SPP 1101: Personnel Records

To establish a consistent method for the maintenance and management of official and departmental personnel records

Arizona Revised Statutes § 41–1346

Arizona Board of Regents Policy Manual - 6–912

Classified, service professional, and administrative employees

Human Resources (HR) is responsible for the establishment and maintenance of official personnel records. All inquiries about personnel information must be referred to HR.

Official personnel records will be retained in HR for five years after a staff member’s termination date.

Each employee’s official personnel records file will be maintained in Human Resources and may contain:

1. U.S. Citizenship and Immigration Services Employment Eligibility verification (Form I-9)
2. the application for employment and/or résumé, including job-related supplemental sheets for employment physical(s) and criminal history check(s), as applicable
3. multi-year and/or annual contracts
4. the original Personal Data form (PDF), including name, ASU identification number, Social Security number, date of birth, home address and telephone number, citizenship, sex, and ethnic origin
5. the State of Arizona Loyalty Oath
6. standards of professional conduct for faculty
7. income tax withholding forms (W-4, A-4, 8233)
8. paycheck direct deposit authorization forms
9. payroll deduction authorizations such as insurance plan elections, retirement forms, and tax-sheltered annuity agreements
10. the original Hiring Process Report(s) (HPR)
11. performance evaluation(s)
12. letters of commendation or recommendation

    and

13. employee’s second written reprimand(s), including attachments.

See SPP 809, “Discipline,” for procedure to remove employee written reprimand from the personnel file.

The following records will be maintained separately:

1. wage assignment/garnishment/levy orders
2. subpoenas
3. grievance information
4. allegations or investigations regarding the employee
5. arrest records

   and

6. medical records.

A staff member, or a person authorized by the staff member in writing, may review his or her official personnel records upon presentation of proper identification. Requests must be made to Human Resources (HR) during normal office hours, Monday through Friday. Staff may obtain photocopies of any documents contained in their records for a copying fee and may submit written statements protesting or supplementing data contained in the record. All such statements must be signed and dated by the staff member.

Except as provided for below, personnel records and information are confidential and their disclosure, other than as provided for in this policy, would be contrary to the best interests of the state and is unauthorized. Any unauthorized access, release, or use of personnel information shall constitute employee misconduct. Accordingly, except as provided for in this policy, personnel records shall be treated as exempt from the Arizona Public Records Law.

Only the following information contained in personnel records will be released without the staff member’s consent, except as designated in this policy:

Administrative Access

1. All personnel, employment, or related records shall be available only to authorized users for authorized purposes. The president of the institution or the president’s designee has final authority to determine what users and purposes are authorized pursuant to this policy. Any unauthorized access, release, or use of personnel information shall constitute employee misconduct.
2. As determined by the president of the institution, authorized officers, employees, or agents of the Arizona Board of Regents or of any institution under the jurisdiction of the board may have access to and may disclose personnel records or information as necessary in the prosecution, defense, or resolution of any hearing or dispute regarding personnel matters.
3. Access to personnel records or disclosure of personnel information may be provided when necessary to protect the interests of the institution when the institution believes the actions of an individual violate the conditions of employment or otherwise threaten injury to the institution or to others; to a properly identified law enforcement authority when the institution reasonably believes that an applicant, employee, or former employee may have engaged in illegal activities; or pursuant to a federal, state, or local government statute or regulation that specifically requires disclosure of certain information to certain parties.
4. An individual’s dates of attendance at work and home address may be disclosed in response to a subpoena issued by a properly identified law enforcement authority.

Information Considered to Be Public Record

The following information is a public record:

1. name
2. titles or positions, including academic degree and honors received
3. department
4. campus telephone number
5. employment dates
6. salary or rate of pay

   and

7. e-mail address.

Information Required by a Lawfully Issued Administrative Summons or Judicial Order, Including a Search Warrant or Subpoena

The Office of General Counsel must review and approve disclosure. A reasonable effort will be made to notify the staff member prior to compliance. The university may seek a protective order to prevent disclosure of certain documents, such as performance evaluations, on the basis that a qualified privilege exists to protect those documents in the employee evaluation system that are used to make determinations of staff retention.

A reasonable charge may be assessed the requesting party for this service.

Information Required in Compelling Circumstances

Access to personal records or disclosure of personnel information may be provided in compelling circumstances affecting the immediate health or safety of the individual staff member or others.

Information Requested for a Legitimate Business Purpose

Access to personnel records will be granted only to the following persons:

1. Arizona Board of Regents and regents’ staff
2. external auditors
3. Office of General Counsel
4. Human Resources staff
5. president or president’s designee
6. management directly responsible for the staff member

   and

7. other persons as authorized by the director of Human Resources or designee.

Access to pertinent information regarding job-related information and employee conduct and work performance will be granted only to the following persons:

1. ASU hiring officials considering an ASU employee during the hiring process, or for transfer, promotion, or reemployment

   and

2. other persons as authorized by the director of Human Resources or designee.

Any of the contents of the official personnel record may be released with the written consent of the staff member. This may include verification for:

1. mortgage and bank loan application(s)
2. student loan deferments

3. and

4. government agency background checks.

Character or personal reference requests are referred to individual departments (see SPP 1104, “Job References”).

Departments must maintain a personnel file for each employee. Departmental personnel files should be kept for three years after the individual retires, terminates, or transfers to another department and, at a minimum, should contain:

1. attendance records
2. turnaround PAF documents with an indication that the action has been reviewed (initials). The PAF should be reviewed by someone other than the person who did the data entry
3. approval of and documentation to substantiate employment-related changes for the employee. Examples include but are not limited to changes in the following areas:
   
   1. account number
   2. account percentage
   3. earnings type
   4. employee status
   5. employee type
   6. job classification
   7. pay rate
   8. pay status
   9. percentage full time
   10. position number
   11. rate/amount
   12. start/stop dates

   and

4. employee disciplinary records.

The following information will be published in the ASU Directory:

1. name
2. title
3. department
4. campus location

   and

5. campus telephone number.

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