FERPA
“A Private Conversation”
• 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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Case Study: Telling It Like It Is
“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 stood
steadfast by her sweetheart (although secretly impatient to
devour the sushi they had acquired).
“Yes I did” responded the professor.
FERPA Violation?
“And furthermore, you are now on academic probation.
Try harder next time” the professor added, as he paid for
his Cafe Americano, and filed out with the crowd.
Violation? (True statement, the student was on probation)
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Case Study: Get The Money!!
The young lady approaches the One Stop Shop counter and provided a
letter to the very accommodating and friendly service specialist. The
letter stated (after a lengthy warm deluge of sweet nothings which made
the attendant blush) “My dear, take the following request to Blue Lakes
Eastern Alaska Community College –BLEACC-- 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.
Optional Response A: “No problem. Glad to help. He owes $_______.
Small bills? We take anything.”
Optional Response B: “We cannot release that information without a
signed consent mailed or faxed directly to us. Our fax number is
_____. And why didn’t the bum take you with him?”
Which is ok?
And if there was no letter???
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Case Study: Give Them What They Want!
Your boss hands you a letter sent from IOU’s main feeder
school, BLEACC, 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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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’?
Might you have any job openings by chance? I’m feeling the
need to relocate.”
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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 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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99.3 Key Definitions, Including
• Attendance
• Directory Information
• Educational Record
• Personally identifiable information
• Student
• (Note: School Official is not described in 99.3)
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Key Definition: Student (postsecondary)
• “In Attendance”: institutionally defined
– applicants, admits, or matriculated (actually attending as
of the first day of class)
• Regarding whom records are maintained
• Credit and non-credit, degree or non-degree seeking,
international or domestic; 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.
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So What Is Your Institutional
Definition of “Student”?
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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/legitimate
educational interest in order to provide services or carry
out responsibilities
• Are equally responsible for following FERPA
regulations, re-disclosure requirements
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Have You Seen Your Definition
of School Official Lately?
Are You Included?
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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
student in 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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So Have You Read Your Annual
Notification Lately? Ever Seen It?
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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 D: Disclosure
• 99.30 Prior Consent Required
• 99.31 Prior Consent Not Required
• 99.32+ Recordkeeping, re-disclosure, 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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99.31: Key Exceptions (there are
others, but these are most common)
• School Officials
• Parents of dependent students
• Financial Aid
• Judicial order/Subpoenas/Patriot Act
• Health & Safety
• Disciplinary
–
–
–
–
victim
results
parents (under 21 students, alcohol & drug)
sex offender
• Directory
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So What’s Your Policy re: Release To
Parents of Dependent Students
Without A Signature?
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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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So In Ten Seconds Or Less Tell The
Person Next To You Whether Or Not
You Have Directory Information
And If So What It Includes.
Time Is Up
(And How Would You Know If
There Was A Directory Hold?)
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Best Practices I: When Assessing a
Situation, 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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Best Practices II: Checklist &
Reminders for All 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 III: Checklist &
Reminders, 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 nondirectory 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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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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Closing , , ,
• Have Yourself an Office Audit
• Follow-up Meeting(s) re: procedures
• Remember: “It is the right thing to do”
• Web Site:
http://www.chapman.edu/registrar/Privacyindex.html
• snodgras@chapman.edu
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