Or. Admin. Code § 166-150-0200

Current through Register Vol. 63, No. 12, December 1, 2024

Section 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 (Minimum retention: 75 years after superseded or obsolete)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)

Or. Admin. Code § 166-150-0200

OSA 4-2004, f. & cert. ef. 9-1-04; OSA 3-2012, f. & cert. ef. 10-29-12

Stat. Auth.: ORS 192 & 357

Stats. Implemented: ORS 192.005-192.170 & 357.805-357.895