Ariz. Admin. Code § 2-5A-105

Current through Register Vol. 30, No. 17, April 26, 2024

Section R2-5A-105 - Records

A. Definitions. For the purposes of this Section, "record" generally refers to a paper document; however, a document may be maintained electronically.

B. Application Materials.

1. An agency head shall maintain and keep confidential all resumés, applications, tests, test results, records, correspondence, and other documents used to seek state employment. The agency head shall not release any materials that the agency head determines would compromise the application process for future applicants and shall restrict the review of the applicant's application materials to:

a. The applicant,

b. An individual who has written authorization from the applicant,

c. State officials in the normal line of duty, or,

d. Officials acting in response to court orders or subpoenas.

2. The Director, or designee, shall ensure that when a person makes a public records request under A.R.S. Title 39, Chapter 1, Article 2 for applicant information:

a. Information shall only be provided if the position under recruitment is a high-level position and the public has a legitimate interest in the names of persons being seriously considered for the position, as determined by the Director; and

b. Only the names and resumés of the final candidates for the position as determined by the Director shall be released.

C. Official Personnel File.

1. An employee's official personnel file is the official record and documentation of the employee's employment.

2. An agency head shall, for each agency employee, maintain an official personnel file that contains:

a. A copy of the job application for the employee's current position;

b. A copy of all performance appraisals completed as required by Article 7;

c. Personnel action forms that authorize changes in employment status, position, classification, pay, or leave status;

d. Letters of commendation as established by agency policy; and

e. Correspondence consisting of:

i. Letters of reprimand, suspension, demotion or dismissal;

ii. Acknowledgments of receipt of letters of reprimand or other disciplinary communications; and

iii. Employee objections or responses to correspondence described in subsection (C)(2)(e)(i) that are not filed as complaints under Article 9 or grievances under Subchapter B, Article 4, if the objection or response is received within 30 calendar days of the date of the disciplinary action or letter of reprimand.

3. For the purpose of this subsection, an official is an individual who provides identification verifying that the individual is exercising powers and duties on behalf of the chief administrative head of a public body. An agency head shall limit access to an employee's official personnel file to:

a. The employee;

b. The employee's attorney or an individual who has written authorization from the employee to review the personnel file;

c. Agency personnel designated by the agency head as having a need for the information;

d. A Department official in the normal line of duty;

e. An official acting in response to a court order or subpoena;

f. An official of an agency to which the employee has applied; and

g. An official of an agency of the federal government, state government, or political subdivision, if the agency head of the employing agency deems access to the file to be appropriate.

4. When an employee moves from one state agency to another, the gaining agency shall request that the losing agency forward the employee's official personnel file to the gaining agency. The losing agency shall forward the file within 20 business days of the receipt of the request.

5. When a former employee returns to state employment within five years of the former employee's separation to an agency other than the agency in which the employee was last employed, the gaining agency shall request that the last agency forward the employee's official personnel file. The last agency shall forward the file within 20 business days of the receipt of the request.

D. Disclosure of information.

1. Definitions. For the purposes of this subsection:

a. "Disciplinary actions" means letters of reprimand, suspension, demotion or dismissal.

b. "Records that are reasonably necessary or appropriate to maintain an accurate knowledge of the employee's disciplinary actions" means the correspondence listed in subsection (D)(1)(a) and includes an official notice of charges of misconduct as applicable to covered employees, the final disciplinary letter, and any responses related to complaints, grievances or appeals upholding, amending, or overturning the discipline.

c. "Employee responses" means any written documents, submitted and signed by the employee, either:

i. In response to an official notice of charges of misconduct;

ii. As a formal complaint filed under the provisions of Article 9 or a formal grievance under Subchapter B, Article 4, of these rules pertaining to a specific disciplinary action; or

iii. As an objection to a specific disciplinary action and contained in the employee's official personnel file under subsection (C)(2)(e)(iii).

2. Personnel records are confidential and an agency head shall ensure that except as provided in subsection (C)(3), only the following information about a current or former employee is provided to any person making a public records request under A.R.S. Title 39, Chapter 1, Article 2.

a. Name of employee;

b. Date of employment;

c. Current and previous class titles and dates of appointment to the class;

d. Current and previous agencies to which the employee has been assigned and the location of the main office for each agency;

e. Current and previous salaries and dates of each change;

f. Name of employee's current or last known supervisor; and

g. Records that are reasonably necessary or appropriate to maintain an accurate knowledge of the employee's disciplinary actions, including the employee responses to all disciplinary actions, unless providing this information is contrary to law.

E. Insurance and medical records. An agency head:

1. May maintain group insurance enrollment forms in an employee's official personnel file for an employee hired prior to September 29, 2012.

2. Shall maintain in a separate file that is not part of the employee's official personnel file:

a. Medical records, and

b. Group insurance enrollment forms for an employee hired on or after September 29, 2012.

F. Employment eligibility records. An agency head shall retain I-9 forms and other documents required by law to prove employment eligibility in a separate file that is not part of the employee's official personnel file.

G. Employee access to files. An employee has the right to review only the employee's official personnel file.

H. Recordkeeping Requirements. An agency head shall ensure that agency recruitment and employee records are maintained in accordance with the General Records Retention Schedule for Human Resources/Personnel Records published by and on file with the Secretary of State, Arizona State Library, Archives and Public Records.

Ariz. Admin. Code § R2-5A-105

Section made by exempt rulemaking at 18 A.A.R. 2782, effective September 29, 2012 (Supp. 12-4).