3.8 Employment Records
3.8.1 Privacy Protection Study Commission
The following policies and procedures reflect the College's high regard
for the confidentiality of employee data. These policies and procedures
are based on the recommendations of the Privacy Protection Study Commission
established under the Privacy Act of 1974 to study the creation, maintenance,
use, and disclosure of employment records. The government seeks voluntary
compliance with the Commission's recommendations regarding employment
records and will resort to legislation only if employers ignore them.
Employment records, to the extent they are educational records, are entitled
to the protections afforded under the Buckley Amendment.
3.8.2 Limits on Collection of Personal Data
The record-keeping systems will contain only personally identifiable
employee information that is relevant and necessary to the proper administration
of the College or that is required by laws or regulations. The official
personnel file maintained by the Office of Human Resources is reviewed
periodically to delete any information about an employee that need not
be maintained for business purposes.
3.8.3 Employee Records
With reasonable notice, an employee will be shown the employee's official
personnel file. Pre-employment references are confidential and the employee
may not see them.
Official Personnel File
The Office of Human Resources keeps the official personnel file for each
employee. For staff and administrators, a supervisor should provide the
Office of Human Resources with copies of documents used in making employment
decisions (such as promotions, demotions, and dismissals) to be made part
of the official file. The file includes such items as, employment application,
resume, offer letter, reports of any disciplinary actions, certificates
of training/staff development, letters of reference, performance reviews,
and employee data verification forms.
Computerized information on the Oracle Human Resource Management Information
System database is part of an employee's official file.
Medical Files
A faculty or staff member who is the subject of a medical or insurance
record maintained by the College's director of benefits is allowed to
have access to that information either directly or through a licensed
medical professional designated by the individual.
Any individually identifiable medical record generated by the College's
group medical insurance plan is maintained separately from any employment-related
record and is handled in accordance with confidentiality protections of
federal and state law. Employees submit medical claims directly to the
insurance company. Records pertaining to work-related insurance for employees,
such as workers' compensation, long-term disability, and New York State
disability, are available only to authorized personnel on a need-to-know
basis.
3.8.4 Access to the Official Personnel File
Access to the official personnel file is limited to the staff of the
Office of Human Resources and deans, directors, and other supervisory
personnel on a need-to-know basis. Supervisors have access to the files
for their employees.
An employee may review the employee's official personnel file in the
Office of Human Resources in the presence of the director of human resources
or designee at a mutually convenient time. The exception to this open
file policy is that access is not given to pre-employment information
that was obtained on a confidential basis.
A terminated employee generally is not given access to the terminated
employee's official personnel file.
3.8.5 Accuracy and Correction of Information in
Employee Records
Department heads and other supervisors are responsible for accurately
recording and submitting information on employees in their department
or school. Employees should be instructed to use Parnassus Employee Self-Service
(ESS) to change data such as name, address, etc. The employee should use
ESS and/or consult with the Office of Human Resources directly with all
other changes in personal data that may affect benefits or payroll deductions
(number of dependents, additional training acquired, degrees awarded,
or marital status).
Whereas supervisors and employees are requested to submit changes at
the time they occur, periodically each employee is sent an employee data
verification (EDV) form to confirm the accuracy of the key data fields
on the Human Resource Management Information System.
The College will permit an employee, former employee, or applicant to
request correction or amendment of any record and will respond to such
request, as follows:
- within a reasonable period of time correct, amend or supplement any
portion that the individual reasonably believes is not accurate, timely,
or complete; and
- furnish the correction or amendment to any person or organization
specifically designated by the individual who may have within two years
prior received such information; or
- inform the individual of its refusal to correct or amend the record
in accordance with the individual's request and of the reason(s) for
the refusal; and
- permit an individual who disagrees with the refusal to correct
or amend the record to have placed on or with the record a concise
statement setting forth the reason(s) for the individual's disagreement;
- in any subsequent disclosure outside the employing organization
of information about which the individual has filed a statement of
dispute, clearly note any portion of the record that is disputed and
provide a copy of the statement along with information being disclosed;
and
- furnish the statement to any person or organization specifically
designated by the individual who may have, within two years prior,
received any such information.
3.8.6 Copying of Records
Employees are entitled to request a copy of materials contained in the
official personnel file (except pre-employment information obtained on
a confidential basis) at reasonable intervals. A charge may be made to
cover the costs for such copying.
3.8.7 Confidentiality of Employee Records
Only authorized personnel may use employee records. Each department head
is responsible for protecting access to and confidentiality of records
(e.g., accrual reports, TRFs, etc.) used by the department. All employee
documents should be stored in locked file cabinets. The directors of departments
that need access to employee records or system-generated reports or data
files for institutional purposes are responsible for developing appropriate
procedures to protect confidentiality (e.g. budget, finance and administration,
institutional research, and information technology).
3.8.8 Disclosure of Employee Records
3.8.8.1 Internal Disclosure of Employee Records
Access to employee information will be limited to those persons having
a legitimate need to review the files. A hiring supervisor will be given
access to performance-related information on employees applying for an
internal job change. Otherwise, when someone not in a direct supervisory
line wishes to review an employee's official personnel file, a formal
request stating the reason must be made to the director of human resources.
The official personnel files may not be taken from the Office of Human
Resources.
3.8.8.2 External Disclosure of Employee Records
The College accepts the duty of confidentiality to any individual employee,
former employee, or applicant about whom it collects information and will
not disclose, or be required to disclose, in individually identifiable
form, any information without explicit authorization from such individual.
Disclosure of employee records may be made to certain sources under the
conditions indicated below. The College, may, in its sole discretion,
provide information in addition to that set forth in this section pursuant
to written information requests or legal process where appropriate.
If an employee gives authorization, other information may be released
by the Office of Human Resources. For example, salary information may
be given by staff from the Office of Human Resources for credit purposes.
Other than directory information, release by telephone is given only if
the request is from an organization with which the College has established
a code or other means to verify the caller.
Because of the potential for legal liability to the College and the individual
supervisor or academic administrator, oral or written employment references
or verifications should not be provided. All requests for references should
be directly referred to the Office of Human Resources.
The Office of Human Resources will provide references in accordance with
the procedures set forth in the ICPM. Should the staff in the Office
of Human Resources need information in order to satisfy a reference request,
they will obtain that information directly from supervisors.
If a written request is received, supervisors are advised to draft answers
on a copy of the form and send it directly to the Office of Human Resources
with the original of the form. The Office of Human Resources frequently
works with the department to assist in completing the forms they receive
from prospective employers.
Disclosure to anyone requesting the College provide or verify information
designated by the College is limited to directory information. Information
should not be released by departments without consultation with the Office
of Human Resources. Such information shall not include more than:
- the fact of present employment;
- dates of employment;
- title of position;
- department;
- home address and telephone (unless the employee has requested that
this information not be published in the College directory).
3.8.8.3 Bearer References
The College requests that supervisors obtain prior approval from the
Office of Human Resources before providing a bearer reference. |
