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200.160 - Academic Personnel Records

UCSC:APO:CAPM 7/94

A. TYPES OF INFORMATION MAINTAINED

  • 1. Confidential material in academic review files. This includes:
    • a. A letter of evaluation or other statement pertaining to an individual received by the University with the understanding that the identity of the author of the letter or statement will be held in confidence to the extent permissible by law.
    • b. A letter from the chairperson (or equivalent officer) setting forth a personal recommendation in connection with an academic personnel action concerning the individual, such as appointment, promotion, merit increase, appraisal, reappointment, nonreappointment, or terminal appointment.
    • c. Reports, recommendations, and other related documents from campus and departmental AD HOC committees concerning evaluations of the individual under applicable University criteria in connection with an academic personnel action, such as appointment, promotion, merit increase, appraisal, reappointment, nonreappointment, or terminal appointment.
    • d. Information placed in the review file by a department chair that provides reference to the scholarly credentials of individuals who have submitted letters of evaluation or their relationship to the candidate.
  • 2. "Nonconfidential academic review records" are:
    • a. A letter from the chairperson (or equivalent officer) setting forth a departmental recommendation in connection with an academic personnel action concerning the individual, such as appointment, promotion, merit increase, appraisal, reappointment, nonreappointment, or terminal appointment.
    • b. Reports, recommendations, and other related documents from administrative officers and standing personnel committees concerning evaluations of the individual under applicable University criteria in connection with an academic personnel action, such as appointment, promotion, merit increase, appraisal, reappointment, nonreappointment, or terminal appointment.
  • 3. "Confidential information," although generally not a part of an academic review file, is occasionally maintained by the university, and includes, but is not limited by law to, medical, psychological, or health care information about an individual.
  • 4. Non-personal academic personnel information is limited to that information which could not, in any reasonable way, reflect or convey anything detrimental to an individual's rights, benefits, or privileges, such as:
    • a. individual's name
    • b. date of hire or separation
    • c. current position title
    • d. current pay rate
    • e. organizational unit assignment including office address and telephone number
    • f. full-time, part-time, or other employment status
    • g. current job description
    • h. prior non-University employment
    • i. certain other employment information required to be released to the public as determined on a case-by-case basis by the General Counsel and the Senior Vice President--Academic Affairs
  • 5. Personal information is any information that identifies or describes an individual that is not defined as confidential, academic confidential, or non-personal, and the disclosure of which would constitute an unwarranted invasion of personal privacy of the individual. Some examples of the most common types of personal information are:
    • a. birthdate
    • b. citizenship
    • c. social security number
    • d. home address and home telephone number
    • e. income tax withholding
    • f. performance reviews or letters about performance
    • g. spouse's or other relatives' names

B. ACCESS BY THE INDIVIDUAL TO CONFIDENTIAL MATERIAL

  • 1. Confidential records are available from the executive vice chancellor or divisional dean, depending on who the decision maker was for the personnel action in question.
  • 2. Records established prior to September 1, 1992, will be provided in summary form as will confidential review letters that were solicited or written prior to that date. Records provided in summary form shall not disclose the identities of the sources of these confidential documents, and shall not identify separately the evaluations and recommendations in an academic personnel action by the chairperson of the department (i.e. the chairperson's individual recommendation as distinguished from the department recommendation), the dean, AD HOC review committee, or Committee on Academic Personnel. A written draft of the summary shall be submitted to the Committee on Academic Personnel for review and comment.
  • 3. Confidential records established subsequent to September 1, 1992, will be provided in redacted form, as follows:
    • a. For a letter of evaluation or statement from an individual evaluator, redaction shall consist of removal of the name, title, organizational/ institutional affiliation, and relational information contained below the signature block of the letter of evaluation.
    • b. For reports or recommendations of an ad hoc committee, redaction shall consist of the removal of the names of individual members of the committee.
    • c. For information that references the scholarly credentials or relationship to the candidate of the authors of letters of evaluation, no access shall be provided to the individual.
  • 4. In an ongoing personnel action, access by the individual undergoing review to any letter of evaluation or report submitted by an individual, administrator, or committee shall be governed by APM 220-80d, -e, -h, and -i.

C. ACCESS BY THIRD PARTIES TO CONFIDENTIAL AND PERSONAL RECORDS

  1. Access by university officers and employees to academic confidential or personal records shall be strictly limited to those officers and employees who need such access in the performance of their officially assigned duties, provided that such access is related to the purpose for which the information was acquired.

  2. The Committee on Privilege and Tenure may request access to academic personnel records, including confidential and personal documents, to the extent necessary to permit thorough consideration of cases brought before it. The committee contacts the Academic Personnel Office to obtain access to personnel records. (refer to APM 160-20-d.)

  3. Government and state agencies shall have access when required by State or Federal law. Contact the Academic Personnel Office before allowing any government or state agency access to records.

  4. Members of the public and non-governmental entities shall not have access to confidential or personal information except as required by law.

  5. Non-personal information is public information and is available upon request to any person or entity.

D. OPPORTUNITY TO REQUEST CORRECTION OR DELETION OF ACADEMIC PERSONNEL RECORDS AND TO MAKE ADDITIONS TO SUCH RECORDS

  1. Refer to APM 160-30 for information on corrections or deletions.