FERPA
Family Educational Rights and Privacy Act
Ross J. Kosinski, Ph.D.
Dean of Students
From Managing the Privacy of Student Records, by Clifford A. Ramirez, LRP Publications, 2002.
 From FERPA, Clear and Simple, The college professional’s Guide go Compliance., by Clifford A.
Ramirez, John Wiley and Sons, Inc., 2009.
From The Registrar’s Companion, An overview of the 11 Federal Laws Every Registrar Should
Know, by Stacey L. Winick, Esq., LRP Publications, 2006.
From The Federal Regulation of Student Affairs: An Update on FERPA and the Clery Act, by John
Wesley Lowery, NASPA/Stetson, Student Affairs Law and Policy Conference, 2007.
From The Fundamentals of Fundamental FERPA, by Steven J. McDonald, NASPA/Stetson,
National Conference on Law, Higher Education, 2009.
 From ASJA Law and Policy Report, 1-29-09, No. 309, by Gary Pavela, LRP, 2009.
FERPA
– Family Educational Rights and Privacy Act
1974 – Buckley Amendment (Sen. Buckley, NY)
Federal Statute governing privacy of student
education records and student information
Governed under the Department of Education’s;
– Family Policy Compliance Office (FPCO)
• Advises institutions about FERPA
• Investigates complaints of non-compliance with FERPA
• Resolves complaints of non-compliance with FERPA
– violation does not need to represent a “policy or practice”
– no provision under FERPA for student to sue because of a violation
– institution allowed to voluntarily correct
– could lose federal funding - to date, this has never occurred
• www.ed.gov/offices/OM/fpco.htlm
• FERPA@ed.gov for Education Officials only
FERPA: a regulation
FERPA’s regulations are governed under the
Department of Education (FPCO) because:
Universities receive ________ ________ from
the Department of Education.
FERPA: a regulation
FERPA’s regulations are governed under the
Department of Education (FPCO) because:
Universities receive federal funding from the
Department of Education.
FERPA
FERPA was written specifically to guarantee students
four primary rights:
The right to:
• _________ their education records.
• _________ their education records.
• _________ over the disclosure of their education records.
• _________ for an alleged violation of their FERPA rights.
.
FERPA
FERPA was written specifically to guarantee
students three primary rights:
The right to:
1. inspect their education records.
2. ______ their education records.
3. ______ the disclosure of their education records.
4. __________ for an alleged violation of their FERPA rights.
FERPA
FERPA was written specifically to guarantee
students three primary rights:
The right to:
1. inspect their education records.
2. amend their education records.
3. ______the disclosure of their education records.
4. __________ for an alleged violation of their FERPA rights.
FERPA
FERPA was written specifically to guarantee
students three primary rights:
The right to:
1. inspect their education records.
2. amend their education records.
3. control the disclosure of their education records.
4. __________ for an alleged violation of their FERPA rights.
FERPA
FERPA was written specifically to guarantee
students three primary rights:
The right to:
1. inspect their education records.
2. amend their education records.
3. control the disclosure of their education records.
4. file a complaint for an alleged violation of their FERPA
rights.
Note: rights are transferred from parents to students at 18 years of age or if
student is enrolled in a postsecondary institution. Parents may retain
rights if student is still their dependant under the federal tax code.
FERPA
Policy Changing Case
MIT, relatives settle suit over student
suicide
Elizabeth Shin had been treated for medical problems and suicide
threats at MIT before she set herself on fire in her dorm room
in 2000.
By Marcella Bombardieri, Globe Staff | September 2, 2006
Law allows disclosure of personal information when risk of
safety is evident. This case and the VT case highlight
the need for more relaxed privacy policies when
addressing students with serious behavioral needs.
FERPA (Family Rights and Privacy Act) has been relaxed
in this regard.
Elizabeth Shin had been treated for medical
problems and suicide threats at MIT before
she set herself a fire in her dorm room in
2000.
Note: health and safety threat – must be significant and disclosed
to appropriate individuals
FERPA
Institutions must advise students of their
FERPA rights at least __________.
FERPA
Institutions must advise students of their FERPA
rights at least annually.
What we do:
• FERPA is first addressed with students at “New Student
Orientation”.
• All students sign a statement that they are responsible for the
contents of the Student Handbook.
• Annual notification of their FERPA rights is made available to
students via email that their FERPA rights can be viewed in the
online Student Handbook.
FERPA
Definitions
1.
2.
3.
4.
5.
6.
Student
In attendance
Applicant and Application Records
Education Records
Education Official
Directory Information
FERPA
Definitions - Student
A student is any individual who:
1. is, or has been ___ _________,
2. has a “________ ________”
3. and for whom MWU ___________
educational records.
FERPA
Definitions - Student
A student is any individual who:
1. is, or has been in attendance,
2. has a “_________ _________”
3. and for whom MWU _______educational records.
in attendance (registered and enrolled)
FERPA
Definitions - Student
A student is any individual who:
1. is, or has been in attendance,
2. has a “student status”
3. and for whom MWU ______ educational records.
in attendance (registered and enrolled)
student status (may not be enrolled, but on a LOA)
FERPA
Definitions - Student
A student is any individual who:
1. is, or has been in attendance*,
2. has a “student status” **
3. and for whom MWU maintains educational
records
*in attendance (registered and enrolled)
**student status (may not be enrolled, but was
– on an LOA)
FERPA
Definitions – Applicant
An applicant is not defined as a “student” under FERPA and
is not protected under FERPA.
An applicant may be accepted, but does not yet attend and
is not participating in the educational program.
However, when does student status begin?
Deposited?
New Student Orientation?
First day of classes?
Note: FERPA does not comprehensively define, but does stress
“participation in the educational programs” or “enrolled” as a key,
which is what we use at MWU.
FERPA
Definitions – Application Records
Application records include:
•
Transcripts
•
Letters of recommendation
•
Personal statements
Some Applicant records should be destroyed after matriculation
otherwise,
they will become education records and subject to FERPA.
Note: school must make reasonable effort to notify the student that disclosure
of education records will be made to an institution, e.g., residency
Best to have student sign a release when writing letters of
recommendation
FERPA
Definitions – Education record
An education record is:
____ _______ that
_________ a student, and that is
_________ by the educational institution (or by
an educational affiliate).
FERPA
Definitions – Education record
An education record is:
any record that
_________ _______ a student, and that is
_________ by the educational institution (or by
an educational affiliate).
FERPA
Definitions – Education record
An education record is:
any record that
personally identifies a student, and that is
________ by the educational institution (or by an
educational affiliate).
FERPA
Definitions – Education record
An education record is:
any record that
personally identifies a student, and that is
maintained by the educational institution (or by
an educational affiliate).
FERPA
99.3 Records means any information
recorded in any way, including, but not
limited to, handwriting, print, computer
media, video or audio tape, film, microfilm,
and microfiche.
However:
There are records that are maintained by a
faculty member or an educational institution
that qualify as exceptions under FERPA.
FERPA
Exceptions to Education Records
1. Sole Possession Records
Education records are records that are, by their
nature, shared or have the potential to be
shared with at least one education official.
Note:
1) note to self about a student is not an education record
2) personal opinions are not thought of as education records
FERPA
Definitions – Education Official
An education official is a person:
•
•
•
with a legitimate educational interest in having access to
student educational records;
employed by, or under contract to, the institution in an
administrative, supervisory, academic, research, or other
support staff position or in a position performing a special
task, such as an attorney, an auditor, a preceptor or even
a student;
serving on an institutional governing board
FERPA
Exceptions to Education Records continued
1. Sole Possession Records
2. Law Enforcement Records
Law enforcement records are created and maintained
by a law enforcement/security agency for the
purposes of law enforcement/security
unless
those records are shared with educational officials.
FERPA
Exceptions to Education Records continued
1. Sole Possession Records
2. Law Enforcement Records
3. Employment Records
Employment records are only educational records if
employment is conditional upon the person being
a student. Example: A TA must be a student so
the TA’s employment records are also education
records.
FERPA
Exceptions to Education Records continued
1.
2.
3.
4.
Sole Possession Records
Law Enforcement Records
Employment Records
Medical Records
Medical records can be education records if they are
used to justify or support a student’s actions or
needs. Examples: Documentation for testing
accommodations or for clinical rotation needs
FERPA
Exceptions to Education Records continued
1.
2.
3.
4.
5.
Sole Possession Records
Law Enforcement Records
Employment Records
Medical Records
Alumni Records
Alumni records are not education records because the alum
is not a “student”. The alum’s student records are still
considered their education records though.
FERPA
Definitions – Directory Information
Directory information is information in an
educational record not generally considered
__________ or an invasion of the student’s
__________ if disclosed, so it can be released
without a student’s written consent – with a
couple of stipulations.
FERPA
Definitions – Directory Information
Directory information is information in an
educational record not generally considered
harmful or an invasion of the student’s
_______ if disclosed, so it can be released
without a student’s written consent – with a
couple of stipulations.
FERPA
Definitions – Directory Information
Directory information is information in an
educational record not generally considered
harmful or an invasion of the student’s
privacy if disclosed, so it can be released
without a student’s written consent – with a
couple of stipulations.
Note:
Institutions must identify Directory Information and allow students the
right to restrict the disclosure of their Directory Information, which it
does in Appendix 3 of the Student Handbook.
MWU policy is: “Do not disclose Directory Information unless
required to do so legally” - always check with Registrar or my office.
FERPA
Definitions – Directory Information
FERPA identifies information that may be included and
that must not be included in directory information
based upon it being public or private and whether it
may be a danger to the student being described or
identified by the information.
FERPA also leaves it to the discretion of an institution to
release directory information or not to release
directory information – MWU does not release, with
exception that the Registrar may identify that
someone is a student and is in a particular
program, unless for health or safety jssues.
FERPA
Directory Information
May include:
Must not include
Name
Student ID Number
Address
Social Security Number
Telephone number
Race
Email address
Ethnicity
Major field of study
Nationality
Dates of attendance
Gender
Enrollment status
Degrees and awards received
Date and place of birth
Most recent previous school attended
Photographs
FERPA
Prior Written Consent
“When in doubt, think prior written consent.”
Leroy Rooker, former director of the
Family Policy Compliance Office
Which is MWU policy
FERPA
Student Handbook – Appendix 3: Guidelines
for Access to and Disclosure of Educational
Records Maintained by Midwestern University
A. Definitions
B. Inspection and Review of Records
C. Amendment of Education Records
D. Disclosure of Personally Identifiable Information from
Education Records
E. Annual Notification of Rights
FERPA
Examples of signed releases that SFS uses
• Code of Responsibility for Student Employees
FERPA
Q. Does HIPAA change or modify any of FERPA’s
provisions regarding disclosure of Medical Records or
Educational Records?
A. No – HIPAA’s privacy rule expressly states it does not
affect or change FERPA. FERPA is the protector of the
privacy of information entered into a student’s record,
including health-related information – as long as it
pertains to educational records.
FERPA
Q. What are some of the conditions or agencies whereby
education records could be disclosed without a student’s
consent?
A.
• School officials with a legitimate educational interest
• Specified officials for audit or evaluation
• Appropriate individuals/parties in connection with financial
aid to a student
• Accrediting organizations
• To comply with judicial order or lawfully issued subpoenas
• Appropriate officials/individuals in cases of health and
safety emergencies, e.g., suicide, alcohol/substance
abuse in minors, acts of violence
FERPA
Some things we should not do:
• Post a list of student grades by name, SSN or Student ID#
• Leave graded tests/papers in a stack for students to sort through
and pick up
• Discuss a student’s education records with others (education
officials or not) where you might be overheard
• Release student information by phone or email without first
verifying the identity of the recipient and having the student’s
permission to do so if necessary
• Dispose of old student records in the normal trash
FERPA
Other examples of possible FERPA violations and
Accreditation violations
• Not keeping student files locked and secured or in public view
• Keeping “Unofficial Files” to circumvent FERPA
• Having a process for addressing and resolving student
grievances/complaints
• Failing to list accrediting agency’s contact information for
students in case of grievances/complaints
• Providing a copy of all such grievances/complaints to the
President’s office
FERPA
Questions
1. Under FERPA, when college students turn 18, the privacy
rights in their education records – previously held by their
parents – revert exclusively to them.
FERPA
Question
1. Under FERPA, when college students turn 18, the privacy
rights in their education records – previously held by their
parents – revert exclusively to them.
Answer
False – any age if in a postsecondary school
- does not provide students exclusive rights
- health and safety
- violent crimes/sexual offender
FERPA
Questions
2. Under FERPA, parents who claim a college student as a
dependent for U.S. federal income tax purposes cannot be
denied access to the student’s education records.
FERPA
Questions
2. Under FERPA, parents who claim a college student as a
dependent for U.S. federal income tax purposes cannot be
denied access to the student’s education records.
Answer
False – key word is “may” disclose to parents
- FERPA permits the release, does not mandate it
FERPA
Questions
3. Professors and administrators may have access to student
records for any reasonable purpose, if they maintain a full
and complete record of such access.
FERPA
Questions
3. Professors and administrators may have access to student
records for any reasonable purpose, if they maintain a full
and complete record of such access.
Answer
False – education officials must have a legitimate educational
interest. A faculty advisor could have lawful
access to an advisee’s education record for the
purpose of providing appropriate academic
advising. A preceptor may not.
FERPA
Questions
4. FERPA precludes college officials from discussing any
personal knowledge or observations about a student with
prospective employers or other third parties, without the
student’s written consent.
FERPA
Questions
4. FERPA precludes college officials from discussing any
personal knowledge or observations about a student with
prospective employers or other third parties, without the
student’s written consent.
Answer
False – Personal knowledge or observation would not be
considered an educational record and would not
be protected under FERPA.
FERPA
Questions
5. FERPA is interpreted to keep private those aspects of a
college student’s educational life that relate to academic
matters, not to non-academic disciplinary violations.
FERPA
Questions
5. FERPA is interpreted to keep private those aspects of a
college student’s educational life that relate to academic
matters, not to non-academic disciplinary violations.
Answer
False – disclosure of disciplinary records are protected by
FERPA, unless they relate to crimes of violence, sexual
offense, or violations of any law concerning the use of
controlled substances or possession of alcohol if the student
is under 21.
FERPA
Questions
6. Group grading of student assignments by other students is
precluded by FERPA.
FERPA
Questions
6. Group grading of student assignments by other students is
precluded by FERPA.
Answer
False – grades apparently need to be collected and recorded
for them to be viewed as education records.
FERPA
Questions
7. FERPA emergency disclosure provisions referring to a
“significant threat” include a student’s threat to self or
others.
FERPA
Questions
7. FERPA emergency disclosure provisions referring to a
“significant threat” include a student’s threat to self or
others.
Answer
True – Health and Safety Emergency exception
FERPA
Questions ?