Fabulous FERPA
Facts for Faculty
Faculty Development In-Service
August 19, 2013
1
HOW WELL DO YOU KNOW FERPA?
True or False
• FERPA only covers educational records in the student’s file in the
registrar’s office.
• Faculty may post grades on their office door.
• Students have a right to inspect any record VU has for them.
• Parents who are paying their child’s tuition can have access to any
information on their child.
2
KEY CONCEPTS
•
•
•
•
•
•
•
Required annual notification
Written permission of student required to disclose
Exceptions to written permission
Students’ right to access their records
“Musts" and "mays" in FERPA
Parents/parental disclosure
Legitimate educational interest
3
KEY TERMS
•
•
•
•
•
Education record
Directory information
School official
Personally identifiable
Eligible student
4
FAMILY EDUCATIONAL RIGHTS
AND PRIVACY ACT OF 1974
"A FEDERAL LAW DESIGNED TO PROTECT THE PRIVACY OF
EDUCATION RECORDS, TO ESTABLISH THE RIGHT OF
STUDENTS TO INSPECT AND REVIEW THEIR EDUCATION
RECORDS, AND TO PROVIDE GUIDELINES FOR THE
CORRECTION OF INACCURATE AND MISLEADING DATA
THROUGH INFORMAL AND FORMAL HEARINGS."
________________________________
DEFINITIONS OF TERMS FOR ADMISSIONS AND RECORDS. Washington, D.C.: AACRAO, 1980, p. 28.
5
FAMILY EDUCATIONAL RIGHTS
AND PRIVACY ACT OF 1974
THIS ACT IS ENFORCED BY THE
FAMILY POLICY COMPLIANCE OFFICE,
U.S. DEPARTMENT OF EDUCATION,
WASHINGTON, D.C.
6
THE ESSENCE OF THE ACT
COLLEGE STUDENTS MUST BE PERMITTED TO INSPECT THEIR
OWN EDUCATION RECORDS.
SCHOOL OFFICIALS MAY NOT DISCLOSE PERSONALLY
IDENTIFIABLE INFORMATION ABOUT STUDENTS NOR PERMIT
INSPECTION OF THEIR RECORDS WITHOUT WRITTEN
PERMISSION UNLESS SUCH ACTION IS COVERED BY CERTAIN
EXCEPTIONS PERMITTED BY THE ACT.
7
WHAT IS AN EDUCATION
RECORD?
ANY RECORD, WITH CERTAIN EXCEPTIONS, MAINTAINED BY
AN INSTITUTION THAT IS DIRECTLY RELATED TO A STUDENT
OR STUDENTS. THIS RECORD CAN CONTAIN A STUDENT'S
NAME, OR STUDENTS' NAMES OR INFORMATION FROM WHICH
AN INDIVIDUAL STUDENT, OR STUDENTS, CAN BE
PERSONALLY (INDIVIDUALLY) IDENTIFIED
THESE RECORDS INCLUDE: FILES, DOCUMENTS, AND
MATERIALS IN WHATEVER MEDIUM (HANDWRITING, PRINT,
TAPES, DISKS, FILM, MICROFILM, MICROFICHE) WHICH
CONTAIN INFORMATION DIRECTLY RELATED TO STUDENTS
AND FROM WHICH STUDENTS CAN BE PERSONALLY
(INDIVIDUALLY) IDENTIFIED.
8
“PERSONALLY IDENTIFIABLE”
"PERSONALLY IDENTIFIABLE" MEANS DATA OR
INFORMATION WHICH INCLUDES:
•
THE NAME OF THE STUDENT, THE STUDENT'S PARENT,
OR OTHER FAMILY MEMBERS
•
THE STUDENT'S CAMPUS OR HOME ADDRESS;
•
A PERSONAL IDENTIFIER (SUCH AS A SOCIAL SECURITY
NUMBER OR STUDENT NUMBER)
•
A LIST OF PERSONAL CHARACTERISTICS OR OTHER
INFORMATION WHICH WOULD MAKE THE STUDENT'S
IDENTITY EASILY TRACEABLE
9
Grades Posted on Bulletin Board
outside of Instructor’s Office
Instructor Summary-Fall 1999-December 15, 1999
GradeBook-Unregistered Copy
MKT 227 Fall 99
A = 90.0
2949
4532
5599
1197
7463
6115
7692
2342
1543
6748
RgAvg%
100.00
93.8
84.5
83.1
71
72.6
66.2
66.9
68.1
62.9
61.8
B = 80.0
ExtCr %
5.6
2.1
4.2
0.7
0.7
0.7
5.6
4.2
1.4
0.7
0.7
C = 70.0
D = 60.0
Grade
A
B
B
B
C
C
C
D
D
D
10
WHAT AN EDUCATION RECORD
IS NOT
“SOLE POSSESSION” NOTES
LAW ENFORCEMENT UNIT RECORDS
RECORDS MAINTAINED EXCLUSIVELY FOR INDIVIDUALS IN
THE THEIR CAPACITY AS EMPLOYEES
 RECORDS OF INDIVIDUALS WHO ARE EMPLOYED AS A
RESULT OF THEIR STATUS AS STUDENTS (WORK
STUDY) ARE EDUCATION RECORDS.
DOCTOR-PATIENT PRIVILEGE RECORDS
ALUMNI RECORDS
11
"SOLE POSSESSION NOTES"
ARE MADE BY ONE PERSON AS AN INDIVIDUAL OBSERVATION OR
RECOLLECTION, ARE KEPT IN THE POSSESSION OF THE MAKER,
AND ARE ONLY SHARED WITH A TEMPORARY SUBSTITUTE.
•
THIS TERM HAS ALWAYS BEEN NARROWLY DEFINED.
• NOTES TAKEN IN CONJUNCTION WITH ANY OTHER PERSON ARE
NOT SOLE POSSESSION NOTES (COUNSELOR'S NOTES,
INTERVIEW NOTES).
• SHARING THESE NOTES WITH ANOTHER PERSON, OR PLACING
THEM IN AN AREA WHERE THEY CAN BE VIEWED BY OTHERS
MAKES THEM "EDUCATION RECORDS" AND SUBJECT TO FERPA.
• BEST ADVICE: IF YOU DON'T WANT IT REVIEWED, DON'T WRITE
IT DOWN.
12
WHAT IS AN EDUCATION
RECORD? (SUMMARY)
IF YOU HAVE A RECORD THAT IS:
• MAINTAINED BY YOUR INSTITUTION
• PERSONALLY IDENTIFIABLE TO A STUDENT
(DIRECTLY RELATED TO A STUDENT AND FROM
WHICH A STUDENT CAN BE IDENTIFIED)
• NOT ONE OF THE EXCLUDED CATEGORIES OF
RECORDS…
IT IS SUBJECT TO FERPA
13
REQUIREMENTS FOR
COMPLIANCE
WHAT WE MUST DO...
PROVIDE ANNUAL NOTIFICATION TO STUDENTS
OF THEIR FERPA RIGHTS
PROVIDE STUDENTS’ ACCESS TO THEIR
EDUCATION RECORDS
14
REQUIREMENTS FOR
COMPLIANCE
PROVIDE ANNUAL NOTIFICATION TO STUDENTS OF THEIR
RIGHT TO:
1.
2.
3.
4.
5.
INSPECT AND REVIEW THEIR EDUCATION RECORDS
REQUEST AN AMENDMENT TO THEIR EDUCATION
RECORDS
A HEARING IF THE REQUEST FOR AN AMENDMENT
IS UNSATISFACTORY
REQUEST THAT THE INSTITUTION NOT DISCLOSE
DIRECTORY INFORMATION ITEMS ABOUT THEM
FILE A COMPLAINT WITH THE U.S. DEPARTMENT OF
EDUCATION
15
REQUIREMENTS FOR
COMPLIANCE
PROVIDE ANNUAL NOTIFICATION TO STUDENTS OF THEIR
RIGHT TO:
6.
KNOW THAT
• SCHOOL OFFICIALS WITHIN THE INSTITUTION MAY
OBTAIN INFORMATION FROM EDUCATION
RECORDS WITHOUT OBTAINING PRIOR WRITTEN
CONSENT,
• THE CRITERIA FOR DETERMINING WHO WILL BE
CONSIDERED SCHOOL OFFICIALS AND
• WHAT “LEGITIMATE EDUCATIONAL INTERESTS”
WILL ENTITLE SCHOOL OFFICIALS TO HAVE
ACCESS TO EDUCATION RECORDS
16
REQUIREMENTS FOR
COMPLIANCE
PROVIDE ANNUAL NOTIFICATION TO STUDENTS OF THEIR
RIGHT TO:
7.
KNOW WHICH INFORMATION THE INSTITUTION HAS
DESIGNATED AS PUBLIC OR DIRECTORY
INFORMATION.
NOTE: THIS NOTIFICATION OF DIRECTORY INFORMATION IS
NOT REQUIRED TO BE INCLUDED IN THE ANNUAL
NOTIFICATION.
17
REQUIREMENTS FOR
COMPLIANCE
PROVIDE ANNUAL NOTIFICATION TO STUDENTS OF THEIR
RIGHT TO:
KNOW THAT 1) SCHOOL OFFICIALS MAY OBTAIN
INFORMATION FROM EDUCATION RECORDS
WITHOUT OBTAINING PRIOR WRITTEN CONSENT, 2)
THE CRITERIA FOR DETERMINING WHO WILL BE
CONSIDERED SCHOOL OFFICIALS AND 3) WHAT
“LEGITIMATE EDUCATIONAL INTERESTS” WILL
ENTITLE SCHOOL OFFICIALS TO HAVE ACCESS TO
EDUCATION RECORDS.
18
REQUIREMENTS FOR
COMPLIANCE
SCHOOL OFFICIAL
1) EMPLOYED BY THE COLLEGE IN AN ADMINISTRATIVE,
SUPERVISORY, ACADEMIC, RESEARCH, OR SUPPORT STAFF
POSITION (INCLUDING LAW ENFORCEMENT AND HEALTH
STAFF PERSONNEL),
2) ELECTED TO THE BOARD OF TRUSTEES,
3) OR COMPANY EMPLOYED BY OR UNDER CONTRACT TO
THE COLLEGE TO PERFORM A SPECIAL TASK SUCH AS THE
ATTORNEY, AUDITOR, OR COLLECTION AGENCY,
4) OR STUDENT SERVING ON AN OFFICIAL COMMITTEE, SUCH
AS A DISCIPLINARY OR GRIEVANCE COMMITTEE, OR
ASSISTING ANOTHER SCHOOL OFFICIAL IN PERFORMING
HIS OR HER TASKS.
19
REQUIREMENTS FOR
COMPLIANCE
Viterbo Definition of School Official with Legitimate Educational
Interest
Within the Viterbo University community, only those members,
individually or collectively, acting in the students' educational interest
are allowed access to student education records. These members include
personnel in the Offices of the Registrar, Business Office, Office of
Financial Aid, Office of Admission, and academic and student life
personnel within the limitations of their need to know.
20
REQUIREMENTS FOR
COMPLIANCE
LEGITIMATE EDUCATIONAL INTEREST
THE DEMONSTRATED NEED TO KNOW BY THOSE OFFICIALS OF AN
INSTITUTION WHO ACT IN THE STUDENT’S EDUCATIONAL INTEREST,
INCLUDING FACULTY, ADMINISTRATION, CLERICAL AND
PROFESSIONAL EMPLOYEES, AND OTHER PERSONS WHO MANAGE
STUDENT RECORD INFORMATION.
 ALTHOUGH FERPA DOES NOT DEFINE “LEGITIMATE EDUCATIONAL
INTEREST,” IT STATES THAT INSTITUTIONS MUST SPECIFY THE
CRITERIA FOR DETERMINING IT.
21
REQUIREMENTS FOR
COMPLIANCE
At Viterbo legitimate education interest is demonstrated by:
A school official has a legitimate educational interest if the official needs
to review an education record in order to fulfill his or her professional
responsibility.
22
REQUIREMENTS FOR
COMPLIANCE
DIRECTORY INFORMATION
ALTHOUGH NOT REQUIRED TO BE INCLUDED IN THE
INSTITUTION’S ANNUAL NOTIFICATION, THE INSTITUTION
MUST NOTIFY STUDENTS OF WHAT INFORMATION THE
INSTITUTION HAS DESIGNATED AS DIRECTORY
INFORMATION.
THE FAMILY POLICY COMPLIANCE OFFICE HAS
RECOMMENDED THAT THIS NOTIFICATION BE PART OF
THE INSTITUTION’S ANNUAL FERPA NOTIFICATION TO
STUDENTS.
23
REQUIREMENTS FOR
COMPLIANCE
INFORMATION NOT NORMALLY CONSIDERED A VIOLATION
OF A PERSON’S PRIVACY
STUDENTS MUST BE NOTIFIED OF THE ITEMS OF DIRECTORY
INFORMATION.
STUDENTS MUST BE GIVEN THE OPPORTUNITY TO REQUEST
THAT DIRECTORY INFORMATION NOT BE RELEASED. THIS
RIGHT OF NON-DISCLOSURE APPLIES TO DIRECTORY
INFORMATION ONLY.
24
REQUIREMENTS FOR
COMPLIANCE
DIRECTORY INFORMATION MAY INCLUDE THE
FOLLOWING STUDENT INFORMATION:
STUDENT’S NAME
CLASS SCHEDULE
ADDRESS
CLASS ROSTERS
TELEPHONE NUMBER
DATES OF ATTENDANCE
EMAIL ADDRESS
DEGREES AND AWARDS RECEIVED
PHOTOGRAPH
MOST RECENT EDUCATIONAL
INSTITUTION ATTENDED
DATE/PLACE OF BIRTH
MAJOR
FIELDS OF STUDY
PARTICIPATION IN OFFICIALLY
RECOGNIZED ACTIVITIES AND
SPORTS
OTHER SIMILAR INFORMATION AS
DEFINED BY THE INSTITUTION
THAT WOULD NOT NORMALLY
BE CONSIDERED AN INVASION OF A
STUDENT’S PRIVACY
HEIGHT/WEIGHT OF ATHLETIC
TEAM MEMBERS
25
REQUIREMENTS FOR
COMPLIANCE
DIRECTORY INFORMATION CAN NEVER INCLUDE A
STUDENT’S:
RACE
GENDER
SOCIAL SECURITY
NUMBER
GRADES
GPA
COUNTRY OF CITIZENSHIP
RELIGION
26
REQUIREMENTS FOR
COMPLIANCE
VITERBO UNIVERSITY HAS DESIGNATED THE BELOW
INFORMATION AS DIRECTORY INFORMATION, ACCORDING TO
THE FAMILY EDUCATIONAL RIGHTS AND PRIVACY ACT OF 1974
NAME
REGISTRATION COURSE SCHEDULE
ADDRESS (home, local/campus, email)
CLASS LEVEL
TELEPHONE LISTINGS
ACADEMIC LEVEL
DATE OF BIRTH/AGE
DEGREES/ACADEMIC
RECOGNITIONS/AWARDS RECEIVED
MAOR/MINOR FIELD OF STUDY
PARTICIPATION IN OFFICIALLY
RECOGNIZED ACTIVITIES AND
SPORTS
HEIGHT/WEIGHT OF ATHLETIC
TEAM MEMBERS
NAME/ADDRESS/OCCUPTION OF
PARENT/GUARDIAN/SPOUSE
EDUCATIONAL INSTITUTIONs
ATTENDED
DATES OF ATTENDANCE
FULL-TIME/PART-TIME STATUS
PHOTOGRAPH
27
REQUIREMENTS FOR
COMPLIANCE
It is important to remember that “directory information” be defined as
such.
If a data element isn’t defined as “directory information” it isn’t
directory information and can only be released if the student’s written
permission is obtained or the release can be justified under one of the
exceptions to students’ written permission found in FERPA.
28
REQUIREMENTS FOR
COMPLIANCE
PROVIDE ANNUAL NOTIFICATION TO STUDENTS OF THEIR
RIGHT TO:
PROVIDE STUDENTS ACCESS TO THEIR EDUCATION RECORDS
29
REQUIREMENTS FOR
COMPLIANCE
PROVIDE STUDENTS ACCESS TO THEIR EDUCATION RECORDS
THEY HAVE THE RIGHT TO INSPECT AND REVIEW WITHIN 45
DAYS OF THE REQUEST TO INSPECT.
30
REQUIREMENTS FOR
COMPLIANCE
PROVIDE STUDENTS’ ACCESS TO THEIR EDUCATION RECORDS
LIMITATIONS ON THE RIGHT TO INSPECT
•
PARENTAL FINANCIAL INFORMATION
•
CONFIDENTIAL LETTERS AND RECOMMENDATIONS TO
WHICH THE STUDENT HAS WAIVED HIS/HER RIGHT OF
INSPECTION
•
EDUCATION RECORDS CONTAINING INFORMATION ABOUT
MORE THAN ONE STUDENT
•
THE INSTITUTION MUST PERMIT ACCESS TO THAT
PART OF THE RECORD WHICH PERTAINS ONLY TO THE
INQUIRING STUDENT
31
REQUIREMENTS FOR
COMPLIANCE
PROVIDE STUDENTS’ ACCESS TO THEIR EDUCATION RECORDS
Sample Permission Letter to Write a Letter of Recommendation
I give permission for Prof. Kostal to write a letter of recommendation to:
Annie’s Catering
344 Willow Dr.
Lynchburg VA 24502
Prof. Kostal has my permission to include my grades, GPA, and class rank
in this letter.
I waive do not waive my right to review a copy of this letter at any
time in the future.
________________________________________________
Signed
Date
32
PROCEDURES AND STRATEGIES
FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION
INSTITUTIONS SHALL OBTAIN WRITTEN CONSENT FROM
STUDENTS BEFORE DISCLOSING ANY PERSONALLY
IDENTIFIABLE INFORMATION FROM THEIR EDUCATION
RECORDS (WITH THE EXCEPTIONS FOLLOWING). THE
WRITTEN CONSENT MUST:
a. SPECIFY THE RECORDS TO BE RELEASED
b. STATE THE PURPOSE OF THE DISCLOSURE
c. IDENTIFY THE PARTY OR PARTIES TO WHOM
DISCLOSURE MAY BE MADE
d. BE SIGNED AND DATED BY THE STUDENT.
33
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MUST DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
STUDENTS WHO REQUEST THE INFORMATION FROM THEIR
OWN RECORDS
34
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
AUTHORIZED REPRESENTATIVES OF THE FOLLOWING FOR
AUDIT, EVALUATION, OR ENFORCEMENT OF FEDERAL AND
STATE SUPPORTED PROGRAMS:
• COMPTROLLER GENERAL OF THE UNTED STATES
• SECRETARY, U.S. DEPARTMENT OF EDUCATION
• U.S. ATTORNEY GENERAL (LAW ENFORCEMENT ONLY)
• STATE EDUCATIONAL AUTHORITIES
35
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
PERSONNEL WITHIN THE INSTITUTION DETERMINED BY
THE INSTITTION TO HAVE A LEGITIMATE EDUCATIONAL
INTEREST.
•
OFFICIALS OF OTHER INSTITITUTIONS IN WHICH THE
STUDENT SEEKS TO ENROLL, ON CONDITION THAT THE
ISSUING INSTITTUTION MAKES A REASONABLE ATTEMPT
TO INFORM THE STUDENT OF THE DISCLOSURE.
36
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
PERSONS OR ORGANIZATIONS PROVIDING TO THE
STUDENT FINANCIAL AID PROGRAMS, OR DETERMINING
FINANCIAL AID DECISIONS.
•
ORGANIZATIONS CONDUCTING STUDIES TO DEVELOP,
VALIDATE, AND ADMINISTER PREDICTIVE TESTS, TO
ADMINISTER STUDENT AID PROGRAMS, OR TO IMPROVE
INSTRUCTION.
37
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
ACCREDITING ORGANIZATIONS CARRYING OUT THEIR
ACCREDITING FUNCTIONS.
•
PARENTS OF A STUDENT WHO HAVE ESTABLISHED THAT
STUDENT’S STATUS AS A DEPENDENT AS DEFINED BY THE
IRS CODE.
38
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
PERSONS IN COMPLIANCE WITH A JUDICIAL ORDER OR A
LAWFULLY ISSUED SUBPOENA, PROVIDED THAT THE
INSTITUTION FIRST MAKE A REASONABLE ATTEMPT TO
NOTIFY THE STUDENT. EXCEPTION: IF THE SUBPOENA IS
ISSUED FROM A FEDERAL GRAND JURY, OR FOR A LAW
ENFORCEMENT PURPOSE, AND ORDERS THE INSTITUTION
NOT TO NOTIFY THE STUDENT.
39
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
A COURT IF THE STUDENT HAS INITIATED LEGAL ACTION
AGAINST THE INSTITUTION OR THE INSTITUTION HAS
INITIATED LEGAL ACTION AGAINST THE STUDENT.
40
PROCEDURES AND
STRATEGIES FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
PERSONS IN AN EMERGENCY, IF IT IS DETERMINED THT
THERE IS RATIONAL BASIS TO BELIEVE THERE IS A
SIGNIFICANT THREAT TO A STUDENT OR OTHER PERSONS.
IN SUCH CASES, THE EDUCATIONAL AGENCY OR
INSTITUTION MUST RECORD THE ARTICULABLE THREAT
THAT FORMED THE BASIS FOR THE DISCLOSURE, AND THE
PARTIES TO WHOM THE AGENCY OR INSTITUTION
DISCLOSED THE INFORMATION.
41
PROCEDURES AND STRATEGIES
FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
AN ALLEGED VICTIM OF ANY CRIME OF VIOLENCE OF THE
RESULTS OF ANY INSTITUTIONAL DISCIPLINARY
PROCEEDING AGAINST THE ALLEGED PERPETRATOR OF
THAT CRIME WITH RESPECT TO THAT CRIME
42
PROCEDURES AND STRATEGIES
FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
THE PUBLIC REGARDING THE FINAL RESULTS OF AN
INSTITUTIONAL DISCIPLINARY PROCEEDING SO LONG AS
THE STUDENT HAS BEEN DETERMINED TO BE THE ALLEGE
PERPETRATOR OF A CRIME OF VIOLENCE OR NONFORCIBLE SEX OFFENSE.
“Final Results” includes only: the name of the student, violation committed,
and any sanction imposed by the institution against the student.
The institution may not disclose the name of any other student, including a
victim or witness, without prior written consent of the other student.
43
PROCEDURES AND STRATEGIES
FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS
WITHOUT WRITTEN CONSENT OF STUDENTS TO THE
FOLLOWING:
•
PARENTS OF A STUDENT UNDER THE AGE OF 21
REGARDING A VIOLATION OF ANY LAW, AT ANY LEVEL, OR
INSTITUTIONAL POLICY OR RULE GOVERNING THE USE OF
ALCHOHOL OR A CONTROLLED SUBSTANCE.
(Does not supersede any state law that prohibits disclosure of this
information.)
44
PROCEDURES AND STRATEGIES
FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION INSTITUTIONS MAY DISCLOSE EDUCATION RECORDS OF
STUDENTS TO THEIR PARENTS BY ANY OF THE FOUR
PROCEDURES:
• BY OBTAINING THE STUDENT’S WRITTEN CONSENT
• BY HAVING THE PARENTS ESTABLISH THE STUDENT’S
DEPENDENCY AS DEFINED BY THE INTERNAL REVENUE
CODE
• BY EXERCISING ITS DISCLOSURE OPTION ON ANY
STUDENTS UNDER 21 REGARDING A VIOLATION OF AN
INSTITUTIONAL RULE OR FEDERAL, STATE, OR LOCAL
LAW REGARDING THE USE OF ALCHOHOL OR
CONTROLLED SUBSTANCE AS LONG AS STATE LAW
PERMITS
• IN A HEALTH OR SAFETY EMERGENCY
45
THE PARENT TRAP
IN SUMMARY, WHAT FERPA SAYS ABOUT PARENTS
When a student reaches the age of 18 or begins attending a postsecondary
institution regardless of age, FERPA rights transfer to the student.
Parents may obtain directory information only at the discretion of the
institution.
Parents may obtain non-directory information (grades, gpa, etc.) only at
the discretion of the institution AND after it has been determined that their
child is legally their dependent.
Parents may also obtain non-directory information by obtaining a signed
consent from their child.
46
REQUIREMENTS FOR
COMPLIANCE
RECORDS OF REQUESTS FROM THIRD PARTIES FOR
DISCLOSURE OF NON-DIRECTORY INFORMATION
• ALL INSTITUTIONS ARE REQUIRED TO MAINTAIN RECORDS
OF REQUESTS AND DISCLOSURES OF EDUCATION RECORDS
(TO INCLUDE NAMES, ADDRESSES OF THE REQUESTOR
AND HIS/HER INDICATED INTEREST IN THE RECORDS.
• THIS DOES NOT INCLUDE REQUESTS FROM STUDENTS FOR
THEIR OWN USE, DISCLOSURES IN RESPONSE TO WRITTEN
REQUESTS FROM STUDENTS, REQUESTS MADE BY SCHOOL
OFFICIALS, THOSE SPECIFIED IN DIRECTORY
INFORMATION
47
PROCEDURES AND STRATEGIES
FOR COMPLIANCE
DISCLOSURE OF EDUCATION RECORD INFORMATION
INSTITUTIONS MAY RELEASE WITHOUT WRITTEN CONSENT
THOSE RECORDS IDENTIFIED AS PUBLIC OR DIRECTORY
INFORMATION FOR STUDENTS WHO ARE CURRENTLY
ENROLLED WITH THE FOLLOWING CONDITIONS:
• THAT THE INSTITUTION INFORM THE STUDENTS
CATEGORIES DESIGNATED AS DIRECTORY
INFORMATION
• THAT STUDENTS BE GIVEN OPPORTUNITY TO REFUSE
DISCLOSURE OF ANY OR ALL CATEGORIES
• THAT THE STUDENTS BE GIVEN A REASONABLE
PERIOD OF TIME IN WHICH TO STATE SUCH REFUSALS
IN WRITING
48
FERPA AT VITERBO
49
FERPA AT VITERBO
50
FERPA AT VITERBO
51
CASE STUDIES
Posting Grades
John Faculty is tired of taking phone calls from students to find out
their grades after every examination, so he decided to post their grades
on the wall outside his office door. Should he do this? If yes, are there
any limitations to the manner in which he posts them?
52
CASE STUDIES
In general this is not a good practice since many institutions have
electronic means for students to view their grades in near real-time. If
the faculty member insists on this practice he/she can do so; however
the grades must be posted in such a manner known only to the
individual student and the instructor. For example, a code established at
the beginning of the term could work. Grades should not be posted in
the same order as a class roster or in alphabetical order.
53
CASE STUDIES
Class Web-Based Discussion Sites
Fred Faculty teaches a course that has a Web-based discussion component.
Class members can see each other’s email addresses and name. It is not
open to the public for view or use. Are there any FERPA issues?
54
CASE STUDIES
Since the discussion site is only accessible to students in the class, there is
no FERPA issue. It is advisable for the faculty member to remind class
members that the discussion threads should not be shared with others
outside the class without permission from the author to do so. No nondirectory information should be displayed on the site. The 2009 FERPA
regulations specifically state that student usernames can be displayed to
others in a class, even if the students in question have chosen “no release”
for their directory information.
55
CASE STUDIES
Podcasting Classes
Professor Pendergast wants to publicly podcast the entire content of his
courses. This includes class discussion. He decides this shortly before the
term begins and hasn’t notified registered students that this will be
occurring. What are the FERPA implications for this practice?
Student participation in class discussions should not be
made public without their express written permission.
56
CASE STUDIES
Student participation in class discussions should not be made public
without their express written permission.
57
CASE STUDIES
Parents Who Are Employed at the Institution/
“Legitimate Educational Interest”
Stephanie Student attends Cole College as an undergraduate. Her father is
a faculty member in the medical school there. He wants to find out how
Stephanie is doing in school, so he calls the Registrar’s Office to find out.
How should the office respond?
58
CASE STUDIES
The father does not have a legitimate “need to know”
Stephanie’s record even though he is on the faculty. The father needs to
get a signed consent from Stephanie or show dependency.
59
CASE STUDIES
Talking with Parents
You are an adviser in a college office. You receive a call from Dave and
Kathy Smith, the parents of one of your former students. Their son,
Kevin, was dismissed over a year ago. Dave and Kathy live in Florida and
have been paying for Kevin to attend your college for every term during
the last three years, including room and board and out-of-state tuition.
They called to see how things were going since they don’t hear much
from Kevin about school. How do you handle this conversation?
60
CASE STUDIES
FERPA permits disclosure of information from education records to
parents of students in a few different circumstances:
• A health or safety emergency situation.
• When the student has been found in violation of conduct related to a
controlled substance or alcohol and is under the age of 21.
• When the student is dependent based on the IRS definition of
“dependency.”
• When you have written permission from the student.
61
CASE STUDIES
Here, prior consent is required to release anything
but directory information. However, so long as Kevin
has not opted out of directory information, the school
official could inform the parent that Kevin is not a student at the
institution. You cannot tell the parents he was dismissed. Also, consider
practical tips for talking with the parents. Find out what they already
know and then build from it. If appropriate, discuss use of the
dependency exception for providing access to Kevin’s record.
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HOW WELL DO YOU KNOW FERPA
NOW?
True or False
• FERPA only covers educational records in the student’s file
in the registrar’s office.
• Faculty may post grades on their office door.
• Students have a right to inspect any record VU has for them.
• Parents who are paying their child’s tuition can have access to
any information on their child.
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