Zaustinsky v. University of California

96 F.R.D. 622, 30 Fair Empl. Prac. Cas. (BNA) 1535, 12 Fed. R. Serv. 1090, 36 Fed. R. Serv. 2d 83, 1983 U.S. Dist. LEXIS 19475
CourtDistrict Court, N.D. California
DecidedFebruary 4, 1983
DocketNo. C-80-0752-WWS
StatusPublished
Cited by16 cases

This text of 96 F.R.D. 622 (Zaustinsky v. University of California) is published on Counsel Stack Legal Research, covering District Court, N.D. California primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Zaustinsky v. University of California, 96 F.R.D. 622, 30 Fair Empl. Prac. Cas. (BNA) 1535, 12 Fed. R. Serv. 1090, 36 Fed. R. Serv. 2d 83, 1983 U.S. Dist. LEXIS 19475 (N.D. Cal. 1983).

Opinion

MEMORANDUM OF OPINION AND ORDER

SCHWARZER, District Judge.

In this Title VII action plaintiff, a tenured faculty member of the University of California at Santa Cruz, seeks to prove that she was denied promotion to full professor and otherwise discriminated against because of her sex. Plaintiff has twice moved to compel discovery of peer evaluations which were written and submitted with an express expectation of confidentiality.1 Her first motion was denied in February 1981 by Magistrate Woodruff on the authority of McKillop v. Regents of the University of California, 386 F.Supp. 1270 (N.D.Cal.1975). Judge Weigel denied plaintiff’s motion for reconsideration.

On August 6, 1982, plaintiff again requested defendant to produce her personnel file in addition to the files of seven comparable males. The University again objected, and plaintiff filed a second motion to compel. Plaintiff based the renewal of her motion on these “changes in law and fact”: (1) the intervening Ninth Circuit decision of Lynn v. Regents of the University of California, 656 F.2d 1337 (9th Cir.1981), had, according to plaintiff, “implicitly repudiated” McKillop; (2) defendant’s responses to interrogatories had made it clear that the material in the confidential files was the “heart” of the University’s defense.

Magistrate Woodruff granted plaintiff’s second motion, relying on Lynn. On December 3, 1982, he entered an order compelling production of the files, subject to certain protective restrictions.2 Defendants move for reconsideration of that order.

I. The Lynn Case

The first question to be decided is whether Lynn requires affirmance of the magistrate’s decision.

The plaintiff in Lynn had been denied access to her tenure review file pursuant to a protective order. At trial the University submitted the file to the court for an in [624]*624camera inspection after the plaintiff had introduced into evidence the tenure committee’s minority report. The Ninth Circuit held that the receipt and review of the file by the trial court without disclosure to the plaintiff violated due process. “In view of [that] holding,” the court noted, it “need not decide the question whether tenure review files, and more particularly peer evaluations, are privileged in academic Title VII cases generally.” 656 F.2d at 1346. The court went on, however, to “provide the district court with some guidance” on that question for the proceedings on remand. Id It did so by expressing agreement with the decisions of the Fourth and Fifth Circuits in Jepsen v. Florida Board of Regents, 610 F.2d 1379, 1384 (5th Cir.1980), and Keyes v. Lenoir Rhyne College, 552 F.2d 579, 581 (4th Cir.) (dictum), cert. denied, 434 U.S. 904, 98 S.Ct. 300, 54 L.Ed.2d 190 (1977), and stating:

The University claims that Lynn was denied tenure because of deficient scholarship. Since its view of Lynn’s ability is based, in large part, on the content of the tenure review file, including peer evaluations, the University is defending, in essence, on the ground that its tenure decision with respect to Lynn was based on nondiscriminatory peer evaluations. Under Jepsen and Keyes, disclosure of the evaluations would be required.

656 F.2d at 1347.

The facts of this case appear to be covered by the language in Lynn, for there is little question that the University’s defense is based “in whole or in part” on the plaintiff’s confidential evaluation. Lynn, supra, 656 F.2d at 1342 n. 15. Since both the majority and the concurring opinions in Lynn make it clear, however, that the court did “not decide the question whether tenure review files, and more particularly peer evaluations are privileged . . .,” id. at 1346, this Court is not bound by the Lynn court’s expression of its view. Moreover, considering the delicacy and importance of this issue, the Ninth Circuit presumably will wish to give full consideration to all of its ramifi1 cations before articulating a definitive rule. This is particularly true in light of the post-Lynn decision of the Second Circuit in Gray v. Board of Higher Education, 692 F.2d 901, 30 FEP Cases 297 (1982).

II. The Scope of the Duty to Produce Confidential Review and Evaluation Files

No absolute privilege protects academic files from disclosure. The University’s claim must be judged in accordance with Rule 501 of the Federal Rules of Evidence, which leaves questions of privilege to case-by-case adjudication “in the light of reason and experience.” See Trammel v. United States, 445 U.S. 40, 47-48, 100 S.Ct. 906, 910-11, 63 L.Ed.2d 186 (1980). When universities have asserted in academic Title VII cases that confidential files or votes are privileged, the courts have “balanced the university’s interest in confidentiality, i.e., in maintaining the effectiveness of its tenure review [or promotion] process, and the need which Title VII plaintiffs have for obtaining peer evaluations in their efforts to prove discriminatory conduct.” Lynn, supra, 656 F.2d at 1347.

Although courts have struck this balance with varying results,3 there can be no question that the materials in issue here are eligible for treatment as privileged confidential communications. The criteria of eligibility, as stated by Wigmore, are these:

[625]*625(1) The communications must originate in a confidence that they would not be disclosed.
(2) This element of confidentiality must be essential to the full and satisfactory maintenance of the relation between the parties.
(3) The relation must be one which in the opinion of the community ought to be sedulously fostered.

8 Wigmore, Evidence § 2285 at 527 (McNaughton rev. 1961). Each criterion is satisfied by the materials involved here. First, the evaluations were submitted with an expectation of confidentiality. Second, confidentiality is a prerequisite to the effectiveness of a peer evaluation system of faculty selection and promotion. See McKillop v. Regents of the University of California, 386 F.Supp. 1270, 1276 (N.D.Cal.1975); see also Gray v. Board of Higher Education, 92 F.R.D. 87, 92-93 (S.D.N.Y.1981); Note, Preventing Unnecessary Intrusions on University Autonomy: A Proposed Academic Freedom Privilege, 69 Cal.L.Rev. 1538, 1551-52 (1981).

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96 F.R.D. 622, 30 Fair Empl. Prac. Cas. (BNA) 1535, 12 Fed. R. Serv. 1090, 36 Fed. R. Serv. 2d 83, 1983 U.S. Dist. LEXIS 19475, Counsel Stack Legal Research, https://law.counselstack.com/opinion/zaustinsky-v-university-of-california-cand-1983.