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Department of Human Services - Records Retention Schedule


 Records Retention Schedule: 99-0005

Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Finance, Personnel and Policy
Program: Financial Services

Program Description:

The Financial Services program of the Department of Human Services (DHS) oversees the entire financial operation with the exception of the Department budget. Financial Services' responsibilities include: purchasing, accounting, cash management, cost allocation, grant management, and financial reporting services. The program provides information about the financial status of Division program areas as well as the overall Division financial picture to DHS Division staff.

Records Description:

Documenting the expenditures of each agency by program area within DHS are the BRIO Report Records.

Below is a record series list designating their retention:

067 BRIO Report Records - Retain year-end reports 4 years, destroy. Retain monthly reports until superseded, destroy.

The following records may be found in the State Agency General Records Retention Schedule: Correspondence (Administrative Records - OAR 166-300-0015); Account Reconciliation Records, Account Transfer Records, Accounting Structure Organizational Hierarchy Records, Accounting System Input Documents and Listings, and Agency Control Reports, Accounts Payable Records, Accounts Receivable Records, Audit Reports, Bank Statements, Budget Allotment Reports, Cash Receipt Records, Check Registers, Checks, Debit/Credit Advises, Deposit Slips, Encumbrance Registers, General Ledger Transaction Reports, Grant Records, Invoice Registers, Invoices, Journal Entry Registers, Oregon State Treasury Reports, Petty Cash Fund Records, Project Accounting Records, Purchasing Records, Receipt Registers, Revenue Reports, Revenue Registers, Travel Expense Records, Trial Balance Reports, Vendor Reports, Voucher Registers, Vouchers, Warrant Cancellation Request Records, Warrant Registers, and Warrants (Financial Records - OAR 166-300-0025). 


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Finance, Personnel and Policy
Program: Office of Program and Finance

Program Description:

The Office of Program and Finance assures that Department of Human Services (DHS) services are provided to those most in need as effectively as possible and at least cost to the taxpayers. The office develops and executes the overall DHS budget as well as initiating and presenting in the department's legislative programs. The office also advises the Director's Office on budget expenditures and projections and serves as a coordinator between DHS's cross-divisional programs.

Records Description:

Records documenting DHS's requests to the Legislative Emergency Board for additional funds, allocation of funds, or authority to spend funds between legislative sessions are the Emergency Board Records.

Below is a series list:

069 Emergency Board Records - Retain 20 years, destroy.

The following records may be found in the State Agency General Records Retention Schedule:

Administrative Rule Preparation Records, Correspondence, and Legislative Tracking Records, (Administrative Records - OAR 166-300-0015); Budget Preparation Records, and Legislatively Adopted Budgets (Financial Records - OAR 166-300-0025).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Finance, Personnel and Policy
Program: Contracts and Procurement

Program Description:

The Contracts and Procurement program provides contractual and procurement services to all Department of Human Services (DHS) programs and Divisions to ensure statutory and legal compliance with Oregon and Federal law. It assists DHS staff in developing contracts and agreements and represents DHS in contract negotiations. Clarifying contracts and aiding in procurement of goods and services are additional duties of this unit. Contracts dealt with by this program may include those for services provided to individual DHS clients.

The program is also the organizing entity of the DHS Contracts Council, a 21-member council consisting of 2 representatives from each of the DHS Divisions. The DHS Contracts Council provides coordination and policy formation input for the DHS Contracts and Procurements program.

Records Description:

Records chronicling the medical/mental health treatment contracts for individuals, including minors, are the Individual Specific Treatment Contract Records. Records documenting the official authorization to garnish Senior and Disabled Services Divison (SDSD) registered caregivers wages are the SDSD Home Care Provider Garnishment Records. Record tracking the issues and policies placed before the Contracts Council and the resulting recommendations are the Contracts Council Records. Records tracking the status of contracts are the CONTRACTS, CLOSED, and ARCHIVES databases.

Below is a record series list designating their retention:

070 Individual Specific Treatment Contract Records - Destroy expunged records. Retain all other records 6 years after contracted service ends, destroy. Some information may be restricted from public disclosure as authorized by ORS 192.502 (2) and ORS 409.225, for life of the records.

071 Senior and Disabled Services Divison Home Care Provider Garnishment Records - Retain 4 years, destroy.

072 Contracts Council Records, 1999 - [ongoing] - Retain minutes 15 years, destroy. Retain all other materials 5 years, destroy.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Correspondence, Contracts, Leases and Personal Service Contracts (Administrative Records - OAR 166-300-0015); Fixed Asset Inventory Reports (OAR 166-300-0020); Purchase Orders (OAR 166-300-0035); Computer System Program Documentation Records, and Records Management Records (OAR 166-300-0030).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Finance, Personnel and Policy
Program: Payroll

Program Description:

The Payroll section is responsible for the Department of Human Services ' (DHS) payroll and employee services. The section is responsible for assuring all employees enter time accurately; processing all employee payroll data and withholding information into the Oregon State Payroll System (OSPS), maintained by DAS; providing information to staff on health, dental, life and disability insurance, as well as retirement, deferred compensation, voluntary deductions, and other benefit information; responding to payroll inquiries by outside entities; and assisting employees with payroll questions.

Payroll also issues the checks for any paid DHS board or commission (primarily in the Welfare and Health areas). Additionally, Payroll processes Foster Parent Insurance, which provides health and dental insurance to foster families in Oregon. DHS Institutions maintain their payroll records on site, while the remainder of DHS payroll records are housed in the Payroll section.

Records Description:

Records used to document timekeeping practices are Welfare Attendance Reporting System/AR report. This report will become a function of OSPS in Spring 1999. Records documenting the issuance of health and dental insurance for Foster Parents are Foster Parent Insurance Records.

Below is a record series list designating their retention:

073 AR Reports - Retain 10 years, destroy.

074 Foster Parent Insurance Records - Retain 4 years, destroy.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Correspondence (Administrative Records - OAR 166-300-0015); Employee Payroll and Time Records, Family Medical Leave Records, OSPS Reports, and Unemployment Records and Reports (Payroll Records — OAR 166-030-0035).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Finance, Personnel and Policy
Unit: Personnel Services

Program Description:

Personnel Services delivers services to enable the Department of Human Services (DHS) to accomplish its mission through capable employees. Duties include recruitment, retention, promotion and development of staff members. Personnel develops and implements the Safety and Health Plan, including the management of Workers' Compensation Claims, workplace health, Employee Assistance Programs, wellness and return-to-work programs. It also develops and implements the Affirmative Action plans, alternate format plans and prepares routine and ad-hoc workforce information reports to support management's information needs and requirements. Personnel Services staff also become qualified to perform Law Enforcement Data System (LEDS) checks for criminal history on DHS employees and volunteers.

Records Description:

Authorizing a DHS employee or volunteer to access Law Enforcement Data System (LEDS) information to make background checks or review files on DHS employees or volunteers after completing an Oregon State Police (OSP) application and exam are the LEDS Access Certification Records. Visually depicting a given individual's fingerprints are the Fingerprint Records. Results of a LEDS background check are chronicled in the LEDS Notification Sheet Records. Tracking outcomes of completed LEDS searches concerning the criminal record/background check of DHS employees is the LEDS TRACKING database. Providing statistical reporting and contact information concerning the individual DHS recruitments is the RECRUITMENT TRACKER database.

Below is a record series list designating their retention:

075 LEDS Access Certification Records - Retain 2 years after employee separation, destroy.

076 Fingerprint Records - Retain 180 days from the date the record was obtained, destroy.

077 LEDS Notification Sheet Records - Retain 2 years after employee or volunteer separation.

078 Employee and Volunteer Criminal History Data - Retain 180 days from the date record was obtained, destroy.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Correspondence and Policy Development and Planning Records (Administrative Records - OAR 166-300-0015); Collective Bargaining Records; Comparable Worth Study Records; Employee Personnel Records; Employee Suggestion Award Records; Employment Eligibility Forms (I-9); Human Resource Services Division Statistical Reports; Position Description and Reclassification Records and Recruitment and Selection Records (Personnel Records — OAR 166-300-0040).


Organizational Placement:

Agency: Department of Human Services (DHS)
Division: Office of the Director
Section: Office of Finance, Personnel and Policy
Unit: Personnel Services
Program: Employee and Organization Development Team (EDT)

Program Description:

The Employee and Organization Development Team (EDT) program is part of the Department of Human Services (DHS), Director's Office. The program offers DHS managers, employees, and community partners a wide menu of services designed to meet organizational development and training needs. Classroom training, consultation services, and facilitation services are the primary focus of this area. Oregon Video & Online Services (formerly ED-NET) broadcasts were also utilized by this area in the past.

First-level consultations are performed for all training requests and are frequently conducted by phone. This level results in an appointment for a more in-depth needs assessment, a training session or a

referral. When an organization wants to assess how effectively they are working or needs a third party to present information, the level-two facilitations are performed on site. Consultations are another type of interaction dedicated to highly complex issues facing a given work group and may include quantitative measurements. Consultations may or may not result in training.

In addition to its own training, the Personnel Services Program coordinates integration of Department of Administrative Services (see separate schedule) training, the DHS Leadership Academy (a problem solving employee enrichment program), the Management Leadership Training Program, as well as the training sessions performed by outside vendors.

Records Description:

Records documenting the preparation for and the performance of a given training class are the Class Records. Records chronicling the facilitation process including support materials and final reports (if created) are the Facilitation Records. Records concerning consultations done for a given group and the conclusions from the consultations are the Consultation Records. Records listing answers to survey questions provided to the DHS Employee and Organization Development Team from individual employees in a given workgroup to better define issues and problem areas are Survey Records. Records reporting on the completed trainings and services provided on a monthly, quarterly and annual basis are the Report Records. Records documenting Oregon Video & Online Services (formerly ED-NET) broadcasts organized by the Employee and Organization Development Team are the ED-NET Records. Records documenting the site selection, registration and front office preparation for workshops are the Workshop Coordination Records. Records documenting what program staff did and observed during consultations are the Staff Consultation Reports. Records chronicling the class offerings with descriptions and location information are the Class Bulletins and Calendar Records. Records documenting the participants, projects and outcomes of the Human Services Leadership Academy are the Human Services Leadership Academy (HSLA) Records.

Below is a record series list designating their retention:

079 Class Records - Retain Employee and Organization Development Team Coordinated Class Records for 1 year, destroy. Retain Employee and Organization Development Team Performed Class Records for 3 years, destroy.

080 Facilitation Records - Retain 2 years, destroy.

081 Consultation Records - Retain 5 years, destroy.

082 Survey Records - Retain non-representative surveys 1 year, destroy. Retain representative surveys 3 years, destroy.

083 Report Records - Retain Quarterly and Monthly Records 5 years, destroy. Retain Annual Report 10 years, destroy.

084 ED-NET (Oregon Video & Online Services) Records - Retain 2 years, destroy.

085 Workshop Coordination Records - Retain 2 years, destroy.

086 Staff Consultation Reports - Retain 3 years, destroy.

087 Class Bulletins and Calendars - Retain 5 years, destroy.

088 Human Services Leadership Academy (HSLA) Records - Retain 5 years, destroy.

In addition, the following records may be found in the State Agency General Records Retention Schedule: Correspondence and Mailing Lists (Administrative Records - OAR 166-300-0015); and Travel Expense Records (Financial Records - OAR 166-300-0025).



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