DISCLAIMER:

If there is a discrepancy between this electronic policy and the written copy held by the Policy owner, the written copy prevails.

---

TABLE OF CONTENTS

A.	Purpose The Basic Principles
B.	Definitions University Records Personal Information
C.	General Scope of Guidelines Nature of the Access Right Severability
D.	Access to Information The General Principle Exemptions from the General Principle Deliberative Processes  Confidential Information  Conflict Resolution, Law Enforcement and Discipline  Relations with Government and Other Organizations  Economic and Other Interests of the University  Research  Solicitor-Client Privilege  Threat to Safety or Health  Examinations, Tests and Audits  Personal Information  Financial Data

E.	Protection of Privacy
	Collection of Personal Information
	Use of Personal Information
	Disclosure of Personal Information
	Retention and Disposal of Personal Information
	Access and Correction Rights
	Exemptions from the Access Right
	Policy Statements Concerning systems of Records Containing Personal Information

F.	Implementation, Monitoring and Dispute Resolution
	University Freedom of Information and Privacy Protection Officer
	University Commissioner for Freedom of Information and Privacy Protection
	Responsibility of the Officer
	Complaints to the Commissioner
	Investigations and Recommendations
	Other Responsibilities and Powers of the commissioner
	Fees

Appendices

APPENDIX A	Access to Information/Privacy Protection and the Board of Governors
APPENDIX B	Regulations Governing Access to the Records of Senate and Its Subordinate Bodies
APPENDIX C	Freedom of Information and Protection of Privacy - McMaster University
APPENDIX D	Guidelines for Privacy and Access to Records of McMaster Employees
APPENDIX E	Guidelines for Privacy and Access to Records of Alumni and Donors to McMaster

---

    A.  Purpose

The Basic Principles

1. McMaster University is committed to the protection of the privacy of those who work and study here. As a publicly-funded institution which operates with a high degree of autonomy and self-regulation, the University also affirms the importance of the principle of freedom of information and the obligation to conduct its operation as far as possible in ways that are open to public scrutiny.

 

 

The purpose of these Guidelines is to create policies governing access to information and the protection of privacy which reflect the underlying principles of the Ontario Freedom of Information and Protection of Privacy Act, 1987 and apply them in a manner appropriate to the University setting. These Guidelines are based on the following principles:

1. as a general rule, information contained in University records should be available to members of the University community and to members of the public;
2. the necessary exemptions from the general principle favouring access should be as limited and specific as possible;
3. the collection, retention, use and disclosure of "personal information" contained in University records should be regulated in a manner that will protect the privacy of individuals affected; and
4. means should be established for the resolution of disputes within the University community concerning access to information and privacy protection matters.
In the event of ambiguity or incompleteness in these Guidelines, their interpretation or application should be resolved by resort to these basic principles.


B.  Definitions

University Records

2. A University record means any document collected and held by the University containing information, however recorded, whether in manuscript, printed or electronic form, including:
• Student Records
• Staff and Faculty Records
• Administrative and Financial Records pertaining to University operations
• Historical records in all of these categories held in relevant University offices.
The research and study notes, records, reports, manuscripts, publications and personal communications, whether in printed, manuscript or electronic form, of individual faculty members, staff and students are considered to be their personal records, not University records, unless the research or reports were specifically commissioned or prepared under contract for the University or prepared in the context of administrative work.

Personal Information

3. Personal information means recorded information about an individual, including:

 
1. information related to the race, national or ethnic origin, colour, religion, age, sex, sexual orientation, marital or family status of an individual;
2. information relating to the educational, medical, psychiatric, psychological, criminal or employment history of the individual or to financial transactions involving the individual;
3. any identifying number distributed publicly in such a way that it can be linked to an individual;
4. the address or telephone number of the individual;
5. correspondence received from an individual that is implicitly or explicitly confidential, or replies to correspondence that would reveal the contents of the original communications;
6. the views or opinions of another individual about the individual; and
7. the individual's name where it appears with other personal information relating to the individual or where the disclosure of the name would reveal other personal information about the individual.

 

 

C.  General

Scope of Guidelines

4. These Guidelines apply to all University records within the custody of or under the control of the University, but are not intended to replace or restrict existing procedures and practices within the University community relating to access and disclosure, such as those which govern access to student records, personnel records and information compiled pursuant to disciplinary or dispute resolution mechanisms. All such policies and practices should be reviewed to ensure that they are in keeping with the principles set out herein.

Nature of the Access Right

5. The right of access conferred by these Guidelines should normally be implemented by making available, upon written request, a photocopy of the record in question.

Severability

6. Where a request for access pertains to a record containing material which is exempt from the general principle of access together with material which is not exempt, the University shall make reasonable efforts to sever and disclose the non-exempt material.

 

 

D.  Access to Information

The General Principle

7. Any person shall be granted access to University records as defined herein, subject to exemptions comparable to those contained in provincial legislation.

Exemptions from the General Principle

Deliberative Processes

8. (1) The University may refuse to disclose University records containing matter in the nature of, or relating to, opinions, advice or recommendations obtained, prepared or recorded, or consultations or deliberations that have taken place, in the course of, or for the purposes of, the deliberative processes of the University where such disclosure would undermine the effectiveness of those processes. (In this context see Appendices A and B to these Guidelines, "Freedom of Information/Privacy Protection and the Board of Governors" and "Regulations Governing Access to the Records of Senate and its Subordinate Bodies".) Thus, the University may refuse to disclose a record where disclosure would reveal the advice or recommendations of a person employed in the service of the University or a consultant retained by it. The University would, however, in such circumstances, normally disclose that part of a record that contains:
1. factual material;
2. a statistical survey;
3. a report by a valuator;
4. an environmental impact statement or similar records;
5. a report or study on the performance or efficiency of the University;
6. a feasibility study or other technical study including a cost estimate, relating to a policy or project of the University;
7. a report containing the results of field research undertaken before the formulation of a policy proposal;
8. a proposal to change a programme of the University or to establish a new programme, including a budgetary estimate for the programme;
9. a report of a committee or similar body within the University, which has been established for the purpose of preparing a report on a particular topic; and
10. the reasons for a final decision, order or ruling of an officer or an employee of the University.
8. (2) Without restricting the generality of sub-paragraph (1), the University may refuse to disclose a record where disclosure would reveal the substance of deliberations of the University's senior administrative officers (the President, the Vice-Presidents, the Associate Vice-President(s), the Assistant Vice-Presidents, the Assistant Provost, the Deans), including
1. an agenda, minute or other record of the deliberations or decisions of the senior administrative officers;
2. a record containing policy options or recommendations submitted, or prepared for submission, to the senior administrative officers;
3. a record that does not contain policy options or recommendations referred to in clause (b) and that does contain background explanations or analyses of problems submitted, or prepared for submission, to the senior administrative officers for their c onsideration in making decisions, before those decisions are made and implemented;
4. a record used for or reflecting consultation among the senior administrative officers on matters relating to the making of University decisions or the formulation of University policy;
5. a record prepared to brief a senior administrative officer in relation to matters that are being or are proposed to be brought before the senior administrative officers, or are the subject of consultation among the senior administrative officers rel ating to University decisions or the formulation of University policy; and
6. draft University legislation, regulations or policy statements.

Confidential Information

8. (3) The University shall refuse to disclose a record that reveals a trade secret or scientific, technical, commercial, financial or labour relations information, supplied in confidence implicitly or explicitly, if the disclosure could reasonably be expected to:
1. prejudice the competitive position or interfere with the contractual or other negotiations of a person, group of persons or organization;
2. result in similar information no longer being supplied to the University, where it is in the public interest that similar information continue to be so supplied;
3. result in undue loss or gain to any person, group, institution or agency; and
4. reveal information supplied to or the report of a conciliation officer, mediator, labour relations officer or other person appointed to resolve a labour relations dispute.

Conflict Resolution, Law Enforcement and Discipline

9. The University may refuse to disclose a record where disclosure could be reasonably expected to interfere with a law enforcement matter, an internal disciplinary proceeding or a conflict resolution process of some kind.

Relations with Government and Other Organizations

10. The University may refuse to disclose a record where disclosure could reasonably be expected to:
1. prejudice the conduct of relations between the University and federal or provincial governmental authorities or other agencies providing funding to the University or any of its constituent units;
2. reveal information received in confidence from federal, provincial or foreign governmental authorities;
3. reveal information received in confidence from other universities, colleges and similar institutions or from organizations formed for the purpose of representing the interests of such organizations or various constituencies within them.

Economic and Other Interests of the University

11. The University may refuse to disclose records containing:
1. trade secrets or financial, commercial, scientific, or technical information that belongs to the University or one of its constituent units or members which has potential monetary value;
2. information owned by the University, if the disclosure could reasonably be expected to deprive an employee or the University of priority of publication;
3. information where the disclosure could reasonably be expected to prejudice the economic or financial interests or the competitive position of the University;
4. positions, plans, procedures, criteria or instructions to be applied to any negotiations carried on or to be carried on by or on behalf of the University or one of its constituent units;
5. plans relating to the management of personnel or the administration of the University or one of its constituent units that have not yet been put into operation or made public; and
6. information including the proposed plans, policies or projects of the University or one of its constituent units where the disclosure could reasonably be expected to result in premature disclosure of a pending policy decision or in undue financial benefit or loss to a person.

Research

12. In accordance with the Tri-Council Policy Statement on Integrity in Research and Scholarship (January 1994) and consistent with University research policies and practices, the University may refuse to disclose information in University records concerning the past, present or proposed research activities of members of the University community where disclosure would be contrary to the public interest or would undermine the professional or personal interests of the researchers involved in the project.

Solicitor-Client Privilege

13. The University may refuse to disclose records that are the subject of solicitor-client privilege or that have been prepared by or for counsel employed by or retained by the University in giving legal advice or in contemplation or for use in litigation.

Threat to Safety or Health

14. The University may refuse to disclose a record where disclosure could reasonably be expected to seriously threaten the safety or health of an individual.

Examinations, Tests and Audits

15. The University may refuse to disclose records where disclosure would undermine the effectiveness or fairness of an auditing procedure or of an examination, testing procedure or other means of evaluation of student performance.

Personal Information

16. The University shall refuse to disclose personal information to any person other than the person to whom the information relates where disclosure would constitute an unjustified invasion of the personal privacy of another individual.

Financial Data

17. In addition to any disclosure of financial information otherwise required by these Guidelines, the University shall make reasonable efforts to prepare annually aggregated University financial data, which can be disclosed without infringing the various interests protected by the above exemptions from the access scheme and shall, in any event, make available its annual financial statements.

 

 

E.  Protection of Privacy

Collection of Personal Information

18. The University shall collect and record only such personal information as is either reasonably necessary to the proper administration of the University and its academic and other programmes or is required by virtue of data collection or reporting requirements lawfully imposed upon the University by federal or provincial governmental authority.

 

Use of Personal Information

19. The University shall not use personal information in its custody or under its control except:
1. for the purpose for which it was obtained or compiled or for a consistent purpose;
2. for statistical analyses;
3. where the person to whom the information relates has identified that information in particular and has consented to its use; and
4. in other circumstances, where the use of the information is necessary and proper in the discharge of the University's functions and responsibilities.

Disclosure of Personal Information

20. The University shall not disclose personal information in its custody or under its control except:
1. under the freedom of information Guidelines set out above; or
2. where the person to whom the information relates has identified that information in particular and has consented to its disclosure; or
3. for the purpose for which it was obtained or compiled or for a consistent purpose; or
4. to an officer or employee of the University who needs the record in the performance of his or her duties; or
5. for the purpose of complying with a requirement to provide information lawfully imposed upon the University by a federal or provincial governmental authority; or
6. where disclosure is to an agency that has responsibility for law enforcement in Canada to aid in an investigation undertaken with a view to a law enforcement proceeding or from which a law enforcement proceeding is likely to result; or
7. where disclosure is necessary to aid in the investigation of allegations that individuals have made false statements or engaged in other misleading conduct concerning their attendance or performance or status within or completion of an academic programme of the University; or
8. where disclosure is made to another educational institution or to a professional licensing authority or board of certification or similar institution; or
9. in compelling circumstances affecting the health or safety of an individual, if, upon disclosure, notification thereof is mailed to the last known address of the individual to whom the information relates; or
10. in compassionate circumstances, to facilitate contact with the next of kin or a friend of an individual who is injured, ill or deceased; or
11. to a person who has been authorized by the individual to whom the information relates to make an enquiry on that individual's behalf or, where that individual is incapacitated, has been authorized by the next of kin or legal representative of that individual.
    
    
21. The restrictions on disclosure set out in Guideline 20 do not apply to information that an individual is or is not registered in the University or in a particular Faculty or programme or a particular session or to information that an individual has successfully graduated or completed a programme on a particular date or has or has not received particular academic or other University honours and distinctions.

 

Retention and Disposal of Personal Information

22. The University shall take reasonable precautions to protect the security of University records containing personal information, shall retain such information for reasonable periods of time and shall make reasonable arrangements for the disposal or destruction of such records when that reasonable period has expired.

 

Access and Correction Rights

23. (1) Every member of the faculty and staff and students of the University shall be granted access to University records containing personal information concerning that individual, provided that the individual is able to provide sufficiently specific information to render the record reasonably retrievable by the University.

 
23. (2) Every individual who is given access under this Guideline is entitled to:
1. request correction of the personal information where the individual believes there is an error or omission; and
2. require that a statement of disagreement be attached to the information reflecting any correction that was requested but not made.
   
   
23. (3) In addition to those rights of access otherwise conferred by these Guidelines, the University shall make reasonable arrangements (in addition to the "Policy re Student Access to Final Examination Scripts", which has been in effect since July 1, 1984) to ensure that explanations for student evaluations are made available to the affected students, together with copies of such materials as are relevant to such explanations and which can be disclosed without undermining the integrity of the evaluation system or method in question or invading the privacy of another person or persons.

 

Exemptions from the Access Right

24. The University may refuse to disclose personal information to the individual to whom the information relates:
1. where the exemptions to the general access principle set out in Paragraphs 8-16 would apply to the disclosure of that personal information, provided that reasonable efforts shall be made to sever the personal information from the information which cannot be disclosed;
2. where disclosure would constitute an unjustified invasion of another individual's personal privacy;
3. if it is evaluative or opinion material compiled solely:
1. for the purpose of determining suitability, eligibility, or qualification for employment or for the awarding of a contract with the University,
2. for the purpose of determining eligibility or admission to an academic programme of the University,
3. for the purpose of determining eligibility or suitability for the awarding of a scholarship, bursary or other form of financial assistance, or
4. for the purpose of peer review processes related to determinations concerning, including but not restricted to, eligibility or suitability for the granting of appointment, extension of appointment, tenure and/or promotion, research grants or other benefits to members of the University community or for similar purposes,
where the disclosure could reveal the identity of a source who furnished information in circumstances where it may reasonably have been assumed that the identity of the source would be held in confidence;
 
4. that is medical information where the disclosure could reasonably be expected to prejudice the mental and physical health of the individual; or
5. if it is a research or statistical record.

Policy Statements Concerning Systems of Records Containing Personal Information

25. The University has adopted policy statements with respect to access to and protection of the records of the Board of Governors, the records of the Senate, student records, academic and non-academic personnel records, and records relating to alumni and donors to McMaster, attached as Appendices A - E hereto.

F.  Implementation, Monitoring and Dispute Resolution

University Freedom of Information and Privacy Protection Officer

26. The Secretary of the Board of Governors shall be the University Freedom of Information and Privacy Protection Officer (the "Officer") who shall be responsible for the implementation of these Guidelines within the University.

 

University Commissioner for Freedom of Information and Privacy Protection

27. The University shall appoint a University Commissioner for Freedom of Information and Privacy Protection (the "Commissioner"). The University shall make reasonable arrangements to secure the independence of the Office of the Commissioner.

 

Responsibility of the Officer

28. (1) The Officer shall oversee and ensure the adoption of record-keeping and disclosure practices consistent with these Guidelines within the University.

 

 
 
 

28. (2) The Officer shall receive requests for access to information or for the correction of personal data either directly from members of the University community or upon referral, from other members of the community who have themselves been requested to supply information or correct personal data in circumstances which raise questions concerning the proper application of these Guidelines. All members of the University community who receive a request for access to information or for the correction of personal data in circumstances which raise questions concerning the proper application of these Guidelines shall refer the request to the Officer. In the first instance, however,
1. requests for access to student records should be made directly to the University Registrar;
2. requests for access to faculty records should be made directly to the Provost and Vice-President (Academic);
3. requests for access to non-academic staff records should be made directly to the Director of Human Resources;
4. requests for access to the records of the Board of Governors should be made directly to the Secretary of the Board of Governors;
5. requests for access to the records of the Senate should be made directly to the Secretary of the Senate;
6. requests for access to the records of the University alumni or the records of donors to McMaster should be made directly to the Executive Director of University Advancement.
   
   
   
28. (3) The appropriate University officers shall make decisions concerning requests received under sub-paragraph 2 and communicate the decisions in writing to the persons making the requests. In communicating a decision to deny a request, the officers shall indicate, in writing, the reasons for denying the request and the nature of the process available to the requester for seeking a review of that decision by the Commissioner under Guideline 29.
 
 

Complaints to the Commissioner

29. A member of the University community, including the individual holding the University record in question, who is aggrieved by a decision of the Freedom of Information and Privacy Officer or of other University officers who have custody of the record in question with respect to a request for access to information or the correction of personal information or fees to be charged in association therewith, may complain, in writing, to the Commissioner.

Investigations and Recommendations

30. (1) The Commissioner shall receive, investigate and report on complaints alleging they have not been granted access to information or that their request for correction of personal information has been denied in contravention of these Guidelines.

 

 
 
 

30. (2) The Commissioner shall have full authority to determine the manner in which a complaint shall be investigated and the procedures to be followed in any hearing, interview or proceeding that the Commissioner may consider appropriate in order to effect a proper disposition of the complaint, provided that the Commissioner shall ensure that the procedure followed is fair.

 

 
 
 

30. (3) The officer whose decision is being questioned shall cooperate with the Commissioner in the investigation of complaints received by the Commissioner under Paragraph 29 and will, where required to do so under Paragraph 30, make a decision in response to a recommendation of the Commissioner and communicate that decision to the person seeking access to information or correction of personal information.

 

 
 
 

30. (4) If, at the conclusion of an investigation, the Commissioner finds that these Guidelines have not been interpreted or applied appropriately, the Commissioner shall make a recommendation to the appropriate officer about how to respond to the complaint. The Commissioner shall file written reports with the President concerning any such investigations, recommendations and reports. A copy of each report shall be forwarded to the complainant and to the other party to the complaint in question. In the event that the Commissioner's recommendation is rejected, the President shall indicate, in writing, to the complainant and the Commissioner the reasons for rejecting the recommendation.

 

 
 
 

Other Responsibilities and Powers of the Commissioner

31. The Commissioner shall have the following additional responsibilities and powers:
1. to recommend, from time to time, appropriate amendments to these Guidelines;
2. to review and comment on written policies on access and confidentiality adopted by the University; and
3. to prepare and present to the Senate and the Board of Governors of the University an annual report concerning the implementation of these Guidelines within the University and, in particular, the nature and disposition of any complaints made pursuant to Guideline 30.(1), above.

Fees

32. (1) The University may require the person who makes a request for access to a record or for correction of a record to pay,
1. a search charge for every hour of manual search required in excess of two hours to locate a record;
2. the costs of preparing the record for disclosure;
3. computer and other costs incurred in locating, retrieving, processing and copying a record;
4. shipping costs; and
5. where the requester is not a student of the University or a member of its faculty or staff, an application fee.
32. (2) The appropriate University officer shall, before giving access to a record, give the person requesting access a reasonable estimate of any amount that will be required to pay under this Guideline that is over $25.

 

 
 
 

32. (3) The appropriate University officer may waive the payment of all or any part of an amount required to be paid under this Guideline where, in the officer's opinion, it is fair and equitable to do so after considering,
1. the extent to which the actual cost of processing, collecting and copying the record varies from the amount of the payment required by sub-section (1);
2. whether the payment will cause a financial hardship for the person requesting the record;
3. whether dissemination of the record will benefit public health or safety;
4. whether the record contains personal information relating to the person who requested it; and
5. any other relevant consideration.

 

 
 
 

32. (4) A person who is required to pay a fee under sub-section (1) may ask the Commissioner to review the officer's decision to charge a fee or the amount of the fee.
 

Approved by Senate - March 8, 1995
Approved by Board of Governors - March 23, 1995

---

APPENDIX A

ACCESS TO INFORMATION/PRIVACY PROTECTION
AND THE BOARD OF GOVERNORS


With respect to the question of access to information/privacy protection, the practice of the Board of Governors traditionally has been guided by the following legislative considerations:

• McMaster University Act, 1976, section 14:
1. Subject to subsections 2 and 3, the meetings of the Board and of the Senate shall be open to the public and prior notice of such meetings shall be given to the members and to the public in such manner as the Board and the Senate by by-law shall resp ectively determine, and no person shall be excluded therefrom except for improper conduct.
2. Where matters confidential to the University may be discussed at a meeting of the Board or of the Senate, the part of the meeting concerning such matters shall be held in camera.
3. Where matters of a personal nature concerning an individual may be discussed at a meeting of the Board or of the Senate, the part of the meeting concerning such individual shall be held in camera unless such individual requests that such part of the meeting be open to the public.
• Board By-laws, By-law No. 1

Sec.7	Notice in writing of each regular meeting and the Annual Meeting shall be mailed by the Secretary of the Board to Board members at least fourteen days in advance of the meeting date. The agenda for any such meeting shall be mailed by the Secretary of the Board to all members of the Board at least seven days prior to the date of each such meeting and posted on University notice boards. The dates, times and places of all such meetings shall be made available to the University community and the community-at-large through posting on University notice boards and, wherever possible, through publication in the "Courier" or comparable University publication at least seven days prior to such meetings.
Sec.8(7)	The following matters, which shall be considered or dealt with by the Board in Closed Session, shall be placed at the end of the agenda: nominations;  elections;  recommendations from the Senate concerning appointments, tenure, or promotion;  suspensions or removals;  agenda items concerned with remuneration of individuals;  agenda items concerned with contracts; and  any other matter deemed appropriate by the Board.
Sec.8(8)	The Board may by a majority vote of the members present at any meeting of the Board without debate request the Chair of the Board to declare the meeting, or any part thereof, a Closed Session.
Sec.8(10)(a)	A record of the proceedings of all meetings of the Board shall be made by the Secretary of the Board. Items of business dealt with by the Board in Closed Session shall appear as appendices to the record and such appendices shall be made available only to members and Observers of the Board unless otherwise ordered by the Board.
Sec.8(10)(b)	A request by a Senator, Board member or an Observer of either body for access to the minutes and records of the Board-Senate Committee on Academic Planning shall be submitted to the Secretary of the Senate or the Secretary of the Board, as appropriate. The Secretary who receives the request shall communicate it to an ad hoc Committee composed of the Chair of the Senate, the Chair of the Board-Senate Committee on Academic Planning, the Secretary of the Senate and the Secretary of the Board of Governors, and the Committee shall determine whether access is to be granted and in what form.

---

APPENDIX B

REGULATIONS GOVERNING ACCESS TO THE RECORDS OF 
SENATE AND ITS SUBORDINATE BODIES

Index The University Senate
Senate Committees and Boards
• Standing Committees and Boards
Special Cases
• Board for Student Appeals Hearings
• Committee on Academic Dishonesty Hearings
• Hearings Before the Board-Senate Research Misconduct Hearings Panel
• Special Committees
• Other
• Tribunals Establish by Senate to Hear Faculty Appeals Against Tenure and Promotion Decisions
• Committees Established to Hear Faculty Dismissal Cases
Graduate Council and Undergraduate Council

Faculties, Faculty Councils and Faculty Committees

• Faculty of Business
• Faculty of Engineering
• Faculty of Health Sciences
• Faculty of Humanities
• Faculty of Science
• Faculty of Social Sciences

THE UNIVERSITY SENATE

The McMaster University Act, 1976 states, in clause 14,
 
 
14. - (1) Subject to subsections 2 and 3, the meetings of the Board and of the Senate shall be open to the public and prior notice of such meetings shall be given to the members and to the public in such manner as the Board and the Senate by-law shall respectively determine and no person shall be excluded therefrom except for improper conduct.

(2) Where matters confidential to the University may be discussed at a meeting of the Board or of the Senate, the part of the meeting concerning such matters shall be held in camera.

(3) Where matters of a personal nature concerning an individual may be discussed at a meeting of the Board or of the Senate, the part of the meeting concerning such individual shall be held in camera unless such individual requests that such part of the meeting be open to the public.

(4) The by-laws of the Board and of the Senate shall be open to examination by the public during normal business hours.

(5) The Board and the Senate shall publish their by-laws from time to time in such manner as they may respectively consider proper.
 
 

The minutes and supporting material relating to the Open Session portion of Senate meetings are, therefore, available to anyone.

With respect to the minutes and supporting material relating to the Closed Session portion of the Senate meetings, the Senate By-laws state,

"Closed Session" means a meeting, or that part of a meeting, of the Senate at which only members, observers, and specifically invited guests of the Senate are present, such session being deemed to begin upon declaration of the Chairman of the Senate. Only persons entitled to be present in Closed Session may be informed of the proceedings that transpire in Closed Session. (By-law I.[xii])

"Observer" means any person to whom the Senate has granted the right to attend all meetings of the Senate, and to receive the minutes thereof, with all appendices. (By-law I.[ix])

SENATE COMMITTEES AND BOARDS

The relevant Senate By-laws governing the availability of the records of Senate Committees and Boards are set out below.

 by-law I (xiii)

"In camera", as it pertains to the meetings of committees and boards of the Senate, means that only members, consultants and specifically invited guests of the committee or board may be present. The proceedings that transpire in the meetings of Senate committees and boards may be divulged only to such persons as have right of access to the record of those proceedings (as provided for in Sections 94 [b] and [c]).

STANDING COMMITTEES AND BOARDS

by-law 94
1. Each standing committee and board shall fix the times and places of its meetings, which shall be in camera except as provided for in Sections 129,141 and 149(d). Each standing committee may otherwise determine its own procedure consistent with these by-laws. Each such committee and board shall report at least once a year to the Senate.
2. The record of the proceedings of each standing committee and board shall be available to members, consultants and specifically invited guests of the standing committee or board, and to members and observers of the Senate subject to the following provisos:

 

 

Senators and observers shall have access to the minutes and records of Senate's standing committees, except for those matters,
 
 

1. in which Senate has delegated power of decision; or
2. that involve confidential material about individuals.
Upon receipt of a written request from a Senator or observer, an ad hoc Committee, consisting of the Chairman of the Senate, the Chairman of the standing committee or board in question, and the Secretary of the Senate, shall determine,
1. whether the material requested falls under category (i) or (ii) above; and, if not,
2. in what form the material shall be made available. This section shall not apply by analogy to subordinate bodies of the Senate.

 

 

All material provided under this by-law is to be treated with the same confidentiality as material dealt with in Closed Session of the Senate.

3. The record of the proceedings of the joint Board-Senate Committee on Academic Planning shall be available to Senators, Board members, and observers of either body subject to the provisos contained in Section 94(b) and to the further proviso that the ad hoc Committee shall also include the Secretary of the Board of Governors.
by-law 100

 Every standing committee and board of the Senate has the power to invite consultants to its meetings.

Special Case--Board for Student Appeals Hearings

by-law 129
 
 

• Hearings before tribunals of the Board for Student Appeals shall be conducted in accordance with the procedures approved by the Senate.
excerpts from senate's student appeal procedures--(appendix A)

1.	Hearings are normally open to the public, but any party to the appeal may request a closed hearing. The possible disclosure of certain matters may indicate the need for a closed hearing, such as matters of public security, intimate financial or personal details, or other matters that may have a substantially adverse effect on the interests of any person or on the public interest.
2.	The tribunal shall make the decision on whether the hearing shall be open or closed.
20.	Following the formal hearing, the tribunal shall deliberate in a closed session and shall reach a decision.
22.	The tribunal's report on an appeal conducted in an open hearing shall be available to anyone on request.
23.	The tribunal's report on an appeal that has been conducted entirely or partiallyin a closed hearing shall be available only to the parties directly affected by the report and to the members and observers of the Senate. The Secretary of the Senate shall prepare a summary of the report for the public. The summary will include an outline of the nature of the case, and the tribunal's findings and decision, but will be sufficiently general that the individuals involved in the appeal cannot be identified.

Special Case -- Committee On Academic Dishonesty Hearings senate by-law 141

 Hearings before panels of the Senate Committee on Academic Dishonesty shall be conducted in accordance with the procedures approved by the Senate.

excerpts from senate resolutions on academic dishonesty (Appendix A)

3.	The tribunal shall make the decision on whether the hearing shall be open or closed. Hearings are normally closed but any party to the hearing may request an open hearing.
17.	Following the formal hearing, the tribunal shall deliberate in a closed session.

Special Case -- Hearings Before the Board-Senate Research Misconduct Hearings Panel

Senate By-law 149 (d)

Hearings before a Hearings Committee of the Board-Senate Research Misconduct Hearings Panel shall be conducted in accordance with the procedures approved by the Senate and the Board of Governors.

relevant excerpts from procedures...regarding allegations of misconduct in research (Appendix A)

6.	Hearings are normally open to the public, but any party to the Hearing may request a closed Hearing. The possible disclosure of certain matters may indicate the need for a Closed Hearing, such as matters of public security, intimate financial or personal details, or other matters that may have a substantially adverse effect on the interest of any person or on the public interest.  If a request by a party or the parties to the Hearing to close the Hearings is made prior to or during the hearing of a case, the Chair of the Hearings Committee shall close the Hearing for the purpose of discussing the request. After listening to the arguments for closing, the Committee shall decide whether, in accordance with Section 9(1) of the Statutory Powers Procedure Act, sufficient cause for closing exists. If not, the Hearing will be re-opened.
21.	Following the formal Hearing(s), the Hearings Committee shall deliberate in closed session. The Committee shall have the right to engage independent legal counsel to aid it in internal legal discussions.
22.	The Hearings Committee shall report in writing to the Vice-president (Research) within 120 days of being struck, except in extraordinary circumstances, or unless circumstances clearly warrant a longer period.  The report shall be copied to the Provost, the Dean of Graduate Studies, and all parties to the Hearing.  If the respondent is exonerated, the Hearings Committee shall also decide on what steps the University shall take to restore the reputation and/or the research activities of the exonerated individual.
23.	Files shall be treated exactly like those for an Inquiry (see clause 13).       13. (b) Access to the closed file shall be controlled by the Vice-President (Research). It shall be opened only with the concurrence of the Vice-President (Research) and the exonerated person.            (c) The files shall be kept in the office of the Vice-President (Research) for at least seven years.
25.	Within ten days from receipt of the report from the Hearings Committee the Vice-President (Research) shall act on the report to exonerate the respondent, or if the allegation is upheld, to forward to the President the Hearings Committee report and the recommendations concerning disciplinary action. In the case of exoneration, all appropriate steps shall be taken to protect the reputation of the accused researcher, including the issuance of statements of exoneration in consultation with the researcher. However, if the Hearings Committee determines that misconduct has occurred, the Vice-President (Research) shall inform, as warranted, the appropriate granting agencies, co-authors, collaborators, editors of journals, professional societies, appropriate University officers, etc.

SPECIAL COMMITTEES

senate by-law 101
The Senate may from time to time appoint special committees with specified terms of reference...

senate by-law 102
The provisions of Sections 93, 94*, 95, 96, 97, 98, 99 and 100* apply to every special committee unless otherwise provided in the resolution by which it is appointed.

OTHER

Tribunals Established By Senate To Hear Faculty Appeals Against Tenure And Promotion Decisions

excerpts from "mcmaster university revised policy and regulations with respect to academic appointment, tenure and promotion (1992)"

As its first task, the Tribunal shall meet with the appellant and the representatives of the Determining Committee and shall decide whether or not the hearings shall be held in camera. (Section IV, 9)

The Tribunal...shall report its decision to the parties involved in the appeal and to the Senate for information only. (Section IV, 12)

senate policies governing appeal tribunal reports

• The report to Senate of Appeal Tribunals, whether the appeal hearings are held in open or closed session, shall be available on request from the Secretary of the Senate after such report has been received by Senate, subject to the written agreement of the appellant and any other party who might be identified in the report. (approved by Senate on October 12, 1977)
• Tapes and/or minutes of Appeal Tribunals as well as any supportive documents or evidence shall be released if such material is requested by the Human Rights Commission in support of a specific complaint. (approved by Senate on October 12, 1997)
• In the case of written appeal reports, where comment is passed on the role played by an individual, the relevant portion of the report shall be made available to that individual subsequent to the Senate meeting, and he/she shall be given the opportunity to communicate with the Senate. (approved by Senate on June 11, 1975)
* cited above under "Standing Committees and Boards".

Committees Established To Hear Faculty Dismissal Cases

excerpts from "mcmaster university revised policy and regulations with respect to academic appointment, tenure and promotion (1992)".

The proceedings of the Hearing Committee shall be conducted expeditiously and in strict fairness to the University and the faculty member concerned. As its first task the Hearing Committee shall meet with the faculty member concerned and a representative of the President to decide whether or not the proceedings shall be held in camera, as permitted by the Ontario Statutory Powers Procedure Act, R.S.O. 1980. If both parties agree, the proceedings shall be held in camera throughout. (Section V,14)

The following procedures shall also be observed:

...

(e) Although it is possible that at the meeting referred to at the beginning of this paragraph there was no agreement to conduct all of the review in camera, this shall not preclude the opportunity for the Hearing Committee to conduct a particular session or sessions in camera, if, in its opinion, the interests of any person indicate the desirability of such a procedure. The Committee shall not make such a decision, however, until it has consulted with the faculty member concerned and the representative of the President.

(f) No formal transcript of the proceedings of the Hearing Committee shall be kept; however, the Committee shall have the authority to require that a logged audio tape of all or part of the proceedings be kept. All parties concerned shall have access to the tape. (Section V,14)

The Hearing Committee shall prepare a written report of its findings of fact, its judgement on the adequacy of the cause, its decision and the justification for that decision. The report shall be forwarded to the President, the Faculty member concerned, the Provost, the Dean of Graduate Studies, the Faculty Dean and the Chair of the faculty member's Department. (Section V, 17)

In addition, the Hearing Committee shall prepare a two-page summary of the case and the decision, to be forwarded to the Senate and the Board of Governors. (Section V, 17)

GRADUATE COUNCIL AND UNDERGRADUATE COUNCIL

There are no specific Senate By-laws or policies concerning the confidentiality of Graduate and Undergraduate Council records. One could infer, however, that the minutes of their meetings, and the supporting material, are open to the public because of Senate By-law 160 which requires Graduate Council

"to circulate the agenda and the minutes of its meetings to the Senate, and to each Faculty, Department, Unit, School, Institute, Centre, or the like offering graduate work"
and Senate By-law 170 which requires Undergraduate Council
"to circulate the agenda and the minutes of its meetings to the Senate, to Department Chairmen and Directors of Schools, and to such Associate and Assistant Deans as are not already members of the Undergraduate Council".
FACULTIES, FACULTY COUNCILS AND FACULTY COMMITTEES

Faculty of Business

The Faculty of Business By-laws state that "Meetings of the Faculty shall be conducted in accordance with the rules and procedures of the Senate". Traditionally, this has been interpreted to mean that Faculty meetings are open and Faculty Council and Faculty Committee meetings are held in camera and that the Senate rules regarding access to the records of open and in camera meetings prevail with one exception. The Faculty By-laws state, with respect to "Standing Committees" that, "Student members of committees shall withdraw from the meetings when cases of specific students are under consideration".

Moreover, with respect to the Faculty Committees which hear certain student appeals and cases of alleged academic dishonesty, the rules cited above for hearings of the Senate Board for Student Appeals and the Senate Committee on Academic Dishonesty prevail.

Faculty of Engineering

The Faculty of Engineering By-laws state that "Meetings of the Faculty shall be conducted in accordance with the rules and procedures of the Senate with the provision that matters related to individual cases or records be dealt with in Closed Session". Traditionally, this has been interpreted to mean that Faculty meetings are open and Dean's Council and Faculty Committee meetings are held in camera and that the Senate rules regarding access to the records of open and in camera meetings prevail, with one exception. The Faculty By-laws state, with respect to "Standing Committees" that, "Student members of committees may be asked to withdraw when cases of specific students are under consideration".

Moreover, with respect to the Faculty Committees which hear certain student appeals and cases of alleged academic dishonesty, the rules cited above for hearings of the Senate Board for Student Appeals and the Senate Committee on Academic Dishonesty prevail.

Faculty of Health Sciences

The Faculty of Health Sciences By-laws state that "Meetings of the Faculty shall be conducted in accordance with the rules and procedures of the Senate". Traditionally, this has been interpreted to mean that Faculty meetings are open and Faculty Council and Faculty Committee meetings are held in camera and that the Senate rules regarding access to the records of open and in camera meetings prevail. However, the Faculty By-laws also state that the Faculty Council shall "establish whether meetings of the Faculty and of the Faculty Council are open or closed, and shall decide the extent of the distribution of the minutes of the Faculty Council, and of the Faculty's Standing Committees". The By-laws also state that, "Meetings of Standing Committees [of the Faculty of Health Sciences] shall be conducted in accordance with the rules and procedures of the Senate". The By-laws also state that this regulation applies to the Standing Committees of the three Schools that make up the Faculty--Medicine, Nursing, and Occupational Therapy and Physiotherapy.

Moreover, with respect to the Faculty Committees which hear certain student appeals and cases of alleged academic dishonesty, the rules cited above for hearings of the Senate Board for Student Appeals and the Senate Committee on Academic Dishonesty prevail.

Faculty of Humanities

The Faculty of Humanities By-laws state that "Meetings of the Faculty shall be conducted in accordance with the rules and procedures of the Senate". Traditionally, this has been interpreted to mean that General Faculty meetings are open and Faculty Committee meetings are held in camera and that the Senate rules regarding access to the records of open and in camera meetings prevail, except that the Humanities By-laws also state,

Minutes of the standing committees of the Faculty (excluding the Tenure and Promotion Committee) shall be available to all members of the General Faculty, except that student members of the General Faculty shall not be entitled to receive minutes of standing committees which have no student members, or to receive minutes of those portions of the meetings of the General Faculty or standing committees from which student members are required to withdraw.

Student members of committees shall withdraw from meetings when the cases of specific students are under consideration.

Moreover, with respect to the Faculty Committees which hear certain student appeals and cases of alleged academic dishonesty, the rules cited above for hearings of the Senate Board for Student Appeals and the Senate Committee on Academic Dishonesty prevail.

Faculty of Science

The Faculty of Science By-laws state that "Meetings of the Faculty shall be conducted in accordance with the rules and procedures of the Senate". Traditionally, this has been interpreted to mean that Faculty meetings are open and Faculty Council and Faculty Committee meetings are held in camera and that the Senate rules regarding access to the records of open and in camera meetings prevail, with one exception. The Faculty By-laws state, with respect to "Standing Committees" that, "Student members of committees shall withdraw from meetings when cases of specific students are under consideration".

Moreover, with respect to the Faculty Committees which hear certain student appeals and cases of alleged academic dishonesty, the rules cited above for hearings of the Senate Board for Student Appeals and the Senate Committee on Academic Dishonesty prevail.

Faculty of Social Sciences

The Faculty of Social Sciences By-laws state that,
• The General Faculty shall hold regular meetings twice a year, at which the rules of the Senate shall apply.
• The General Faculty delegates to the Faculty Council responsibility for the conduct of regular Faculty business subject to the following conditions and constraints:
1. The agenda and minutes of the Faculty Council, as well as summaries of minutes of the Faculty Council and of the standing committees of Faculty (excluding the Tenure and Promotion Committee, and the Budget Planning and Advisory Committee), shall be available to all members of the General Faculty.
2. Meetings of the Faculty Council shall be open to all members of the General Faculty as observers.
• Student members of [Standing Committees] shall withdraw from meetings when the cases of specific students are under consideration.
Moreover, with respect to the Faculty Committees which hear certain student appeals and cases of alleged academic dishonesty, the rules cited above for hearings of the Senate Board for Student Appeals and the Senate Committee on Academic Dishonesty prevail.

---

APPENDIX C

FREEDOM OF INFORMATION AND PROTECTION OF PRIVACY
McMASTER UNIVERSITY

SECURITY OF STUDENT DATA

---

Preamble

I	Definitions  1. Student Record 2. Personal Information
II	Responsibility  1. Personnel 2. Accuracy of Data
III	Access to Records 1. Internal  a) Public Information b) University Information c) Committees d) Health Science Information e) Residence f) Graduate Studies g) Other Cases  2. External  a) Transfer Outside University b) Legal Demands
IV	Access Procedures 1 Access by a Student to His or Her Record 2 Statistical Reports 3 Response 4 Research & Institutional Analysis 5 Refusal of Access 6 Appeal Procedures
V	Protection of Privacy Procedures 1 Collection of Information 2 Retention and Disposal of personal Information

---

PREAMBLE

 McMaster University recognizes that students have a right to personal privacy and a right to information held by the University concerning them. This document sets out how these objectives are to be achieved.

I	DEFINITIONS 1. STUDENT RECORD For the purpose of these guidelines, a "student record" means any record of information that pertains to a student and is collected and stored by the University, whether in printed form, on film, or by electronic means. 2. PERSONAL INFORMATION Personal information means recorded information about an identifiable student and includes: a) Information relating to the national origin, age, sex, or marital or family status of the student. b) Information relating to the education, medical, criminal or employment history of the student. c) Information relating to financial transactions in which the student has been involved. d) Student Number, Social Insurance Number. e) Address, Telephone Number f) Correspondence sent to an institution by the student of a private or confidential nature and the replies to that correspondence that would reveal the contents of the original correspondence.
II	RESPONSIBILITY 1. PERSONNEL The Registrar's Office will be responsible for collection and storage of the official University student record. The Registrar will respond to requests for access to student information using the following guidelines. 2. ACCURACY OF DATA In order to ensure that records are accurate, access to the student record is provided for the student. In addition, it is the practice to check information at the time of registration and by sending marks to students at the end of the first-term in the Winter Session and at the end of each session.
III	ACCESS TO RECORDS 1. INTERNAL a) Public Information Public information may be confirmed in response to an inquiry from outside the University and may be distributed freely to offices within the University. The following are defined as public information: student name, sex, degrees earned, date degrees obtained, undergraduate awards earned, date undergraduate awards earned and whether the student is full-time or part-time.  b) University Information The following may be distributed to offices within the University but should not generally be treated as public information: student number; address; phone number; information concerning birth; information concerning citizenship and date of entry to Canada; marital status; Social Insurance Number; faculty; programme and years in which a student is registered; and courses in which a student is registered.  Addresses will not be released externally. In cases of emergency the University will notify students on behalf of a person who wishes to contact a student. Information concerning citizenship may be disclosed to Provincial and Federal agencies. c) Senate Committees, Faculty Committees, Faculty Offices The following kinds of information will be restricted to the Registrar's Office, Senate and it's Committees and Boards, Faculty Offices and Faculty Committees and to others advising students: information about relatives, a student's place and nature of employment; information used during application process; high school marks; university marks, standing and averages.  "Others advising students" includes the Dean of Students and departmental advisors provided a "need-to-know" has been established to the satisfaction of the Associate Registrar (Records). From time to time, instructors may ask for this information and it is necessary that they establish a "need-to-know". Generally, an instructor should not be given the prior academic record of a student registered in his/her course until such time as a grade has been assigned to the student. This will avoid any suspicion that the grade assigned to a student may have been affected by the student's prior academic record unless there are special circumstances in which case the Chairperson of the department would be involved.  d) Information about Students in Health Sciences' Programmes Access to Admission File  1. Dean, Faculty of Health Sciences 2. Associate Dean (Education) - all records 3. Associate Dean (Nursing) - all undergraduate nursing records. 4. Chairperson of each particular programme: i) M.D. Education Committee ii) Undergraduate Nursing Education Committee iii) Undergraduate Occupational Therapy Education Committee iv) Undergraduate Physiotherapy Education Committee v) Midwifery Education Committee vi) Postgraduate Education Committee, and for residents in individual residency programmes, the co-ordinator of,  Internal Medicine Psychiatry Pediatrics Obstetrics & Gynaecology Surgery Laboratory Medicine Family Medicine Radiology Anesthesiology vii) Postprofessional Education Committee, and, Primary Care Nursing Child Life Studies Clinical Behaviourial Sciences Continuing Medical Education Environmental Health viii) Graduate programme in Medical Sciences> 5. Chairperson of each educational programme's Admissions Committee (or delegate for research purposes). Access to Student Records: 1. Dean, Faculty of Health Sciences 2. Associate Dean (Education) - all student records 3. Associate Dean (Nursing) - all undergraduate nursing records 4. The student 5. The student's assigned adviser 6. Chairperson of the educational committee (or delegate for purposes of research or periodic review, approved by that educational committee): a) M.D. Education Committee b) Undergraduate Nursing Education Committee c) Undergraduate Occupational Therapy Education Committee d) Undergraduate Physiotherapy Education Committee e) Midwifery Education Committee f) Postgraduate Education Committee and for residents in individual residency programmes, the Co-ordinator of: Internal Medicine Psychiatry Pediatrics Obstetrics & Gynaecology Surgery Laboratory Medicine Family Medicine Radiology Anesthesiology g) Postprofessional Education Committee, and, Primary Care Nursing Child Life Studies Clinical Behaviourial Sciences Continuing Medical Education Environmental Health h) Graduate programme in Medical Sciences  Admission records or student records shall not be available to others outside the above lists. Rules Relating to Access Access rules shall be included in the Calendar and/or the contractual letter sent to the students. Access to graduate student records is determined by the School of Graduate Studies and the Chair of the Graduate Curriculum and Policy Committee. a) Residence Information Information concerning residence generally is accessible to the Registrar's Office, offices of the University concerned with residence, the Financial Services Office and Faculty Offices. b) Graduate Studies Information which is available only for graduate students such as supervisor name and BIU counts are to be accessed by the Registrar's Office and the Graduate Studies Office. c) Cases Not Covered by the Above Any cases of doubt concerning the category into which data should fall should be referred to the Registrar. 2. EXTERNAL a) Transfer Outside the University of Information Concerning Individuals It is the general policy of the University not to disseminate information about a student to outside agencies. The Exceptions are: i) The issuing of transcripts at the request of the student ii) Transfer of information about applicants between the University and the Ontario Universities' Application Centre as part of the normal admissions processing and reporting on applicants who register. iii) The annual report to Statistics Canada which is protected under the terms of the Federal Statistics Act. iv) The provision of last known address to collection agencies specifically charged with the recovery of monies owing to the University or of funds provided under the Ontario Student Assistance Programme or under the Canada Student Loan Plan. Collection agencies will not be provided with addresses for any other purpose. v) The confirmation of information to a potential employer, scholarship granting agency. etc., where the student has signed a release; and vi) The provision of information to secondary schools where the student authorized the release of information at the time of completing the application or admission form, or as amended in writing later. b) Legal Demands For Data In cases where data from the student records are obtained by Court Order, the student will be advised by the Registrar or delegate unless this cannot be done under the terms of the Court Order. In addition to the information designated "Public Information" above, current and former addresses may be released to law enforcement officers.
IV	ACCESS PROCEDURES 1. ACCESS BY A STUDENT TO HIS OR HER RECORDS     student may make an appointment to see the Associate Registrar (Records) or designate in order to review the contents of his or her file that is located in the Registrar's Office. The student shall have the opportunity to draw to the attention of the Registrar's staff errors which are contained in his/her file and reasonable measures shall be taken to correct proven errors.  Letters of Reference or other documents sent to the University by a third party in confidence will not be shown to the student and normally should not be placed in the official student record files of the Registrar's Office. Letters of Reference are required for students seeking admission to Medical School. Admission files for Medical programmes are maintained separately; rights to access are defined in Section III, (d) Health Sciences Information. For unsuccessful applicants to the M.D. Programme, the Admissions files are destroyed within a time period specified by the Faculty of Health Sciences. For successful applicants, the Letters of Reference should not be placed in the student's official files, but should be maintained separately .  2. STATISTICAL REPORT Reports made to the Senate of the University in September and December are public documents and any information contained therein can be given out after they have been received by the Senate. Any of the information contained in the tables of the Registrar's Report can be disseminated to employees of the University. Among the tables in the Registrar's Report those contained in Sections I, II, III, IV, V and VIII may be considered public information; tables included in Sections VI and VII are to be restricted to internal use within the University unless otherwise authorized by the Registrar.  All requests for statistical information from the news media are to be referred to the Registrar. From time to time Ad Hoc requests for information are received by the Records area of the Registrar's Office. In cases of doubt, the Registrar is to be consulted. In all such cases a log of requests is maintained by the Records Statistician. Requests for records should be in writing and in sufficient detail to enable identification of them with reasonable effort. The University will provide reasonable assistance in formulating the request. If the request is to be continued over a period of more than one year, the University will provide a schedule indicating the dates at which it will consider the request to have been received again. 3. RESPONSE Requests for access to data for other research purposes are to be addressed to the Registrar, who will specify conditions under which access may be granted. These conditions will normally specify that the findings must be presented to the Registrar prior to their publication or dissemination. 4. RESEARCH AND INSTITUTIONAL ANALYSIS Access to data contained in individual student records will be provided to the Office of Analysis and Budgeting to facilitate the work of that office in the following manner; a) specifications for projects are to be provided in advance to the Registrar; b) the Registrar will grant or deny the request or specify the conditions under which the request may be honoured. (For ongoing or repeated projects acceptance of the original specifications covers repetitions, provided the Registrar (or his/her delegate) is informed of the intentions to access the records to ensure that the records are accurate and that the timing is appropriate); c) copies of the reports are to be supplied to the Registrar. 5. REFUSAL OF ACCESS When information is denied, the Registrar will provide a written statement to this effect, stating reasons why. Written notice will also be given in instances where the Registrar refuses to confirm or deny the existence of a requested record, and where the refusal is based on third party considerations.  6. APPEAL PROCEDURES Appeals of decisions of the Registrar may be made in writing within thirty days to the Vice President, Administration.
V	PROTECTION OF PRIVACY PROCEDURES 1. Personal information is to be collected directly from the individual and will relate to the nature of the University as an institution of higher learning. Exceptions are listed below: a) The individual authorizes another manner of collection b) The information is collected for the purposed of determining a person's suitability for admission to an academic program or determining suitability for an honour or award to recognized outstanding achievement or distinguished service. 2. RETENTION AND DISPOSAL OF PERSONAL INFORMATION Original copies of the student record will be maintained by the University for seven (7) years after the year in which the student last registers. After seven (7) years all original documentation will be destroyed and only the student transcript will be stored.

---

APPENDIX D

GUIDELINES FOR PRIVACY AND ACCESS TO
RECORDS OF McMASTER EMPLOYEES

---

1. GENERAL

These guidelines have two fundamental purposes with respect to the information held within the records of faculty and staff members arising from their employment relationship with McMaster University:

(a) to provide a right of access to information that should be available to various parties; and
(b) to protect the privacy of information about employees.

The Office of the Provost and Vice-President (Academic) has primary responsibility for academic information about faculty. The Office of Human Resources has primary responsibility for other information about faculty and for information about staff. The se offices are responsible for ensuring that these guidelines are provided to appropriate offices and for their interpretation.

The Office of the School of Graduate Studies is responsible for teaching and research assistants who are graduate students.

An appendix is attached which provides the types of information held, who collects and maintains such information and to whom such information is accessible. These guidelines apply not only to the areas listed, but to all other areas at McMaster University which may capture or use the same or similar information.

In cases of conflict between these guidelines and procedures specified within a policy approved by the Board of Governors or by the Senate or under powers delegated by either of these two bodies, the latter provisions shall supersede these guidelines.

2. ACCESS BY FACULTY/STAFF TO HIS/HER RECORD

A faculty member may make an appointment through the Office of the Provost and Vice-President (Academic) to review the contents of his/her academic file. A faculty or staff member may make an appointment through the Office of Human Resources to review his/her personnel file.

Information which has been received from a third party in confidence or has been specified as restricted in this policy or in policies approved by the Senate and/or the Board of Governors will not be disclosed. When reviewing a file as provided above, individuals may request copies of documents which refer to them and are not restricted, and may point out errors which are contained in the file; and reasonable measures shall be taken to correct errors. In the event of a disagreement the individual may have a statement placed on file. All corrections and statements shall be included in all the areas indicated in the Appendix.

3. ACCESS TO INFORMATION FOR OTHER PARTIES

Information collected about Faculty and Staff members varies in nature and so should be treated differently. Access to differing types of information is, therefore, defined differently as shown in the Appendix.

Public Information may be disclosed in response to any inquiry from outside the University. Depending on the nature of the request, a fee may be charged for such information. Such information may be distributed freely to the offices of the University and to McMaster employee organisations for appropriate use within those offices.

University Information (with the following exception) may be distributed to offices within the University, but should not generally be treated as "Public Information". The exception to this distribution rule is Tenure and Promotion material which may be distributed only under the restrictions specified under footnote #2 in the Appendix.

Third Party Information consists of personal recommendations and character references other than performance appraisals performed by the individual's supervisor. This information is not available to other than those for whom such information is prepared or provided and may be kept separate from the individual's file.

Private information presumes that the disclosure of such information would constitute an invasion of personal privacy. Where a caller is attempting to locate an individual within the University, the name of the department and the telephone extension number of the individual may be given, but no private information may be disclosed.

Any other private information including performance appraisals may only be provided with the written consent of the employee.

4. INFORMATION FOR USE BY CURRENT SUPERVISORS

The individual's personal file in the Provost's Office for faculty and in the Office of Human Resources for staff and any other relevant data (with the exception of medical information) where a need to know is established to the satisfaction of the Provost in the case of faculty and to the Director of Human Resources in the case of staff, may be made available to the current supervisor of the individual. The review shall take place in the Area Human Resource Office in the presence of a Human Resource Officer or more senior person. Where such file is not located in Human Resources, the review shall take place in the location, and in the presence of an appropriate person where the file is maintained.

5. INFORMATION FOR USE IN GRIEVANCE PROCEEDINGS

All written information which is pertinent to the grievance proceeding will be made available to the appropriate parties as provided for in the relevant grievance policies. In determining pertinence, the University shall consider all relevant circumstances as identified in the Freedom of Information Act.

6. LEGAL DEMAND FOR DATA

In cases where information is obtained by Court Order, the individual will be advised that the information has been released by the University, unless this cannot be done under the terms of the Court Order.

7. TRANSFER OF INFORMATION ABOUT FACULTY AND STAFF OUTSIDE THE UNIVERSITY

The University is obliged to provide information to the Federal and provincial Governments for purposes of taxation and administration of social programmes. Data about faculty are provided to Statistics Canada; confidentiality is protected under the act which regulates Statistics Canada.

The University provides data for the administration of the benefits programmes to the University's actuary, the trustee of the pension plans, and to the insurance company which administers the benefits programmes.

Statistical data, in which individuals are not identifiable, are provided regularly to agencies such as the Council of Ontario Universities and the Ontario Council on University Affairs and these become public. Such data may be provided in response to other external requests.

Any requests for data about faculty which are not covered by the foregoing shall be referred to the Provost and Vice-President (Academic) for decision, and to the Vice-President (Administration) in the case of Staff.

8. ACCURACY OF DATA

In order to ensure that information is accurate, access is provided for the individual. In addition, it is the practice to check and verify some of the information by sending out personal statements on a regular basis.

FREEDOM OF INFORMATION/PERSONAL PRIVACY

Information Retained	Types of Information	Payroll	H.R.	President	Provost	Faculty	Dept.	Gr.St.1< /td>
Identifying
Name	Public	M	A	A	A	A	A	M
McMaster ID	University	M	A					M
Department	Public	M	A	A	A	A	A	M
Rank/Position	Public	M	A	A	A	A	A	M
Employment Status (Staff)2	Private	M	A	A	A	A	A
Appointment Status	Public	M	A	A	A	A	A
Administrative Duties	Public	M	A	A	A	A	A
Eligibility Period								M
----------------------------------------------------------------------------------------------------------------
Personal Characteristics
Gender	Private	M	A	A	A	A	A	M
Birthdate	Private	M	A	A	A	A	A
Social Insurance Number	Private	M	A					M
Citizenship	Private	M	A	A	A	A	A
Birthplace	Private	M	A		A	A	A
Marital Status	Private	M	A		A
----------------------------------------------------------------------------------------------------------------
Communication
Home Address	Private	M	A				A	M
Home Telephone Number	Private	M	A				A
Campus Address	Public	M	A	A	A	A	A	M
Campus Telephone Number	Public	M	A	A	A	A	A
Contact Person	University	A	M
----------------------------------------------------------------------------------------------------------------
Education
C.V	.	University			A	A	A	M
Degrees	Public	M	A	A	A	A	A
Honours	Public				A	A	A
----------------------------------------------------------------------------------------------------------------
Benefits
Benefit Plan Information	Private	M	M					M
Beneficiary Information	Private		M
Medical History	Private		M
----------------------------------------------------------------------------------------------------------------
Performance
Appraisals (Staff)	Private		M				A	M
Activity Records (Faculty)	Private				A	A	M
Attendance Records (Staff)	Private		M				M
Tenure & Promotion material3	University				A	A	M
----------------------------------------------------------------------------------------------------------------
References
At Hiring (Staff)	Third Party		M
At Hiring (Faculty)	Third Party			A	A	A	M
Tenure and Promotion	Third Party				A	A	M
----------------------------------------------------------------------------------------------------------------
Evaluations Conducted by the University
Teaching	Private					A	M
----------------------------------------------------------------------------------------------------------------
Research Leave Applications
Non-leave grants	Private	M			A	A	A
Research leaves	Public	M	A		A	A	A
Research leave reports	Private					M	A

1 - Information i.e. teaching assistants
2 - Employment status refers to full-time, part-time, casual, etc.
3 - Distribution of this material is restricted to the Department, Faculty and Senate Committees specified in the "McMaster University Revised Policy and Regulations with Respect to Academic Appointment, Tenure and Promotion"
M - Maintained/Collected and Access
A - Access Only

APPENDIX E

GUIDELINES FOR PRIVACY AND ACCESS TO RECORDS OF ALUMNI AND
DONORS TO McMASTER

Further to the charitable giving policies approved by the board of governors at the end of 1990 and the policy within Public Relations, Alumni and Development for confidentiality of alumni and donor records, the following are the guidelines with respect to confidentiality of all information retained by the university for alumni relations and fund raising activities.

All information pertaining to donors and donations received by McMaster University is considered confidential. The names and addresses of alumni and all other information kept in the alumni database are also confidential.

Alumni records are not available to individuals or groups promoting events, products or services, unless endorsed by the Alumni Association and/or the Alumni Office.

The Executive Officers of the University, the Development Office Staff, Fund Administrators and Office of Investment Staff may have access to information regarding donors and alumni on a need-to-know basis. Only the Executive Director or Directors in Alumni and Development may approve the release of donor information to those where the need-to-know has been established.

All requests for donor information should be made through a representative of the Development or Annual Fund Office. The Office representative should determine what his/her role will be in managing the donor list. It is important for appropriate information to be available to deans or deans' representatives, but a representative of the Development Office/Annual Fund Office should be the manager of any donor lists.

All requests for alumni information should be made through the Alumni Director or his/her representative. The Office representative should determine what his/her role will be in managing the alumni list. It is important for appropriate alumni information to be available to deans or deans' representative, but a representative of the Alumni Office should be the manager of any alumni lists.

Accompanying all donor or alumni information will be a letter to the requester that he/she assumes responsibility for using the information solely for the purpose specified. A copy of the letter (and list, if practical) should be kept on file at the Alumni Office. If the list will be used for mailings, research projects, phone calls or any other purpose, the Alumni Office has the right and responsibility to approve all material and approaches to alumni. It is generally recognized that there must be control and coordination of all contacts with alumni; this will be accomplished only if all groups "clear" their requests and activities through the Alumni Office.

All information retained on the alumni database will be open and accessible to the individuals themselves.

Information about donations from McMaster faculty and staff will be restricted to members of the Alumni and Development Office and others with a clear need to know such as Financial Services for the purposes of accounting. For the purpose of thanking the donor, Deans will be advised of gifts to their area. Unrestricted gifts or designations to other areas will not be brought to the Dean's attention. Information given will be limited normally to the name of the donor and not the amount of the donation or the payment schedule. This information will be provided solely for the purposes of thanking the donor and will not be taken into consideration when making decisions regarding tenure, promotion, performance appraisal and salary increases.

February 11, 1993

---

Contact Department: BOARD OF GOVERNORS OFFICE

---

MUFA - pdk
November 1999