The University of Connecticut Institutional FERPA Policy

effective as of August 1, 2007

1. Policy Statement on Protection of Rights and Privacy of Students
   1. Definitions: As used in this policy, the following terms have the following meanings.
2. 1.  Alleged Perpetrator of a Crime of Violence: A student who is alleged to have committed acts that, if proven, would constitute any of the following offenses or attempts to commit the following offenses: arson; assault offenses; burglary; criminal homicide (manslaughter and murder); destruction, damage, or vandalism of property; kidnapping or abduction; robbery; and/or sexual assault. 
   2. Dates of Attendance: The period of time during which a student attends or attended the University. The term does not include specific daily records of attendance.
   3. Directory Information: Information contained in an Education Record of a student that would not generally be considered harmful or an invasion of privacy if disclosed. Directory information includes: the student's name, University-assigned identifiers (PeopleSoft Number and NetID); date of birth; addresses; telephone number; school or college; major field of study; degree sought; expected date of completion of degree requirements and graduation; degrees, honors, and awards received; dates of attendance; full or part time enrollment status; the previous educational agency or institution attended; class rosters; participation in officially recognized activities and sports; weight and height of athletic team members. The University also considers the following two classes of records to fall within the definition of Directory Information, however they may only be released to the specific parties listed:  
      1. Class rosters may only be disclosed to students enrolled in the class.  
   4. The University reserves the right to amend this listing consistent with federal law and regulations and will notify students of any amendments by publication in the Annual FERPA notification.
   5. Disclosure Logs: Documents maintained by the appropriate University records custodians that records for each request for and each disclosure of Personally Identifiable Information of a student, and that indicates everyone who has requested or obtained Personally Identifiable Information and their legitimate interests in obtaining it (other than those enumerated in section I.E. below).
   6. Education Records: Any records maintained in any form by the University that are directly related to a student .
   7. FERPA: Family Educational Rights and Privacy Act, 20 U.S.C. 1232g, et seq. as amended.
   8. Hearing Body:  One or more persons assigned by the Vice President of Student Affairs or designee to determine whether an educational record is inaccurate, misleading or otherwise in violation of the student's privacy rights, and therefore should be amended or deleted from the student's records.  Individuals who have a direct interest in the outcome of the hearing may not serve on the Hearing Body (i.e., may not be from the University department of division with whom the student has the conflict under FERPA).
   9. Legitimate Educational Interest:  A University Official has a legitimate educational interest if it is in the educational interest of the student in question for the official to have the information, or if it is necessary for the official to obtain the information in order to carry out his or her official duties or to implement the policies of the University of Connecticut. Any school official who needs information about a student in the course of performing instructional, supervisory, advisory, or administrative duties for the University has a legitimate educational interest.
   10. Parent: Includes a parent of a student, a guardian, or an individual acting as a parent in the absence of a parent or guardian.
   11. Personally Identifiable Information: A student's name; the name of a student's parent or other family member; the address of a student or student's family; a personal identifier, such as the social security number or student number, or any portion thereof; a list of personal characteristics that would make a student's identity easily traceable; or other information that would make a student's identity easily traceable.
   12. Student: One who is presently enrolled and attending or has been enrolled and attended the University. It does not include deceased students.
   13. Student Conduct Code: Regulations governing student conduct.
   14.  University: the University of Connecticut, all campuses.
   15. University Officials: A school official is a person employed by the University in an administrative, supervisory, academic or research, or support staff position (including law enforcement unit personnel and health staff); a person or company with whom the University has contracted (such as an attorney, auditor, collection agent, official of the National Student Clearinghouse, or the University of Connecticut Cooperative Corporation); a person serving on the Board of Trustees; or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another school official in performing his or her tasks.

    

   2. Rights of Students
      1. Students of the University have a right to:
         1. Be provided a list of the types and location of educational records maintained by the University and the titles and contact information of the officials responsible for those records. (See appropriate link for each campus at the end of this policy);  
         2. Inspect and review Education Records (except as excluded in section I.G. below), within 45 days of a written request being presented to the authorized custodian of the records in question;
         3. Receive a response from the University to reasonable requests for explanations and interpretations of Education Records within ten (10) business days;
         4. Request amendments to their Education Records if the student believes that they are inaccurate, misleading, or otherwise in violation of privacy rights. If the University refuses to make such amendments, the student shall have an opportunity for an administrative hearing to challenge the content of the record on the same grounds and to insert a written statement or explanation commenting upon the information in the record;
         5. Inspect and review only such parts of educational material documents as relate to him/her or to be informed of such specific information;
         6. Receive a copy, if desired, of all records supporting enrollment or transfer to another school, and have an opportunity for an administrative hearing to challenge the content of these records;
         7. Revoke, in writing, any previously executed waiver of rights under FERPA, with respect to any actions occurring after revocation;
         8. Inspect the Disclosure Logs maintained by appropriate University record custodians with regard to the student's Education Record(s); and
         9. File complaints with the Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue S. W., Washington, D.C. 20202-4605.  Complaints may also be filed with the University's Compliance Office by calling the University Privacy Officer at (860) 486-5256 or online at https://www.compliance-helpline.com/uconncares.jsp.

              2.    Only those individuals who meet the definition of the term "student" under this policy have the right to inspect their Education Records maintained by the University.

    

   3. Disclosure of Education Records. Education Records or other Personally Identifiable Information (other than Directory Information) may not be disclosed without the student's prior written consent except in the following instances:
   4. 1. To the student, unless they have waived the right;
      2. To University Officials who have a legitimate educational interest in the records.
      3. To officials of other schools in which the student seeks or intends to enroll or has enrolled, provided the student may upon request have a copy of the records so transferred;
      4. In connection with determining eligibility, amounts, and conditions, or enforcing terms of financial aid for which the student has applied or that which he or she has received;
      5. To comply with a judicial order or lawfully issued subpoena, provided the University makes a reasonable effort to notify the student of the order or subpoena in advance of the compliance therewith, unless such notification is not required by FERPA;
      6. To appropriate parties in connection with an emergency if the knowledge of such information is necessary to protect the health or safety of the student or other individuals;
      7. To law enforcement agencies and to certain other governmental authorities and agencies as are enumerated in and required or permitted by FERPA;
      8. To a court in connection with legal action by the University against a student or a student's parent or by a student or student's parent against the University;
      9. To the parent of a student regarding the student's violation of any Federal, State, or local law or of any rule or policy of the University, governing the use or possession of alcohol or a controlled substance where:
      10. 1. The University has determined that the student has committed a disciplinary violation with respect to that use or possession; and
          2. The student is under the age of 21 at the time of the disclosure to the parent.

   Such disclosure will occur in accordance with the University's Parental Notification Policy through the Division of Student Affairs.  For more information, visit the Division of Student Affairs website at: http://www.dos.uconn.edu/?hs=judicial_faq.

   10. To a victim of an Alleged Perpetrator of a Crime of Violence or a Non-forcible Sex Offense. Such a disclosure may only include the Final Results of the disciplinary proceedings conducted by the University with respect to the alleged crime or offense. The University may disclose the Final Results of the disciplinary proceeding regardless of whether the University concluded a violation was committed;
   11. Disclosure of the final result of a disciplinary proceeding where the alleged perpetrator-student is found to have violated University policy with respect to a criminal allegation.  Such disclosure may be made (even to members of the public in certain circumstances) where the University has determined through its disciplinary proceedings that a student is (a) an Alleged Perpetrator of a Crime of Violence or a Non-forcible Sex Offense; and (b) with respect to the allegation made against the student, the student has committed a violation of the student Conduct Code. Such a disclosure may only include the Final Results of the disciplinary proceedings conducted by the University with respect to the alleged crime or offense. The University may not disclose the name of any other student, including a victim or witness, without the prior written consent of the other student. This paragraph applies only to disciplinary proceedings in which the Final Results were reached on or after October 7, 1998;
   12. To accrediting organizations to carry out their accrediting functions; and
   13. To organizations conducting studies for, or on behalf of, educational agencies or institutions to:
       1. Develop, validate, or administer predictive tests;
       2. Administer student aid programs; or
       3. Improve instruction.
          Disclosures made pursuant to this paragraph are subject to the requirements that (i) the studies are conducted in a manner that does not permit personal identification of parents and students to individuals other than representatives of the organization; and (ii) the information is destroyed when no longer needed for the purposes for which the study was conducted.
   14. 14. Pursuant to a student record release request made under the Solomon Amendment. (See section I.E. below.)

   D.    Disclosure of Directory Information. The University hereby gives notice that the categories of information defined herein as Directory Information may be released without the prior written consent of the student. Students may request, by reporting in person to the Office of the Registrar, that the University not release Directory Information without their consent.  Such requests shall apply only to subsequent actions by the University and shall remain in place until removed by written request of the student. Student employees must contact the Student Employment division within the Office of Student Financial Aid Services to restrict access to any employment-related Directory. 

   E.    The Solomon Amendment. Effective October 23, 1998, all Colleges and Universities are required to comply with the final regulations of the Solomon Amendment. Failure to comply could result in the loss of various forms of federal funding including various forms of Federal Student Aid.

   1. 1. At the University of Connecticut, all items included under the Solomon Amendment's list of required information are included within the University's definition of "directory information." These include name, addresses, telephone numbers, age, major, dates of attendance and degrees awarded.

      2. Information release is limited to military recruiting purposes only. The request for information must be in writing on letterhead that clearly identifies the military recruiting organization. Military recruiters must be from one of the following United States military organizations: Air Force; Air Force Reserve; Air Force National Guard; Army; Army Reserve; Army National Guard; Coast Guard; Coast Guard Reserve; Navy; Navy Reserve; Marine Corps; Marine Corps Reserve.

      3. If a student requests that their directory information be withheld under section I.D. of this policy, the student's records will not be released to military recruiters.

   F.    Disclosure Logs. The appropriate University records custodian shall maintain a log of each request for and each disclosure of Personally Identifiable Information from the Education Records of a student, that indicates the persons who have requested or obtained Personally Identifiable Information and their legitimate interests in obtaining it. However, this requirement does not apply to:

   1. 1. 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;
      2. Disclosures to University Officials, when it has been determined that the official has a legitimate educational interest; and
      3. Disclosures of Directory Information; and
      4. Disclosures to the student upon the student's own request.

   G.    Records Excluded from the Definition of Education Records. The following materials, information, and records which are excluded from the definition of Education Records are not available to students for inspection, review, challenge, correction, or deletion:

   1. 1. Confidential letters and statements of recommendation which were placed in the Education Records prior to January 1, 1975, if they are not used for purposes other than those for which they were specifically intended;
      2. Confidential letters and statements of recommendations, used solely for the purposes for which they were specifically intended, if the student has waived the right to inspect and review recommendations:
         1. regarding admission to an educational institution,
         2. regarding an application for employment, and
         3. regarding the receipt of an honor or honorary recognition;
      3. Financial records and statements of the student's parents or any information contained therein;
      4. Records of instructional, supervisory, or administrative personnel or educational personnel ancillary thereto, which are kept in the sole possession of the maker thereof, are used only as a personal memory aid, and are not accessible or revealed to any other person except a temporary substitute for the maker of the record;
      5. Records which are created or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting or assisting in that capacity, used only in providing treatment to the student, and not available to anyone other than persons providing such treatment, except that such records may be personally reviewed by a physician or other appropriate professional of the student's choice;
      6. Records made and maintained in the normal course of business which relate exclusively to the individual in his or her capacity as an employee and are not available for any other purpose; this exclusion does not apply to an individual who is employed by the University as a result of his/her status as a student (i.e., interns, graduate assistants, work-study, etc.);
      7. Records that only contain information about or related to a former student once he or she is no longer enrolled at the University (e.g., information regarding alumni or regarding individuals who attended the University at some point but are no longer enrolled); and
      8. Records of a law enforcement unit of the University created and maintained by that law enforcement unit for the purpose of law enforcement.  This exception does not include those records created by a law enforcement unit, even if the records were created for law enforcement purposes, if such records are maintained by a component of the University other than the law enforcement unit.

    

   8. Student Rights to Inspect and Challenge Education Records. The University shall provide a student the opportunity to challenge the content of his or her Education Records where the student believes the record(s) to be inaccurate, misleading, or otherwise in violation of privacy rights, and to correct, delete, or insert written statements of explanation into such record(s). This does not give a student a right to contest or challenge an assigned grade. Although disagreements may be settled through informal meetings and discussions, either the student or the University may request an administrative hearing to resolve the dispute.
   The student or University administrator seeking the hearing shall make his or her request in writing to:

         University Privacy Officer

                           Office of Audit, Compliance & Ethics

                           9 Walters Avenue, Unit 5084

                           Storrs, Connecticut 06269-5084

   The Hearing Process:
   1. The hearing shall be conducted and decided within a reasonable period of time following the request, and the student shall be given notice of the date, time, and place reasonably in advance of the hearing.  Normally, the hearing will be conducted within ten (10) business days following the date the hearing request has been received.
   2. The student will have, at the formal hearing, the opportunity to present evidence and argument to a Hearing Body in support of his or her contention that the records are inaccurate, misleading or otherwise inappropriate. The student may, at his or her own expense, be assisted by one or more individuals of his or her own choice, including an attorney, The student may present evidence and question witnesses.  The burden shall lie with the student to show that it is more likely than not (preponderance of the evidence) that the University department should have made the student's requested changes to his or her records, and/or that a violation of the student's rights under FERPA has occurred.
   3. The University department with whom the student has the conflict may present a case in rebuttal with the same aforementioned procedural rights. The University department shall be provided an opportunity to present evidence relevant to the issues raised by the student;
   4. The hearing shall be conducted by a Hearing Body who will hear all testimony, review all evidence presented at the hearing and render a decision.  The Hearing Body shall be appointed by the Vice President of Student Affairs,  provided that person(s) does not have a direct interest in the outcome;
   5. The Hearing Body shall ensure that the decision is rendered to the student in writing within a reasonable time after the conclusion of the hearing, is based solely upon the evidence presented at the hearing, and shall include a summary of the evidence and the reasons for the decision.  The decision of the Hearing Body shall be final.
   6. If the matter is not resolved to the satisfaction of the student, the student may draft a written response to be included with the Education Record(s) in question that details the student's issue(s) with the Education Record(s) in question, and a description of why the student believes the Education Record(s) in question to be inaccurate, misleading, or otherwise in violation of privacy rights.

    

   9. Periodic Review. Education Records and Personally Identifiable data shall be screened periodically to ensure that those Education Records required to be maintained by law or University policy are being retained.  Education Records shall be disposed of in accordance with the State's Record Retention Policy.  However, records and data shall not be destroyed if there is an outstanding request to inspect and review them. Additionally, the Disclosure Log and any statements of explanation shall be maintained as long as the Education Records to which they pertain are maintained.
   10. The Office of the Attorney General, the Office of the Registrar, and the University Privacy Officer are designated to assist with the interpretation and implementation of FERPA.

   Please click on the following link to find location of specific student files: http://www.registrar.uconn.edu/ferpa_contacts.htm

   Last updated: July 30, 2007