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June 15, 1989
I. REFERENCES
Civil Code Section 1798 et. seq., the Information Practices Act of 1977
(IPA).
Government Code Section 6250 et seq., the California Public Records Act
(PRA).
Federal Family Educational Rights and Privacy Act of 1974 (FERPA).
The Donohoe Higher Education Act of 1977, Education Code, Sections 67100
- 67175.
University Policy Applying to the Disclosure of Information from Student
Records, (Part B) Sections 10.00 - 11.30.
Business and Finance Bulletin RMP-8, "Legal Requirements on Privacy and
Access to Information."
Business and Finance Bulletin BUS-65, "Guidelines for University Mail
Services."
Policy Prohibiting Commercial Advertising in Official University
Publications, issued by President David S. Saxon to Chancellors,
Laboratory Directors, and Deans, April 12, 1979
Letter from President David P. Gardner to Chancellors, Laboratory
Directors, and Deans, July 26, 1985, reaffirming the April 12, 1979
policy.
Letter from Afton E. Crooks, Coordinator of Information Practices and
Special Projects, Office of the President to Warren E. Schoonover,
Director of Agriculture and Natural Resources, Office of the President,
January 30, 1986.
Letter from Susie Castillo-Robson, Coordinator of Student Records,
Office of the President, to Sue Carberry, Coordinator of Information
Practices, Santa Barbara Campus, regarding the commercial use of public
information contained in student directories, March 10, 1986.
II. INTRODUCTION
The Information Practices Act (IPA) requires that protection of the
individual's right to privacy be given consideration in all aspects of
University Business.
The University's obligation to promote its purposes and communicate
efficiently with employees, students, and others on University business
makes it desirable to produce and maintain directories and mailing lists
which include individuals' names, campus or business addresses and
telephone numbers, and certain items of personal information about those
individuals.
The purpose of this Bulletin is to:
A. describe the types of mailing lists and directories the University
maintains,
B. clarify the circumstances under which personal information may or may
not be included in them, and
C. establish guidelines for subsequent distribution and use.
Except where noted in Sections I. and V.B.2, this Bulletin will deal
only with mailing lists and telephone directories that are not
governed by federal and state law and University policies relating to
information contained in student records maintained by the University.
III. LEGAL REQUIREMENTS
A. Confidentiality of Home Address and Telephone Number
According to Government Code Section 6254.3 (PRA), the home
addresses and telephone numbers of state employees are not deemed
to be public records and cannot be released without written
permission of the individual.
B. Notification of Intended Use of Personal Information
Civil Code Section 1798.17 (IPA) provides that the individual will
be notified of the intended purpose and use of personal
information being collected. Periodic updating of that
notification shall occur at not more than one year intervals.
C. Prohibition on Release of Names and Addresses for Commercial
Purposes
Civil Code Section 1798.60 (IPA) prohibits distribution, rental,
or sale of an individual's name and address for commercial
purposes unless specifically authorized by law.
D. Removal of Names from Mailing Lists
Civil Code Section 1798.62 (IPA) gives individuals the right, upon
written request, to have their own name and address removed from any
agency list, unless that list is used exclusively for the purpose of
directly contacting the individual.
IV. LEGAL DEFINITIONS
A. Commercial Purposes
Civil Code Section 1798.3 (j):
"The term 'commercial purposes' means any purpose which has financial
gain as a major objective."
B. Personal Information
Civil Code Section 1798.3 (a):
"The term 'personal information' means any information that is
maintained by an agency that identifies or describes an individual,
including, but not limited to, his or her name, social security
number, physical description, home address, home telephone number,
education, financial matters, and medical or employment history."
The types of personal information typically found in mailing lists
and directories that are the subject of this Bulletin are not
limited to, but might include an individual's home address and
telephone number, marital status, and spouse's name.
Further definition and explanation regarding personal information
can be found in Section VII.B., on page 15 of Business and Finance
Bulletin RMP-8, "Legal Requirements of and Access to Information".
V. GENERAL DEFINITIONS
A. Mailing Lists
A mailing list is any compilation of names and addresses. Further
information regarding mailing lists may be found in Section IV.C. of
Business and Finance Bulletin BUS-65, "Guidelines for University Mail
Services".
B. Telephone Directories
1. Employee (campus) directories: Typically include the employee's
name, department and title, campus address, and telephone.
Campus directories may also include the employee's home address
and telephone as well as spouse's name.
2. Student directories: Typically include the student's name, campus
address, local telephone number, and home address.
Student directories are compiled from student records, which are
subject to different legislative requirements from all other
University records. Student records are governed by:
a. the Federal Family Educational Rights and Privacy Act of 1974
(FERPA),
b. University policy, and
c. certain sections of the California Education Code adopted by
The Regents of the University.
Questions regarding student records, or any publications
compiled from student record information, should be directed
to the Assistant Vice President-Student Academic Services,
Office of the President.
C. University Publications
President Saxon's policy statement of April 12, 1979 defines official
University publications as those that are informational or
administrative, and used in the conduct of routine activities.
Examples include: maps, guides, directories, catalogues, departmental
announcements, and class schedules.
VI. PROCEDURES
A. Collecting Personal Information for Inclusion in Telephone
Directories and Mailing Lists
1. Written voluntary consent from each individual is required before
any personal information may be included in any list or
directory maintained by the University.
2. Forms used to collect personal information for inclusion in a
University directory or mailing list must include the standard
State privacy notice explaining its intended use, unless the
directory or mailing list is to be used only by the University
for the purpose of communicating with the individual.
B. Complying with the IPA
1. To comply with the IPA, a notice similar to the following shall
be printed in each directory:
"This campus directory is the property of the University of
California (campus name). To protect the privacy of individuals
listed herein, in accordance with the State of California
Information Practices Act, this directory may not be used,
rented, distributed, or sold for commercial purposes."
2. When a form used to collect personal information includes a
'yes-no' box to be checked, or a signature line indicating
consent to release the information being collected, any line
or box inadvertently or purposely left blank must be interpreted
as a statement of "non-consent". Records of consent or
non-consent must be updated annually to comply with provisions
of the IPA.
3. Individuals may request in writing to have a name removed from
any specified mailing list. However, the University is not
obligated to remove a name if the list is used exclusively to
notify the individual, or for some other official University
purpose.
C. Complying with University Policy
1. President Saxon's 1979 letter defines 'official publication' and
states that such a publication 'should not contain commercial
advertising'.
2. President Gardner's 1985 letter reiterates and confirms the 1979
ruling prohibiting commercial advertising in official University
publications such as directories and mailing lists.
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