If you: 1. Right to notice related to correction, deletion, and limitation on processing In so far as it is practicable, the University will notify a Data Subject of any correction, deletion, and/or limitation on processing of their Personal Information. However, the employer does not necessarily have to comply with the request by deleting the data in its entirety. When employment is terminated, you should keep an accurate record of the reason for dismissal and this should mirror what the employee was told. The Chief Privacy Officer is the privacy official for Stanford University, and ensures that the requirements in these policies are maintained in accordance. This comprehensive regulation, effective May 25, 2018, applies to all members of the European Union and the European Economic Area, and is designed to strengthen and unify data protection law and practice across the EU. Documents. Individuals located in the European Economic Area only, whose Personal Data Stanford processes (“Data Subjects”), have the following rights with regard to their Personal Data: “Personal Information” is any information that we can reasonably use to identify you. Cookies, like other personal information, are subject to the GDPR’s standards of consent. Information concerning disciplinary and grievance issues is no different to other types of data that you may retain about your employees but you do need to give special consideration to how long you will retain the data and what you will use it for and ensure that it is destroyed in accordance with the schedule you have set. You must maintain records on several things such as processing purposes, data sharing and retention. Organisations must demonstrate that employees were: 1. informed of the purpose and use of their personal data, and 2. given a clear explanation of how it will be treated. The definition is remarkably broad under the GDPR: a breach occurs if personal data (any data relating to an identified or identifiable natural person) is destroyed, lost, altered or if there is unauthorised disclosure of (or access to) personal data as a result of a breach of security. Right to withdraw consent A Data Subject who has provided the University with consent to process their Personal Information has the right to withdraw any consent previously provided to the University at any time. The European Union’s General Data Protection Regulation (GDPR) provides greater data protection for individuals in the European Union (EU). What is absolutely critical is to ensure that you have a policy and implement it. Violations of this policy will be reported to the University Privacy Office. Personnel files and training records (including disciplinary records and working time records) 6 years after employment ceases: Redundancy details, calculations of payments, refunds, notification to the Secretary of State: 6 years from the date of redundancy: Senior executives' records (that is, those on a senior management team or their equivalents) Free to download and use. The Information Commissioner says that, under GDPR, organisations need to document retention schedules for the different categories of personal data. As we explained in week 6 the Information Commissioner says that, under GDPR, organisations (as data controllers) need to document retention schedules for the different categories of personal data. This policy applies to Stanford University Faculty, Staff and Students at all Departments and Schools. GDPR week 2 – Disciplinary and grievance records, Computer records depending on the allegations/complaint. K. Inferences drawn from other personal information (Version 1.0) May 25, 2018 reviewed by Office of the General Counsel, D. Approvals As with all employee data, security is of paramount importance. The Information Commissioner says that, under GDPR, organisations (as data controllers) need to document retention schedules for the different categories of personal data. This is known as the right to be forgotten. This includes information such as your date of birth and address, as well as information like exam results and grades, scholarship and funding information, admissions records, and disciplinary records. Information concerning disciplinary and grievance issues is no different to other types of data that you may retain about your employees but you do need to give special consideration to how long you will … A formal disciplinary investigation takes place and you interview and take statements from a number of Tian's colleagues. Article 5 of the GDPR requires that personal data shall be processed lawfully, fairly and in a transparent manner in relation to individuals. It offers two checklists: one giving statutory retention periods where these exist, and the other giving recommendations for keeping information such as application forms or parental leave details. Any person, Department or School at the University that receives a request from a Data Subject seeking to exercise their rights under GDPR should contact the University Privacy Office to assist in the review of and response to the Data Subject’s request. Reported violations will be investigated by the University Privacy Office in collaboration with appropriate departments, such as the Office of General Counsel, Global Business Services or the Information Security Office. Education records directly related to a student maintained by an educational institution or party acting on its behalf, such as grades, transcripts, class lists, student schedules, student identification codes, student financial information, or student disciplinary records. One of the key changes to the current data protection framework involves audio recordings; businesses will need to actively justify the capture of conversations and the processing of personal data. Redwood City, CA 94063 Should you require any guidance on this issue please contact Claire Hollins (email@example.com) or your usual Weightmans contact. B. Any information that relates to an identified or identifiable natural person is considered ‘personal data’. Right to object Where the University processes a Data Subject’s Personal Information based upon the lawful basis of legitimate interest, then the individual has the right to object to this processing. There were significant changes within GDPR which moved the emphasis away from the “best practice” approach of DPA 1988 to a “requirements” approach under GDPR. Education records directly related to a student, maintained by an educational institution or party acting on its behalf, such as grades, transcripts, class lists, student schedules, student identification codes, student financial information or student disciplinary records. To be GDPR compliant, you’ll need to get consent from applicants and make sure their information is up-to-date. Right to restrict processing of Personal Information At a Data Subject’srequest, the University will limit the processing of their Personal Information if: 5. 7. This total is, as a rule, only assessed by the authorities in exceptional cases. 7. 505 Broadway Review and Renewal Requirements If a Data Subject withdraws their consent, this will not affect the lawfulness of the University’s collecting, using and sharing of their Personal Information up to the point in time that consent was withdrawn. The claimants’ solicitors would then ask for a copy from the insurer/defendants’ solicitor. 8. Controllers and processors both have documentation obligations. Right to be forgotten At a Data Subject’s request, the University will delete their Personal Information promptly if: The University will inform any third parties with whom it might have shared the Data Subject’s Personal Information of the deletion request. Manage staff records easily with BrightHR. A. This factsheet introduces the legal position on the retention of HR records in the UK, including the Data Protection Act 2018 and the General Data Protection Regulation (GDPR). Grievances and Disciplinary processes will require communications between managers, HR, and witnesses. Keep records of data incidents and implement breach notifications/response plans. We know that many employers struggle with how long (if at all) to retain expired warnings on file. The Information Commissioner suggests that employers have a clear procedure for how expired disciplinary sanctions are dealt with. If a company does not maintain records of processing activities and/or does not provide a complete index to authorities, they are subject to fines according to Art. 10. It is often useful to retain details of expired warnings for a period of time as there are limited circumstances where a spent warning may be taken into account in future disciplinary matters. What is a personal data breach? the Data Subject disputes the accuracy of their Personal Information; the Data Subject’s Personal Information was processed unlawfully and they request a limitation on processing, rather than the deletion of their Personal Information; the University no longer needs to process the Data Subject’s Personal Information, but the individual requires their Personal Information in connection with a legal claim; or. On 23 May 2018 the General Data Protection Regulation (GDPR) was effectively integrated into the new Data Protection Act (DPA) 2018. Template to help employers keep a disciplinary record for an employee. Before the legislative changes of May 2018, claimants’ solicitors often advised their client to sign a consent to allow the insurer/defendants’ solicitors to obtain medical information (and incur the £50 fee, which went some way towards the costs of compliance). Depending on the reasons and legal bases for processing the data, the … Right of access Data Subjects may request details of their Personal Information that the University holds. 83(4)(a) of the GDPR. Rememb… When copy patient records are … Hold the employee's personnel file; then all of these documents and information may contain information that could be subject to a Subject Access Request (SAR). As with many data issues it is sensible to have appropriate limits upon who can access such information. Copyright 2020 NetlawMedia.com - Legal Media, Law Conferences & Events for Solicitors & Lawyers - CPD ACCREDITED EVENTS. The possible fines can be up to 10 million euros or 2% of their annual turnover. Employers must record the grounds on which they will be processi… However ideally your policies, privacy notice and letters should refer to warnings being spent but without detailing that the warnings will always disappear, which enables you to retain spent warnings in case they are relevant without breaching what you have said. Regulation 2016/679, April 27, 2016 (Effective May 25, 2018). All workforce members including employees, contracted staff, students and volunteers are responsible for ensuring that individuals comply with this policy. United States, Standard Operating Procedures for Sponsor Access to Epic, Documentation of Access Pursuant to SOP for Sponsor Access to Epic, Guidance on PHI/PII Records Retention and Storage, Request Electronic Access To Stanford Accounts. Right not to be subject to decisions based solely on automated processing Data Subjects will not be subject to decisions with a legal or similarly significant effect (including profiling) that are based solely on the automated processing of their Personal Information, unless the University has received explicit consent or where the automatic processing is necessary for a contract with the University. employment records (such as work history, working hours, training records, terms of employment or engagement, and performance, grievance, and disciplinary information); • closed-circuit television (CCTV) footage and other information obtained through electronic means; to comply with a University legal obligation; for the performance of a task in the public interest. The European Union’s General Data Protection Regulation (GDPR) provides greater data protection for individuals in the European Union (EU). On May 25th 2018, the General Data Protection Regulation (“GDPR”) will enter into force. Be aware that the GDPR requires employers to be transparent about their data retention policies and procedures. the Personal Information must be deleted for the University to comply with its legal obligations. This can be achieved by being open and honest with employees about the use of information about them and by following good data handling procedures. If you are located in the European Economic Area (EEA), Personal Information includes all Personal Data as defined under EEA laws. If your policies or letter confirming the warning say that spent warnings will be destroyed or removed from the personnel file it is important that you do so. Understand the importance of identifying the legal basis for retaining each category of personal data. Seamus: Absolutely not. Information concerning disciplinary and grievance issues is no different to other types of data that you may retain about your employees but you do need to give special consideration to how long you will retain the data and what you will use it for and ensure that it is destroyed in accordance with the schedule you have set. Contrasted with GDPR CCPA sets a crucial distinction between personal information and publicly available information obtained from government records. Under the General Data Protection Regulation (2016/679 EU) (GDPR), employees have the right in certain circumstances to request that their employer erase personal data it holds about them. Individuals who violate these requirements are subject to disciplinary action, up to and including termination, in compliance with the Administrative Guide and Fundamental Standard. The GDPR is not there to stop the efficient process of discipline and grievance procedures. Appeal paperwork, hearing notes and outcome. Several raise concerns about Tian's conduct, including John who tells you in confidence that he feels intimidated by Tian, and that Tian was aggressive towards him in the past when John asked him about his sales figures. The University may decline a Data Subject’s request for deletion if processing of their Personal Information is necessary: 4. Want to keep CVs on file for the future? While many companies have been working to ensure compliance with respect to their customer and vendor data, one extremely tricky area that must not be overlooked is the GDPR’s application to employee/HR information. the Data Subject objects to the processing pending verification as to whether an overriding legitimate ground for such processing exists. Right of correction The University will comply with a Data Subject’s request to edit and update incorrect Personal Information promptly and in most cases within 30 days from the receipt of the request for correction. #1, #14, #16 Under certain circumstances, the University may inform the requesting Data Subject that additional time is needed to fully comply with the request. That will most likely extend to driving licences, induction paperwork and PPE records. This may be relevant if the employee brings a claim or requests a reference in the future. Your privacy notice should set this out. A form to record disciplinary action. Workforce members who violate this policy may be subject to the appropriate disciplinary action up to and including termination. Stanford University Privacy Office, E. Applicability However, where GDPR goes beyond the DPA is in requiring HR departments to demonstrate, for each category of personal data, why it is being kept and the reasons behind the length of retention. Where, following an investigation, the employer concludes that no disciplinary action is necessary, … Data controllers and data processors are equally accountable for GDPR compliance, meaning that both parties could face disciplinary action in the event of a data breach. Employees’ silence or lack of complaint about the processing, consent incorporated as a standard employment contract term or in data protection policies does not meet the standard required. Legal Authority/References To follow our 12 steps for GDPR compliance, head to our GDPR info centre. 6. Such notification shall occur within 30 days of receipt of the request. As a minimum disciplinary and grievance records should be kept for at least 6 months following termination of employment to ensure that you have all the relevant paperwork in the event a claim is brought against the organisation. Under the GDPR, special categories of personal data are afforded an extra level of security and confidentiality. If you would like to know how your organisation can ensure privacy compliance at work, this fact sheet is for you. Documentation can help you comply with other aspects of the GDPR and improve your data governance. You probably don’t want dusty filing cabinets cluttering your workplace. In short, not much – GDPR largely mirrors the DPA in regards to record keeping. Employees must consent freely to specific use, purpose, or processing of data. A detailed records retention plan is a necessity under the laws and will be helpful in future litigation discovery. You may be required to make the records available to the ICO on request. NO. We know that the Information Commissioner is unimpressed by organisations that do not do what they say they are going to do. It is unlikely that there will be any malice or unfairness in the use of data for health and safety purposes; the re… Even if a Data Subject withdrawstheir consent, the University may still use the information that has been anonymized and does not personally identify the Data Subject. C. Review and Revision History If you have any questions Related to this policy, please contact the University Privacy Office by making a Service Request. However, without the financial ‘sense check’ of a standard fee, more requests are now being made directly by claimants/their solicitors. 3. The GDPR (General Data Protection Regulation) is concerned with respecting the rights of individuals when processing their personal information. Remember that within disciplinary and grievance matters there will be a wide range of data collected including: You must ensure that the data is only used for the purposes you have told the employees it is being processed for. University Privacy Office Once a disciplinary or grievance matter has been concluded it is important that the manager dealing with the issue returns or destroys their copy of the paperwork and a single central record is retained to avoid anyone being able to access it who has no legitimate reason to do so. Microsoft Word format. The GDPR prohibits the processing of “special categories” of Personal Data” unless certain exceptions apply, because this type of data could create more significant risks to a Data Subject’s fundamental rights and freedoms. Record of disciplinary action File employees-disciplinary-record.docx 16KB. 9. 2. The GDPR provides several rights to Data Subjects which are the subject of this policy. Requests will be responded to within 30 days of receipt. The University will confirm whether it is processing the individual’s Personal Information and will disclose supplementary information including the categories of Personal Information, the sources from which it originated, the purpose and legal basis for the processing, the expected retention period, and the safeguards regarding Personal Information transfers to non-EEA countries, subject to the limitations set out in applicable statutes, regulations and other laws. it is no longer necessary to retain the Personal Information; the Data Subject withdraws the consent which formed the basis of the Personal Information processing; the Data Subject objects to the processing of their Personal Information and there are no overriding legitimate grounds for such processing; the Personal Information was processed illegally; or. Therefore however long you decide to retain the records for, you need to ensure that destruction within that period is realistic for your organisation. Recording every incident which centres on the dissemination of employee or customer personal data will help inform new policies and procedures, while efficiently responding to data breaches reduces their impact and could avoid any consequences entirely. As we explained in week 6 the Information Commissioner says that, under GDPR, organisations (as data controllers) need to document retention schedules for the different categories of personal data. Have written witness statements about the employee; 3. Send emails which discuss the employee with other colleagues; 2. This GDPR policy will be reviewed and/or revised every three years or as required by change of law or practice. Right to data portability At a Data Subject’s request, the University will provide them a copy of their Personal Information in a structured, commonly used and machine-readable format, if: (i) the Data Subject provided the University with Personal Information; (ii) the processing of the Data Subject’s Personal Information is based on consent or required for the performance of a contract ; or, (iii) the processing is carried out by automated means. 6. However, there is certainly justification for retaining the records for longer given employees have up to 6 years to bring a breach of contract claim. This policy applies to permanent and temporary workforce members, including contractors and vendors. This is a common tactic employees can use to find out information that their managers or HR Dir… With the GDPR enforcement around the corner, businesses that market to or process the information of EU data subjects need to comply with the GDPR’s requirements or face the financial consequences. The GDPR, and the UK’s Data Protection Act 2018 (DPA), recognise that criminal records data has a special significance. 1. In general, when a check is performed, the principle of storage limitation (GDPR Article 5(1)(e)) should be strictly applied, i.e. Right to complain to a supervisory authority If a Data Subject is not satisfied with the University’s response, they have the right to complain to or seek advice from a supervisory authority and/or bring a claim against the University in any court of competent jurisdiction. The European Union (EU) General Data Protection Regulation (GDPR) comes into effect on May 25, 2018, so in less than 60 days. Six months on from the implementation of the GDPR and DPA 2018, the ICO has published limited guidance on the GDPR subject access right and is yet to update its Subject Access Code of Practice. 6th Floor | 6212 Be aware of additional requirements relating to the retention of special categories of data and criminal records data. In the event that correction is not possible or cannot occur within 30 days, the University will document its reasons, specify the time frame in which correction will occur (to the extent knowable), and respond to the requestor with this information within 30 days from the receipt of request for correction.