Transcript FERPA Training Workshop

Understanding and
Complying with FERPA
A Comprehensive Guide for Faculty & Staff:
The Institute of World Politics
Issued by the Office of the Registrar
Last updated May 15, 2013
What is FERPA?


It stands for the Family Educational Rights an
The Family Educational Rights Act of 1974, as
amended, sets forth requirements regarding
the privacy of student records. It is also
known as the Buckley Amendment.
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.”
FERPA applies to any educational agency or
institution that receives funds under a program
administered by the U.S. Department of Education.
IWP receives these funds in the form of federal
financial aid disbursed to students.
Why Comply with FERPA?

It’s the Law.

Failure to comply could result in the
withholding of Federal Funds, including
Student Financial Aid.

Lawsuits caused by violations cost time
and $$$.
Family Educational Rights and
Privacy Act of 1974


This act is enforced by the Family Policy Compliance
Office, U.S. Department of Education, Washington,
DC.
The Family Policy Compliance Office is the office
within the Department of Education that administers
FERPA and is responsible for providing technical
assistance regarding FERPA to educational
institutions.
FERPA is applicable to both K-12 and higher
education. The Family Compliance Office is
responsible for both levels of education.
The primary difference between the two level is that at the K-12
level the rights belong to the parents. Once a person attends
an institution of higher education, the rights transfer from the
parents to the student regardless of the age of the student.
Key Terms





Student
Education Record
School Officials
Personally Identifiable
Directory Information
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 their
written permission, unless such action is
covered by certain exceptions permitted by the
Act.
Who is and is not covered under
FERPA?



Students who are or have been in
attendance at a postsecondary institution
are covered under FERPA.
FERPA protects the education records of
any student who ever enrolled (began a
course) at IWP.
Applicants who are denied admission or
who never attend are not covered under
FERPA.
Check your Understanding
Whose record is confidential and protected by FERPA?
a)
b)
c)
d)
e)
A current IWP student
An alum who got an IWP degree 10 years ago
A community member who took a non-credit course
at IWP a couple of years ago just for fun
A prospective student who applied to a degree
program but has never taken classes at IWP
Santa Clause
Check your Understanding
Whose record is confidential and protected by FERPA?
a)
A current IWP student
b)
An alum who got an IWP degree 10 years ago
c)
A community member who took a non-credit course at IWP a
couple of years ago just for fun
d)
A prospective student who applied to a degree program but has
never taken classes at IWP
e)
Santa Clause
Answers (a), (b), and (c) are correct. FERPA applies to anyone who has
ever taken at class at IWP, even if it was a long time ago or audited a class
and did not received credit. Answers (d) and (e) are incorrect because the
applicant and Santa have never taken a class at IWP.
When do FERPA rights begin and end
for a student?

Rights begin when the student is “in attendance” as
defined by the institution.

For IWP this means a student is officially registered
for at least one class and that class has started.

FERPA rights continue after the student leaves the
institution and are only terminated upon death of the
student.
Student (and former student) Rights
under FERPA

To inspect their education
records.

To request an amendment to
their record and a hearing if
the request is for amendment
is unsatisfactory.
Student (and former student) Rights
under FERPA (Cont.)



To file a complaint with The U.S. Dept. of
Education if they feel their rights are being
violated.
To expect that their education records are kept
confidential except where special provisions
are made.
To suppress the disclosure of directory
information.
What are Education Records?

All records that directly relate to a student and
are maintained by an institution.

These records can be in any media form:
handwritten, print, type, film, electronic,
microfiche, etc.
What information might need to be
handled in a secure way?
Any personally identifiable piece of information,other
than strictly directory information. Items such as
those listed below fall into this category.
 Registration forms
 Transcripts
 Student information displayed on a computer screen
 Grades
 Student schedules
 Class assignments
 Class Rosters
 Any paper with the student’s SSN on it.
What are not considered to be
Education Records:

Personal Notes – kept by a faculty/staff member if kept
in the sole possession of the one who made the record
(sole possession record).
- Personal Notes taken in conjunction with any other
person are not sole possession notes.
- Sharing personal notes with another person or
placing them in an area where they can be viewed by
others makes them “educational records”.
What are not considered to be
Education Records:




Law Enforcement Unit Records – maintained solely for
law enforcement purposes & revealed only to law
enforcement agencies. IWP does not have a campus
police unit, so this does not apply to the Institute.
Employment Records – of those whose employment is
not contingent upon being a student.
– Records created as a result of being a student
(work study, graduate assistant, etc.) are
education records.
Medical Records - created by a health care
professional used only for the medical/health
treatment of the student. IWP does not have a student
health office, so this does not apply to the Institute.
Alumni Records - created after student has left the
institution.
Check your Understanding
Which of the following is an education record?
a)
b)
c)
d)
e)
f)
Email about a student sent from and advisor to financial aid
A student’s scheduled displayed on a computer monitor
A class list showing student names and addresses
A student’s grades
The Schedule of Courses that is posted on the IWP website each term
A student’s phone number, which he has written down and handed to a
classmate
Check your Understanding
Which of the following is an education record?
Email about a student sent from and advisor to financial aid
b)
A student’s scheduled displayed on a computer monitor
c)
A class list showing student names and addresses
d)
A student’s grades
e)
The Schedule of Courses that is posted on the IWP website each term
f)
A student’s phone number, which he has written down and handed to a
classmate
Answers (a), (b), (c), and (d) are correct. These are records directly related
to students and maintained by the Institute. Answer (e) is incorrect because
the Schedule of Courses does not contain information about specific
students. Answer (f) is incorrect because the record was neither created or
maintained by the Institute.
a)
Check your Understanding
Which of the following is a sole possession record?
a)
b)
c)
d)
e)
A sticky note with a student’s name, phone number, and a concern they
asked you about, placed by your phone in your private office.
A sticky note with a student’s name, phone, number, and a concern they
asked you about, placed in an advising file that is accessible to several
people
An email from an instructor to the faculty chair about a student
Notes about comments made by specific students during a class
discussion, stored on an instructor’s personal laptop
A grade improvement “action plan”, co-created by an instructor and a
student
Check your Understanding
Which of the following is a sole possession record?
A sticky note with a student’s name, phone number, and a concern they
asked you about, placed by your phone in your private office.
b)
A sticky note with a student’s name, phone, number, and a concern they
asked you about, placed in an advising file that is accessible to several
people
c)
An email from an instructor to the faculty chair about a student
d)
Notes about comments made by specific students during a class
discussion, stored on an instructor’s personal laptop
e)
A grade improvement “action plan”, co-created by an instructor and a
student
Answers (a) and (d) are correct, assuming these records will not be shared with
anyone else. Answers (b) and (c) are incorrect because the notes can be read
by more than one person. Answer (e) is incorrect because the record was
created in cooperation with another person.
a)
What information can be
released?




Directory Information.
Information that the student has given
written consent to release.
Information needed by IWP officials who
have a “legitimate educational interest”.
Information needed by certain
government agencies.
What is “directory information”?
o
It is information that can be released
without the student’s written consent.
o
Each college/university, to some extent,
can determine what information is
classified as directory information.
Directory Information at IWP includes:





Name
IWP E-mail Address
Enrollment status (full-time, part-time, or
less than part-time)
Dates of attendance
Degrees and certificates received including
date awarded
More About Directory Information:
“May” not “Must”



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You may release directory information, but FERPA does not
require institutions to disclose information from the education
record to any party except the student.
IWP reserves the right to refuse to release directory information
to any person or entity, other than the student, at any time.
IWP does NOT release lists of directory information to any
person or agency making unsolicited requests.
Any school official who has concerns about a release for
directory information should decline to provide the information
and consult with the Registrar’s Office.
Check your Understanding
You get a phone call from a woman asking for a student’s address and phone
number. When you explain that you cannot give out that information, she says,
“Well, give me whatever information you can.” You should:
a)
b)
c)
d)
Give her all of the (non-restricted) directory information you have about
the student.
Ask her what specific information she needs and why.
Refer her to the Registrar’s Office.
Tell her that we reserve the right to refuse to give information to anyone
and hang up.
Check your Understanding
You get a phone call from a woman asking for a student’s address and phone
number. When you explain that you cannot give out that information, she says,
“Well, give me whatever information you can.” You should:
a)
b)
c)
d)
Give her all of the (non-restricted) directory information you have about
the student.
Ask her what specific information she needs and why.
Refer her to the Registrar’s Office.
Tell her that we reserve the right to refuse to give information to anyone
and hang up.
Answer (c) is correct. We may release directory information but we are never
required to. If a request sets off your “spidey sense”, refer the caller to the
Registrar’s Office.
Student’s Right to Privacy



Students have the right under the law of FERPA to
request that their directory information not be released.
To do so, students need to submit a request in writing
to withhold disclosure of directory information
Non-disclosure will remain applicable until the student
submits a written request specifying otherwise
Who can access Student Information
without obtaining written consent?

IWP faculty, staff, and other designated officials, who, to
carry out their responsibilities, have a legitimate
educational interest.
A Designated University official is a person
employed by the Institute in an administrative,
supervisory, academic, research, or support staff
position. Also considered IWP officials are
persons or companies with whom the Institute has
contracted (such as an attorney, auditor, or
collection agent), temporary employees, student
workers, and graduate assistants employed by the
university.
Legitimate educational interest is
defined as the need to know in order to:
 Perform an administrative task outlined in persons official job
duties
 Perform a supervisory or instructional task directly related to
the student’s education
 Perform a service or benefit for the student such as health
care, job placement, financial aid, etc.
 Note: A professor’s desire to know how a student has
performed in previous IWP courses (viewing student
transcripts) – as a way to gauge if the student is
prepared for his/her course is NOT “legitimate
educational interest”. This can lead to biased grading,
and is a violation of FERPA!
Check your Understanding
Which of the following constitutes legitimate educational interest?
a)
b)
c)
d)
e)
f)
A staff member heard that a student is ill and wants to mail her a card. He looks
up her address in the student information system.
An instructor emails the Dean with concerns about a student.
An instructor with concerns about a student’s writing ability shares those
concerns with the student’s advisor.
An instructor with concerns about a student’s writing ability asks the student’s
advisor how the student is doing in his other classes.
The Alumni Office wants contact information so they can invite certain graduates
to speak at an alumni event.
An instructor conducting research for her doctoral dissertation wants contact
information for students who have taken her classes in the past.
Check your Understanding
Which of the following constitutes legitimate educational interest?
A staff member heard that a student is ill and wants to mail her a card. He looks up
her address in the student information system.
b)
An instructor emails the Dean with concerns about a student.
c)
An instructor with concerns about a student’s writing ability shares those concerns
with the student’s advisor.
d)
An instructor with concerns about a student’s writing ability asks the student’s
advisor how the student is doing in his other classes.
e)
The Alumni Office wants contact information so they can invite certain graduates to
speak at an alumni event.
f)
An instructor conducting research for her doctoral dissertation wants contact
information for students who have taken her classes in the past.
Answers (b), (c), and (e) are correct. Answers (a) and (f) are incorrect because the
information is not needed for the employees to do their jobs at IWP. Answer (d) is
incorrect because the instructor has legitimate educational interest only in his own class.
a)
Who else can access Student
Information without obtaining prior
written consent?




The individual student
Whomever the student authorizes by providing the
institution with a written release (release must be
written, signed and dated and must specify the
records to be disclosed and the identity of the
recipient)
Any party requesting directory information (unless
the student has requested non-disclosure)
IWP officials of who have a legitimate educational
interest
Who else can access Student Information
without obtaining prior written consent?
 Parents if parents claim the student as a
dependent for tax purposes. IWP will
exercise this option only on the condition
that evidence of such dependency is
furnished to the Office of the Registrar and
all requests for disclosures are referred to
that office
 Persons in connection with a health or
safety emergency
Parents’ Rights

Parents may obtain directory
information.

Parents may obtain non-directory
information by obtaining a signed
consent from their child.
Releasing Information : To
Colleagues
Share student information with other school officials:



Only if they have legitimate educational interest in that specific
information.
By phone only if you are sure who you are talking to.
By email only to a colleague’s iwp.edu address
CAUTION: Keep in mind that email is vulnerable to accidental
misdirection by the sender and can be unsecure. Therefore,
sensitive student information like grades should never be
emailed.
Releasing Information : To the
Student
Share protected information with students:



Online behind a secure login (via Web-portal—WebAdvisor)
In person (with a photo ID if the student is unknown to you)
On paper, mailed to the address on file in our student information
system.
NOTE: Mailing to another address or faxing to any fax number
requires signed permission of the student. Contact the
Registrar’s Office for more information.
REMEMBER: Security is an issue only for FERPA protected
information. You can release general information about
assignments or policies in any medium!
Releasing Information : To the
Student (Other Methods)

•
By phone, only after using “reasonable methods” to authenticate
identity
- Recognize their voice
- Ask three questions that only the student is likely to know
CAUTION: The law expressly prohibits asking SSN or DOB
to authenticate identity because confirming a correct guess
can provide information to identity thieves. Be very careful
with this—you can do it, BUT it is not recommended.
By email, only to the email address listed in our student
information system/Web portal
CAUTION: Keep in mind that misdirected emails, shared
email accounts, and computer hackers can all comprise the
confidentiality of information sent by email, therefore
NEVER email grades, GPA, or other sensitive information.
Check your Understanding
A student wants to discuss his progress in your class. Which of the
following are acceptable ways to discuss the information with him?
a)
b)
c)
d)
In person after class
On the phone at a time arranged during class
In response to an unplanned phone call as long as you can authenticate
that you are talking to the student
To an email address that does not match the one in the student
information system Web-portal
Check your Understanding
A student wants to discuss his progress in your class. Which of the
following are acceptable ways to discuss the information with him?
a)
b)
c)
d)
In person after class
On the phone at a time arranged during class
In response to an unplanned phone call as long as you can authenticate
that you are talking to the student
To an email address that does not match the one in the student
information system Web-portal
Answers (a), (b), and (c) are correct. Answer (e) is incorrect because you
have no way to know if it was really the student who emailed and who will
receive the answer.
Releasing Information : To a 3rd
Party

At the request of the student (e.g., to an employer or spouse):
release information only with written consent of the student.
Contact the Registrar’s Office for more information.

At the request of a 3rd party: DO NOT release confidential
(FERPA protected/non-directory) student information. Contact
the Registrar’s Office for assistance.
Check your Understanding
A uniformed police officer approaches your desk and indicates that a
student is needed for immediate questioning. The officer asks you to look
up the student’s schedule and tell him where the student can be located.
You should:
a)
b)
c)
d)
Tell the officer to get lost.
Call the student’s advisor or the student affairs office—they’ll probably know
where the student is.
Mention that you saw the student going into Bentley Hall an hour ago.
Call the Registrar’s Office.
Check your Understanding
A uniformed police officer approaches your desk and indicates that a
student is needed for immediate questioning. The officer asks you to look
up the student’s schedule and tell him where the student can be located.
You should:
a)
b)
c)
d)
Tell the officer to get lost.
Call the student’s advisor or the student affairs office—they’ll probably know
where the student is.
Mention that you saw the student going into Bentley Hall an hour ago.
Call the Registrar’s Office.
Answer (d) is correct. There are no FERPA emergencies, and FERPA does not
include exceptions for law enforcement officers. Our responsibility is to the student.
If the Registrar’s Office is unavailable, give him/her the phone number of that office to
contact at a later time.
TAKE NOTE:

Access to student information via computer
software does not authorize unrestricted use of
that information.

Curiosity is not a valid reason to view student
information.

Records should only be accessed in the context
of official business.
MORE Important Info:





When in doubt – don’t give it out.
Refer all requests for student academic information to the
Office of the Registrar.
Information about a student can be released with a
signed consent from the student.
Information on a computer should be treated with the
same confidentiality as a paper copy.
Do not leave confidential information displayed on an
unattended computer.
More, more important info:

Cover or put away papers that contain confidential
information if you are going to step away from your
desk.

Supervisors: You are responsible for the FERPA
compliance of those you supervise. This includes
student workers, temporary employees, interns, and
volunteers. They are also required to view the FERPA
presentation and sign a FERPA agreement.
Record Disposal

Records containing Social
Security Numbers or grades
should be shredded, not just
thrown in the garbage or placed in
an unsecured recycling bin.
Helpful Hints for Faculty
To Avoid FERPA Violations –
Please Do Not:



Use the SSN/Student ID to post grades.
Leave graded tests in a stack for students to sort
through.
Circulate a printed class list with the Student
Name and SSN/Student ID.
Helpful Hints Continued ….
To Avoid FERPA Violations –
Please Do Not:



Provide anyone with student schedules.
Provide anyone with lists of students enrolled in
your classes.
Include confidential information (i.e. grades, GPA,
#of credits) in a recommendation letter without the
written consent of the student.
Letters of Recommendation


If non-directory information is included in a letter of
recommendation, you must have a signed consent
from the student.
The signed consent should include the following:
–
–
–
Who has permission to write the letter
Where the letter should be sent to
What non-directory information should be included
Sample Permission Letter for Writing a Letter of
Recommendation
I give permission for Dr. Reid to write a letter of
recommendation to:
Home Depot
111 Home Depot Street
Washington, DC 20024
Dr. Reid 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.
Signature
Date
Any Questions???
Contact:
–
Hasanna Benson-Tyus, Registrar
(202)462-2101 ext. 314
[email protected]
–
More FERPA Information:
http://www.ed.gov/policy/gen/reg/ferpa/index.html
http://www.aacrao.org/ferpa_guide/enhanced/main_frameset.html