Santa Clara University

SANTA CLARA UNIVERSITY

INSTITUTIONAL POLICY ON CONFIDENTIALITY OF EDUCATIONAL RECORDS 

FAMILY EDUCATIONAL RIGHTS AND PRIVACY ACT (FERPA)

(Revised September 10, 2014)

Definitions

For the purposes of this policy, Santa Clara University has used the following definitions of terms.

Student – any person who attends or has attended Santa Clara University.

Education records – any record (in handwriting, print, tapes, film, or other medium) maintained by Santa Clara University or an agent of the University which is directly related to a student, except:

  1. A personal record kept by a staff member if it is kept in the sole possession of the maker of the record and is not accessible or revealed to any other person except a temporary substitute for the maker of the record.
  2. An employee record of an individual whose employment is not contingent on the fact that he or she is a student, provided the record is used only in relation to the individual’s employment.
  3. Law enforcement records maintained by the Santa Clara University Campus Safety Services Department if the record is maintained solely for agencies of the same jurisdiction, and the department does not have access to education records maintained by the University.
  4. Counseling records which are created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional, acting in his/her professional capacity or assisting in a paraprofessional capacity, used solely in connection with the provision of treatment to the student and not disclosed to anyone other than individuals providing such treatment, so long as the records can be personally reviewed by a physician or other appropriate professional of the student’s choice. (Appropriateness may be determined by Santa Clara University officials.) "Treatment" in this context does not include remedial educational activities or activities which are part of the program of instruction at the institution.
  5. Health records maintained by Cowell Health Center if the records are used only for treatment of a student and made available only to those persons providing the treatment.
  6. Alumni records which contain information about a student after he or she is no longer in attendance at the University and which do not relate to the person as a student.

Records of written verification of enrollment, grade point average, etc., which are requested by the student, are not considered to be a part of the student’s permanent education record. Such records are maintained in the student’s file for reference purposes until the file is placed in inactive status, upon graduation or leaving the university.

Annual Notification

Current students are notified of their Family Educational Rights and Privacy Act (FERPA) rights by publication in each university program bulletin, the quarterly Undergraduate Schedule of Classes and Community Handbook.

Procedure to Inspect Education Records

Students may inspect and review their official academic or other education records upon written request to the appropriate office as stated below.

A. Academic Records

Students should submit to the appropriate office a written request that identifies as precisely as possible the record or records they wish to inspect. A standard "Request to Review Education Records" form is available at the Office of the Registrar, Walsh Administration Building.

B. Other Records

The appropriate department staff will arrange for access to the record as promptly as possible. Access is usually provided within one working day, but must be provided within 45 days from receipt of the request. Upon making the request, the student will be notified of the date and time for inspection of his/her records. (A generic form is available from the Office of the Registrar.)

When a record contains information about more than one student, the student may inspect and review only the records which relate to that student.

Types, Locations and Custodians of Education Records

The following is a list of the types of records that the university maintains, their locations, and their custodians. Students may inspect and review their education records upon request to the appropriate custodian.

Type

Location

Custodian

Admission Records

Undergraduate Admissions

AES building, 1st floor

Dean,

Undergraduate Admissions

 

Law School Admissions

Heafey Law Library, Room 151

Director of Admissions

 

Leavey School of Business

Lucas Hall, Room 116

Assistant Dean,

Graduate Business Programs

 

Division of Counseling

Psychology & Education

Loyola Hall, Room 130

Director of Admissions and Records

 

Graduate Engineering

Engineering Ctr, 2nd floor

Director of Graduate Programs

 

Pastoral Ministries

Kenna Hall, Room 110

Director,

Pastoral Ministries

Cumulative Academic Records

(current students and approximately 40 yrs after graduation)

Student Records Office

AES Building

1st floor

University Registrar

Cumulative Academic Records

(records of those students not in attendance for more than 40 yrs)

University Archives

Learning Commons, 3rd floor

University Archivist

Health Insurance Records

Cowell Health Center

Director, Health & Counseling Services

Financial Records

Financial Aid Office

AES building, 2nd floor

Director, Financial Aid

 

Student Accounting Services

AES building, 2nd floor

Director, Student Accounting Services

 

ACCESS Card Office

Benson Center, Room 200

Director

Placement Records

Career Center

Benson Center, West Wing

Director, Career Center

Progress Records

(working academic records)

Dean’s Office,

at each college or school

Assoc./Asst. Dean

 

Drahmann Advising Center

Dean, Academic Support Services

 

Departmental Office,

at each college or school

Department Chair

 

Individual Faculty Office,

at each academic department

Instructor

Disciplinary Records

Office of Student Life

Benson Center, Room 205

Dean of Student Life

Occasional Records

(student education records not included above, such as minutes of faculty committee meetings, copies or correspondence located in offices not listed)

The appropriate official will collect such records, direct the student to their location, or otherwise make them available for inspection and review.

Staff persons who maintain such occasional records

 

Right of University to Refuse Access

Santa Clara University reserves the right to refuse to permit a student to inspect the following records:

  1. The financial statement of the student’s parents.
  2. Letters and statements of recommendation for which the student has waived his or her right of access, or which were placed in file before January 1, 1975.
  3. Records connected with an application to attend Santa Clara University, or any Santa Clara University program, after acceptance but prior to enrollment, or if that application was denied.
  4. Those records which are excluded from the FERPA definition of education records.
Refusal to Provide Copies

Santa Clara University reserves the right to deny academic transcripts or copies of records not required to be made available by FERPA in any of the following situations:

  1. The student has an unpaid financial obligation to the university.
  2. There is an unresolved disciplinary action against the student. Copies of disciplinary records will only be made available when a student is unable to come to the office to inspect the record.
Disclosure of Education Records

Santa Clara University will disclose information from a student’s education record only with the written consent of the student, except:

  1. To school officials who have a legitimate educational interest in the records.

A school official is:

  • A person employed by the university in an administrative, supervisory, academic, research or support staff position
  • A person elected to the Board of Trustees
  • A person or entity under contract with the university who has been designated a school official by the university and is performing specific duties for the university that require a legitimate educational interest.

A school official has legitimate educational interest if the official is:

  • Performing a task that is specified in his or her position description or by a contract agreement.
  • Performing a task related to a student’s education.
  • Performing a task related to the discipline of a student.
  1. To officials of another school, upon request, in which a student seeks or intends to enroll. A reasonable attempt will be made to notify the student prior to the release of such records.
  2. To certain officials of the U.S. Department of Education, the Controller General, Attorney General, and the state and local educational authorities, in connection with certain state or federally supported education programs.
  3. In connection with a student’s request for or receipt of financial aid, as necessary to determine the eligibility, amount or conditions of the financial aid, or to enforce the terms and conditions of the aid. Parents’ financial information, including statements submitted in connection with financial aid applications, is excluded from inspection.
  4. If required by a state law requiring disclosure that was adopted before November 19, 1974.
  5. To organizations conducting certain studies for or on behalf of the university.
  6. To accrediting organizations to carry out their functions.
  7. To parents of an eligible student who claim the student as a dependent for income tax purposes. In addition to providing personal identification, parents must produce a copy of their most recent Federal tax form showing the student as their dependent. If access is given to one parent, it must be given, upon request, to the other regardless of the student’s dependent status to that parent, unless there is a court order, state statute, or legally binding document stating otherwise, or if the parent who claims the student requests in writing that the university not disclose financial information to the other parent.
  8. To comply with a judicial order or a lawfully issued subpoena.
  9. To appropriate parties in a health or safety emergency.
  10. To an alleged victim of a sexual assault of the final results of any institutional disciplinary proceeding against the alleged perpetrator of that crime with respect to that crime or offense.
  11. To courts for a legal proceeding brought by a parent or student against the university or by the university against a parent or student.
  12. To parents and legal guardians of students under age 21 if the student broke laws or violated policies relating to the use or possession of alcohol or a controlled substance. (The full text of the policy can be found in the Community Handbook.)
  13. To the public the final results of a disciplinary proceeding only if it has been determined that:
    1. the student is an alleged perpetrator of a crime of violence or non-forcible sex offense; and
    2. the student has committed a violation of the university’s rules with respect to the allegation.
  14. To state and local juvenile justice systems or their officials.
  15. If designated as directory information.
Record of Requests for Disclosure

Santa Clara University will maintain a record of all requests for disclosure of information from a student’s education record, with the exceptions listed below, for access to and disclosure of, personally identifiable information from education records. The record will indicate the name of the party making the request, any additional party to whom it may be re-disclosed, and the legitimate interest the party had in requesting or obtaining the information. A record does not have to be kept if the request was made by or disclosure was made to:

  1. the eligible student;
  2. a school official who has been determined to have a legitimate educational interest;
  3. a party with written consent from the eligible student;
  4. a party seeking directory information only; or
  5. a party seeking or receiving the records as directed by a federal grand jury or other law enforcement subpoena and the issuing court or other issuing agency has ordered that the existence or contents of the subpoena or the information issued in response to the subpoena not be disclosed. Subject to FERPA limitations, the eligible student may review the record. These records will be maintained with the education records of the student as long as the records of the student are maintained by the institution.
Directory Information

The University is authorized under provisions of FERPA to release "Directory Information" upon request unless a student explicitly asks the registrar not to do so.

"Directory Information" includes only the following items:

  1. Student’s full name
  2. Campus post office box, local, permanent and e-mail addresses (Residence hall and room number is not disclosed)
  3. Telephone number
  4. Birth date
  5. Birthplace
  6. Major field of study
  7. Class
  8. Dates of attendance (defined as term beginning and ending dates), expected degree date
  9. Most recent prior school attended
  10. Degrees, as well as awards and honors conferred
  11. Photographic image
  12. Past and present participation in officially recognized activities, including intercollegiate athletics
  13. Height and weight of intercollegiate athletes

No other information may be released concerning a student without the written authorization of that student. If a student prefers not to have any information about herself/himself released to anyone, that student must fill out a non-disclosure form and submit it to the Office of the Registrar. Requests for non-disclosure may be filed with the Office of the Registrar during the registration period and throughout the academic year. Once filed, the request remains in effect until the fall term begins for the following academic year, regardless of when the request was filed, unless a written request to remove it is received. Requests for non-disclosure by students in their last term of enrollment remain in effect until cancelled by the student. Requests for former students are honored at the university’s discretion.

Correction of Education Records

Students have the right to ask to have records corrected that they believe are inaccurate, misleading, or in violation of their privacy rights. Following are the procedures for the correction of records.

  1. A student must request in writing that the university registrar or other appropriate custodian of records, as outlined in this document, to amend a record. In so doing, the student should identify the part of the record he/she wishes to change and specify why he/she believes it is inaccurate, misleading, or in violation of his or her privacy or other rights.
  2. Santa Clara University may comply with the request or it may decide not to comply. If the university decides not to comply, the student is notified in writing of the decision and advised of his/her right to a hearing to challenge the information believed to be inaccurate, misleading, or in violation of the student’s rights.
  3. Upon request, Santa Clara University will arrange for a hearing within 45 days and notify the student, reasonably in advance, of the date, place, and time of the hearing.
  4. A hearing officer who is a disinterested party will conduct the hearing; however, the hearing officer may be an official of the institution. The student shall be afforded a full and fair opportunity to present evidence relevant to the issue raised in the original request to amend the student’s education records. One or more individuals may assist the student, including an attorney.
  5. Santa Clara University will prepare a written decision based solely on the evidence presented at the hearing. The decision will include a summary of the evidence presented and the reasons for the decision.
  6. If Santa Clara University decides that the challenged information is not inaccurate, misleading, or in violation of the student’s right of privacy, it will notify the student that he/she has a right to place in the record a statement commenting on the challenged information and/or a statement setting forth reasons for disagreeing with decision.
  7. The statement will be maintained as part of the student’s education records as long as the contested portion is maintained. If Santa Clara University discloses the contested portion of the record, it must also disclose the statement.
  8. If Santa Clara University decides that the information is inaccurate, misleading, or in violation of the student’s right of privacy, it will amend the record and notify the student in writing that the record has been amended.
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