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RMP-11, Student Applicant RecordsJune 15, 1989
I. REFERENCES
Business and Finance Bulletin RMP-8, "Legal Requirements on Privacy of
and Access to Information," dated December 10, 1985, with revised pages
5, 22, and 28 dated September 15, 1986; revised page 8 dated February 1,
1987; revised pages 2, 8a, 9-12, 18, 18a, and 19-23 dated April 15,
1988; and revised pages 14 and 15 dated February 15, 1989.
Letter from Afton E. Crooks, Coordinator of Information Practices and
Special Projects, Office of the President, to Olga Euben, Associate
Director of Admissions, Santa Cruz campus, August 24, 1982.
Letter from A. T. Brugger, Special Assistant for Student Affairs
Services, Office of the President, to Edward Birch, Vice Chancellor,
Student and Community Affairs, Santa Barbara campus, June 27, 1983.
Letter from Rosalie G. Passovoy, Coordinator of Student Special
Services, Office of President, to Masa Fujitani, Associate Director of
Admissions, Irvine campus, July 1, 1983.
Letter from Vice Chancellor Birch to Charles W. McKinney, Registrar and
Robert E. Bason, Assistant Chancellor University Relations, Santa
Barbara campus, September 8, 1983.
Letter from Coordinator Passovoy to Michael Miller, Director of Student
Recruitment, Riverside campus, September 14, 1984.
Letter from Coordinator Crooks to Director Miller, January 18, 1985.
Letter from Philip E. Spiekerman, University Counsel, Office of the
General Counsel, to Virginia Kelsch, Associate Director of Development,
University Advancement, Irvine campus, June 21, 1985.
Opinion by Melvin W. Beal, University Counsel, Office of the General
Counsel, to Jack W. Peltason, Chancellor, Irvine campus, July 30, 1985.
California State Information Practices Act, Section 1798 et seq.
II. INTRODUCTION AND DEFINITIONS
The purpose of this Bulletin is to furnish guidelines for consistent and
fair practices in providing and protecting access to records of
University applicants (as distinct from full-fledged, matriculating
students) in accordance with applicable laws and University policies.
A. Applicant Records reference a person during the period of
application, acceptance, and admission to the University, prior to
actual enrollment in classes. Access to applicant records is
governed by the State of California Information Practices Act (IPA).
No distinction is made between U.S. and foreignborn student
applicants regarding disclosure of information. The IPA protects the
rights of individuals without regard to nationality.
B. Student records are those records which: (a) are directly related to
a student, and (b) are maintained by a University of California campus
or by a party acting for the campus, whether recorded by handwriting,
print, tapes, film, microfilm, or other means. Student records
include, but are not limited to, academic evaluations, transcripts,
test scores and other academic records, general counseling and
advising records, disciplinary records, and financial aid records.
Applicant records become student records after the student has been
admitted, enrolled in, and been in attendance, at the University.
Access to student records is governed by the Federal Family
Educational Rights and Privacy Act (FERPA) and the State's Donohoe
Act, as reflected in the University's Policies Applying to Campus
Activities, Organizations, and Students, Part B.
III. CREATION, MAINTENANCE, AND DISPOSITION
The offices of the Graduate and/or Undergraduate Admissions are
respectively responsible for creating, maintaining, and safeguarding
access to applicant records.
The IPA allows for the collection only of information that is "relevant
and necessary" to accomplish the intended stated purpose. In the case
of applicant records, the information collected must clearly aid the
University in determining eligibility for admission and ranking for
scholarships, and disclosure of any allowable portion of it must be in
accordance with the IPA (see Section IV. below).
The IPA further requires the application forms to carry a privacy notice
and statement advising the person filling out the form whether answering
the questions posed is mandatory or voluntary; what authority authorizes
maintenance of the information; and what, if any, consequences exist for
failure to supply any part of the information asked.
The University of California Records Disposition Schedules Manual
provides specific guidelines as to how long admissions records are to be
kept and when they should be destroyed. Copies of the Manual may be
obtained from the campus or Office of the President Records Management
Coordinators.
IV. DISCLOSURE GUIDELINES
Disclosure of applicant information is governed by three basic tenets:
(1) there are broad access rights by an individual to information
pertaining to that individual; (2) nonpersonal information may be
disclosed to anyone; and (3) disclosure to third parties of personal
information is allowed only under specific statutory provisions.*
The following are guidelines which have been developed in response to
specific questions regarding information from applicant records. While
it is recognized that there are many more than the four categories
herein addressed, the most frequently occurring questions over the years
have involved these specific groups. We, therefore, have limited the
discussion to them at this time.
* See Business and Finance Bulletin RMP-8, "Legal Requirements on
Privacy of and Access to Information," pp. 13-15, for definitions of
personal and nonpersonal information, and pp. 18a-21 regarding
disclosure. See also, July 30, 1985 letter from University Counsel Beal
to Chancellor Peltason.
A. Applicants
In accordance with University policy, an applicant has the right to
see records referencing him or her with regard to the application
process, except that disclosure of evaluation forms and records in
an applicant's file, "created with the documented understanding of
confidentiality" is protected.
When the applicant is outside the U.S., a person representing the
individual within the U.S. may be granted the same access rights to
personal information regarding the applicant as those afforded the
applicant, consistent with the IPA, Section 1798.24 (c).
B. Parents of Applicants
In accordance with the IPA and as a matter of University policy,
information from the applicant's files is not released to parents of
applicants without the applicant's written consent, regardless of the
individual's age or financial status. Current admissions forms
provide the opportunity to furnish this consent.
C. School Administrators and Teachers
According to University policy and the IPA, such personal
Information about a University applicant as eligibility status or
lack of certain grades may be disclosed to such third parties as
school counselors only if:
1. prior written consent is given by the applicant; or
2. the information is necessary for performance of the counselor's
official duties, and its use will be compatible with its
original collection purpose; or
3. the requested information is to be used for scientific or
statistical research and assurances of confidentiality and
protection of personal identity are guaranteed, as per Section
1798.24 (u) of the IPA.
D. Advancement, Development, and Alumni Office
In order to be accessed, the requested admissions records must
clearly pertain to non-students and fall under the IPA definition
of nonpersonal. IPA provisions for intra-agency disclosures
prohibit disclosure of personal information unless such disclosure
is "relevant and necessary" to carry out assigned duties, and is
clearly "related to the purpose" for which the information was
originally collected.
V. SUMMARY
Privacy rights of applicants are governed by the State IPA. Neither the
Federal (FERPA) nor the State (Donohoe Act) student records law applies.
Until an applicant has enrolled in and attended classes, any records
referring to him or her are considered to be applicant records and must
be used and accessed in a manner consistent with protection afforded by
the IPA.
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