References   |   Purpose  |  Definitions   |   Statement

II. PURPOSE

For the purposes of implementing the provisions of FERPA, the University is viewed as nine separate institutions, rather than as a single entity. Therefore, Personally Identifiable Information contained in Student Records maintained by one campus may not be disclosed to the other campuses without the written consent of the student, unless the Disclosure is consistent with the provisions of Section IV. E., hereof. Each UCLA Unit is responsible for complying with and implementing this policy.

Student: for purposes of this policy, a Student is an individual who on the first day of the term of his/her respective academic calendar has paid registration fees and has not had his /her admission cancelled.

Attendance: because the University uses enrollment and registration rather than Attendance as a measure of Student status, the term Attendance as used in FERPA is synonymous with the term "enrolled in or registered with" as specified in this policy.

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 UCLA or by a party acting for UCLA. Student Records include, but are not limited to, 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.

The term Student Records as used in this policy is synonymous with the term "Education Records" in FERPA.

The term Student Records does not include the following Records, and therefore such Records are not governed by this policy:

1. Personal Records of instructional, supervisory, and administrative personnel and educational personnel ancillary to those persons, which:

• Are kept in the sole possession of the maker of the Record; and

• 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.

2. Campus Police Records which are created and maintained by Campus Police solely for law enforcement purposes.

3. Employment Records, when UCLA employment did not result from and does not depend upon the fact that an individual is a Student at UCLA, provided that the employment Records:

• Relate exclusively to the individual in that individual's capacity as a UCLA employee; and

• Are made and maintained in the normal course of business; and

• Are not available for use for any other purpose.

All Records relating to a Student who is also an employee of UCLA are included in the definition of Students Records, if the Student’s employment is contingent upon the fact that he or she is a Student. For example, work-study program Records are Student Records.

4. Health Records which:

• Are created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in his or her professional or paraprofessional capacity, or assisting in that capacity;

• Are created, maintained, or used only in connection with the provision of treatment to the Student; and

• 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 offered by the Campuses.

5. 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 definition of "Student" herein.
   
   
6. Alumni Records or any Records containing only information relating to a person after that person is no longer a Student.
   
   

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. Public 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 IV. E.1., and
   
   
2. Confidential information which requires the Student’s prior written consent, except as specified in Section IV. E.2.
   
   

Public Information: means information contained in a Student Record that would not generally be considered harmful or an invasion of privacy if disclosed. Pursuant to Section IV. E.1.a, UCLA is required to give public notice of the categories of Personally Identifiable Information that have been designated by the Campus as Public Information.

UCLA designates the following categories as Public Information: a Student’s name, address (mailing, permanent, and/or e-mail), telephone numbers, major field of study, dates of Attendance, 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 UCLA athletic teams.

The aforementioned categories of information, as designated by UCLA, may be considered Public Information unless a Student notifies the Registrar’s Office in writing or via electronic procedures established by the Registrar’s Office that any or all of the categories of information about that Student may not be disclosed (see Section IV. E.1.).

The term Public Information as used in this policy is synonymous with the term "directory information" in FERPA.

Disclosure: means to permit access to or 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.

Financial Aid: means the provision of financial resources to Students, based on the strength of their academic achievements, or on the strength of their financial need, or on a combination of the two.

Unit: refers to any UCLA department, school, college, office, program, activity, or entity which maintains Records covered by this policy.

Campus: means a University of California Campus.

University: means the University of California.

Campus Official: is any individual designated by the University of California to perform an assigned function on behalf of the University.

Legitimate Educational Interest: means a demonstrated need to know by those officials who act in a Student’s educational interest. A Campus Official may have a Legitimate Educational Interest in a particular Record if the official is performing a task that is:

• Specified in his or her job description or contract agreement;
  
  
• Related specifically to the Campus Official’s participation in the Student’s education;
  
  
• Related specifically to the discipline of a Student; or
  
  
• Related specifically to providing a service or benefit relating to a Student or Student’s family, such as health care, counseling, job placement, or Financial Aid.
  
  

A. Annual Notification of Rights

1. Students shall be informed annually of their rights under this policy and under FERPA and its implementing regulations, by such means and at such times as are reasonably likely to inform them of those rights. Official publications are available through the UCLA Campus Web site (www.ucla.edu).



2. Such notification shall be published in one or more official Campus publications (paper and/or electronic) in a manner that will provide Students with clear and specific information regarding their rights.
   
   
3. The notification shall include a statement that the Student has a right to:
   
   

1. Inspect and review the Student’s own Records (see Section IV. B.);
   
   
2. Request correction of the Student’s own Records (see Section IV. G.);
   
   
3. Grieve an alleged violation of privacy rights, as specified in this policy (see Section IV. H.);
   
   
4. Consent to Disclosures of Personally Identifiable Information contained in Student Records, except to the extent Disclosures without consent are authorized under FERPA (see Section IV. E.2.);
   
   
5. File with the United States Department of Education a complaint concerning alleged failures by the Campus to comply with the requirements of FERPA (see Section IV. 1.); and
   
   
6. Be informed where copies of Student Records policies are available.
   
   

B. Inspection and Review of Student Records by Students

1. Procedures to be followed in the Inspection and Review of Student Records by Students:

1. With the exception of the Records listed in Section IV. B.2., Students shall be permitted to inspect and review their Student Records within a reasonable period of time, but in no case longer than 20 working days after receipt of the Student’s request.
   
   
2. Students shall be entitled to a response to reasonable requests for explanations and interpretations of the Records. The terms "explanations and interpretations" do not mean a justification of why the Records exist or why specific information is contained in the Records. That is, an explanation or interpretation need only inform Students of what the Record contains. If a Student believes that a Record is inaccurate or misleading, procedures for seeking the correction of the Record can be found in Section IV. G.
   
   
3. UCLA 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. However, UCLA may arrange for inspection and review at an alternate location for Students who live 50 miles or more from Campus.
   
   
4. Fees for copies of Student Records shall be assessed in accordance with UCLA fee schedules unless the imposition of a 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. Fees to be charged for copies of Student Records are published in the Miscellaneous Fees section of the Schedule of Classes (paper and/or electronic).
   
   
5. Student Records which are the subject of federal laws and the UC Policies may be maintained in a variety of offices, including the Registrar's Office, Office of the Dean of Students, UCLA Career Center, Graduate Division, and the offices of a Student’s college or school and major department. Students are referred to the UCLA Campus and CHS Directory which lists all the offices that may maintain Student Records, together with their Campus address and telephone number.
   
   
6. Student Records shall not be destroyed if there is an outstanding request to inspect and review them (see also Section IV. F.4.).
   
   

2. Records Exempt From Inspection and Review By Students

Pursuant to FERPA, 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 letters and statements of recommendation which were placed in a Student’s 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 (see also Section IV. D.).
   
   
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 IV. E.2.a).
   
   

3. Parental and Spousal Requests for Information
   
   

1. FERPA assigns privacy rights to all enrolled Students, regardless of age. Parents have no inherent rights to inspect a Student’s Records. Records may be released to parents only with written authorization of the Student.
   
   
2. In the absence of written authorization for release by the Student, or a court order, Student Records may not be released to a spouse.
   
   

Privacy of and access to admissions Records of applicants who do not subsequently become Students are not covered by this policy , but are subject to the policies and procedures found in the University of California Business and Finance Bulletin , RMP Series, Records Management . Information about those policies and procedures may be obtained from the office of the Information Practices Coordinator, 10920 Wilshire Boulevard, Suite 500.

D. Waivers of Access Rights to Student Records by Students and Limitations on Such Waivers

1. Subject to the limitations in this policy , Students may waive, or may be requested to waive, their right of access to confidential recommendations or evaluations regarding admission, application for employment, or the receipt of an honor. Such waivers must be voluntary, and may not be required as a condition for admission to UCLA or the receipt of any other service or benefit from UCLA. Waivers must be in writing and signed by the Students, and may be made with respect to specified classes of Student Records or specified classes of persons or institutions.



2. Students shall be notified upon request of the names of all individuals providing confidential letters and statements of recommendation to which they have waived their right of access. Such recommendations retain their confidentiality only if they are used for the purpose for which they were originally intended.
   
   
3. The fact that a waiver has or has not been executed pursuant to this section shall not be revealed to any person other than the person or persons responsible for maintenance of Student Records or the person or persons making the confidential recommendation.
   
   
4. No Student may be required to sign a form saying that he or she has not waived access to any confidential recommendation.
   
   
5. Waivers may be revoked in writing with respect to Records obtained or received subsequent to the revocation. Such revocations shall not affect a Student’s access to Records obtained or received prior to such written notice of revocation.
   
   

E. Disclosure of Personally Identifiable Information from Student Records to Persons Other Than the Student to Whom The Information Pertains

1. Disclosure of Public Information

1. Notice is hereby given that the following categories of Personally Identifiable Information have been designated by UCLA as Public Information: Student’s name, address (mailing, permanent, and/or e-mail), telephone numbers, major field of study, dates of Attendance, 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 UCLA athletic teams. Such categories fall within the limitations of the definition of Public Information in Section III., and may be disclosed without prior Student consent unless a Student notifies the Registrar's Office in writing or via an established electronic procedure that such information shall not be disclosed.
   
   
2. Students shall be informed at the time they enroll in, or register with, any academic program of the Campus, 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 Public Information with respect to themselves.
   
   
3. Students shall notify the Registrar's Office in writing or via an established electronic procedure of the Personally Identifiable Information related to themselves that is not to be designated as Public Information. Within a reasonable time after receipt of notification, information so designated may not be disclosed without either the written or electronic consent of the Student, except as otherwise noted in Section IV. E.2.
   
   
4. Students shall be informed of the time period during each academic term in which they may update information directly through URSA.
   
   
5. Public Information About Former Students
   
   

1. Information confirming the following facts about former Students who attended the University prior to the initial issuance of this Policy on February 1, 1977, may be disclosed without the former Students' consent, unless the 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 Public Information: the former Students' registration, dates of Attendance at the University, majors, degrees granted, and dates on which degrees were conferred.
   
   
2. Information regarding former Students who attended the University after February 1, 1977, which was designated Public Information by the Campus 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 Public Information.
   
   

2. Disclosure of Personally Identifiable Information
   
   

1. Permissible Disclosures

Except for the Disclosure of Public Information under conditions specified in Section IV. E.1, Personally Identifiable Information from Student Records may not be disclosed to third parties without the prior written consent of the Student, other than:

1. To the following Campus Officials as specified below who have been determined to have Legitimate Educational Interest in the Records (see Section III). Determinations as to whether the Legitimate Educational Interest requirement is satisfied shall be made by the head administrator of the Unit retaining the information. University personnel receiving or utilizing the information shall be responsible for its subsequent Disclosure pursuant to the provisions of this policy.
   
   

1. Disclosures may be made to Campus Officials in accordance with Legitimate Educational Interest criteria.
   
   
2. Intra-University Disclosures may be made to appropriate officials in the Office of the President and the Office of the General Counsel and Vice President for Legal Affairs, if those officials have Legitimate Educational Interests in the Records.
   
   
3. Inter-Campus Disclosures may be made between Campuses that administer or participate in Universitywide joint programs or activities, in accordance with Legitimate Educational Interest criteria.
   
   
4. If a Student is concurrently enrolled in one Campus of the University and in another institution, or in two Campuses of the University, or receives services from one Campus of the University and from another institution, or from two Campuses of the University, information from the Student Records of that individual may be disclosed by one University Campus to the other, or by the University Campus to the other institution, without obtaining the written consent of the Student, in accordance with Legitimate Educational Interest criteria. This provision includes institutions participating in Education Abroad Programs.
   
   
5. As specified in Section 104.30 of the UC Policy on Student Conduct and Discipline, limited Disclosures of recommendations arising from disciplinary procedures may be made between Campuses.
   
   

2. To authorized federal and state officials in connection with the audit and evaluation of federally supported education programs, or in connection with the enforcement of federal 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:
   
   

1. To determine the eligibility of the Student for Financial Aid;
   
   
2. To determine the amount of the Financial Aid;
   
   
3. To determine the conditions which will be imposed regarding the Financial Aid; or
   
   
4. 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 statute adopted prior to November 19, 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, 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 the information will be destroyed when no longer needed for the purposes for which the study was conducted. The term "organizations" includes, but is not limited to federal, state, and loca1 agencies, and independent organizations.
   
   
6. To accrediting organizations in order to carry out their accrediting functions.
   
   
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, in the case of a federal grand jury subpoena, or any other subpoena issued for a law enforcement purpose, it is specifically ordered in the subpoena not to give such notice. The service of a subpoena, under the authority of any state court or agency, upon a UCLA employee solely for the purpose of causing him or her to produce any Student Record may be complied with, in lieu of a personal appearance as a witness in the proceeding, by submitting to the court, or other agency issuing the subpoena, at the time and place required by the subpoena, a copy of the Record, accompanied by an affidavit certifying that the copy is a true copy of the original Record on file in the Unit.
   
   
8. 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. For example, Campus Police may have access to Student Records under such conditions.
   
   
9. To the alleged victim of any crime of violence. The information disclosed shall be limited to notice of the results of any disciplinary action by the University and the results of any appeal. "Crime of violence" means an offense in which there is the use, attempted use, or threatened use of physical force against a person or the property of another, or any other offense that is a felony and that by its nature involves a substantial risk that physical force against a person or the property of another may be used in the course of committing the offense. "Results" means the decision on whether or not misconduct occurred and the type of sanction that was imposed, if any.
   
   
10. In crimes involving sexual assault or physical abuse, state law requires Disclosure of the results to the alleged victim within three working days following a disciplinary action or appeal. In these cases, Disclosure shall be made within three working days of notification of the accused Student. The alleged victim shall keep the results of any disciplinary action or appeal confidential, as described in Section IV. E.2.b, below.
    
    

2. Re-Disclosure of Personally Identifiable Information
   
   

1. 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.
   
   
2. 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.
   
   

3. Requests to Forward Records
   
   

UCLA forwards appropriate UCLA Records on request of the Student to other educational institutions in which Students seek or intend to enroll. When Students request that their UCLA Records be forwarded to other institutions, Students may be required to pay all fees and charges due UCLA before the Records are transferred.

F. Record Keeping Requirements Regarding Requests for and Disclosure of Information

1. UCLA shall maintain with a Student’s Records, a Record of Disclosures which indicates:

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; and
   
   
3. The date of the requests for the information and the dates of the Disclosure of the Records.
   
   

2. A Record of Disclosures is not required for:
   
   

1. Disclosures to Students of their own Records;
   
   
2. 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 to be made;
   
   
3. Disclosures to Campus Officials under Section IV. E.2.a); or
   
   
4. Disclosures of Public Information.
   
   

3. The Record of Disclosures may be inspected:
   
   

1. By the Student;
   
   
2. By the Campus 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 the Unit, by the parties authorized in and under the conditions set forth in Sections IV. E.2.a (1) and (2).
   
   

4. Student Records are subject to mandatory disposition schedules contained in the UCLA Records Disposition Schedules Manual , with the following exceptions:
   
   

1. Student Records shall be retained if there is an outstanding request to inspect and review them (see also Section IV. B.1.f);
   
   
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 Record to which it relates is maintained by the Campus.
   
   

G. Procedures for Seeking the Correction of Student Records

1. Request for Correction of Records

Students shall be entitled to an explanation of any information contained in official Records, files, and data directly related to themselves as Students. 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 of the Campus Official responsible for maintaining the Records that their Records be corrected. If their request is granted, the Records shall be corrected within a reasonable period of time 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.

2. Hearing Procedures

The Chancellor has established appropriate hearing procedures to be used when the request for the correction of Student Records is denied. See UCLA Procedure 220.1.

3. Records Concerning Disciplinary Action

Whenever any information is included in any Student Record concerning any disciplinary action taken by Campus 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.

4. Grades

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 Section IV. G. (See Section 114.00 of the UC Policy on Student Grievance Procedures).

Any alleged violation of privacy rights as provided by this Policy, other than those rights specified in Section IV. G., relating to the content of Student Records, may be grieved pursuant to Section 111.10 of the UC Policy on Student Grievance Procedures.

Complaints regarding alleged violations of the rights accorded Students by FERPA may be filed with the Family Policy and Regulations Office, U.S. Department of Education, Washington, D.C. 20202-4605.