Office of Human Resources - HR Advisor

Records
Personnel Records

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WEST
Audrey Dumouchel-Jones
602.543.8406

MAKE AN APPOINTMENT
TO VIEW PERSONNEL FILES
Main/East/Downtown Campus
Shimara Mizell 480.965.2888

West Campus
Carolyn Tucker
602.543.8408

DEFINITIONS

Administrator or Administrative
An officer who reports directly to the president
or to a vice president and who is responsible for
planning, organizing, directing, controlling, and
evaluating the activities of a major segment
of a university; promulgating and implementing
university rules and regulations; preparing and
administering the organizational budget; and
maintaining relationships with administrative
officials and members of business, government,
and civic communities. These positions shall include
vice presidents, deans, academic department heads,
and other positions as determined by the board.

Classified Staff
Positions in the Arizona Universities
Classification/Compensation System (AUCCS)
for which generic job descriptions and corresponding
pay grade ranges have been established.

Service Professionals
Nonclassified employees with a direct role in service
who require professional and intellectual freedom and
who report to a vice president or person below the level
of vice president, including those in student services,
technical services, student health services, and public service.
Service professional does not include academic professionals
defined as nonclassified employees involved with research
or teaching programs who require professional and
intellectual freedom and who report to a person below
the level of vice president, including librarians, cooperative
extensionists, and researchers
See the Academic Affairs Policies and Procedures Manual—
ACD 503 Conditions of Professional Service.

The Personnel Records policy, SPP 1101, offers a consistent method to maintain and manage official and departmental personnel records. It applies to classified, service professional and administrative employees and provides information on: type of file; content of file; record retention; accessibility; and maintenance responsibilities.

FREQUENTLY ASKED QUESTIONS

What does an employee's official personnel file include?
Hiring paperwork
Work performance documents

See SPP 1101 for a complete list

What records does the department maintain?
Each employee's departmental file must, at a minimum, contain:

  • Attendance records
  • Turnaround Personnel Action Forms (PAFS)
  • Documentation to substantiate employment-related changes for the employee such as changes to job classification or pay rate
  • Employee disciplinary records

What Files are Kept Separately?
Medical records
ADA, FMLA, Worker's Compensation
Any documentation from a health care provider
Hiring records
The hiring unit must retain all records associated with a hire for at least three years.
MORE INFO: SPP 201-01 (Recruitment and Employment)

How long are records kept?
Human Resources keeps official personnel files for five years after an employee's termination date. Departments keep files for three years after an employee retires, terminates or transfers to another department.

Who can view the employee's official personnel file?

  • The employee
  • Any person authorized by the employee in writing
  • Arizona Board of Regents and Regents' staff
  • External auditors
  • Office of General Counsel
  • Human Resources staff
  • President or President's designee
  • Other persons as authorized by the Director of Human Resources

Are there any viewing restrictions on the information?
Only employee conduct and work performance records such as performance evaluations can be viewed by:
Management directly responsible for the employee
Hiring officials considering an ASU employee as a finalist for hire, transfer, promotion or re-employment

What information is considered public record?

  • Employee Name
  • Titles or positions such as academic degrees and honors
  • Department
  • Campus telephone number
  • Employment dates
  • Salary or rate of pay

Who can I contact to view a personnel file?
Those individuals authorized  in SPP 1101 Personnel Records  to view personnel files can contact the following individuals to set up an appointment.

Main/East/Downtown Campus: Shimara Mizell | 480.965.2888
West Campus: Carolyn Tucker | 602.543.8408