Family Educational Rights

and Privacy Act(FERPA)

Tina L. Hummons, Registrar/FERPA OfficerLauren M. Ross, General Counsel

© Sinclair Community College

FERPA

Federal law:

– United States Code: 20 U.S.C. 1232g

– Code of Federal Regulations: 34 CFR 99.1 et seq.

(United States Department of Education)

FERPA

FERPA is 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. What this means is that, in general, no one may release information from the student record to a third party, including parents, without written permission from the student.

FERPA RULE #1

An educational institution may not release student education records or personally identifiable information from education records without prior consent of the student.

FERPA RULE #2

A college official with a legitimate educational interest may access student records without student consent.

FERPA RULE #3

Student directory information may be released without consent.(But the decision to release must be made by a person with authority to make it.)

When do FERPA rights begin and end?

• FERPA rights begin when a student is “in attendance” as defined by the institution. (Sinclair defines this as the date a student is officially registered for at least one class).

• Applicants who never attend are not covered under FERPA.

• FERPA rights continue after the student leaves the institution and are only terminated upon death of the student.

FERPA issues for College employees

• What duties and responsibilities of confidentiality do administrators, faculty, and staff have?

• What rights of access to student records do administrators, faculty and staff have?

• What rights of access do students have?• What rights of access do parents have?• What rights of access do persons outside

the college have?

Important FERPA Terms

• “education record”

• “personally identifiable information”

• “college official”

• “legitimate educational interest”

What is an ‘education record’?

Records, files, documents, and other materials which:

• Contain information directly related to a student;and

• Are maintained by the institution.

What is not an ‘education record’?

•Admissions Records•Law enforcement records•Employment records

(Unless the record pertains to a work-study student, then it is an education record.)

•Physician-created records pertaining to treatment•Notes in the sole possession of writer•Peer grading records•Alumni records

What is not an ‘education record’?

Notes in the sole possession of writer:--If faculty member or other college employee makes notes and does not share notes with anyone else, the notes are not an education record.--Email sent or received cannot come under this exception.

What is ‘Personally Identifiable’?

• Direct Identifiers–Name, or name of close family member;– Address and phone number. – “Personal Identifier” such as social

security number or student ID number.

• Indirect Identifiers– Birth date and place of birth.–High School Attended

What is ‘Personally Identifiable’?

Record which is linked or linkable to a student may not be disclosed.Example: Request for all records pertaining to unnamed student(s) but where description in request makes it clear who is being asked about—e.g., publicly know student-athlete, child of famous person.--Be careful about responding to any such odd requests.

Disclosure to College Officials

Disclosure of student personally identifiable information is permitted to college officials who have a legitimate educational interest.

Who is a College Official?

A “college official” is as defined by the educational institution.

Sinclair’s Definition of“College Official”

“[A] person employed by the College in an administrative, supervisory, academic, research, or support staff position (including law enforcement personnel); a person or company with whom the College has contracted or otherwise designated as its agent to perform a service on behalf of the College (such as an attorney, auditor, or collection agent); a person serving on the Board of Trustees; or a volunteer or student serving on an official committee, such as a disciplinary committee or advisory committee, or assisting another College official in performing his or her tasks.” 

What is a Legitimate Educational Interest?

Institution establishes criteria for college officials.

Sinclair’s Definition of Legitimate Educational Interest:“A College Official has a “legitimate educational interest” if the College Official needs to review an education record in order to fulfill his or her employment and/or professional responsibilities for the College.”

Authority to Review Student Records Is Not Absolute

--Scope of authority depends on your job.--Just because you have technical access to a student’s records does not mean it is ok to review it. --”Surfing” or reviewing due to curiosity is never allowed.Any doubts about your authority or the actions of another employee—ask your supervisor.

Disclosure to Parents

– For students in grades Pre-K through 12, parents generally have full FERPA rights for minor children.

– FERPA rights transfer to the student when he/she reaches 18 or attends a post-secondary institution. • Dual enrollment student (high school student

attending Sinclair and receiving high school credit for the Sinclair course) has access to all Sinclair records and parent has no access, even if student is under age 18.

• Parents do not have right of access just because they are paying tuition.

Disclosure to Parents

• Institution may disclose information from education records about student to parent without student’s consent if parent establishes student’s dependency for federal income tax (IRS) purposes.

• Different departments at Sinclair may have different practices about what they release to parents of dependent students.

Disclosure to Parents

FERPA exceptions which permit disclosure to parent (regardless of IRS dependent status):– Parents may be informed of information from

student’s education records if it pertains to violations of alcohol/substance abuse policy if student is under age 21.

– Information relating to health and safety emergency may be disclosed to anyone to whom knowledge is necessary.

Also, FERPA does not limit disclosure of:– Information from campus police.– Information based on personal observations (as

opposed to education records).

Disclosure to Parents

FERPA does not limit disclosure of:– Information from records of law

enforcement, e.g. campus police.– Information based on personal

observations, as opposed to education records.

(But college policy and work ethic means no unnecessary disclosure of such information should occur-even to co-workers.)

Directory Information

• Information generally considered not harmful or not violating a person’s privacy.

• Institution must notify students about which information is deemed directory information.

Directory Information-Opt out

• Students must be given the opportunity to opt-out of directory information. Sinclair student can do this by instituting a privacy hold-student must complete a form in the Office of Registration & Student Records, 10-231.

• Privacy Hold means that student will not be able to use many features of web advisor.

• Privacy hold “opt-out” does not apply to classroom.

Sinclair’s Definition of Directory Information

1.     The student’s name2.     The student’s date an place of birth3.     Dates of enrollment4.     Participation in officially recognized activities and sports;          including special honors, distinctions, and awards5.     Weight and height of student athletes6.     The student’s major field of study7.     Degrees or certificates earned;8.     Most recent previous educational institution9.     Address; including e-mail address10.   Phone numbers11.   Digitally captured identification photos12.   Digital records of student use of college facilities (e.g. locker                   room)13.  College issued student identification number        (Tartan number)

Sinclair’s Notice of Directory Information

“ During the first month of each academic term, Sinclair Community College will send an electronic notice to currently registered students at their student email address, providing them the opportunity to review the above list, or a revised list, of the items of directory information it proposes to designate as directory information.”

2012 Regulations about Directory Information

New FERPA regulations, effective January 2012:

Allow for adoption of a limited directory information policy:

Institution may limit disclosure of directory information to specific parties, for specific purposes, or both.

This could enable information to be shared within the institution but no make the information subject to outside disclosure under Ohio’s public records law.

Student Access to Records

College is required to have good business practices and safeguards in place to authenticate identification of student. Examples: PIN, password, signature card, photo ID

FERPA gives student right to inspect all education records—not to have copies made-unless student is so far away that inspection is not feasible. (Sinclair’s practice is to provide copies of many documents and to charge 25 cents per page.)

Limitations on Student Access

Students do not have access to:• Parent’s financial information.• Education records that contain

information about more than one student ... College must permit access to the part of the record that pertains only to the inquiring student.

• Confidential letters and recommendations for which the student has waived right of inspection.

Disclosure to Others

General Rule:

– The institution must obtain written consent from a student prior to releasing education records or personally identifiable information from the records.

Student’s Consent to Disclosure

• Written consent of student to disclose education records must:– Specify the records to be released;– State the purpose of the disclosure;– Identify the party or parties to whom

the disclosure can be made; and– Signify the student’s signature and

date.• Electronic signature ok if able to

authenticate

Student’s Consent to Disclosure

--Sinclair’s office of registration has a consent form that a student must sign.--Some departments require additional forms.

Exception: Subpoenas

• If College is served with a lawfully issued subpoena for education records, College must comply and provide the information that is ordered to be disclosed by the subpoena.

• But first, the College must notify student and give student opportunity to seek court protection.

• This is handled by Sinclair Registrar, in consultation with General Counsel.

• (NOTE: Any subpoena must be provided to supervisor who will confer with higher supervisor(s) and then refer it to General Counsel.)

Exception: Health/Safety Emergency

College may disclose student information to other parties “if knowledge is necessary to protect the health or safety of the student or other individuals.”

Exception: Health/Safety Emergency

For health and safety exception to apply:

1. Take account of “totality of circumstances.”

2. If articulable significant threat, may disclose to person(s) whose knowledge is necessary to protect health and safety. --Standard: Rational basis based upon information known at time.

3. College must keep record of reason and to whom disclosed.

Exception: Certain Disciplinary Records

Final results of disciplinary hearing must be provided to victim of crime of violence or non-forcible sex offense;To other parties if student found to have committed institution’s policy/rules.

Helpful Hints….

• When in doubt – don’t give it out.• Ask supervisor first before releasing any

records or information.• Refer requests for student academic

information to the FERPA Officer (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.

Helpful Hints Continued ….

• Do not leave confidential information displayed on an unattended computer.

• Cover or put away papers that contain confidential information if you are going to step away from your desk.

• Do not leave graded tests in a stack for students to sort through.

Helpful Hints Continued ….

• Records containing Social Security Numbers or grades should be shredded, not just thrown in the garbage or placed in an unsecured recycling bin.

• Do not circulate a printed class list with the Student Name and SSN/Student ID.

• Do not use the SSN/Student ID number to post grades. (Sinclair has specific policy on “Posting of Grades by Sinclair Faculty; http://www.sinclair.edu/services/registration/ferpa/postingofgradesbyfaculty/index.cfm)

Helpful Hints Continued ….

• 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.

Sanctions for Violating FERPA

• Student may not sue the institution or individual employees, but may file a complaint with the United States Department of Education, Family Compliance Office.

• Department’s investigation could lead to loss of federal funds for a particular program.

Sinclair’s FERPA Policy

http://www.sinclair.edu/services/registration/ferpa