Transcript No Slide Title

Financial-Aid Staff and
Privacy Issues:
Balancing Customer Service
with Compliance
Background
 FERPA: The Family Educational Rights and
Privacy Act.
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Signed into law August 21, 1974.
Became effective November 19, 1974.
Commonly called the “Buckley Amendment.”
34 CFR Part 99.
 Appendix A - page 41.
FERPA Law Changes
 Nine amendments.
 December 31, 1974 to October 26, 2001.
 First amendment provided definition of
“educational agency or institution.”
 Those that receive U.S. Department of Education
funding.
 More-recent changes.
 Campus security (1990).
 War on Terrorism (2001).
For More Information on
FERPA
 Department’s Family Policy Compliance
Office.
 (202) 260-3887
 www.ed.gov/policy/gen/guid/fpco/ferpa/index.
html
Effect of FERPA on the Financial-Aid
Office
 Rights of parents and eligible students.
 Rights transfer to students:
 At age 18.
 If attending school beyond high school.
 Students are termed as “eligible students.”
Effect of FERPA on the Financial-Aid
Office
Definition of parent.
Natural parent.
Guardian.
Individual acting as a parent in the absence of a
parent or guardian.
Effect of FERPA on the Financial-Aid
Office
 Regulations do not apply when:
 Student is deceased.
 Person applied to school but has not attended.
Effect of FERPA on the Financial-Aid
Office
Written releases are not required if:
School official has legitimate educational interest.
Party is in connection with financial aid to student.
Audit/evaluation purposes.
Judicial order or subpoena.
Health and safety emergencies.
Others.
Effect of FERPA on the Financial-Aid
Office
 Two parties have access to student’s
education record.
 The student.
 Parents of dependent student.
 Defined in IRS Code, Section 152.
 School’s release of parents’ financial information to
student is not required.
 Parent/student FAFSA completion.
 Conflict?
What Is Written Consent?
 Standards for written consent:
 Specify the records to be disclosed.
 State the purpose of the disclosure.
 Identify to whom the information will be disclosed.
 Example of student release form.
 Appendix - page 46-47.
AACRAO’s Guidelines for
FERPA
 Revised 2001 edition available.
 Guidance about exceptions to student-records
disclosure.
 Members can obtain a copy at a reduced price.
 Interested non-members can contact AACRAO.
Release of Directory
Information
 Non-personal information that may be disclosed.
 Not considered harmful or invasion of privacy.
Release of Directory
Information
Examples of directory information.
Student’s name and address.
Telephone listing.
E-mail address.
Date and place of birth.
Dates of attendance.
Enrollment status.
Degrees, honors and awards received.
Release of Directory
Information
 Annual notification to students required.
 Must be made by means likely to inform
students.
 College catalogue.
 College handbook.
 School Web site.
 Student may request that information not be
released.
 Request must be in writing.
 Example of school’s annual notification.
 Appendix - page 48-49.
What Is An Education Record?
 Records, files, documents and other materials
containing student-related information.
 Includes records shared with or accessible to
another individual.
 May be handwritten, print, magnetic tape, film,
diskette or some other medium.
 FERPA does not mandate time frame for retaining.
 Time frame varies based on the type of record.
 Department-related records usually are kept for three
years.
Educational-Record
Exceptions
 Sole-possession records or private notes.
 Law enforcement or campus-security
records.
 Personnel records.
 Unless for student employees.
 Professional-treatment records.
 Information obtained on a former student.
 Alumni records.
FSA Handbook Record
Requirement
 School must maintain:
 List of all education records.
 Location of records.
 Procedures by which student can review records.
 For more information, see 2006-07 FSA
Handbook.
 Volume 2, Chapter 9.
Record of Disclosures
 FERPA regulations require a record of each
disclosure made without written consent.
 Record must be kept with student’s
education records.
 Each disclosure must include:
 Names of parties who requested or received the
information.
 The legitimate interest that the parties had.
Exceptions to Recording
Disclosures
 If request was from or disclosure was to:
 The student, or parent (of an ineligible student).
 A school official with legitimate educational
interest.
 A party seeking directory information.
 A party directed by a subpoena with orders that
the subpoena not be disclosed.
 A representative of the U.S. Attorney General
investigating or prosecuting terrorism crimes.
FERPA Violation Penalties
 Complaint procedures.
 Written complaints may be filed with Family
Policy Compliance Office (FPCO) of the U.S.
Department of Education.
 If FPCO finds a violation, school is notified to
correct its actions.
 If school still fails to comply with FERPA,
Secretary can direct no further federal funding.
Recent Supreme Court Case
 Gonzaga University v. John Doe (June 20,
2002).
 By 7-2 vote, Court ruled that students cannot
sue schools that release grades and other
personal information improperly.
 Found that FERPA gives “no specific,
individually enforceable rights.”
 Leaves enforcement to Department of
Education, with right to remove federal funding.
Special Circumstances
 FAO receives various requests for student record
 Records must be protected from careless release.
 Three examples of special circumstances.
 Subpoenas.
 Student Employees’ Use of Education Records.
 Parent Access to a Student’s Education Record.
The Subpoena
 A command from a court requiring a
person’s appearance to provide testimony or
evidence.
 Subpoena duces tecum.
 Requires documents, papers or other tangible items.
 Subpoena ad testificandum.
 Requires person to testify.
 Bench warrant.
 Also a court order.
 Requires person to produce something or testify.
The Subpoena
 FERPA requires reasonable effort to notify
student of subpoena in advance of records
release.
 Exceptions (school is ordered not to notify
student).
 Federal grand-jury subpoenas.
 Subpoenas for law-enforcement purposes.
 Some subpoena powers are limited.
 Federal district subpoena is valid in all 50 states.
 State court subpoena only valid in that state.
 Court must have jurisdiction over the institution for
The Subpoena
 Prior-notification requirement.
 Student is alerted to possible court action.
 Allows student to seek legal counsel.
 Notification must be timely and allow response.
 Generally allow 14 days for student to respond.
 Sent by certified mail with return receipt.
 Sample Notice to Student - page 55.
Student Employees’ Use of
Records
 Office is responsible for the privacy and
confidentiality of student records that student
employees use.
 All employees must understand this
responsibility.
 Recommended use of code of responsibility.
 New-employee-training tool.
 Violations and sanctions explained.
 Sample Code of Responsibility - page 56.
Parental Access to Records
 Parents have no inherent rights to inspect
eligible student’s records.
 Rights can be modified.
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Written consent of student.
In compliance with subpoena.
In connection with health or safety issue.
Parent(s) claim student on taxes.
Parental Access to Records
 School should have a policy about the
release of records to parents.
 AACRAO indicates school not required to
release information.
 Regulations do not prohibit separated, divorced,
or non-custodial parent from accessing student’s
records.
 Court order, state statute, or legal document may
state otherwise.
Parental Access to Records
 FAFSA instructions ask for information from
responsible parent(s).
 Releasing financial information to nonresponsible parent is not recommended.
Recent Legislative
Amendments
 FERPA amendments impact privacy of
records.
 The Jeanne Clery Disclosure of Campus
Security and Campus Crime Statistics Act.
 The Campus Sex Crime Prevention Act
(CSPCA).
 The USA Patriot Act.
 The Student and Exchange Visitor Information
System (SEVIS).
What to Do?
 Compliance, customer service and conflict
require the financial-aid office to act
responsibly.
 Develop and share a student-record privacy and
confidentiality statement for your office.
 Provide staff training and require a signed
statement or code of responsibility from all
employees.
 Attend FERPA conferences/training sessions.
 Annually complete the NASFAA Self-Evaluation
Guide on FERPA.
Important FERPA Web Sites
 http://www.ed.gov/policy/gen/guid/fpco/ferpa/inde
html
 www.ifap.ed.gov
 www.aacrao.org
 www.nasfaa.org
 http://chronicle.com
Membership/subscription may be required to access some of these Web sites
Case Studies
Balancing Customer
Service with Compliance
Case Study 2
 Parent calls the FAO to check on daughter’s
financial-aid awards.
 Parent provides student’s name and SSN.
 Can you provide this type of information?
Case Study 2
 Possible resolution.
 Yes, can provide information with caution.
 Follow office’s privacy policy regarding the
release of information.
 Disclose information only with sufficient proof.
 Student’s signed written release.
 Student’s dependency status with interested parent.
 If student is claimed as dependent on parent’s taxes.
Case Study 4
 Parent calls the FAO to check on her
daughter’s financial-aid awards.
 Parent provides student’s name and SSN.
 Staff member asks if parent is custodial
parent.
 Parent did not complete FAFSA, but
contributes to student’s expenses with a
PLUS loan.
 Can you provide this type of information?
Case Study 4
 Possible resolution.
 Yes, with caution.
 Although FERPA supports this release of
information, school’s policy may require signed
release.
 Refer parent to the student for financial-aid
information.
Case Study 6
 Campus Foundation Office calls to confirm
financial-aid eligibility of students applying for
scholarships.
 Can you provide this type of information?
Case Study 6
 Possible resolution.
 Yes, FERPA supports the disclosure of student
information in connection with financial aid.
 Is Foundation Office employee a “school official
with legitimate educational interest?”
 If so, okay to release.
 If not, request a signed student release.
Case Study 10
 Student requests copy of parents’ tax return.
 Parents have misplaced their copy.
 Needed to assist with estimating projected
income for new FAFSA.
 Can you provide this type of information?
Case Study 10
 Possible resolution.
 FERPA does not support the release of parent
financial information to student.
 Offer parent/student options for receipt of tax
return.
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Signed parent release to student.
Forward tax return directly to parent.
Sealed tax return given to student.
Refer parent to tax preparer and IRS.
Case Study 12
 SAP letters only state that students are no
longer eligible for aid.
 Various individuals want personally
identifiable information (grades).
 To whom can you disclose this information?
Case Study 12
 Possible resolution.
 The student.
 Following office privacy policies and proof of
individual, can discuss grades.
 The dependent student’s parents.
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Following office privacy policies, can discuss grades.
Determine student is dependent for tax purposes.
May want to require written release.
May refer parent to student.
Case Study 12
 Possible resolution (continued).
 The independent student’s parents.
 Without written release, do not discuss grades.
 Refer parent to student.
 The student’s spouse.
 Without written release, do not discuss grades.
 Refer spouse to student.
 The student’s roommate.
 Without written release, do not discuss grades.
 Refer roommate to student.
Case Study 12
 Possible resolution (continued).
 The student’s academic adviser.
 Following privacy policy and annual notification,
discuss grades with adviser (if school official).
 The student’s campus work supervisor.
 Unless defined as “school official,” do not discuss
grades.
 Could request written student release.
 The Lions Club Scholarship Committee Chair.
 FERPA supports the release.
 Office privacy policy may request a written release
from student.
Case Study Wrap-Up
 The bottom line.
 A student’s written release provides the
greatest protection from unwarranted
breach of privacy!
Financial-Aid Staff and
Privacy Issues:
Balancing Customer Service
with Compliance