Staff Personnel Manual (SPP)

Effective: 7/1/1978

Revised: 8/1/2009

SPP 1101: Personnel Records

Purpose

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

Sources

Arizona Revised Statutes § 41–1346

Arizona Board of Regents Policy Manual - 6–912

Applicability

Classified, service professional, and administrative employees

Policy

Office of Human Resources (OHR) is responsible for the establishment and maintenance of official personnel records. All inquiries about personnel information must be referred to OHR. Official personnel records will be retained in OHR for five years after an employee’s separation date.

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Items Included in Official Personnel Records File in the Office of Human Resources

Each employee’s official personnel records file will be maintained in the Office of Human Resources and should contain either electronic printed versions or paper documentation with appropriate approvals where applicable:

1. U.S. Citizenship and Immigration Services Employment Eligibility verification (I-9 form is kept separate from employee’s personnel file)
2. the application for employment and/or résumé, including job-related supplemental sheets for employment as applicable
3. Notices of Appointment (if applicable)
4. the original Personal Data form (PDF)
5. approval of and documentation to substantiate employment-related changes that are not processed through Manager Self-Service transactions, such as but not limited to the following items:
   1. Talent Acquisition Management (TAM)
   2. eHire
6. offer letter of employment (administrative staff, service professional, classified staff)
7. the State of Arizona Loyalty Oath
8. standards of professional conduct for faculty (if applicable)
9. applicable state income tax withholding form, or 8233 form
10. 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.

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Items Maintained in Separate Records

The following records will be maintained in a separate file housed in the Office of Human Resources:

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

   and

7. U.S. Citizenship and Immigration Services Employment Eligibility verification (I-9 form is kept separate from employee’s personnel file).

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Employee Review/Access

An employee or a person authorized by the employee, in writing, may review his or her official personnel records upon presentation of proper identification. Requests must be made to the Office of Human Resources (OHR) during normal office hours, Monday through Friday. Employees 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 records. All such statements must be signed and dated by the employee.

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.

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Disclosure of Information without the Staff Member’s Consent

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 which 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 name
4. campus telephone number
5. employment dates
6. salary or rate of pay
7. e-mail address

   and

8. disciplinary records as defined by Arizona Board of Regents Policy 6–912(C)(4) Public Records Law.

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 employee 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 employee retention.

The requesting party may be assessed a reasonable charge 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 employee 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. Office of 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 associate vice president 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 associate vice president of Human Resources or designee.

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Disclosure of Information with the Employee’s Consent

Any of the contents included in the official personnel record may be released with the written consent of the employee; this may include verification for:

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

   and

3. government agency background checks.

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

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Records Maintained in the Employee’s Department

Departments must maintain a personnel file for each employee. Decentralized departmental personnel files, either electronic or paper documentation with appropriate approvals where applicable, 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. approval of and documentation to substantiate employment-related changes for the employee; either electronic or print copy format are acceptable. In addition, an electronic or original is maintained in the official Office of Human Resources file. Examples include but are not limited to changes in the following areas:
   
   
   1. employee status
   2. employee type
   3. job classification
   4. pay rate
   5. pay status
   6. percentage full time
   7. position number
   8. start/stop dates

      and

   9. employee disciplinary records

3. authorization and documentation for Additional Pay transactions, which department pay managers can add to the HRIS system through the additional pay module:


1. Administrative Supplement
2. Auxiliary Pay
3. Award—Prize
4. Bonus—Nondiscretionary
5. Bonus—Discretionary
6. Commissions
7. Endowed Supplement
8. Honorarium
9. Intra-university Consulting
10. Instruction Supplement
11. Retention Subsidy
12. Royalties
13. Stipend
14. Supplemental Pay
15. Technical Subsidy
16. Temp/Interim Supplement
17. Uniform Allowance

    and

18. any other additional pay not listed above.

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ASU Directory Information

The following information will be published in the ASU Directory:

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

   and

5. campus telephone number.

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