Issuance Date: 10/05/2017
Issuing Office: Registrars Office
DISCLOSURE OF INFORMATION FROM STUDENT RECORDS
A. UC San Diego Policy and Procedure Manual (PPM)
230-11 Maintenance of, Access to, and Opportunity to Request Amendment of Academic Personnel Records
230-29 Policies and Procedure to Assure Fairness in the Academic Personnel Review Process
480-1 University Policy Regarding Records
480-2 Legislation Affecting University Records
480-3 Responsibilities & Guidelines for Handling Records Containing Information about Individuals
480-4 Public Records
460-5 Misuse of University Resources, Fraud, and Other Financial Irregularities
B. Personnel Policies for Staff Members (PPSM)
80 Staff Personnel Records
A. Disclosure of Information from Student Records is generally governed by the Federal Family Educational Rights and Privacy Act (FERPA), the State of California Education Code, and University of California Policies Applying to the Disclosure of Information of Student Records (Revised July 20, 2010) (University Policy). This Policy applies only to records pertaining to students in their capacity as students; it is not applicable to other records which are maintained for other purposes. See section III.M.2 for records which are not covered by this Policy but the disclosure of information from which is governed by the California Information Practices Act (IPA).
The purpose of University Policy is to provide reasonable interpretations of FERPA and to protect the Student’s right of privacy as guaranteed by the Constitution of the State of California and the IPA. When the law is silent, University Policy provides that UC San Diego Officials and Department Records Custodians 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.
B. In implementing FERPA, University Policy has elected to consider the University as thirteen separate institutions, rather than as a single entity. The thirteen institutions are the nine general campuses, including UC San Diego, plus one health sciences campus, and three Department of Energy Laboratories operated by the University. Therefore, except with the student’s consent, Personally Identifiable Information contained in Student Records maintained by UC San Diego may only be disclosed to the other facilities in compliance with University Policy Section 130.70 and Section IX.A of this Policy. Such information may be disclosed by UC San Diego Officials to the Office of the President, as permitted by University Policy Section 130.721 (a) (2) and Section IX of this Policy.
C. This Policy supersedes previous UC San Diego Policy governing its subject matter and incorporates the requirements of FERPA and University Policy, as amended through July 20, 2010.
The following terms are defined for purposes of this Policy.
A. Attendance: The term "Attendance" as used in the FERPA is synonymous with the term "enrolled in or registered with" as specified in this Policy.
B. Campus: The term "Campus" means UC San Diego or the University of California, San Diego.
C. UC San Diego Official or University Official: The terms "UC San Diego Official” or “University Official" mean any individual designated by UC San Diego or the University to perform an assigned function on behalf of UC San Diego or the University of California, respectively.
A Campus or University Official may be:
1. A person employed by UC San Diego or the University in an administrative, supervisory, academic, research, or support staff position;
2. A person serving on a UC San Diego or University governing body;
3. A person employed by, under contract with, or having entered into an agreement with UC San Diego or the University to perform a special task, such as an attorney, an auditor, or a volunteer; or
4 A student serving on an Official committee, such as a disciplinary or grievance committee, or assisting another UC San Diego or University Official in performing his or her tasks.
D. Directory Information: The following has been designated by UC San Diego as "Directory Information" for purposes of this Policy: a student's name, e-mail address, telephone numbers, date and place of birth, major field of study, dates of attendance, grade level, enrollment status (e.g. paid or unpaid enrollment, undergraduate, full-time or part-time), number of course units in which enrolled, degrees and honors received, the most recent previous educational institution attended, participation in officially recognized activities, including intercollegiate athletics, and the name, weight, and height of participants on intercollegiate UC San Diego athletic teams.
E. Department Records Custodian: The term “Department Records Custodian” means the Department head or the UC San Diego Official who is responsible for maintaining any Student Records collected and maintained by that Department.
F. Disclosure: The terms "Disclosure" and “Disclosed” means to permit access to or the release, transfer, or other communication of Personally Identifiable Information contained in a Student Record, to any party, by any means, including, but not limited to, oral, written, or electronic means.
G. FERPA: The term, "FERPA" means the Federal legislation known as the Family Education Rights and Privacy Act, 20 U.S.C. 1232g.
H. Financial Aid: The term “Financial Aid" means the provision of financial resources to students, based on the strength of their academic achievements, or on the strength of financial need, or on a combination of the two.
I. Legitimate Educational Interest: As determined by UC San Diego, a UC San Diego Official or University Official has a “Legitimate Educational Interest” if the information requested is relevant and necessary for that Official to do any of the following:
1. Perform a task or determination that is an employment responsibility or is a properly assigned subject matter for such Official, including but not limited to information requested by a UC San Diego Official working for the UC San Diego Alumni Association in performance of a task or determination related to their employment responsibilities, and requests from University and Campus Counsel for information needed in connection with the performance of their responsibilities to the University;
2. Perform a task that is related specifically to the Official’s participation in the student's education;
3. Perform a task that is related specifically to the discipline of the student; and
4. Provide a service or benefit relating to the student or student's family such as health care, counseling, job placement, or Financial Aid.
J. Personally Identifiable Information: The term "Personally Identifiable Information" means any information that identifies or describes a student. It includes, but is not limited to, a student’s name, the name of a student’s parent or other family members, the address of a student or student’s family, any personal identifier such as a student’s social security number, and any personal characteristics or other information that would make a student’s identity easily traceable. Personally Identifiable Information is divided into two categories:
1. Directory Information, which may be disclosed to any party without the prior written consent of the student to whom the information pertains, except as specified in Section VIII.A. of this Policy and University Policy Section 130.710.
2. Confidential information which may not be disclosed to any party without the prior written consent of the student to whom the information pertains, except as specified in Section IX of this Policy and University Policy Section130.720.
K. PPM: The “PPM” means the UC San Diego Policy and Procedure Manual.
L. Record: The term “Record” means any information or data recorded in any way, including, but not limited to, handwriting, print, computer media, audio tape, video tape, film, microfilm, microfiche, or any electronic storage or retrieval media.
M. Student: The terms "Student" means an individual for whom UC San Diego maintains Student Records and who: (a) is enrolled in or registered with an academic program of UC San Diego; (b) has completed the immediately preceding term, is not presently enrolled, and is eligible for re-enrollment; or (c) is on approved educational leave or other approved leave status, or is on filing-fee status.
N. Student Record: The term "Student Record" means those records that contain information directly related to a student and that are maintained by UC San Diego, the University Office of the President (UCOP), or by any party or organization authorized to act on behalf of UC San Diego or UCOP.
1. “Student Records” include, but are not limited to, admission records of a Student after the student has enrolled, academic evaluations including student examination papers, transcripts, test scores and other academic records; general counseling and advising records; disciplinary records; and Financial Aid Records, including student loan collection records.
2. “Student Records” do not include the following records, and, therefore, such records are not governed by this Policy.
a. Records of instructional, supervisory, and administrative personnel and educational personnel ancillary to those persons, which:
(1) Are kept in the sole possession of the maker of the record; and
(2) Are not accessible or revealed to any other individual, except to an individual who performs on a temporary basis the duties of the individual who made the record.
b. UC San Diego Police Records which are created and maintained by UC San Diego Police solely for law enforcement purposes.
c. Employment Records, when UC San Diego employment did not result from and does not depend upon the fact that an individual is a student at UC San Diego, provided that the employment records:
(1) Relate exclusively to the individual in that individual’s capacity as a UC San Diego employee;
(2) Are made and maintained in the normal course of business; and,
(3) Are not available for use for any other purpose.
All records relating to a student who is also an employee of UC San Diego are included in the definition of student records if the student employment is contingent upon the fact that he or she is a student. For example, work-study program records are student records.
d. Health Records which:
(1) Are created or maintained, by a physician, psychologist, or other recognized professional or paraprofessional acting in his or her professional or paraprofessional capacity, or assisting in that capacity;
(2) Are created, maintained or used only in connection with the provision of treatment to the student; and
(3) Are not disclosed to anyone other than individuals providing the treatment, except that the records may be personally reviewed by a physician or other appropriate professional of the student's choice.
For the purpose of this definition, "treatment" does not include academic and career advising, tutoring, disability management counseling, or any activities which are part of the program of instruction by UC San Diego.
e. Applicant Records of individuals who do not enroll in or register with an academic program of the University. If and when applicants become students, their Applicant Records become Student Records, which are then accorded the same privacy rights as any other Student Records governed by this Policy. See also definition of “Student” at section III.K of this Policy and section VI on Inspection of Applicant Records.
f. Records (i.e., Alumni Records) about a person containing only information obtained from that person after that person is no longer a Student, or relating to that person and obtained from others after that person is no longer a student.
3. The term “Student Records” as used in these policies is synonymous with the term “education records” in the FERPA.
O. UC San Diego: The term "UC San Diego" means the University of California, San Diego.
P. University: The term "University" means the University of California.
A. UC San Diego shall annually provide notice to students of their rights under this Policy and FERPA, including notice of the categories of Personally Identifiable Information designated by UC San Diego as Directory Information.
1. Such notification shall be published in the quarterly schedule of classes or other Official UC San Diego publications in a manner that will provide students with clear and specific information regarding their rights.
2. The UC San Diego Registrar shall be responsible for the publication of the notice provided for above.
B. The notification shall include a statement that each student has a right to:
1. Refuse to permit any or all of the categories of Personally Identifiable Information be designated as Directory Information with respect to themselves.
2. Inspect and review the student's own records;
3. Request correction of the student's own records;
4. Grieve an alleged violation of privacy rights, as specified in this Policy;
5. Have Personally Identifiable Information contained in Student Records not be disclosed without a signed and dated written consent that specifically identifies:
a. The records to be disclosed,
b. The purpose of the disclosure, and
c. The party or class to whom disclosures are to be made. Consent is not required for those disclosures authorized by sections VIII and IX of this Policy; and
6. File with the United States Department of Education a complaint concerning alleged failures by UC San Diego to comply with the requirements of FERPA; and
7. Be informed where copies of Student Records policies are located and obtain a copy.
A. With the exception of the records listed in Section V.F., below, students shall be permitted to inspect and review their Student Records within a reasonable period of time, but in no case longer than forty-five (45) days after receipt of the student's request.
B. Students shall be entitled to a response to reasonable requests for explanations and interpretations of the records.
C. The Department Records Custodian shall comply with written requests from students for copies of their records when failure to provide copies would effectively prevent them from exercising the right to inspect and review their Student Records. For example, UC San Diego shall provide copies of a Student's Record if the student does not live within commuting distance of UC San Diego.
D. A fee of $0.10 per page may be assessed and collected for copies of records requested by a student, unless the imposition of the fee effectively prevents a student from exercising the right to inspect and review the student's own records. No charge may be made to search for or to retrieve any Student Record.
E. A copy of the list of the types and locations of Student Records and the titles and addresses of the Officials responsible for the records is maintained by the Registrar’s Office and is available for inspection in the Office of the Registrar. Student Records shall not be destroyed if there is an outstanding request to inspect and review them. If there is no request pending, the records may be destroyed pursuant to the UC San Diego Records disposition schedules. See PPM 480.
F. The following Student Records are not subject to inspection and review by students:
1. Financial Records and statements of the student's parents or guardians or any information contained therein. Information from the “Parents' Confidential Statement,” or equivalent information, may be disclosed to the student on condition that the proper authorization has been signed by the parent(s) or guardian(s).
2. Confidential Ietters and statements which were placed in Student Records prior to January 1,1975, provided that the letters and statements are used only for the purposes for which they were specifically intended.
3. Confidential letters and statements of recommendation which were placed in a Student's Records after January 1, 1975, with regard to admission, application for employment, or the receipt of an honor, if the student has waived the right to inspect and review those recommendations.
4. Records containing Personally Identifiable Information about other students. If Student Records contain information on more than one student, students may inspect and review or be informed of only the specific information which pertains to themselves, except as specified in Section IX.A. 10. of this Policy.
1. The student must submit a written request to the department maintaining records.
2. Upon receipt of the written request, the Department Records Custodian shall remove information that is not subject to student's inspection, as specified in Section V.F., above, and inform the student that such information has been removed.
3. The Department Records Custodian shall make the requested information available for student's review within forty-five (45) calendar days after receipt of the student’s request.
4. Except for academic transcripts, the department may collect fees of up to $0.10 per page for any copies requested by student. (Transcript fees are not limited to $0.10 per page; see section XI. of this Policy.)
Privacy of and access to admissions records of applicants who do not subsequently become students are not covered by this Policy because such records are not defined as Student Records (see Student Records definition at Section III.N.2.e. above) but are subject to the policies and procedures found in the University of California Business and Finance Bulletin, Records Management and Privacy Series, and the IPA. Information about those policies and procedures may be obtained from UC San Diego’s Information Practices Coordinator.
A. Subject to the limitations of this Section and Section V.F. above, a student may waive, or may be requested to waive, any of his or her rights of access to student confidential recommendations or evaluations regarding admission, application for employment, or the receipt of an honor. Such a waiver must be voluntary, and may not be required as a condition for admission to UC San Diego or the receipt of any other service or benefit from UC San Diego. Any such waiver must be in writing and signed by the student. students may waive their rights to inspect and review either individual documents or classes of documents (e.g., part or all of an admission or career placement file).
1. Students shall be notified upon request of the names of all individuals providing confidential letters and statements of recommendation to which the student has waived right of access.
2. Such recommendations retain their confidentiality only if they are used for the purpose for which they were originally intended. If used for other purposes, the waivers are void and the documents may be inspected by students.
B. No student may be required to sign a form saying that he or she has not waived access to any confidential recommendation.
C. A waiver may be revoked in writing for records which will be obtained or received after the revocation. Such a revocation shall not affect a Student's access to records obtained or received prior to the written notice of revocation.
1. The Department Records Custodian shall assure that any requests for students to waive their rights of access to records are in conformance with this Policy. See Exhibit B Waiver form.
2. The student or applicant may waive access to specific records by submitting a signed Waiver form provided by appropriate department.
3. The signed Waiver shall be retained with the Student Records maintained by the department.
4. The Department Records Custodian shall assure that confidentiality of Waivers and affected records and limitations on Waivers are maintained in accordance with this Policy.
5. The Department Records Custodian shall notify a student upon request of names of all individuals providing confidential letters and statements of recommendation to which the student or applicant has waived right of access.
6. The Department Records Custodian shall retain a statement of revocation of waiver with the affected records.
Directory Information may be released without a student's written consent unless the student has notified the UC San Diego Registrar's Office in writing or via electronic procedure established by the UC San Diego Registrar, that any or all of such information is not to be disclosed. Other Personally Identifiable Information may be disclosed only upon the student's written consent, except as specified section IX. of this Policy.
1. Students shall be informed at the time of enrollment in, or registration with, any UC San Diego academic program, and at least annually thereafter, of their right to refuse to permit any or all of the categories of Personally Identifiable Information to be designated as Directory Information with respect to themselves.
2. Students shall notify the UC San Diego Registrar's Office in writing, or by the electronic procedures established by the UC San Diego Registrar, no later than the last day for payment of enrollment fees for each Academic Quarter or the Academic program, such as Summer Session or University Extension courses, that any or all of the categories of Personally Identifiable Information related to the student are not to be designated as Directory Information. Within a reasonable period of time after receipt of such notification, information so designated may not be released for publication or to individuals not employed by UC San Diego without the student's written consent, except as otherwise noted in section IX. of this Policy.
3. Information regarding former students that was designated Directory Information (Formerly known as "public information") by UC San Diego at the time they were students may be disclosed without the former students' consent unless their last written notification received by the campus at the time they were students specified that the information with respect to themselves was not to be considered Directory Information. For students who attended UC San Diego before February 1, 1977, the Directory Information shall be limited to former students' registration, dates of attendance at the University, degrees granted, and dates on which degrees were conferred.
1. The UC San Diego Admission's Office shall inform students at the time they are admitted of their rights under this Policy outlined in Section VIII above. The Registrar's Office will also publish a notice in the quarterly schedule of classes.
2. Students may also file a Request to Restrict Directory Information form with the Registrar's Office, indicating any other item from the category of “Directory Information” that is to be withheld.
3. The Registrar's Office shall identify students who have filed a Request to Restrict Directory Information form on all computer files by use of a privacy notice which indicates to file users that any or all Directory Information may not be released and to contact the Registrar's Office for assistance. The Registrar's Office shall also notify the colleges and appropriate departments in writing as to what Directory Information relating to the student(s) may not be released.
4. The Department Records Custodian who does not have access to computer files should verify with the UC San Diego Registrar before disclosing Directory Information that the student has not refused to permit any or all of such information to be designated as public.
A. Except for the disclosure of Directory Information under conditions specified in Section VIII of this Policy, Personally Identifiable Information from Student Records may not be disclosed without the prior written consent of the student, other than to the following parties and under the following circumstances:
1. To UC San Diego or University officials who have been determined to have a legitimate educational interest in the records (see Sections III.I and III.M of this Policy). Determinations as to whether the legitimate educational interest requirement is satisfied shall be made by the head administrator of the department or administrative unit retaining the information. Such determinations shall be made consistent with this Policy and in consultation with the Student Records Advisor. The determination may be appealed to the Vice Chancellor Student Affairs (VCSA) whose decision shall be final. The VCSA must base the appeal on the definition of "Legitimate Educational Interest" as set forth in this Policy. The VCSA is encouraged to consult with the Office of the General Counsel if clarification of definition is needed or desired. UC San Diego personnel receiving or utilizing the information shall be responsible for its subsequent disclosure pursuant to the provisions of Section X of this Policy. Disclosures of Personally Identifiable Information without the student’s prior written consent may be made to:
a. UC San Diego Officials, including Campus Counsel.
b. Officials in the University of California Office of the President and the Office of the General Counsel and Vice President for Legal Affairs.
c. Officials at other institutions of the University (see Section II.B of this Policy), in connection with the administration of joint programs or activities.
d. Officials at other campuses of the University or other institutions, if a student is concurrently enrolled in, or concurrently receives services from UC San Diego and from another institution, or from UC San Diego and other campuses of the University. This provision includes institutions participating in Education Abroad Programs.
e. Officials at other campuses of the University for the purposes of facilitating: a) the enrollment of a student seeking to attend a summer session program at another campus; b) the reporting of academic achievement in the summer course work once completed; or c) other administrative needs related to summer session programs, such as, but not limited to, student disciplinary matters as specified in UC San Diego Policies and Procedures Applying to Student Activities.
f. The Chancellor, or the Chancellor's designees, of the campus at which the individual is a student, in connection with disclosures arising from disciplinary procedures of another University of California campus, as specified in UC San Diego Policies and Procedures Applying to Student Activities and Section 104.30 of University of California Policies Applying to Campus Activities, Organizations, and students.
2. To authorized Federal and State Officials in connection with the audit and evaluation of Federally and State supported education programs, or in connection with the enforcement of Federal or State law which relates to such programs.
3. In connection with Financial Aid for which a student has applied or which a student has received, only as may be necessary:
a. To determine the eligibility of the student for Financial Aid;
b. To determine the amount of Financial Aid;
c. To determine the conditions which will be imposed regarding the Financial Aid; or
d. To enforce the terms or conditions of the Financial Aid.
Such information shall be disclosed to donors only if the conditions of the gift or award expressly require that the information be disclosed.
4. To state and local Officials or authorities to whom information is specifically required to be reported or disclosed pursuant to state law adopted prior to November 9, 1974.
5. To organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating, or administering predictive tests, administering student aid programs, and improving instruction:
a. If such studies are conducted in a manner which will not permit the personal identification of students, and/or their parents by individuals other than representatives of the organization; and
b. If the information will be destroyed when no longer needed for the purposes for which the study was conducted.
c. The term “organizations” as used in this paragraph includes, but is not limited to, Federal, State, and local agencies, and independent organizations.
6. To accrediting organizations in order to carry out their accrediting function.
7. To comply with a judicial order or subpoena. A reasonable effort shall be made to notify the student in advance of the disclosure of the record unless responding to a judicial order or grand jury or other subpoena that specifies that the student not be informed of the order or subpoena.
a. Compliance with a valid subpoena calling for the disclosure of Student Records may be complied with, in lieu of a personal appearance by Department Records Custodian as a witness in the proceeding out of which the subpoena issued, by submitting to the court, or other agency issuing the subpoena, at the time and place required by the subpoena, a copies of the records, accompanied by an affidavit certifying that the copies are true copies of the original records on file in the UC San Diego office. Department Records Custodians may consult with UC San Diego Campus Counsel when responding to a subpoena for Student Records, to ensure the subpoena is valid.
b. Copies of Student Records made in satisfaction of a subpoena for documents shall be in the form of a photostat, microfilm, microcard, miniature photograph or other photographic copy or reproduction, or an enlargement thereof.
8. With the approval of the chair of the academic department or the head of the administrative unit where the Student Records are kept, to appropriate parties in connection with an emergency when the information is necessary to protect the health or safety of the student or other persons. Factors to be considered when making a decision to release information in emergencies may include:
a. the severity of the threat to the health and safety of those involved;
b. the need for the information;
c. the time required to deal with the emergency; and,
d. the ability of the parties to whom the information is to be given to deal with the emergency.
9. To students requesting their own records. With the exception of information from records specified in Section V.F. of this Policy, the Department Records Custodian must disclose Student Records or components thereof without written consent to students who request information from their own records.
10. To the alleged victim of an alleged forcible or non-forcible sex offense, as defined in 34 CFR 668.46(c) (7). The alleged victim shall keep the information provided to him or her confidential, as described in Section IX of this Policy. The scope of the information to be provided is:
a. UC San Diego’s final determination with respect to the alleged sex offense;
b. Any sanction that is imposed against the alleged offender.
1. Disclosure upon student's request
a. The student may submit to the Department Records Custodian a written request for release of information from his or her Student Record, specifying the information to be released. See Exhibit C, Sample Authorization Form.
b. Upon receipt of a student's written authorization, the Department Records Custodian shall send the requested information to the third party accompanied by the appropriate notice regarding the disclosure. See Exhibit D, Sample Re-Disclosure Notice form.
c. The Department Records Custodian shall provide copies of information that was disclosed to the student if requested by the student.
d. The Department Records Custodian shall note the date of disclosure on the Student's written authorization, initial the request, and retain the authorization as a permanent part of the file.
2. Disclosure upon Request of a Third Party
a. Consistent with Section IX.A.1 of this Policy, if it is determined that the requester and the circumstances of request fall within Section IX.A. above, the Department Records Custodian shall provide the requested information (without student's written consent) accompanied by a ReDisclosure Notice. See Exhibit D as a sample form.
b. The Department Records Custodian shall complete a Record of Disclosure, Exhibit E, if required.
c. If the requester and the circumstances do not fall under Section IX.A. above, the Department Records Custodian shall inform the requester that the information cannot be released without the student's written authorization and shall provide the requester with the Authorization Form, Exhibit C, if deemed appropriate.
d. Upon receipt of the student's written authorization, the Department Records Custodian shall send the requested information accompanied by the ReDisclosure Notice, Exhibit D.
e. The Department Records Custodian shall provide copies of disclosed information to a student if requested to do so by the student.
f. The Department Records Custodian shall note the date of disclosure on the student’s written authorization, initial, and retain the authorization as a permanent part of the file.
A. When disclosure is permitted under this Policy, Personally Identifiable Information may be disclosed only on condition that the party to whom the information is disclosed is informed that the information may not be disclosed to any other party without the written consent of the student. Any consent form obtained from the student permitting a disclosure of records must be kept permanently with the record file.
B. When disclosure is permitted under this Policy, Personally Identifiable Information which is disclosed may be used by the officers, employees, and agents of the party to whom the information was disclosed, but only for the purposes for which the disclosure was made.
C. These requirements do not apply to disclosures made pursuant to court orders or to lawfully issued subpoenas or to disclosures to a student under Sections V or IX, or to Disclosures of Directory Information under Section VIII of this Policy.
A. UC San Diego Department Records Custodians may forward appropriate Student Records, including academic records, disciplinary records, and other Student Records, to other educational institutions in which a student seeks or intends to enroll, or is currently enrolled. UC San Diego will provide annual notification of this Disclosure Policy, or else a reasonable attempt will be made to provide notification to individual students about whom information is disclosed.
B. When students request that their academic records be forwarded to other institutions, students may be required to pay all fees and charges due the University before the records are forwarded.
A. The Department Records Custodian shall maintain records, kept with the Student Records of an individual, which indicate:
1. The parties who have requested or obtained Personally Identifiable Information from Student Records;
2. The legitimate interest these parties had in requesting or obtaining the information;
3. The dates of the requests for the information and the dates of the release of the records; and
4. The specific documents which were released.
B. Records of disclosure are not required for:
1. Disclosures to students of their own records;
2. Disclosures pursuant to the written consent of the student, when the consent is specific with respect to the party or parties to whom the disclosure is to be made;
3. Disclosures to UC San Diego Officials under Section IX.A., of this Policy;
4. Disclosures of Directory Information; or
5. Disclosure made pursuant to court order or subpoena, and the student has been notified in advance of compliance with the order or subpoena in accordance with Section IX.A.7. of this Policy.
C. Records of disclosures may be inspected:
1. By the student;
2. By the UC San Diego Official and his or her assistants who are responsible for the custody of the records; or
3. For the purpose of auditing the record-keeping procedures of UC San Diego, by the parties authorized in, and under the conditions set forth in Section IX.A.1. & 2.
D. Student Records are subject to mandatory disposition schedules contained in UC San Diego PPM 480, with the following exceptions:
1. Student Records shall be retained if there is an outstanding request to inspect and review them;
2. Explanations placed in the Student Record of an individual seeking to correct the record shall be retained as long as the contested portion of the record is retained; and
3. The record of access shall be retained as long as the Student Records to which they relate are maintained by UC San Diego.
1. The department head shall establish internal procedures to ensure that maintenance and dissemination of Student Records is in accordance with this section of this Policy and that all employees are fully informed of their responsibilities under these policies and procedures.
2. The department head shall designate Department Records Custodian(s) to be responsible for maintaining Student Records in accordance with this section and for responding to and processing requests for inspection and disclosure of information contained in the Student Records.
3. The Department Records Custodian shall maintain records in a manner that ensures their security and confidentiality as prescribed therein;
4. The Department Records Custodian shall maintain Record of Disclosure forms, Exhibit E, kept with Student Records;
5. The Department Records Custodian shall dispose of records in accordance with established mandatory disposition schedules, with exceptions outlined in Section XII.D., above.
6. The Department Records Custodian shall respond to and process requests for inspection and disclosure of records as prescribed in this Policy.
A. Requests for Correction of Records
Students shall be entitled to a response to reasonable requests for explanations and interpretations of the records. If they believe information contained in their Student Records is inaccurate or misleading, or otherwise in violation of their right of privacy as provided in this Policy, they may request in writing of the Department Records Custodian that their records be corrected. The UC San Diego Official must decide within a reasonable period of time, e.g. 30 calendar days, whether to amend the record in question. If their request is granted, the records shall be corrected within a reasonable period of time, e.g. 15 business days, following receipt of the request. If their request is denied, they shall be informed of the refusal and advised of their right to a hearing in accordance with the procedures described in this Policy.
B. Grades given in a course of study, including written evaluations which reflect institutional judgments of the quality of a student's academic performance in a course of study, are not subject to challenge under this Policy. Such grade related grievances shall be resolved within the department or through such other procedures as established by the San Diego Division of the Academic Senate.
C. Administrative Review
If a student believes that: (1) his or her records are inaccurate, misleading, or otherwise in violation of his or her right of privacy; or (2) there has been an improper disclosure of information from his or her records, the following procedures shall be used to resolve the matter.
1. Informal Resolutions
If a student believes that there has been a violation of his or her rights of privacy as provided by the FERPA and as implemented by this Policy, the student shall first attempt to resolve the problem informally with the UC San Diego Official or employee in question.
2. Formal Complaint
Where informal meetings and/or discussions with the UC San Diego Official or employee in question are unsuccessful in resolving the situation, the student may submit a written formal complaint to the head of the department where the Student Records are maintained or to the UC San Diego Student Records Advisor if the UC San Diego Official or employee is the department head.
a. Where informal meetings and/or discussions with the appropriate department Officials are unsuccessful, the student shall;
(1) Request in writing of the department head that the records be corrected or discarded, or,
(2) State in writing that he/she believes that there has been an improper disclosure of information from his or her records and the type of remedy sought.
b. Within a reasonable period of time, e.g. fifteen (15) business days of receiving a written request to correct or discard the record, the department head shall respond to the student in writing indicating that the records have been amended or discarded or, explaining why such action has or has not been taken.
c. If the student’s request to correct or discard the record is denied, the department head shall inform the student in writing of the student’s right to request a hearing within thirty (30) business days from the date of the department's written refusal to grant the remedy sought by the student or to correct or discard the subject record, and refer the student to the UC San Diego Student Records Advisor.
D. Hearing Procedures
In resolving complaints regarding a Student's Record, UC San Diego shall provide an opportunity for a hearing consistent with the provisions below in this section to resolve student complaints of violation of student right to privacy or corrections to a Student's Record as provided by these procedures.
1. Within a reasonable period of time, e.g. thirty (30) business days, the UC San Diego Student Records Advisor shall issue to the parties a written notice of hearing.
2. The notice of hearing shall include the date, time and place of the hearing at least ten (10) business days prior to the scheduled date of the hearing. Such notification may be delivered personally, sending it through first class U.S. Mail, via fax, or by electronic mail.
3. The hearing shall be conducted by an impartial hearing officer who may be a UC San Diego Official or other party, and selected and appointed by the Vice Chancellor Student Affairs.
4. The scope of the hearing shall be limited to determining whether or not the challenged records are inaccurate, misleading, or otherwise in violation of the Student's right of privacy as implemented by this Policy. The hearing officer shall review the evidence presented during the hearing and, based on a preponderance of that evidence, determine whether the Student request should be granted or denied. The hearing officer shall submit findings of fact and conclusions based on those findings to the Student Records Advisor.
5 The Student Records Advisor shall notify in writing the student and the department chair or administrative unit head of the hearing officer’s decision within a reasonable period of time, e.g. fifteen (15) business days from the date of receipt of the hearing officer’s report.
6. The student and a UC San Diego Official representing the affected department shall have the right to be assisted or represented by individuals of their choice. If the student chooses to be assisted or represented by another individual such assistance shall be at the student’s own expense.
7. The student and the UC San Diego Official shall have the right to present evidence and witnesses and to cross-examine each other's witnesses. The hearing officer will determine the admissibility of evidence and its order of presentation. Admissible evidence shall be of the sort upon which reasonable persons are accustomed to rely in the conduct of serious affairs.
8. The hearing shall be closed unless all parties and participants in the hearing consent to an open (public) hearing. Witnesses shall be excluded from the hearing room by the hearing officer, except during their testimony.
9. The hearing shall be recorded on audiotape, or at the option of student or UC San Diego, a stenographer may be provided at the expense of the party initiating the request. A copy of the audiotape recording or transcripts of the hearing may be provided to the student for the cost of duplication. All records pertaining to the hearing, including but limited to the audiotapes and/or hearing transcripts shall be retained by the Student Records Advisor in accordance with the UC San Diego Records disposition schedules.
10. If, as a result of the hearing, the department chair or administrative unit head decides that the information in question is inaccurate, or misleading, or otherwise in violation of the privacy rights of the student, the record shall be corrected accordingly and the student informed in writing of the action taken.
11. If the department chair or administrative unit head decides that the information is not inaccurate, misleading, or otherwise in violation of the privacy or other rights of the student, the student shall be informed of his or her right to insert into the records a statement commenting upon the records and/or setting forth any reasons for disagreeing with the decision to leave the records unchanged. This statement shall remain a permanent part of the records, and it shall be revealed to any party to whom the contested portion is revealed.
12. In those cases where the Vice Chancellor Student Affairs is a party to a formal grievance, under this Policy, the Chancellor shall appoint an impartial person to perform those responsibilities assigned to the Vice Chancellor. When the Student Judicial Affairs Officer and/or the UC San Diego student Records Advisor are a party to a formal grievance under this Policy, the Information Practices Act Coordinator shall perform those responsibilities assigned to the UC San Diego Student Records Advisor/Judicial Affairs Office.
A. Disciplinary Action
Whenever any information is included in any Student Record concerning any disciplinary action taken by UC San Diego personnel in connection with the student, the student shall be allowed to include in the record a written statement or response concerning the disciplinary action. The student may not request a change in the underlying disciplinary decision through this process.
Grades given in a course of study, including written evaluations which reflect institutional judgments of the quality of a student's academic performance in a course of study, are not subject to challenge under this Policy.
Any alleged violation of privacy rights as provided by this Policy, other than those rights modified in Section XIII., above relating to the content of Student Records, may be grieved pursuant to UC San Diego Policies and Procedures Applying to Student Activities, Section 23.00 - Student Grievance Procedures.
A. Complaint Procedure
1. Students may file complaints with the U.S. Department of Education concerning alleged violations of FERPA. The name and address of the office that administers FERPA is:
2. Family Policy Compliance Office
U.S. Department of Education
400 Maryland Avenue, SW.
Washington, DC, 20202-4605
3. Questions about these rights or any other aspect of Student Records management by UC San Diego Officials may be referred to the University Registrar, Office of the Registrar, Student Services Center, Room 261 or by telephone at: (858)-534-3150 or via email at: firstname.lastname@example.org
4. The text of FERPA may be found in the Government Documents section of the UC San Diego Geisel Library. UC San Diego PPM 160-2 may be accessed electronically at the UC San Diego Policy and Procedure Manual.
2017/10/05 Minor update to remove the word ‘address’ from Disclosable Information in Policy and Exhibits. Style formatting.
University of California, San Diego
Office of Admissions and Registrar
9500 Gilman Drive #0021
La Jolla, CA 92093-0021
The Family Educational Rights and Privacy ACT (FERPA) affords students certain rights with respect to their education records. They are:
(1) The right to inspect and review the student's education records within forty-five (45) days of the day UC San Diego receives a request for access. A student should submit to the Registrar, Dean, or head of the department a written request that identifies the record(s) the student wishes to inspect. The UC San Diego Official to whom the request was submitted will make arrangements for access and notify the student of the time and place where the records may be inspected. If the records were not maintained by the UC San Diego Official to whom the request was submitted, that Official shall advise the student of the correct Official to whom the request should be addressed.
(2) The right to request amendments of the student's education records that the student believes are inaccurate or misleading. A student may ask UC San Diego Officials to amend a record that he or she believes is inaccurate or misleading. The student should write the UC San Diego Official responsible for the record, clearly identify the part of the record he or she wants changed, and specify why it is inaccurate or misleading. If the UC San Diego Official decides not to amend the record as requested by the student, that Official will notify the student of the decision and advise the Student of the right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided to the Student when notified of the right to a hearing.
(3) The right to consent to disclosures of Personally Identifiable Information contained in the Student's education records, except to the extent that FERPA authorizes disclosure without consent. One exception which permits disclosure without consent is disclosures to UC San Diego or UC Officials with Legitimate Educational Interests. A UC San Diego or UC Official is a person employed by UC San Diego or UC in an administrative, supervisory, academic, research, or support staff position (including law enforcement unit personnel and health staff): a person or company with whom UC San Diego or UC has contracted (such as attorney, auditor, or collection agent): a person serving on the Board of Regents; or a student serving on an Official committee, such as a disciplinary or grievance committee, or assisting another UC San Diego or UC Official in performing his or her tasks. A UC San Diego or UC Official has a Legitimate Educational Interest if the Official needs to review an education record in order to perform a task or determination that is an employment responsibility or properly assigned subject matter for the Official.
(4) The right to file a complaint with the U.S. Department of Education concerning alleged failures by UC San Diego to comply with the requirements of FERPA.
The name and address of the office that administers FERPA is:
Family Policy Compliance Office
U.S. Department of Education
400 Maryland Avenue, SW.
Washington, DC, 20202-4605
Questions about these rights or any other aspect of Student Records management by UC San Diego Officials may be referred to the University Registrar, Office of the Registrar, Student Services Center, Room 261 or by telephone at: (858)-534-3150 or via email at: email@example.com.
The text of FERPA may be found in the Government Documents section of the UC San Diego Geisel Library. Accessed electronically at the UC San Diego Policy and Procedure Manual.
The Federal Family Educational Rights and Privacy Act of 1974 (revised June, 1976) permits UC San Diego and the University to release or publish, without the student's consent, items in the category of “Directory Information” as defined in UC San Diego PPM 160-2.III.D as the following: a student's name, e-mail address, telephone numbers, date and place of birth, major field of study, dates of attendance, grade level, enrollment status (e.g. paid or unpaid enrollment, undergraduate or graduate, full time or part time), number of course units in which enrolled, degrees and honors received, the most recent previous educational institution attended, participation in Officially recognized activities, including intercollegiate athletics, and the name, weight, and height of participants on intercollegiate University athletic teams. students may request in writing by the last day of registration each academic quarter that any or all Personally Identifiable Information from their records not be regarded as Directory Information. Forms for this purpose are available in the Registrar's Office. students availing themselves of this right should understand what the consequences of this action may be. For example, if a request is made to withhold from disclosure a student's name and degrees and honors received, UC San Diego cannot make public any honors received by the student, e.g., the award of a Regents Scholarship or election to Phi Beta Kappa, and cannot include the student's name and degree earned in the UC San Diego commencement program without the written consent of the student. Similarly, if a request is made to withhold from disclosure, a student's name and date of attendance, a student's status as a student cannot be verified for potential employers without written consent of the student. Furthermore, if student's last instruction to UC San Diego was to withhold from disclosure the degree granted to that Student and the date on which the degree was conferred, that information cannot be confirmed for a third party in connection with the appointment of that graduate to a new position or published in connection with an honor that individual subsequently receives. Students may reverse the decision of a previous Quarter at registration for a new Quarter on the student data form or at any time by filing a form with the Registrar's Office indicating which items they now wish released.
TYPES AND LOCATIONS OF STUDENT RECORDS AND THE OFFICIALS RESPONSIBLE FOR THEIR MAINTENANCE
The Office of the Registrar maintains an electronic record for every student who attended UC San Diego with the exception of students enrolled in University Extension. This record contains the original admission application data, scanned or electronic transcripts from institutions previously attended, the Residence Classification file and other scanned documents related to application for admission and enrollment. These records are held for four years after the last date of attendance at which time they may be purged.
Separately, the Office of the Registrar maintains the official record of the UC San Diego Academic Transcript. This Academic Record is kept indefinitely. Responsible Officer: Registrar, Student Services Center, Suite 261.
Other Undergraduate Affairs departments also maintain records pertaining to student life and services. These files include placement records for students who use career planning and placement. The Office of Student Conduct and the deans' offices maintain confidential records, for a time-limited basis, of all student conduct cases. Most of the other records maintained by departments in the Student Affairs Division involve employment information for student workers hired in the various Student Affairs administrative units. Responsible Officer: Unit Director.
School of Medicine: The Office of Student Affairs, School of Medicine, maintains admissions and academic records for medical Students. These records include application for admission, course evaluations, pass/fail information and documents concerning grade changes and petitions. The School of Medicine Office of Student Affairs maintains confidential records of all disciplinary cases. Students may review their file in the School of Medicine Office of Student Affairs, upon request to an appropriate staff member in that office. Responsible Officer: Dean, Student Affairs, Medical School, Medical Education – Telemedicine Building.
School of Pharmacy: The Office of Student Affairs, School of Pharmacy, maintains admissions and academic records for pharmacy students. These records include application for admission, course evaluations, pass/fail information and documents concerning grade changes and petitions. The School of Pharmacy Office of Student Affairs maintains confidential records of all disciplinary cases. Students may review their file in the School of Pharmacy Office of Student Affairs, upon request to a staff member in that office. Responsible Officer: Dean, Student Affairs, School of Pharmacy.
The Graduate Division (GD): GD and departmental or graduate programs maintain files for graduate students which contain application for admission, transcript of record from previous institutions, letters of recommendation, or evaluation of student academic progress. Students may request access to information in these files by submitting a written request to GD, or the major department or graduate program. Responsible Officer: Dean of Graduate Studies, fourth floor of the Student Services Center.
Undergraduate Colleges and Academic Departmental Records: The undergraduate colleges and academic departments generally maintain copies of Undergraduate Student petitions kept in the Office of the Registrar. Students can review the documents in their college Academic Advising Office. Responsible Officer: Dean of Academic Advising.
Student Business Services (SBS): is the office of records for all campus based loans. Promissory notes, loan correspondence, personal information data, Entrance and Exit Interview data and any related activity regarding loan collection are held on file. These records are retained for five years after the loan is paid in full. Responsible Officer: Director of Student Business Services, third floor of the Student Services Center
The Cashier's Office: The Cashier’s Office is custodian for the following types of student records; Payment Documentation, Check Payments, IRS8300 Form copies, Returned Checks, Daily Cashier Receipt Tapes, Movement of Scholarship Checks to Student Business Services Logs, and Unable to Process Check Payments Letter copies. Each of these records is held in a secure area and are either archived or destroyed as follows; Physical Payment Documentation is destroyed after 5 years. Electronic Payment Documentation is permanently stored on a secure server. Physical Check Payments are destroyed after 3 months. Electronic Check Payments are permanently stored on a secure server. IRS8300 Form copies are destroyed after 7 years. Returned Checks are destroyed after 5 years. Movement of Scholarship Checks to Student Business Services; Logs are destroyed after 5 years. Unable to Process Check Payment Letter copies are destroyed after 5 years. Responsible Officer: Cashiering Operations Manager, Central Cashier’s Office, Student Services Center, Suite 170.
The Housing Office: The Housing Office maintains an electronic record on each student who lives in on-campus housing. This includes application and contract information, rental agreements, prepayment and deposit records, delinquency notices, 30 day and 3 day notices and other personal or confidential information relating to a student's residence on Campus. Responsible Officer: Associate Director Admin Services or Associate Director ARCH (Associated Residential Community Housing), HDH Services Building.
The Financial Aid Office (FAO): The Financial Aid Office and the Health Sciences Financial Aid office maintain records relevant to student financial support. These records include application data, supporting eligibility data, and student awards, including scholarships, grants, loans and work study. Responsible Officer: Director, Financial Aid Office, third floor of the Student Services Center.
The Student Veterans Benefits Office maintains veteran affairs education benefit records including Chapters 30, 33, 35, 1606, 1607 and Vocational Rehabilitation records – Chapter 31 and Cal Vet benefits. Responsible Officer: Student Veteran Benefits Coordinator, Student Services Center, Office of the Registrar, 2nd Floor.
Student Health Services (SHS): SHS maintains student health patient and medical records. Responsible Officers: Executive Director, Student Health and Well-Being, and the Director of Medical Services at Student Health Services.
The Office of Academic Support and Instructional Services (OASIS): OASIS maintains personnel information of undergraduate peer mentors, tutors, and clerks. Responsible Officers: Business Manager and Director, respectively, OASIS, Center Hall, 3rd Floor.
The Office of Student Legal Services (SLS): SLS maintains Student Legal Services client records. Responsible Officer: Director, Student Legal Services, Student Services Center.
The Office for Students with Disabilities (OSD): OSD maintains records on students who have registered with the OSD and may be receiving accommodations. These records include; medical documentation, information on the types of accommodations provided, and information related to the student’s interactions with the Departments of Rehabilitation, Veteran’s Affairs and Vocational Rehabilitation. Responsible Officer: Director, Office for Students with Disabilities, University Center, 202.
The Intercollegiate Athletics Department maintains records regarding student participation in NCAA intercollegiate athletics. Responsible Officer: Associate Athletics Director for Compliance & Student Services.
The Recreation Department maintains records regarding student participation in sanctioned competitive Sports Clubs. Responsible officers: Director and Assistant Director of Sports Clubs and the Sports Clubs Athletic Trainers.
The University may maintain certain incidental records not included in the list above and not found in the usual locations. Such records include minutes of the various committees of the San Diego Division of the Academic Senate, and copies of correspondence in offices not listed above. Questions concerning such records should be referred to the University Registrar, Office of the Registrar, Student Services Center, Room 261 or by telephone at: (858)-534-3150 or via email at: firstname.lastname@example.org.
REPRODUCTION OF STUDENT RECORDS
Students may request in writing, copies of their individual records maintained in any of the above offices. The cost for copying these records may be charged, which is usually $0.10 per page.
letters and statements of recommendation concerning me are to be received and maintained by the _____________________ Campus of the University of California, and I hereby expressly and voluntarily waive any and all access rights I might have to such recommendations under the Federal Family Educational Rights and Privacy Act of 1974, or other laws, regulations, or policies.
This waiver is applicable to confidential recommendations to be received from the following person or the following classes of persons or institutions, (Be Specific):
This waiver is applicable to the following Student Record or the following classes of Student Records, (Be Specific):
The purpose for which such confidential recommendations are being obtained is:
(Be specific, for example, admission to the Graduate Program in History on the Berkeley Campus, or employment on the Davis Campus, or undergraduate scholarship awards on the Riverside Campus.)
Date: ______________ Signature: ______________________________
Departments should provide an authorization form for students who wish to request release of information from their records to a third party. This form may be adapted to reflect the type of student information maintained by the department.
(Student I.D. No.) ____________________________________
request that the following record be sent to: (Number of copies: ______)
I request that an additional copy of this record be sent to me:
A fee of l0 cents per page is charged for copies.
Record sent as requested:
The enclosed information is being released to you in accordance with the provisions of the Federal Family Educational Rights and Privacy Act of 1974. In providing this information, it is the responsibility of the University of California, San Diego to inform you that such information is being transferred on the condition that you will not permit any other party to have access to such information without the written consent of the student, except that the information may be used by your organization's officers, employees and agents, but only for the purposes for which the disclosure was made to you.
Complete this form each time the disclosure of Personally Identifiable Information from Student Records is requested or obtained. This form is not required for disclosures to students of their own records; disclosures pursuant to the written consent of a student, when the consent is specific with respect to the party or parties to whom the disclosure is made; disclosures to University employees, when access to the records in question is necessary (1) the information or record is relevant and necessary to the accomplishment of some task or determination and (2) the task or determination is an employment responsibility for the inquirer or is a properly assigned subject matter for the inquirer; or for disclosures of Directory Information. Refer to PPM 160-2, Section XI, for further information.
A request for disclosure of Personally Identifiable Information from Student Records of:
Student's name: __________________________________________________
Received from Insert name of requesting party): ______________________
For the purpose of:
(Purpose should reflect the legitimate interest of the requester in the information disclosed.)
Information not disclosed (Check if applicable.) _______
Information disclosed on (Insert date.) ________________________________
Name of Department Records Custodian
Retain this Record as a permanent part of file.