UC Santa Barbara Policy 7000
Policies
Issuing Unit: Administrative Services Date: July 1, 1977
PRIVACY AND ACCESS TO INFORMATION
I.REFERENCES:*
A.University Policy on Privacy and Access to Information, Office of
the President, February 25, 1977.
II.POLICY:
A.Purpose and Scope:
This statement sets forth the general policy of the University
governing access to and privacy of information about individuals.
The University supports securing to individuals their fundamental
rights in the area of institutional information practices. This
policy guarantees to individuals access to files maintained on
them and sets forth provisions to govern the collection,
maintenance, accuracy, dissemination, and disclosure of
information about them. Included in this policy are safeguards
which ensure protection of individual privacy.
Recognizing the special considerations attending the collection,
maintenance, accuracy, dissemination, and disclosure of academic
personnel records, staff personnel records, and student records,
policies relating to access and privacy of academic and staff
personnel records are to be issued separately. Student records
are separately covered in "University of California Policies
Applying to the Disclosure of Information from Student Records."
All University records that fall within the definitions included
in Section II below are covered by this policy, including but not
restricted to business and financial, gift and endowment, alumni,
patents, publications, medical, library, and research records,
and excluding only those three records systems mentioned in the
above paragraph.
B.Definitions:
For the purpose of this policy:
1. The term "file" means a collection of information which is
retrieved by the name of an individual or by some
identifying particular assigned to an individual.
2. The term "individual" means a natural person acting in his
or her individual and private capacity.
C.General Requirements:
The University of California shall:
1. Maintain only that information which is relevant and
necessary to accomplish a purpose of the University or is
authorized by law.
2. Attach to any form used to collect information from
individuals a statement containing the following, unless
such information is already contained in the form itself:
a. the name of the University office that is requesting
the information;
b. the title, University address, and University telephone
number of the official who is responsible for the
maintenance of the information;
c. the University policy or other legal authority which
authorizes the maintenance of the information;
d. with respect to each item of information, whether
submission of such information is mandatory or
voluntary;
e. the consequences, if any, of not providing all or any
part of the requested information;
f. the principal purpose or purposes for which the
information is to be used; and
g. the individual's right to review files maintained on
him or her by the University.
3. Maintain all files with accuracy, relevance, timeliness, and
completeness.
4. Ensure that no information in a file is transferred outside
the University unless the transfer is compatible with the
purpose for which it was collected, or when such transfer is
required by law, or pursuant to a showing of compelling
circumstances affecting the health or safety of an
individual.
5. Ensure that no information is destroyed for the purpose of
avoiding compliance with this policy.
6. Ensure that no individual is denied access to any
information which has been utilized in a determination which
affects that individual.
D.Access and Amendments to Records:
Each University office which maintains files shall:
1. Permit any individual upon request and proper identification
to gain access to the original or a complete copy of any
file pertaining to such an individual. A file in active use
shall be made available within 30 days of the request; a
stored file within 60 days. An individual shall not be
permitted to gain access to any file that does not pertain
to him or her except as provided under the State of
California Public Records Act (Section 6250 et. seq. of the
Government Code) or pursuant to statutes or judicial
decisions relating to discovery during litigation.
2. Permit the individual to request in writing an amendment to
the file, and within 30 days of such request:
a. make any correction requested by the individual; or
b. permit the individual to file a concise statement of
dispute which shall be included as a permanent part of
the file; or
c. with the agreement of the individual, destroy disputed
information.
3. Provide at reasonable charge copies of any documents within
a file to which the individual is entitled to obtain access.
E.Exemptions:
1. Nothing in this policy shall be construed to allow an
individual access, not otherwise authorized by law, to
information in a file compiled in reasonable anticipation of
a civil action or University administrative proceeding
against such individual.
2. Nothing in this policy shall be construed to allow an
individual access to information which is required by law to
be kept confidential, or information which is subject to
recognized legal privilege.
3. Nothing in this policy shall be construed to allow an
individual access to testing or examination material, the
disclosure of which would compromise the objectivity of the
process, or to medical or psychiatric records, the dis-
closure of which would, in competent medical opinion, be
detrimental to the individual.
4. Nothing in this policy shall be construed to allow an
individual access to files:
a. maintained by the University for the purpose of
enforcing criminal laws or preventing crime where such
files are used exclusively for law enforcement
investigative information and information in such files
is acquired in conjunction with the investigation of
criminal activity; and
b. the files exempted under subdivision (1) above consist
of information compiled for the purpose of a criminal
investigation, including reports of informants and
investigators, and associated with an identifiable
individual.
F.Review of University Officials' Decisions and Actions:
Whenever an individual is dissatisfied with a University
official's decision or actions relating to the implementation of
this policy, he or she may file a petition with the Chancellor,
Major Laboratory Director, or, for Systemwide Administration
offices, the President, or their designated representative. These
officials will consult with the Office of the General Counsel for
interpretation of existing Federal and State laws dealing with
access to personal information prior to rendering a decision.
*Additional References:
The California Public Records Act (Government Code Sections 6250-6260)
The State of California Information Practices Act of 1977 (Civil Code
Section 1798 et.seq.)
Please direct questions about these policies to Meta.Clow@vcadmin.ucsb.edu. For questions or comments regarding the format of the above information, please contact webcontact@ucsbuxa.ucsb.edu.
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Last Modified By: EBH, 7/09/98