SPP 1101: Personnel Records
To establish a consistent method for the maintenance of official personnel records, to identify who will be granted access to personnel records, and to define the circumstances under which release of information will be authorized
Arizona Revised Statutes § 41–1346
Arizona Board of Regents Policy Manual - 6–912
All regular classified employees, university staff, and non-faculty administrators
The Office of Human Resources (OHR) is responsible for the establishment and maintenance of official personnel records for all nonacademic staff employed by the university. All inquiries about nonacademic personnel information must be referred to OHR. Official personnel records will be retained by OHR for five years after an employee’s separation date. Departments are solely responsible for the maintenance of personnel records for student and graduate workers assigned within that area.
The following personnel records will be maintained by OHR:
Initial Hire Documentation
Ongoing Employment Documentation
When appropriate, OHR will maintain separate files that may contain information related to employee grievances or appeals or employee complaints of discrimination or harassment. Such information will be retained in separate files.
Confidential Benefits Records
OHR Benefits Design & Management maintains all benefits records separately from the official personnel records.
Departments shall maintain job related and, in separate files, confidential leave, disability, and medical records. Upon termination or transfer to another department, job related documents should be sent to OHR, and confidential leave, disability, and medical records, if within three years of leave, should be sent to OHR Benefits for retention purposes.
Job Related Documentation
Under no circumstances should department personnel files contain non-job-related documents such as garnishments or immigration records.
Medical information, including physician notes or certifications of health care providers obtained in support for a leave request under the Family and Medical Leave Act (FMLA), or requests for reasonable accommodation under the Americans with Disabilities Act (ADA), must be maintained as described below.
All department personnel files are subject to an audit by OHR for compliance with this policy.
Confidential Medical Leaves of Absence Documentation
Departments shall maintain all records of leaves of absence (LOA), including leaves of absence under the Family and Medical Leave Act (FMLA). Access to these records should be strictly limited to those individuals with a legitimate business reason. Departments are required to maintain the official records for FMLA and other leaves of absence (LOA) for three years after the leave is taken. As outlined in the Leaves Management user guides, departments who have eligible employees must maintain separate records detailing:
See the Leaves Management user guides located in the HR Business Center for more detail on required documents.
Confidential Disability Documentation
Departments are required to maintain separate records connected with an employee’s:
Access to these records should be strictly limited to those individuals with a legitimate business reason.
An employee or a person authorized by the employee may request to review his or her official personnel records upon presentation of proper identification. Requests must be made to OHR. Employees may obtain photocopies of any documents contained in their records for a copying fee and may submit written statements protesting and/or supplement data to information contained in their 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.
The following information contained in personnel records may be released without the staff member’s consent:
Information Considered to Be Public Record
The following information is a public record:
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:
Access to pertinent information regarding job-related information and employee conduct and work performance will be granted only to the following persons:
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:
Professional or personal reference requests are referred to individual departments (see SPP 1104, “Job References”).
The following information will be published in the ASU Directory:
See the following related policies:
See the Student Services Manual (SSM), SSM 304–14: “Student Employment Records,” for policy on maintaining student employment records.
See also the Academic Affairs Policies and Procedures Manual (ACD), ACD 405: “Individuals with Disabilities.”
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