UCSC Administrative Procedures for Implementation of UC Policies Applying To Disclosure Of Information from Student Records

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UCSC Administrative Procedures Applying to Disclosure of Information from Student Records

Introduction
These campus regulations implement the University of California "Policies Applying to Disclosure of Information from Student Records."

The disclosure of information from student records is governed by the Federal Family Educational Rights and Privacy Act (FERPA) and, in part, by the State of California Education Code. It is the purpose of these policies to provide reasonable interpretations of those laws and to protect students' right of privacy as guaranteed by the Constitution of the State of California. Where the law is silent, the campus shall be guided by two principles: (1) the privacy of an individual is of great weight; and (2) the information in a student's file should be disclosed to the student on request.

Definition Of Student

A "student" is an individual for whom UCSC maintains student records and who: (a) is enrolled in or registered with an academic program of the University, or (b) is between academic terms and has completed the immediately preceding term and is eligible for re-enrollment or is on approved educational leave or other approved leave status, or (c) is on filing fee status. (These policies do not apply to the disclosure of information to applicants unless the applicants become students.)

II.

Definition Of Student Records

"Record" means any information or data recorded in any medium including, but not limited to, handwriting, print, tapes, film, microfilm, microfiche, and any electronic storage or retrieval media. "Student records" are those records directly related to a student and maintained by UCSC.

"Student Records" do not include (1) personal records of instructional, supervisory, and administrative personnel which are kept in the sole possession of the maker of the record and are not accessible or revealed to any other individual; (2) campus police records created and maintained solely for law enforcement purposes; (3) employment records, when employment does not result from and does not depend upon the fact that an individual is a student at the University; (4) health records which are created, maintained, or used only in connection with treatment; (5) applicant records, and (6) alumni records. All records relating to a student who is also an employee of the University are included in the definition of student records, if the student's employment is contingent upon the fact that she or he is a student. For example, work-study program records are classified as student records.

For more specific information on these types of records see University of California policies 130.00:"Policies Applying to the Disclosure of Information from Student Records" hereafter referred to as the "Universitywide Policies."

III.

The following categories of personally-identifiable information are defined as public information and may be disclosed to third parties without the consent of the student, unless he or she has filed a Request for Non-Release of Public Information with the Registrar:
. local telephone
. local address (current mailing or campus/college)
. e-mail address
. college
. major
. class level (e.g., frosh, senior)
. dates of attendance
. number of credits enrolled in the current term
. degrees and honors received
. name, weight and height of participants on intercollegiate athletic teams

IV.

Inspection/Review Of Admissions Records By Applicants

Privacy of and access to admissions records of applicants who do not subsequently become students are not covered by these policies, but are subject to the policies and procedures published in the UC Business and Finance Bulletin RMP-11, "Student Applicant Records," and the California Information Practices Act.

Definition Of Legitimate Educational Interest

Legitimate educational interest means a campus official, acting in the student's educational interest, who needs the information in the course of performing advisory, instructional, supervisory, or administrative duties for the University.

VI.

Notification Of Rights

Students shall be informed annually of their rights under the policy and under the Federal Family Educational Rights and Privacy Act (FERPA), as amended, and its implementing regulations. Such notification shall include publication of a statement in the General Catalog and other appropriate official campus publications, indicating that a student has a right to:

		A.	Inspect and review the student's own records;
		B.	request correction of the student's own records;
		C.	grieve an alleged violation of privacy rights;
		D.	consent to disclosures of personally identifiable information contained in student records, except to the extent disclosures without consent are authorized under FERPA;
		E.	file with the United States Department of Education a complaint concerning alleged failures by the campus to comply with the requirements of FERPA;

VII.

Inspection And Review Of Student Records By Students

Student review of his or her own records:

Policy. A currently or previously enrolled student has the right to inspect and review official records, files and data directly related to the student as a student, except:

				a.	Confidential letters and statements of recommendation placed in a student's records after January 1, 1975, if the student has voluntarily waived access to the information. (See Section 130.421[c] of the Universitywide Policies.)
				b.	Confidential letters and statements of recommendation obtained or prepared before January 1, 1975, under specified conditions. (See Section 130.421[b] of the Universitywide Policies.)
				c.	Parent's financial records and statements. (See Section 130.421[a] of the Universitywide Policies.) The student's right of access must not conflict with the right of privacy of other students. Thus, if a record contains information on more than one student, only those portions of records relating directly to the requesting student may be revealed. Campus police records pertaining to a student (or any individual) are accessible to the individual only when the release of such records does not conflict with the laws governing the release of police records. For campus police records, consult the campus Student Records or Information Practices Coordinator.

Procedure. Each administrative unit maintaining student records will establish its own procedures for accommodating requests for student review of such records. These procedures should be written and available to students. The recommended procedure for student review of his or her own records is the following:

				a.	A student may initiate access to his or her record by contacting the administrative unit responsible for the record.
				b.	The student requesting access may be required to present a valid student ID card as personal identification. Former students may present a current, valid driver's license with photo or other official document as personal identification.
				c.	If an appointment time is not immediately available, the student may make an appointment to review the official record within a reasonable time period, and in no case should the time limit exceed fifteen (15) working days.
				d.	The student may be required to complete a written form if the desired information is not immediately accessible or if questions of confidentiality need to be investigated.
				e.	The student should review the record in the presence of an authorized staff member. The student may request in writing and receive a copy of records contained in the student folder if the student does not live within commuting distance of the campus. Copies of transcripts from other institutions will only be provided to students if failure to provide the copies will effectively prevent the students from exercising their right to inspect and review the records. Students may be asked to provide some proof that they have tried and failed to obtain copies of the records from the other institutions. Copies of any records will be clearly designated "Original on File in (office name) at UCSC. Copy Issued to Student per FERPA." Copies of transcripts from other institutions will be marked "Not an Official Copy." The copying fee of $0.20 per page is payable in advance. An official transcript of the student's UCSC academic record may be obtained for the regular fee from the Registrar's Office. Under no circumstances should materials be removed from the official record.

Hearings to challenge the contents of records:

			1.	Policy. A student shall be entitled to an explanation of any information contained in official records, files, and data directly related to the student as a student; to ask that the records be amended if the student believes they contain inaccurate or misleading information or information that is otherwise in violation of the student's privacy or other rights (except grades or evaluations); and, if a request to amend is denied, to have the opportunity for a hearing to challenge the content of such records to ensure that they are not inaccurate or misleading, or otherwise in violation of the privacy or other rights of the student. A written explanation in regard to the content of the record may be inserted by the student. The student may not challenge substantive judgments of a faculty member as expressed in grade notations and evaluations of a student's work. Questions regarding a grade assigned in a course and the evaluation of the student's performance should be referred to the instructor of the course, the department chair of the course sponsoring agency, or the Registrar.
			2.	Procedure. A student may challenge information contained in his or her record by filing a written request for a hearing with the Vice Chancellor of Student Affairs. The Vice Chancellor will assign the matter to a hearing officer, selected from among a panel of hearing officers appointed for such purposes, who will conduct the hearing in accordance with the procedures specified in Sections 131.10-131.32 of the Universitywide Policies.

VIII.

Waiver Of Access To Confidential Letters Of Recommendation

		A.	Policy. Applicants may be requested to waive their right of access to confidential letters of recommendation in connection with application for admission, employment, or the receipt of an honor; however, no such waiver will be required as a condition for admission, financial aid, or the receipt of any other service or benefit. On request, applicants or students will be notified of the names of all persons making confidential recommendations to which they have waived the right of access; such recommendations must be used solely for the purpose for which they were specifically intended to retain their confidentiality. Use of the waiver provision is at the discretion of administrative unit heads (e.g. Director of Admissions, Dean of the Graduate Division, Director of Financial Aid, etc.).
		B.	Procedure. The procedure for waiver of access to confidential letters of recommendation is: Each office requesting letters of recommendation may generate for its own use a form to implement waiver of access to confidential letters of recommendation. Those units requesting letters of recommendation directly from prospective referees should inform them of University policy regarding student access to letters of recommendation. Such information may be included on the form. It should be made clear to applicants that under University policy, waiver of access to letters of recommendation received after January 1, 1975 is optional.

IX.

Disclosure Of Confidential Information To Third Parties

Student authorization to release data from records:

			1.	Policy. Third parties, agencies, or organizations shall not have access to personally identifiable information from student records, other than to public (directory) information relating to particular student's, except as provided in Section 130.721 of the Universitywide Policies, without the written consent of the student, specifying (1) the records to be released; and (2) to whom the records are to be released. For further information about personally identifiable records, see Section 130.720 of the Universitywide Policies. Except for third parties not required to obtain the consent of the student prior to disclosure of confidential information, there is no general right of access to student records. This includes state or federal agencies, or the student's parent, spouse, or family members. See Section 130.721 of the Universitywide Policies for further identification of such third parties.
			2.	Procedures. Units which anticipate frequent third party requests (e.g. Registrar's Office, Career Services, college offices) should provide appropriate forms to facilitate this authorization process. Such written permission should be maintained in accordance with University policy regarding records retention and treated as confidential. (Note: in lieu of a form, records managers may photocopy the request with accompanying waiver signed by the student for filing in the student's folder). A student may authorize release of information from his or her record to third parties by written request to the administrative unit responsible for the record. The form or written request to release records must be received prior to the release of the records to third parties.

Record keeping requirements when confidential information from files is released:

Policy. A record of disclosures is not required for disclosures to students of their own records; disclosures with the written consent of the student; disclosures to University officials under Section 130.721(a) of the Universitywide Policies, or for disclosure of public information.

Notification of release of confidential information to campus officials or employees without written authorization of the student.

			1.	Policy. No campus official or employee shall have access to records before signing a written form indicating the legitimate educational interest of the campus official or employee.
			2.	Procedure. The office maintaining records shall require each campus official or employee, except campus staff with an established "legitimate educational interest," to complete a form indicating specifically the legitimate educational interest that each has in seeking student record information. This form must be kept with the student records of the individual and is available for inspection by the student. The form must be signed by the campus official or employee and contain at least the following information:

				a.	Name of the campus official or employee and campus department (board) or unit;
				b.	Date of request and date of release;
				c.	Statement of legitimate educational interest requiring access of information;
				d.	Assurance that information will not be released to any other third party without the written consent of the student.

Release of confidential information to third parties who are not campus officials or employees:

Release of confidential information to third parties who are not campus officials or employees is not permitted without the written consent of the student for whom the information pertains, except as permitted by state or federal statute or University policy. A list of third parties who may have access to confidential student record information without student consent is present in Section 130.721 of the "Universitywide Policies Applying to Disclosure of Information from Student Records."

For these procedures, an administrative unit may be a college, department, division, or other administrative unit.

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Last Updated 9/26/05