bonds section for related records. (Minimum retention: (a) Year-end payroll register, retain 75 years; (b) Trust fund ledgers, retain 3 years after trust fund closed; (c) Other subsidiary ledgers, journals, and registers, retain 3 years).

(27) Trust Fund Records Records document bequests to the city. Used to determine trust fund spending for reporting to trustees. May include wills, other legal documents, expenditure records, chronologies, resolutions establishing trust funds by the city, records documenting subject matter approved for purchase, acquisition lists, and related records. Some records may have historic value. For appraisal assistance, contact the State Archivist. (Minimum retention: Records not duplicated elsewhere in city records, retain 3 years after trust fund closed).

(28) Unclaimed Property Report Records Records document annual reports submitted to the Department of State Lands of financial assets being held for a person or entity that cannot be found. Series includes Holder Report, owner information, correspondence and other related documents. Note: Unclaimed property is not real estate, abandoned personal property, or lost and found items. (Minimum Retention: 3 years after the property is remitted to the Department of State Lands).

(29) Vehicle Usage and Expense Records Records document usage and expense associated with city-owned vehicles. Used for maintenance, budgeting, and planning. Information can include vehicle number, make and model, beginning and ending mileage, driver’s name and signature, fuel used, repairs needed, and other data. (Minimum retention: 3 years).

(30) Vendor Lists Lists document vendors providing goods and services to the city. Information usually includes vendor name of person or company, address, and phone number, name of contact person, as well as a description of goods or services provided. (Minimum retention: Until superseded or obsolete).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2001, f. & cert. ef. 2-15-01; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 2-2005, f. & cert. ef. 5-10-05; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 1-2010, f. & cert. ef. 5-27-10; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0055

Fire and Emergency Medical Services Records

(1) Ambulance Licensing Records Records document application by the city to the Oregon Health Division for licenses to operate ambulances. May also include records related to applications submitted to the city by private ambulance services for operation in cities that have ordinances regulating ambulance services as defined in ORS 820.300 through 820.380. Records often include applications, licenses, affidavits of compliance, certificates of insurance, bonds, and related documents. Information includes name and address of city, person, or company, and a description of the ambulance, including make, year, registration number, and related data. (Minimum retention: 2 years after denial, revocation or expiration).

(2) Automobile Display Permits Permits issued to allow the display of automobiles or any vehicles, which carry fuel inside public or commercial buildings. Permits usually include date of display or expiration date, location, name, address, and telephone number of person or organization requesting the permit, conditions related to the display, comments, and other information. (Minimum retention: 2 years after permit denied, revoked or expired).

(3) Burning Permits Permits issued to individuals for open air burning within the area serviced by the city fire department. Information may include name, phone number, address, amount and location of burn, fire protection equipment and conditions required, date, and signatures of permittee and issuing officer. (Minimum retention: 2 years after denial, revocation, or expiration).

(4) Controlled Substance Inventory and Tracking Records Series documents the possession, storage, use and tracking of controlled substances purchased by or surrendered to the department, pursuant to 21 CFR 1304.04. Records may include but are not limited to logs; inventory reports; sign-in, sign-out sheets; substance administration data; and substance name, quantity, manufacturer, and expiration dates. (Minimum retention: 3 years, or until superseded, whichever is longer).

(5) Emergency Medical Incident Records Records document services provided by the city fire and emergency medical services department to sick or injured people. May include pre-hospital care reports, medical aid liability release forms, and related documents. Information often includes name and address of patient, location of incident, description of illness or injury, actions taken, and related data. (Minimum retention: 10 years).

(6) Explosives Storage and Use Permits Records document the issuance of permits authorizing the use of explosives for construction and demolition projects, fireworks, theatrical pyrotechnics, and other applications. Records may include permits, applications, insurance verifications, and related documents. Information often includes name and address of permittee, location of use, amount and type of explosives used, conditions, and related data. SEE ALSO Engineering Project Technical Records in the Public Works-Engineering section for permits related to explosives use on city projects. (Minimum retention: 2 years after permit denied, revoked, or expired).

(7) Fire and Emergency Medical Services (EMS) Activity Reports Individual, shift, project, or other activity reports or logs filed on a daily, weekly, monthly, or similar basis. Useful for reference, performance monitoring, compiling annual reports, planning and budgeting, and briefing subsequent shifts. Information usually includes name, shift, date, description of activities, and various statistical categories for tracking department emergency responses, training, public outreach, inspections, maintenance, and other work. (Minimum retention: (a) Reports summarizing activities on an annual basis, retain permanently; (b) Other reports, retain 2 years).

(8) Fire and Emergency Medical Services Maps Maps and related records maintained by the city fire department for address location reference and for tracking various trends such as fire frequency and location, arson fires, and others. Includes lists, books, and other methods of address location. Some maps may have historic value. For appraisal assistance, contact the Oregon State Archives. (Minimum retention: Until superseded or obsolete).

(9) Fire and EMS Advisory Board Meeting Records SEE Meeting Records, Board, Commission and Committee and Meeting Records, Governing Body in the Administrative Records section.

(10) Fire and EMS Public Education Program Records SEE Seminar and Conference Records, City Sponsored in the Administrative Records section.

(11) Fire and EMS Public Education Publications SEE Publications in the Administrative Records section.

(12) Fire and Security Alarm System Records Records document the city fire department role in issuing permits, testing, and maintaining fire and security alarms that connect to a city alarm system. May include permits, applications, malfunction reports, maintenance reports, and related documents. Permit information often includes name and address of property owner, name and address of company installing the system, permit number, alarm location, and date. Maintenance information often includes date, malfunction (if any), tests conducted, corrective actions taken, location of alarm, and related data. (Minimum retention: (a) Permit records, retain 2 years after expiration; (b) Other records, retain 2 years).

(13) Fire Investigation Records Records document investigations conducted by the city fire department. May include investigative reports, supplemental reports, photographs, maps, drawings, correspondence, laboratory reports, notes, and related records. (Minimum retention: (a) Records documenting fires involving loss of life, retain 75 years; (b) Other records, retain 10 years).

(14) Fire Reports Reports document each fire responded to by the city fire department. These reports are required by the State Fire Marshal. Subjects include cause, casualties, and property loss. Information includes date, run number, location of fire, weather conditions, owner’s name and address, property damage, loss estimate, and other data. Includes additional reports if injuries occurred. (Minimum retention: 10 years).

(15) Grass and Weed Control Records Records document city enforcement of ordinances designed to help prevent fires caused by overgrown grass, weeds, or shrubs. May include complaints, inspection reports, notices, violations, contractor mowing bills, receipts, and related records. Information includes name of property owner, address of property, name of complainant, date and expiration of notice, name of fire personnel inspecting property; date, time, and method of grass and weed removal; charges, signature of contractor, and related data. SEE ALSO Ordinance Violation Case Files in the Municipal Court section. (Minimum retention: 3 years after last action or final payment).

(16) Hazardous Material Emergency Incident Records Records document city response to hazardous material emergencies. Subjects usually pertain to spills and other accidental releases. Includes reports, complaints, and similar documents. Information often includes location, date and time, type of pollutant, extent of pollution, cause, action taken, person reporting pollution, witnesses, related injuries, name and address of responsible party and related data. (Minimum retention: Permanent).

(17) Hazardous Substance Employer Survey Summaries Records document the storage and use of hazardous materials within the area served by the fire department. Usually consists of summaries of employer surveys conducted by the State Fire Marshal as well as related records Generated by the city. Information includes employer name and location, emergency phone numbers and procedures, location, type, and quantity of hazardous substances, and related data. State employer surveys are updated each year. (Minimum retention: Until superseded or obsolete).

(18) Inspection and Occupancy Records Records document fire prevention inspections performed periodically by the city fire department. Inspections determine if any violations of fire code are present in premises within the area served by the department. Usually filed by address. Inspection records may include reports, notices, citations, and related documents. Information often includes occupant name, location, person contacted, violations found, inspector’s name, number of days to correct violations, comments, and other data. Also may include occupancy and pre-fire planning records such as floor plans, sketches, reports, lists, and related documents. Information often includes address, name of property owner, description and fire history of property, name of occupant, potential hazards or exposures, regulated substances, fire escapes, water supply, sprinklers, roof construction, and other data useful in fire fighting situations. (Minimum retention: Retain current and previous inspection reports or 10 years, whichever is longer).

(19) Regulated Substances Storage and Use Records Records document the storage and use of regulated substances such as gasoline, crude oil, fuel oil, and diesel oil in the city. May include applications, permits, inspection reports and related records for city regulation of above ground storage tanks as well as reports of substance releases from underground storage tanks. Cities that administer their own underground storage tank program as described in ORS 466.730 may have additional records such as underground storage tank applications, permits, inspection reports, documentation of corrective procedures undertaken in the event of spills, leaks, or corrosion, and related documents. SEE ALSO Inspection and Occupancy Records in this section for regulated substance storage and use records related to structures. (Minimum retention: (a) Records related to underground storage tanks, retain 25 years after tank removed; (b) Records related to above ground storage tanks, retain 5 years).

(20) State Fire Marshal Exemption Records Records document partial or full city exemption from statutes, rules, and regulations administered by the State Fire Marshal. Exemptions are granted if the city enacts and enforces adequate regulations to conform with to state and national fire standards defined in ORS 476.030(3). Certificates are renewed every two years. Usually includes applications, supporting documentation, reports, exemption certificate, and related documents. (Minimum retention: 2 years after denial, revocation, or expiration of exemption).

(21) Youth Fire Prevention and Intervention Records Series documents multi-disciplinary prevention and intervention services provided to children who have a history of or are at risk for setting fires. Community-based services are provided under the guidance of the Office of State Fire Marshal. SEE ALSO Juvenile Offender/Victim Restitution Records in the Police Records section. (Minimum retention: (a) Until court ordered expunction (ORS 419A.262) (b) If case is not expunged: 5 years after last action, or youth reaches age of majority, whichever is longer).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0075

Municipal Court Records

(1) Appeal Records Records related to municipal court decisions appealed to higher courts. Can include copies of original citations, reports, driving records, evidence, original dispositions of cases, judgment orders, judge’s trial notes, jury lists, jury verdict sheets, correspondence, and related records. (Minimum retention: (a) DUII case records, retain 15 years after case closed, dismissed or date of last action; (b) All other records, retain 5 years after case closed, dismissed or date of last action).

(2) Audio Recording Logs Logs document and identify speakers, specific events, and nature of proceedings captured by Audio Recording Records. (Minimum retention: Until authorized destruction of corresponding Audio Recording Records).

(3) Audio Recording Records Records document municipal court proceedings, including but not limited to the adjudication of misdemeanor criminal charges, traffic violations, city code violations, and parking violations. (Minimum retention: 5 years after creation).

(4) Court Appointed Attorney Application Records Letters of application submitted by attorneys requesting to be included on lists of court appointed attorneys designated by the court to defend certain individuals. Usually includes letters of application, letters of acceptance, and related records. (Minimum retention: 1 year).

(5) Court Appointed Attorney Lists Lists of court appointed attorneys designated by the court to defend certain individuals. Information often contains attorney’s name, address, and telephone number, date of last appointment to a case by the court, and related information. (Minimum retention: Until superseded or obsolete).

(6) Court Appointed Attorney Time and Billing Records Records document the amount of time spent on a case by the submitting court appointed attorney. Used to verify time and authorize payment. Records often include affidavits, bills, and related records. Information may include attorney’s name and address, defendant’s name, charge, docket number, time spent on case, beginning and ending date of appointment, signature of judge authorizing fee payment, and amount to be paid. (Minimum retention: 3 years).

(7) Court Orders and Procedural Rules Records documenting the guidelines and implementation of the State Uniform Trial Court Rules and local variations written by the judge to establish guidelines and clarify procedures for court clerks to perform duties of the court. Records may include municipal court orders and court procedural rules. (Minimum retention: Current plus previous orders and rules).

(8) Docket/Trial Calendars Lists of dates and times set for court appearances. Information usually includes defendant’s name, charge, attorney’s name, officers, and the time the case is scheduled to begin. SEE ALSO Trial Proceedings Records in this section for documentation of action taken. (Minimum retention: 90 days).

(9) DUII Case Files Records related to DUII (driving under the influence of intoxicants) cases brought before the court and agreements by defendants to enter DUII diversion programs. Can include citations, complaints, chemical analyses, diversion agreements, sentencing orders, commitment orders, license suspension notices, community service referrals, alcohol program referral notices, and related records. (Minimum retention: 15 years after case closed or dismissed or date of last action).

(10) DUII Diversion Program/Conviction Summary Records Summaries documenting the number of convicted DUII cases and DUII cases diverted to court ordered medical or mental health programs. Can include summaries of fines, forfeitures, and fees charged to individuals in relation to conviction or diversion. Summary information may include total numbers of DUII cases filed, first offenses filed, diversion petitions approved and revoked, diversion cases convicted or dismissed, and non-compliance cases. Other summaries may document agreement fees, conviction fees, and related information. (Minimum retention: 5 years).

(11) Jury Records Records related to selecting and overseeing jurors for the court. Process includes selection of jurors and documentation of services rendered by jurors. Records can include lists of potential jurors, questionnaires, requests to be excused, juror notification cards, juror registers and sign-in sheets, jury pool statistical documentation, and related records. (Minimum retention: 3 years).

(12) Municipal Court Criminal Case Files Records documenting the prosecution of non-traffic related criminal misdemeanor offenses and the disposition of cases before the court. Records may also document the preliminary hearing of felony offenses then remanded to circuit court. Action may be initiated by either citation or private complaint. Records often include citations to appear in court, complaints, warrants, police reports, subpoenas, defendant information, and related records. (Minimum retention: 10 years after case closed or dismissed or date of last action).

(13) Municipal Court Expunged or Sealed Records Records document the arrest and/or conviction of a person who petitions and is granted by the court an order sealing or otherwise disposing of any related records (according to ORS 137.225) maintained by the Municipal Court. “Upon entry of such an order, the applicant for purposes of the law shall be deemed not to have been previously convicted, or arrested as the case may be, and the court shall issue an order sealing the record of conviction or other official records in the case, including the records of arrest whether or not the arrest resulted in further criminal proceeding.” Also applies to records related to juveniles as outlined in ORS 419A.260 through 419A.262. SEE ALSO Expunged or Sealed Records, Police in the Police section. (Minimum retention: (a) Expunged records, retain according to the directive of the court; (b) Expungement orders, retain 10 years or according to the directive of the court; (c) Sealed records, retain 10 years or according to the directive of the court).

(14) Ordinance Violation (Code Enforcement) Case Files Series documents issuance and disposition of cited violations of city ordinance or code. Examples include building code violations, dogs running at large, nuisances, and other non-traffic violations. Records may include citations to appear in court, complaints, warrants, police reports, subpoenas, defendant information, and other related records. SEE ALSO Building Code Violation Records in Building Records section. (Minimum retention: (a) Citations issued, retain 5 years after case closed or dismissed or date of last action; (b) Records of citations not issued, retain 1 year after date of last action).

(15) Parking Citation Records Records of the issuance and disposition of parking citations. May include citations, correspondence, and related records. Information may include citation number, name, vehicle license number, time of citation, violation category, and related data. (Minimum retention: 3 years after satisfied, dismissed or deemed uncollectible).

(16) Supreme Court Statistical Reports City copies of monthly reports that were required to be filed with the Oregon State Supreme Court documenting court activity. These reports were discontinued in 1995. Statistical information includes pending cases carried over from previous month, cases filed, cases tried, other terminations (dismissed, transferred, bail forfeited, diversion, etc.) and other data. (Minimum retention: Destroy).

(17) Traffic Citation Case Files Records of citations issued (including citations generated from photo radar records) and disposition of cases in court for moving violations such as hit and run and reckless driving, and infractions such as speeding and improper signaling. May include citations to appear in court, complaints, warrants, driving records, police reports, suspension records, disposition slips, subpoenas, and other related records. Does not include DUII citation records. SEE ALSO DUII Case Files in this section and Photo Radar Records in the Police section. (Minimum retention: 5 years after case closed, dismissed or date of last action).

(18) Trial Proceedings Records/Register of Actions Records documenting the actions of all cases brought before the court. Types of cases may include criminal misdemeanors, including misdemeanor traffic crimes, with limited penalties; other minor traffic infractions; certain minor liquor and drug violations, parking violations; and municipal code violations such as animal and fire violations. Records may include a register of actions as described per ORS 7.020. Records usually document the prosecution of individual cases including arraignments, motions, orders, and judgments. Information may include date of offense, case number, docket number, pleas, disposition, court date, attorneys’ names, defendant and plaintiff names, addresses, and dates of birth, and judgments. May also include indexes. (Minimum retention: (a) Criminal cases, retain 10 years after case closed, dismissed, or date of last action; (b) non-criminal cases, retain 5 years after case closed, dismissed or date of last action).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0095

Planning and Development Records

(1) Comprehensive Plan Records Records indicate the types of uses and activities allowed in particular land designations. Used to guide long-term city growth and development, including planning urban growth boundaries, and to comply with state and federal laws. Usually contains public hearings records, plans, amendments, staff reports, periodic review records, maps, photographs, and other related records. (Minimum retention: Permanent).

(2) Conditional Use Records Applications and decisions related to requests for certain land uses within a zone that require special review and approval. May include applications, site plans, zoning maps, staff reports, administrative action reports, and related records. (Minimum retention: 10 years after expiration, revocation, or discontinuance of use).

(3) Design and Development Review Records Reviews of exterior renovations or new construction within particular city zones or the entire city. Used to ensure integration of visual standards. May include design review board or commission records such as minutes, agendas, and exhibits. Records also may include applications, site plans, staff reports, maps, review and appeal records, tape recordings, and related documents. Three-dimensional exhibits such as sample boards of brick, tile, and other building materials are not public records. (Minimum retention: (a) Minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records), retain permanently; (b) Audio or visual recording, retain 1 year after minutes prepared and approved; (c) Exhibits not pertinent to minutes, retain 5 years; (d) If no permit issued, retain 180 days; (e) If permit issued, but structure not started or completed, retain 2 years; (f) All other records if permit issued and structure completed, retain 2 years after substantial completion [as defined by ORS12.135(3)]).

(4) Enterprise Zone Records Records document the creation and management of enterprise zones by the city or in conjunction with other cities and counties. Designation used to encourage business growth by providing tax, permit, and regulatory relief to development within the zone. May include reports, applications for zone status, nominations for federal status, and related records. (Minimum retention: (a) Reports summarizing results or activities, retain permanently; (b) All other records, retain 4 years after zone designation expires).

(5) Flood Plain Permit Records Permits issued for construction within a flood plain zone. Records also may include elevation certificates, applications, review records, checklists, and other documents. Permit information usually includes date, permit holder's name and address, U.S. map number, type of structure, and related data. (Minimum retention: (a) Permits and elevation certificates, retain 10 years after the life of structure or until area determined not to be a flood plain, whichever is longer; (b)All other records, retain 10 years).

(6) Historic Structures Commission Records SEE Meeting Records, Board, Commission and Committee and Meeting Records, Governing Body in the Administrative Records section.

(7) Historic Structures Inventory Records Records document the results of inventory projects to designate historic properties within the city. Inventory is in conjunction with Oregon Land Conservation and Development Commission Goal 5 procedures. Information usually includes street address, legal description, neighborhood, owner's name and address, date constructed, historic and architectural significance, and references used. (Minimum retention: Until superseded or obsolete).

(8) Historic Structures Rehabilitation Project Reviews Routine reviews of proposals for rehabilitation of structures that have been designated historically significant or are 50 years old. Used to meet grant-funding conditions and to protect the historical integrity of structures. Reviews often include address of structure, legal description, owner's name and address, proposed work, rehabilitation specialist's evaluation, violations noted, photographs, and related information and correspondence. (Minimum retention: 3 years after project closed).

(9) Housing Authority Bylaws, Rules, and Policies Documents defining the powers and purposes of the housing authority, as well as implementation policies in accordance with federal and state laws. Includes bylaws. May also include rules and policies on confidentiality, purchasing, tenant grievances, and other subjects. (Minimum retention: Permanent).

(10) Housing Authority Commission Meeting Records SEE Meeting Records, Board, Commission and Committee and Meeting Records, Governing Body in the Administrative Records section.

(11) Housing Authority Individual Tenant History Records Files document the history of individual tenant and housing authority actions from application to separation from the program. May contain application, landlord references, rental agreements, leases, periodic re-examination and hardship data, income verification, billing statements, maintenance requests, damage complaints, eviction notices, grievance hearing records, and related material. (Minimum retention: 5 years after separation from program).

(12) Housing Authority Program Management Records Records document the activities and status of various programs administered by the housing authority (Section 8, etc.). Records may include staff meeting records and reports, waiting lists, maintenance records, tenant statistics, and related records generated in the administration of housing authority programs not specified elsewhere in the schedule. (Minimum retention: 3 years after annual or final expenditure report submitted).

(13) Housing Authority Property Management Records Records document the actions of the housing authority in managing housing not owned by the city. May include applications for funding, sub-grants, insurance policies, contracts, and non-profit organization records such as articles of incorporation, bylaws, budgets, minutes, agendas, and related records. (Minimum retention: 6 years after expiration).

(14) Housing Authority Rejected Assistance Application Records Rejected applications and related records from individuals seeking assistance from the housing authority. Application information may include name, age, occupation, social security number, size of unit needed, assets, annual income, and related information. Records may also include verification forms and related records. (Minimum retention: 3 years).

(15) Land Use Hearings Records Records document hearings or appeals to a city body or hearings officer and decisions reached concerning subdivisions, variances, and changes to the zoning code and comprehensive plan. May refer to conditional uses, zone changes, partitions, code variances, and other proposed actions. Records may include applications, hearings minutes, findings of fact, agendas, exhibits such as maps, reports, photographs, etc., tape recordings, and related records. (Minimum retention: (a) Minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records), retain permanently; (b) Audio or visual recordings, retain 1 year after minutes prepared and approved; (c) All other records and exhibits not pertinent to minutes, retain 5 years).

(16) Neighborhood/Citizen Association Charters and Bylaws Charters and bylaws documenting the creation and organization of neighborhood associations designed to meet citizen involvement requirements and goals set by state and federal agencies concerned with urban development and land use issues. Usually includes articles of incorporation, amendments, and related records. (Minimum retention: Permanent).

(17) Neighborhood/Citizen Involvement Records Meeting minutes and related records of neighborhood associations, community planning organizations, or other citizen involvement committees. Usually includes agendas, minutes, tape recordings, and exhibits. Exhibits may include staff and subcommittee reports and recommendations, lists of participants, materials distributed by citizens, and related correspondence. (Minimum retention: (a) Retain minutes, agendas, resolutions, indexes, and exhibits (not retained permanently elsewhere in city records) permanently; (b) Audio or visual recordings, retain 1 year after minutes prepared and approved; (c) All other records and exhibits not pertinent to minutes, retain 5 years).

(18) Partition Records Records document the partitioning of land into two or three parcels. Includes both major and minor partitions. Records often contain applications, staff reports, technical notes, approval orders, maps, and related records. (Minimum retention: (a) If approved and city conditions met, retain permanently; (b) If not approved, retain 10 years after expiration or revocation).

(19) Planning Commission Meeting Records SEE Meeting Records, Board, Commission and Committee and Meeting Records, Governing Body in the Administrative Records section.

(20) Sign Review Records Records document planning department review of sign construction. Often contains descriptions, drawings, photographs, reports, applications, and related records. SEE ALSO Building Permits, Building Board of Appeals Records, and Building Code Violation Records in the Building section and Street Banner Records in the Public Works-Traffic Engineering section. (Minimum retention: Life of the structure).

(21) Subdivision Records Records document actions on requests to divide one piece of land into four or more lots. Often includes applications, site locations, descriptions of requests, site plans, staff reports, appeals reports, decision statements, maps, and related records. (Minimum retention: (a) If approved and city conditions met, retain permanently; (b) If not approved, retain 10 years after expiration or revocation); (c) Withdrawal request letters, retain 3 years; (d) Withdrawn applications, retain 180 days if not returned to applicant at time of withdrawal).

(22) Temporary Use Records Records document action on permits for temporary activities in commercial and industrial zones such as allowing temporary placement of structures incidental to construction. Records often contain applications, permits, staff reports, technical notes, approval orders, and other documents. (Minimum retention: 5 years after permit expiration).

(23) Urban Renewal Agency Board Meeting Records SEE Meeting Records, Board, Commission and Committee and Meeting Records, Governing Body in the Administrative Records section.

(24) Urban Renewal Plans and Reports Plans and reports mandated by ORS 457.085 to provide descriptions and justifications for proposed development in urban renewal areas within the city. Includes plans, amendments, reports, hearings records, impact statements, feasibility studies, maps, relocation studies, and related records. (Minimum retention: Permanent).

(25) Urban Renewal Project Records Records document individual renewal projects within urban renewal areas. Projects include but are not limited to construction, demolition, and rehabilitation of buildings, streets, and utilities. May include project area committee documents, reports, project plans, design reviews, maps, photographs, consultant studies, feasibility studies, agreements, and other related records. Some records may have historic value. For appraisal assistance, contact the Oregon State Archives. (Minimum retention: (a) Agreements, retain 10 years after substantial completion or 50 years, whichever is longer; (b) All other records, retain 50 years).

(26) Variance Records Applications and decisions in cases of minor deviations from zone code requirements. Often includes applications, site locations, description of requests, site plans, zoning maps, staff reports, and related records. (Minimum retention: 10 years after life of structure or expiration, revocation, or discontinuance of use).

(27) Withdrawn Land Use Application Records Records document land use applications and supporting documentation withdrawn by the applicant before a decision has been issued by the city. Records may include but are not limited to applications, site location descriptions, site plans, maps, and correspondence. (Minimum Retention: 180 days if not returned to applicant at the time of withdrawal).

(28) Zone Change Records Applications and decisions related to rezoning land within the scope of an existing comprehensive plan. Often includes applications, staff reports, technical notes, approval orders, and related records. (Minimum retention: (a) Applications, findings of fact, and decision documents, retain permanently; (b) All other records, retain 10 years after approval or denial).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0100

Police Records

(1) Activity Reports, Police Individual officer, shift, and other activity reports usually filed on a daily, weekly, monthly, or similar non-annual basis. Useful for reference, performance monitoring, compiling annual reports, planning and budgeting, and for briefing subsequent shifts or activities. Applies to various duties such as dispatch, confinement, investigations, and patrol. Information usually includes name, shift, date, activities, and various statistical categories for tracking the number of arrests, phone calls, mileage, and other indicators. SEE ALSO Law Enforcement Activity Reports in this section for annual summaries of police activities. (Minimum retention: 2 years).

(2) Alarm Records Records document the licensing, use, and response to security alarms in the city. Licenses and permits usually contain name and address of holder, type of alarm, location, instructions to officers responding to call, names of individuals to be contacted when alarm sounds, fee charged, and related data. Other records may include alarm response reports and false alarm reports. False alarm reports are used to document ordinance violations concerning the number of false alarms in a given period. SEE ALSO Incident Case Files in this section for records related to actual intrusions or burglaries. (Minimum retention: (a) Alarm licensing and permit records, retain 3 years after expiration; (b) All other records, retain 2 years).

(3) Animal Control Records Records document police department activities related to animal control. Often includes reports, logs, lists, cards, receipts, and related records. Subjects may include dog licenses, lost animals, found animals, animals running at-large, dog bite reports, animals turned over to county animal control programs or humane society programs, and others. Dog license information usually includes name, address, and phone number of owner, name and description of dog, vaccination dates, and related data. Includes records that do not merit inclusion in Incident Case Files. (Minimum retention: (a) Dog licenses, retain 3 years after expiration; (b) Other records, retain 2 years).

(4) Arrest Warrant Log Records Records document the status of arrest warrants as served, unserved, or recalled by the court. May include logs, validation listings, checkout sheets, and related records. Logs usually include date of warrant, subject’s name, charge, date, warrant served or recalled, and related information. (Minimum retention: Until superseded or obsolete).

(5) Arrest Warrant Records Records related to a written order made by the court on behalf of the city or state commanding law enforcement officials to bring a specified individual before the court. May also include detainer requests, informational documents related to the wanted person, teletypes, and other records relevant to the service of warrants. Warrant information includes date, court, judge’s name, individual’s name and date of birth, charge, and related data. (Minimum retention: Until served, recalled or cancelled by the court).

(6) Block Home Program Records Records document the application for and review, denial, or approval of block home designations. The Block Home Program is designed to provide safety and protection to school age children. The police department conducts background checks on applicants. Information often includes date, name, address, date of birth, Social Security number, educational and work background, police record check, approval or denial decision, and related data. (Minimum retention: (a) Approved application records, retain 2 years after withdrawal from program; (b) Denied application records, retain 2 years).

(7) Booking Records Books, logs, or other records document the confinement and release of individuals held in the city jail. Information usually includes name, charges, date of confinement, date of release, physical condition, and related data. Booking records related to individuals known to be dead need not be retained. SEE ALSO Fingerprint Cards and Mug Shots in this section. (Minimum retention: (a) Homicides, retain 20 years; (b) Felonies, retain 10 years; (c) Misdemeanors, retain 5 years).

(8) Bulletins From Other Agencies Bulletins, circulars, and related records received from federal, state, other state, and local law enforcement agencies. Usually contains descriptions and photographs of fugitives, missing persons, or stolen property. May also include other information of interest to the police department. Some bulletins may merit inclusion in Incident Case Files. (Minimum retention: Until superseded or obsolete).

(9) Community Policing and Problem Solving Records Records document community policing efforts, services, and programs by the city’s police department to enhance communication and partnerships between the police and citizens. Services and programs may include but are not limited to those to help locate, identify, and return memory impaired people, install home security devices and locks to eligible recipients, send courtesy notices to people who violated traffic laws, or other ordinances as observed by a citizen, enter into authorization agreements with merchants to enforce trespass laws, and other problem solving services. Records may include problem solving tracking forms, program applications, courtesy notices for violations, and authorization agreements. (Minimum retention: (a) Agreements, retain 6 years after expiration; (b) All other records, retain 2 years).

(10) Computer Inquiry Records Logs or other records documenting requests made to other agencies involving missing persons, wanted persons, stolen vehicles, and other subjects. (Minimum retention: Until superseded or obsolete).

(11) Computer Validation Records Logs or similar hard copy records detailing validation requests and proof of verification for National Crime Information Center (NCIC) or other law enforcement information networks. Useful to document maintenance of network standards. (Minimum retention: 5 years or until audited by NCIC or other applicable law enforcement network, whichever is shorter).

(12) Concealed Weapons Permits Records document the application for the issuance of a concealed weapon permit and the determination of whether to authorize the permit. The permit is valid for one year and the process must be completed again for renewal. Records may include applications, fingerprint cards, copy of issued permit, and listing of permits issued. Information may include date of application, applicant’s name and background information, date issued or denied, reasons for denial, permit numbers issued, and names of individuals issued permits. (Minimum retention: (a) Denied applications and list of permits issued, retain 5 years; (b) All other records, retain 2 years).

(13) Crime Analysis Records Records documenting police efforts to anticipate, prevent, or monitor possible criminal activity. May include reports, statistical summaries, photographs, sound and videotape recordings, and related documents. Subjects often include crime patterns or modes of operation, analysis of particular crimes, criminal profiles, forecasts, movements of known offenders, alerts from other agencies, and others. Some records may have historic value. SEE ALSO Criminal Intelligence Records in this section for related records. (Minimum retention: (a) Major crime analyses or studies, retain 10 years; (b) All other records, retain 1 year).

(14) Crime Prevention Community Organization Records Mailing lists, plans, evaluations, notes, reports, and other records documenting community organizations, associations, individual volunteers, and others engaged in or interested in crime prevention efforts. Useful in developing community support for police programs. (Minimum retention: Until superseded or obsolete).

(15) Crime Prevention Program Records Records document police department efforts to train citizens in crime prevention. May contain training and media presentation records including lesson plans, outlines, tests, evaluations, speeches, and related records. Subjects usually include neighborhood watches, home security, and others. (Minimum retention: (a) Significant program records, retain 5 years; (b) Class enrollment and attendance records, retain 2 years; (c)All other records, retain 1 year).

(16) Crime Prevention Security Survey Records Records document citizen requested police surveys of homes and businesses and subsequent recommendations related to security. Usually contains a detailed checklist of problems or security defects. Subjects often include areas of potential break in, blocked exits, landscaping that can hide crime, and similar topics. Survey usually is compiled into a report that is sent to the owner or renter. (Minimum retention: 2 years).

(17) Crime Prevention Vacation House Inspection Records Records document the inspection of homes and other properties while the occupants are away. Information often includes name, address, date received, vacation beginning and ending dates, emergency contact information, special conditions at the house or property, dates and times officers checked the house or property, and related data. (Minimum retention: 30 days after inspections end).

(18) Criminal Arrest History Records Records document information on the accumulated criminal arrest history of individuals, which may be useful in current or future investigations. Records may include summary sheets or cards, arrest reports, fingerprint cards, mug shots, and related documents. Information often includes name, aliases, residence, sex, age, date and place of birth, height, weight, hair and eye color, race, scars, marks, tattoos, abnormalities, date of arrest, offense committed, habits, closest relatives or friends, and more. Records may be destroyed earlier if individual is known dead. (Minimum retention: (a) Homicides, retain 20 years; (b) felonies, retain 10 years; (c) Misdemeanors, retain 5 years).

(19) Criminal History Dissemination Records Logs and other records documenting the dissemination of criminal histories and other law enforcement information to other agencies or criminal information systems. May include teletype and computer message logs. Information includes date of release, subject of information, recipient of information, reason information was requested, and identification numbers. (Minimum retention: Until case completed or suspended).

(20) Criminal Intelligence Records Records document possible and proven criminal activity by individuals, groups, organizations, and businesses for use by local government law enforcement agencies. Information is categorized into file groupings as defined by OAR 137-090-0080 after collection and evaluation. Includes investigatory reports, statistical reports, correspondence, memoranda, and related records. Information includes suspect identification, alleged activity, location, date, source validity, and other data. Sources include law enforcement and regulatory agencies, and private citizens. SEE ALSO Crime Analysis Records in this section. (Minimum retention: (a) “Permanent files” as defined by OAR 137-090-0080, retain 5 years; (b) “Temporary files” as defined by OAR 137-090-0080, retain 1 year; (c) “Working files” as defined by OAR 137-090-0080, retain 30 working days).

(21) Detoxification Confinement Logs Logs listing names of individuals held because of drunkenness and released when sober. Includes dates and times confined and released, name of individual, and related information. (Minimum retention: 2 years).

(22) Emergency Telephone Calls Continuous Audio Tapes Audio tapes that record incoming emergency calls, police and emergency dispatches, radio activity, and 9-1-1 calls. Tapes are maintained on a 24-hour basis. Recordings of serious incidents may warrant longer minimum retention for legal reasons. These may be transferred onto a separate tape and retained until legal action is resolved. (Minimum retention: 7 months).

(23) Equipment Issued Records Records document equipment issued to police department and other city personnel. Items include but are not limited to handcuffs, keys, uniforms, badges, personal protective and fire fighting equipment, and lockers. May include inventories, optional equipment lists, data sheets, and other records. Information often includes date, employee name, number, and section, description of equipment, and related data. SEE ALSO Officer Weapon Registration Records in this section. (Minimum retention: Until superseded or obsolete).

(24) Expunged or Sealed Records, Police Records document the arrest and/or conviction of a person who petitions and is granted by the court an order sealing or otherwise disposing of any related records (according to ORS 137.225) maintained by the Police Department. “Upon entry of such an order, the applicant for purposes of the law shall be deemed not to have been previously convicted, or arrested as the case may be, and the court shall issue an order sealing the record of conviction or other official records in the case, including the records of arrest whether or not the arrest resulted in further criminal proceeding.” Also applies to records related to juveniles as outlined in ORS 419A.260 through 419A.262. (Minimum retention: (a) Dispose of expunged records according to the directive of the court; (b) Expungement orders, retain 10 years or according to the directive of the court; (c) Sealed records, retain 10 years or according to the directive of the court).

(25) Field Interrogation Reports Informational reports written by a police officer related to individuals, groups, events or vehicles for which the officer does not have probable cause for enforcement. Information usually includes name and address of person contacted, physical description of person or vehicle, officer’s name, location of contact, date and time, witnesses, reason for contact, and related data. (Minimum retention: 1 year).

(26) Fingerprint Cards Cards containing fingerprints, palmprints, toeprints, and other personal identifiers of arrested individuals. Used for identification and apprehension of suspects in criminal investigations. May also include fingerprints of private security personnel working in the city. Information often includes name, address, date and place of birth, Social Security number, alias, occupation, employer, name of individual taking prints, and related data. Fingerprint cards of individuals known to be dead need not be retained. SEE ALSO Latent Fingerprint Cards in this section. (Minimum retention: (a) Homicides, retain 20 years; (b) Felonies, retain 10 years; (c) Misdemeanors, retain 5 years; (d) Retain other cards until superseded or obsolete).

(27) Handgun Dealers’ Sales Records Records document purchases of handguns from dealers. May include duplicate register sheets mailed by the dealer to the city police department and triplicate register sheets mailed by the dealer to the State Police for criminal records checks and then forwarded to the city police department. Information includes series number, sheet number, sales person, date and time, city, make, serial number, caliber, name of purchaser, date of birth, address, height, occupation, race, color of eyes and hair, local address (if traveling), and signatures of purchaser and sales person. As of 1996, these records are retained by the State Police. (Minimum retention: Destroy).

(28) Impounded and Abandoned Vehicle Records Records document vehicles impounded by the police department related to accidents, abandonment, recovered stolen vehicles, vehicles used in the commission of crimes, and other reasons. May include reports, notifications, information cards or sheets, receipts, and related records. Information often includes the make, model, year, color, identification number, tag number, and condition of the vehicle and contents, reason for impounding, location of impoundment, charge (if any), towing company used, release conditions, name and address of individual to whom vehicle was released, and other data. (Minimum retention: Retain records not included in Incident Case File 2 years after disposition of vehicle).

(29) Incident Case File Indexes Indexes to incident case files used as cross-references between case numbers, names, dates, modus operandi, and other descriptive information. (Minimum retention: Until superseded or obsolete).

(30) Incident Case Files Central case files document complaints or other actions or incidents investigated by the police department. Usually filed by case number. Records may include investigative reports, fingerprint cards, arrest reports, supplemental reports, photographs, correspondence, teletypes, court orders, court dispositions, officer notes, laboratory reports, DUII test records including chemical analyses (also known as intoxilyzer or breathalyzer test records), physical force records, citizen arrest certificates, warrants, search warrants and booking sheets, property/evidence reports, custody reports, and other related documents. Information usually includes suspect identification, alleged activity, location, date, validity of source information and other data. Sources include law enforcement and regulatory agencies and private citizens. Refer to ORS 131.125-131.155 for statute of limitations. (Minimum retention: (a) Cases involving crimes with no statute of limitations, retain 75 years after case closed; (b) Protective custody files, retain until minor’s age of majority or emancipation; (c) All other cases, retain until statute of limitations expires).

(31) Informant Case Files Records document information about informants used by the police department. May include reports, correspondence, payment records, fingerprint cards, signature cards, letters of understanding on informant activities, and related records. (Minimum retention: Until superseded or obsolete).

(32) Inmate Accountability Records Logs, lists, rosters, and other records document inmate counts, cell locations, and status, as well as related information. May include logs detailing status of individual inmates such as those awaiting action or on hold status, released on their own recognizance, or released on security. May also include rosters documenting the location of all inmates by head counts at regular intervals. (Minimum retention: 1 year).

(33) Inmate Case File Indexes Indexes used to access inmate case files. Usually cross-referenced by name, case number, and other identifiers. (Minimum retention: Until superseded or obsolete).

(34) Inmate Case Files Records document non-medical information on inmates confined in the city jail. Often contains date of entry, date of release, incident reports, release receipt indicating return of property, court commitment and release orders, behavioral information, physical force records, and other relevant information concerning the arrest and confinement of an individual. Some records included in case files may be listed elsewhere in this section (e.g. fingerprint cards, inmate visitor records, etc.). (Minimum retention: 5 years).

(35) Inmate Meal Records Records document menus used to plan and schedule inmate meals. May include listings of those inmates who received meals. Information may include month, day, meal, menu, inmates served, and related data. (Minimum retention: 6 months).

(36) Inmate Medical Records Records document outpatient medical treatment given to inmates. Often contains treatment log, prescriptions, health questionnaires, laboratory reports, x-ray reports, medical reports from other facilities, and related records. Information may include inmate’s name, date of treatment, description of treatment, and related data. (Minimum retention: 7 years).

(37) Inmate Medication Records Records document medications kept by the jail and dispensed to inmates. Often contains logs and related records. Information may include name of medication, date and time issued, name of inmate to whom medication was dispensed, name of individual dispensing medication, amount dispensed, amount remaining in stock, and related data. (Minimum retention: 7 years).

(38) Inmate Telephone and Mail Logs Logs and other records documenting telephone calls and mail sent and received by inmates. Information may include name of inmate, date and time of telephone call or mail, and related data. (Minimum retention: 1 year).

(39) Inmate Visitor Records Records document information about visitors to inmates confined in the city jail. May include logs, request slips, and related records. Information often includes date, time in, visitor’s signature and address, object of visit, time out, and related data. (Minimum retention: 1 year).

(40) Internal Investigations Case Files Records document investigations of police department personnel for violations of laws, rules, or policies and may include findings and dispositions of investigations. Records often contain complaints, correspondence, investigatory reports, interviews, hearing summaries and testimony, and related documents. Information usually includes name of employee investigated, reason, location of violation, date, accomplices’ names and addresses, witnesses’ names and addresses, action taken, and related data. SEE ALSO Requests and Complaints in the Administrative section. (Minimum retention: (a) Investigations resulting in termination, retain 10 years after employee separation; (b) Investigations resulting in disciplinary action or exoneration, retain 3 years after resolution; (c) Unfounded investigations, retain 3 years).

(41) Juvenile Offender/Victim Restitution Records Records document the facilitation of restitution for crime victims of first time juvenile offenders. Typical cases may include criminal mischief, vandalism, minor assault, theft, and harassment. Information may include name, address, and phone number of person filing complaint, case number, date of activity, narration of the complaint, name of offender, date case closed, and other data. (Minimum retention: 5 years after last action, or youth reaches age of majority, whichever is longer).

(42) Juvenile Temporary Custody Records Records document children taken into temporary custody by the police department as defined in ORS 419B.150 through 419B.171. The action is not considered an arrest. Information may include the name, age, and address of the child, the name and address of the person having legal or physical custody of the child, reasons for and circumstances under which the child was taken into temporary custody, and other data. (Minimum retention: 3 years).

(43) Latent Fingerprint Cards Cards containing latent fingerprints and palmprints found at crime scenes without identification of suspects. These are compared against cards on file at the police department. Usually contains information related to the crime, location, date and time, and other details of the case. SEE ALSO Fingerprint Cards in this section. (Minimum retention: (a) Cases involving crimes with no statute of limitations, retain 75 years after case closed; (b) All other cases, retain 1 year after statute of limitations expires).

(44) Law Enforcement Activity Reports Monthly and annual law enforcement or uniform crime reports summarizing statistics on criminal activity and office operations. Information includes date, categories, totals, and related data. SEE ALSO Activity Reports, Police in this section. (Minimum retention: (a) Annual reports and monthly reports for years in which no annual report exists, retain permanently; (b) Other reports, retain 2 years).

(45) Lost and Found Property Records Records document city receipt and maintenance of lost and found or abandoned property such as money, bicycles, automobiles, and other items not related to a crime. Includes receipts, inventory lists, destruction logs, property reports, and related records. SEE ALSO Property and Evidence Control and Disposition Records for records documenting property related to or held as evidence to an alleged crime. SEE ALSO Property Disposition Records in the Financial-General section for records of the disposition of lost and found or abandoned property. (Minimum retention: 2 years after disposition).

(46) Maps, Police Maps and related records maintained for reference and for tracking various trends. Examples include but are not limited to Neighborhood Watch Program maps, Block Home Program maps, street number location maps and books, parking meter maps, and maps plotting reported crimes in a given area. Some maps may have historic value. For appraisal assistance, contact the Oregon State Archives. (Minimum retention: Until superseded or obsolete).

(47) Master Name Index Records Records document information on each individual who has been field interrogated or arrested suspects or accomplices in crimes, victims, complainants, and witnesses to incidents. Information may include name, address, date of birth, race, sex, date and time of incident or contact, incident number, and related data. (Minimum retention: Until superseded or obsolete).

(48) Mug Shots Photographs and negatives of arrested individuals used for identification and apprehension of suspects in criminal investigations. Mug shots of individuals known to be dead need not be retained. SEE ALSO Photo Identification Records in the Personnel section for non-arrest identification photographs. (Minimum retention: (a) Retain homicides 20 years; (b) Retain felonies 10 years; (c) Retain misdemeanors 5 years).

(49) Neighborhood Dispute Resolution Records Records document the city’s dispute resolution program to handle complaints by citizens about concerns or disputes with neighbors or merchants. Typical cases may include animal control, landlord/tenant issues, noise, harassment, property disputes, and business/consumer issues. Records may include budget, activity, and statistical reports, mediation training information, evaluation and intake records, service referrals, resolution agreements, and follow-up surveys. Information may include name, phone number, and address of person filing complaint, case number, date of activity, narration of request or complaint, name and address of offender, action taken, and other data. SEE ALSO Ordinance Violation Case Files in the Municipal Court Records section. (Minimum retention: (a) Case records, retain 5 years after last action; (b) All other records, retain 2 years).

(50) Officer Notes Notes written by officers during the course of a shift containing information which may or may not be included in an official report. May pertain to contacts, incidents, unusual circumstances, and other subjects. Useful for referral in writing reports and testifying in court. Information includes names, dates, times, vehicles, activities, locations, and related data. Officer notes created on handheld electronic organizers (ex. Palm Pilots) are public records under ORS 192. Information on electronic organizers is subject to the same retention as the paper record unless the information is kept in another format for the duration of the required minimum retention period. (Minimum retention: 2 years).

(51) Officer Weapon Registration Records Records document weapons assigned to city police officers. Information includes officer’s name, and the make, model, serial number, and caliber of the weapon. (Minimum retention: Until superseded or obsolete).

(52) Patrol Car Video Files Records document patrol activities. Patrol officers may manually activate cameras when calls come in or cameras may automatically activate upon rapid vehicle acceleration or deceleration. (Minimum retention: (a) Tapes used as evidence, retain until case reaches final disposition; (b) Tapes used for internal investigations, retain until investigation ends; (c) All other tapes, retain 30 days).

(53) Pawn Broker and Second Hand Dealer Reports Reports submitted to the police department documenting merchandise bought and sold by dealers. Useful in tracing stolen items. Information includes name, address, identification, and personal description of pledgor, date, dealer’s name, and description of article. (Minimum retention: 2 years).

(54) Peer Court Records Records document the city’s peer court program where youths who have committed certain first time misdemeanors or violations are judged through a court system of their peers (aged 12-17 years). Records may include policy and procedure manuals, budget, activity, and statistical reports, guidelines and instructions for participants, applications to participate in the program, juvenile consent form, intake interview form, defendant questionnaire, summary report, attorney’s analysis, jury verdict record, bailiff record, clerk’s record, community service log, judge’s notes, officer’s status report, defendant evaluation, parent evaluation, and related documentation. SEE ALSO Policy and Procedure Manuals in the Recorder-General section. (Minimum retention: (a) Case records, retain 5 years after final disposition of case, or youth reaches age of majority, whichever is longer; (b) Participant guidelines and instructions, retain until superseded or obsolete; (c) All other records, retain 2 years).

(55) Photo Radar Logs Records documenting the use of photo radar and red-light cameras by the city’s police department. Logs may include the date, time, location, number of photographs taken, and related information. SEE ALSO Photo Radar Records in this section. (Minimum retention: 3 years).

(56) Photo Radar Records Records document traffic infractions by drivers that have been photographed by the police department’s photo radar equipment. Records may include photographic negatives and prints, copies of citations, copies of drivers’ licenses, forms to dismiss, and related documentation. SEE ALSO Photo Radar Logs, Traffic and Other Citation Logs, and Traffic and Other Citations in this section, and Traffic Citation Case Files in the Municipal Court section. (Minimum retention: (a) Photo radar citations issued, retain 2 years; (b) Photo radar citations not issued, retain 30 days).

(57) Polygraph Records Records document polygraph tests given to criminal suspects, prospective employees and others. Includes pre-examination records, examination questions for individuals interviewed, statements of consent, polygraph analysis reports, examiner’s original test questions, examination chart tracing reports, polygraph results charts, conclusions, interviewee statements, and background information. (Minimum retention: (a) Case involving crimes with no statute of limitations, retain 75 years after case closed; (b) All other cases, retain 1 year after statute of limitations expires).

(58) Property and Evidence Control and Disposition Records Records used to track property and evidence coming into police department possession. Documents receipt, storage, and disposition of personal property and physical evidence from defendants, victims, and others. May include evidence photographs documenting crime scenes, accidents, and other incidents. Records often include receipt forms, evidence control sheets, property reports, destruction lists, property consignment sheets, seized firearm logs, homicide evidence inventories, and other documents. Information usually includes case number, tag number, date and time, property or evidence description, storage location, release date, and other data. Often filed with Incident Case Files. SEE ALSO Lost and Found Property Records in this section for documents related to lost and found or abandoned property not related to or held as evidence of an alleged crime. (Minimum retention: (a) Cases involving crimes with no statute of limitations, retain 75 years after case closed; (b) All other cases, retain 1 year after statute of limitations expires).

(59) Property Registration Records Records document the registration of property for identification in case of theft, loss, or burglary. Property includes but is not limited to bicycles, televisions, cameras, stereos, and guns. Information may include name, address, and phone number of owner, date, description of property, serial number, and related data. (Minimum retention: Until registration is expired, superseded, or obsolete).

(60) Radar Equipment Certification and Maintenance Records Records document the calibration and maintenance of radar equipment that may be useful in documenting the accuracy of the readings. Often includes original factory certification of calibration. If tuning fork tests reveal an inaccuracy, the equipment is removed from service for repair and recalibration. Information related to maintenance and repair may include a description of work completed, parts used, date of service, equipment number, make, model, and related data. (Minimum retention: 2 years after disposition of equipment).

(61) Teletype Messages Incoming and outgoing teletype messages concerning a variety of subjects of interest to the department. Subjects include incidents, meetings, arrests, warrant confirmation and others. Information includes date, time, originating agency, and text. (Minimum retention: Retain messages not warranting inclusion in Incident Case Files [or other record series] 30 days).

(62) Towed Vehicle Records Rotation lists and related records documenting tow truck requests and responses. Information usually includes date, name of requester, name of towing company called, location, and other data. Records may also include documentation of vehicles towed from private property at the request of citizens. This information is used to prevent towed vehicles from being reported as stolen. (Minimum retention: 1 year).

(63) Traffic and Other Citation Logs Logs listing various information related to citations issued by the police department. Usually includes type of citation, ticket number, name of violator, date of issue, and officer’s name. (Minimum retention: 1 year).

(64) Traffic and Other Citations Police department copies of citations issued for traffic, motor vehicle, and other violations. Includes Uniform Traffic Citations, parking citations, and others. Information includes city and county, date and time, name and address, date of birth, sex, occupation, license number, state, year, make and model of vehicle, location of violation, state or city law alleged violated, conditions, name of officer issuing citation, and related data. (Minimum retention: 3 years).

(65) Traffic Violation Warning Records Records document warnings issued for traffic violations. Often used to determine repeat offenders and for follow-up investigations. Information usually includes date, time, category, name, address, phone number, date of birth, race, sex, hair and eye color, height, weight, Social Security number, drivers license number, make and model of vehicle, location of violation, violation, signatures, and related data. (Minimum retention: 1 year).

(66) Used Firearm Transfer Records Records document the sale or transfer of a firearm. Information includes business name and address, individual purchasing or trading firearm, time and date of transaction, firearm description, including serial number, caliber, form of identification presented by the seller/trader, and dealer and seller/trader signatures and phone numbers. (Minimum retention: 1 year).

(67) Video Surveillance Recordings Records document fire and crime scene activities and the monitoring of public places (as defined in ORS 161.015). Fire and crime scene recordings document individuals present at the scene and may be used to identify suspects. Note specific information not to be collected or maintained: ORS 181.575. (Minimum retention: (a) Recordings used as evidence, retain until case reaches final disposition; (b) Recordings used for internal investigations, retain until investigation ends; (c) All other recordings, retain 30 days).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0110

Public Works — Operations and Maintenance Records

(1) Backflow Prevention Device Test Records Records document test results on backflow prevention devices designed to protect the city water system from pollution related to substances backing into water lines. Information usually includes date, type and size of device, serial number, location, test records, line pressure, name of tester, name and address of device owner, and related data. (Minimum retention: 10 years).

(2) Bridge and Culvert Maintenance and Repair Records Records document maintenance and repairs on city bridges and culverts. Includes pedestrian and bicycle bridges. May include summaries, reports, logs, and related records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, materials used, personnel completing work, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section. (Minimum retention: (a) Records with engineering stamps documenting structural maintenance or repairs, retain 2 years after bridge or culvert permanently removed from service; (b) All other records, retain 2 years).

(3) Buildings and Grounds Maintenance and Repair Records Records of all minor maintenance and repairs to buildings and grounds owned or leased by the city. Used to verify that repairs were made. May include summaries, logs, reports, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, materials used, personnel completing work, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section, and City Improvement Administrative and Financial Records in the Financial-General section. (Minimum retention: (a) Records requiring engineering stamps, retain 2 years after life of structure; (b) All other records, retain 2 years).

(4) Cross Connection Control Survey Records Records document the monitoring of potential or actual water system health hazards from pollution entering water pipes from other pipes. Records may include reports, surveys, checklists, and related documents. Information often includes address, contact person, business name, date, inspector, type of facility, description of protection, comments, corrections made, and other data. (Minimum retention: 1 year after disconnection or 10 years, whichever is longer).

(5) Daily Work Records Records document work completed by each city employee or crew on a daily basis. These may include logs, notes, or similar records. Information often includes personnel performing work, date and time completed, description of work, location, equipment and materials used, and additional pertinent data. SEE ALSO various maintenance and repair records series in this section (e.g., Buildings and Grounds Maintenance and Repair Records) for summaries or reports of information often included in this record series. (Minimum retention: 1 year).

(6) Delivery Tickets Tickets issued by suppliers to verify delivery of supplies or materials (concrete, road base, gravel, topsoil, etc.) Information usually includes date, time, amount and type of supplies received, and related data. (Minimum retention: 2 years).

(7) Equipment Maintenance and Repair Records Records document the inspection, maintenance, and repair of all city-owned equipment not listed elsewhere in this schedule. Examples include but are not limited to mowers, trailers, edgers, blowers, generators, sewage lift pumps, water pumps, office equipment, and furniture. Records may include summaries, reports, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes description of work completed, parts and supplies used, date of service, date, purchase price, equipment number, make, and model, and related data. SEE ALSO Daily Work Records in this section and Work Orders in Administrative section. (Minimum retention: 2 years after disposition of equipment).

(8) Fill and Leaf Delivery Records Records document citizen requests and city delivery of fill material and leaves to private property. Often includes conditions, signature, address, and phone number of property owner, number of loads requested, desired dumping location, and related information. SEE ALSO Street Surface Maintenance Records in this section for records documenting the removal of leaves from city streets. (Minimum retention: 2 years).

(9) Fuel Records Records document the amount of gasoline, diesel, and oil used by city-owned vehicles. Often includes logs, reports, and related documents. (Minimum retention: 2 years).

(10) Hydrant Records Records document the location, specifications, maintenance, testing, and repair of water hydrants in the city water system. May include lists, charts, logs, reports, and related records. Information often includes location, make, description (main size, valve size, flow capacity, etc.), maintenance and repair narratives, dates, authorizations, and related data. (Minimum retention: (a) Retain location and specification records until hydrant permanently removed from service; (b) Retain maintenance, test and repair records 2 years).

(11) Maintenance Request/Complaint Records Records document complaints or requests concerning a variety of maintenance responsibilities carried out by the public works department. Examples include but are not limited to brushing and limbing; road grading, rocking, sealing, patching, and marking; traffic signals and signs; city-owned buildings and equipment; streetlights; high grass or weeds; and water and sewer system problems. Information often includes name, phone number, and address of person making request/complaint, narration of request/complaint, name of person responding to request/complaint, dates of related activities, and other data. (Minimum retention: 2 years after last action).

(12) Public Facilities Inspection Records Series documents the city’s inspection and licensing of public facilities such as restaurants, mini marts, delicatessens, hospital and school cafeterias, daycare and long-term care food services, tourist and travelers facilities, and other food service organizations. Series may include applications; inspection reports listing type of inspection, any deficiencies, inspection score, date and time of inspection, and signatures; copies of the licenses issued; and other related data. (Minimum retention: (a) Facilities: 1 year after date of event inspection; (b) Closed facilities: 2 years after closure).

(13) Sewer and Storm Drainage Maintenance and Repair Records Records document the maintenance and repair of city sewers and storm drains. May include summaries, reports, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, amount and type of material used, personnel completing work, dates of activities, authorization, and related data. SEE ALSO Daily Work Records and Sewer Television/Videoscan Inspection Records in this section. (Minimum retention: (a) Records requiring engineering stamps, retain 2 years after life of structure; (b) All other records, retain 2 years).

(14) Sewer Smoke Test Records Records document smoke tests undertaken to verify hookup to main sewer lines, check condition of pipes, or determine effectiveness of backflow prevention devices. Information often includes maps or diagrams of lines tested, location of leaks detected, inspector’s name, pipe size, and related data. (Minimum retention: 10 years).

(15) Sewer Television/Videoscan Inspection Records Reports document television inspections used to determine the condition of sewer lines. Inspections locate problems and defects so that corrective measures can be taken. Often consists of periodic inspections of existing lines, final inspections of newly constructed lines, and inspections at the end of warranty periods. Records usually contain videotapes and written reports. Information often includes date, type of inspection, conditions found, repairs needed, distances from manholes, and related data. (Minimum retention: (a) Written reports, retain 1 year after the life of the sewer line; (b) Videotapes, retain 1 year after written report submitted).

(16) Street and Road Condition Inventory Records Inventory records document the condition of city streets, roads, curbs, shoulders, sidewalks, bikeways, alleys, etc. Useful for reference and planning. Information can include street or road name, location, year surveyed, constructed, and surfaced, bed and surface type, surface size, condition, and other data. (Minimum retention: 5 years after annual audit report issued).

(17) Street Maintenance and Repair Records Records document maintenance and repairs of city-owned streets and sidewalks. May include reports, summaries, and similar documents usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, amount of materials used, personnel involved, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section. SEE ALSO Contracts and Agreements in the Recorder-General section for contract records related to private companies working on city maintenance and repair projects. (Minimum retention: (a) Records requiring engineering stamps, retain 10 years after substantial completion; (b) All other records, retain 2 years).

(18) Street Surface Maintenance Records Records document routine and special street sweeping, cleaning, snow removal, sanding, leaf removal, and similar work. Often includes reports, summaries and similar records. Information can include date and time, area covered, broom down time and mileage, traveling time and mileage, operator’s name, equipment used, amount of sand applied, amount of leaves removed, weather conditions, and related data. (Minimum retention: 3 years after annual audit report issued).

(19) Streetlight Maintenance and Repair Records Records document maintenance and repairs on city streetlights. May include reports, summaries, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes location, narrative of work completed, equipment repaired or replaced, supplies used, personnel completing work, authorization, dates of activities, and related data. SEE ALSO Daily Work Records in this section. (Minimum retention: 3 years after annual audit report issued).

(20) Temporary Access/Construction Easement Records Records document temporary easements allowing entrance and work on property or streets not owned by the easement holder. Permits usually apply to city crews and utility workers. Information can include applicant name, address, and phone number, contractor name and license number, utility involved, location, description of work, security deposit, surface restoration material used, signature, date, comments, permit number, and related data. SEE ALSO Easements in the Recorder-General section for long-term easements. (Minimum retention: 2 years after easement expires).

(21) Traffic Control Equipment Maintenance and Repair Records Records document maintenance and repair of traffic signals and signs in the city. May include reports, summaries, and similar records. Information often includes location, narrative of work completed, equipment repaired or replaced, supplies used, personnel completing work, dates of activities, and related data. SEE ALSO Contracts in the Recorder-General section for contract records related to private companies working on city maintenance and repair projects. SEE ALSO Daily Work Records in this section. (Minimum retention: (a) Traffic signal records, retain 2 years after equipment permanently removed from service; (b) Traffic sign records, retain 2 years).

(22) Utility Installation and Connection Records Records document installation of city utility systems or the connection of specific properties to city water, sewer, power, or similar systems. Does not apply to temporary stoppages or disconnections service. May include applications, permits, and similar records. Information often includes applicant’s name and address, permit number, fee charged, service level, type of structure, pipe size, meter size and number, and related data. (Minimum retention: 2 years after physical disconnection).

(23) Utility Line Location Request Records Records document requests and city action to locate underground lines in the vicinity of a construction site. Information often includes name of person requesting location; planned and actual date and time of location; notations of water, sewer, storm drains, and other line locations; name and signature of person locating lines; and related data. If city uses a private contractor to locate lines, SEE ALSO Contracts and Agreements in the Recorder-General section. (Minimum retention: 2 years).

(24) Utility Meter Installation, Maintenance, and Repair Records Records document the installation, maintenance, and repair of city operated water and power meters. May include logs, summaries, and similar records usually compiled from daily work records on a monthly or quarterly basis. Information often includes address, narrative of work completed, personnel completing work, dates, and related data. (Minimum retention: 5 years).

(25) Utility Meter Test and Calibration Records Records document the testing and calibration of city operated water and power meters for accuracy. May include logs, reports, lists, charts, and similar records. Information can include address, test and calibration results, repairs needed, comments, and related data. (Minimum retention: Life of the equipment).

(26) Valve Maintenance Records Records document the location, specifications, maintenance, and repair of valves in the city water and sewer systems. May include lists, charts, drawings, reports, logs, and related records. Information often includes valve location, identification number, run of pipe, size, make, year installed, depth, turns to open and normal position, narratives of valve maintenance and repair, tests run, personnel completing work, dates, and related data. (Minimum retention: (a) Location and specification records, retain until valve permanently removed from service; (b) Maintenance and repair records, retain 2 years).

(27) Water Line Maintenance and Repair Records Records document the maintenance and repair of city-owned water lines. May include reports, summaries, and similar documents usually compiled from daily work records on a monthly or quarterly basis. Information often includes, location, narrative of work completed, amount and type of materials used, personnel completing work, dates of activities, authorization, and related data. SEE ALSO Water Valve Maintenance Records, Water Hydrant Maintenance Records, and Daily Work Records in this section. (Minimum retention: (a) Records requiring an engineering stamp, retain 2 years after water line permanently removed from service; (b) All other records, retain 2 years).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0130

Recorder — Election Records

(1) Abstract of Votes (Record of Elections) Records document election results for General, Primary, Emergency, and Special Elections. Information includes candidate name/ballot title, precinct name, total votes per candidate/ballot title, total per precinct, under/over votes, and certification by County Clerk. (Minimum retention: Permanent).

(2) Contribution and Expenditure Reports Records document contributions and expenditures by candidates or political action committees if filed with the City. Includes statement of organization, amount, source, and detail of expenditures. May also include receipts for expenditures and supplemental reports. (Minimum retention: (a) Statement of organization, retain permanently (b) All other records, retain 4 years after the date required to file update reports).

(3) Election Filings Includes all necessary papers required to be filed by a candidate or governing body for primary, general, emergency, and special elections. May include petition of nomination, declaration of candidacy, certification of nomination, filing forms for city and county voters’ pamphlet, notice of measure election, and withdrawal of candidates. (Minimum retention: 4 years).

(4) Election Preparation Records Used to prepare and administer elections within each precinct in the city. Records may include such information as number of ballots going to each precinct, number and type of pages for each voting machine for each precinct, listing of issues and candidates by precinct order, guides to preparing voting machines, ballot layout records, and public certification test notice. Also may include guides to assist Election Board personnel in reconciling votes cast with eligible voters. (Minimum retention: 2 years).

(5) Help America Vote Act Identification Records Records used to verify the identity and county residency of individuals registering to vote. Records include but are not limited to current and valid photo identification containing voter name and address, or a current copy of a utility bill, bank statement, government check, paycheck, or other government document that shows their name and address. The address listed must match the residence or mailing address submitted on their voter registration card. (Minimum retention: Until verified by county elections official).

(6) Initiative, Referendum, and Recall Records Records document the initiative, referendum, and recall process by which voters propose laws and amendments to the State Constitution, refer an act of the Legislature or other governing body to a vote of the electorate, or recall a public official. Includes petitions, signature sheets, summaries of signature verification, text of proposed law, amendment, or response from public official. (Minimum retention: (a) Signature verification records, retain 6 years; (b) Signature sheets including verification, if measure approved, retain 6 years after election; (c) Signature sheets, if measure not approved, retain 90 days after election or 90 days after deadline for sufficient signatures; (d) Petitions qualified to ballot, retain permanently; (e) Petitions not qualified to ballot, retain 6 years).

(7) Legal Notices and Publications Records document required pre-election legal notices by the City Recorder. May include publication of ballot title, notice of election, sample ballot, and the City voters’ pamphlet. (Minimum retention: (a) One copy of city voters’ pamphlet, retain permanently; (b) All other records, retain 4years).

(8) Poll Books Records document issuance of ballot to eligible voter in an election. Includes name of elector, party affiliation, home address, ballot number, precinct number, and signature of voter. Cover includes number of voters casting ballots for the election and names, signatures, and oaths of Election Board members. May also include certificates of registration. Some records may have historical value. For appraisal assistance, contact the Oregon State Archives. (Minimum retention: (a) Records created prior to 1931, retain permanently; (b) All other records, retain 2 years).

(9) Vote-By-Mail Records Records are used to prepare, administer, and abstract elections conducted by mail. Records include: counted, duplicated, rejected and/or defective ballots; Envelopes - returned signed envelopes, non-deliverable envelopes, and secrecy envelopes; and other documents used to prepare, administer and abstract elections conducted by mail. (Minimum retention: (a) Counted, duplicated, rejected and/or defective ballots, retain 22 months for elections containing federal candidates and 90 days after the last day to contest the election for all other elections; (b) returned signed envelopes two years for elections containing federal candidates and 90 days after the last day to contest for all other elections; (c) Secrecy and non-deliverable envelopes, retain for 60 days after the last day to contest for all elections regardless of federal/nonfederal candidates; (d) All other documents used to prepare, administer and abstract elections conducted by mail, retain 2 years following the election to which it relates).

(10) Voter Registration Records Records document registration or cancellation of registration of eligible voters. Voter Registration Cards include the following information: name, signature, mailing and residence address, previous registration information, if ever registered in Oregon, date of birth, affirmation of citizenship, state residency, and political party. May also include records canceling or making inactive voter registration such as the notice of deceased list from Secretary of State, notice of change of address from Department of Motor Vehicles, U.S. Postal Service notice, and related correspondence. (Minimum retention: 2 years after canceled).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 4-2003, f. & cert. ef. 11-24-03; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 6-2009, f. & cert. ef. 8-26-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-200-0140

Risk Management Records

(1) City Vehicle Accident Records Records document accidents involving city vehicles. May include dispatch reports with information such as name and address of parties involved, date and time, complaint, description of damage, and other data. Records may also contain motor vehicle accident reports which include the driver’s name, address, phone number, date of birth, and driver’s license number, as well as passenger and witness names, description of events, make and model of vehicle(s), vehicle identification number, and related data. Photographs and correspondence also may be part of these records. (Minimum retention: (a) If litigated, see Civil Case Files in the Attorney section for retention; (b) If not litigated, retain 3 years).

(2) Contractor Liability Insurance Verification Records Letters or certificates of coverage provided by insurance companies declaring that specific contractors are covered by appropriate liability insurance. Information usually includes insurance company name and address, issue date, expiration date, amount of coverage, type of coverage, special provisions, signature of insurance company representative, and related data. (Minimum retention: (a) If related to city improvement project, retain 10 years after substantial completion, as defined by ORS 12.135(3); (b) All other records, retain 6 years after expiration).

(3) Contractor Performance Bond Records Records document the posting of performance guarantees or surety bonds by contractors performing work for the city. May include letters, certificates, copies of bonds, and similar records. Information usually includes name of individual or company covered, amount of coverage, effective and expiration dates, name of bonding agent, authorized signatures, and related data. (Minimum retention: (a) If related to city improvement project 10 years after substantial completion, as defined by ORS 12.135(3); (b) All other bond records, retain 6 years after expiration).

(4) Hazard Communications Program Records Records document city participation in the Hazard Communications Program as required by the Oregon Occupational Safety and Health Administration (OR-OSHA). These records may be useful as documentation for exposure and other claims because they include chemical content, safe handling instructions, and other facts about a product at a given time in the past. Usually includes plans, reports, and material safety data sheets (MSDS). Information included in the material safety data sheets includes product name, manufacturer’s address and phone number, hazardous ingredients contained, ingredient description, carcinogenicity, quantity of ingredients, fire and explosion data, health hazard data, radioactivity data, spill and leak pressures, safe handling and use information, special use precautions and related data. (Minimum retention: 75 years after superseded or obsolete).

(5) Injury Reports, Public Use Records document injuries sustained by non-employees on city property such as parks, swimming pools, libraries, and senior centers. Information usually includes date, time, location, and description of injury, name, address, phone number, sex, and age of injured person, witnesses, date reported, and related data. (Minimum retention: (a) If claim filed, see Liability Claims Records in this section for retention; (b) If no claim filed, retain 3 years).

(6) Insurance Policy Records Records document the terms and conditions of insurance policies between the city and insurers. Types of insurance include liability, property, group employee health and life, motor vehicle, workers’ compensation, flood, and others. Records usually include policies, endorsements, rate change notices, agent of record, and related documents. (Minimum retention: (a) Group employee health and life, property, and liability insurance, retain 75 years after expiration if no claims pending; (b) All other insurance records, retain 6 years after expiration if no claims pending).

(7) Liability Claims Records Records document various types of liability claims filed against the city. These include personal injury, property damage, motor vehicle accident, false arrest, and others. Records often include reports, photographs, summaries, reviews, notices, audio and videotapes, transcriptions of recorded statements, memoranda, correspondence, and related documents. Some records may be duplicated in the Civil Case Files record series in the Attorney section. Duplicate records should be retained as needed. (Minimum retention: (a) If action taken, retain 10 years after case closed, dismissed, or date of last action; (b) If no action taken, retain 3 years).

(8) Liability Waivers Records document the release of the city from liability related to various activities that include citizen involvement. Examples include but are not limited to riding in police or emergency medical services vehicles, participating in city sponsored runs or other activities such as recreational classes including canoeing, kayaking, tennis, basketball, and others. Information usually includes release terms, date, signatures, and related information. (Minimum retention: 3 years).

(9) Occupational Injury and Illness Records Records document occupational injuries and illnesses as required by the Oregon Occupational Safety and Health Administration (OR-OSHA). Includes OR-OSHA logs and summaries, claims summary reports, status reports, financial reports, and supplemental records. Information includes calendar year, dates, file numbers, date and description of each injury, illness, or death, names, occupations, types of diseases, totals, and related data. SEE ALSO Workers’ Compensation Claim Records in this section, and Employee Medical Records in the Personnel Records section. (Minimum retention: 6 years).

(10) Property Damage Records Reports, photographs, and other records document damage to city property such as signs, trees, picnic tables, buildings, fountains, and fences. Information often includes type and location of property damaged, description of damage, date and time of damage (if known), name and address of individual who caused damage (if known), value of damage, billing costs, and related data. SEE ALSO Incident Case Files in the Police section for related vandalism records and Flood Plain Permit Records in the Planning and Development section. (Minimum retention: (a) If litigated, see Civil Case Files in the Attorney section for retention; (b) If not litigated, retain 3 years after date of last action).

(11) Risk Survey and Inspection Records Records document surveys, inspections, and other actions designed to identify potential hazards and liabilities to the city related to buildings, grounds, or services. Useful for preventing liability claims and for illustrating a pattern of responsible action regarding hazards. Records may include survey summaries and reports, safety audit and inspection reports, memoranda, and correspondence. Subjects may include the design, and use of parks, playgrounds, buildings, etc., video display terminals, hazardous materials, and others. (Minimum retention: (a) Records documenting the formation or change of policy, retain permanently; (b) All other records, retain 5 years).

(12) Safety Program Records Records document the city’s program to promote a safe work environment for its employees. Records may include safety policies, plans and procedures, workplace safety committee records, reports on inspections conducted by the safety officer, evacuation rosters and reports, and related documentation and correspondence. (Minimum retention: (a) Safety policies, plans, and procedures, retain 5 years after superseded; (b) Inspection reports, reports, evaluations, and recommendations, retain 10 years; (c) Committee minutes, exhibits, and agendas, retain 3 years; (d) All other records, retain 5 years).

(13) Workers’ Compensation Claim Records Records document the processing of individual employee claims of job related injuries or illnesses, but not those describing actual medical conditions. Includes records satisfying the procedural requirements of the State Workers’ Compensation Division and the State Workers’ Compensation Board, as well as those of (depending on city arrangements) the State Accident Insurance Fund (SAIF), private insurance providers, or self insurance. Records may include claim disposition notices, claim reporting and status forms; injury reports; determination orders; insurance premium data; hearing requests; safety citations; inspection reports; medical status updates and reports; investigation reports; reimbursement and payment records; and related correspondence and documentation. SEE ALSO Employee Medical Records in the Personnel section for records describing the job related injury or illness and the related subsequent medical condition of the employee. These often include workers’ compensation accident reports, medical reports, vocational rehabilitation evaluations, disability determinations and related records. (Minimum retention: (a) For retention of records describing injuries and illnesses, see Employee Medical Records in the Personnel section; (b) All other records, retain 6 years after claim closed or final action).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1998, f. & cert. ef. 1-7-98; OSA 3-2002, f. & cert. ef. 7-2-02; OSA 3-2008, f. & cert. ef. 12-10-08; OSA 3-2012, f. & cert. ef. 10-29-12

166-300-0015

Administrative Records

(1) Administrative Rule Preparation Records Records document the formulation, development, notice, and filing of an agency’s administrative rules. Administrative rules may be developed through the activities and actions of an agency-appointed advisory committee. Records may include but are not limited to committee minutes and agendas, committee roster, draft rules and work notes, correspondence, copies of administrative orders filed with the Secretary of State (Notice of Proposed Rulemaking, Notice of Proposed Rulemaking Hearing, Statement of Need and Fiscal Impact, Statement of Need and Justification, Certificate and Order for Filing Permanent (or Temporary) Administrative Rules), and public comments and testimony. Administrative rule preparation records must be retained according to this schedule regardless of whether the rule has been renumbered, or repealed and re-adopted under a new rule number. The Secretary of State maintains the statewide record copy of the Oregon Administrative Rules, Oregon Bulletin, and filed administrative orders. (Retention: (a) Retain hearing audio or videotapes: until transcribed or summarized, destroy; (b) Retain all other Administrative Rule records: 10 years after repeal of entire rule, destroy).

(2) Agency Organizational Records Records document the organizational arrangement and administrative structure of an agency. Records may include but are not limited to organizational statements, organizational charts depicting the organization of an agency and/or its divisions and programs, studies determining the merit and feasibility of reorganization plans, and other studies related to administrative hierarchy. (Retention: Retain 2 years, destroy).

(3) Attorney General Opinions Records document Attorney General Opinions and attorney’s letters of advice. Records may include but are not limited to requests for opinions; opinions; letters of advice; copies of legislative bills, statutes, and administrative rules; and correspondence. The Department of Justice maintains the statewide record copy. (Retention: Retain 10 years, destroy).

(4) Business Plan Records Records document the needs assessment, planning, implementation, and review of an agency’s functions, programs, and goals. Records may include but are not limited to management plans, directives, organizational charts, correspondence, and related records. (Retention: (a) Retain final document: 6 years, destroy; (b) Retain other business plan records: 1 year after final document produced, destroy).

(5) Calendar and Scheduling Records Records document the scheduling of events and activities involving agency staff or resources, regardless of format. Records may include but are not limited to schedules, desk calendars, reservation logs, lists, requests, and related records. Scheduling information recorded in a personal day planner or personal electronic device may be a public record under ORS Chapter 192. (Retention: Retain 1 year, destroy).

(6) Communication Logs Logs document communications made or received through a variety of electronic devices, including but not limited to telephone, smart phone, facsimile (fax), radio, computer-aided dispatch, pager, and teletype, AND are not otherwise specified in the state agency general records retention schedule (OAR 166 Division 300). Logged information may include time, date and disposition of communication, name of caller, number called or received, and action taken. SEE ALSO Correspondence in this section (Retention: Retain 1 year, destroy).

(7) Conference, Seminar, and Training Program Records Records document the design and presentation of training programs and events offered or sponsored by the agency. These events may include but are not limited to conferences, conventions, seminars, training classes, workshops, and similar gatherings. Records may include but are not limited to class descriptions, instructor certifications, planning documentation, instructional materials, course outlines, class enrollment and attendance records, and related records. SEE ALSO Employee Training Records in the Personnel Records section for individual employee training records. (Retention: (a) Retain class enrollment and attendance records: 2 years, destroy; (b) Retain all other records: 5 years, destroy).

(8) Contracts and Agreements Records document the negotiation, execution, completion, and termination of legal agreements between an agency and other parties. Records may include but are not limited to the official contract, lease, or agreement, amendments, exhibits, addenda, legal records, contract review records, and related documentation and correspondence. Records do not include property records. Note: Agencies that enter into contracts with the federal government must ensure that their contracts and agreements meet federal requirements specified in the Code of Federal Regulations. (Retention: (a) Retain contracts or agreements documenting building construction, alterations, or repair: 10 years after substantial completion [as defined by ORS 12.135 (3)], destroy; (b) Retain all other contracts and agreements: 6 years after expiration, destroy).

(9) Correspondence Records that: 1. document communications created or received by an agency AND 2. directly relate to an agency program or agency administration AND 3. are not otherwise specified in the State Agency General Records Retention Schedule (OAR 166-300) or in state agency special schedules or in ORS 192.170. Records may include but are not limited to letters, memoranda, notes and electronic messages that communicate formal approvals, directions for action, and information about contracts, purchases, grants, personnel and particular projects or programs. (Disposition: File with the associated program or administrative records. Retentions for program records are found in state agency special schedules; retentions for administrative records are typically found in the State Agency General Records Retention Schedule. Communications not meeting the above criteria do not need to be filed and may be retained as needed.)

(10) Key Assignment Records Series documents the assignment of key cards, metal keys, or pass codes to agency employees for access into state-owned or leased buildings and/or offices. Information may include employee name and agency, work phone number, primary work location, status level, access privileges, key number, dates issued and returned, and pass code information. (Retention: Retain 6 months after employee separation or access status changed, destroy).

(11) LEDS Certification Records Records document the qualification of staff to perform Law Enforcement Data System (LEDS) searches on clients or agency employees. SEE ALSO Employee Personnel Records and Recruitment and Selection Records in the Personnel Records section. (Retention: Retain 2 years after employee ceases to be LEDS certified, destroy).

(12) Legislative Development Advisory Committee Records Records document the activities of agency-appointed advisory committees to help develop legislation for an agency. Records may include but are not limited to membership lists, minutes, agendas, fiscal impact statements, work notes, draft legislation, member comments on drafts, final committee version of legislation, and correspondence. (Retention: Retain 6 years, destroy).

(13) Legislative Tracking Records Records document the development and monitoring of legislation, which may have an impact on an agency’s programs or policies. Records may include but are not limited to concept statements, proposals, bill logs, fiscal/organizational impact analysis papers, copies of bills, testimony summaries, committee reports, agendas, and correspondence. Does not include copies of legislative bills used strictly to monitor the legislative process. (Retention: Retain 6 years, destroy).

(14) Litigation Records Records document agency activities in litigation. Records may include but are not limited to court documents, research materials, reports, press releases, and correspondence. (Retention: (a) Retain precedent-setting litigation records not scheduled by special schedule: 20 years after case closed, destroy; (b) Retain all other litigation records: 5 years after case closed, destroy).

(15) Lobbyist Records Records document lobbyist and lobbyist employer activities and are used to report these activities to the Oregon Government Ethics Commission. Records may include but are not limited to expenditure reports, registration statements, termination records, guidelines, and correspondence. (Retention: (a) Retain expenditure reports: 4 years, destroy; (b) Retain all other lobbyist records: 5 years after last activity, destroy).

(16) Mailing Lists Records document the compilation of names and addresses of persons and organizations by an agency for mailing purposes. Lists are used to facilitate billing, community outreach, and other agency functions. (Retention: Retain until superseded or obsolete, destroy).

(17) Parking Records Records document parking provided for the public or agency staff. Records may include but are not limited to parking permits and applications, special permits, and permit receipts. (Retention: Retain 4 years, destroy).

(18) Policy and Procedure Guidelines and Manuals Records document internal instructions, rules, and guidelines for current agency policies and procedures. Records may include but are not limited to authorizing bulletins and advisories, manuals documenting departmental policies and procedures, handbooks, desk manuals, drafts, and related documentation. (Retention: (a) Retain final document: 6 years after superseded, destroy; (b) Retain all other policy development and planning records: 1 year after final document produced, destroy).

(19) Policy Development and Planning Records Records document the development, planning, implementation, assessment, and review of an agency’s strategic or long-term goals through policies, programs, and activities. Records may include but are not limited to strategic and management plans, mission and goal statements, final policy statements and directives, organization charts, preliminary drafts, work notes, and correspondence. (Retention: (a) Retain final document: 20 years, destroy; (b) Retain all other policy development and planning records: 1 year after final document produced, destroy).

(20) Postal Records Records document transactions with the U.S. Postal Service and private carriers. Records may include but are not limited to postage meter records, receipts for express deliveries, registered and certified mail, insured mail, special delivery receipts and forms, loss reports, and correspondence. (Retention: Retain 4 years, destroy).

(21) Press Releases Records document agency information officially released to the media for dissemination to the public. Records may include but are not limited to press or news releases, prepared statements, public service announcements, and related documentation. (Retention: Retain 10 years, destroy).

(22) Professional Membership Records Records document agency-paid individual or institutional memberships and activities in professional organizations. (Retention: Retain 6 years, destroy).

(23) Public Records Disclosure Request Records Records document requests for disclosure of public records and provide a record of agency responses. Records may include but are not limited to requests for disclosure, request logs, approvals, denials, copies of petitions to the Attorney General for review of denials of disclosure, Attorney General Orders to grant or deny disclosure, and correspondence. (Retention: (a) Retain approved request records: 5 years, destroy; (b) Retain denied request records: 5 years after last action, destroy).

(24) Publication Preparation Records Records document the development of agency reports, studies, directories, leaflets, flyers, brochures, and other publications. Records may include but are not limited to working papers, mock-ups, drafts, and related correspondence. Stocks of publications are not public records as defined by ORS 192.005(5) and need not be scheduled. (Retention: Retain 1 year after publication printed, destroy).

(25) Security Records Records document security provided for agency buildings and grounds. Records may include but are not limited to security logs, sign-in sheets, security activity reports, incident reports, and related records. SEE ALSO Visitor Logs in this section. (Retention: Retain 5 years, destroy).

(26) Signature Authorizations Records documenting the authorization of employees designated to sign fiscal and contractual documents. Information may include authorization date, employee name, signature sample, position, conditions, remarks, dollar amount employee authorized to approve, and signature and name of person(s) approving authorization. (Retention: Retain 6 years after authorization superseded or expired, destroy).

(27) Staff Meeting Records Records document the activities and proceedings of agency staff meetings that are not subject to Oregon’s Public Meetings Law (ORS 192.610 to 192.690). Records may include but are not limited to minutes, notes, reports, and related documentation. (Retention: Retain 2 years, destroy).

(28) Visitor Logs Records document the registration of non-agency personnel and visitors into the agency’s building and/or office area. Information may include but is not limited to date and time visitor checked in and out, visitor name, reason for visit, agency contact name, and badge identification number. SEE ALSO Security Records in this section. (Retention: Retain 1 year, destroy).

(29) Work Orders Series documents requests made for work to be done for one agency division by another agency division. Types of work requested include word processing and requests for information such as purchasing. Information may include but is not limited to dates requested and completed, requestor’s name and division, name of individual completing work, and description of work to be done. SEE ALSO Facility Work Orders in the Facilities/Property Records section. (Retention: Retain 1 year after assignment completed or cancelled, destroy).

(30) Year 2000 (Y2K) Planning Records Records document the planning and development of Y2K Contingency Plans. Records may include but are not limited to meeting minutes, correspondence, draft plans, work notes, plan test results, and final plan. Information may include type of systems vulnerable to Y2K, level of priority, and party responsible for system solution or troubleshooting. (Retention: Destroy).

[Publications: Publications referenced are available from the agency.]

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1995, f. & cert. ef. 5-25-95; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-1998, f. & cert. ef. 12-30-98; OSA 1-1999, f. & cert. ef. 2-4-99, Renumbered from 166-303-0010; OSA 5-2002, f. & cert. ef. 10-14-02; OSA 1-2005, f. & cert. ef. 2-28-05; OSA 3-2012, f. & cert. ef. 10-29-12

166-300-0025

Financial Records

(1) 1099-Miscellaneous Forms Records document the agency’s responsibility for ensuring vendor payments are accurate. If vendor information is incorrect, the agency prepares a ‘1099-Misc. Change Request’ and forwards it to the Statewide Financial Management Services section for correct to the 1099-Misc. form. The Statewide Financial Management Application (SFMA) tracks vendor payments and produces 1099-Misc. forms for federal reporting. (Retention: Retain 6 years, destroy).

(2) Account Reconciliation Records Records document the reconciliation of agency funds and accounts such as cash accounts with the State Treasury or other subsystems, capital asset to capital expenditures, or federal revenue to federal expenditures. Records may include printouts, worksheets, reports, schedules, and other supporting documentation. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: Retain 6 years, destroy).

(3) Account Transfer Records Records document the authorized transfer, movement, and receipt of funds between various accounting structures, including agency cost accounting systems, agency subsystems, Treasury accounts, and the statewide financial management application. Records include journal vouchers and transfer requests. (Retention: Retain 6 years, destroy).

(4) Accounting Structure Organizational Hierarchy Records Records document the program and/or organization of an agency’s accounting structure. The accounting structure includes items such as comptroller objects, agency objects, fund structure, and general ledger account and other codes and profiles. Records include those produced by the Statewide Financial Management Application (SFMA) the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Records may include SFMA profile listings showing accounting structure and fund split tables. (Retention: Retain 6 years, destroy).

(5) Accounting System Input Documents and Listings, and Agency Control Reports Records document transactions or changes entered into the accounting system and other subsystems. They are used to control accuracy of data entry and to verify data input and batch control. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. Records include input documents, batch control reports, hand-posted spreadsheets, control reports, and memoranda. (Retention: Retain 4 years, destroy).

(6) Accounts Payable Reports Records document current outstanding liabilities and provide a record of payments of bills by the agency. They may also serve as a subsidiary ledger. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: (a) Retain SFMA requestable reports: 6 years, destroy; (b) Retain all other accounts payable records: 6 years, destroy).

(7) Accounts Receivable Reports Records document billings and collections and provide a record of money owed to the agency. Serves as a subsidiary ledger of original entry/input and records amounts received from debtors for goods and/or services. Aging reports are used to monitor accounts that are outstanding and overdue. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: (a) Retain monthly accounts receivable reports and SFMA requestable reports: 6 years, destroy; (b) Retain all other accounts receivable records: 6 years after collected or deemed uncollectible, destroy).

(8) Annual Financial Reports Records document the agency’s annual financial condition and results of operation as of June 30 using trial balance data. These reports are used as a reference by the Secretary of State, Audits Division and included in the Comprehensive Annual Financial Report (CAFR) produced by the Department of Administrative Services. Records may include transmittal cover sheet, organization and function, combined balance sheet, combined statement of revenues, expenditures, changes in fund balance, notes to the financial statement, and exhibits. Exhibits may include a working trial balance by fund type, adjustments to accounting data, cash flow analysis, and other documents supporting statement amounts and notes. The Department of Administrative Services maintains the statewide record copy of the CAFR. (Retention: Retain 10 years, destroy).

(9) Audit Reports Records document an examination of the agency’s fiscal condition, internal control and compliance policies and procedures, performance or other financial related audits by the Secretary of State, Audits Division; internal auditors; or independent auditors. Records include audit reports, supporting documentation, agency comments, and correspondence. The Secretary of State, Audits Division maintains the statewide record copy of their audits. SEE ALSO Internal Audit Reports in this section. (Retention: (a) Retain grant fund audit reports: 5 years or according to the terms (if greater than 5 years) specified in the grant, destroy; (b) Retain all other audit reports: 5 years, destroy).

(10) Bank Statements Records document the current status and transaction activity of agency funds held at a bank or at the State Treasury. Records may include bank/Treasury statements and support reconciliation records, validated deposit slips and/or paid check/warrant copies. (Retention: Retain 6 years, destroy).

(11) Budget Allotment Reports Records document the agency’s containment within quarterly budget authorizations using expenditure, encumbrance, and budget data. Records are used to develop and monitor apportioned fiscal distributions. (Retention: Retain present and previous biennium, destroy).

(12) Budget Preparation Records Records document the agency’s activity to plan, develop, estimate and propose biennial budget requests. Records may include budget requests, spreadsheets, expenditure projection work papers, preliminary division/section budget proposals, budget development schedules, allotment reports, decision packages, spending plans, funding formula factor analysis, compensation plan proposals, contingency/deviation plans, performance measures, fiscal impact analysis, and correspondence. Records may also include monthly trial balance summaries, expenditure detail reports, revenue detail reports, monthly encumbrance registers, and expenditure and revenue registers. (Retention: Retain present and previous biennium, destroy).

(13) Cash Receipt Records Records document tabulated and keyed-in transactions for cash received by the agency. Records may include cash register tapes or equivalent, copies of receipts, and batch sheets. SEE ALSO Receipts and Receipt Registers in this section. (Retention: Retain 6 years, destroy).

(14) Check Cancellation Request Records Records document the request to cancel checks issued and to request the issuance of duplicates. Records may include request memoranda and check photocopies. (Retention: Retain 6 years, destroy).

(15) Check Conversion Records Records document checks received from customers that are electronically deposited after being imaged and converted to an Automated Clearing House (ACH) transaction or Image Replacement Document (IRD) (Retention: (a) Retain original paper instrument 30 days, destroy (b) Retain ACH transaction or IRD 6 years, destroy).

(16) Check Registers Records document an original entry listing which logs checks issued by the agency. Information includes date, check number, payee, and amount. (Retention: Retain 6 years, destroy).

(17) Checks Records document redeemed checks written on agency accounts. Records may include redeemed, void and canceled checks, and supporting documentation. (Retention: Retain 6 years, destroy).

(18) Competitive Bid Records Records document the evaluation and award of bids to vendors and/or agencies and provides evidence of accepted and rejected bids. Records may include but are not limited to requests for proposals, bids, and information; bid and quote lists; notices of bid opening and award; comparison summaries; spreadsheets; tabulation worksheets; bid advertising records; tally sheets; bid specifications; and vendor correspondence. SEE ALSO Purchasing Records and Vendor Reports in this section. (Retention: Retain 6 years after bid awarded or canceled, destroy).

(19) Credit and Debit Receipts Agency’s copy of credit or debit card receipt documenting payment received by agency. Records include customer’s name and account information (Retention: Retain 36 months after transaction, destroy).

(20) Credit Card Records Records document the application and approval to use state-issued credit cards and purchases made with these cards. Records may include but are not limited to credit card applications, approvals, credit card transaction logs, credit card security and checkout records, monthly credit card statements, and purchasing documentation. (Retention: (a) Retain application and approvals: 3 years after card cancelled, revoked, or denied, destroy; (b) Retain all other credit card records: 6 years, destroy).

(21) Debit/Credit Advices Records document the receipt of and/or verification of special deposits or withdrawals and the adjustment of dollar amounts in funds because of recording errors or fund transfers between accounts. Information includes account number, debit/credit amount, authorization, and justification. (Retention: Retain 6 years, destroy).

(22) Deposit Slips Records document monies deposited in banks at privately operated institutions and the State Treasury. Records are used to reconcile and balance an agency’s State Treasury or bank accounts. Information may include date and amount deposited. (Retention: Retain 6 years, destroy).

(23) Emergency Board Request Records Records document the agency’s requests to the Legislative Emergency Board for additional funds or authority to spend funds between legislative sessions. Records may include but are not limited to requests, schedules and agendas, exhibits, organization charts, testimony summaries, fiscal analysis, legislative progress reports, revenue projections, reclassification plans, presentation drafts, performance measures, other exhibits, and correspondence. (Retention: Retain present and previous biennium, destroy).

(24) Encumbrance Registers Records document a listing of outstanding encumbrances (financial obligations), purchase commitments, and vouchers written to liquidate or reduce encumbrances. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: Retain 3 years, destroy).

(25) Expenditure and Revenue Reports Records summarize expenditures, revenue, encumbrances, and budgetary data, and are used to monitor and control expenditures in accordance with Legislatively Approved Budgets. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: (a) Retain monthly expenditure and revenue 6 years, destroy; (b) Retain SFMA expenditure and revenue projection reports: until superseded or obsolete, destroy; (c) Retain all other expenditure and revenue reports: 2 years, destroy).

(26) General Ledger Transaction Reports Records document all fiscal transactions of the agency for each month. Data is used to prepare an agency’s financial statements. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. The Department of Administrative Services, Statewide Financial Management Services section maintains the statewide record copy of the General Ledger. (Retention: Retain 6 years, destroy).

(27) Gift Tracking Records Series documents gifts to agency officials, employees and volunteers, and are used to document compliance with the ethics and disclosure requirements found in ORS Chapter 244. Records may include but are not limited to spreadsheets, correspondence, and supporting documentation. Information may include the name of the person or entity offering, providing or receiving the gift; source of the gift; date of the gift; amount or value of the gift; and related circumstantial information. (Retention: Retain 3 years, destroy).

(28) Grant Records Records document the application, evaluation, awarding, administration, monitoring, and status of grants in which the agency is the recipient, grantor, allocator, or administrator. Grants may be awarded from federal or state government, or other public or private funding sources. Records may include but are not limited to applications including project proposals and narratives, summaries, objectives, activities, budgets, exhibits, and award notification; grant evaluation records and recommendations concerning grant applications; grant administration records including progress reports, budgets, project objectives, proposals, and summaries; records documenting allocation of funds; contracts; records monitoring project plans and measuring achievement and performance; equipment inventories; financial reports, accounting records, audit reports, expenditure reports, and related correspondence and documentation. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: (a) Retain grant records, including SFMA requestable reports: 5 years after final or annual expenditure report accepted, destroy; (b) Retain unsuccessful grant applications: 3 years after rejection or withdrawal, destroy; (c) Retain capital asset records: 3 years after disposition of assets, destroy).

(29) Internal Audit Reports Records document financial and performance audits performed on an annual or project basis by agency-employed internal auditors or contracted auditors. Audits investigate potential problem areas and internal fiscal control structures and may include recommendations for improvement in agency systems. Records include audit reports, supporting documentation, agency comments, and correspondence. SEE ALSO Audit Reports in this section. (Retention: Retain 5 years, destroy).

(30) Invoice Registers Records document a listing of who was billed by the agency for services rendered and provide a detailed breakdown of individual invoice billings. Information includes invoice number, amount, date, item or service billed for, and billed party name. (Retention: Retain 6 years, destroy).

(31) Invoices Records document goods and services billed by the agency. Information may include invoice number, date, transaction description, identification of parties involved, prices, and terms of sale. (Retention: Retain 6 years, destroy).

(32) Journal Entry Registers Records document an account record of original entry/input and provides a record of debit and credit journal transactions. Information includes date, account number, action, and debit/credit amount. (Retention: Retain 6 years, destroy).

(33) Legislatively Adopted Budgets Records document the comprehensive financial plan for the agency’s biennial operating budget that was approved by the legislature and forms a basis for appropriations. Records may include supplemental reports dealing with affirmative action, productivity, performance measures, improvement in programs, information systems, and other subjects. The Department of Administrative Services, Budget and Management section maintains the statewide record copies of Legislatively Adopted Budgets. (Retention: Retain 10 years, destroy).

(34) Oregon State Treasury Reports Records document reports generated by the Oregon State Treasury and are used to update an agency on account and fund status and activity, investment balances and transactions, and the agency’s activities in issuing debt. Records include banking, account, and other finance reports, investment reports, and debt management reports. (Retention: (a) Retain daily account reports: until superseded by monthly reports which summarize daily activity, destroy; (b) Retain debt management reports: 6 years after indebtedness is retired, whether by maturing or being called, destroy; (c) Retain all other State Treasury reports: 6 years, destroy).

(35) Petty Cash Fund Records Records document petty cash activity for the agency. Records include requests and authorizations to establish petty cash funds, ledgers, statements, requests for disbursements, copies of receipts and invoices. (Retention: Retain 6 years, destroy).

(36) Purchasing Records Records document the purchase of goods and services by the agency. Records may include purchase orders and requests, purchase authorizations, requisitions, contract release orders, price agreements, material/cost specifications, copy center/printing orders, and correspondence. SEE ALSO Competitive Bid Records and Vendor Reports in this section. (Retention: Retain 6 years, destroy).

(37) Receipt Registers Records document a detailed list of processed cash receipt transactions and is used to verify receipts, estimate revenue, and reconcile accounts. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: Retain 6 years, destroy).

(38) Receipts Records document acknowledgment of payment and/or delivery. Information includes date, amount, signature, items received or delivered, and receipt number. SEE ALSO Cash Receipt Records in this section. (Retention: Retain 6 years, destroy).

(39) Travel Expense Records Records document reimbursement claims made by employees for travel and related expenses. Records may include travel expense detail sheets, supporting documentation, and correspondence. (Retention: Retain 6 years, destroy).

(40) Trial Balance Reports Records document a summary of general ledger accounts and shows the agency’s current financial position. Reports are used to prepare the agency’s financial statements. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: Retain 6 years, destroy).

(41) Unclaimed Property Report Records document annual reports submitted to the Department of State Lands of financial assets being held for a person or entity that cannot be found. Series includes Holder Report, owner information, correspondence and other related documents. Note: Unclaimed property is not real estate, abandoned personal property, or lost and found items. (Retention: Retain 3 years after the property is remitted to the Department of State Lands, destroy).

(42) Vendor Reports Records document vendor data, which is used to select vendors, and to track voucher and purchase order status. Records include those produced by the Statewide Financial Management Application (SFMA), Data Mart, and any other subsystems used by the agency. SEE ALSO Purchasing Records in this section. (Retention: (a) Retain annual vendor reports: 6 years, destroy; (b) Retain all other vendor reports: until superseded or obsolete, destroy).

(43) Voucher Registers Records document a book of original entry and provides a listing of vouchered disbursement transactions. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by agency. (Retention: Retain 6 years, destroy).

(44) Vouchers Records document individually authorized expenditure transactions. Records provide the documentation and backup for all payments to vendors. Voucher files may contain invoices, receipts, travel expense detail sheets, purchase requests, purchase orders, cancelled checks, other supporting documents, and correspondence. Records include those produced by the Statewide Financial Management Application (SFMA), the Department of Administrative Services Data Mart, and any other subsystems used by the agency. (Retention: Retain 6 years, destroy).

(45) Warrant Cancellation Request Records Records document the request to cancel warrants issued on vouchers, and to request the issue of duplicates. If the warrant is physically available, it is cancelled and re-issued if necessary. However, if the warrant is not physically present, an affidavit is required. Records include request memoranda, affidavits, photocopies and memoranda from the Department of Administrative Services confirming re-issuance. (Retention: Retain 6 years, destroy).

(46) Warrant Registers Records document a listing of warrants issued by an agency. Information includes date, payee, warrant number, and amount. (Retention: Retain 6 years, destroy).

(47) Warrants Records document the promise to pay and the authorization for claim payments. Records may include redeemed, void cancelled, and undeliverable warrants, and supporting documentation. (Retention: (a) Retain undeliverable warrant: until expired, destroy (b) Retain all other warrants: 6 years, destroy).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 3-1995, f. & cert. ef. 5-25-95, OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-1998, f. & cert. ef. 12-30-98; OSA 1-1999, f. & cert. ef. 2-4-99, Renumbered from 166-305-0010; OSA 5-2002, f. & cert. ef. 10-14-02; OSA 1-2005, f. & cert. ef. 2-28-05; OSA 1-2009, f. & cert. ef. 2-19-09; OSA 1-2010, f. & cert. ef. 5-27-10; OSA 2-2010, f. & cert. ef. 9-3-10; OSA 3-2012, f. & cert. ef. 10-29-12

166-300-0035

Payroll Records

(1) Deduction Registers Records document voluntary and/or required deductions from the gross pay of agency employees. Deductions may include federal income and social security taxes, state income tax, workers’ compensation, union dues, insurance, deferred compensation, credit union, parking permit, pre-written checks, garnishments, levies, charitable contributions, and others. (Retention: (a) Retain registers documenting state and federal taxes: 5 years, destroy; (b) Retain all other deduction registers: 4 years, destroy).

(2) Employee Payroll Records Records document individual employee pay history. Records may include but are not limited to source documents authorizing payroll deductions and withholding such as Public Employee Retirement System (PERS) enrollment forms, insurance applications, beneficiary designations, leave authorizations, pay related personnel action documents, garnishment records, child support claim records, electronic deposit authorizations, work out of class and overtime authorizations, deduction reports, and correspondence. SEE ALSO Employee Personnel Records and Employee Benefit Records in the Personnel Records section. (Retention: (a) Retain PERS enrollment records: 75 years, destroy; (b) Retain garnishment records: 4 years after resolution, destroy; (c) Retain deduction authorization records: 3 years after superseded, eligibility expired or employee separation, destroy; (d) Retain all other employee payroll records: 3 years after employee separation, destroy).

(3) Employee Time Records Records document hours worked and leave hours accrued and taken by agency employees. Information may include employee name and other personally identifiable information, work schedule, days and time worked, leave time, and approval signatures. (Retention: Retain 4 years, destroy).

(4) Federal and State Tax Records Records document the collection, distribution, deposit, and transmittal of federal and state income taxes and social security tax. Records include the federal Miscellaneous Income Statement (1099), Request for Taxpayer Identification Number and Certificate (W-9), Employers Quarterly Federal Tax Return (941, 941E), Tax Deposit Coupon (8109), Withholding Allowance Certificates (W-4), Wage And Tax Statements (W-2), and related federal and state tax forms. (Retention: (a) Retain Withholding Allowance Certificates (W-4): 5 years after superseded or employee separation, destroy; (b) Retain all other federal and state tax records: 5 years, destroy).

(5) Family Medical Leave Records Records document leave taken by agency employees under the federal Family and Medical Leave Act. Records may include but are not limited to leave requests, payroll wage and hour related data, and records related to medical certifications or medical histories of employees or employees’ family members. Medical records (medical certifications and medical histories) are not personnel records and must be kept in a separate location from employee personnel records, as required by the Family and Medical Leave Act. (Retention: Retain 3 years, destroy).

(6) Leave Applications Records document applications or requests submitted by employees for sick, vacation, compensatory, personal business, family and medical leave, long-term leave, and other leave time. Information may include employee name, department, date, leave dates requested, type of leave requested, and related data. SEE ALSO Employee Time Records in this section. (Retention: Retain 1 year, destroy).

(7) Oregon State Payroll Application (OSPA) Reports Records document reports generated by the Department of Administrative Services Joint Payroll System used to update an agency on employee earnings, deductions and leave accrual. Reports may include Time Sheet Audit and Control Reports, Time Sheet Exception Reports, Payroll Register Detail and Summary Reports, and Deduction Register Detail and Summary Reports. Other reports include FICA Magnetic Tape Reconcile Detail, PERS Current Employee Contribution, Deferred Compensation by Plan, Year-to-Date Corrections, and ACH Direct Deposit Register. Oregon Statewide Payroll Services maintains the statewide record copy of the Leave Accrual Detail Transaction Register (1987 - present), the Payroll Register Detail Report (1951 - present), and the Payroll Year-to-Date Register (1976 - present). (Retention: (a) Retain pre-1987 Leave Accrual Detail Transaction Registers: 75 years, destroy; (b) Retain 1987 and later Leave Accrual Detail Transaction Registers: 10 years, destroy; (c) Retain pre-1951 Payroll Register Detail Reports: 75 years, destroy; (d) Retain 1951 and later Payroll Register Detail Reports: 4 years, destroy; (e) Retain pre-1976 Payroll Year-to-Date Register or Monthly Payroll Registers: 75 years, destroy; (f) Retain 1976 and later Payroll Year-to-Date Registers or Monthly Payroll Registers: 10 years, destroy; (g) Retain all other payroll system reports: 4 years, destroy).

(8) Payroll Administrative Reports (Non-OSPA) Records document an agency’s statistical studies, payroll budget preparation, projections, workload and personnel management, and payroll research. (Retention: Retain 4 years, destroy).

(9) Unemployment Compensation Claim Records Records document claims submitted by former agency employees for unemployment compensation. Records may include but are not limited to claims, notices, reports, claim determination appeal records, and related documentation and correspondence. (Retention: Retain 4 years, destroy).

(10) Unemployment Reports Records document employee earnings on a quarterly basis, which are used to determine costs and charges in the event of an unemployment compensation claim. (Retention: Retain 4 years, destroy).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1995, f. & cert. ef. 5-25-95; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-1998, f. & cert. ef. 12-30-98; OSA 1-1999, f. & cert. ef. 2-4-99, Renumbered from 166-307-0010; OSA 5-2002, f. & cert. ef. 10-14-02; OSA 3-2012, f. & cert. ef. 10-29-12

166-300-0040

Personnel Records

(1) Affirmative Action Records Records document agency compliance with the statutes and regulations of the U.S. Equal Employment Opportunity Commission regarding affirmative action. Records include affirmative action plans and/or policies, and their revisions and updates, which are required to be submitted to the Governor’s Affirmative Action Office. Records may also include but are not limited to reports, supporting documentation, and correspondence. The Governor’s Affirmative Action Office 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) Benefits Continuation Records Records document notifications to employees or dependents informing them of their rights to continue insurance coverage after termination or during disability or family leave. Continuation may be under COBRA or another provision. Notice is sent to a third party administrator who administers extended coverage under contract with the Public Employees Benefits Board (PEBB). Records typically include notices sent and correspondence. Records may be filed with the Employee Benefits Records of Employee Personnel Records. SEE ALSO Employee Payroll Records in the Payroll section. (Retention: Retain 3 years after employee separation or eligibility expired, destroy).

(3) Collective Bargaining Records Records document the agency’s role in initial and ongoing collective bargaining between the state and a 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, and related correspondence. 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).

(4) Comparable Worth Study Records Records document the study, analysis and resolution of pay equity, alleged job discrimination, and related issues involving an agency and its employees. Records may include but are not limited to job content questionnaire summaries, position allocation reports, personnel reclassification studies, job category listings, study outlines, graphs, tables, and related records. (Retention: Retain 15 years, destroy).

(5) Criminal Background Check Records Records document the pre-employment or periodic criminal record check performed on prospective or current staff, faculty, and volunteers by the agency. Records may 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 Law Enforcement Data System (LEDS). The form includes name and other personal identifying information, indication of the existence or absence of criminal record, and related documentation. (Retention: (a) Retain background check log: until superseded or obsolete, destroy; (b) Retain all other criminal background check records: 90 days, destroy).

(6) Drug Testing Records Records document the testing of current and prospective employees for controlled substances prohibited by policy, procedure, or statute. Records may include by 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. (Retention: (a) Retain positive test results: 5 years, destroy; (b) Retain negative test results: 1 year, destroy).

(7) Employee Benefits Records Records document 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 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 section. (Retention: (a) Retain PERS enrollment records: 75 years, destroy; (b) Retain all other benefits records: 3 years after employee separation or eligibility expired, destroy).

(8) Employee Medical Records Records document an individual employee’s work related medical history. 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. 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, first-aid incident records, physician statements, release consent forms, and related correspondence. SEE ALSO Hazard Exposure Records in the Risk Management Records section and Drug Testing Records in this section. (Retention: (a) Retain hazard exposure records: 30 years after employee separation (29 CFR 1910.1020), destroy; (b) Retain audiometric test records: until employee separation (29 CFR 1910.95), destroy; (c) Retain all other employee medical records: 3 years after employee separation, destroy).

(9) Employee Personnel Records Records document an individual employee’s work history. Records may include but are not limited to applications, personnel actions, performance evaluations, training records, letters of commendation and recommendation, letters of reprimand, notices of disciplinary action, notices of layoff, letters of resignation, home address/telephone disclosures, emergency notification forms, oaths of office, grievance, complaint, and disciplinary records, and correspondence. The Department of Administrative Services, Human Resource Services Division maintains the statewide record copy of the Employee History File. SEE ALSO Employee Payroll Records in the Payroll Records section. (Retention: (a) Retain employment applications (most recent and first successful), personnel actions (other than salary changes), employee contracts, home address/ telephone disclosures and emergency notification forms (most recent), oaths of office, summary of service prior to 1954: 10 years after employee separation, destroy; (b) Retain all other employee personnel records: 3 years, destroy).

(10) Employee Suggestion Award Records Records document an agency’s response to employee suggestions for improving effectiveness, efficiency, and economy in state government. Suggestion material is received from the Department of Administrative Services’ Employee Suggestions Awards Commission, which ultimately approves or rejects employee suggestions. Records may include but are not limited to agency copies of suggestion applications and attachments, the agency’s response, and correspondence. The Department of Administrative Services, Employee Suggestions Awards Committee maintains the statewide record copy. (Retention: Retain 1 year, destroy).

(11) Employee Training Records Records document individual employee participation in required or optional training. Records may include but are not limited to enrollment and attendance records, grade reports, certificates of completion, and correspondence. (Retention: Retain 3 years, destroy).

(12) Employment Eligibility Verification Forms (I-9) Records document 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 3 years after date of hire or 1 year after employee separation, whichever is longer (8 CFR 274), destroy).

(13) Equal Employment Opportunity Commission Compliance Records Records document agency compliance with U.S. Equal Employment Opportunity (EEO) Commission regulations. Records may include but are not limited to EE0-4 reports, anti-discrimination committee meeting records and reports, workplace analyses, discrimination complaint policies and procedures, and related documentation and correspondence. SEE ALSO Equal Employment Opportunity Complaint Records in this section. (Retention: (a) Retain policies and procedures: 3 years after superseded, destroy; (b) Retain all other EEO records: 4 years, destroy).

(14) Equal Employment Opportunity Complaint Records Records document discrimination complaints made against an agency. Records may include but are not limited to complaints, case files, reports, exhibits, withdrawal notices, copies of decisions, hearings and meetings records, and related documentation and correspondence. (Retention: Retain 3 years after final decision issued, destroy).

(15) Human Resource Services Division Statistical Reports Records document routine and on-demand reports issued to agencies by the Department of Administrative Services, Human Resource Services Division, for agency use in personnel management. Reports are be produced by the Personnel and Position Database (PPDB). These consist primarily of statistical reports containing a variety of personnel information. (Retention: Retain 4 years, destroy).

(16) Layoff Records Records document procedures and computations used in laying off agency 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, and correspondence. Related records may be filed in an individual employee’s personnel record. (Retention: Retain 3 years, destroy).

(17) Position Description and Reclassification Records Records document studies and evaluations of individual positions or classes to determine if reclassification is appropriate. Records may include but are not limited to old and new position descriptions, organizational charts, classification specifications, desk audits, salary surveys, classification review reports, and correspondence. (Retention: Retain 3 years after superseded or obsolete, destroy).

(18) Position Inventory Control System (PICS) Reports Records document agency compliance with budgetary personnel authority using reports generated by the Department of Administrative Services. Information includes personnel by division, organizational structure, position and classification numbers, vacancies, budget authority number, position type, compensation type, salary range and pay step information, FTE, position count, and review date. The Department of Administrative Services maintains the statewide record copy. (Retention: Retain 4 years, destroy).

(19) Recruitment and Selection Records Records document the recruitment and selection of agency employees. Records may include but are not limited to 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, applicant criminal history records, recruitment summary records (job announcement, position description, documentation relating to the announcement and test, and test items and ratings levels), and related records. SEE ALSO Criminal Background Check Records in this section. (Retention: (a) Retain announcement records, position description, and test and rating records: 10 years, destroy; (b) Retain graded applications, rejected applications, interview notes, and tests: 2 years, destroy; (c) Retain unsolicited applications: 3 months, destroy; (d) Retain all other recruitment and selection records: 3 years after position filled or recruitment cancelled, destroy).

(20) Volunteer Program Records Records document the activities and administration of volunteer programs in an agency. Records may include but are not limited to volunteer applications, emergency notification forms, volunteer hour statistics, volunteer program publicity records, insurance requirement information, and related documentation. SEE ALSO Criminal Background Check Records in this section. (Retention: (a) Retain individual volunteer records: 5 years after volunteer separation, destroy; (b) Retain all other volunteer program records: 5 years, destroy).

(21) Work Schedules and Assignment Records Records document the scheduling and assignment of shifts, tasks, projects, or other work to agency employees. Useful for budget and personnel planning and review, assessing employee work performance, and other purposes. Records may include but are not limited to calendars, schedules, lists, charts, rosters, and related records. (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).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 1-1995, f. & cert. ef. 5-25-95; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-1998, f. & cert. ef. 12-30-98; OSA 1-1999, f. & cert. ef. 2-4-99, Renumbered from 166-308-0010; OSA 5-2002, f. & cert. ef. 10-14-02; OSA 3-2012, f. & cert. ef. 10-29-12

166-400-0010

Administrative Records

NOTE: Inclusion of a records series in this schedule does not require the series be created. If a record is created electronically, it can be retained in electronic format only as long as the retention period is 99 years or less.

(1) Activity and Room Scheduling Records document scheduling and reservations related to public participation and use of various agency activities, events, classes and facilities. Includes schedules, logs, lists, requests, and similar records. Minimum retention: 1 year.

(2) Activity Reports, General Daily, weekly, monthly, or similar reports documenting the activities of employees. Useful for compiling annual reports, planning and budgeting, monitoring work progress and other purposes. Usually tracks type of activity, employees and/or volunteers involved, time spent on activity, work completed, and related information in narrative or statistical form. Minimum retention: 2 years.

(3) Annual Reports document the program or primary functional activities and accomplishments of the office for the previous year. These are often compiled from monthly, quarterly, or other subsidiary activity reports. Usually includes statistics, narratives, graphs, diagrams, and similar information. Minimum retention: Permanent.

(4) Association and Organization Membership Records document the membership and participation of the school, district, or ESD in professional and educational associations and organizations. Records may include but are not limited to meeting announcements and agendas; promotional information; meeting, workshop, and conference records; rules and regulations; reports; proposals and planning records; surveys and questionnaires; meeting minutes; and related documentation and correspondence. This series does not include individual faculty or staff membership records unless such membership is paid for by the school, district, or ESD. Minimum retention: 3 years after school year in which records were created.

(5) Audit Records, Internal Records document the examination of the agency’s fiscal condition, internal control, and compliance policies and procedures. Records may also document performance or other financially related audits by agency or contracted auditors. Records may include audit reports, supporting documentation, comments, and correspondence. Minimum retention: 10 years.

(6) Bond Election Records document the process whereby bond measures to finance school construction and improvements are approved by the voters. Records may include but are not limited to certified copies of election results; county election filing forms; precinct and district maps; election tax levy history; type of election; proposals; assessor’s certification; statistical reports to the Oregon Department of Education; and related correspondence and documentation. SEE ALSO Bond Records in the Financial Records section. Minimum retention: 5 years after school year in which bond matures.

(7) Calendars and Scheduling Records document planning, scheduling and similar actions related to meetings, appointments, trips, visits and other agency activities. Includes calendars, appointment books, notes, telephone messages, diaries, and similar records, regardless of format. Depending on content, some telephone messages and similar records may merit inclusion in related program or project files. This applies to records that contain significant information that is not summarized or otherwise included in reports or similar documents. Calendar and Scheduling information recorded in a personal day planner or personal electronic device may be a public record under ORS Chapter 192. Minimum retention: 1 year.

(8) Child Care Facility License Records document the annual licensing of school child care facilities by the Employment Department, Child Care Division. Records may include but are not limited to sanitation inspection reports; fire safety reports; fire and other emergency drill records; staff development and training records; staff criminal history checks; staff qualification forms; time sheets, staff first aid cards; staff driving records; staff orientation records; official license; Child Care Division inspection reports and certification; and related correspondence and documentation. Minimum retention: (a) If license expired or renewed: 1 year after expiration or renewal (b) If license revoked: 3 years after revoked.

(9) Committee and Board Meeting Records document the activities, decisions, and proceedings of regularly scheduled, special, executive session, or emergency meetings of governing bodies and committees of the school, district, or ESD. Governing bodies may include boards, advisory councils, commissions, site councils, committees, advisory groups, and task forces. Records may include but are not limited to meeting minutes, agendas and agenda packets, exhibits, resolutions, staff reports, sound recordings, membership lists, meeting books, significant correspondence and memorandum, and other supporting documentation. SEE ALSO Budget Records in the Financial Records section. Minimum retention: (a) School board meeting minutes and agendas: Permanent (b) Exhibits, other minutes, and supporting records: 5 years after school year in which records were created (c) Sound recordings, if transcribed or abstracted: 1 year after minutes approved.

(10) Committee and Board Member Records document the election or appointment of school, district, or ESD board, budget committee, and other committee members. Records may include but are not limited to date of election and installation, length of term, zone or district represented, and related biographical information about each board or committee member. Minimum retention: 5 years after term expires.

(11) Conference and Workshop Records document conferences, seminars, workshops, and training activities attended or sponsored by school, district, or ESD personnel. Records may include but are not limited to agendas, reports, speeches, program records, conference or seminar descriptions and schedules, participant lists, fee records, planning records, evaluations, registration material, handouts, and related correspondence and documentation. Records may also include documentation of attendance for certification, continuing education, or in-service training requirements. Minimum retention: (a) Significant program records - school, district, or ESD sponsored: 5 years after school year in which records were created (b) Other records: 2 years after school year in which records were created.

(12) Contracts and Agreements Records document the negotiation, execution, completion, and termination of legal agreements between the school, district, or ESD and other parties, including the Oregon Department of Education. Records include the official contract or agreement, amendments, exhibits, addenda, legal records, contract review records, and related correspondence and documentation. Records do not include leases or property records. Minimum retention: (a) Contracts or agreements documenting building construction, alterations, or repair: 10 years after substantial completion as defined by ORS 12.135(3). (b) Other contracts and agreements: 6 years after expiration.

(13) Correspondence: Records that: 1. document communications created or received by an agency AND 2. directly relate to an agency program or agency administration AND 3. are not otherwise specified in the Educational Service Districts, School Districts and Schools General Records Retention Schedule (OAR 166-400) or in educational service districts, school districts and schools special schedules or in ORS 192.170. Records may include but are not limited to letters, memoranda, notes and electronic messages that communicate formal approvals, directions for action, and information about contracts, purchases, grants, personnel and particular projects or programs. Disposition: File with the associated program or administrative records. Retentions for program records are found in state agency special schedules; retentions for administrative records are typically found in the State Agency General Records Retention Schedule. Communications not meeting the above criteria do not need to be filed and may be retained as needed.

(14) Eighth Grade Examination Records document the examinations given to eighth grade students. Records may include but are not limited to examinations; examinations registers; diploma lists; and related documentation. These records are no longer being created. Minimum retention: Permanent.

(15) Fax Reports Records document facsimile transactions of the agency. Reports may also be used for billing purposes. Information includes date and time fax transmitted or received and recipient/sender’s fax number. Minimum retention: (a) Retain if used for billing: 3 years (b) Retain all other reports: 1 year.

(16) Food/Nutrition Service Program Records document the operation of school food/nutrition service programs. Records may include but are not limited to operations reports; child nutrition program reviews; food service financial records; food supply inventory records; free and reduced price lunch applications and reimbursement claim records; meal production and menu records; meal ticket inventory records; sanitation inspection reports; summer food services records; and related documentation and correspondence. Minimum retention: 3 years (or as specified by 7 CFR 210.7-28 and 225.6-16).

(17) Health Log Book Records document the daily activities of and visits to the Health Room/School Nurses Office. Record may include but not limited to student’s name, time of visit, reason for visit/ailment, action taken, parental notification, was student sent home or returned to class. Minimum retention: Retain 6 years after school year in which created, destroy.

(18) Immunization Records, Administrative Records document the review and report of the immunization status of students to the County health department and the exclusion of students who do not meet the minimum immunization requirements. Records may include but are not limited to the annual Primary Review Summary, school copies of Exclusion Orders for No Record, school copies of Exclusion Orders for Incomplete Information/Insufficient Information, and related documentation. SEE ALSO Student Immunization Records in the Student Education Records section. Minimum retention: 1 year.

(19) Legal Case Records document a school, district, or ESD’s legal actions by in-house or outside counsel. Records may include but are not limited to litigation records, correspondence, staff opinions, research findings, and background notes relating to specific cases. Cases may include but are not limited to Tort Liability Claims, Civil Service Commission cases, unemployment and discrimination cases, bid protests and contract disputes, student/parent complaints, and employee complaints. Minimum retention: 10 years after final disposition of case.

(20) Legal Opinion and Advice Records document the legal opinions and advice given to schools, districts, or ESDs by a lawyer or the Attorney General. Records may include legal advice given to private schools. Records may include but are not limited to requests for opinions; opinions; letters of advice; and related correspondence. Minimum retention: (a) Retain copies of legislative bills, statutes: 6 years (b) Retain Administrative Rule Preparation Records: 10 years after appeal of rule (c) Retain all other records: Permanent.

(21) Legislative Tracking Records document the development and monitoring of legislation which may have an impact on the programs or policies of a school, district, or ESD. Records may include but are not limited to concept statements, proposals, bill logs, fiscal and organizational impact analysis papers, copies of bills, testimony summaries, committee reports, agendas, record of action, and related correspondence and documentation. Minimum retention: 2 years.

(22) Lobbyist Records document lobbyist and lobbyist employer activities, and are used to report these activities to the Oregon Government Ethics Commission. Records may include but are not limited to expenditure reports, registration statements, termination records, guidelines, and correspondence. Minimum retention: (a) Retain expenditure reports: 4 years (b) Retain all other records: 5 years after last activity.

(23) Mitigation Program Records document the establishment and maintenance of the agency mitigation programs, plans, and procedures. Records may include mitigation plans and strategies, policies, procedures, seismic surveys and structural upgrade records of agency facilities, project reports, hazard mitigation grant records, and related documentation, which may include capital improvement records. SEE ALSO the Emergency Management section. Minimum retention: (a) Retain adopted plans: Permanent (b) Retain all other records: For the life of the structure.

(24) Notary Public Log Books Records document notarial transactions completed by a notary public and employed by a government agency. Agencies may retain logbooks by agreement with the notary after their separation from employment. Agencies retaining notary public log books without notary agreements should consult their legal counsel and/or the Secretary of State, Corporation Division for retention instruction. Minimum retention: 7 years after date of commission expiration.

(25) Oregon School Register Records document student enrollment, attendance, and membership in elementary and secondary schools and forms the basis for student attendance reporting to the Oregon Department of Education. The register contains student’s name and other personally identifiable information, attendance, indication of student non-residency or withdrawal, program membership, whether student was promoted or retained at end of school year, and related information. Minimum retention: Permanent.

(26) Organization Records document the lines of organizational hierarchy and administrative responsibility within a program, school, district, or ESD. Records may include but are not limited to drafts and final charts or diagrams, statements, studies, and related documentation. Minimum retention: 4 years after superseded or obsolete.

(27) Parent-Teacher Organization Records document the history, development, policies, and actions of parent-teacher organizations under the jurisdiction of the District. Records may include but are not limited to minutes; constitutions and by-laws; committee records; budget and accounting records; handbooks; officer and member rosters; scrapbooks; photographs; and related documentation and correspondence. Minimum retention: (a) Retain minutes, constitutions, by-laws, and committee records 10 years after school year in which records were created. (b) Retain all other records 3 years after school year in which records were created.

(28) Policy and Planning Records document the development, assessment, and review of school, district, or ESD policies, programs, and activities. Records may include but are not limited to board policy and district-wide administrative rules; authorizing bulletins and advisories; mission, policy, and goal statements; finalized policy statements and directives; by-laws; regulations; strategic plans; management plans; and related documentation. Minimum retention: (a) Retain annual board adopted policy and district-wide administrative rules, official copy: Permanent (b) Retain planning documents: 10 years (c) Retain working papers and draft material: 1 year after school year in which final document produced.

(29) Policy Statements and Directives Series documents review, assessment, development, and authorization of an agency’s formal policies and procedures that have been approved by a governing body. Records may include authorizing bulletins and advisories, mission and goal statements, manuals, and final policy statements and directives. Information often includes policy and procedure numbers, revision dates, subject identification, narrative description, authorization information, and effective date. SEE ALSO Policy and Procedure Guidelines and Manuals in this section. Minimum retention: 10 years after superseded or obsolete.

(30) Procedure Manuals Records document internal development and guidelines for consistency and continuity in the operation of a school, district, or ESD department or office. Records may include but are not limited to manuals documenting departmental and program procedures; basic secretarial/clerical instructional procedures; handbooks; desk manuals; emergency response plans; safety plans and procedures; and related documentation and correspondence. Minimum retention: (a) Retain routine clerical manuals: 2 years after superseded or obsolete (b) Retain manuals relating to specific construction and/or engineering projects: 10 years after substantial completion, as defined by ORS 12.135(3) (c) Retain one copy of all other manuals: Permanent.

(31) Professional Membership Records document institutional or agency-paid individual memberships and activities in professional organizations. Minimum retention: 3 years.

(32) Public Notice Records document compliance with laws requiring public notice of government activities. Subjects include assessments, elections, land use changes, public meetings and hearings, sale of property, and others. Records include public or legal notices, certificates, affidavits of publication, and similar documents. SEE ALSO Competitive Bid Records in the Financial section for public notices related to bid openings and awards. Minimum retention: 3 years.

(33) Reports and Studies Records document the school, district, or ESD’s curriculum offerings, programs, services, problems, projects, student achievements, financial status, staffing, operations, and activities. Reports may be required to be submitted to the Oregon Department of Education or to other state, federal, or private agencies. Reports may be annual reports compiled from monthly, quarterly, or other subsidiary activity reports. Records may include but are not limited to narrative and statistical reports, studies, performance measures, annual reviews, surveys, plans, proposals, progress reports, evaluation reports, financial data and reports, staffing reports, student attendance accounting reports, accreditation studies, summaries, and other types of reports and documentation. Minimum retention: (a) Retain annual reports and studies with historical value or policy implications: Permanent (b) Retain other reports and studies: 5 years or as required by government or agency (c) Retain working papers and draft material: 1 year after school year in which final document produced.

(34) Requests and Complaints Records document complaints or requests concerning a variety of agency responsibilities not specified elsewhere in this general schedule. Information often includes name, phone number, and address of person making request or complaint, narration of request or complaint, name of person responding to request or complaint, dates of related activities, and other data. (If a specific request or complaint is listed in another records series under a functional area such as law enforcement in this general schedule, the retention period specified in that functional area supersedes the retention period listed in this series.) SEE ALSO Correspondence. Minimum retention: 2 years after last action.

(35) Routing and Job Control Records used to control the routine flow of documents and other items and actions in and between offices in the agency. Includes routing slips, job control records, status cards, receipts for records charged-out, batch slips, and similar records. Minimum retention: 1 year.

(36) School Census Records document the number of students of school age within the county, district, or school. Records may contain but are not limited to the names, ages, birth dates, and address of students; information about the parents or guardians; and related documentation. The actual census-reporting requirement ended in 1971 and this record is no longer being created. Minimum retention: Permanent.

(37) School, District, Or ESD History Records document important organizational changes, significant events, celebrations, programs, and projects of the ESD, district, or school. Records may include but are not limited to newsletters, press releases, publications, reports and articles, institution histories, biographies and records of past administrators, faculty, or staff, photographs, scrapbooks, newspaper clippings, and related documentation. SEE ALSO Publications in this section. Minimum retention: Permanent.

(38) Special Education Census Reports document the number of special education students served by the school and district included in annual census reports to the Oregon Department of Education. Records may include but are not limited to annual reports and district summary reports which includes total number of students and students per district, age of students, and handicapping condition of students; student census information; placement and services provided records; agency information; number of special education teachers; and related documentation. Minimum retention: 5 years after school year in which records were created.

(39) Special Event and Celebration Records document agency-sponsored celebrations of special and historic occasions such as centennials, pioneer days, and similar events. Provides a record of planning and promotional efforts, public attendance and response, major speeches and dedications, and other significant aspects of the celebration. These significant records may include studies, publications, photographs, attendance summaries, final reports, and other significant documents. This series also includes routine documentation related to implementing the promotion and organization of the event. These often include lists, rosters, correspondence, memoranda, volunteer information, and related records. Records may also include scrapbooks, but does not include newsclippings. Newsclippings are not public records and may be discarded. Minimum retention: (a) Retain records documenting significant aspects of the event: Permanent (b) Retain all other records: two years after event.

(40) Staff Meeting Records document the activities, decisions, and proceedings of school, district, or ESD staff meetings. Records may include but are not limited to minutes, agendas, notes, reports, and related documentation. Minimum retention: Until end of school year.

(41) Standardization Records document the process of standardization visits from the Oregon Department of Education to schools, districts, or ESDs. Records may include but are not limited to self-evaluation reports, on-site inspection reports; waiver authorizations; letters of concern; plans of correction; schedules; and related correspondence and documentation. Minimum retention: 6 years after school year in which records were created.

(42) Student Information and Demographic Records document the composition of the student population in a variety of sequences, groupings, and lists. Records include demographic profiles of students; student record cards; and other manual or computer produced lists organized by school, class, special program, or other grouping. Records may include but are not limited to student identification information including name, address, birth date, birthplace, parents, and guardians; student demographics including gender, ethnicity, and age; attendance; enrollment dates; previous school attended; student grades and transcript data; health and immunization information; handicapped status; and related documentation. Minimum retention: (a) Retain years ending in 0 and 5 Permanent (b) Retain all others 5 years.

(43) Student Organization Administrative Records document the history, development, and policies of student organizations, including student clubs, government, and publications. Records may include but are not limited to student organization annual review forms; minutes; constitutions and bylaws; committee, subcommittee, and task force records; student senate bill and resolution records; handbooks; officer and member rosters; scrapbooks; photographs; and related documentation and correspondence. SEE ALSO Student Organization Financial Records in the Financial Section. Minimum retention: (a) Retain constitution and bylaws: Until superseded or obsolete (b) Retain all other records: 2 years after school year in which records were created.

(44) Superintendent of Schools Records document the official and financial affairs of the superintendent of schools concerning teachers, students, and schools located in the county. Records may include but are not limited to annual statements on the condition of common (public) schools in the county; school district boundary records; school district accounts; book purchases; and related documentation. Information contained in the records may include financial information, school curricula, boundary descriptions, facilities, and enrollment and attendance data. These records are no longer being created. Minimum retention: Permanent.

(45) Surveys, Polls, and Questionnaires Records document the measurement of public opinion by or for the agency related to various issues, actions, and concerns. May include surveys, polls, questionnaires, summaries, abstracts and significant related records. Examples of summaries include studies which incorporate the significant results of public opinion surveys, abstracts of questionnaires designed to determine the skills and interests of citizens volunteering for agency service, and other records which distill survey data into summary form. Minimum Retention: (a) Retain summary reports and abstracts: 3 years (b) Retain all other records: Until summary report is completed or 3 years, whichever is sooner.

(46) Test Administration Records document the administration of assessment, placement, diagnostic, credit by exam, and other tests. Records may include but are not limited to rosters of test takers; testing rules and regulations; test administration records; examiner’s manuals; exams and tests; test order and payment records; placement and test results; summary reports of results; and related correspondence and documentation. Minimum retention: 3 years after school year in which records were created.

(47) Work Order Records document requests and authorizations, according to existing contracts or agreements, for needed services and repairs to agency property and equipment. May include copy center work orders, printing orders, telephone service and installation requests, repair authorizations, and similar records. Minimum Retention: (a) Retain work completed by county personnel: 1 year (b) Retain work completed by outside vendors: 3 years.

(48) Work Schedule and Assignment Records document the scheduling and assigning of shifts, tasks, projects, or other work to agency employees. Useful for budget and personnel planning and review, assessing employee work performance, and other purposes. May include calendars, schedules, lists, charts, rosters, and related records. Minimum retention: 5 years.

(49) Year 2000 (Y2K) Planning Records document the planning and development of agency Y2K contingency plans. Records may include but are not limited to meeting minutes, correspondence, draft plans, work notes, plan test results, and final plan. Information includes type of systems vulnerable to Y2K, level of priority, and party responsible for system solution or troubleshooting. Minimum retention: Destroy.

Stat. Auth.: ORS 192 & 357, Other Auth. Code of Federal Regulations Title 34
Stats. Implemented: ORS 192 & 357
Hist.: OSA 6-1997, f. & cert. ef. 4-22-97; Renumbered from 166-405-0010, OSA 1-2006, f. & cert. ef. 4-17-06; OSA 1-2008, f. & cert. ef. 1-30-08; OSA 3-2012, f. & cert. ef. 10-29-12

166-400-0025

Financial Records

NOTE: Inclusion of a records series in this schedule does not require the series be created. If a record is created electronically, it can be retained in electronic format only if the retention period is 99 years or less.

(1) Accounts Payable Records Records document outstanding liabilities and provides a record of payment of bills by the school, district, or ESD, including payments from student body fund accounts, disbursed by school personnel. Records may include but are not limited to invoices, invoice vouchers, statements, vouchers, journal entry forms, purchase orders, payment authorizations, check requests, check registers, reports of receipt of goods or service, canceled checks or warrants, daily batch lists, and related correspondence and documentation. Minimum retention: (a) Retain records documenting expenditure of federal funds: 5 years after final or annual expenditure report accepted (b) Retain all other records: 4 years.

(2) Accounts Receivable Records Records document billings and collections and provide a record of money owed to or received by the school, district, or ESD, including receivables for student body fund accounts collected by school personnel, for goods or services rendered. Records may serve as subsidiary ledgers of original entry or input which record the amounts received for goods and services. Records may include but are not limited to aging reports used to monitor accounts which are outstanding and overdue, invoices, invoice registers, billing records, receipts, receipts registers, cash receipt records; account edit sheets, and related documentation. Minimum retention: (a) Records documenting recovery of federal supplied funds: 3 years after final or annual expenditure report accepted (b) All other records: 3 years after collected or deemed uncollectible.

(3) Audit Reports Records document the examination of a school, district, or ESD’s financial condition by internal or independent auditors. Audits include an examination of the fiscal condition, internal controls and compliance with policies and procedures, accounting principles and methods, the accuracy and legality of transactions, and performance audits. Records may include but are not limited to audit reports (including those completed for student body fund accounts), supporting documentation, accountant’s summary, financial statements, balance sheet details, comments, summaries, recommendations, preparation records, and related correspondence and documentation. Minimum retention: (a) Audit report, official copy: Permanent (b) Grant fund audit records: 5 years after final or annual expenditure report accepted (c) Other records: 4 years.

(4) Bank Transaction Records Records document the current status and transaction activity of school, district, or ESD funds held in bank accounts, including accounts for student body funds. Records may include but are not limited to account statements, deposit and withdrawal slips, redeemed, void, or canceled checks, check registers, interest payments, reconciliation worksheets or spreadsheets, and related documentation. Minimum retention: (a) Records documenting grant fund transactions: 5 years after final or annual expenditure report accepted (b) Other records: 3 years.

(5) Bond Records Records document the authorization and payment of bonds to finance school construction and improvements. Records may include but are not limited to authorizations, supporting financial documentation, bond ratings, and sample copies of bonds issued; paid bonds, coupons, and receipts; bond registers; and related documentation. SEE ALSO Bond Election Records in the Administrative Records section. Minimum retention: 3 years after final payment.

(6) Budget Preparation Records Records document the planning, development, estimation, and proposed budget requests for schools, districts, and ESDs. Records may include but are not limited to budget requests, spreadsheets, expenditure projection work papers and reports, budget proposals, budget development schedules, allotment reports, decision packages, spending plans, funding analysis, revenue projection reports, compensation plan proposals, contingency plans, fiscal impact analysis, and related correspondence and documentation. Minimum retention: 2 years.

(7) Budget Records Records document the annual financial plan approved by schools, districts, and ESDs. Records may monitor allotments, apportioned fiscal distributions, and expenditures. Records may include but are not limited to budget allotment reports, adopted budgets, budget messages, revenue and expenditure tracking records, status reports, operating programs, debt service, position and wage analysis, summaries, annual report to Oregon Department of Education, and related correspondence and documentation. Minimum retention: (a) Adopted budget, official copy: 20 years (b) Other records: 3 years.

(8) Check Conversion Records Records document checks received from customers that are electronically deposited after being imaged and converted to an Automated Clearing House (ACH) transaction or Image Replacement Document (IRD). Minimum Retention: (a) Retain original paper instrument 30 days, destroy (b) Retain ACH transaction or IRD 6 years, destroy.

(9) Competitive Bid Records Records document the publication, evaluation, rejection and award of quoted bids to vendors and other entities. Records may include but are not limited to requests for proposals (RFPs), requests for qualifications (RFQs), invitations to bid (ITBs), requests for information (RFIs), bid exemption documents, bid and quote lists, notices of bid opening and award, comparison summaries, spreadsheets, tabulation worksheets, bid advertising records, tally sheets, bid specifications, correspondence, and related records. SEE ALSO Purchasing Records in this section. Minimum retention: (a) Retain accepted bids 10 years after substantial completion (as defined by ORS 12.135(3)(b) Retain other accepted bids: 6 years after bid awarded or canceled (c) Retain rejected bids and bid exemptions: 2 years after bid awarded or canceled.

(10) Credit and Debit Receipts Agency’s copy of credit or debit card receipt documenting payment received by agency. Records include customer’s name and account information. Minimum Retention: Retain 36 months after transaction, destroy.

(11) Credit Slips Slips issued to citizens who have withdrawn from agency-sponsored classes or activities and are due credit for all or part of fees paid. Information usually includes name of class or activity, date, expiration date, name and address of citizen, and related data. Minimum retention: 3 years after credit expired or redeemed.

(12) Employee Bond Records Records document the post of fidelity, performance, or position bonds to guarantee the honest and faithful performance of school, district, and ESD employees. Information may include but is not limited to person’s name, amount of coverage, dates, and related documentation. Minimum retention: 6 years after expiration.

(13) Financial Reports Records document the financial condition, operation, and activities of schools, districts, and ESDs. Records may include but are not limited to organization and function statements, accounting of income and expenditures, balance sheets, revenue statements, fund balance reports, notes to the financial statements, and exhibits. Exhibits may include a working trial balance by fund type, adjustments to accounting data, cash flow analysis, and other supporting documentation. Reports may also be completed for student body fund accounts. Records may include monthly, quarterly, or annual reports. Minimum retention: (a) Retain annual report, official copy: Permanent (b) Retain working papers and draft material: 1 year after acceptance of Annual Report (c) Retain all other Financial Reports 3 years.

(14) General Ledgers Records document all fiscal transactions of the school, district, or ESD. The ledgers summarize the accounts and reflect the financial position of the school, district, or ESD. Information often includes debit, credit, and balance amounts per account; budget, fund, and department numbers; and totals for notes receivable, interest income, amounts due from other funds, federal grants received; bank loans received, cash in escrow, deferred loan received, cash, encumbrances, revenue, accounts receivable, and accounts payable; and related documentation and data. SEE ALSO Subsidiary Ledgers, Journals, and Registers in this section. Minimum retention: (a) Retain year-end ledgers: 10 years (b) Retain all other general ledgers: 3 years.

(15) Gift and Contribution Records Records document gifts and contributions to the school, district, and ESD, including contributions to student body funds. Records may include but are not limited to memorial donation records related to money to be used by the institution in the name of an individual, donor and acknowledgment letters, acquisition lists itemizing purchases made with contributed money, checks, receipts, and related correspondence and documentation. Minimum retention: (a) Retain conditional gift, contribution, and donation records: 6 years after expiration of agreement or conditions met (b) Retain all other records: 3 years.

(16) Grant Records Records document the application, evaluation, awarding, administration, monitoring, and status of grants in which the agency is the recipient, grantor, allocator, or administrator. Grants may come from federal or state governments or foundations or other funding sources. Records may include but are not limited to applications including project proposals, summaries, objectives, activities, budgets, exhibits, and award notification; grant evaluation records and recommendations concerning grant applications; grant administration records including progress reports, budgets, project objectives, proposals, and summaries; records documenting allocation of funds; contracts; records monitoring project plans and measuring achievement; equipment inventories; financial reports, accounting records, audit reports, expenditure reports, and related correspondence and documentation. Minimum retention: (a) Retain final reports from significant grants to the School, District, ESD: Permanent (b) Retain records documenting the purchase and/or disposal of real property: 10 years after substantial completion (as defined by ORS 12.135(3)), or 3 years after final disposition, or as specified in agreement, whichever is longer (c) Retain other grant records: 3 years after annual or final expenditure report submitted and approved or, as specified in agreement, whichever is longer (d) Retain unsuccessful grant applications: 1 year after rejection or withdrawal.

(17) Investment Records Records document financial investments made by schools, districts, or ESDs. Records may include but are not limited to time certificates of deposit, interest income distribution, and tax anticipation notes. Information includes date purchased, date received, date matured, accrued interest, total interest to date, and related documentation. Minimum retention: 3 years after investment maturity.

(18) Lease Records Records document the lease or rental of school, district, or ESD owned property to other parties, and lease or rental of facilities from other parties. Records may include but are not limited to include leases, rental agreements, amendments, addenda, authorizations, and related correspondence and documentation. Leases are typically for office space, equipment, machinery, real estate, or facilities. Minimum retention: 6 years after expiration.

(19) Petty Cash Fund Records Records document petty cash activity for a school (including student body funds), district, or ESD. Records include but are not limited to requests and authorizations to establish petty cash funds, ledgers, statements, requests for disbursements, copies of receipts and invoices, and related documentation. Minimum retention: 3 years.

(20) Purchasing Records Records document the purchase of goods and services by a school, district, or ESD, including purchases through a student body fund account. Records may include but are not limited to purchase orders and requests; purchase authorizations; requisitions; contract release orders; price agreements; material and cost specifications; copy, print, service, and other types of work orders, receipt and delivery documentation, and related correspondence and documentation. Minimum retention: (a) Retain records documenting expenditure of federal funds: 5 years after final or annual expenditure report accepted (b) Retain all other records: 3 years.

(21) Revenue Records Records document application for and receipt of funds from local, state, and federal revenue sources and disbursement to the school, district, or ESD. Records include funds received directly from federal agencies or apportioned to the school, district, or ESD through the Oregon Department of Education or other state agencies. Records may include but are not limited to projection reports of forecasted revenue earnings; revenue registers listing revenue earned; fund applications and awards; performance and financial reports; supporting fiscal documentation; reimbursement requests and claim records; and related correspondence. Local revenue sources may include tax levies, tuition, local government units, adult continuing education programs, summer school programs, schools transportation and food service programs, community services programs, textbook and other rentals, and private contributions. Intermediate revenue sources may include county school funds, ESD equalization and special program funds, and state timber revenue funds. State revenue sources may include basic school support funds, common school funds, state timber revenue funds, and special education, driver education, vocational education, and special school assistance funds. Federal revenue sources may include migrant education, Indian education, and other funds. Minimum retention: (a) Retain records of revenue from federal and state sources: 5 years after final or annual expenditure report accepted (b) Retain all other records: 3 years.

(22) Signature Authorization Records Records document that designated school, district, or ESD employees are authorized to sign fiscal and contractual documents, including those involving student body funds. Minimum retention: 6 years after authorization superseded or expired.

(23) Student Organization Financial Records Records document the budgeting, accounting, and financial affairs of student organizations including student clubs, government, and publications. Records may include but are not limited to bank statements, deposit slips, cancelled checks/vouchers, receipts, and related documentation and correspondence. Minimum retention: 3 years after school year in which records were created.

(24) Subsidiary Ledgers, Journals, and Registers Records document details of fiscal transactions by a school, district, or ESD such as those related to receipts and expenditures on a daily, monthly, quarterly, or similar basis. Records include journals, ledgers, registers, day books, transaction reports, trial balance reports, and other account books or reports that provide documentation for the general ledger or financial reports. Records may include details of revenues, expenditures, encumbrances, cash receipts, warrants, and other financial records. Information often includes date, payee, purpose, fund credited or debited, check number, and related data. SEE ALSO General Ledgers in this section and Payroll Registers in the Payroll Records section. Minimum retention: (a) Retain year end payroll register: 75 years (b) Retain trust fund ledgers: 3 years after trust fund closed (c) Retain all other subsidiary ledgers, journals, and registers: 3 years.

(25) Travel Expense Records Records document requests, authorizations, travel advances and reimbursement claims made by school, district, or ESD employees for travel and related expenses. Records may include but are not limited to travel expense reports and receipts, supporting documentation, and related correspondence. Minimum retention: 3 years.

(26) Unclaimed Property Report Records Records document annual reports submitted to the Department of State Lands of financial assets being held for a person or entity that cannot be found. Series includes Holder Report, owner information, correspondence and other related documents. Note: Unclaimed property is not real estate, abandoned personal property, or lost and found items. Minimum Retention: 3 years after the property is remitted to the Department of State Lands.

(27) Vendor Records Records document vendors and suppliers providing goods and services to the school, district, or ESD. Records may include but are not limited to lists name and address of vendor or company; description of goods and services provided; catalogs; promotional and advertising materials; product specification sheets; copies of purchase orders and requisitions; packing slips; price quotations; and related correspondence and documentation. Minimum retention: Until superseded or obsolete.

Stat. Auth.: ORS 192 & 357, Other Auth. Code of Federal Regulations Title 34
Stats. Implemented: ORS 192 & 357
Hist.: OSA 6-1997, f. & cert. ef. 4-22-97; Renumbered from 166-408-0010, OSA 1-2006, f. & cert. ef. 4-17-06; OSA 1-2010, f. & cert. ef. 5-27-10; OSA 3-2012, f. & cert. ef. 10-29-12

166-400-0040

School Administration Records

NOTE: Inclusion of a records series in this schedule does not require the series be created. If a record is created electronically, it can be retained in electronic format only if the retention period is 99 years or less.

(1) Communication Logs Logs document communications made or received through a variety of electronic devices, including but not limited to telephone, smart phone, facsimile (fax), radio, computer-aided dispatch, pager, and teletype, AND are not otherwise specified in this general records retention schedule (OAR 166 Division 400). Logged information may include time, date and disposition of communication, name of caller, number called or received, and action taken. SEE ALSO Correspondence in the Administrative Records section. Minimum retention: 1 year

(2) District Boundary Records Records document the formation, consolidation, and reorganization of school districts and their boundaries. Records may include but are not limited to boundary board meeting minutes; boundary board hearing records; board decisions; maps and plats; land records; boundary descriptions; and related documentation. Minimum retention: Permanent.

(3) District Clerk’s Records Records document the administration of the school district and the reporting of this general and financial information to the county school superintendent. The district clerk’s record books may contain but are not limited to reports of annual school meetings, special school meetings, and district board meetings; financial reports, receipts, and accounts; teacher contracts; annual census of school-aged children; payroll information; summary of subjects taught; records of school boundaries; and related documentation. The school register and record books may contain but are not limited to records of visitors; records of students registration, attendance, and deportment; general school statistics; teacher salary records; program and class records; evaluations of student progress; data on parents and guardians; and related documentation. These records are no longer being created. Minimum retention: Permanent.

(4) Interscholastic Athletic Activity Program Records Records document student eligibility and participation in interscholastic competitive sports and athletic activities, athletic event and team publicity, and athletic events scheduling. Records may include but are not limited to team standings; win/loss records; All-Star selections; team member information; statistics; event and practice schedules; and related documentation and correspondence. Minimum retention: 5 years after school year in which records were created.

(5) Key and Keycard Records Records document the issuance of keys and keycards to staff to enable access to buildings and sites. Records may include but are not limited to key inventories, key issue forms, key replacement records, and key disposal records. Minimum retention: (a) Retain access and entry logs 3 years (b) Retain other records 2 years after key is turned in

(6) Mailing Lists Records document the compilation of names and addresses of persons and organizations by a school, district, or ESD for mailing purposes. Lists are used to facilitate billing, outreach activities, and other functions of the school, district, or ESD. Minimum retention: Until superseded or obsolete.

(7) Parking Records Records document parking provided for the public or school, district, or ESD staff or students. Records include parking permits and applications, special permits, permit receipts, parking citations, appeal petitions, and related correspondence and documentation. Minimum retention: (a) Retain citation records: 3 years after resolved (b) Retain all other records: 3 years.

(8) Postal Records Records document transactions with the U.S. Postal Service and private carriers. Records may include but are not limited to postage meter records, receipts for express deliveries, registered and certified mail; insured mail, special delivery receipts and forms, loss reports, and related correspondence. Minimum retention: 3 years after school year in which records were created.

(9) Press Releases Records document school, district, or ESD information that is officially released to the media for dissemination to the public. Records may include press or news releases, public service announcements, and related documentation. Minimum retention: (a) Policy and Historic press/news releases: Permanent (b) Routine news/press releases: 2 years

(10) Publications Records document publications produced by a school, district, or ESD for educational or informational purposes, or to communicate information about programs, policies, services, and events. Records include publications produced by individual school staff, offices, and students. Types of publications may include but are not limited to catalogs, books, magazines, newsletters, rosters, directories, brochures, pamphlets, media guides, guidebooks, proceedings, programs, schedules, yearbooks, manuals, newspapers, calendars, and flyers. Records may include but are not limited to working papers, mock-ups, drafts, photographs, final publications, and publications on the school, district, or ESD’s Internet home page. SEE ALSO Press Releases in this section. Minimum retention: (a) Retain significant publications, official copy: Permanent (b) Retain preparation records: Until published (c) Retain all other publications and records: 2 years

(11) Scheduling Records Records document the scheduling and reservations related to in-house participation in and use of various school, district, or ESD activities, events, classes, facilities, and meeting rooms. Records may include but are not limited to schedules, logs, lists, classroom assignments, requests, and related correspondence and documentation. Minimum retention: 2 years after school year in which records were created

(12) Security Records Records document security provided for school, district, or ESD building and grounds. Security may be provided by an on-site public safety office and public safety officers. Records may include but are not limited to security logs, sign-in sheets, visitor logs, security activity reports, incident reports, statistical information, and related correspondence and documentation. SEE ALSO Key Issuance Records in this section. Minimum retention: 3 years after school year in which records were created

(13) Student Handbooks Records document school rules and regulations and student rights and responsibilities. Information may include but is not limited to general school information, academic requirements, dress codes, rules of student conduct, freedoms, and student grievance procedures. Minimum retention: (a) Retain official copy: Permanent (b) Retain all other copies: Until superseded or obsolete.

(14) Visitor Logs Records document visitors to agency buildings. Records name include visitors’ names, visitor badges issued, and entrance and exit times. Minimum retention: 1 year

Stat. Auth.: ORS 192 & 357, Other Auth. Code of Federal Regulations Title 34
Stats. Implemented: ORS 192 & 357
Hist.: OSA 6-1997, f. & cert. ef. 4-22-97; Renumbered from 166-405-0010, OSA 1-2006, f. & cert. ef. 4-17-06; OSA 2-2006, f. & cert. ef. 7-26-06; OSA 3-2012, f. & cert. ef. 10-29-12

166-450-0005

Administrative Records

The General Schedule is applicable to the administrative records of community colleges. Retention periods apply to the official copy of all public records, regardless of medium or physical format, created or stored by the above specified agencies. Please note the exceptions to this General Schedule listed in OAR 166-030-0027 before disposing of records.

(1) Accreditation Records, Institutional: Records document the institutional accreditation process by the President’s Office, project coordinator and college departments. The records document the information compiled for inclusion in the college’s self-study and other reports provided to the evaluators as well as the response of evaluators. Records may include but are not limited to institutional data sheets, annual reports, working papers, resource notebooks, college self-study, interim and final evaluation reports, progress reports and responses by the college, and related correspondence and documentation. (Minimum retention: Self-study and final evaluation report: permanent; Other records: until accreditation completed).

(2) Administrative Records, General: Records document internal administration or housekeeping activities of the individual office, regardless of format. In general, these records related to the office organization, staffing, procedures, systems, and communications. These records do not serve as unique documentation of the programs or functions which caused the office to be created. Records may include but are not limited to documentation of day-to-day administration and training of office personnel; supplies, and office services; the use of office space, equipment and utilities; unit activity relating to specific and defined short-term office projects; and correspondence. Information recorded in a personal day planner or personal electronic device may be a public record under ORS Chapter 192. (Minimum retention: one year).

(3) Administrative Records, Program: Records document the daily activities and routine business of academic, service, support, and other programs developed and administered by the office department. The records are used to develop and administer programs and to communicate with other divisions, departments, and programs; other community colleges; state and federal governments; outside business and organizations; and faculty and students. Records may include but are not limited to correspondence and memoranda; reports, surveys, and policy statements, task assignments; discussion outlines and summaries; planning documents; working papers; informal and working files on student progress and administration; staff meeting records including minutes and agendas; and related correspondence. (Minimum retention: five years).

(4) Advisory Committee Records: Records document the activities of advisory committees which provide advice and assistance regarding professional-technical and other programs. Advisory committee members are generally selected from the community and appointed by the college’s Board of Education. The committees are designed to improve the quality and impact of instructional programs and to ensure that the skills taught are current with those in business, industry, and government. Records may include but are not limited to meeting minutes; agendas; reports; notes; working papers; transcriptions; and correspondence. (Minimum retention: Resource notebooks and working files: until superseded; Other records: three years).

(5) Association and Organization Membership Records: Records document the relationship and participation of college units with professional, educational, and civic associations and organizations. The college’s role may be one of membership on an advisory or administrative board or participation in a task force or subcommittee. Records may include but are not limited to promotional information; rules and regulations; reports; newsletters; proposals and planning records; workshop and conference records; surveys and questionnaires; minutes and agendas; and related documentation and correspondence. This series refers to records that document the direct involvement of the college or its representative in an organization; it does not include individual staff or faculty membership records. (Minimum retention: five years).

(6) Budget Committee Records: Records document the process by which the college’s budget is adopted by the Board of Education. Budget Committee assists the Board of Education in analyzing the administration’s annual budget proposal and is composed of the seven elected members of the Board of Education, seven appointed budget committee members from each of the geographical zones in the college district, and ex-officio members representing the college administration. The Budget Committee bases its discussions on the Budget Book, which is a compilation of budgets from each of the college areas prepared by the budget officer. Public hearings on the budget are held at one of the regularly scheduled Board of Education meetings. Records include but are not limited to committee agendas and minutes; the Budget Book; recommendations from the budget officer; records of the public hearings; committee recommendations; committee membership applications; and correspondence. SEE ALSO: Budget Records in the Financial and Accounting section. (Minimum retention: Minutes, recommendations, and budget books: 20 years; Other records: two years).

(7) College Committee Records: Records document the activities of standing and ad hoc college committees and councils made up of members from a variety of units within the college. The committees are charged with formulating and recommending institutional policies and procedures: establishing standards and requirements; performing an advisory function; reviewing petitions, appeals, and deviations from policy; facilitating communication; or finding solutions to specific problems, barriers, or challenges. Types of committees include administrative, standing, review, advisory, steering, activities, and planning committees, councils, and task forces. Records include but are not limited to agendas; meeting minutes or notes; reports; working papers; appointment, biographical, and other information about committee members; and correspondence. SEE ALSO: Advisory Committee Records, this section. (Minimum retention: five years).

(8) College History Files: Records document significant events in the college or departments past. Records may include records on the formation and naming of the college; lists or descriptions of landmarks or significant college events; college histories; progress and planning reports; biographies and records of past presidents, administrators, faculty, or staff; and newsletters or other publications. Records may include but are not limited to reports; published and unpublished historical sketches; scrapbooks; ephemera; photographs; press releases; newspaper clippings; publications; list of awards received by the college; and correspondence. (Minimum retention: Permanent).

(9) Copyright Records: Records document application and permission to reproduce, distribute, adapt, perform, or display copyrighted material of all kinds for academic and other purposes. Approval may be for a single use, unlimited use, permission to reproduce a specified number of copies, permission for a specific date or date span, permission to use for a defined purpose or audience, or other conditions. Records may include application and approval forms; correspondence and copies of subject material — paper and other media. (Minimum retention: five years after expiration of copyright).

(10) Correspondence Records that: 1. document communications created or received by a community college AND 2. directly relate to a community college program or community college administration AND 3. are not otherwise specified in the General Records Retention Schedule for Community Colleges (OAR 166 Division 450) or in ORS 192.170. Records may include but are not limited to letters, memoranda, notes and electronic messages that communicate formal approvals, directions for action, and information about contracts, purchases, grants, personnel and particular projects or programs. (Disposition: File with the associated program or administrative records. Communications not meeting the above criteria do not need to be filed and should be retained as needed).

(11) Election Records: Records document the process whereby tax levy, bond measures, and other issues receive voter approval. Records may include but are not limited to certified copies of election results; ballot title and wording records; county election filing forms; precinct maps; election tax levy history; election cost records; promotion and advertising records; and correspondence. SEE ALSO: Bond Records, Financial in the Financial and Accounting Records section. (Minimum retention: Clerk certified election results: five years; Election results and ballot title: Permanent).

(12) Full-Time Equivalency Records: This series document the numbers of students enrolled in the college in terms of full-time equivalency (FTE). The reports are used for internal statistical information and analysis and to generate reports to the federal and state governments. Reports are generated from the student academic records database and track the FTE in various departments, programs, or courses. SEE ALSO: Institutional Research and Reporting Records section, and Course Enrollment Summaries in Curriculum and Instruction Records section. (Minimum retention: 10 years).

(13) Governing Board Records: Records document the functions and policies of the Board of Education, Board of Directors, or other similarly named governing body of the college. The Board of Education has primary authority for establishing policies governing the operation of the college and adopting the college’s annual budget. The board is composed of elected members from designated geographical zones in the college district. Records include but are not limited to original meeting minutes; oaths of office; resolutions; policies adopted, reauthorized, or disapproved; certificates of election; audio recording of meeting proceedings; and correspondence. The records may also include a booklet or package of information prepared before the board meetings. The packet may include the meeting agenda; minutes; background information about agenda items; reports; action items; and other information items. Resolutions concerning financial policies and activities may become a part of the Budget Document. SEE ALSO: Budget Planning and Preparation Records section. (Minimum retention: Official copies of minutes, agendas, oaths, resolutions, policies, and election certificates: Permanent; Audio recordings: Until transcribed or summarized in minutes; Other records: five years).

(14) Grant Records, Administrative: Records document the application, evaluation, awarding, administration, monitoring, and status of grants in which the college or department is the recipient, grantor, allocator, or administrator. Grants may come from local or state governments or foundation and other private funding sources. Records may include but are not limited to applications including project proposals, summaries, objectives, activities, budgets, exhibits, and award notification; grant evaluation records and recommendations concerning grant application; records of administration of grants including equipment purchasing and disposition of records; contract; records monitoring project plans and measuring achievement; and reports to the funding agency on the use of their grant funds. SEE ALSO: Grant Records, Financial in Financial and Accounting Records Section. (Minimum retention: Contracts or agreements documenting building construction, alterations, or repair: retain 10 years after substantial completion; Other contracts: six years after expiration; Final grant product or report: Permanent; Unsuccessful grant applications: one year; Fixed assets’ records: two years after disposition of assets; All other records: five years after final or annual expenditure report accepted).

(15) Institutional Planning Records: Records document the development of short-term or long-term plans for the institution and other special projects related to the organizational development of the college. Records may include but are not limited to instructions from the president or other administrator explaining the nature and purpose of the requested strategic planning effort; internal planning committee materials; statements of objectives, missions and goals; proposals; strategic planning reports activity reports; and correspondence. (Minimum Retention: Final reports: 20 Years; Other records: five years).

(16) Legal Case Files: Records document the management and monitoring of legal cases involving the college. Records include investigatory material; complaints; work notes; police reports; subpoenas; requests for hearing; requests for judicial review; motions; pleadings; briefs; transcripts; petitions; court orders; notices of appeal; depositions; exhibits; and correspondence. Portions may be exempt from public disclosure during specific periods of the case per ORS 192.501(1), 192.502(2). (Minimum retention: five years after closed.)

(17) Organization Charts: Records show the lines of administrative responsibility within the college. Records consist of final organization charts. (Minimum retention: Until superseded).

(18) Policy and Procedure Manuals: Records document and distribute college policies and procedures approved by the board. The records include policy and procedure manuals and related guidelines on personnel, purchasing, and board grievance procedures. (Minimum retention: five years after superseded).

(19) Professional Development and Awards Records: Records document programs that encourage participation in professional activities, recognize excellence in college staff and faculty, and provide opportunities for career advancement. Series may include professional development records which support travel to make presentations at professional meetings, participation in professional organizations or activities, or attendance at conferences; awards which recognize teaching skills; and visiting scholar programs which allow college faculty to teach at foreign host campuses. Records may include but are not limited to applications; review and approve documentation; lists of participants or recipients; arrangements and schedules; publicity and news clippings; presentation transcripts or published works; activities documentation; correspondence; and related documentation. (Minimum retention: three years).

(20) Records Management and Archives Program: Records document college’s records management program -- the inventory, retention scheduling, storage, and disposition of non-permanent records. Also documents the college’s archives program; appraising, acquiring, describing, processing, retrieval, and disposition of permanent records. The records may include records of inventories; authorizations; accession registers; finding aids; reference and research records; statistical reports; and correspondence. May also include records management manuals or handbooks. (Minimum retention: Accession register and records disposition records: Permanent; Other records: Until superseded).

(21) Signature Authorization Records: Records certify that designated college employees are authorized to sign fiscal and contractual documents. (Minimum retention: six years after authorization expires).

(22) Volunteer Program Records: Records document the activities and administration of the college’s volunteer program. The records may include applications; skill test results; training records; task assignment and monitoring records; volunteer lists; work schedules; insurance information; publicity records; statistical reports; and correspondence. (Minimum retention: five years).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 3-1998, f. 8-4-98, cert. ef. 8-5-98; OSA 3-2012, f. & cert. ef. 10-29-12

166-450-0020

Contracts and Agreements

The General Schedule is applicable to the contracts and agreements of community colleges. Retention periods apply to the official copy of all public records, regardless of medium or physical format, created or stored by the above specified agencies. Please note the exceptions to this General Schedule listed in OAR 166-030-0027 before disposing of records.

(1) Bid and Award Records: Records document the procurement process including advertising, evaluation and award of bids to vendors or agencies and provide evidence of accepted and rejected bids for services and products. Records may include but are not limited to bid and quote lists; notices of bid opening and award; comparison summaries; spreadsheets; tabulation worksheets; bid advertising records such as requests for information (RFI’s) and request for proposals (RFP’s); tally sheets; bid specifications; requests for qualifications (RFQs); invitations to bid (ITBs); records of accepted and rejected bids; selection of agents of record records; and correspondence. SEE ALSO: Purchasing Records. (Minimum retention: Accepted agency improvement bids: 10 years after substantial completion; Other accepted bids: six years after bid awarded or canceled; Rejected bids or bid exemptions: two years after bid awarded or canceled).

(2) Contracts and Agreements: Records document the negotiation, execution, completion, and termination of legal agreements, and the purchase and sale of land and buildings between the college and other parties. Records include the official contract or agreement; amendments; exhibits; addenda; facilities scheduling; lease agreements; title insurance policies and forms; legal records; contract review records; instructional services agreements; prevailing wage reports and other documentation furnished by the Bureau of Labor and Industry; and correspondence. (Minimum retention: Contracts or agreements documenting building construction, alterations, or repair: 10 years after substantial completion; Other contracts and agreements: six years after expiration).

(3) Instructional Agreements and Records: Records document the participation of the college in a variety of educational courses and programs. Records may document the contract or agreements as well as the administrative activities and student records concerned with these programs. Types of agreements may include Articulation Agreements with high schools (2+2, Step Ahead, Alternative Education, GED/ELS, and High School Services), other community colleges, and four year institutions; Instructional Services Agreements which document agreements between college and other entities, including the state government, for educational services; and Short-Term Contracted Training Records which document non-degree, non-credit, short-term classes that enable persons in business, government, industry, or the general public to learn new skills or update existing skills. Records may include but are not limited to contracts or agreements; registration records; class lists; payment records; flyers; course and credit records; transcripts; working files; reports; correspondence; and related documentation. (Minimum retention: Working papers: Until contract finalized; Other records: six years after expiration).

(4) Personal Service Contracts: Records document contractual agreements made by the college with individuals or firms for service rendered. Records may include but are not limited to contracts; addenda; exhibits; justification statements; proposals; contractor selection statements; expense records and correspondence. (Minimum retention: six years after expiration).

(5) Software Licensing Agreements: Records document computer software licensing agreements. Records may include but are not limited to licensing agreements for word processing, database managing, and other software programs used in offices and classrooms. The contracts may include but are not limited to name of the software; ISBN number; name of the publisher; licensee name, title, department, and office location; institution name and address; authorized signature; and related documentation. Records may also include statistical reports on the number of students using the licensed programs and the number of hours in use. [SEE: Software Management Records in Information Management Records section.] (Minimum retention: six years after expiration).

(6) Title and Deed Records: Records document the real property acquired or sold by the college. The records may include but are not limited to purchase agreements; title abstracts; easement details; public hearing notices and minutes; county recorder’s plat descriptions; memoranda of understanding; earnest money receipts; sales agreements; property deeds; working papers; and correspondence. (Minimum retention: Permanent).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 3-1998, f. 8-4-98, cert. ef. 8-5-98; OSA 3-2012, f. & cert. ef. 10-29-12

166-450-0050

Financial and Accounting Records

The General Schedule is applicable to the financial and accounting records of community colleges. Retention periods apply to the official copy of all public records, regardless of medium or physical format, created or stored by the above specified agencies. Please note the exceptions to this General Schedule listed in OAR 166-030-0027 before disposing of records.

(1) Account Reconciliation Records: Records document the reconciliation of funds and accounts such as checks, cash, and bank accounts, fixed assets to capital expenditures. Records may include printouts; worksheets; bank statements, reports, schedules; and other supporting documentation. SEE ALSO: Accounts Receivable Records. (Minimum retention: Federal grant records: five years after annual of financial report accepted; Other records: three years).

(2) Accounts Payable Records: Records document expenditures and purchases and provides a record of payment of bills. Records may include but are not limited to encumbrance registers; purchase orders; balance sheets; bills; invoices; invoice vouchers; journal vouchers/entry forms; price quotes; requisitions; payment authorization; check request; reports of receipt of goods or services; petty cash, voucher register; and correspondence. SEE ALSO: Purchasing Records. (Minimum retention: Federal grant records: five years after annual of financial report accepted; Other records: three years).

(3) Accounts Receivable Records: Records document current status and transaction activity of college funds held in bank accounts, billings and collections, deferred tuition, and provides a record of money and miscellaneous debts owed to the college. Records may include but are not limited to bank statements; validated deposit slips and/or paid check copies; and reconciliation worksheets or spreadsheets; account edit sheets; credit card payment forms; invoices; journal vouchers; receipts; and correspondence. May also include account aging reports which are used to monitor accounts which are outstanding and overdue. (Minimum retention: three years after reconciled or deemed uncollectable).

(4) Annual Financial Reports: Records document the college’s financial condition and results of operation using trial balance data. These reports are used to report and monitor the college’s financial condition, and as a reference by auditors. Records may include combined balance sheet; combined statement of revenues; expenditures, changes in fund balance; notes to the financial statement; statistical reports, audit reports, general ledger, trial balance, and budget status reports. (Minimum retention: 20 years).

(5) Audit Reports: Records document the examination of the college’s financial condition by internal or independent auditors. Audits examine the fiscal condition, internal controls and compliance policies and procedures, accounting principles and methods, the accuracy and legality of transactions. Records may include but are not limited to audit reports; audit work-papers; supporting documentation; and correspondence. May also include performance or program audits. SEE ALSO: Financial Reports. (Minimum retention: Official copy of audit and responses: 20 years; Grant fund audits: five years; Other records: one year after audit completed).

(6) Bond Records, Financial: Records document the authorization and payment of bonds to finance college construction and improvements. Records may include but are not limited to authorizations; supporting financial documentation; G.O. Bonds and certificates of participation, revenue bonds, bond ratings; sample copies of bonds issued; paid bonds; coupons; and receipts; bond register; and correspondence. SEE ALSO: Election records in the Administrative Records section. (Minimum retention: three years after final payment).

(7) Budget Planning and Preparation Records: Records are used to develop, propose, and plan budget requests for units, departments, or the college. Records may include but are not limited to budget requests; spread sheets; expenditure projection work papers; budget development instructions, schedules; allotment reports; past and current budget worksheets; salary worksheets; miscellaneous income reports; budget instructions and guidelines; capital outlay reports; equipment need reports; decision packages; budget committee minutes and agendas; spending plans; compensation plan proposals; contingency plans; and correspondence. SEE ALSO: Board of Education Records in the Administrative Records section. (Minimum retention: five years).

(8) Budget Records: Records document the annual financial plan approved by the college’s governing board. Records may include but are not limited to adopted budgets, also called the Budget Document; budget allotment reports; budget messages; revenue and expenditure tracking records; status reports; operating programs, debt service, position, and wage analysis; and correspondence. SEE ALSO: Budget Planning and Preparation Records and Budget Status Reports in this section. (Minimum retention: Final approved budget document: 20 years; Other records: Most recent 2 budgets).

(9) Budget Status Reports: Records document departmental expenditures in relation to the approved budget and are used to monitor allotments, and expenditures. Records may include monthly or quarterly printouts of departmental expenditures and amounts available for use in various funds and accounts. Printout information may include but is not limited to fund or account name and/or code; object description; encumbrances or amount allocated; expenditures; balances; and related data. SEE ALSO: Budget Planning and Preparation Records, and Budget Records in this section; and Board of Education Records in the Administrative Records section. (Minimum retention: Year-end report: five years; All other reports: Until superseded).

(10) Capital Construction Funding Records: Records document the funding of capital construction projects on campus, and are used to prepare budgets and allocations for capital construction projects. Records may include but are not limited to project descriptions; budget projection and allocation records; budget authorization forms; budget change orders; final acceptance statements; and related documentation and correspondence. (Minimum retention: Life of structure).

(11) Check Conversion Records: Records document checks received from customers that are electronically deposited after being imaged and converted to an Automated Clearing House (ACH) transaction or Image Replacement Document (IRD) (Minimum Retention: (a) Retain original paper instrument 30 days, destroy (b) Retain ACH transaction or IRD 6 years, destroy).

(12) Correspondence, Fiscal: Records document significant communication between the college and other government agencies, vendors, students, and the public pertaining to fiscal policy, obligations, revenue and transactions. Records include letters sent and received by the college’s administrative and/or business office staff. SEE ALSO: Administrative Records, Program in the Administrative Records section. (Minimum retention: three years).

(13) Credit and Debit Receipts: Agency’s copy of credit or debit card receipt documenting payment received by agency. Records include customer’s name and account information (Minimum Retention: Retain 36 months after transaction, destroy).

(14) General Ledger and Trial Balance Records: Records provide a comprehensive listing of all fiscal transactions of the college and are used to prepare the college’s Financial Reports. The General Ledger provide a record of fiscal transactions for all asset, liability, owners equity, revenue, and expenditure accounts for the college. The Trial Balance provides a list of all open accounts in the General Ledger and reflects the current financial position of the college. Information includes: debit, credit, and balance amounts per fund and account. SEE ALSO: Subsidiary Ledgers, Journals, and Registers, and Financial Reports. (Minimum retention: Fiscal year-end reports: 20 years; Other reports: Until superseded).

(15) Grant Records, Financial: Records document the expenditure data and status of federal and other grants received by the college. The records may include but are not limited to grant applications; project narratives; proposed budgets; notices of grant awards; project reviews; fund request; project reports; capital outlay expenditure reports; adjustment notices; contract; financial reports; performance reports; federal evaluations; allocation preparation reports; grant status summaries; reimbursement request; correspondence; and quarterly, annual and final expenditure reports. May also include grant related fixed-asset purchase, inventory, and disposal records. SEE ALSO: Grant Records, Administrative in the Administrative Records section. (Minimum retention: five years after final or annual expenditure report accepted; Fixed asset records: two years after disposition of assets).

(16) Journal Vouchers: Records document authorization and movement of funds between college accounts and cost center. The records include journal vouchers which show account numbers, amount, authorizing signature, and related information. The records may also include intra-institutional voucher which provide detail of internal charge-backs for campus services such as phones, postage, copying and media. May also include documentation explaining and/or justifying transfer. (Minimum retention: three years).

(17) Purchasing Records: Records document the purchase of goods and services by the college. Records may include but are not limited to purchase orders; purchase authorizations; requisitions; contract release orders; vouchers; telephone service orders; vendor files; and correspondence. SEE ALSO: Bids and Award Records in the Contracts and Agreements section. (Minimum retention: Vendor files: Until superseded or obsolete; Other records: three years).

(18) Receipts and Receipt Registers: Records document cash received or distributed by the college. It also documents all money received and deposited to department accounts through daily deposits. This series may include but is not limited to validation receipts; cash register tapes; bank deposit slips; check stubs; departmental deposit vouchers; cash receipt slips; petty cash balance sheets; bank deposit slips; checks, check register; cash by account reports; and monthly cash register reports. (Minimum retention: three years).

(19) Subsidiary Ledgers, Journals, and Registers: Records document details of transactions such as those related to receipts and expenditures on a daily, monthly, quarterly, or similar basis. Includes journals, ledgers, registers, day books, and other account books that provide backup documentation to the general ledger. May include details of revenues, expenditures, encumbrances, cash receipts, warrants and others. Information often includes date, payee, purpose, fund credited, or debited, check number, and similar or related data. Note: These ledgers, journals, and registers may no longer be created due to the automation of accounting systems. (Minimum retention: Trust fund ledgers: two years after trust fund closed; Other subsidiary ledgers, journals, and registers: two years).

(20) Unclaimed Property Report Records: Records document annual reports submitted to the Department of State Lands of financial assets being held for a person or entity that cannot be found. Series includes Holder Report, owner information, correspondence and other related documents. Note: Unclaimed property is not real estate, abandoned personal property, or lost and found items. (Minimum Retention: 3 years after the property is remitted to the Department of State Lands).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 3-1998, f. 8-4-98, cert. ef. 8-5-98; OSA 1-2010, f. & cert. ef. 5-27-10; OSA 3-2012, f. & cert. ef. 10-29-12

166-475-0010

Administrative Records

(1) Administrative Reports Records document the annual activity of the institution and its subdivisions. This disposition includes reports prepared for OUS by the president of the institution. Final annual reports may be printed and bound or they may be less formal unpublished documents prepared for limited distribution. Report sections may include but are not limited to administrative activities; goals and objectives achieved; fiscal status; project work performed; personnel activity and accomplishments; facility changes; and related sections. This series may include but is not limited to periodic statistical reports; summarized statistical reports; copies of reports from other units; other working papers; final annual reports; and related documentation and correspondence. (Retention: (a) Permanent for final annual reports and periodic and summary statistical reports not reflected in the final annual report (b) Until superseded or obsolete for all other records, destroy)

(2) Administrative Rules Records Records document reviews of and changes to the institution’s Administrative Rules and the annual preparation and authorization of the institution’s administrative fees. Records may include but are not limited to notices of rule making with hearing notices which are published in the Oregon Bulletin; documentation of rule change hearings which may include notes, transcriptions, summaries, and tapes; reports to initiators of changes regarding outcome; final rules; Reports of Action to the State Administrative Rule Section including Certificates and Orders for Filing Permanent Administrative Rules with the Secretary of State; Notices of Proposed Adoption including statements on statutory authority, need/principle, documents relied upon, and statement of fiscal impact; lists of proposed fee schedules; reviewers’ comments; administrative review reports; meeting notes from the Secretary of State Legislative Council about OAR review meetings; check-off lists; text of old rule with strike outs and changes; indices to OAR revisions; Dept. of Justice memos; and related correspondence. The Oregon Secretary of State holds statewide record copy. (Retention: 10 years after repeal of the rule, destroy)

(3) Advisory Board Records Records document the activities of boards and councils that function in an advisory capacity. Boards and councils may have as their charge highly specific or broad areas of concern and include members from outside the institution. This series may include but is not limited to meeting minutes; agendas; reports; notes; working papers; audio recordings; transcriptions; and related documentation and correspondence. (Retention: (a) Permanent for minutes, agendas, reports, and correspondence (b) 3 years for all other records, destroy)

(4) Agency Relations Records Records document the institutional interactions with local, state, national, and international government agencies, educational institutions, businesses and groups to gain their assistance with the development and coordination of institution research and instructional programs. This series may include but is not limited to reports; copies of publications; minutes; background information; and related documentation and correspondence. (Retention: 6 years, destroy)

(5) Association and Organization Advisory Records Records document the relationship and participation of institution units in professional and educational associations and other organizations. The unit’s role may be one of membership on the advisory or administrative board, participation in a task force or subcommittee, or one of membership in consortia. This series may include but is not limited to: promotional information; rules and regulations; reports; proposals and planning records; workshop and conference records; surveys and questionnaires; minutes; and related documentation and correspondence. This series does not include individual faculty or staff membership information. (Retention: 3 years, destroy)

(6) Attorney General Opinions Records document responses of the State Attorney General’s Office to legal questions posed by the institution’s legal advisor and administrative officers which may have an impact on the institution’s operations and policy. This series may include but is not limited to opinions and related documentation and correspondence. The State of Oregon Department of Justice (DOJ) holds statewide record copy. (Retention: 10 years, destroy)

(7) Audit Records Records document the unit’s response to internal OUS and independent management, operations, and fiscal audits. This series may include but is not limited to audit reports; written responses showing how recommended changes will be implemented; and related documentation and correspondence. (Retention: (a) audit reports for 20 years, destroy (b) 7 years for work papers, drafts, and all other records, destroy)

(8) Awards Records Records document the process of selecting institutional faculty, staff, students and alumni to receive awards, and fellowships based on merit or achievement. The series may include but is not limited to applications; nomination letters; eligibility terms and selection criteria; recommendations; transcripts; letters of award notification or denial; letters accepting or declining awards; summary lists of winners; biographies; demonstration of need documentation; newspaper clippings and press releases; award history and information on funding sources; and related documentation and correspondence. (Retention: (a) Permanent for eligibility terms and selection criteria, award history and information on funding sources, award notifications, summary lists of winners, biographies of winners, and press releases (b) 1 year for all other records, destroy)

(9) Committee Records Records document the activities of standing and ad hoc committees and councils made up of members from a variety of units. The committees are charged with formulating and recommending institutional policies and procedures, establishing standards and requirements, performing an advisory function, or reviewing petitions, appeals, and deviations from policy. Types of committees include administrative committees (those appointed by an administrator) and faculty senate committees (those created by the faculty senate’s executive committee). They may function as steering committees, activities committees, standards committees, planning committees, academic committees, awards committees, councils, etc. Committees may be chaired by the director of a specific unit or rotate to different chairs on a regular basis. This series may include but is not limited to agendas; meeting minutes; reports; notes; working papers; and related documentation and correspondence. (Retention: (a) Permanent for agendas, minutes, reports, and correspondence (b) 10 years for all other records of Faculty Senate Committees, destroy (c) 2 years for all other records of other committees, destroy)

(10) Cooperative Program Records Records document the institution’s participation in cooperative and shared educational or research programs. Such programs may share research facilities and resources or instructional programs such as programs permitting student matriculation at member institutions. This series may include but is not limited to information on requirements and application procedures; applications and eligibility certificates; committee minutes; meeting agendas; working papers; memos of interpretation and understanding; fiscal records; and related documentation and correspondence. (Retention: (a) Permanent for information on requirements and application procedures, committee minutes, meeting agendas, and memos of interpretation and understanding (b) 6 years after expiration for all other records, destroy)

(11) Correspondence Records that: (1) document communications created or received and filed in the course of public business; AND (2) directly relate to agency programs or administration. Records may include but are not limited to letters, memoranda, notes and electronic messages that communicate formal approvals, directions for action, information about contracts, purchases, grants, personnel, and particular projects or programs. Disposition: File with the associated program or administrative records. Retentions for program and administrative records are found either in the Oregon University System General Records Retention Schedule (OAR 166-475) or in the institution special schedules authorized by the State Archivist. Communications not meeting the above criteria do not need to be filed and should be retained as needed.

(12) Crisis or Disaster Records Records document the events and damages to institutional property due to storms, riots, fires, droughts, floods, and other events affecting citizens and facilities within the jurisdiction of the institution. This series may include but is not limited to diaries; logs; reports; photographs; notes which indicate or document what happened, when, and where; and related documentation and correspondence. (Retention: Permanent)

(13) Daily Broadcast Logs Records document daily broadcast activities of the institutional radio station or television channel. Records include log sheets showing time signed on and off; any delays in broadcasting; engineer’s name; announcer’s name; technical difficulties; and digital broadcast records. (Retention: 2 years, destroy)

(14) Daily Log Records document the day-to-day activities of the office. This series may include but is not limited to staff member daily schedules, daily work logs, appointment information, and desk calendars, regardless of format. Information recorded in a personal day planner or personal electronic device may be a public record under ORS Chapter 192. (Retention: 1 year, destroy)

(15) Data Input Forms Records document paper forms that are used to create the same record in electronic form. This series may include service requests, such as work orders and mailing orders; surveys; instructor evaluations; tests; and other forms. This series does not include accounting system input documents and listings. (Retention: Until input and verified, destroy)

(16) Election Records Records document elections held by various faculty and staff organizations. This series may include but is not limited to ballots; tabulations; and related documentation. (Retention: 1 year, destroy)

(17) Emergency Board Request Records Records document requests made to the Legislative Emergency Board for additional funds or authority to spend funds between legislative sessions. Records may include but are not limited to requests, schedules and agendas, exhibits, organizational charts, testimony summaries, fiscal analysis, legislative progress reports, revenue projections, reclassification plans, presentation drafts, performance measures, and correspondence. The Emergency Board maintains the official copy of this information. (Retention: 5 years, destroy)

(18) Faculty Senate Records Records document the proceedings and actions of an institution’s faculty senate. Discussions and actions of the faculty senate deal with such areas as curriculum, program development, promotion and tenure, and legislative relations. This series may include but is not limited to meeting notes/minutes; studies; recommendations; resolutions and enactments; reports; agendas; working papers; and related documentation and correspondence. (Retention: Permanent)

(19) Freedom of Information Act (FOIA)/Public Records Disclosure Request Records Records document public requests for information. Records include written correspondence inquiries from the public received by the university; written and dated responses issued by the university; notes and memoranda made in drafting responses to these inquiries; and initials of officials approving release of the information. (Retention: (a) approved requests 5 years, destroy. (b) denied requests 5 years after last action, destroy)

(20) Gifts Records Records document potential or realized private, corporate, or public agency funding to the institution, including endowments and trusts. This series may include but is not limited to award guidelines; letters and agreements of gifts; copies of bequest instruments and wills from individuals or estates; financial statements and reports, including records of fund disbursements; and related documentation and correspondence. (Retention: (a) Permanent for letters and agreements of gift, copies of bequest instruments and wills from individuals or estates, and related documentation and correspondence (b) 5 years for all other records, destroy)

(21) Grievance Records Records document grievances brought forward by faculty and staff against the institution and which are resolved without litigation. (Records of grievances that are litigated become part of the legal case file.) Grievances are brought forward through the faculty grievance procedure or collective bargaining agreement Records may include but are not limited to notices of grievance; informal discussion notes; grievance responses; formal hearing notes (including audio files); final summary statements; appeals documentation; and related documentation and correspondence. (Retention: 3 years after resolution, destroy)

(22) Institutional Accreditation Records Records document the accreditation process for the institution by the Northwest Association of Schools and Colleges (NASC). The series provides a record of materials compiled for inclusion in a packet report sent to NASC and provided to the on-site evaluators. This series may include but is not limited to self-evaluation reports; final reports sent to accreditation organization; statistical data; working papers; NASC evaluation report; and related documentation and correspondence. (Retention: Permanent)

(23) Institutional Addresses and Statements Records Records document speeches and statements written and delivered by institutional faculty and staff in connection with institutional business. This series may include but is not limited to final copies; audio or video recordings of the speech presentation; drafts; source materials; and working papers. (Retention: (a) 5 years for drafts, source material, and working papers, destroy (b) Permanent for all other records)

(24) Institutional Cooperation and Relations Records Records document the coordination and interaction between units for the cooperative administration of programs within the institution. This series is used for monitoring, planning, and coordinating research, instructional, or administrative programs of common concern to two or more institutional units. This series may include but is not limited to copies of budget reports; activity reports; proposals; planning documents; agreements and memoranda of understanding; publicity and newspaper clippings; policy statements; working papers; and related documentation and correspondence. (Retention: (a) Permanent for proposals, planning documents, activity reports, policy statements, and publicity (b) 6 years after expiration for all other records, destroy)

(25) Institutional Planning Records Records document the college or unit’s role in the development of short-term or long-term plans for the institution. This series may include but is not limited to instructions from the president; provosts; and/or vice provosts explaining the nature and purpose of the requested strategic planning effort; internal planning committee materials; statements of objectives and goals as developed by college or unit chairs and administrators; proposals; strategic planning reports; surveys; activity reports; informational materials; working papers; and related documentation and correspondence. (Retention: (a) Permanent for final planning reports, proposals, goal and objective statements, and instructions and explanations of process (b) 20 years for internal planning committee materials, surveys, activity reports, working papers, informational materials, and correspondence, destroy)

(26) Institutional Survey and Reporting Records (HEGIS and IPEDS) Records document compliance with U.S. Department of Education reporting requirements by verifying figures on financial, student, institutional, and faculty salary data as reported to OUS by individual OUS institutions and reporting those findings to the U.S. Department of Education. The series may also be used to provide information to the administrators and legislators, and to create other statistical reports. Records may include HEGIS (Higher Education General Information Survey) and IPEDS (Integrated Post-Secondary Education Data System) completed forms for Salary, Tenure, and Fringe-Benefit of Full Time Instructional Faculty, Financial Statistics of Institutions of Higher Education (IPEDS-F-1), Finance FY (G50-14P-F), Salaries of Full Time Instructional Faculty (G50-14P-SA), IPEDS Total Institutional Activity (G50-14P-EA), Institutional Characteristics Form (G50-14P-IC), Enrollment in Occupationally Specific Programs (G50-14P-IF), Completions for the Year reports (program ICR), AAUP (MEA-22), Degrees and Other Formal Awards Conferred (NC form 2300-2.1A), Fall Enrollment in Institutions of Higher Education (NC form 2300-2.3A), OCCD Degrees Granted in Post-Secondary Institutions in Oregon reports, Degrees Awarded by Oregon’s Degree Granting Colleges and Universities reports, AAUP summary reports, and related working papers and correspondence. (Retention: (a) Permanent, final reports including the HEGIS/IPEDS survey forms (b) 10 years, all other records, destroy)

(27) Intramural Sports Program Records Records document the planning, implementation and operation of intramural sports programs for students, facility and staff within the institutions. Records include but are not limited to rosters, applications; enrollment records; activity records; and related correspondence (Retention: (a) 5 years after superseded for program records, destroy (b) 2 years for individual student records, destroy

(28) Lectures and Lecture Series Records Records document the development and history of special lectures and continuing lectureships devoted to a variety of topics and disciplines sponsored by the institution. This series may include but is not limited to lecture committee notes; memoranda and planning materials; information on funding; financial support and honoraria records; patron information; programs and announcements; information on catering arrangements; news releases; recordings and transcripts; photographs; video recordings; and related documentation and correspondence. (Retention: (a) Permanent for lecture committee notes, memoranda and planning materials, programs and announcements, news releases, transcripts, video recordings, and photographs (b) 10 years for all other records, destroy)

(29) Legal Case Records Records document litigation brought against the institution. Series contains case files pertaining to Affirmative Action conflicts; salary disputes; and differences in interpretation of contract language. (Retention: (a) Permanent for records of cases resulting in major policy modification, pleadings, final decisions, copies of records of the courts of cases considered historical, and summary statements (b) 6 years after final decision for all other records, destroy)

(30) Legislative Relations Records Records document efforts to review and plan institutional positions on impacting legislative actions. This series may include but is not limited to: OUS Bill Review and Tracking forms; bill tracking reports; notes; copies of pending or approved legislation; working papers; and related documentation and correspondence. (Retention: 2 years, destroy)

(31) Lobbyist Records Records document the activities of OUS employees who engage in lobbying the state government. Records may include: Lobbyist Registration Statement forms; Lobbyist Termination forms; Lobbyist Expenditure Report forms; the Oregon Government Standards & Practices Commission’s Guide to Lobbying in Oregon; lobbyist listings and salary information and related documentation. The OUS Chancellor’s Office maintains the system-wide record copy. (Retention: 5 years after last activity, destroy)

(32) Notary Public Records Records documenting notary transactions completed by a notary public employed by OUS. OUS may retain log books by agreement with the notary public after their separation from OUS employment. OUS institutions retaining notary public log books without notary agreements should consult their attorney and/or the Secretary of State, Corporation Division for Retention instruction. (Retention: 7 years after date of commission expiration, destroy)

(33) OUS and OSBHE Relations Records Records document the coordination and interaction between institutional administrative units and OUS and the OSBHE which have ultimate authority over both academic and fiscal programs. This series may include but is not limited to minutes; agendas; budget reports; dockets; notes; activity reports; proposals; fee booklets; newsletters; memos; and related documentation and correspondence. (Retention: (a) Permanent for minutes and agendas; (b) 1 year for notes, memos, and correspondence, destroy (c) Until superseded or obsolete for all other records, destroy)

(34) Policies and Procedures Records Records document internal or external instructions, rules, and guidelines for current agency policies and procedures. This series may include but is not limited to: mission and policy statements; planning documents outlining responsibilities and goals; organizational charts; publications preparation guidelines; emergency procedures; job descriptions; guides for office procedures which often include completed samples of all forms; handbooks; desk manuals; and related documentation and correspondence. (Retention: (a) Retain final policy and/or procedure permanently (b) Retain all other records 1 year after policy and/or procedure adopted, destroy)

(35) Professional Accreditation Records Records document the accreditation process for the colleges, units, and related programs. The series provides a record of materials compiled for inclusion in a report packet sent to the appropriate professional accreditation board for the specific program or service and usually includes statements on mission, finance, educational programs and departments/divisions make up. Most accreditation organizations produce an evaluation report based on the packet and on-site inspection which is used to determine accreditation for the units and their programs. This series may include but is not limited to self-evaluation reports; final reports sent to accreditation organization; statistical data; working papers; accreditation organization evaluation report; and related documentation and correspondence. (Retention: (a) Permanent for self-evaluation reports, final accreditation reports, and accreditation organization evaluation reports (b) 2 accreditation cycles for statistical reports, working papers, correspondence, and all other records, destroy).

(36) Professional Membership Records Records document institutional-paid individual memberships and activities in professional organizations. These records may include but are not limited to applications for membership; certification of membership; documentation of activities; and related correspondence. (Retention: 6 years, destroy)

(37) Radio and Television License Records Records document licensing of OUS campus radio stations and television channels (including distance education) with the Federal Communications Commission. Records may include FCC applications; licenses and contracts; and related correspondence. Federal regulations state that TV and radio licenses will ordinarily be renewed for 8 years unless the public interest, convenience and necessity will be served by an initial license or a renewal for a lesser term. (Retention: 10 years after expiration of license, destroy)

(38) Signature Authorizations Records document the certification of the institution’s employees who are authorized to sign fiscal and contractual documents. These documents serve as an aid for management control over expenditures. This series may include but is not limited to authorization date; name; sample signature; position data; remarks; and conditions. (Retention: 6 years after authorization expires, destroy)

(39) Special Activity Records Records document the activities of an office which are performed in addition to its regular or main functions. Examples may include the completion of surveys and questionnaires, compilation of special studies for professional or academic associations, and special mailings. This series may include but is not limited to: arrangements documentation; working papers; questionnaires; survey forms; study designs; reports; and related documentation and correspondence. (Retention: (a) Permanent for final reports and study designs (b) 3 years for all other records, destroy)

(40) Special Event Records Records document the efforts of a college or unit to provide informative sessions, short-courses, workshops, training programs, excursions, and celebratory events for members of the institution and the communities it serves. This series may include but is not limited to: materials on planning and arrangements; reports; promotional and publicity materials; press releases and news clippings; photographs; video recordings; presentation materials and handouts; schedules of speakers and activities; registration and attendance lists; participant evaluations; and related documentation and correspondence. (Retention: (a) Permanent for planning materials, reports, promotional and publicity materials, press releases, photographs, and schedules of speakers and activities (b) 2 years for all other records, destroy)

(41) Staff Meeting Records Records document the meetings of the faculty and/or staff of a college, department, or office which sets policy and procedures for the unit. Participants at meetings may be composed exclusively of a mixture of faculty, staff, administrators, and managers; specialized and task oriented sub-committees composed of unit personnel are also documented as part of this record series. These meetings may concern routine matters of procedure and topics such as program development, planning, administrative and personnel management, and assessments of future needs. This series may include but is not limited to meeting notes/minutes; reports; working papers; agendas; and related documentation and correspondence. (Retention: (a) Permanent for meeting notes/ minutes, agendas, and reports (b) 4 years for all other records, destroy)

(42) Vehicle Use Authorization and Request Records Records document permission for employees to use their private automobiles for official use and authorization of non-employees and students to use state-owned cars. Records may include but are not limited to private vehicle safety certification forms; private vehicle certificate lists; driver authorizations for students and non-employees; and related documentation and correspondence. (Retention: 1 year after superseded or obsolete, destroy)

(43) Visiting Scholar Program Records Records document a program which allows one or more visiting scholars to assume residence on campus for an academic year or a shorter duration. This series may include but is not limited to advertisements; applicant data; arrangements and schedules; publicity and news clippings; presentation transcripts or published works; scholars activities documentation including audio recordings; and related documentation and correspondence. (Retention: (a) Permanent for applicant data, publicity, presentation transcripts, and scholars activities documentation (b) 4 years for all other records, destroy)

[Publications: Publications referenced are available from the agency.]

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 3-1999, f. & cert. ef. 10-11-99; OSA 2-2003, f. & cert. ef. 2-14-03; OSA 3-2004, f. & cert. ef. 7-29-04; OSA 4-2009, f. & cert. ef. 6-29-09; OSA 3-2012, f. & cert. ef. 10-29-12

166-475-0050

Fiscal — Payables/Receivables Records

(1) Accounts Aging Records Records document a cumulative listing by accounts receivable number of all receivables on the Accounts Receivable master file in the Banner Student Information System. For each receivable, the amounts that are not yet due, currently due, and overdue are indicated by fiscal year. Records consist of account listings sorted numerically by customer showing balances. Listings are generated at the end of the fiscal year and at other times upon request. (Retention: (a) 10 years for year-end listing, destroy (b) 4 years for other listings, destroy).

(2) Accounts Payable Records Records document a department’s expenditures and purchases. The series may also be used to research, evaluate, and monitor prior transactions and/or track the budget. Records may include but are not limited to departmental purchase orders; contract release orders; balance sheets; bills; invoices; invoice vouchers; journal voucher/entry forms; price quotes; State of Oregon “B” Purchase Orders; departmental requisitions; justifications of purchases; payment authorizations; reports of receipt of goods or services; and related documentation and correspondence. (Retention: 6 years, destroy).

(3) Accounts Receivable Records Records document a record of billings and collections for the office and units/programs which report to the office. It is also used to provide a record of customers owing monies and to reconcile the account. Records may include but are not limited to Account Edit sheets; classified advertisement forms; credit card payment forms; invoices; journal vouchers; receipts; returned checks: and related documentation and correspondence. (Retention: 6 years after collected or deemed uncollectable, destroy).

(4) Accounts Receivable Subsidiary Records Records document history of charges and payments recorded for each customer on the Banner Student Information System. Records consist of customer lists sorted by account number with charges and payments recorded for each customer in chronological sequence. (Retention: 6 years, destroy).

(5) Accounts Receivable Write-off Records Records document debts of Accounts Receivables written off with the approval of the Institution’s business office. Records include accounts receivable invoices; write-off worksheets; and due diligence documents. (Retention: 6 years after write-off, destroy).

(6) Canceled Checks Records Records document redeemed checks written on university accounts. Information on each check may include check number, date, amount, endorsement, account number, validation data, and related documentation. (Retention: 6 years, destroy).

(7) Check Conversion Records Records document checks received from customers that are electronically deposited after being imaged and converted to an Automated Clearing House (ACH) transaction or Image Replacement Document (IRD) (Retention: (a) Retain original paper instrument 30 days, destroy (b) Retain ACH transaction or IRD 6 years, destroy).

(8) Check Stubs Records documents the issuance of checks for payment in exchange for goods and services including payroll. Records include check stubs. (Retention: 6 years, destroy).

(9) Collection Records Records document the office’s efforts to collect unpaid accounts. Records include collection letters; notices; letters of transmittal; and bankruptcy records. (Retention: 6 years after account is paid in full or written off, destroy).

(10) Credit and Debit Receipts Records document credit or debit card receipt documenting payment received by agency. Records include customer’s name and account information (Retention: Retain 36 months after transaction, destroy).

(11) Credit Card Administration Records Records documents administration of credit cards issued to institutional staff and units. Records may include applications; master monthly billing statements; individual card holders’ statements; billing summaries; reports including vendor analysis by code; number of charges and stores; use summaries; related correspondence. (Retention: (a) 6 years after card expiration for applications, destroy (b) 6 years for all other records, destroy).

(12) Moving Expenses Records Records document new employees’ moving and travel expenses paid by the institution. Records may include but are not limited to requests for approval-travel and moving reimbursement of new employee forms; purchase orders; travel reimbursement requests; vendor invoices; and receipts. (Retention: 6 years, destroy).

(13) Refund/Disbursements Request Records Records document requests and disbursements made for overpayment and refunds. Records include accounting data for refunds from parking violation fines paid and successfully appealed; tuition and fee refunds when courses are dropped; refunds for event tickets, loan overpayments, change-of-residence, and canceled courses; a log of refunds and requests for reissue of lost checks. (Retention: 6 years, destroy)

(14) Registration Fee Records Records document the payment of registration fees, which are considered travel expenses. Records may include but are not limited to completed registration forms; journal vouchers; invoices; purchase orders; and wire transfer forms. (Retention: 6 years, destroy).

(15) Revolving Charge Agreements Records Records document a student’s agreement with the provisions of the accounts receivable revolving account and his/her intent to attend the institution. Records include agreement forms signed by each student. (Retention: 3 years after last enrollment and account paid in full, destroy).

(16) Travel Records Records document requests for and approval of travel by employees of the institution or the agency; to monitor travel expenditures; for planning purposes; to document changes in dates of travel, changes in the name of the traveler, changes in itinerary, or changes in funding sources within an out-of-state travel authorization; and to document approval for vehicle rental. Records may include but are not limited to out-of-state travel authorization forms, travel itineraries, travel advance forms, travel reimbursement requests (employee and non-employee), receipts, approval memos, vehicle mileage reporting records, memos in place of itemized receipt, affidavits of lost receipt memos, authorizing signatures, airfare documentation and related documentation and correspondence. (Retention: 6 years, destroy).

(17) Unclaimed Property Report Records Records document annual reports submitted to the Department of State Lands of financial assets being held for a person or entity that cannot be found. Series includes Holder Report, owner information, correspondence and other related documents. Note: Unclaimed property is not real estate, abandoned personal property, or lost and found items. (Retention: 3 years after the property is remitted to the Department of State Lands).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192.005–192.170 & 357.805–357.895
Hist.: OSA 3-1999, f. & cert. ef. 10-11-99; OSA 2-2003, f. & cert. ef. 2-14-03; OSA 3-2004, f. & cert. ef. 7-29-04; OSA 4-2009, f. & cert. ef. 6-29-09; OSA 1-2010, f. & cert. ef. 5-27-10; OSA 3-2012, f. & cert. ef. 10-29-12

Notes
1.) This online version of the OREGON BULLETIN is provided for convenience of reference and enhanced access. The official, record copy of this publication is contained in the original Administrative Orders and Rulemaking Notices filed with the Secretary of State, Archives Division. Discrepancies, if any, are satisfied in favor of the original versions. Use the OAR Revision Cumulative Index found in the Oregon Bulletin to access a numerical list of rulemaking actions after November 15, 2011.

2.) Copyright 2012 Oregon Secretary of State: Terms and Conditions of Use

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