FERPA Family Educational Rights and Privacy Act

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FERPAFamily 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
  professionals Guide go Compliance., by Clifford
  A. Ramirez, John Wiley and Sons, Inc., 2009.
• From The Registrars 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.

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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 Educations
• 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_at_ed.gov for Education Officials only

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FERPA a regulation

• FERPAs regulations are governed under the
  Department of Education (FPCO) because
• Universities receive ________ ________ from the
  Department of Education.

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FERPA a regulation

• FERPAs regulations are governed under the
  Department of Education (FPCO) because
• Universities receive federal funding from the
  Department of Education.

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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.
• .

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FERPA

• FERPA was written specifically to guarantee
  students three primary rights
• The right to
• inspect their education records.
• ______ their education records.
• ______ the disclosure of their education records.
• __________ for an alleged violation of their
  FERPA rights.

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FERPA

• FERPA was written specifically to guarantee
  students three primary rights
• The right to
• inspect their education records.
• amend their education records.
• ______the disclosure of their education records.
• __________ for an alleged violation of their
  FERPA rights.

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FERPA

• FERPA was written specifically to guarantee
  students three primary rights
• The right to
• inspect their education records.
• amend their education records.
• control the disclosure of their education
  records.
• __________ for an alleged violation of their
  FERPA rights.

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FERPA

• FERPA was written specifically to guarantee
  students three primary rights
• The right to
• inspect their education records.
• amend their education records.
• control the disclosure of their education
  records.
• 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.
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FERPA
                                                                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.
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.

Note health and safety threat must be
significant and disclosed to appropriate
individuals
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FERPA

• Institutions must advise students of their FERPA
  rights at least __________.

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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.

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FERPA

• Definitions
• Student
• In attendance
• Applicant and Application Records
• Education Records
• Education Official
• Directory Information

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FERPA

• Definitions - Student
• A student is any individual who
• is, or has been ___ _________,
• has a ________ ________
• and for whom MWU ___________ educational records.

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FERPA

• Definitions - Student
• A student is any individual who
• is, or has been in attendance,
• has a _________ _________
• and for whom MWU _______educational records.
• in attendance (registered and enrolled)

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FERPA

• Definitions - Student
• A student is any individual who
• is, or has been in attendance,
• has a student status
• and for whom MWU ______ educational records.
• in attendance (registered and enrolled)
• student status (may not be enrolled, but on a LOA)

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FERPA

• Definitions - Student
• A student is any individual who
• is, or has been in attendance,
• has a student status
• and for whom MWU maintains educational records
• in attendance (registered and enrolled)
• student status (may not be enrolled, but was
  on an LOA)

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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.
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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

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FERPA

• Definitions Education record
• An education record is
• ____ _______ that
• _________ a student, and that is
• _________ by the educational institution (or by
  an educational affiliate).

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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).

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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).

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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).

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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.

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FERPA

• Exceptions to Education Records
• 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

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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

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FERPA

• Exceptions to Education Records continued
• Sole Possession Records
• 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.

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FERPA

• Exceptions to Education Records continued
• Sole Possession Records
• Law Enforcement Records
• 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 TAs employment records are also education
  records.

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FERPA

• Exceptions to Education Records continued
• 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 students
  actions or needs. Examples Documentation for
  testing accommodations or for clinical rotation
  needs

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FERPA

• Exceptions to Education Records continued
• 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 alums student
  records are still considered their education
  records though.

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FERPA

• Definitions Directory Information
• Directory information is information in an
  educational record not generally considered
  __________ or an invasion of the students
  __________ if disclosed, so it can be released
  without a students written consent with a
  couple of stipulations.

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FERPA

• Definitions Directory Information
• Directory information is information in an
  educational record not generally considered
  harmful or an invasion of the students _______
  if disclosed, so it can be released without a
  students written consent with a couple of
  stipulations.

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FERPA

• Definitions Directory Information
• Directory information is information in an
  educational record not generally considered
  harmful or an invasion of the students privacy
  if disclosed, so it can be released without a
  students 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.
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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.

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FERPA
Directory Information
May include Name Address Telephone number Email
address Major field of study Dates of
attendance Enrollment status Degrees and awards
received Date and place of birth Most recent
previous school attended Photographs
Must not include Student ID Number Social
Security Number Race Ethnicity Nationality Gender
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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
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FERPA

• Student Handbook Appendix 3 Guidelines for
  Access to and Disclosure of Educational Records
  Maintained by Midwestern University
• Definitions
• Inspection and Review of Records
• Amendment of Education Records
• Disclosure of Personally Identifiable Information
  from Education Records
• Annual Notification of Rights

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FERPA

• Examples of signed releases that SFS uses
• Code of Responsibility for Student Employees

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FERPA
Q. Does HIPAA change or modify any of FERPAs
provisions regarding disclosure of Medical
Records or Educational Records? A. No HIPAAs
privacy rule expressly states it does not affect
or change FERPA. FERPA is the protector of the
privacy of information entered into a students
record, including health-related information as
long as it pertains to educational records.
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FERPA
Q. What are some of the conditions or agencies
whereby education records could be disclosed
without a students 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

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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 students 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 students permission to
  do so if necessary
• Dispose of old student records in the normal
  trash

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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 agencys contact
  information for students in case of
  grievances/complaints
• Providing a copy of all such grievances/complaints
  to the Presidents office

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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.
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FERPA

• Question
• 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

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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 students education records.
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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 students education records. Answer False
key word is may disclose to parents - FERPA
permits the release, does not mandate it
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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.
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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 advisees education
record for the purpose of providing appropriate
academic advising. A preceptor may not.
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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
students written consent.
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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
students written consent. Answer False
Personal knowledge or observation would not be
considered an educational record and would not
be protected under FERPA.
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FERPA
Questions 5. FERPA is interpreted to keep private
those aspects of a college students educational
life that relate to academic matters, not to
non-academic disciplinary violations.
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FERPA
Questions 5. FERPA is interpreted to keep private
those aspects of a college students 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.
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FERPA
Questions 6. Group grading of student assignments
by other students is precluded by FERPA.
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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.
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FERPA
Questions 7. FERPA emergency disclosure
provisions referring to a significant threat
include a students threat to self or others.
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FERPA
Questions 7. FERPA emergency disclosure
provisions referring to a significant threat
include a students threat to self or others.
Answer True Health and Safety Emergency
exception
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FERPA
Questions ?