In accordance with University policy, the Laboratory establishes and maintains only those personnel records pertaining to individuals as employees of the Laboratory or as applicants for employment that are relevant and necessary to the administration of personnel programs. These records must be maintained with accuracy, relevance, timeliness, and completeness; appropriate and reasonable safeguards must be established to ensure security and confidentiality. Employees have the right to privacy, the right of access to their own records, and the right to request changes, additions, or deletions to such records.
The Laboratory Director will establish implementing procedures to ensure compliance with this policy. For detailed legal requirements covering all University records, see University of California Legal Requirements on Privacy of and Access to Information, Business and Finance Bulletin RMP-8 (Records Management Program series).
Individual personnel records may include the following information:
All information in personnel records will be collected, to the greatest extent practical, from the individual who is the subject of the information. If the source of the information is not the subject individual, a record of the source will be indicated on the pertinent record. As determined pertinent by the Head of the Human Resources Department, an individual may add material to his or her personnel records. The individual may file a statement of disagreement with a determination of pertinency by the Head of the Human Resources Department, as indicated in Paragraph (D)(1)(d), below. Personnel records are maintained in the Laboratory Human Resources Department and other offices designated by the Laboratory Director.
An individual's department or division records will be transferred to the department or division to which an individual transfers, except that departmental/divisional records of attendance and time worked will be retained in the department/division where the work was performed. Performance evaluations and records of corrective action will be maintained in an individual's department or division personnel file.
Information in staff personnel records is classified into the following categories:
An employee's department or division records will be transferred to the Human Resources Department one year after the employee's termination. The Human Resources Department will review and file all necessary documents in the official personnel file.
An individual will have the right to inquire and be informed about whether the Laboratory maintains a record on him or her and to review the notices of personnel records systems referring to him or her that are submitted to the State Office of Information Practices. To protect an individual's right to privacy, access to staff personnel records will be made in accordance with the following provisions:
An individual may request correction or deletion of a record under this policy by submitting a written request to the division director or department head where the record originated and by sending a copy of the request to the Human Resources Department. Within 30 calendar days of receipt of a written request to amend a record, the division director or department head either will make the amendment as requested and so inform the individual in writing or will inform the individual of a refusal to amend the record as requested. The refusal must be in writing and state the reason for the refusal and that the individual may request the Laboratory Director to review the refusal.
Within 30 calendar days after the response of the division director or department head, the individual may request that the Laboratory Director review a refusal to correct or delete a record. The Laboratory Director must respond in writing to the individual within 30 calendar days from receipt of the request. For good cause, the Laboratory Director may extend the review period by 30 calendar days. A copy of the Laboratory Director's response will be placed in the individual's record only if the request is denied. If the Laboratory Director refuses to amend or delete the record, the individual will have the right to enter into the record a statement setting forth the reasons for the individual's disagreement.
University or Laboratory employees will have access to specific information in an individual's personnel record that is necessary to the performance of their assigned duties. Subject to authorization by the Head of the Human Resources Department or by the employee, hearing officers and committees will have access to employee personnel records when necessary in the resolution of employee complaints, as provided in RPM §2.05(D) (Employee Complaint Resolution). However, information that is excepted from disclosure to the individual under Paragraph (D)(1), above, may not be disclosed. Any information so obtained will be treated as confidential and not be released to any other person except as necessary in the performance of the assigned University or Laboratory duties requiring the original access.
As required by law, the following employment information will be released to members of the public on request: the individual's name, date of hire, current position title, current rate of pay, organizational unit assignment, date of separation, office address and office telephone number, current job description, full-time or part-time, and career, casual, casual-restricted, probationary, or contract status. If it is impractical to inspect or copy the record, an extract of the record of the above terms of an individual's employment relationship with the Laboratory may be provided. Additional employment information may be required to be released to the public as determined by the University General Counsel and the Senior Vice President, Administration (see RMP-8, VII.B.3).
Personnel record information that would constitute an unwarranted invasion of personal privacy of the employee may not be released to the public unless specifically authorized by the individual in writing or as otherwise required by law. Release of the following personnel information would constitute an invasion of the individual's personal privacy and accordingly may not be released to the public unless specifically authorized by the individual concerned in writing: the employee's home telephone number and home address, spouse's or other relatives' names, birthdate, social security number, citizenship, prior non-University employment, attendance records, income-tax withholding, medical records, or information such as performance evaluation, letters of commendation, or corrective action and any of the information that may be excepted from disclosure under Paragraphs (D)(1)(a) or (b), above. An individual's home address may be disclosed after the individual has had the opportunity to request nondisclosure and does not request it.
Other personnel record information may be released to members of the public as long as a determination is made that disclosure would not constitute an unwarranted invasion of personal privacy of an employee. Any question on whether release of such information might constitute an invasion of personal privacy will be referred to the University Assistant Vice President, Employee Relations.
Personnel information must be released under a subpoena or in other circumstances in which the University or Laboratory is required by law to release the information. Any questions concerning release of information under such circumstances or concerning records that may be subject to legal privilege will be directed to the University of California Office of General Counsel. A record of disclosure is required (see Paragraph (E), below).
Release of information to public authorities must be in conformance with Paragraph (D)(3), above, and with Guidelines for Access to University Personnel Records by Governmental Agencies, Business and Finance Bulletin RMP-9.
On written or oral authorization (with adequate identification) by the individual, information from his or her personnel records, other than material excepted from disclosure under Paragraphs (D)(1)(a) or (b), above, may be released. The authorization will be valid for 30 calendar days from the date of the signature of the authorization or oral request or within a written time limit specified by the individual, whichever is later.
A prospective non-University employer has the same access to employee personnel records as a member of the public. Other specific record information may be released only on written or oral authorization of the employee or former employee. See Paragraph (D)(3), above.
The division director or department head may provide an oral evaluation of an individual in response to specific job-related questions by a prospective non-University employer who, in the judgment of the division director or department head, has a legitimate interest in receiving such information. Such an evaluation must be based on personal knowledge.
If a representative of an enforcement agency other than the Department of Labor requests access to material in Laboratory personnel records or Laboratory Director's Office records that includes items characterized as confidential under this section, this request must be in written form. In response to a written request, the requester should be informed as follows:
With respect to personnel records, University policies take into account the need to protect individual rights of privacy. Furthermore, these personnel policies provide that subject individuals may receive, on request, a comprehensive summary of the substance of the confidential documents in their files, edited to withhold disclosure of the identity of persons who have supplied evaluations of the subject individuals with the understanding that the identity of the evaluator will be held in confidence.
In light of the above policies, the University is prepared to make available
to an authorized representative of your agency on-site review of personnel
files relevant to its investigation, with the understanding that the agency
will maintain the confidentiality of confidential personnel records.
A record will be maintained and the concerned individual notified of each disclosure of information that identifies that individual and is made under subpoena or other law. See Paragraph (D)(4), above. This notification will be made before disclosure, if possible. The record should show the name, title, and business address of the person to whom the disclosure was made, the date of the disclosure, the information disclosed, and the purpose of the disclosure. A record of disclosure is not required for release under Paragraphs (D)(2), (3), and (6), above. For a complete list of circumstances requiring an accounting of disclosure and when an employee must be notified of disclosure, see University of California Business and Finance Bulletin RMP-8, VII.I.
The Laboratory will retain any records of disclosure for three years after the disclosure or until the original record is destroyed, whichever occurs first. Disclosure records will include information concerning any unresolved disputes about the accuracy of the records. See Paragraph (D)(1)(d), above. If a record is corrected within three years of disclosure and the name of a person to whom uncorrected information was disclosed is known, a notice of correction will be sent to that person.
Civil remedies and penalties are provided by law.
In accordance with the following procedures, fees may be charged for making copies or extracts of personnel record information.
There is no charge for the first copy of an individual's own records.
Members of the public or others requesting identifiable personnel record information or extracts thereof not about themselves, which may be disclosed according to Paragraph (D)(3), above, may be charged $0.10 per extract. There is no charge for personnel costs associated with photocopying or extracting. When information cannot be readily procured from an identifiable personnel record, however, reasonable fees (as provided below) may be charged for procuring such record:
Subpoenaed records may be provided either in person or by mail, depending on the kind of subpoena. Charges may be made as follows:
. The official or current version is located in the online LBNL Requirements and Policies Manual.
Printed or electronically transmitted copies are not official. Users are responsible for working with the latest approved revision.