1.0 Policy Purpose
This policy provides guidance to employees about their privileges and obligations with respect to their own employee files and guides the University regarding production and maintenance of employee files in the appropriate handling of those records.
2.0 To Whom the Policy Applies
This policy applies to all staff and student employees.
3.0 Policy Statement
3.1 Employee Files and Records
The University maintains personnel information for each employee to ensure a complete, accurate, and current record of documents related to the job and employment status of an employee. The employee file serves as the historical record of information pertaining to an employee from the date of hire to date of separation. University Human Resources holds all official Employment Files and records and employee files cannot be duplicated without express authority from University Human Resources.
All employee personnel records must be electronically maintained in Workday. Managers are not allowed to maintain shadow or duplicate personnel files.
Files or records specific to individual employees will be accessed only when needed for legitimate reasons related to an employee's job, performance, consideration for a transfer, promotion or job change, bonus, recognition or commemoration, or as needed to respond to a legal inquiry. All current employees have the right to view their Employment File at any time through Workday.
3.2 Employment Verifications
University Human Resources partners with The Work Number, the leading provider for secure, digital verifications, to manage employment and salary information required by lending companies. The Work Number provides instant and secure employment and income verifications 24 hours a day, 7 days a week.
Brown transmits to The Work Number data required to verify employment and income for employees of the University. As required by FERPA, student workers must submit an acknowledgment of consent before Brown will transmit employment and payroll data to The Work Number. Employees who wish to have Brown release information beyond that required for employment or income verification must submit a written request and release form to authorize the release of information to individuals outside of the University.
4.0 Definitions
For the purpose of this policy, the terms below have the following definitions:
- Employment File:
-
Employment Files are electronically maintained documents that cover the life cycle of a person’s employment at Brown. It includes, but is not limited to, information related to an application for employment (including, where applicable, resume, job description), offer letter, IRS tax documentation, performance appraisals or reviews, documentation of disciplinary action, if any, records of transfer, promotion or job change, compensation history and other similar information. An employee file may also include information related to an individual employee's benefits enrollment data, leaves of absence and related information. Employee files may also include information related to termination of employment, including the following documents, if applicable: resignation letter; termination notice; exit interview; and off-boarding checklist.
- Employee Record:
-
A document within an Employment File.
- FERPA:
-
The Family Educational Rights and Privacy Act of 1974 is a United States federal law that governs the access to educational information and records by public entities such as potential employers, publicly funded educational institutions, and foreign governments.
5.0 Responsibilities
All individuals to whom this policy applies are responsible for becoming familiar with and following this policy. University supervisors are responsible for promoting the understanding of this policy and for taking appropriate steps to help ensure compliance with it.
Employees: Employees are responsible for updating their employment record in Workday should their name, home address, citizenship, marital status, emergency contact, or other data change.
Students: Student employees must submit an acknowledgment of consent in order for their employment information to be released by the University to The Work Number.
Managers: Managers are required to send all original employee documents to UHR to ensure proper uploading into Workday.
University Human Resources (UHR): UHR will maintain official employee files and records in a manner that ensures confidentiality and will not permit individuals inside or outside of the University to view an employee's file unless a written release has been provided by the employee or such access is required by law or by the Office of the General Counsel.
UHR will ensure that any employee data electronically transmitted to our vendor for verification of employment purposes is transmitted using best practices for data security.
6.0 Consequences for Violating this Policy
Failure to comply with this and related policies is subject to disciplinary action, up to and including suspension without pay, or termination of employment or association with the University, in accordance with applicable (e.g., staff, faculty, student) disciplinary procedures or for non-employees may result in the suspension or revocation of the user’s relationship with Brown University.
7.0 Related Information
This policy is not a legal document. This policy does not confer a term of employment, nor is the language intended to establish a contract of employment, express or implied, between any employee and Brown University. The University reserves the right to change, amend or terminate any of its human resources policies at any time for any reason.
Brown University is a community in which employees are encouraged to share workplace concerns with University leadership. Additionally, Brown’s Anonymous Reporting Hotline allows anonymous and confidential reporting on matters of concern online or by phone (877-318-9184).
The following information complements and supplements this document. The information is intended to help explain this policy and is not an all-inclusive list of policies, procedures, laws and requirements.
7.1 Related Policies
7.2 Related Procedures
7.3 Related Forms
N/A
7.4 Frequently Asked Questions
University Human Resources partners with The Work Number to manage employment verifications and salary information required by lending companies. You can find information on The Work Number and employment verifications here.
Information such as pre-employment records and interview notes, references and background checks, whistleblower complaints, OIED/ER complaints and investigative notes, medical information and workers compensation claims are not included in an Employee Record.
Only you, your current supervisor and University Human Resources have access to your Employee Record in Workday.
7.5 Other Related Information
Policy Owner and Contact(s)
Policy Owner: Vice President of University Human Resources
Policy Approved by: Executive Vice President for Finance and Administration
Contact Information:
Policy History
Policy Issue Date:
Policy Effective Date:
Policy Update/Review Summary:
Formatted to comply with the new University Policy Template. Previous policy version superseded by this policy:
- Employee Files and Records, Employment Verifications (20.031), Revision Date: January 30, 2019