CALIFORNIA STATE UNIVERSITY, 
SAN BERNARDINO

UNIVERSITY
POLICY AND PROCEDURES
FOR
STUDENT RECORDS ADMINISTRATION

IMPLEMENTATION DATE:   March 1978

REVISION #1:
    RECOMMENDED BY ADMINISTRATIVE COUNCIL:        August 5, 2002
    APPROVED BY PRESIDENT KARNIG:      September 25, 2002

FOR INTERPRETATION OF THIS POLICY, PLEASE CONTACT THE DIRECTOR OF RECORDS, REGISTRATION & EVALUATIONS, 909/880-5202

1. Purpose

1. Executive Order 796, entitled "Privacy and Personal Information Management - Student Records Management," requires the issuance of policies and regulations by the campus to implement the mandate of subject laws.  The policies and procedures adopted herein constitute the University's implementing posture required to administer The Family Educational Rights and Privacy Act of 1974 (FERPA) as Amended, and Sections 67110-67147 of the California Education code.*
   
   

2. The University's initial FERPA regulations and guidelines and all supplemental regulations thereto are superseded and inoperative as of the date these regulations are promulgated.

2. Definitions
   

1. Student -- means any person who is enrolled or has previously been enrolled at California State University, San Bernardino.  (An applicant is not a student for purposes of the laws and regulations governing student records administration.)  Nonmatriculating students (extension, summer session) are considered CSUSB students for purposes of this policy.
   
   

2. Student Record -- means any personally identifiable information maintained by the campus, in any form, which concerns a student.  Generally excluded from right of review is the following information:
   

1. Information provided by a parent, which relates to the student's application for financial aid or scholarships.
   
   

2. Confidential letters or recommendations filed on or before January 1, 1975.
   
   

3. Information, notes, etc., maintained by a faculty or staff member and not revealed to anyone except a substitute.
   
   

4. Records established by physicians and psychiatrists, and records of psychologists and other psychotherapists provided those records relate to a course of therapy.  These records are reviewable by a surrogate only.
   
   

5. Records of campus law enforcement officials.
   
   

6. Employee records.
   
   

7. Alumni records which contain only information relating to a person after that person is no longer a student.

Student records are maintained throughout the University.  Attachment A reports the types of records, their locations, and the officials in charge of student records.  Every student may have personally identifying records in all or part of the areas reported.  All materials received by the University for the inclusion in official records become the property of the University.

3. Directory Information -- refers to the information in student records, which may be released to anyone unless students advise the University in writing that such information concerning them may not be released.  (See Section C,3)  At this University, Directory Information regarding a student includes:

1. Name
   
   

2. Address
   
   

3. Telephone number
   
   

4. E-mail address --- Currently available to the public on the internet unless student advises the University in writing to restrict full access of directory information.
   
   

5. Major field of study
   
   

6. Current unit load**
   
   

7. Extent of participation in University sports and student activities
   
   

8. Dates of attendance, degrees, and awards received at CSUSB
   
   

9. Educational institutions previously attended
   

4. Access -- means the right of students to personally inspect their records at the University and, in some instances, to have copies of their records (see Section C,2).
   
   

5. Former Students -- the University may release, without written consent, those items identified as Directory Information on any student not currently enrolled.
   

3. Procedures

1. The Family Educational Rights and Privacy Act, Executive Order 796, and the aforementioned sections of the California Education Code, vest students with the following rights:
   

1. The right to be advised when initially enrolling at the University, and on a continuing basis thereafter, of their right of access, review and challenge of the records maintained by the institution which are personally identifying.

2. The right to be apprised through notices in University publications of the institutions in compliance with the mandates of FERPA, Executive Order 796, and aforementioned sections of the California Education Code.
   
   

3. The right, substantially and procedurally, to challenge a record.
   

4. An expectation that University officials will prevent unauthorized access or release of personally identifying information in the records amassed while enrolled.
   

5. The right, when exercised, which prevents the University from releasing Directory Information as defined in this document (Section B,3).

2. Student access to records

1. The University shall allow students to inspect and review all student records relating to them except those student records excluded in Section B,2 and those which include information on more than one identifiable student, in which case only that information relating to the student requesting access shall be revealed.
   
   

2. Access to inspect and review such records shall be granted to students no later than 15 working days following the receipt of the request.  The University shall:

1. Inform the student of the location of the requested record if not centrally located; and
   
   

2. Provide qualified personnel to interpret the record where appropriate.
   

3. The right of students to have access to inspect and review their student records does not include the right to a copy of such records unless at least one of the following conditions exists:

1. Failure to provide a copy would effectively prevent a student from exercising the right to inspect and review the student record.  For example, a former student residing in another state cannot be physically present to review a student record.  A copy of the record should be provided to such persons upon written request; or

2. Copies of the specific record have been provided to another educational institution as requested by the student.

4. In addition to satisfying one of the above conditions, a student may be provided copies of their records only upon the payment of appropriate fees, and provided the student's records are not encumbered because of an indebtedness to the University (see Section D,2).

5. Requests for transcripts of grades (permanent records) will continue to be processed on a separate form by the Office of Records, Registration and Evaluations accompanied by the established fee.  Transmissions of placement files involve a separate procedure.
   
   

6. The University will not provide copies of other schools' transcripts and records on file at CSUSB.  Copies of such documents are most properly obtained from the institution of origin, which may have valid reasons for not wanting such records recopied and released.
   

3. Preventing Release of Directory Information

1. A student may prevent the public release or disclosure of personally identifying material contained in University records by requesting this action at the Vice President for Student Affairs Office.  To request this action, the student must personally complete the request form (Attachment B) in the Vice President for Student Affairs Office before the last day to add classes any quarter and not later than one week following the beginning of a summer session or extension enrollment.  The request is in effect until the beginning of the next school year (except summer session and extension term requests which are valid only during the term requested).
   
   

2. The Vice President for Student Affairs Office transmits this information to the  Office of Records, Registration and Evaluations which makes the proper entry on the Master Address list.  
   
   

3. The release of Directory Information may be made only in those instances where some benefit to the student is evident or in those instances where it reasonably appears that a benefit would result if the requested information were provided.
   
   

4. Officials and offices who receive requests for Directory Information but are unable to determine the existence of the required benefit should refer such requests to the Vice President for Student Affairs.
   
   

5. Directory Information relating to former students may be released without the student's consent.  Pertinent laws and regulations do not authorize a procedure whereby a former student may prevent the release of Directory Information.  However, the release of Directory Information will only be made in those instances where some benefit to the former student is evident or in those instances where it reasonably appears that a benefit would result if the requested information were provided.
   

4. Student Waivers for Confidential Records

1. Students may waive their right to inspect and review confidential letters or statements of recommendation regarding:

1. Admission to this University or any other educational institution
   
   

2. An application for employment or career placement
   
   

3. The receipt of an honor or honorary recognition

2. Waivers may apply to confidential letters and statements only if:

1. The student or applicant is notified on request of the names of all persons providing such letters or statements
   
   

2. The letters or statements are used for the purpose for which they were intended
   
   

3. Such waivers are not required or requested of students by the University.

3. A waiver must be in writing and signed by the student.  It may be revoked, in writing, at any time.  The revocation will not affect the use of letters and statements secured prior to the revocation.

5. Written Consent for Release of Records

Except as specifically authorized by law, the University will not release personally identifying information from a student record without the student's written consent, which must be signed and dated.  This consent shall include:

1. A specific delineation of the records to be disclosed
   
   

2. The purpose(s) of the disclosure
   
   

3. The person, class of persons, or organization to whom the disclosure may be made.

Every written consent provided by a student for the release of information shall become a permanent part of the student's record.  When the University discloses personally identifiable information from a student record, as authorized by the student, it will advise the person, institution, agency or organization to which it is disclosed that the information provided should be used only for the purposes for which the disclosure was made.  Further release of the information to other parties without the written consent of the student is prohibited by law.

6. Access List

1. The University must maintain a record of requests for, and disclosures of information in student records.  (Such a record is hereinafter referred to as an Access List.)  An Access List must be maintained with the record requested or disclosed.  Records of requests and disclosures need not be maintained for the following requests or disclosures:

1. Those requests made by students for their own use
   
   

2. Those disclosures made in response to written requests from students
   
   

3. Those made by CSUSB school officials who have legitimate educational interests
   
   

4. Those seeking information specified as Directory Information
   
   

5. Those seeking disclosures under the Solomon Act for federal military recruiting.
   

2. An Access List will not be required for any student record until receipt of the initial request is received and for which a record of the request must be maintained.
   
   

3. Information relating to a request or disclosure, which must be recorded on the Access List, consists of:

1. The name and address of person(s) who requested the information
   
   

2. The delineation of the legitimate interest in the information
   
   

3. The date on which the information was disclosed and the name of the employee who released the information from the student's records.

4. Access Lists, where activated, become a permanent part of the student's record and must be made available for review upon request or as a part of the review of the original record.
   
   

5. Only rarely will it become necessary to activate an Access List because most requests or disclosures will fall within a category of information reported in 6a, above.  Exceptions to this rule are cases of individuals who may access students' records without their consent, but who must be indicated on an Access List.  (Federal Register, Vol. 41, No. 118, paragraph 99.31):

1. Authorized representatives of United States Department of Education and related federal agencies
   
   

2. California state educational authorities
   
   

3. Appropriate parties in a bona fide health or safety emergency
   
   

4. Parents of a student who have established that student's dependency status as defined in the Internal Revenue Code of 1954
   
   

5. Persons or organizations providing student financial aid
   
   

6. Accrediting agencies carrying out their accreditation function
   
   

7. Persons in compliance with a subpoena or court order
   
   

8. Officials of another school in which the student seeks to enroll
   
   

9. Parties authorized by the CSUSB Institutional Review Board to conduct research involving human subjects.  Final approval to obtain access to student records is required from the Vice President for Student Affairs. 

7. Student Challenges of Record Contents

1. Students may challenge information in their records considered to be incorrect, inaccurate, misleading, unsubstantiated, a personal conclusion or inference, a conclusion or inference outside of the observer's area of competence, not based upon the personal observation noted, or otherwise in violation of their privacy or other rights.

The right of challenge cannot be interpreted so as to authorize students to contest the assignment of grades, academic probation or disqualification action resulting from grades or administrative academic probation or disqualification actions as authorized by Executive Order 393.  Academic dispositions on actions considered incorrect may be the subject of a student academic grievance petition.  Similarly, the right to challenge contents of records does not authorize students to contest records of actions taken by the University on discipline matters as authorized by Executive Order 628.

In order to challenge a record or portion thereof, the student must identify in writing the record being challenged therefore.  The written challenge should be forwarded to the official in charge of the department in which the contested record(s) are maintained.  This person will, within fifteen school days after receipt of the student's challenge, determine whether to amend the records as requested.  A written notification to the student of that decision will be provided.  If the decision is to amend the record, as requested, the record will be corrected, removed, or destroyed and the student is so notified.  In the event the decision is negative from the student's standpoint, the student shall be advised of:

1. The right to a hearing in accordance with the Procedures for Challenging the Content of an Individual's University Records attached hereto (Attachment C).
   
   

2. The right to submit a written statement of objections to the challenged record or material.  Such a statement would be for review for as long as the challenged record or material remains a part of the student's records.

2. Students who believe that their rights have been abridged by the University may file complaints with the Family Educational Rights and Privacy Act Office, Department of Health, Education and Welfare, United States Department of Education, Washington, D.C. 20201.

8. Disciplinary Records

1. A student who has been formally punished for a violation of the Student Conduct Code, Section 41301, Title 5, of the California Administrative Code pursuant to the Student Disciplinary Procedures for the California State University (Executive Order 628), subsequent to January 1, 1977, may submit a written statement or response concerning the disciplinary action imposed by the University for inclusion with the record of punishment.
   
   

2. Any statement submitted by the student, as authorized above, will become a permanent part of the disciplinary action file and made available to anyone who gains access to the disciplinary action file.
   
   

3. Once such a statement is submitted by the student, the University reserves the right to add to the records its statement concerning the disciplinary matter.
   
   

4. Management Policies

1. Since student records are located throughout the University, many employees are involved in their maintenance.  No employee -- staff or academic -- will have access to a student record unless that access is derived from an absolute need-to-know on the part of the employee, who must then be acting within the scope of official duties and in connection, directly or indirectly, with a legitimate educational interest of the student concerned.  If a conflict arises regarding legitimate educational interest, the burden of proof will rest with the employee requesting access rather than with the custodian of the records in question.
   
   

2. The fee for the service of reproducing pages, forms, cards or other similar materials in a student's records (as allowed in Section C,2,d of this document) is $.10 per page.  Separate fee schedules exist for the reproduction of transcripts of permanent records and alumni placement files.
   
   

3. Each University department which maintains student records may from time to time review the materials contained in its files.  The official in charge may expunge those student records which he/she determines are unneeded or improper except for those records required to be maintained by CSU systemwide policies.  No student record may be destroyed if there is an outstanding request from a student to inspect and review the record.
   
   

4. The policies established herein, revisions thereto, and implementing procedures shall be reviewed during the Winter Quarter, 1979, and every two years thereafter from standpoint of appropriateness, viability, fee structures, and overall effectiveness in executing the mandate of FERPA, Executive Order 796 and California Education Code, Sections 67110-67147.

1. The review will be conducted by an ad hoc committee appointed by the Vice President for Student Affairs.
   
   

2. The committee will report its findings in writing to the Vice President for Student Affairs who will forward the report and his recommendations to the University President.
   
   

3. A report on each biennial review and any University action taken will be forwarded by the University President to the Chancellor.
   
   

*The complete text of these three documents is maintained in the Vice President for Student Affairs Office and all are made available for student review upon request, as are copies of this policy statement.

**Other class schedule information may be released only by the Vice President for Student Affairs.

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