Untitled Texas Attorney General Opinion ( 1991 )


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  •                            QBfficeof tfie !Zlttornep@enerst
    &date of QCexae
    September 12,199l
    Honorable Burton F. Raiford                       Opinion No. DM- 40
    Interim Commissioner
    Texas Department of Human Services                Re: Whether federal law authorizes a
    P.O. Box 149030                                   federal agency to require the Depart-
    Austin, Texas 78714-9030                          ment of Human Services to delete certain
    information   from    personnel     files
    (RQ-2152)
    Dear Commissioner Raiford:
    Your predecessor in office sought the opinion of this office as to whether
    federal law requires the deletion of certain information from personnel files.
    Specifically, your predecessor asked whether the authority given the federal Equal
    Employment Opportunity Commission (EEOC) in title 42. section’2OOOe-5of the
    United States Code and further explained in the policies and conciliation standards
    of the EEOC is paramount federal law that requires the Department of Human
    Services to delete information from personnel files in settlement agreements with
    the EEOC.
    The EEOC has authority to investigate and attempt to resolve discrimination
    claims under title VII of the Civil Rights Act of 1964, by informal methods of
    conciliation. 42 U.S.C. 99 2OOOe-4(g),2OOOe-5.In the EEOC Compliance Manual,
    containing the policy statement on remedies and relief for individual cases of
    unlawful discrimination, approved February 5, 1985, the EEOC enumerates
    elements which all conciliation agreements should contain in appropriate
    circumstances.t Among these elements of relief the EEOC includes:
    (2) A requirement that corrective, curative or preventive action
    be taken, or measures adopted, to ensure that similar found or
    conciliated violations of the law will not recur.
    1 These are not federal regulations adopted pursuant to statute, but statements of policy
    p.    196
    Honorable Burton F. Raiford - Page 2           (DM-40)
    EEOC Compl. Man. (CCH) at 1. As a component of this element the EEOC policy
    statement further provides:
    In addition, the respondent must be required to take all other
    appropriate steps to eradicate the discrimination and its
    effects, such as the expunging of adverse materials relating to
    the unlawful employment practice from the discriminatee’s
    personnel files.
    Id at 2. The term “deletion” in the context of your question implies that the record
    is to be destroyed or otherwise permanently removed from the governmental body’s
    custody. Section 12 of the Texas Gpen Records Act, V.T.C.S. article 6252-17a,
    provides, in part:
    Any person who willtirlly ~destroys, mutilates, removes
    without permission as provided herein, or alters public records
    shallbe guilty of a misdemeanor . . . .
    Section 5(a) of the Gpen Records Act provides, in pertinent part:
    Itshall be the duty of the officer for public records, subject
    to penalties provided in this Act, to see that the public records
    are made available for public inspection and copying; that the
    records are carefully protected from deterioration, alteration,
    mutilation, loss, or unlawful removal; and that public records
    are repaired, renovated, or rebound when necessary to
    maintain them properly. When records are no longer currently
    in use, it shall be within the discretion of the governmental
    body . . . to determine a period of time for which said
    records will be preserved subject to state laws governing the
    destruction and other disposition of state and local government
    records.
    Section 441.035 of the Government Code provides, in part:
    p.   197
    Honorable Burton F. Raiford - Page 3              (DM-40)
    (e) With the approval of the director and librarian [of the
    State Library and Archives Commission], in accordance with
    this section, the head of any department or institution may
    destroy any state record in the custody of the head of the
    department or institution that, in the opinion of the head of
    the department or institution, does not have any further legal,
    administrative, or historical value. Before destroying the state
    record, the head of the department or institution must file an
    application to do so with the director and librarian that
    describes the original purpose and the contents of the state
    record.
    In Attorney General Opinion JM-830 (1987), this office considered, among other
    things, whether a state agency could seal personnel records subject to the EEOC’s
    authority to resolve complaints through conciliation. That opinion concluded that
    [nleither this provision [section 2OOOe-51nor any other
    provision of the federal act expressly authorizes the EEOC to
    order state agencies to seal personnel records. This power is
    beyond the commission’s authority to approve the vm
    resolution of discrimination complaints. The EEOC lacks the
    authority to authorize or require a state agency to ignore a
    state statute such as the Open Records Act. The EEOC has no
    power to adjudicate claims or impose administrative sanctions.
    m                         -   v         
    415 U.S. 1361
    at 44.
    Responsibility for the enforcement of the act is vested in the
    federal courts. 
    Id. See &xs.
    Roebuck & Co. v. m
    . .
    oppo&&y      COmml~        
    435 F. Supp. 751
    , 761
    (D.D.C. 1977) (commission lacks authority to issue binding
    substantive rules).
    . . . .
    We have no doubt that expunction is an appropriate
    iuQirial remedy to afford relief under both the federal act and
    the state act. . . . As indicated, the federal commission lacks
    authority to adjudicate claims or impose administrative
    sanctions.
    p.   196
    Honorable Burton F. Raiford - Page 4                    (DM-40)
    Attorney General Opinion JM-830 at 7 (emphasis in original).
    While the above-quoted passage from Attorney General Opinion JM-830
    discusses sealing information in personnel records rather than deleting it, it correctly
    analyxes the narrow issue presented in your predecessor’s opinion request. As
    federal law does not authorize the EEOC to require that records be sealed,2 neither
    does it authorize the EEOC to require the deletion of information from persomrel
    files in contravention of state law. However, as Attorney General Opinion JM-830
    discusses sealing records rather than deleting them, it does not discuss section 5 of
    the Gpen Records Act and section 441.035(e) of the Government Code. These
    provisions, which provide for the destruction of certain state records upon
    application to the director and librarian of the State Library and Archives
    Commission, may provide a mechanism for deletion of certain records in
    compliance with state law while permitting the inclusion of record expungement as a
    remedy in voluntary EEOC settlements. Under these provisions a state agency in
    consultation with the director and librarian could establish a retention policy for
    those portions of a personnel 6le subject to an EEGCdispute that provides for the
    destruction of such records upon settlement of the dispute. Accordingly, we would
    encourage your staff to contact the Texas State Library and Archives Commission.
    SUMMARY
    As federal law does not author& the EEOC to require
    that records be sealed, neither does it authorize the EEOC to
    require the deletion of information from personnel files in
    contravention of state law.
    Section 5 of the Gpen Records Act and section 441.035(e)
    of the Government Code which provide for the destruction of
    * The Texas Open Records Act, art. 6252-17a, V.T.C.S., provides for public access to records
    of govenlmcntal bodiq imhling state agencies. Section 3 of the Open Records AU provides that
    information is to be available for public inspection unless spccif~cally excepted in subs&on (a) of that
    sectioa. some of the exceptions eluunerated in section 3(a) may coincidentauy except solue
    information which the EEOC may wish expunged in a settlement agreement. However, unless one of
    the exceptions in section 3(a) applies, information may not be withheld from public disclosure unlcs a
    court so orders.
    p.   199
    Honorable Burton F. Raiford - Page 5        (DM-40)
    certain state records upon application to the director and
    librarian of the State Archives and Library Commission, may
    provide a mechanism for deletion of certain records in
    compliance with state law while permitting the inclusion of
    record expungement as a remedy in voluntary EEOC
    settlements.
    DAN      MORALES
    Attorney General of Texas
    WILL PRYOR
    First Assistant Attorney General
    MARY KELLER
    Executive Assistant Attorney General
    JUDGE ZOLLIE STEAKLEY (Ret.)
    Special Assistant Attorney General
    RENEA HICKS
    Special Assistant Attorney General
    MADELEINE B. JOHNSON
    Chair, Opinion Committee
    Prepared by John Steiner
    Assistant Attorney General
    p. 200
    

Document Info

Docket Number: DM-40

Judges: Dan Morales

Filed Date: 7/2/1991

Precedential Status: Precedential

Modified Date: 2/18/2017