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Beyond The Basics: FERPA“A Private Conversation”

• An overview of the Family Educational Rights and Privacy Act and why it is the right thing to do.

• AACRAO 2007

• John Snodgrass, Registrar, Chapman University

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Some Resources• AACRAO FERPA Guide

• The FERPA Doctor’s Case Book– LRP Publications, www.shoplrp.com

• FPCO website: http://www.ed.gov/policy/gen/guid/fpco/index.html

• AACRAO website: http://www.aacrao.org/compliance/ferpa/index.htm

• CLHE: http://www.CLHE.org

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Our Conversation: Talking Points

• FERPA Overview

• Case Studies

• Training

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Why Should We Train?

• Federal Regulations: First defense

• Increased demands for information

• Decentralized access expands the definition of school official

• Increasing concerns over student safety

• Because it is the right thing to do

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Section I: Overview

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What is FERPA All About?

• Providing students guarantees regarding the access and confidentiality of their educational records

– Right to access

– Right to challenge contents

– Right to control over disclosure

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99.3 Key Definitions• Attendance

• Directory Information

• Disciplinary Action

• Educational Record

• Personally identifiable information

• Student

• (Note: School Official is not described in 99.3)

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Key Definition: Student (post-secondary)• “In Attendance”: institutionally defined

– applicants, admits, or matriculants (actually attending as of the first day of class)

– credit and non-credit, degree or non-degree seeking, all residencies; all ages

• Regarding whom records are maintained

• Acquire all FERPA rights at the time they become a Student (note: parents lose all right of access to educational records of students at post secondary institutions); retain FERPA rights until deceased.

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Key Definition: Educational Record

• With certain exceptions, all records identifying students maintained by the university in any medium

• Exceptions:

•Law Enforcement records

•Medical records

•Alumni records

•Employment records

•Sole Possession

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Key Definition: School Officials

• Individual or group providing a necessary service for or on behalf of the institution

• No inherent rights re: accessing educational records; May access based upon need to know

• Are equally responsible for following FERPA regulations, re-disclosure requirements

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99.4/99.5: Rights of Parents and Students

• 99.4—Parents. Full rights to both parents.

• 99.5—Student. all rights move from the parent to the studentin post secondary environment.

– Exception: if applicant to another component of institution, no right of access to records maintained by that component until the student is accepted and attends that other component

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Institutional Requirements

• Annual Notification (99.7)

• Access and Review (Subpart B)

• Amendment (Subpart C)

• Disclosure (Subpart D)

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99.7: Annual Notification• Must include--

– Right & method to inspect & review

– Right & method to seek amendment

– Right to consent other than 99.31 exceptions

– Right to file a complaint with Dept of ED

– Definition of school official

– Definition of legitimate educational interest

• Distribution:“Any means reasonably likely to inform”

• Typically includes Directory information per 99.37 requirements

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SubPart B: Student Rights to Review Records

• 99.10: Right to inspect & review --“Must”

– Student must be allowed access within 45 days

– may charge a fee for copies (not retrieval) unless

– Can’t destroy record once requested

• 99.12: Limitations on right to review

– parent financial information

– confidential letters

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More on Inspect & Review, AKA Access

• 99.10(d) If circumstances effectively prevent the eligible student from exercising the right to inspect and review the student’s education records, the educational institution shall—

– Provide a copy, or

– Make other arrangements to inspect & review

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So does that mean we don’t have to give a copy of

• Grades? Nope

• Transcript? Nope

• Diploma? Nope

• But can we if we choose? Yep

• Should we? Hmmmm

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Subpart C: Amendment

• Request, Review, Hearing, decision:

– Yes: amend and notify

– No: Notify, right to include statement

•Statement maintained life of related record

•Disclosed with related

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Subpart D: Disclosure

• 99.30 Prior Consent Required

• 99.31 Prior Consent Not Required

• 99.32+ Recordkeeping, redisclosure, conditions on 99.31

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99.30: Consent Required

• Signature required (everything except 99.31)

– third party

– electronic

• Consent includes

– What

– why

– who

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More on electronic signatures• 99.30, key updates:

– (d) signed and dated written consent under this part may include a record and signature in electronic form that

•Identifies and authenticates•Indicates approval

• Institutional flexibility, FSA standard as safe harbor

• PIN/PASSWORD:

– School officials have no access

– Can be changed by student

– Not visable or accessable to third parties

• Required to accept? No

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99.31: Key Exceptions• School Officials

• Parents

• Financial Aid

• Judicial order/Subpoenas/Patriot Act

• Health & Safety

• Disciplinary– Victim

– Results

– Parents (under 21 students)

– Sex offender

• Directory

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Directory Information• Directory Information: records which are neutral or not

necessarily harmful if released to third parties

– institutions must specify what their Directory Information includes

– Cannot include SSN, Student ID, Gender, Nationality, Ethnicity, religion, grades, gpa

– Release not required; may do so arbitrarily or capriciously.

– Students may withhold release--opt out

– Directory holds do not pertain to school officials having access to student educational records

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99.32+: Disclosure requirements

• Conditions

• Record keeping

• Redisclosure

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Section II: Case Studies

• Use list

• Remember: There may be multiple options based upon institution guidelines

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The “List”: Always Consider--• Educational Record: covered by FERPA?

• Student: does FERPA apply?

• Access: signature required? copy required? Immediate?

• Must vs May: do I have to?

• School Official: provide service for us?

• Need to Know: job related?

• Dependent: release to parents? Without signature?

• Directory Information: Is it listed in the annual notification? Hold in place? How would I know?

• Institutional policy & procedures

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Step Six: SummaryBest Practices for School Officials

• Institutional Policy & Procedures. Know them (or where they are)

• Avoid accidental violations:

– 3rd parties present: only provide requested information to student

– Check for signed release on file – typically in Registrar’s Office – before discussions with third parties

– Close files, computer screens, cover papers, close office door, etc whenever leaving work station

– “Office Audit”

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Best Practices, continued• Directory holds: where to look, what to say.

• Do not post lists of information unless directory.

• Request signed release for all letters of recommendation, good student status information, etc that require non-directory educational record information.

• Immediate release of information is not required (up to 45 days). Insure FERPA protection before release.

• Access usually does not require a copy of the record.

• Unsure? Contact the Registrar

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Closing , , ,

• Remember: “It is the right thing to do”

• Web Site: http://www.chapman.edu/registrar/Privacyindex.html

• snodgras@chapman.edu

• Quiz Show

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Case Studies• Educational Record: covered by FERPA?

• Student: does FERPA apply?

• Access: signature required? copy required? Immediate?

• Must vs May: do I have to?

• School Official: provide service for us?

• Need to Know: job related?

• Dependent: release to parents? Without signature?

• Directory Information: Is it listed in the annual notification? Hold in place? How would I know?

• Institutional policy & procedures

• Other Options:

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1. Letter of Recommendation—Music applicant & student & parentMrs. Parent, mother of 17 year old Sally, comes to the Admission Office in July quite upset. She demands a copy the letters of recommendation submitted in Sally’s admission folder. Her daughter, admitted to IOU for the upcoming fall semester, did not get the prestigious Provost’s Award, based upon gpa and recommendations, despite the fact that she was a 4.0 student. The Admission Office checks the file and sees that the letter is in the file, yet thehigh school counselor who submitted the recommendation requested it remain confidential and not released (and that school is a large feeder to IOU). Sally did not sign the access waiver form – must have been an oversight.What a quandry. The Admission Office does not want to upset the counselor, or the mother, or Sally.Must they release? Can they release? To the mother? Can they shred the letter?

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#1.2: Same situation, but the date is September 15, one week after the start of the semester.

#1.3. Same situation, September 15, but Sally is making the request to see the letter and get a copy.

#1.4. Same as number 3, but the Admission Office sees Sally has signed a waiver.

Again in all cases, must they release? Can they release? To the mother? Can they shred the letter?

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Response to Case #1• There are several key components to this case, those being

– July date and the institutional definition of student• If the institutional definition of “student” became applicable after the July date,

e.g. the first day of class, then FERPA does not apply and the institution can do whatever it pleases re: providing either the parent or the student access to the educational record. It is recommended however that schools folllow FERPA guidelines in such cases. If on the otherhand the school definition of “student”came into effect prior to the July date, then FERPA does apply. Likewise, assuming September 15 is after the start of the semester, then FERPA does apply.

– The institutional policy re: releasing information to parents of dependent students

• Assuming FERPA is in effect, if the institution follows a policy of releasing information to parents of dependent students, then the release could be done to the parent in one of two ways: a student signed release, or proof of dependency via providing to the school a copy of the most recent tax return, in which the student is claimed as a dependent. If on the otherhand the institution does not release information to parents of dependent students, then there is only one method of release: signed approval by the student.

– The “waiver” of access to the letter of recommendation• Assuming FERPA is in effect, if the student had signed a waiver of access to

the letter of recommendation, then the institution would not have to provide access. If the student had not signed a waiver, then the institution must provide access, regardless of the wishes of the author.

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2. Development Office Request

The Development Office of IOU is desperate. The President has challenged them to raise an additional $3 Billion, a $2.99 Billion increase over last year. Having already gathered all the aluminum cans from staff with little money to show for it, they expand their horizons. Acknowledging that parents have always being a good target, the Office subsequently requests a list from the Institutional Research Office of parent addresses of all students from zip codes determined to be mega rich communities. The IR Director, a recent attendee of a FERPA Training session you gave, comes to you very nervous, and asks whether

or not she should give this information. Do you release?

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Response

• The key issues in this case are,– School Officials & need to know

• Does Development/Alumni Office staff and/or similar entities fall within the definition of “school official”? The answer is yes, they should. The raising of funds and friends has become a critical part of the survival of institutions, thus defining such staff as school officials, providing a service/task necessary for the institution to meet it’s educational objectives. Similarly any agencies contracted to provide such services should also be defined as school officials. It isimportant to remember however, that a school official may have access to information based upon a need to know in order to carry out those responsibilities, and must follow all FERPA guidelines re: access and release of records. Would parent address information fall within the definition of “educational record”? Yes. Would having access to such records fall within the definition of need to know? Again I would say yes.

– Directory Information?• Can “parent address information” be defined as directory information,

thus be released without student written approval? The answer is no. Student address has been determined as ok as directory information; parent address has not. But regardless, school officials with a “need to know” may have access whether or not an educational record is defined as being directory information.

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3. Non-custodial parent

An individual comes to your counter, claims to be the parent and requests a copy of his student’s last term grades. IOU has a policy of releasing information to parent’s of dependent students. Do you release?

#3.2. Same as above, yet the individual making the request, while the father, did not claim the student as a dependent (mom did). Do you release?

#3.3. Same as above, but IOU does not have a policy of releasing information to parents. Do you release?

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Response

• Part One: do you release? You may release, as long as the individual at the counter can provide some documentation of proof that he/she is the parent.

• Part Two: You may release. Both parents have equal rights unless some legal action indicates otherwise, e.g. court order. Note: equal rights does not mean that they have a right to access; it means you will treat them equally. Therefore, you may release to either parent regardless as to the student’s opinion. And a “directory hold” does not have any power over the exceptions listed in 99.31. But remember: FERPA does not require you to release to anyone other than the student. It says you “may”release. And in cases such as a lawfully issued subpoena, you should release.

• Part Three: No, not without the student’s signed release. This policy always makes it easier to deal with Part Two.

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5. FBI investigation

Special Agent 99 comes to the Dean of Students office and states that the FBI is investigating a possible interstate book selling scam, and requests all disciplinary reports of 3 students in Residency Hall B. After seeing the badge and revolver the agent displayed, the Dean’s assistant gladly provided the information. Was this a problem?

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6. Police investigation with Law enforcement agency

After visiting the Dean’s Office Special Agent 99 goes to the Campus Public Safety Office, the designated law enforcement office of the campus. The agent asks to see copies of any parking violations on file for the 3 students. Campus Safety checks the files and sees multipleviolations, and provides the agent copies of the reports. Was this a problem?

#6.2. Same as above, however before providing the copies the Public Safety Office sends copies of the report to the Dean of Students and asks whether or not they should release. Dean says absolutely, and places the copies in the student’s disciplinary file. Public Safety subsequently releases the information. Was this a problem?

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Response

• Was this a problem? Yes.

– Key issues• Law enforcement records/disciplinary records

– Had the FBI investigator gone to the office responsible for law enforcement on campus and requested information contained in law enforcement records, then this would not have been a problem because law enforcement records are not educational records unless they are shared with non-law enforcement officials. FERPA would not apply. But disciplinary records are educational records, therefore FERPA does apply.

• Access under 99.31 exceptions– Does the FBI agent doing an investigation meet the

conditions of section 99.31 so that the institution may release disciplinary record information without a students signature? No. Without a lawfully issued subpoena or court order or exparte order coming from a designee of the Attorney General (Patriot Act), the student must sign a release.

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Response• Parking violations. As stated in the previous response, with parking

violations being defined as law enforcement records maintained by the law enforcement unit for law enforcement purposes and not shared with other non-law enforcement offices within the institution,FERPA does not then apply, and access could be provided by the law enforcement unit to the FBI agent. – Records which are shared in a sense have dual status: the

record maintained by Public Safety is not and Educational Record; the record maintained by the Dean of Students is an Educational Record. Interesting.

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7. Drinking violationAfter the holiday feast the parents of Student Z state wouldn’t it be a good time to check the web and see if her fall semester grades were posted. Although bolstered somewhat by the BMW she had just received from mom and dad, she still accessed the grades with significant trepidation.Her fears were justified despite the A in lacrosse; the remaining grades were 2 D’s, one F, and one incomplete. Mystified, the parents ask what happened. Wanting to get the beast off her back, Student Z admits that she partied too much, had been arrested with a DUI and found in violation of the Student Code of Conduct for underage drinking in the residence halls. The Parents immediately contacted the Director of Housing and demanded to know why they had not been informed of these events. The Housing Director stated that such information could not be released because of privacy laws without the student’s written approval. Your response?

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Response• What the Housing Director said was inaccurate. One of the

exceptions within 99.31 is 99.31(15)(i), which states the disclosure is to a parent of a student…regarding the student’s violation of any federal, state, or local law, or of any rule or policy of the institution, governing the use or possession of alcohol or a controlled substance if– (A) the student has committed a disciplinary violation with respect to

the use or possession; and– (B) the student is under the age of 21 at the time of the disclosure to

the parentNote that the institution is not required to release information to the

parent but may do so, and also the “dependency” clause does not relate to this particular exception. The information may be released without a required proof of dependency.

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8. Disciplinary release to transfer institution

You have been contacted by the Admissions Director at Microsoft State –a sorority sister of yours -- who requests any pertinent information on a Ms. D Meaner, former IOU student applying for admission. D had a very dubious record at IOU, and actually was on disciplinary probation. Having shared information on a regular basis in the past and not seeing this as a FERPA problem, You fax the disciplinary record to the Admission Office. “Foul!” D proclaims upon being denied admission, and files a complaint with the Compliance Office, stating that she did not sign a release to allow the sending of those records. Guilty? Not Guilty? Did you misinterpret FERPA?

•

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Response

• No you did not misinterpret. You actually had two possible options for releasing the information to the institution as allowed, those being

– 99.31(2) the disclosure is to school officials of another institution where the student intends to enroll (and the sending institution either notifies the student it plans to send the information or states in the annual notification that it forwards educational record information to institution requesting educational records and in which the student seeks or intends to enroll; or

– 99.36, if the information is necessary to protect the health or safety of the student or other individuals, and may be to “school officials in other schools who have been determined o have legitimate educational interests in the behavior of the student.” Note that this is not limited to students seeking to enroll; it could be your current students.

As mentioned in the workshop, I would definitely include in the annual notification the statement that you will release educational record information to schools in which the student seeks to enroll.

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9. GPA release to previous institution

Your boss hands you a letter sent from IOU’s main feeder school, which states:“Please send us the names, email address, class level, academic major, and gpa of all of our students who have transferred to IOU. We are having a ‘Transfer Night’, and would like to recognize our former students and ask those who have done well to speak”

“Let’s do this” Boss says. (She is also the Dean of Enrollment Services). “We have just signed a new articulation agreement and this is a great recruitment opportunity”.“Hmmm” you think to yourself. “Can we do this?”

Can they?

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Response

• Key parts include– Sending information to institutions previously attended

• Can you send information other than directory information to institutions previously attended without the student’s signature of release? No.

– Directory information• Directory information can be sent without the student’s signature of

release so long as 1) the institution identifies the released components as directory information, 2), the components can be considered as directory information as allowed by the ComplianceOffice, and 3) the student has not filed a “Directory Hold”. Therefore if this institution has identified name, email address, class level, and academic major – all allowable under FERPA – to be directory information, then it could release those educational records nothaving a directory hold to the previous institution. GPA however cannot be identified as directory information, therefore could not be released without the student’s signature of release.

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12.Asking instructor about bad grade

“Did you give me a ‘D-‘ for history?” the student asked the professor as they were waiting in line at the coffee shop during the lunch rush hour. The student’s girlfriend looked quite defiant as she observed.“Yes I did” responded the professor.Violation?

12.2 “And furthermore, you are now on academic probation. Try harder next time” the professor added, as he paid for his Caffe Americano, and filed out with the crowd.Violation?

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Response• Key Issues (this example was an actual complaint sent to the FPCO)

– Permission to Release• We know that we must release educational record information to students upon

request, and that we do not need a signature to do so. At the same time we know that if we release educational record information to parties not falling within the “exceptions” list of 99.31, we must receive a signed release, thus the conflict. The ruling however, and rightfully so, said that since the student solicited the grade information the school official should not be placed in a double bind by responding to the question “did you give me a ‘D’ grade?” even in a non-secure environment. The fact is that students request educational record information on a regular basis in such environments. Thus the response to the question about the grade was not a violation. However, the providing of unsolicited information, “You are now on probation” was a violation, because the student had not specifically requested he information, therefore the school official released it to other third parties without the signed release from the student. Keep in mind that the instructor could have deferred in delivering the information, and could have said ‘come to my office and we can discuss’, both of which would have fallen within the 45 day rule and providing access parameters.

– Directory Information• Could the student’s grades or academic status, in this case “Probation” be

designated as ‘Directory Information’ by the institution thus allowing release without the student’s written permission? The answer is no.

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13. Directory hold—the online discussion (email address)

Professor Online comes to you with a concern. He has been informed that a student in his online class has a directory hold. Yet a significant part of the requirements for the course, is online discussion and online group projects –demanding the listing of students email addresses. Indeed the description, outline, and syllabus made available prior to registration all state that email addresses of enrollees will bemade available. What must they do?

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Response• As the new FERPA Guide states on Page 52 under the section Distance

Education; Web Teaching, “…for FERPA purposes, it is of no consequence how education is delivered to students. Whether they are on-campus attending classes in traditional classrooms or half way around the world taking courses via the Web, students have the same FERPA rights and are to be accorded equal treatment under the law”.

• The remainder of Page 53 and 54 in the Guide addresses ways in which institutions can deal with issues of shared email addresses and non-disclosure requests. This section also speaks to the contacting students regarding the implications of the non-disclosure and instructed on how to proceed if they did not wish to participate in email based discussions. After understanding the implications of the hold in relationship to course requirements, students will often lift the hold in order to meet course obligations. Also special email address options exist that are relatively easy to create which will protect the identity of the student should they desire to maintain the restriction on their directory information.

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15. Letter to sweetheart from study abroad student requesting pick up billing statement

The young lady approaches the Bursar’s window and provides a letter, which stated (after a lengthy warm exchange of pleasantries to her) My dear, take the following request to IOU and pay my tuition please. Thanks and I’m having a great time”.The request stated:“Please provide my fiance’ the amount of my tuition bill so that she can make a payment to my account. I am currently on a holiday in Hawaii, and cannot be back by the deadline”. The letter was signed by the student.Response A: “No problem. He owes $_______”Response B: “We cannot release that information without a signed consent mailed or faxed directly to us. Our fax number is _____”Which is ok?

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Response• Key Issues

– Acceptable signature for release. FERPA does not require a request to be an original request coming directly from the student to the institution. So long as the request meets the requirements stated in 99.30, those being

– Other than a signed and dated consent, the request also must include

• The purpose of the disclosure• The parties to whom the disclosure is made• The records that are to be disclosedThus if a third party presents a request which meets all of the

requirements, you may release the information.

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16. Verification of statements by student newspaper re: candidate for presidencyThe reporter from the student newspaper has asked you to confirm statements made by a candidate for student body president in last week’s edition. “I have a 3.7 gpa, ranked in the top third of my class, and have paid all of my own educational expenses” were the quotes in the newspaper.Not true you discover having checked the academic and financial aid records after reading the previous edition. This is very irksome because the other candidate is the nephew of your Associate Registrar, and a fine upstanding young man.Knowing you can set the record straight, how do you respond to the reporter?

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Response• Key Issue – Implied Consent. If the student has made statements

regarding their educational records to the press or other similar entities, does that action serve as an implied consent to the institution should they be asked to verify? The answer is no – there is no implied consent in FERPA. Regardless as to whether or not the statements are true or false, the FERPA rights of students are not compromised. Therefore the exception limits of 99.31 once again are the basis for release of information, thus a signature is required in order to provide the press information. The appropriate response when asked to verify statements is “Because of federal regulations related to release of educationalrecord information I cannot respond. However, when the student provides me signed permission to release the educational recordinformation you desire, I would be more than happy to respond to your questions.” Assuming the press will then make the request to the student and of course the student will not comply, then the result should take care of itself.

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Case Study: Deja Vu: I’ve Seen This Paper Before!!

“Please give this student an ‘F’ for the course”, the official correspondence from the Academic Integrity Committee stated. “He has admitted to plagiarizing his midterm paper. We have notified all of his other professors so that they can be aware of the infraction and can be on the look out for any possible additional violations.”

Suddenly feeling queasy and having no Bonine tablets available, you email John and wonder in writing, “Can this educational record information be shared with other faculty due to their having ‘legitimate educational interest’?”

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Response (directly from the Compliance Office):

• It is possible.

• The issue under FERPA is whether the other instructors meet your college's definition of "school official" with a "legitimate educational interest" as shown in its annual notice to students of their FERPA rights. FERPA doesn't require that legitimate educational interest apply to a particular student's best interest. At its most basic, we generally advise that if the faculty or staff member needs the information from an education record in order to perform his or her professional responsibility for the college, then that person has a legitimate educational interest.

• We generally inform schools that it is not reasonable to say that all faculty and employees have a legitimate educational interest in all students at all times. But in the situation you describe, it appears it could be within the job responsibility of an instructor (and, thus, reflected in the college's criteria for "legitimate educational interest") to know that a student in his or her class has cheated in another class. The college makes that determination.

• Also, information that is observed by an instructor, rather than information gathered from an education record, is not protected by FERPA. In other words, an instructor could disclose information about a student ("I caught Susie Student cheating on the mid-term exam in my class.") to another teacher when the source of the information is the instructor's general observation and personal knowledge of a student and is not knowledge gained from an education record ("I read Susie Student's transcript and it says she was suspended for plagiarism in an English course last semester.").

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A Private Conversation: FERPA

• An overview of the Family Educational Rights and Privacy Act and why it is the right thing to do.

• John Snodgrass, Registrar, Chapman University

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The Bad Grade

“Did you give me an “F” for Sports Law?” the student asked the professor as they were waiting in line at the coffee shop during the lunch rush hour. The student’s girlfriend looked quite defiant as she observed.“Yes I did” responded the professor.Violation?

“And furthermore, you are now on academic probation. Try harder next time” the professor added, as he paid for his Caffe Americano, and filed out with the crowd.Violation?

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Please Pay My DearThe young lady approaches the Bursar’s window and provides a letter, which stated (after a lengthy warm exchange of pleasantries to her) My dear, take the following request to the university and pay my tuition please. Thanks and I’m having a great time”.The request stated:“Please provide my fiance’ the amount of my tuition bill so that she can make a payment to my account. I am currently on a holiday in Hawaii, and cannot be back by the deadline”. The letter was signed by the student.Response A: “No problem. He owes $_______”Response B: “We cannot release that information without a signed consent mailed or faxed directly to us. Our fax number is _____”Which is ok?

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He’s a liar!Verification of statements by newspaper re: candidate for District

Attorney.

The reporter from the newspaper has asked you to confirm statements made by a candidate for District Attorney made in last week’s edition. “I received highest honors in all coursework, ranked in the top 1% of my class, and have paid all of my own educational expenses” were the quotes in the newspaper.Not true you discover having checked the academic and financial aid records after reading the previous edition. As a matter of fact, had this student not appealed to the graduation committee to reconsider an academic integrity 3rd strike, he would not have graduated. This is very irksome because the other candidate is the niece of your Associate Registrar, and a fine upstanding young woman.Knowing you can set the record straight, how do you respond to the reporter?

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What is FERPA All About?

• Providing students guarantees regarding the access and confidentiality of their educational records– Right to access

– Right to challenge contents

– Right to control over disclosure

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Why Is Effective Training Important?• Federal Regulations: We Are Required

• Increased demands for information

• Decentralized access expands the definition of school official

• Increasing concerns over student safety

• Because it is the right thing to do

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Key Definition: Student (post-secondary)

• Institutionally Defined: may start with applicants, admits, or matriculants (actually attending as of the first day of the term). Typically matriculants

• Includes credit and non-credit, degree or non-degree seeking, all residencies; all ages

• Acquire all FERPA rights at the time they become a “Student” (note: parents lose all right of access to educational records of students at post secondary institutions); retain FERPA rights until deceased.

– Must be allowed access to all educational records• Exception: parent financial information

– Must provide signature of release for disclosure of records unless specifically allowed for by FERPA

– May challenge the contents of educational records maintained by institution; if challenge upheld, record will be removed.

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Key Definition: Educational Record

• With certain exceptions, all records identifying students maintained by the university “in any medium”, including handwritten, print, tape, film, microfilm/fiche, or any form of electronic data storage.

– Exceptions:

• Law Enforcement records maintained by law enforcement unit

• Medical records re: care of student while in attendance

• Alumni records

• Employment records (other than work-study, other positions where hire is based upon being a student)

• Sole Possession (non evaluative, “mind joggers”), not shared with others –exception: substitute

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Key Definition: School Officials• Individuals or Group providing a necessary service for or on behalf of

the institution

– Faculty, staff, administration, student workers, coaches, Board of Trustees, Clearinghouse, legal counsel, etc.– any individuals providing services

• Have no inherent rights re: accessing educational records; May access student educational records based upon a “need to know” in order to carry out their responsibilities

• Are equally responsible for following FERPA regulations; may not re-disclose student educational records unless in accordance with FERPA guidelines

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Guidelines for School Officials RE: Release/Access to Educational Records

• Must allow students access to educational records upon request

– Signature not required to release to student

– “access” does not require a copy of the document, unless without providing a copy the student is denied access

• May (although not required) provide access to educational records to parties other than the student; with certain exceptions, must have student’s signature of approval in order to release educational records

– Exceptions include• Release to other school officials with “need to know”• Lawfully issued subpoenas (ask the Registrar)• “Directory Information”, unless “Directory Hold” is in place• Other exceptions allowed by FERPA regulations (ask the

Registrar)

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Directory Information• Directory Information: educational records that FERPA regulations

have determined to be “neutral” or not necessarily harmful if released to third parties outside the institution

– In order to release Directory Information institutions must specify what their Directory Information includes

– Institutions with specified Directory Information ARE NOT required to release that information; may do so arbitrarily or capriciously.

– Students have the right to withhold release of Directory Information to third parties outside the institution; such holds are recorded in the Datatel system

– Directory holds do not pertain to school officials having access to student educational records

• The following is considered “Directory Information” at Chapman University and may be made available to the general public without student written permission unless the student notifies the Office of the Registrar in person or in writing during the first two weeks of the enrollment period.

– Telephone number, dates of attendance, degrees and awards received, major field of study, participation in officially recognized activities and sports, weight and height of members of athletic teams, theses title/topics, photograph, full-time/part-time status, most recent previous school attended, class schedule, date and place of birth.

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Best Practices for School Officials

• Make certain not to accidentally violate student FERPA rights– Only provide requested information to student if request occurs with

third parties present (or request meeting at another time in private)

– Check for signed release on file – typically in Registrar’s Office – before discussing student educational record/progress information with non-school officials e.g. parents, spouses, employers, landlords, etc

– Close files, computer screens, cover papers, close office door, etc whenever leaving work station or when non-school officials may be present so that third parties do not have access to student educational record information

– “Office Audit”: Make certain that fax machines, printers, copy machines, computer screens are not in public environment or positioned as such so that third parties do not have access to student educational record information

– Telephone requests for information: although signature is not required to release educational record information directly to the student, school official must make certain that it is the student making the request. If identity cannot be determined, do not comply over the phone.

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Best Practices, continued• Contact Registrar’s Office or check Datatel for directory holds before

releasing directory information; do not indicate to requestor that student is in attendance at Chapman.

• Do not post lists of information containing student educational records (grade lists, credits completed, ethnic/religious groups)

• Remember to request signed release from student for all letters of recommendation, good student status information, etc that require non-directory educational record information. Release forms are available at Registrar’s Web Site.

• Immediate release of information is not required (FERPA allows up to 45 days). Insure FERPA protection before release.

• Providing student access to their educational record information usually does not require that you give them a copy. Never provide copies of transcripts from previous institutions.

• Unsure? Contact the Registrar

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The “List”: Key Terms to Always Consider• Educational Record: Is the information covered by FERPA?

• Student: Does the record pertain an individual who meets our definition of “student”? If not, does FERPA apply?(No)

• Access: Do I need a signature from the student in order to release? Must I provide a copy to the student of the educational record information requested? (Usually no)

• “Must” vs “May”: Am I required to release this information?

• School Official: does the requestor meet the definition of “school official”?

• Need to Know: Does this school official have a “need to know” re: the educational record desired?

• Dependent: Does our institutional policy allow for release of educational record information to parents of dependent students? (No)

• Directory Information, directory holds: Is the information requested part of our defined “Directory Information” as listed in the annual notification? Does the student have a “Directory Hold”? How would I know?

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Closing , , ,

• Office FERPA “Audit”

• Follow-up Meetings re: procedures

• Remember: “It is the right thing to do”

• Web Site: http://www.chapman.edu/registrar/Privacyindex.html

• Quiz Show

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The Bad Grade

“Did you give me an “F” for Sports Law?” the student asked the professor as they were waiting in line at the coffee shop during the lunch rush hour. The student’s girlfriend looked quite defiant as she observed.“Yes I did” responded the professor.Violation?

“And furthermore, you are now on academic probation. Try harder next time” the professor added, as he paid for his Caffe Americano, and filed out with the crowd.Violation?

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Response• Key Issues (this example was an actual complaint sent to the FPCO)

– Permission to Release• We know that we must release educational record information to

students upon request, and that we do not need a signature to do so. At the same time we know that if we release educational record information to parties not falling within the “exceptions” list of 99.31, we must receive a signed release, thus the conflict. The ruling however, and rightfully so, said that since the student solicited the grade information the school official should not be placed in a double bind by responding to the question “did you give me an ‘F’grade?” even in a non-secure environment. The fact is that students request educational record information on a regular basis in such environments. Thus the response to the question about the gradewas not a violation. However, the providing of unsolicited information, “You are now on probation” was a violation, because the student had not specifically requested he information, therefore the school official released it to other third parties without the signed release from the student. Keep in mind that the instructor could have deferred in delivering the information, and could have said‘come to my office and we can discuss’, both of which would have fallen within the 45 day rule and providing access parameters.

– Directory Information? NO•

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Please Pay My DearThe young lady approaches the Bursar’s window and provides a letter, which stated (after a lengthy warm exchange of pleasantries to her) My dear, take the following request to the university and pay my tuition please. Thanks and I’m having a great time”.The request stated:“Please provide my fiance’ the amount of my tuition bill so that she can make a payment to my account. I am currently on a holiday in Hawaii, and cannot be back by the deadline”. The letter was signed by the student.Response A: “No problem. He owes $_______”Response B: “We cannot release that information without a signed consent mailed or faxed directly to us. Our fax number is _____”Which is ok?

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Response• Key Issues

– Acceptable signature for release. FERPA does not require a request to be an original request coming directly from the student to the institution. So long as the request meets the requirements stated in 99.30, those being

– Other than a signed and dated consent, the request also must include

• The purpose of the disclosure• The parties to whom the disclosure is made• The records that are to be disclosedThus if a third party presents a request which meets all of the

requirements, you may release the information.

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He’s a liar!Verification of statements by newspaper re: candidate for District

Attorney.

The reporter from the newspaper has asked you to confirm statements made by a candidate for District Attorney made in last week’s edition. “I received highest honors in all coursework, ranked in the top 1% of my class, and have paid all of my own educational expenses” were the quotes in the newspaper.Not true you discover having checked the academic and financial aid records after reading the previous edition. As a matter of fact, had this student not appealed to the graduation committee to reconsider an academic integrity 3rd strike, he would not have graduated. This is very irksome because the other candidate is the niece of your Associate Registrar, and a fine upstanding young woman.Knowing you can set the record straight, how do you respond to the reporter?

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Response• Key Issue – Implied Consent. If the student has made statements

regarding their educational records to the press or other similar entities, does that action serve as an implied consent to the institution should they be asked to verify? The answer is no – there is no implied consent in FERPA. Regardless as to whether or not the statements are true or false, the FERPA rights of students are not compromised. Therefore the exception limits of 99.31 once again are the basis for release of information, thus a signature is required in order to provide the press information. The appropriate response when asked to verify statements is “Because of federal regulations related to release of educationalrecord information I cannot respond. However, when the student provides me signed permission to release the educational recordinformation you desire, I would be more than happy to respond to your questions.” Assuming the press will then make the request to the student and of course the student will not comply, then the result should take care of itself.

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Do You Want To Be A FERPA Millionaire!!

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Question # One:

John Snodgrass works for which institution:

a. FBI b. Microsoft

c. Starbucks d. Chapman U.

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d. Chapman U

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Question # Two:

“FERPA” is:

a. Female Himalayan Guide

b. Student Record Privacy Regulations

c. Australian Marsupial

d. Financial Aid Emergency Fund

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b. Student Record Privacy Regulations

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Question # 3:

Of the following, who is not protected under FERPA?

a. Non-credit student

b. Non-degree student

c. Deceased student

d. 13 year old college student

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c. Deceased student

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Question #4:

Of the following, who is always protected under FERPA?

a. Applicants

b. Admits

c. School official

d. International student

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d. International student

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Question #5:Under FERPA, students have the right of access to which of the following:

a. their disciplinary records

b. Their parent’s financial information

c. Their medical records

d. Their alumni records

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a. Their disciplinary records

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considered a “signature” acceptable for releasing educational records:

a. Email request

b. Signed fax request

c. Signed letter to a friend

d. PIN number

Question #6:

Which of the following is not

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a. Email request

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Question #7:School officials may provide access (without student approval) to non-directory educational records to all of the following except:

a. Parent claiming student as tax exemption b. The student c. Learning Center tutor d. fiance’ who is paying student’s tuition.

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d. Fiance’ paying student’s tuition

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Question #8:Which of the following can never be considered “Directory Information”

a. SSN

b. Email address

c. Most previous school attended

d. Photograph

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a. SSN

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Question # 9:Of the following, which office is responsible for enforcing “Directory Holds”

a. Faculty b. Registrar c. Coachesd. Staffe. All of the above

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e. All of the above (that means you!)

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Bonus Question: Helen Mirrenplayed which queen this past year:

a. Freddy Mercury of Queen

b. Queen for a Day

c. Elizabeth I

d. Elizabeth II

e. Elizabeth III

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c & d Elizabeth I & II