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RMP-9, Guidelines for Access to University Personnel Records by Governmental Agencies CorrespondenceJuly 1, 1987
The University guidelines on access to University personnel records by
various governmental agencies are set forth in the following pages.
RMP-9 Guidelines
These guidelines are used to respond to, requests for academic personnel
records from government agencies.
The only person authorized to respond to such requests is the Asst.
VC-Academic Personnel; therefore, these guidelines are not published in
any campus publication. The Affirmative Action Officer, the Personnel
Manager, and the Academic Personnel Office manager are familiar with
these guidelines.
All subpoenas for academic personnel records are processed by Bus. &
Contract Services through the Academic Personnel Office/Asst. Vice
Chancellor-Academic Personnel.
DAVID PIERPONT GARDNER
OFFICE OF THE PRESIDENT
300 Lakeside Drive
Oakland, California 94612-3550
415 987-9074
June 26, 1990
CHANCELLORS
LABORATORY DIRECTORS
MEMBERS, PRESIDENT'S CABINET
Dear Colleagues:
The U.S. Supreme Court decision in University of Pennsylvania v. EEOC
has required the University of California to reassess current practices
on the treatment of confidential academic review records, especially in
regard to requests for confidential academic review records by
governmental agencies. Since the U.S. Supreme Court decision, the Equal
Employment Opportunity Commission (EEOC) and the Department of Fair
Employment and Housing (DFEH) have requested from the University
extensive confidential academic review records.
After the decision in the University of Pennsylvania case, the office of
the President has worked with the Council of Chancellors and the
Academic Senate to determine how to respond appropriately to requests by
governmental agencies and plaintiffs for academic review records, while
preserving to the University those options and current policy and
practice which do not contravene the law. Confidentiality is integral to
an effective academic peer review system, and the University must place
its policy and practices in a defensible position. As a result of this
reassessment, I have concluded that the University should revise current
practices on the treatment of confidential academic review records as
specified in the Guidelines for Access to University Personnel Records
by Governmental Agencies, issued by Senior Vice Presidents Frazer and
Brady on January 5, 1987, and included in Business and Finance Bulletin
RMP-9. Therefore, the following procedure modifies the January 5, 1987,
Guidelines and is effective immediately.
When the University is requested to release copies of confidential
academic review records to a State or Federal agency (other than the
U.S. Department of Labor) investigating a charge of discrimination,
the University shall release to the government agency copies of relevant
requested confidential academic review records in redacted form. Redactions
shall consist of deleting from copies of the confidential academic review
records information that would identify persons in their role as evaluators
or as members of a confidential review committee. No new documents are to
be created.
There are two records agreements referenced in the Guidelines and in
Business and Finance Bulletin RMP-9. The agreement between the
University and the DFEH has been terminated by the DFEH; the agreement
with the U.S. Department of Labor is current.
Appropriate revisions to the Guidelines for Access to University
Personnel Records by Governmental Agencies and the Business and Finance
Bulletin RMP-9 will be made and forwarded to you under separate cover in
the near future.
If you have any questions or wish to discuss this matter further, please
get in touch with Senior Vice President Frazer.
Sincerely,
David Pierpont Gardner
cc: Academic Council Chair Spiess
Academic Vice Chancellors
Administrative Vice Chancellors
Associate Vice President Moore
Assistant Vice President Levin
University Controller Pastrone
Director Rogin
Director Switkes
Coordinator Crooks
General Counsel Holst
University Counsel Spiekerman
Information Practices Coordinators
DAVID PIERPONT GARDNER
OFFICE OF THE PRESIDENT
BERKELEY, CALIFORNIA 94720
RONALD W. BRADY
Senior Vice President- Administration
January 5, 1987
CHANCELLORS
LABORATORY DIRECTORS
VICE PRESIDENT-AGRICULTURE AND NATURAL RESOURCES
Dear Colleagues:
On June 26, 1981, the Vice President-Academic and Staff Personnel
Relations issued guidelines to be followed when responding to requests
from various governmental agencies for confidential information in
academic and staff personnel files. These guidelines were limited to
records requests related to investigations of complaints of
discrimination or to compliance reviews. Included in the guidelines were
specific instructions on access to certain staff and academic records by
the U.S. Department of Labor (DOL) as required by the terms of a legal
agreement between DOL and the University.
In August, 1984, after consultation throughout the University, another
specialized records agreement was signed by the University and the State
of California Department of Fair Employment and Housing (DFEH). This
legal agreement relates to academic personnel records, including peer
review records, and applies to the entire University.
The 1981 guidelines have now been revised so that they (1) reflect the
DFEH agreement, and (2) clarify in one document the existing legal and
University requirements which apply to access by governmental agencies
to personnel records for any purpose, rather than only to those relating
to complaints of discrimination or to compliance reviews. These revised
guidelines, which are attached, supersede the June 26, 1981 guidelines.
It is the responsibility of the Chancellor or Laboratory Director, and
the Senior Vice President-Academic Affairs, the Senior Vice President-
Administration or the Vice President-Agriculture and Natural Resources
in the Office of the President, to implement these guidelines, and to
ensure that all Administrative Officers, Deans, Directors, and
Department Chairs are fully informed on the major issues involved and
the importance of careful, precise implementation, particularly in the area
of academic peer review records. These guidelines are to be used throughout
the University as the basic implementation document.
William R. Frazer Ronald W. Brady
Senior Vice President Senior Vice President-
Academic Affairs Administration
Attachment
cc: President Gardner Chair,
Academic Council Members,
President's Cabinet
Academic Vice Chancellors
Administrative Vice Chancellors
General Counsel Holst
University Counsel Spiekerman
Associate Vice President Catalano
Associate Vice President Moore
Associate Vice President Pastrone
Director Rogin
Coordinator Crooks
Information Practices Coordinators
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