Authority - Chapter X

South Dakota Board of Regents

 

Public Law 93-380, enacted by the United States congress on August 21, 1974, and amended by Section 2 of Public Law 93-568, was designed to assure the privacy of personal education records of students which are kept by the University.  The law became effective on June 19, 1976.  (Final Regulations appear in the Federal Register, Vol. 53, No. 69, April 11, 1988).

 

Specifically, the statute defines "Education Records" and covers matters relating to access to student records and the disclosure of such records.  It also provides an opportunity for an eligible student  to correct inaccurate information in education records.  Finally, it requires that eligible students be notified about existing records and their rights in considerable detail.  It is the purpose of these regulations to define the South Dakota State University (SDS) policies and procedures for compliance with Public Law 93-380 as amended.

 

Section

04:01               Definition of Education Records.

04:02               Definition of Other Terms.

04:03               Disclosure of Personally Identifiable Education Records to an Eligible Student.

04:04               Copies of Education Records.

04:05               Disclosure of Identifiable Education Record to Persons Other than an Eligible Student shall be limited to the following.

04:06               Disclosure of Identifiable Education Records for a Deceased Student.

04:07               Records of Release Giving Access to Education Records.

04:08               Interpretation and Explanation.

04:09               Hearings - Challenging an Education Record.

04:10               Right to File a Complaint.

04:11               Public Notice.

04:12               Identification and Description of Education Records.

 

04:01  DEFINITION OF EDUCATION RECORDS

 

These records which (1) are directly related to a student; and (2) are maintained by SDS or by a party acting for SDS.

 

Education Records do not include:

 

04:01:01  Records of instructional, supervisory, and administrative personnel and educational personnel ancillary thereto which:

 

04:01:01:01  Are in the sole possession of the maker thereof, and

 

04:01:01:02  Are not accessible or revealed to any other individual except a substitute.  For the purpose of this definition, a "sub­stitute" means an individual who performs on a temporary basis the duties of the individual who made the record, and does not refer to an individual who permanently succeeds the maker of the record in his or her position.

 

04:01:02  Records relating to an individual who is employed by SDS which:

 

04:01:02:01  Are made and maintained in the normal course of business;

 

04:01:02:02  Relate exclusively to the individual in that individual's capacity as an employee, and

 

04:01:02:03  Are not available for any other purpose.  04:01:02 does not apply to records relating to an individual in attendance at SDS who is employed as a result of his or her status as a student.

 

04:01:03  Records relating to an eligible student which are:

 

                        04:01:03:01  Created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in his or her capacity, or assisting in that capacity;

 

04:01:03:02  Created, maintained, or used only in connection with the provision of treatment to the student, and

 

04:01:03:03  Not disclosed to anyone other than individuals provid­ing the treatment; provided, that the records can 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 remedial educational activities which are part of the program of instruction at SDS.

 

04:01:04  SDS records which contain only information relating to a person after that person was no longer a student at SDS.  An example would be information collected by SDS pertaining to the accomplishments of its alumni.

 

04:01:05  Records of a Law Enforcement Unit of SDS.

 

04:02  DEFINITION OF OTHER TERMS

 

The definition of other terms used in these regulations shall be consis­tent with those definitions listed in the Federal Register, Vol. 53, No. 68, April 11, 1988, Including:

 

04:02:01  Disclosure - Disclosure means permitting access to or the re­lease, transfer, or other communication of education records of the student or the personally identifiable information contained therein, orally, in writing, or electronically to any party.

 

04:02:02  Eligible Student - Eligible student means a student who has attained eighteen years of age, or is attending an institution of post secondary education.

 

04:02:03  Personally Identifiable - Personally identifiable means that the data or information includes: (but is not limited to)

 

04:02:03:01  the name of a student, the student's parent, or other family member, or

 

04:02:03:02  the address of the student or student's family, or

 

04:02:03:03  a personal identifier, such as the student's social security number or student number, or

 

04:02:03:04  a list of personal characteristics which would make the student's identity easily traceable, or

 

04:02:03:05  other information which would make the student's identity easily traceable.

 

04:03  DISCLOSURE OF PERSONALLY IDENTIFIABLE EDUCATION RECORDS TO AN ELIGIBLE STUDENT.

 

04:03:01  Generally, an eligible student may inspect and review his/her education record on request, subject only to reason­able regulations as to time, place, and supervision, as follows:

 

04:03:01:01  The request shall be made by contacting the person responsible for maintaining the record.

 

04:03:01;02  The student, must provide proper identifi­cation to verify that he/she has a right to review the record in question.

 

04:03:01:03  The person responsible for maintaining the record, or his/her designee, shall supervise the review of the record with the student.

 

04:03:01:04  The review shall be permitted within a period of not more than forty-five (45) days from the date of the request for review.

 

04:03:01:05  The student may make notes concerning the contents of the record, but no materials may be removed from the record during the review.

 

04:03:01:06  Copies of record materials may be obtained (see 04:04).

 

04:03:01:07  SDS shall not destroy any education records if there is an outstanding request to inspect and review the records under this section.

 

04:03:02  An eligible student may not see Restricted Education Records, which include:

 

04:03:02:01  Financial records and statements of parents or any other information contained therein.

 

04:03:02:02  Confidential letters and confidential statements of recommendation placed on record prior to January 1, 1975.

 

04:03:02:03  Records covered by a waiver of the student's own access when such waiver has been signed by the student.

 

04:03:03  Waivers of Access.

 

04:03:03:01  All education records, except as outlined in 04:03:02, are subject to written waiver of access by an eligible student.  Such waivers may be made with respect to specified classes of (1) education records, and (2) persons or institutions; and may be revoked in writing at any time.

 

04:04  COPIES OF EDUCATION RECORDS

 

An eligible student may have a copy of the student's (unrestricted) education record, but must submit a written request complete with signature and pay a fee  covering University costs as follows:

 

04:04:01  Transcripts:  $5.00 per copy (prices subject to change as costs change).  Note:  transcripts sent to other SDS offices are sent free of charge.  SDSU reserves the right to deny transcripts or copies of records not required to be made available by FERPA to a student with an unpaid financial obligation.

 

04:04:02  All other records:  the current copying cost of the involved department unless the imposition of a fee effectively prevents the student from exercising the right to inspect and review his/her record.

 

04:04:03  SDSU may not charge a fee to search for or to retrieve the education records of a student.

 

04:05  DISCLOSURE OF IDENTIFIABLE EDUCATION RECORDS TO PERSONS OTHER THAN AN ELIGIBLE STUDENT SHALL BE LIMITED TO THE FOLLOWING.

04:05:01  By obtaining a signed and dated written consent from an eligible student specifying the records that may be disclosed, the purpose of the disclosure and identifying the part or parties to whom the disclosure may be made.  (See Section 04:06).

 

04:05:02  By automatic consent for SDSU directory material.  Students may withhold release of Directory information for a school term (ex. Fall, Spring, or Summer) by completing a request form in the Registrar's Office at the beginning of each term, on or before the census date for that term (last date to add a course).  The request form is only valid for that term.  Directory information includes:

 

Student's Name

Student's Gender

Address (current and permanent)

Telephone number (current and permanent)

Date and place of birth

Major and minor field or study

Participation in officially recognized activities and sports

Weight and height of members of athletic teams

Dates of attendance

Current and past course registration(s)

Degrees and awards received

Most recent previous educational institution attended

Name and address of next of kin

Student class level

 

04:05:03  To all SDSU employees with a legitimate educational interest in the student.  For purposes of definition, Other School Officials shall include University administrators, faculty, their Career Service employees and their graduate student assistants.  An SDSU employee has a Legitimate Educational Interest in information with reference to a student which may help the official toward enhancing the student's development through teaching, data gathering and record keep­ing, academic advising, counseling, placement, testing, financial aids, housing, remedial and cocurricular activities, or related educational goals.

 

04:05:04  To officials of other schools in which the student seeks or intends to enroll only in special circumstances where time does not permit a student to give written consent and the delay would be detrimental to the student.

 

04:05:05  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.

 

04:05:06  To organizations conducting studies for, or on behalf of SDSU for the purpose of developing, validating, or administering predictive tests, administering student aid programs, and improving instruction, if the studies are conducted in a manner which will not permit the personal identification of students and 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.

 

04:05:07  In connection with a student's application for receipt of financial aid, only to determine the eligibility of the student for financial aid, determine the amount of the financial aid, determine the conditions which will be imposed regarding the financial aid, or enforce the terms or conditions of the financial aid.

 

04:05:08  To accrediting organizations to carry out their accrediting functions.

 

04:05:09  In case of emergency, if knowledge of the information is  necessary to protect the health and/or safety of the student or other individuals.

 

04:05:10  In compliance with judicial order or lawful subpoena, when the University has made a reasonable effort to notify the student in advance of compliance with the order or subpoena.

 

04:05:11  To authorized representative of the Comptroller General of U.S., the Secretary of H.E.W., the U.S. Commissioner of Education, the Director of the National Institute of Education, the Assistant Secretary for Education or State educational authorities, when the record is not transferred to a third party and is destroyed when no longer needed.  

 

04:06  DISCLOSURE OF IDENTIFIABLE EDUCATION RECORD FOR A DECEASED STUDENT

Educational records of deceased students may be released in the following circumstances:

 

04:06:01  To a parent of the deceased student, regardless of the student's prior status as an independent or dependent student.

 

04:06:02  To the spouse of the deceased student.

 

04:06:03  In compliance with a judicial order or lawful subpoena, when the university has made a reasonable effort to notify next of kin in advance of compliance with the order or subpoena

 

04:06:04  Requests for release of records of a deceased student shall include:

 

04:06:04:01  A copy of the death certificate.

 

            04:06:04:02  A notarized affidavit stating the relationship of the requesting party to the deceased student and indicating the purpose for which the information is requested.

 

04:06:05  Requests for release of records of a deceased student shall be maintained in accordance with the stipulations set forth in Section 04:07.

 

04:07  RECORD OF DISCLOSURE WILL:

 

04:07:01  Be maintained as a part of the education record as long as that record is maintained by SDSU.

 

04:07:02  Indicate all parties requesting disclosure except University officials with legitimate educational interests or an eligible student.

 

04:07:03  Indicate specifically their legitimate interest.

 

04:07:04  Indicate if disclosure was granted.

 

04:07:05  Inform the person requesting disclosure, in writing, that disclosure must not be granted to a third party without written consent of an eligible student.

 

04:07:06  Be available on request only an eligible student; to the University official responsible for maintenance of the record and/or his/her assistant; and for the purposes of auditing SDSU record keeping procedures, to other officials with legitimate educational interests, to authorized representatives of the United States Government, or to State Educational Authorities.

 

04:07  RECORDS OF RELEASE GIVING ACCESS TO EDUCATION RECORD

(See Appendix II - Form A - page 47)

 

The release form must be maintained as a part of the education record for no less than two years from the date of release, at which time it may be destroyed.  It shall include:

 

04:07:01  Statement of admissions of knowledge of Public Law 93-380, amended.

 

04:07:02  Name of the record(s) to be disclosed.

 

04:07:03  Name of party or class of parties to whom disclosed.

 

04:07:04  Purpose of the disclosure.

 

04:07:05  Signature of a parent of a dependent student, or an eligible student, and date.

 

04:07:06  Signature of official disclosing record, and date.

 

04:08  INTERPRETATION AND EXPLANATION

 

An eligible student, may have an interpretation and/or explanation of his/her unrestricted education record on request.

 

04:09  HEARINGS - CHALLENGING AN EDUCATION RECORD

 

An eligible student, may have a hearing to challenge the content of an educational record through procedures established by the Academic Senate under "Redress of Student Grievances Concerning Academic Evaluation and/or Records," to ensure that items which are inaccurate, mislead­ing or an invasion of privacy may be corrected or deleted.  If, as a result of the outlined hearing process, it is determined that the record is no inaccur­ate, misleading or otherwise in violation of the student's privacy or other rights, the hearing body shall inform the student of the right to place in the contested education record a statement commenting upon the information in the education record and/or setting forth the reasons for disagreeing with the decision of the hearing body.  Such statement becomes a part of the education record as long as that record is maintained by SDSU and the statement is disclosed whenever the portion of the record to which it relates is disclosed.

 

04:10  RIGHT TO FILE A COMPLAINT

 

Eligible students have the right to file a complaint with the U.S. Department of Education when, in their opinion, SDSU has failed to comply with Section 438 of Public Law 93-380 as amended.  To file a complaint, contact the Family Policy and Regulations Office, U.S. Department of Education, Washington, DC, 20202.

 

04:11  PUBLIC NOTICE

 

Public notice of these procedures shall be made via at least one (1) University publication which is distributed to the entire University com­munity, and in which will minimally appear an outline of the topics covered in these procedures with specific provision for access to a complete copy of the procedures.

 

NOTE: For further information and/or review of Public Law 93-380, Section 2 of Public Law 93-568, or the federal rules for compliance with the Family Education Rights and Privacy Act, please contact the Office of the Dean of Student Affairs; Administration 318; 688-4493.  A copy of the policy may be received upon request from this office.

 

04:12  EDUCATION RECORDS IDENTIFICATION AND DESCRIPTION

04:12:01  The following records are maintained as educational records:

Academic file and Transcript

 

04:12:02  The description of each different education record kept at SDSU shall include:

Name of Record

Contents

Name of Person Maintaining Record

Location

Purpose of Normal Access

Retention Period

 

 

                        04:12:02:01      Name of Record: Transcript, Academic file and Locater file

Permanent Transcript of Academic Record - hard copy until F87, computer colleague copy after that date.

 

Academic file - General student folder containing application, high school record, transcripts from other colleges, ACT profile and placement information, correspondence, semester grade reports until F94, transfer evaluation of credit (for transfer students), grade changes, petitions and other uncategorized materials relating to the student

 

                                                Locator file - card system reflecting the student's attendance and indexing location of other academic files until S96 when the file was discontinued

.

Person Maintaining file and transcript:

Registrar

Location of Record:

Records Office Ad 208 (file and transcript) with backup transcript and academic history disks stored at Pierre on colleague.

Purpose of Normal Access to Record file:

Filing and reference

Retention Period:

File folder is retained until five years past the last date of attendance, then is destroyed.  Academic transcript is maintained permanently in colleague and backed up at Pierre in a computer disk file. The old hard copy of academic transcripts are physically retained and backed up on microfiche stored both at AD 208 and in the State Archives at Pierre.

 

Locator file - moved to Records Department until S96 - no longer continued after that time.

 

04:12:02:02   Name of Record: Advisor Record and/or Dean Folder

           

            Contents: Course Placement Advisor Profile Sheet (course placement and academic aptitude test results, i.e., ACT, etc.)

            Semester Grade Reports (will be replaced by an unofficial transcript S(96)

            Current semester schedule of classes 

Name-address form

Transfer Evaluation of Credit (for transfer students)

Person Maintaining Record: Academic Advisor of Student, and /or

Dean of College

Location of Record: Academic Advisor Office, and /or Dean of College

Purpose of Normal Access to Record: 

            Filing

            Assist student with course registration

            Record of student’s academic progress

Retention Period: File remains with academic advisor and/or College Dean until the student graduates or terminates enrollment.  Advisor record is placed in inactive Personal Data Folder when either of above occurs.

Review Period: This is a cumulative record maintained as long as the student is enrolled at South Dakota Sate University.

04:12:02:03      Name of Record: Application File

Contents: General student folder containing application, high school record, transcripts from other colleges, ACT profile and placement information, correspondence with student concerning admission, and other uncategorized materials relating to the student.

Locator file - card system reflecting the student’s admission status, indexing location of the application file.

Person Maintaining Record: Director of Admissions