Northern Illinois University
Family Educational Rights and Privacy Act (FERPA) Training
IACRAO 2014 Annual Meeting
Alsip, Illinois
Jerry Montag
Director/Registrar
Office of Registration and Records
Greg Brady
Deputy General Counsel for Governance and Administration
Office of General Counsel
What to expect with this
training…
• Developing a greater
understanding of FERPA
within the day-to-day
operations of your office
• Understanding more
about the do’s and don’ts
of FERPA
• Being more cognizant of
using the “notes” feature
within MAP-Works
• Taking a quiz
• Enjoying listening to a
New Yourker from Dah
Bronx and an avid rooter
for the New York Yankees
• Having someone to
contact if FERPA help is
needed – me!!
• Not becoming
overwhelmed or
intimidated with FERPA
regulations
Throughout this presentation
please….
• Ask us questions as we
• Don’t get paranoid and
go through the
schizophrenic with
overview of FERPA and
FERPA
how it is directly related • Enter the appropriate
to MAP-Works
data into MAP –Works
• Ask us “questions I
as you deem necessary
always had about FERPA
and appropriate
but were afraid or
• Ask Greg or Jerry for
intimidated to ask”
help
Brief History of FERPA
• Introduced to Congress by Senator James
Buckley of New York. Co-sponsored by Senator
Claiborne Pell.
• Enacted in 1974 as a response to blatant
disregard for student privacy.
• Now the predominant legal consideration in
dealing with student records.
Life before FERPA
• Post cards were used to notify students of
their final grades or to notify students of
academic probation or dismissal
• Results of tests were handed out by students
or were announced by professor
• Everybody had access to review a student’s
record
How FERPA has changed our lives
• Students can view their files that may be stored in any
shadow student information system
• Files include paper or electronic records
• Impacts length of time we must keep the files
• Universities must place a “confidentiality” notation onto a
student’s record if the student requests information about
them is not to disclosed or released.
• Exceptions to view files may be done via Subpoena, explicit
exemption by university or government officials.
6
Do you know what to do when these people
come to your office??
Remember FERPA!!
Why should I care about FERPA ?
• As a staff member, you have a legal
responsibility under FERPA to protect the
confidentiality of student education records in
your possession.
• You need to be aware of how/when/if you
release information about a student
• You need to understand the subpoena process
• You need to be cognizant when the general
public (reporters, surveys, businesses, family
members) are asking about the student
Test Your Knowledge….
When does FERPA begin –
hmmmmmm????
When does FERPA begin??
• ““Institutions should have a definition of what is
considered “enrolled”/ “in attendance” since that
determines when a student’s FERPA rights begin.
Unless defined otherwise, FERPA rights begin on the
day the student begins attending class.””
• At NIU, FERPA begins when a new student
enrolls/registers for classes.
– Look in MyNIU to see if a student is registered.
How do you know you are speaking with the particular student on the phone or
when the parent calls and indicates he/she has this authorization for release of
information??
• If a student, verify the person on the phone is the
student. Ask key questions that only the student can
answer – e.g. name of advisor, courses registered in
from a previous semester, grade, ACT score, GPA, etc.
• When in doubt, do not attempt to answer the question
and forward the person’s name and phone number to
Registration and Records for follow-up.
When does FERPA end??
• Once a student places a FERPA “confidentiality” flag on their
record, the “flag” stays permanently unless the student
electronically removes it at a later date.
• FERPA continues after a student graduates, withdraws or
stops attending NIU. The “flag” remains on the student’s
record indefinitely.
• FERPA ends if/when a student passes away. However,
universities may have other internal polices and processes
that protects the rights and confidentiality/release of this
information on these students.
What is directory information??
• Institutions may define what they consider directory information and they
may choose not to define any information as directory information.
• NIU defines directory information to include:
– student's name, address, telephone listing, e-mail address and photographic or
electronic picture or image, date and place of birth, major field of study, classification,
participation in officially recognized activities and sports, weight and height of members
of athletic teams, dates of attendance and full- or part-time status, degrees and awards
received, and the most recent previous educational agency or institution attended by
the student.
• This information is available on the “people search directory.”
• Students at NIU may request that their directory information be kept
confidential.
What is an Education Record?
• An education record is any record that is directly related to
a student and that is kept by the University or someone
acting on behalf of the University.
– The medium in which the information is stored does not matter.
• MAP-Works notes are considered a part of the education
record. It can be shared with other university officials who
have a legitimate interest in the records. You are
responsible to write notes that are specific in nature but
never discerning or derogatory about a student
• It can be reviewed by a student at any time.
Examples of Education
Records
• Personal information e.g.
name, address, Social
Security Number, University
ID number, gender, race,
citizenship, etc.
• Enrollment records
including class schedules
• Academic records such as
exams, course papers,
grades, GPA, transcripts,
etc.
• MAP-Works notes and
referrals
• Disciplinary records
• Financial records such as
financial aid awards and
accounts receivable
• Employment records of
students who are
employed as a result of
their student status.
Test Your Knowledge….
• An adviser does not have to allow a student to
inspect and review his/her personal notes
about the student that are held in a file in the
adviser’s office desk?
True or False
17
Examples of non Education Records
• Personal notes kept in the possession of the
maker
• Campus law enforcement unit records
• Employee records other than records of those
who are employed as a result of their student
status
• Doctor-patient privilege records (“Treatment
Records”)
Test Your Knowledge….
• Faculty members have the
right to inspect and review
the education records of
any student?
True or False
• A student’s Mom calls
to see if her son is doing
O.K. because he hasn’t
called home in a few
days. It’s O.K. to update
her on her son’s
progress or discuss
some of your MAPWorks notes?
True or False
Test Your Knowledge….
• If you are handed a
subpoena requesting
student records you
must comply
immediately?
True or False
• Sally Student has just
been found in violation
of the university’s
residence hall alcohol
policies. Her hall
director could contact
her parents about this
without her
permission?
True or False
Can student educational records ever be released without
student’s consent?
FERPA allows disclosure of student education records without student
consent in certain cases including but not limited to the following:
• Other NIU employees who have a legitimate educational interest. First ask
yourself - do I need access to this student’s record in order to do my job?
• Parents of dependent students as defined by the IRS.
• Appropriate persons necessary in an emergency to protect a person’s
health or safety e.g. housing, medical, etc.
• Federal, state and local governmental officials for purposes authorized by
law.
• Individuals who have lawfully obtained court orders or subpoenas. (check
with the General Counsel’s office when you receive a subpoena or search
warrant before giving out information)
Parents have rights???
• FERPA permits parental access to a student’s
education records if the student signs a
written consent, or if the parent provides
documentation showing that the student is
claimed as a dependent for federal income tax
purposes from the most recent prior year.
FERPA Rules to live by:
DO NOT
• Access the records of any student
for personal reasons.
• Discuss the progress of any
student with anyone other than
the student (including parents)
without the student’s consent.
• Make public postings of grades or
any other information, including
but not limited to Social Security
Numbers or University ID
numbers.
• Provide anyone with student
schedules or lists of students
enrolled in classes for any
purpose.
• Include confidential information
in a recommendation letter
without the written consent of
the student.
• Leave graded tests or papers in a
stack for students to pick up by
sorting through them.
FERPA rules to live by
DO
• Protect student records. Securely store confidential
information and do not leave confidential information
displayed or accessibly on an unattended computer.
• Shred or properly dispose of all student records that no longer
need to be retained. (see record retention policy and follow State Records Act)
• Contact the Offices of Registration and Records or General
Counsel if you have any questions about the release of
student records.
FERPA and MAP-Works
• Stay focused on your job
– Just like MyNIU, if you are not working with a student, you
should not be looking at their personal information
– If you identify a student who might need your services
through aggregate data, outstanding! Reach out to them!
• Be aware of FERPA Restrictions
– You can see FERPA restrictions (Institution Profile Items)
– Make sure you are not sharing information with others
outside of the need in their professional roles
FERPA and MAP-Works
• Bad Note
– Mike is not going to be successful at NIU unless he changes his
attitude. He is lazy, does not listen, has major issues with partying. His
mom also makes him come home all the time to watch his little
brother so he is never in class.
• “Semi” Good Note
– Mike is having some problems with absences. Mike has some personal
issues that have contributed to his attendance. We discussed time
management strategies and did some goal setting. A referral was also
made to Health Enhancement as well as the Counseling and Student
Development Center.
Questions? Comments?