Title 571 University of Oregon

571-020-0005

Statement of Philosophy

(1) Higher education is concerned with the full development of student potential. Individuals differ in ability, background, interests, social maturity, emotional maturity, and goals. To plan educational opportunities to meet the needs of individual students and to counsel effectively with them, the University must accumulate data and keep records. The personal records enable the faculty and administrators of the University to understand the individual student better and to provide more effective education and counseling assistance.

(2) From the time a student enters the University and submits the required personal data for academic and personal records, there is an implicit and justifiable assumption of good faith placed in the University as custodian of these materials. The University maintains a similar posture relative to subsequent data generated during the student's enrollment. Preserving the confidential nature of student records protects the individual's rights to privacy and enhances the effectiveness of the University's educational and counseling processes. Accordingly, the University shall exercise care and concern in obtaining, recording, maintaining, and disseminating information about students with duplication of records kept to a minimum.

Regulations

571-020-0010

Type and Content of Student Records

(1) Definitions:

(a) "Records": For purposes of this policy, records are files, documents, material or data recorded in any medium and retained by the University or a person acting for the University;

(b) "Education Records": For purposes of this policy, education records are records which contain information directly related to a student and which are maintained by the University or by a person acting for the University. Excluded from the category of "educational records" are the following:

(A) Records of instructional, supervisory, and administrative personnel and education personnel ancillary thereto which are created by an individual staff member for the sole possession of the maker, such as notes to oneself, and which are not accessible to any other person(s);

(B) Payroll records relating to a student who is or has been employed by the University;

(C) Psychiatric and psychological records which are maintained only in connection with provision of treatment to the student and which are not available to persons other than those providing treatment except that such records:

(i) May be reviewed by the student with the consent and under the conditions of the attending professional; and/or

(ii) May be personally reviewed by a physician or other appropriate professional of the student's choice and with the student's written consent.

(D) Financial records of the parent(s)/guardian(s) of a student or any information contained therein that relates to the parent(s)/guardian(s) unless written consent has been granted by the parent(s)/guardian(s);

(E) Confidential letters and statements of appraisal which were placed in the student's education records prior to January 1, 1975, if such letters were solicited with an assurance of confidentiality or sent and retained with an understanding of confidentiality, and are used only for purposes for which they were specifically intended;

(F) Confidential letters and statements of appraisal received after January 1, 1975, for which the student has signed a waiver of the right of access and which pertain to:

(i) Admission to this or any other educational institution or agency;

(ii) Application for employment; or

(iii) Receipt of an honor or honorary recognition, so long as these letters are used solely for the purpose(s) for which they were specifically intended.

(G) Records of the Office of Public Safety which are maintained solely for law enforcement purposes, and which are not disclosed to individuals other than law enforcement officials sharing the same territorial jurisdiction. Education records maintained by the University shall not be disclosed to the personnel of the Office of Public Safety except as otherwise provided in this policy.

(c) "Student": For purposes of this policy, anyone who is or has been enrolled at the University of Oregon, with the following exception: A person who has applied for admission to, but has never been in attendance at a component unit of the University (such as the various schools and colleges of the University), even if that individual is

or has been in attendance at another component unit of the University, is not considered to be a student with respect to the component to which an application for admission has been made;

(d) "University Custodian of Student Records": Person officially delegated University-wide responsibility by the University President;

(e) "Unit Custodian of Student Records": Except as otherwise designated in this policy, the head of each academic or administrative unit responsible for the student records within that unit;

(f) "Consent (release consent elements)": Consent shall be in writing and shall be signed and dated by the person giving consent. It shall include:

(A) Specification of records to be released;

(B) Purposes for such release; and

(g) "Directory Information": Student's full name, the fact that the student is or has been enrolled, local and permanent address(es) and telephone number(s), participation in officially recognized activities, dates of attendance, class level and academic major, number of credit hours (not grades), and degrees, honors, and certificates awarded;

(h) "School Officials": Faculty, staff, student employees, or committees (when the members of the committee are appointed or elected to an officially constituted committee) who perform a function, or task on behalf of and at the request of, the University, its faculty, colleges, schools, or divisions;

(i) "Legitimate Educational Interests": The interest of University personnel who have a demonstrably legitimate need to review records in order to fulfill their official professional responsibilities. Such responsibilities must involve the University in its primary educational and scholarly functions and/or secondary administrative functions of maintaining property, disbursing funds, keeping records, providing living accommodations, and other services, sponsoring activities, and protecting the health and safety of persons or property in the University community. This paragraph shall be strictly construed, and instances of doubt shall be referred to the University Custodian of Student Records.

(2) General Policies:

(a) Only such records as are demonstrably and substantially relevant to the educational and related purposes of the University, division, or department shall be generated or maintained;

(b) No student shall be required to give (although the student may voluntarily provide) information as to the student's race, religion, political affiliation or preferences, or personal values, except as specifically required by state statute, federal law, or valid federal and/or state rules or orders;

(c) Photographs duly submitted as evidence of a student's infraction of rules and regulations are available only to those persons authorized by the Code of Student Conduct, and may be retained only pursuant to the rules of the Conduct Code. A photograph of a student may not be required and retained by any University office as a condition of admission or receipt of any service.

[Publications: The publication(s) referred to or incorporated by reference in this rule are available from the agency.]

Stat. Auth.: ORS 351 & ORS 352 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78; UOO 8-1993, f. & cert. ef. 6-15-93

571-020-0015

Location and Custody of Student Records

(1) All personal records shall be kept in locations central to the division or department by which they are maintained.

(2) All personal records shall be kept in secured files.

(3) Each unit custodian of personal records shall be responsible for maintaining the confidentiality of all student records within that respective academic or administrative unit.

(4) The Dean of Students shall be the University Custodian of Student Records.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978(Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

571-020-0020

Student Rights to Access and Copies of Education Records

(1) A student has the right (unless otherwise provided by this rule) to see and review an education record or portion of the record that pertains to the student with a staff member of the department that maintains the record. Access of the student to the education record shall be provided as early as possible but shall be within 45 days of the student's request:

(a) Copies of any such records shall be provided to the student (unless otherwise provided by this rule) at the student's request and expense. However, copies of the transcripts of grades of a student sent to the University by other educational institutions shall not be provided to the student. Unless otherwise provided in the "List of Special Fees, Fines, Penalties, Service Charges, Etc., Levied by the University of Oregon" (OAR 571-060-0005 as amended), the charge to the student for any such records may not exceed 25¢ per page;

(b) Copies of psychiatric or psychological records shall not be provided to a student without the consent of the attending professional and unit custodian. In the event such copies are released to a student, the unit custodian shall secure a release from said student. No unit custodian shall release said records to the student without the student's written consent;

(c) If any question arises as to the identity of the requesting student, the student shall be asked to provide the student's University I.D. Card and/or other positive identification;

(d) All requests for information under this section shall be directed to the head of the academic or administrative unit who is responsible for maintaining the particular records involved.

(2) Release by the University to a third party of non-directory information concerning a student is prohibited (unless otherwise permitted by the unit custodian) except as provided under OAR 571-020-0030, "Release of Personally Identifiable Records".

(3) Notwithstanding any provision included in this student records rule, no information shall be released where such release is contrary to the law of the State of Oregon, or of the United States.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78; UOO 11-1982, f. & ef. 12-10-82

571-020-0025

Student's Right to Challenge Information Contained in Education Records

A student may challenge the content of an education record on the grounds that the record is inaccurate, misleading, or otherwise in violation of the privacy or other rights of the student. However, no hearing under this policy shall be granted for challenging any grade except the accuracy of its recording. The following procedure for challenging the content of an education record shall apply:

(1) The student has the right upon reasonable requests, for brief explanations and interpretations of the records in question, from the respective unit custodian.

(2) The unit custodian of the challenged education record, after reviewing the record with the student, may settle the dispute informally with the student with regard to deletion or modification of the education record. The unit custodian shall make his or her decision within a reasonable amount of time and shall notify the student of the decision.

(3) In the event the unit custodian disapproves the student's request to delete or modify the record in question, the student shall be notified by the unit custodian, in writing, of the decision and of the student's right to a formal hearing upon the request:

(a) All requests for formal hearings by the student shall be directed to the University Custodian of Student Records, and shall contain a plain and concise written statement of the specific facts constituting the student's claim;

(b) The hearing shall be conducted by a University staff member ("Hearing Officer") who does not have a direct interest in the outcome of the challenge and who shall be appointed by the University Custodian of Student Records. The hearing shall be held within a reasonable time of receipt of the student's request, and the student shall be notified reasonably in advance by the Hearing Officer of the date, place, and time of the hearing;

(c) The student shall bear the burden of proof of a preponderance of the evidence in order to prove the validity of his or her claim at the hearing;

(d) The University of Oregon rules for the conduct of contested cases shall regulate the conduct of the hearing, unless the student waives said provisions. If a student waives formal proceedings, he or she will nonetheless be afforded a full and fair opportunity to present relevant evidence and to be represented by individuals of his or her choice (at the student's expense);

(e) Based solely on the evidence presented at the hearing and within ten working days of the hearing, the Hearing Officer shall make a written recommendation to the University Custodian of Student Records together with written findings of fact concerning the student's request. Within an additional 14 working days of receipt of the Hearing Officer's report, the University Custodian of Student Records shall notify the student in writing of the decision:

(A) In the event the decision of the University Custodian of Student Records is adverse to the student's request, the student shall be notified of the opportunity to place within the file in question, a summary statement commenting upon the information in the records and/or setting forth any reason for disagreeing with the decision. In the event release of the questioned document is provided to a third person, the before-described student's statement shall accompany the release of any such information;

(B) If a student challenge to the content of a given record is successful, and upon the student's specific written request to the University Custodian of Student Records, the University shall make a reasonable effort to contact student-designated third persons who have received copies of the previous record to inform them of the change which has been made.

(f) Additional procedures may be prescribed for the hearing of particular cases as may be necessary to comply with the requirements of applicable state law.

571-020-0030

Release of Personally Identifiable Records

Information, except that directory information not restricted by the student, that is identifiable by individual and which is maintained in education records, is designated as confidential and, without the written consent of that individual, may not be released to any party or for any purpose except the following:

(1) School officials who have a legitimate educational interest: In the event education records are released to a qualified committee (as defined under this policy), the unit custodian releasing said records shall provide each committee member with a copy of the student records policy and shall obtain the explicit agreement of all committee members that the use of information contained in student education records is strictly limited to the performance of committee responsibilities, is confidential, and shall not be revealed to others.

(2) A court of law, pursuant to receipt by a University employee of a court order, process, or subpoena that seeks access to student personal records: In such an instance, the recipient unit head/custodian shall immediately notify the University Custodian of Student Records of said receipt, and then shall make reasonable efforts to notify the student in advance of compliance with said order or subpoena. In the event a court appearance by a University official is required to fulfill an obligation described in this section and the student has not been notified prior to said appearance, the University official shall notify the court or other officer before whom he or she is to appear that the student has not been informed of the pending action nor provided an opportunity to defend against the release by the University of information of his or her education records. In any event, no information shall be released under this section without the express consent of the University Custodian of Student Records.

(3) Information needed in dealing with health or safety emergencies:

(a) The University President or the University Custodian of Student Records may release information from education records to appropriate persons in connection with an emergency if knowledge of such information is necessary to protect the health or safety of persons;

(b) The facts which shall be taken into account in determining whether information may be released include:

(A) The existence of clear and present danger to the health or safety of persons;

(B) The need for such information to avoid or substantially minimize the danger;

(D) The extent to which time is of the essence in dealing with the emergency.

(c) Actual damage or threat of damage to property which poses foreseeable collateral personal risks to such persons as building occupants, employees, by-standers, emergency personnel, and the like, may be deemed an emergency within the meaning of this policy.

(4) The following procedures shall apply to the release of information for approved research purposes within the University:

(a) The University will release personal information in its personal records for University research purposes, except as otherwise provided by this policy, providing that either the identity of the student is adequately concealed, or a written release is provided by the student to whom the personal record relates;

(b) The requests shall be made in writing by the researcher and the sponsor to the University Custodian of Student Records (or the designee), and must include a detailed description of the information sought and of the mechanisms to be used for the protection of the rights of students about whom the information is requested;

(c) Approval shall be granted only when the University Custodian of Student Records (or the designee) determines that procedural protections are adequate to protect the privacy of affected students and their research project is consistent with the educational objectives of the University;

(d) All costs involved in the retrieval of student information and other aspects of the research including use of University facilities, shall be borne by the investigator;

(e) No records shall be released for use in research projects involving human subjects unless the project is approved by the appropriate school official;

(f) Protection of "Pupil" Rights: When a program or project conducted in the University is primarily designed to explore or develop new or unproven teaching methods or techniques for children, all instructional material including teaching manuals, films, video tapes, and other supplementary material used shall be available for inspection by the parent/guardian of the children in such program or project.

(5) Organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating, or adminis-tering predictive tests, administering student aid programs, improving instruction, and for accreditation purposes, in those instances where the personal identification is kept confidential. The information shall be destroyed when no longer needed for the purposes for which the study was conducted.

(6) The Comptroller General of the United States, the Secretary of the U.S. Department of Health, Education, and Welfare, the U.S. Commissioner of Education, the Director of the National Institute of Education, the Assistant Secretary for Education in the Department of Health, Education, and Welfare, and state educational authorities when necessary in connection with the audit and evaluation of federally supported education programs, or in connection with the enforcement of or compliance with the federal legal requirements which relate to those programs. Information released under this section shall be protected in a manner which will not permit the personal identification of students by other than those officials, and personally identifiable data shall be destroyed when no longer needed for such audit, evaluation, or enforcement of or compliance with federal legal requirements.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24,f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

571-020-0035

Release and Restriction of Directory Information

(1) The University shall disclose upon request directory information as defined in OAR 571-020-0010(1)(g).

(2) Except as otherwise provided in this rule, a student may request that directory information not be released to a third party by completing and filing a statement entitled "Directory Information Restriction Form" with the Office of the Registrar. Such filing of this request shall become effective one week after submission. This option may not be changed for the balance of the academic year.

(3) Students exercising the option to restrict all directory information shall be provided at the time they complete the "Directory Information Restriction Form" a written explanation of how to authorize release of directory information for graduation recognition, Dean's List, other honors recognition, as well as to third parties such as financial institutions and prospective employers.

571-020-0040

Waivers

(1) A person applying for admission, or a student, may waive the right of access to confidential letters of appraisal regarding admission, employment, and receipt of an honor or honorary recognition. The waiver under this section may be made with respect to specified classes of education records, persons, and institutions. The person is entitled, upon request, to be notified of the names of all persons making confidential appraisals in such an instance where a waiver has been exercised. Waiver of the right to access under this section shall only apply so long as the letters or statements of appraisal are used solely for the purpose(s) for which they were specifically intended.

(2) A waiver under this section may be revoked with respect to any actions occurring after the revocation. All waivers and revocations must be in writing, signed, and dated.

(3) A waiver which conforms with these provisions and which is given in conjunction with the writing of a confidential evaluation may be relied upon by any University personnel when the evaluation is used in conformity with its stated purpose. Waivers shall not be required as a condition for admission to, receipt of financial aid from, or receipt of any other service or benefits from the University.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

571-020-0045

Files or Records Containing Letters of Appraisal

(1) No letters or statements of appraisal received prior to January 1, 1975, shall be revealed to a person applying for admission or a student unless the author notifies the unit custodian in writing of his or her agreement.

(2) Letters or statements of appraisal received after January 1, 1975, shall be treated as follows:

(a) Unless a waiver in accordance with this policy is on file, letters solicited with an assurance to the writer of confidentiality, or if the writer claims confidentiality, shall be returned by the department to the writer. The departmental letter to the writer shall contain the notation that under 20 U.S.C. Sec. 1232g the document is open to review by the student. If the writer is willing to resubmit the letter under that condition, the writer is asked to return the letter to the unit;

(b) Letters or statements which were not solicited with an assurance of confidentiality, regardless of the source of solicitation, nor which claim confidentiality, shall be open for review by the student involved unless a waiver, in accordance with this policy, is on file.

(3) University application instructions and appraisal forms shall inform writers and applicants or students of student rights to letters or statements of appraisal under this section.

(4) Student objections to letters or statements of appraisal:

(a) The student may choose to have any letter(s) or statement(s) of appraisal permanently removed from the student's placement file;

(b) When a review by the Director of Career Planning and Placement Service of a student's placement file reveals a confidential letter of appraisal to be significantly different from other appraisals in the file and to be of such nature as to be unsubstantiated, unfair, and seriously damaging to the candidate, the Director may refer the letter of appraisal to an appropriate faculty-student review board for advice. After investigating the matter, the review board shall advise the Director as to whether or not the appraisal ought to be removed from the file. If the board suggests removal, the Director, ensuring confidentiality specified by the writer, shall advise the candidate that the candidate may elect to have that appraisal removed from the candidate's file.

(5) Letters or statements of appraisal released to graduate professional school(s) for admission purposes: Where a student:

(a) Exercises a waiver in accordance with this policy; and

(b) Requests of the University Career Planning and Placement Service that letters or statement of appraisal be sent to graduate professional schools for admission purposes, the student shall not have the right, notwithstanding as otherwise provided in this policy, to designate which letters of appraisal shall be sent.

[Publications: The publication(s) referred to or incorporated by reference in this rule are available from theagency.]

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

571-020-0050

Transfer of Information by Third Parties

Information regarding a student shall be released to a third party on the condition that the third party will not permit any other party to have access to such information without the written consent of the student, except where:

(1) Such "other parties" otherwise qualify under an exception in OAR 571-020-0030,"Release of Personally Identifiable Records"; or

(2) Such information is disclosed to an institution, agency, or organization in which case the information may be used by its officers, employees, and agents, but only for the purposes for which the disclosure was originally made.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

571-020-0060

Recordkeeping Requirements

(1) Except as noted below, each unit custodian of student records shall be responsible to ensure that said academic or administrative unit maintains a record with the education records of the student which shows:

(a) The names of those parties who have requested or obtained personal information from the education records of the student; and

(b) The legitimate interests those parties had in requesting or obtaining said information.

(2) The record of access described above shall be maintained as part of the student's file in all instances except as follows:

(a) Where the disclosure is made to the student as allowed in this policy (except as provided in OAR 571-020-0020, "Student Rights to Access and Copies of Education Records");

(b) Where the disclosure is made pursuant to the written consent of the student as defined in this rule (except as provided in OAR 571-020-0020, "Student Rights to Access and Copies of Education Records");

(d) Where the disclosure consists of directory information which has not been restricted by the student, as regulated by this rule.

(3) The following individuals shall have access to inspect the record referred to in this rule:

(a) The student, upon proper identification verification as described in this rule;

(b) The respective unit custodian or the designated representative of the unit custodian;

(c) Authorized school officials and authorized state and federal officials for the purpose of audit-ing the recordkeeping procedures of the University.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

571-020-0065

Permanence, Duplication, and Disposal of Student Records

(1) Permanent retention of student records shall be limited to those records which are of long-range value to the individual and/or to the University: School or department graduate admissions folder; applications for assistantships and scholarships (if applicant receives and utilizes the award); honors and awards received by the student; Registrar's permanent record and permanent academic folder; student teaching records; practicum records; student health records; Career Planning and Placement Service placement file; and student employee payroll records.

(2) All duplicate copies of permanent records, other than those maintained by the University Registrar, and all non-permanent student records shall be maintained only for the minimum period of time required to serve the basic, official functions of the individual, division, or department generating or maintaining them. Such records shall be destroyed as soon as they are no longer needed unless there is an outstanding request to inspect and review them, and with the exception of records of unpaid accounts, may not be retained for more than seven years after a student departs from the University. Records of unpaid University accounts of any form of debt to the University may be retained until all payments are completed or otherwise settled and shall then be destroyed.

(3) All graduate programs, and any undergraduate program or school which screens or otherwise limits enrollment, shall retain for three years the file of any applicant formally denied admission, or who, if admitted, does not enroll in the program. Letters of inquiry and incomplete files need not be retained.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78; UOO 10-1980, f. & ef. 8-1-80

571-020-0070

Location/Administration of Records Policy

(1) This Student Records Policy provides students at the University of Oregon the rights under Section 438 and 439 of the General Education Provisions Act, as amended (added by Section 513 of Public Law 93-380 and amended by Section 2 of Public Law 93-568), and the regulations thereunder. All questions regarding the policy and copies of the policy may be directed and obtained in the Office of the Dean of Students (372 Oregon Hall), and the Dean of the School of Law. Students have the right to file complaints with the Department of Health, Education and Welfare concerning any alleged failure by the University to comply with the requirements of Section 438 and 439 of the Act and its supporting regulations.

(2) The University shall inform students of their rights under this policy by publishing the rules contained herein, or the substance thereof, in the Time Schedule of Classes. Copies of the policy are available as indicated above.

(3) In any instance where the provisions of this University Student Records Policy are determined by legal counsel to be inconsistent with the requirements, limitations, or restrictions of 20 U.S.C. 1232g, the University Custodian of Student Records is empowered to waive the provision in question and to administer this policy consistent with 20 U.S.C. 1232g and its implementing regulations.

[Publications: The publication(s) referred to or incorporated by reference in this rule are available from the agency.]

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78

Student Records Policy

571-020-0075

Records Created and/or Maintained by Service and Administrative Units

(1) Registrar's Permanent Record:

(a) This record is compiled and permanently maintained in the Registrar's Office. It contains a complete history of academic enrollment, academic progress, and related official action. It shall also contain the academic achievement record;

(b) Students may arrange to have official copies of this record sent to whomever they choose. Requests may be made to the Registrar's Office with payment in advance under State Board of Higher Education policy;

(c) Academic probation and disqualification and disciplinary expulsion actions are recorded on the permanent record. In the case of disciplinary suspension, all transcripts issued during the period of suspensions shall carry a temporary notation of the fact of suspension and the date of the action. When a suspension is lifted, subsequent transcripts will bear no record of the suspension. Permission to re-enroll after the suspension has been lifted is recognition that the student has met the terms of the suspension;

(d) The unit custodian of the records designated in this section shall be the Registrar, 217 Oregon Hall.

(2) Permanent Academic Folder:

(a) This folder contains the formal application form for admission and all supporting documents required in evaluation of admission. It also contains official supporting action taken by faculty members and faculty committees which are related to entries recorded on the permanent academic record;

(b) The folder is maintained in the Office of Admissions until the student registers for classes. Thereafter, it is permanently maintained in the Office of the Registrar;

(c) The unit custodian of the records described in this section shall be the Director of Admissions, 270 Oregon Hall, until such time when the student registers for classes when the unit custodian shall be the Registrar, 217 Oregon Hall.

(3) Graduate School Admissions Folder:

(a) The graduate admissions folder contains the formal application and notice of admission plus subsequent documents or correspondence related to the student;

(b) This folder is maintained in the Graduate School office for a period of seven years after the student has completed a master's degree. The completed degree folder is then transferred to University Archives for permanent retention. Doctoral student files are transferred to University Archives for permanent retention one term after completion of degree;

(c) Post-baccalaureate and unclassified folders contain the notice of admission plus subsequent Graduate School documents or correspondence related to the student. After verification of receipt of a second bachelor's degree, the folder is destroyed;

(d) All folders for students who have not completed degrees are maintained in the central office for 14 years from the time the student began the program;

(e) Unit custodian of the records in this section shall be the Dean of the Graduate School, 125 Chapman Hall.

(4) Class Lists: The Registrar's Office maintains the official class lists which contain the names of all students enrolled in each class.

(5) Disciplinary Record:

(a) Disciplinary records are records of charges made and the evidence and proceedings related to the charges with respect to a named student and involving infractions, for which sanctions may be imposed, of University or OSSHE Board rules. Disciplinary records are maintained exclusively by the Coordinator of the Student Conduct Program;

(b) The disciplinary record shall be destroyed upon graduation of the student or five years after a non-graduate leaves the University. Exceptions to this retention policy are limited to the following:

(A) The student disciplinary record upon which a decision was made to expel, suspend, revoke a degree, evict, or to make a negative notation in the permanent academic record, shall be retained in compliance with subsection (b) of this section except three years shall be the minimum period of retention regardless of graduation;

(B) Disciplinary records relevant to alleged criminal activities on the campus shall be retained beyond the normal retention period only if formal charges have been brought by civil authorities. If it is necessary to retain such records beyond the normal retention period, they shall not be retained beyond completion of the legal proceedings in question.

(6) Office of Academic Advising and Student Services Records:

(a) A consultation or advising folder is initiated with or for a student at the time of the student's first contact with the Office. The folder contains notations and documents pertinent to the staff's working relation with the student;

(b) The folder shall be destroyed five years after the student departs from the University;

(c) The unit custodian of these records shall be the Director of the Office of Academic Advising and Student Services, 164 Oregon Hall.

(7) Office of International Student Services Records:

(a) An advising folder is opened for each foreign student upon initial registration at the University. Usually this folder contains copies of all pertinent Immigration and Naturalization Service forms, correspondence relating to admission, cor-respondence relating to those governmental and international agencies concerned with the student, and all correspondence and documents relating to the financial plans which the student had made in order to attend the University. Records of consultations are also kept in these folders. The unit custodian of the records designated in this section shall be the Director of International Student Services, 172 Oregon Hall;

(b) Five years after the departure of the student from the University, the folder shall be destroyed.

(8) Organization Membership Records:

(a) For purposes of communication with the University, student organizations are required to provide the Director of the Erb Memorial Union with the name of the officer to whom com-munications are to be directed. When new officers are elected, the name of the former officers will be discarded. The unit custodian of the records designated in this section shall be the Director of the Erb Memorial Union, M101 EMU;

(b) No records of membership in student organizations, except membership lists of honoraries, and lists of officers required for official purposes of the ASUO and the student Adminis-trative Board, shall be maintained.

(9) Career Planning and Placement Service Placement File:

(a) The Career Planning and Placement Service placement file contains forms submitted by the student or alumnus and letters of recommendation written by persons the candidate lists as references;

(b) Information contained in this file is released pursuant to the conditions as stated in this Student Records Policy;

(c) The Career Planning and Placement Service retains the placement file permanently, with the Director of said organization (246 Susan Campbell Hall) the unit custodian of said records.

(10) University Counseling Center Records:

(a) The University Counseling Center operates in a manner which is consistent with statutory requirements on the privileged nature of com-munication between counselor and client as prescribed by the Act establishing the procedure for licensing of psychologists by the State of Oregon;

(b) A client of the University Counseling Center is assured that the client's transactions with the staff are privileged and confidential. All data (e.g., recordings, written reports, and tests) regarding the client will be retained in the Counseling Center. The unit custodian of the records designated in this section shall be the Director of the Counseling Center, 150 Susan Campbell Hall. Release of any information from these files is subject to approval of both the counselor and the client, including information regarding whether or not the student is or has been a client. A substantive summary of any report to a third party will be provided the client upon the client's request;

(11) Office of Student Financial Aid Records:

(a) The student's financial aid record begins with the student's filing of an application for financial aid. Supplemental information includes a financial analysis report from the student and the student's family, a report of work experience, a record of assistance awarded, and any subsequent application filed by the student;

(b) The record is maintained by the Office of Student Financial Aid during the student's enrollment in the University of Oregon and for one year after. The unit custodian of the records designated in this section is the Director of Student Financial Aid, 270 Oregon Hall. Records are retained by the University Archivist for a period of five years after the student leaves the University;

(12) Student Health Center Records:

(a) Medical records are privileged and confidential. Information based on these records may be released only at the request of the patient. Those diseases, conditions, or injuries which a physician is required by law to report would constitute exception to this policy;

(b) The custodian of the records designated in this section is the Director of the Student Health Center. Release of a student's medical records must have the Director's approval.

(13) Payroll Records:

(a) A record is maintained by the Business Office of all payments made to students employed by the University;

(b) The student employee's payroll record is retained by the Business Office until four years after the student departs from the University and is then transferred to the University Archives for permanent retention. The unit custodian of the records designated in this section is the Director of Business Affairs, 148 Oregon Hall;

(c) The Financial Aid Office retains payroll records on all students who are employed under the work-study program. These records are retained by the University Archivist for a period of five years after a student leaves the University.

(14) Student Employee Evaluation Records:

(a) These records contain evaluations of the job performance of the student employed by a school or department;

(b) Employee evaluation records are retained in the central files of the employing school or department for no more than seven years after the student departs from the University and shall then be destroyed. The unit custodian of the records is the respective school or department which employs the student within its component unit.

(15) University Housing Office Records:

(a) Housing Applications: Applications submitted by students who wish to reside in dormitories are retained by the Business Office; applications for married student housing are retained by the Married Student Housing Office. Housing applications are retained for one fiscal year after the student leaves the dormitory or married student housing and shall then be destroyed, unless the student has an unpaid account (see OAR 571-020-0068, "Permanence, Duplication, and Disposal of Student Records");

(b) Resident Assistant Applications: Applications and supporting documents submitted by students who wish to be employed as Resident Assistants in the dormitories are retained by the Housing Office for one year after the student applies or for one year after the resident assistant's employment is terminated;

Stat. Auth.: ORS 351 & ORS 352 Stats. Implemented: ORS 351.065 & ORS 352.052 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78; UOO 10-1980, f. & ef. 8-1-80; UOO 10-1981(Temp), f. & ef. 7-23-81; UOO 17-1981, f. & ef. 12-28-81

571-020-0080

Records Created and/or Maintained by Instructional Units

(1) School or Department Graduate Admissions Folder:

(a) The school or department graduate admissions folder contains the formal application and all supporting documents submitted by the graduate student for admission to the student's major department;

(b) This folder is maintained in the central office of the graduate student's school or major department for no more than seven years after the student departs from the University and is then transferred to the University Archives for permanent retention;

(2) Applications for School/Departmental Assistantships, Scholarships, or Other Awards:

(a) This record contains the student's application for a school/departmental assistantship, scholarship, or other award and all supporting documents submitted by the student;

(b) If the applicant receives the assistantship, scholarship, or other award, the record is retained in the central office of the school or department for no more than seven years after the student departs from the University and is then transferred to the University Archives for permanent retention;

(3) Academic Advising Folder:

(a) The department or school academic advising folder usually contains a copy of the student's course program, a copy of the student's permanent academic record, grade slips, admissions statement, and consultation notes pertinent to the academic advisor's working relationship with the student;

(b) Academic advising folders for students who have not declared a major are maintained in the Office of Academic Advising and Student Services. Once a student has declared a major, the folder is maintained in the central office of the student's school or major department;

(c) School and department academic advising folders are retained for at least one year, but no more than seven years after the student departs from the University and shall then be destroyed;

(d) Unit custodian of the department or school academic advising folders shall be the school or department head.

(4) Student Employee Evaluation Records:

(a) These records contain evaluations of the job performance of the student employed by a school or department;

(5) Student Teaching Records:

(a) The student teacher's folder contains the student's application, a copy of the student's permanent academic record, and written evaluations of the student's student teaching performance submitted by the student's supervisors;

(b) The student teaching record is retained permanently by the College of Education;

(6) Class Lists:

(a) The class list contains the names of all students enrolled in each class;

(b) Class lists are retained by the individual faculty member or by the school or department;

(7) Final Grade Roster (class grade lists):

(a) The final grade roster is a roster of the grades received by all students enrolled in a course;

(b) Final grade rosters are retained by the school or department. The University Registrar retains one copy of each final grade report permanently;

(8) Grade Books and Attendance Records:

(a) The grade book contains the faculty member's notations of students' progress in the faculty member's class and may contain records of the students' attendance;

(b) Grade books and attendance records are retained by the individual faculty member or the department or school for at least seven years after the class was taught;

(9) Students' Examinations and Class Papers:

(a) Examinations, reports, and other class papers may be retained by the faculty member only if the faculty member either:

(A) Communicates to the student the faculty member's intention to retain such papers at the time of assigning them; or

(B) Obtains the consent of the student to retain such papers.

(b) All other examinations, reports, and class papers must be returned to the student in such a way as to protect the student's right to confidentiality;

(d) The unit custodian shall be the individual faculty member or the school or department head.

Stat. Auth.: ORS 351 Stats. Implemented: ORS 351.065 Hist.: UOO 1, f. 9-19-72, ef. 10-1-72; UOO 4, f. 8-13-73, ef. 9-1-73; UOO 11(Temp), f. & ef. 11-19-74 thru 3-18-75; UOO 24, f. & ef. 8-2-76; UOO 30, f. & ef. 1-13-77; UOO 5-1978 (Temp), f. & ef. 8-8-78; UOO 7-1978, f. & ef. 12-1-78