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S.03-16

Simon Fraser University

Office of the Registrar

Senate Committee on Agenda and Rules

Date:

December 18, 2002

Subject: ?

Confidentiality Policy -110.10

For Information

The Senate Committee on Agenda and Rules at its meeting on December

17,2002 determined that the Confidentiality Policy should be forwarded

to Senate for information.

Simon Fraser University

•

Policies and Procedures

110.10

Confidentiality Policy

Dec. 2002

Preamble

Simon Fraser University is committed to the principles of public accountability and the

protection of personal privacy. In its day-to-day activities, the University collects

information about current and prospective students and employees in order to make

decisions about admission, appointment, evaluation of performance, awards and

discipline. Employees as well as committees composed of faculty and/or staff, students

and members of the external community make these decisions, frequently using letters of

reference obtained from third parties. Consequently, there is a need to articulate the role

of confidentiality in these processes.

Definitions

"Award"

includes, but is not limited to, honorary degrees, research grants,

fellowships, scholarships or bursaries. ?

"Candidate"

refers to a current or prospective student or employee, or nominee

who is being considered by a committee.

"Committee"

includes a subcommittee, a committee of one and a committee of

the whole.

"Confidential"

means to keep private or secret, safe from access, use or

disclosure by people who are not authorized to handle the personal information.

"Personal information"

means recorded information about an identifiable

individual which includes, but is not limited to names, home addresses and

telephone numbers, age, sex, marital or family status, identifying number, race,

national or ethnic origin, colour, religious or political beliefs or associations,

educational history, medical history, disabilities, blood type, employment history,

financial history, criminal history, anyone else's opinions about an individual, an

individual's personal views or opinions, and name, address and phone number of

parent, guardian, spouse or next of kin. It does not mean the position, function and

remuneration of a University employee.

1. Policy

1.1 Any employee or committee established under University, Faculty or Departmental

policy or any ad hoc committee that is charged with making a recommendation or other

decision on one or more of the following matters:

• Appointment and reappointment ?

Renewal, tenure or promotion

• Admission to the University or to a program or Faculty within the University and

associated matters

Evaluation of academic or employment performance

Awards or honours

• Investigation of misconduct or imposition of discipline ?

must treat as confidential the personal information of the candidate.

1.2 Any letter of reference or personal evaluation is considered supplied in confidence by

a third party to an employee or committee unless the third party expressly states

•

otherwise.

2. Procedures

2.1 All records containing confidential personal information created or received by an

employee or committee must be protected against unauthorized access, collection, use,

disclosure, retention or disposal through the use of reasonable security measures and

effective records management.

2.2 Each employee or committee covered by this policy must do the following to

safeguard the confidentiality of the University's activities:

• Provide written notice to the candidate that the information that s/he provides may

only be used or disclosed for the original purpose for which it was collected or for

a purpose consistent with the original purpose. Any other use or disclosure will

require the written consent of the candidate.

• Specify who, other than the employee who needs to know or members of the

committee, may have access to some or all of the confidential material and under

what circumstances.

• Describe how the confidential material is to be circulated to and collected from

other employees or committee members.

• Mark the materials as confidential prior to distribution.

2.3 When a new committee is formed, the chair must inform all members of the

confidentiality requirements and have this recorded in the minutes.

2.4 When letters of reference or other personal evaluations are to be solicited by the

committee, the candidate must give her/his prior written consent as to who may be

contacted. Such consent is not required where the candidate has provided the committee

with the names of potential referees.

2.5

The referee should be provided with the following notice:

"This individual has named you as a person whom we may contact for a

reference. The Freedom of Information and Protection of Privacy Act of

British Columbia

allows an applicant to have access to the information

contained in his/her letters of reference when that can be done without

disclosing the identity of a referee who supplies a reference in confidence. It

is therefore understood between Simon Fraser University and yourself that

the letter of reference or personal evaluation is supplied in confidence, that

is, your identity will not be disclosed to the individual unless you state

otherwise."

2.6 Where a candidate requests access to a letter of reference solicited by the committee

and supplied in confidence to the committee, any information that may identify the author

must be removed prior to disclosure.

Breach of Confidentiality

Failure to protect the confidentiality of a candidate or a referee's personal information is

grounds for discipline.

Interpretation

Questions of interpretation or application of this policy shall be referred to the President,

whose decision is final.