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Initially approved by the Chancellor,October 4, 1984
Revised April 5, 1999
Revised October 30, 2000
Revised April 9, 2001
Revise May 8, 2002
Revised July 14, 2003
Updated August 31, 2005
Revised October 19, 2006
Updated
March 13, 2008
Revised
May 15, 2008
Revised
June 5, 2009
POLICY STATEMENT #69
STUDENT
RECORDS
UNC Charlotte
adheres to a policy of compliance with the Family
Educational Rights and Privacy Act of 1974, also
known as the Buckley Amendment or FERPA, a federal
law that affords students the following rights with
respect to their education records:
1.
to inspect and review the student's education records;
2.
to consent to disclosure of the student's education
records to third parties, except to the extent that
FERPA authorizes disclosure without consent;
3.
to request amendment of the student's education records
to ensure that they are not inaccurate or misleading;
4.
to be notified of the student's privacy rights under
FERPA;
5.
to file a complaint with the U.S. Department of Education
concerning alleged failures by the University to comply
with the requirements of FERPA.
The
University has designated the University Registrar
to coordinate the inspection and review procedures
for student education records.
I.
Definitions
"Directory
Information" means information in a student's
education record that would not generally be considered
harmful or an invasion of privacy if disclosed. At
UNC Charlotte, directory information consists of the
student's name, local and permanent address, email
address, telephone number, date and place of birth,
class, major field of study, dates of attendance,
enrollment status, degrees and awards (including scholarships)
received, participation in officially recognized activities
and sports, weight and height of members of athletic
teams, and the most recent previous educational agency
or institution attended. Directory information does
not include a student's Social Security
Number or student identification number.
"Education
Records" include
records directly related to a student that are maintained
by UNC Charlotte. Education records do
not include:
-
Records
of instructional, administrative, and educational
personnel that are in the sole possession of the
maker (i.e. file notes of conversations), are used
only as a personal memory aid, and are not accessible
or revealed to any individual except a temporary
substitute;
-
Records
of the UNC Charlotte campus police;
-
Student
medical and counseling records created, maintained,
and used only in connection with provision of medical
treatment or counseling to the student, that are
not disclosed to anyone other than the individuals
providing the treatment. (While a student may not
inspect his or her medical records, these records
may be reviewed by a physician of the student's
choice);
-
Employment
records unrelated to the student's status as a student;
-
Records
created or received by an educational agency or
institution after an individual is no longer a student
in attendance, and that are not directly related
to the individual's attendance as a student;
-
Grades
on peer-graded papers before they are collected
and recorded by a teacher.
"Personally
Identifiable Information" includes, but is
not limited to
-
The
student's name;
-
The
name of the student's parent or other family members;
-
The
address of the student or student's family;
-
A
personal identifier, such as the student's social
security number, student identificatio number, or
biometric record;
-
Other
indirect identifiers, such as the student's date
of birth, place of birth, and mother's maiden name;
-
Other
information that, alone or in combination, is linked
or linkable to a specific student that would allow
a reasonable person in the school community, who
does not have personal knowledge of the relevant
circumstances, to identify the student with reasonable
certainty; or
-
Information
requested by a person who the University reasonably
believes knows the identity of the student to whom
the education record relates.
"Student"
means
an individual who is or who has been in attendance
at UNC Charlotte. It does not include persons who
have been admitted but did not attend at the University.
For the purposes of this policy, "attendance"
includes attendance in person or by paper correspondence,
videoconference, satellite, Internet, or other electronic
information and telecommunications technologies for
students who are not physically present in the classroom;
and the period during which a person is working under
a UNC Charlotte work-study program.
II.
Disclosure of Education Records
A.
Disclosure to the Student
The
student has the right, on request to the appropriate
University official, to review all materials that
are in the student's education records, except:
-
Financial
information submitted by the student's parents;
-
Confidential
letters and recommendations associated with admissions,
employment or job placement, or honors, to which
the student has waived rights of inspection and
review (the University is not required to permit
students to inspect and review confidential letters
and recommendations placed in their files prior
to January l, 1975, provided those letters were
collected under established policies of confidentiality
and were used only for the purposes for which they
were collected);
-
Education
records containing information about more than one
student, in which case the University will permit
access only to that part of the record that pertains
to the inquiring student.
B.
Disclosure without Prior Consent of the Student
The
University will not disclose any information from
a student's education records without prior written
consent of the student, except as follows:
1. Directory Information. Directory
information (as defined in Section I above)
may appear in public documents and may otherwise be
disclosed without student consent unless a student
submits a written request to the Registrar to withhold
such information from disclosure. A request for non-disclosure
will be honored by the University indefinitely, unless
the student submits to the Registrar a written revocation
of such request for non-disclosure.
2. University Officials. University
officials with legitimate educational interests in
the student's education records are allowed access
to student education records. A "legitimate educational
interest" is defined as an interest that is essential
to the general process of higher education, including
teaching, research, public service, academic advising,
general counseling, discipline, job placement, financial
assistance, medical services, and academic assistance
activities. University officials who may have access
to only those education records in which they have
legitimate educational interests include personnel
in the following offices:
- Undergraduate
Admissions
- Graduate
Admissions
- Office
of University Registrar
- Academic
Services
- Financial
Aid
- Financial
Services
- Auxiliary
Services
- Student
Employment Office
- University
Center for Academic Excellence
- Career
Center
- Counseling
Center
- Office
of Adult Students and Evening Services
- Disability
Services
- Information
Technology Services, for technical support associated
with maintaining student education records only
- Office
of Enrollment Management
- Office
of Director of Athletics
- Office
of Vice Chancellor for Student Affairs
- Office
of Vice Chancellor for Business Affairs
- Office
of Dean of Students
- Office
of Dean of Graduate School
- Office
of International Programs
- Offices
of Chairpersons of Departments
- Offices
of Deans of Colleges
- Offices
of Directors of Interdisciplinary Units
- Office
of Provost
- Office
of Chancellor
- Office
of Legal Affairs
- Campus
Police, for internal law enforcement or health
and safety purposes only
- Alumni
Affairs
- Development
- Academic
counselors and advisors
- Campus
Behavioral Intervention Team
- Office
of Institutional Research
- Other
academic and administrative personnel, as approved
by the Chancellor
3. Parents of Dependents. Parents
of a student who is a dependent for federal tax purposes,
as defined by Section
152 of the Internal Revenue Code of 1954, may
have access to that student's education records without
prior consent of the student. Parents may demonstrate
the tax dependency of a student only by submitting
to the University a copy of their most recently filed
federal income tax return. Alternatively, a student
may demonstrate tax dependency, and thus allow parental
access to the student's records without prior consent
of the student, by submitting to the University a
signed statement of his or her tax dependency. If
a dependent student's parents are divorced, both parents
may have access to the student's records, so long
as at least one parent claims the student as a dependent.
4.
Other Institutions.
The University may release a student's education records
to officials of another school, school system, or
institution of postsecondary education where the student
seeks or intends to enroll, or where the student is
already enrolled, so long as the disclosure is for
purposes related to the student’s enrollment or transfer.
5. Financial Aid. The University
may release a student's education records to persons
or organizations in connection with that student's
application for, or receipt of, financial aid, but
only to the extent necessary for such purposes as
determining eligibility, amount, conditions, and enforcement
of terms or conditions of such financial aid.
6. Accreditation Agencies. The
University may release students' education records
to accreditation organizations or agencies for purposes
necessary to carry out their accreditation functions.
7. Judicial Orders. Information
concerning a student shall be released in response
to a judicial order or lawfully issued subpoena, subject
to the conditions set forth in 34 CFR § 99.31(a)(9).
The University will make reasonable efforts to notify
the student of a subpoena before complying with it,
except that the University shall not notify a student
of a subpoena if it is from a federal grand jury or
is for law enforcement purposes, and it provides that
the University shall not disclose to any person the
existence or contents of the subpoena or any information
furnished in response to the subpoena.
8.
Litigation.
If the University initiates legal action against a
parent or student, or if a parent or student initiates
legal action against the University, the University
may disclose to the court, without a court order or
subpoena, the education records of the student that
are relevant for the University to proceed with the
legal action as plaintiff or to defend itself in such
legal action.
9. Health and Safety. The University
may, subject to the conditions set forth in 34 CFR
§ 99.36, disclose student information to appropriate
persons, including parents of a student, in connection
with an emergency if knowledge of the information
is necessary to protect the health or safety of the
student or other individuals.
10. Student Conduct Hearing Results.
Disclosure
to Victims:
The University may disclose to an alleged victim of
any crime of violence (as that term is defined in
Chapter
1, Section 16 of Title 18, United States Code),
or a non-forcible sex offense, the final results of
any student conduct proceeding conducted by the University
against the alleged perpetrator of such crime or offense
with respect to such crime or offense, regardless
of whether the alleged perpetrator was found responsible
for violating the University’s rules or policies
with respect to such crime or offense.
Disclosure
to Third Parties:
The University may disclose the final results of any
student conduct proceeding against a student who is
an alleged perpetrator of any crime of violence or
non-forcible sex offense (as those terms are defined
in 34 C.F.R. 99.39), if the student is found responsible
on or after October 7, 1998, for violating the University's
rules or policies with respect to such crime or offense.
Such disclosure shall include only the name of the
student, the violation committed, and any sanction
imposed by the University on that student. Such disclosure
may include the name of any other student, such as
a victim or witness, only with the written consent
of that other student.
11. Alcohol and Drug Violations.
The University may disclose to a parent or legal guardian
of a student, information regarding any 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, regardless
of whether that information is contained in the student's
education records, if the student is under the age
of 21 at the time of disclosure to the parent, and
the University determines that the student is responsible
for a student conduct violation with respect to such
use or possession.
12. Federal, State, and Local Officials
and Educational Authorities. Subject to the requirements
of 34 CFR §
99.35, the University may disclose education records
to authorized representatives of (i) The Comptroller
General of the United States; (ii) The Attorney General
of the United States; (iii) The Secretary; or (iv)
State and local educational authorities.
13. Institutional Studies. The
University may disclose education records, but only
under the conditions set forth in
34 CFR § 99.31(a)(6), to organizations conducting
studies for, or on behalf of, educational agencies
or institutions to (A) Develop, validate, or administer
predictive tests; (B) Administer student aid programs;
or (C) Improve instruction.
14. Contractors. The University
may disclose education records to a contractor, consultant,
volunteer, or other party to whom the University has
outsourced institutional services or functions, provided
that the outside party:
-
Performs
an institutional service or function for which University
would otherwise use employees;
-
Is
under the direct control of the University with
respect to the use and maintenance of education
records; and
-
Is
subject to the requirements of Section 99.33(a)
governing the use and redisclosure of Personally
Identifiable Information from education records.
15.
Registered Sex Offenders. The University may
disclose education records concerning sex offenders
and other individuals required to register under Section
170101 of the Violent Crime Control and Law Enforcement
Act of 1994, 42 U.S.C. 14071, if the information was
provided to the University under 42 U.S.C. 14071 and
applicable Federal guidelines.
C.
Disclosure with Prior Consent of the Student
In
all other cases, the University will not release personally
identifiable student information in education records
or allow access to those records without prior consent
of the student. Such consent must be written, signed
and dated, and must specify the records to be disclosed,
the party to whom the records are to be disclosed,
and the purpose of the disclosure.
D.
Records of Disclosures
The
University will maintain a record of each request
for access to and each disclosure of personally identifiable
information from the education records of each student,
as well as the names of State and local educational
authorities and Federal officials and agencies listed
in Section 99.31(a)(3) that may make further disclosures
of personally identifiable information from the student’s
education records without consent under Section 99.33(b),
with the education records of the student as long
as the records are maintained.
For
each such request or disclosure the record must include:
(1) The parties who have requested or received Personally
Identifiable Information from the education records;
and (2) the legitimate interests the parties had in
requesting or obtaining the information.
The
University will maintain with the student's education
records a record for each disclosure request and each
disclosure, except disclosures:
-
to
the student himself or herself;
-
pursuant
to the written consent of the student or the parent
of a dependent student;
-
to
instructional or administrative officials of the
University with a legitimate educational interest;
-
of
directory information; or
-
to
a party seeking or receiving the records as directed
by a Federal grand jury or other law enforcement
subpoena when the issuing court or other issuing
agency has ordered that the existence or the contents
of the subpoena or the information furnished in
response to the subpoena not be disclosed.
The
University will record the following information when
it discloses Personally Identifiable Information from
education records under the health or safety emergency
exception in 34 CFR Section 99.31(a)(10) and Section
99.36:
- The articulable and significant threat to the health
or safety of a student or other individuals that formed
the basis for the disclosure; and
- The parties to whom the agency or institution disclosed
the information.
III.
Types and Locations of Education Records
Student
education records are maintained at several locations
on campus. Principal locations are shown in Attachment
A, together with the title of the official to
be contacted for access to the records. A written
request may be required. Students wishing to review
their education records must make written requests
to the appropriate administrator shown in Attachment
A. If the student is uncertain as to the location
of a particular record, a written request should be
addressed to the University Registrar, listing the
item or items of interest. Only those records covered
by FERPA will be made available, within forty-five
days of the request. Students may make copies of their
records unless a financial, academic, or conduct "hold"
has been placed on the record by an appropriate University
official. Such copies will be made at the student's
expense at the rates shown in Attachment B
to this policy. A student may review his or her student
conduct records, and may take notes on their contents,
but may not make copies of such records if they contain
the name of another student.
IV.
Requests to Amend Records
A
student who believes that his or her education records
are inaccurate or misleading, or that the records
violate his or her privacy rights, may seek amendment
of the records in accordance with Attachment
C. [Note: The substantive judgment of a faculty
member about a student's work, expressed in grades
and/or evaluations, is not within the purview of this
right to seek amendment of education records.]
If
the outcome of a request for amendment is unsatisfactory,
a student has the right to have a hearing, as set
forth in Attachment
C. The decision of the hearing panel will be final,
will be based solely on the evidence presented at
the hearing, and will consist of a written statement
summarizing the evidence and stating the reasons for
the decision, and will be delivered to all parties
concerned. If the decision is in favor of the student,
the education records will be corrected or amended
in accordance with the decision of the hearing panel.
If the decision is unsatisfactory to the student,
the student may place with the education records a
statement commenting on the information in the records
or a statement setting forth any reasons for disagreeing
with the decisions of the hearing panel. The statement
will be placed in the education records, maintained
as part of the student's records, and released whenever
the records in question are disclosed.
V.
Complaints
A
student who believes that the outcome of a hearing
to amend his or her education records was unfair or
not in keeping with the provisions of FERPA
may, in accordance with 34 CFR Section 99.64, file
a complaint with The Family Policy Compliance
Office, U.S. Department of Education, 400 Maryland
Avenue, SW, Washington, D.C. 20202-5920, concerning
alleged failures of The University of North Carolina
at Charlotte to comply with FERPA. A student may request,
in writing, assistance from the Chancellor in filing
such a complaint.
VI.
Notice
The
University provides official notice to students of
their rights under FERPA by publishing such notice
in the UNC Charlotte Catalog and posting it at the
Office of the Registrar.
Policy Statement #69 - Student Records
Attachment A
Location of Student Education Records
A.
Academic Records
University Registrar, King Building
Offices
of each academic department, Department Chair
Offices
of each college, Deans
Graduate School, Cato Hall
Director of Continuing Education, Ben
Craig Center
Director of the University Center for
Academic Excellence, Fretwell Building
B.
Student Conduct Records
Office of the Dean of Students, King
Building
C.
Student Employment Records
Department of Human Resources, King
Building
D.
Financial Aid Records
Director of Student Financial Aid, Reese
Building
E.
Career Center Records
Director of University Career Center, Atkins
Building
F.
Records Relating to International Students
Director of International Student/Scholar
Office, College of Health and Human Services Building
G.
Records Relating to Student Athletes
Director
of Athletics, Student Activities Center
H.
Records Relating to Students in the ROTC Program
Air Force ROTC Office,
Colvard Building;
Army ROTC Office, Colvard Building
I.
Admissions Records
Director of Admissions, Cato Hall (Undergraduate
Programs)
Dean of Graduate School, Cato Hall (Graduate
Programs)
Director of International Admissions,
Cato Hall
J.
Student Accounts Records
Student
Accounts Office, Reese Building
K.
Residence Hall Records
Director of Residence Life, Scott Hall
L.
Disability Services Records
Director of Disability Services, Fretwell Building
M.
University Identification Card Pictures
49er Card Office,
Auxiliary Services Building
Policy Statement #69 - Student Records
Attachment B
Copying Fees
l.
Official Copy of Transcript: $5.00
2.
Copies of Other Information in Student Academic Folder
(Registrar's Office): $l.00
(After ten pages, ten cents for each additional page)
Policy
Statement #69 - Student Records
Attachment C
Student Right to Challenge the Content
of His/Her Education Record
A.
If a student believes that the information contained
in his/her education records is inaccurate or misleading,
or that it violates his/her privacy rights, the student
may request that the University amend the record.
Such request shall be in writing addressed to the
University
Registrar, and shall specify the amendment sought.
B.
The Registrar or a designee shall, within thirty (30)
days after receiving the student's request, and after
consulting with appropriate University officials,
decide whether the record will be amended in accordance
with the request, and inform the student. If the decision
is to refuse to amend the record in accordance with
the request, the Registrar shall simultaneously advise
the student that he or she may request a hearing to
challenge the content of the education record to ensure
that the information thereon is not inaccurate, misleading
or in violation of the privacy rights of the student.
C.
If the Registrar receives a request for a hearing,
he/she shall direct the request to the Chancellor.
If, after reviewing the request, the Chancellor determines
that the request is to amend an education record because
information in it is inaccurate or misleading, or
it violates the student's privacy rights, the Chancellor
shall appoint a panel of three (3) University faculty
or staff members to conduct a hearing. The Chancellor
shall appoint only persons who have no direct interest
in the outcome of the hearing. The Chancellor shall
designate the chair of the panel and shall provide
the panel such assistance as he or she deems appropriate.
D.
The chair of the hearing panel established as in Paragraph
C above shall notify the student and the Registrar
of the date, time and place of the hearing at least
five (5) days before the hearing.
E.
The student shall be afforded a full and fair opportunity
to present evidence relevant to the issue whether
the information in the student's education record
is inaccurate, misleading, or in violation of the
student's privacy rights. The student may be assisted
by individuals of his/her choice at the student's
own expense, including an attorney.
F.
The Registrar or persons appearing in his/her behalf
shall be afforded a like opportunity.
G.
The panel shall make its decision solely on the basis
of the evidence presented at the hearing. The decision
of the panel shall be in writing and shall include
a summary of the evidence and the reasons for the
decision.
H.
If the decision of the panel is that the information
in the student's record is inaccurate, misleading
or in violation of the privacy rights of the student,
the Registrar shall amend the record accordingly and
so inform the student in writing.
I.
If the panel decides that the information is not inaccurate,
misleading, or in violation of the privacy rights
of the student, it shall inform the student of the
right to place in the education record a statement
commenting on the records and setting forth the reasons
for disagreeing with the agency or institution. Such
statement shall thereafter be maintained as part of
the education record and shall thereafter be disclosed
to any party to whom the contested record is disclosed.
J.
The decision of the hearing panel is final.
K.
A student who believes that the outcome of a hearing
to amend his or her education records was unfair or
not in keeping with the provisions of FERPA may file a
complaint with The Family Policy Compliance
Office, U.S. Department of Education, 400 Maryland
Avenue, SW, Washington, D.C. 20202-4605, concerning
alleged failures of The University of North Carolina
at Charlotte to comply with FERPA. A student may request,
in writing, assistance from the Chancellor in filing
such a complaint.
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