RubinBrown Team Member Manual

Section: Employment Records & References 213

Policy Title: Policy Number:

Employment

Effective Date:

Supersedes Policy Dated:

06/01/2024

06/01/2023

Background: RubinBrown maintains an effective system for keeping records on job applicants, current and former team members. RubinBrown will use reasonable efforts to protect the privacy of all its employees in accordance with Firm policy. RubinBrown will maintain employment records which are necessary and relevant to a team member’s employment with the Firm. The Firm is committed to utilizing employment records in a fair, consistent and appropriate manner. All employment records are confidential and considered Firm property. Employment records, or information contained in the record, may be verified or released only with the team member’s (or former team member's) written consent. Policy: RubinBrown will request, use, and retain only personal information about team members required for business or legal reasons. RubinBrown maintains an employment file on each team member containing only appropriate information including, but not limited to, the following: • Information pertaining to the application for employment • Copies of pertinent documents such as military discharge papers • Letters of recommendation or other indications or records of performance • Notices of suspension or other disciplinary records • Personal status changes • Job classification, title, compensation records Career Advocate(s), Department Leaders or Service Unit Leaders may maintain separate team member files for attendance records, copies of performance evaluation, notes, memos, or documents relating to team member performance. Upon separation from the Firm, the Career Advocate(s), Department Leader, or Service Unit Leader should forward their notes or file(s) to Human Resources for inclusion in the employment record. Procedure: All information contained in a team member’s employment record is strictly confidential and will be disclosed within the Firm only to officials of RubinBrown with a legitimate business “need to know” as determined by Human Resources. Employment records are maintained electronically and are only accessible by a limited number of team members in the Human Resources Department and Financial Management Department. In order to keep employment records up-to-date, team members are required to notify Human Resources of any changes in personal status (e.g. name, address, telephone number, marital status, dependent status, beneficiary designations, emergency notification, direct deposit account numbers, etc). Failure of prompt notification releases RubinBrown of any obligation to act on information not contained in such files, regardless of whether or not the Career Advocate(s), Department Leader, Service Unit Leader or other employees actually know or knew of such information. All external requests for information (i.e. correspondence or telephone inquiries) concerning job applicants and current, retired, terminated, or deceased employees must be referred to Human Resources. Only the Human Resources Department is authorized to release such information. Human Resources verifies only employment status, salary, date of hire and job title in response to requests for reference checks and credit inquiries. Information pertaining to job performance, eligibility for rehire, or reason for termination is not verified or released. The only exception to this practice is if the reason for termination was due to gross misconduct, upon advice of the Firm’s attorney, or if required by a government agency. Unauthorized disclosure of employment information by any team member of RubinBrown to anyone, including the affected team member, may result in disciplinary action up to and including termination.

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