1.1.1 Central Office Personnel File and Institution/Work Unit Personnel File - Each of these files shall contain copies, or originals if specified, of the following documents, when applicable:

1.1.1.1 The job application for the employee's current permanent position. (The original applications shall be retained in the Central Office Personnel file).

1.1.1.2 All of the employee's performance appraisal reports, including reports contained in a file forwarded by an agency from which an employee transferred.

1.1.1.3 Personnel/Payroll Actions that have authorized changes in the employee's employment status, position, classification, pay, deductions or leave status, including W-4 forms.

1.1.1.4 Any letters of commendation or award, as determined by the Deputy Director, Assistant Director, Warden, Deputy Warden, Administrator or Bureau Administrator.

1.1.1.5 Letters of reprimand and any documents acknowledging receipt of disciplinary communications and any objections filed by the employee.

1.1.1.6 A copy of the COTA Graduation Certificate.

1.1.1.7 A signed, original Employee Handbook Receipt, Form 70203001.

1.1.1.8 If applicable, a Correctional Officer Handbook Receipt, Form 70203001A. (See Department Order #511, Employee Handbooks.)

1.1.1.9 The employee’s completed Higher Education Survey form.

1.1.2 Employee Performance Appraisal System (EPAS) Files - These files shall contain copies of the following documents that relate to the current rating period:

1.1.2.1 The EPAS Task Factor Analysis Form.

1.1.2.2 The EPAS Performance Documentation Forms.

1.1.2.3 Any documentation or communications that support favorable or unfavorable comments contained in the EPAS Performance Documentation Forms. The employee's response to comments, if any, shall also be included.

1.1.2.4 The most recently-issued EPAS Score Form.

1.1.2.5 The Individual Employee Training Plan, Form 70303001.

1.1.3 Executive Performance Appraisal Program (EPAP) Files - These files shall contain copies of the following documents that relate to the current rating period:

1.1.3.1 The Performance Achievement Form.

1.1.3.2 Goals, objectives and tasks that apply to the uncovered employee's duties.

1.2 Access to Files

1.2.1 Central Office Personnel Files - Personnel files for covered and uncovered employees are confidential and access is limited to the following circumstances:

1.2.1.1 Employees have access to their own personnel files, by appointment and in the presence of the Personnel Services Bureau Administrator or designee.

1.2.1.2 The following individuals have access to the personnel files only when required in the performance of official duties and when appropriate identification is provided:

1.2.1.2.1 The Director, Deputy Directors, Employee Relations Officer, Affirmative Action Officer, Employee Grievance Coordinator and the Department's representative to the Correctional Officer Retirement Plan (CORP) Local Board.

1.2.1.2.2 Assistant Directors.

1.2.1.2.3 The Administrative Investigations and Criminal Investigations Bureau Administrators.

1.2.1.2.4 Personnel Services Bureau employees and Personnel Liaisons in carrying out their job responsibilities.

1.2.1.2.5 The designee of one of the individuals listed in section 507.01, 1.2.1.2.1 through 1.2.1.2.3 provided that the authorization is in writing.

1.2.1.2.6 Assigned Department staff or other officials acting in response to court orders or subpoenas.

1.2.1.2.7 Any person assisting in the defense of a lawsuit involving the employee.

1.2.1.2.8 Officials (hiring authorities) of a State agency to which the employee has applied.

1.2.1.3 The following individuals may have access, but are restricted to those areas required to address a specific need and may review these files only in the presence of the Personnel Services Bureau Administrator or designee.

1.2.1.3.1 Investigators and other personnel assigned to the Administrative Investigations or Criminal Investigations Bureaus, regarding an authorized investigation. These individuals may make copies, for investigative purposes, of documents contained in the files.

1.2.1.3.2 Inspections Bureau staff, regarding authorized inspections that require access to personnel files.

1.2.1.3.3 First and second-level supervisors for records of employees under their supervision.

1.2.1.3.4 Potential supervisors of employees whose names appear on a hiring or transfer list.

1.2.1.3.5 Wardens, Deputy Wardens, Administrators and Bureau Administrators for records of employees under their supervision.

1.2.2 Institution/Work Unit Personnel Files

1.2.2.1 The following individuals have access:

1.2.2.1.1 The employee and/or the employee's first and second-level supervisors, by appointment and in the presence of the Personnel Liaison or the Bureau Administrator or designee.

1.2.2.1.2 The Director, Deputy Directors, Employee Relations Officer, Affirmative Action Officer and Employee Grievance Coordinator.

1.2.2.1.3 Assistant Directors.

1.2.2.1.4 The Administrative Investigations and Criminal Investigations Bureau Administrators.

1.2.2.1.5 Personnel Services Bureau employees, Personnel Liaisons, or Bureau Administrators in carrying out their job responsibilities.

1.2.2.1.6 Wardens, Deputy Wardens, Administrators or Bureau Administrators, for records of employees under their supervision.

1.2.2.2 The following individuals have access, but are restricted to those areas required to address a specific need and may review these files only in the presence of the Personnel Liaison, Deputy Director or the Assistant Director, Bureau Administrator or designee:

1.2.2.2.1 Potential supervisors from the Department or other State agency, for records of employees appearing on a hiring or transfer list.

1.2.2.2.2 The designees of individuals listed in section 507.01, 1.2.2.1.3 through 1.2.2.1.5.

1.2.2.2.3 Investigators and other personnel assigned to the Administrative Investigations or Criminal Investigations Bureaus, regarding an authorized investigation. These individuals may make copies, for investigative purposes, of documents contained in the files.

1.2.2.2.4 Inspections Bureau staff, regarding authorized inspections that require access to the files.

1.2.3 EPAS Files - The following individuals have access:

1.2.3.1 The employee, by appointment and in the presence of the supervisor.

1.2.3.2 The employee's supervisor and second-level supervisor (reviewer).

1.2.3.3 Potential supervisors from the Department or other State agency, for records of employees appearing on a hiring or transfer list.

1.2.3.4 Wardens, Deputy Wardens, Administrators and Bureau Administrators, or their designees, for records of employees under their supervision.

1.2.3.5 Assistant Directors or their designees.

1.2.3.6 The Director, Deputy Directors, Employee Relations Officer, Affirmative Action Officer and Employee Grievance Coordinator.

1.2.3.7 Investigators assigned to the Administrative and Criminal Investigations Bureaus, regarding an authorized investigation. These individuals may make copies, for investigative purposes, of documents contained in the files.

1.2.3.8 Inspections Bureau staff, regarding authorized inspections that require access to the files.

1.2.4 EPAP Files - Only the employee, the employee's immediate supervisor, the Deputy Director/Assistant Director for the area/division to which the employee is assigned, and the Director shall have access to the EPAP file.

1.3 Maintenance/Removal of Documents - The Personnel Services Bureau Administrator, Deputy Directors, Assistant Directors, Bureau Administrators or their designees, Personnel Liaisons and supervisors shall ensure that:

1.3.1 Authorized personnel files are current and accurate.

1.3.2 A document is not placed in an authorized personnel file unless a copy was forwarded to the employee or the employee's signature appears on the document, indicating placement in the employee's personnel file.

1.3.3 Authorized personnel files are not removed from their approved location without prior written authorization from the custodian of the files.

1.3.3.1 Employees shall not be authorized to remove their own files from their approved location under any circumstances.

1.3.4 Documents are not removed from an authorized personnel file, unless there is an obvious filing error.

1.3.5 Letters of reprimand are not removed unless the original letter sets an expiration date, after which it may be removed upon written request from the employee's supervisor, through the chain of command, to the Personnel Services Bureau Administrator. Direct requests from employees for removal of a written reprimand shall not be honored.

1.3.6 The following information is provided, when requested, to any person.

1.3.6.1 The employee's name.

1.3.6.2 Date(s) of employment.

1.3.6.3 Current and previous class titles and dates received.

1.3.6.4 Name and location of current and previous agencies to which the employee is or was assigned.

1.3.6.5 Current and previous salaries and dates of each change.

1.3.6.6 The name of the employee's current or last known supervisor.

1.4 Employee Separations or Transfers/Transfer of Files

1.4.1 When an employee is separated, dismissed or resigns, the entire institutional/work unit personnel file shall be forwarded to the Personnel Services Bureau. The institutional/work unit personnel file shall not be kept at the institution. The Personnel Services Bureau shall compare file contents and destroy the institutional file.

1.4.2 When an employee transfers within the Department, staff responsible for maintaining authorized personnel files shall ensure that:

1.4.2.1 The Central Office personnel file remains at the Central Office.

1.4.2.2 The institution/work unit personnel file is forwarded to the gaining institution within ten calendar days after the employee transfers.

1.4.2.3 The EPAS file is forwarded to the new rater in accordance with the procedures outlined in Department Order #514, Employee Performance Appraisal System (EPAS).

1.4.3 When an employee transfers to another State agency, staff responsible for maintaining authorized personnel files shall ensure that:

1.4.3.1 The institution/work unit personnel file is forwarded to the Personnel Services Bureau, for inclusion in the Central Office personnel file, within five calendar days after the employee transfers.

1.4.3.2 The Central Office personnel file is transferred to the gaining agency within ten calendar days after the employee transfers.

1.4.3.3 The EPAS file is forwarded to the new rater in accordance with the procedures outlined in Department Order #514, Employee Performance Appraisal System (EPAS).

1.1.1 Within five workdays after assignment to a position, and at any time when employee information changes, employees shall provide the information by completing the Employee Information form, Form 70501047.

1.1.2 Supervisors shall:

1.1.2.1 File a copy of the Employee Information form in the institution/bureau personnel file; and

1.1.2.2 Forward the original Employee Information form to the Personnel Services Bureau.

1.1.3 The Personnel Services Bureau Administrator/designee shall:

1.1.3.1 Enter the employee information into the Department of Administration's Human Resource Management System (HRMS).

1.1.3.2 Provide work telephone number information, as it changes, to the Telecommunication Section of the Administrative Services Division so that the Department's telephone directory may be updated.

1.1.3.3 File the Employee Information form in the employee's Central Office Personnel File.

1.2 Confidentiality; Contacting Employees Who Are Off-Duty

1.2.1 Employee information, other than work telephone numbers, is confidential. No employee shall divulge employee information, other than work telephone numbers, to:

1.2.1.1 Any employee outside of the employee's chain of command without the employee's express permission.

1.2.1.2 Persons not employed by the Department (except a peace officer conducting an investigation or in response to a court order), whether approved by the employee or not.

1.2.2 Only the following employees may have access to employee information and may contact an employee about official business when the employee is off-duty:

1.2.2.1 Supervisors in the employee's chain-of-command.

1.2.2.2 Employees assigned to the Director's Office.

1.2.2.3 Employees assigned to the Department Communications Center.

1.2.2.4 Employees assigned to the Personnel Services Bureau.

1.2.3 If an employee's phone number is unlisted, those without routine access to the file shall contact the employee only through the employee's supervisor.

1.2.4 Employees shall not allow inmates to access any personnel file or employee information.

1.2.5 Supervisors may provide employee information about themselves to subordinates.

1.3 Annual Verification - During the first quarter of each fiscal year, supervisors shall:

1.3.1 Ask employees to verify the accuracy of the employee information in their institution/bureau personnel file, including beneficiary information.

1.3.2 Require employees to revise and resubmit the Employee Information form if any of their employee information has changed.

1.1.1 The RUSH Administrator shall establish and maintain a RUSH File on each Correctional Officer applicant. The file shall include:

1.1.1.1 A copy of the Employment Application, State Personnel Form SF 500.

1.1.1.2 A copy of the applicant's birth certificate or naturalization certificate.

1.1.1.3 A copy of the applicant's high school diploma, GED certificate or other approved document verifying education.

1.1.2 When the Correctional Officer applicant is a reinstatement, the RUSH Administrator shall:

1.1.2.1 Obtain the applicant's hiring status from the Personnel Services Bureau, Central Office.

1.1.2.2 Contact the applicant's last supervisor or facility to verify that the applicant's previous job performance was satisfactory.

1.1.2.3 Determine whether the applicant is required to attend the Correctional Officer Training Academy (COTA).

1.1.3 The RUSH Administrator or Staff Development/Training Bureau Administrator, as appropriate, shall ensure that:

1.1.3.1 When a Correctional Officer applicant passes the written and oral tests but is not hired or when a cadet does not graduate from COTA, the RUSH File is forwarded to the Inspections and Investigations Division (I&I).

1.1.3.2 When a Correctional Officer applicant graduates from COTA, the RUSH File, along with a copy of the COTA graduation certificate, is forwarded to the I&I Division.

1.1.3.3 When a Correctional Officer applicant has been promoted, reinstated or transferred from another job classification, the RUSH File, along with a copy of the COTA graduation certificate, is forwarded to the I&I Division.

1.2 Occupational Health Unit (OHU) Files - Medical/physical examination reports and results of psychological examinations shall be maintained by the OHU.

1.3 The I&I Background Investigation File

1.3.1 The I&I Division shall maintain a Background Investigation file on each Correctional Officer applicant. The file shall include, but shall not be limited to:

1.3.1.1 A Background Questionnaire Form 30400030 completed by the applicant.

1.3.1.2 A completed fingerprint card.

1.3.1.3 The results of the Arizona Crime Information Center/National Crime Information Center (ACIC/NCIC) check.

1.3.1.4 The results of the drivers license check.

1.3.1.5 The results of the background check of previous employers.

1.3.1.6 A completed Background Investigation Summary.

1.3.1.7 The RUSH File, upon the Correctional Officer applicant's graduation from COTA or termination prior to graduating.

1.3.2 The Assistant Director for I&I shall ensure that the RUSH File and Background Investigation File are retained for a period of three years:

1.3.2.1 For applicants who are not employed by the Department and cadets who do not graduate from COTA.

1.3.2.2 From the date of termination for Correctional Officers hired by the Department.

1.3.3 Applicants, cadets and unauthorized employees shall not have access to the RUSH File or the I & I Background Investigation File.

1.3.3.1 Questions regarding access to these files shall be forwarded to the Attorney General Liaison.

FORMS LIST

70501047, Employee Information

COMMENDATION - Recognition that is presented to an employee for an achievement beyond what is expected or required of the job.

COVERED EMPLOYEE - A Department employee who is covered by the Department of Administration Personnel Rules.

CORRECTIONAL OFFICER APPLICANT - Any individual who applies for a position as a Correctional Officer. This shall include new hires, promotionals, reinstatements or transfers from other job classifications.

EMPLOYEE INFORMATION - Information that is required to fully complete the Employee Information form, Form 70501047, i.e., whether the information is for a new employee or an employee who may be contacted on an employee's behalf; the effective date of the information; whether the information is a change of name, address or telephone number; the date of the application; the employee's badge number, if applicable; the employee's social security number; the employee's date of birth; the employee's home address; the employee's mailing address; the employee's telephone numbers at home and at work; the facility/division to which the employee is assigned; alternate persons to notify in case of emergency, including their telephone numbers and places of employment; and the employee's ethnic code, handicap code and veteran code.

EMPLOYEE PERFORMANCE APPRAISAL SYSTEM (EPAS) FILE - A covered employee's performance record, maintained in a secure location at the supervisor's office or work area by the employee's supervisor. The EPAS File shall consist of all performance-related documents, as specified in Department Order #514, Employee Performance Appraisal System (EPAS).

EXECUTIVE PERFORMANCE APPRAISAL PROGRAM (EPAP) FILE - An uncovered employee's performance record, maintained in a secure location at the supervisor's office. The EPAP File consists of goals, objectives and tasks relevant to the employee's duties and the Performance Achievement form.

INSPECTIONS AND INVESTIGATIONS BACKGROUND INVESTIGATION FILE - A file compiled by I&I that contains, but is not limited, to original documentation obtained in the verification process of an applicant's background.

I&I BACKGROUND INVESTIGATION SUMMARY - A checklist summarizing the results of I&I's background investigation and indicating whether the applicant is accepted or disqualified.

INSTITUTION/WORK UNIT PERSONNEL FILE - A personnel record for each person employed at an institution or work unit, maintained in a secure area by the institution's Personnel Liaison or by an Assistant Director or Bureau Administrator.

PERSONNEL OFFICE - The Personnel Liaison's office at an institution; and the Personnel Services Bureau at the Central Office.

RECRUITMENT UNIT FOR SELECTION AND HIRING FILE - An applicant file containing documentation verifying AZ POST preemployment standards. The RUSH File shall be incorporated into the I&I Background Investigation File when the Correctional Officer applicant either graduates from COTA or is terminated prior to graduating.

UNCOVERED EMPLOYEE - A Department employee who is not covered by the Department of Administration Personnel Rules.

A.R.S. 41-1663, POST Correctional Officer Training Standards

20CFR 404.1256, Payroll Deduction Authorization

A.A.C. R2-5-105, Personnel Records

SUPERSEDES

Department Order 507, Employee Records, supersedes the following:

DMO 92-02 Personnel Files (02/10/92)

IMP 202.21 Employee Home Address and Telephone Number Records (07/16/93)

IMP 202.28 CSO Applicant Records Required by ALEOAC (03/21/88)