FERPA “A Private Conversation”

1. FERPA“A Private Conversation” • An overview of the Family Educational Rights and Privacy Act and why it is the right thing to do. • John Snodgrass, Registrar, Chapman University

2. Case Study: Telling It Like It Is“Did you give me a ‘D-‘ for history?” the student asked the professor as they were waiting in line at the coffee shop during the lunch rush hour. The student’s girlfriend stood steadfast by her sweetheart (although secretly impatient to devour the sushi they had acquired).“Yes I did” responded the professor.FERPA Violation?“And furthermore, you are now on academic probation. Try harder next time” the professor added, as he paid for his Cafe Americano, and filed out with the crowd.Violation? (True statement, the student was on probation)

3. Case Study: Get The Money!!The young lady approaches the One Stop Shop counter and provided a letter to the very accommodating and friendly service specialist. The letter stated (after a lengthy warm deluge of sweet nothings which made the attendant blush) “My dear, take the following request to Blue Lakes Eastern Alaska Community College –BLEACC-- and pay my tuition please. Thanks and I’m having a great time”. The request stated:“Please provide my fiance’ the amount of my tuition bill so that she can make a payment to my account. I am currently on a holiday in Hawaii, and cannot be back by the deadline”. The letter was signed by the student.Optional Response A: “No problem. Glad to help. He owes $_______. Small bills? We take anything.”Optional Response B: “We cannot release that information without a signed consent mailed or faxed directly to us. Our fax number is _____. And why didn’t the bum take you with him?”Which is ok? And if there was no letter???

4. Case Study: Give Them What They Want!Your boss hands you a letter sent from IOU’s main feeder school, BLEACC, which states:“Please send us the names, email address, class level, academic major, and gpa of all of our students who have transferred to IOU. We are having a ‘Transfer Night’, and would like to recognize our former students and ask those who have done well to speak”“Let’s do this” Boss says. (She is also the Dean of Enrollment Services). “We have just signed a new articulation agreement and this is a great recruitment opportunity”.“Hmmm” you think to yourself. “Can we do this?”Can they?

5. Case Study: Deja Vu: I’ve Seen This Paper Before!!“Please give this student an ‘F’ for the course”, the official correspondence from the Academic Integrity Committee stated. “He has admitted to plagiarizing his midterm paper. We have notified all of his other professors so that they can be aware of the infraction and can be on the look out for any possible additional violations.”Suddenly feeling queasy and having no Bonine tablets available, you email John and wonder in writing, “Can this educational record information be shared with other faculty due to their having ‘legitimate educational interest’? Might you have any job openings by chance? I’m feeling the need to relocate.”

6. What is FERPA All About? • Providing students guarantees regarding the access and confidentiality of their educational records • Right to access • Right to challenge contents • Right to control over disclosure

7. Why Should We Train? • Federal Regulations: First defense • Increased demands for information • Decentralized access expands the definition of school official • Increasing concerns over student safety • Because it is the right thing to do

8. 99.3 Key Definitions, Including • Attendance • Directory Information • Educational Record • Personally identifiable information • Student • (Note: School Official is not described in 99.3)

9. Key Definition: Student (post-secondary) • “In Attendance”: institutionally defined • applicants, admits, or matriculated (actually attending as of the first day of class) • Regarding whom records are maintained • Credit and non-credit, degree or non-degree seeking, international or domestic; all ages • Acquire all FERPA rights at the time they become a Student (note: parents lose all right of access to educational records of students at post secondary institutions); retain FERPA rights until deceased.

10. So What Is Your Institutional Definition of “Student”?

11. Key Definition: Educational Record • With certain exceptions, all records identifying students maintained by the university in any medium • Exceptions: • law enforcement records • medical records • alumni records • employment records • sole possession

12. Key Definition: School Officials • Individual or group providing a necessary service for or on behalf of the institution • No inherent rights re: accessing educational records; May access based upon need to know/legitimate educational interest in order to provide services or carry out responsibilities • Are equally responsible for following FERPA regulations, re-disclosure requirements

13. Have You Seen Your Definition of School Official Lately? Are You Included?

14. 99.4/99.5: Rights of Parents and Students • 99.4—Parents. Full rights to both parents. • 99.5—Student. All rights move from the parent to the student in post secondary environment. • exception: if applicant to another component of institution, no right of access to records maintained by that component until the student is accepted and attends that other component

15. Institutional Requirements • Annual Notification (99.7) • Access and Review (Subpart B) • Amendment (Subpart C) • Disclosure (Subpart D)

16. 99.7: Annual Notification • Must include-- • right & method to inspect & review • right & method to seek amendment • right to consent other than 99.31 exceptions • right to file a complaint with Dept of ED • definition of school official • definition of legitimate educational interest • Distribution: “Any means reasonably likely to inform” • Typically includes Directory information per 99.37 requirements

17. So Have You Read Your Annual Notification Lately? Ever Seen It?

18. SubPart B: Student Rights to Review Records • 99.10: Right to inspect & review --“Must” • student must be allowed access within 45 days • may charge a fee for copies (not retrieval) unless • can’t destroy record once requested • 99.12: Limitations on right to review • parent financial information • confidential letters

19. More on Inspect & Review, AKA Access • 99.10(d) If circumstances effectively prevent the eligible student from exercising the right to inspect and review the student’s education records, the educational institution shall— • provide a copy, or • make other arrangements to inspect & review

20. So does that mean we don’t have to give a copy of • Grades? Nope • Transcript? Nope • Diploma? Nope • But can we if we choose? Yep • Should we? Hmmmm

21. Subpart D: Disclosure • 99.30 Prior Consent Required • 99.31 Prior Consent Not Required • 99.32+ Recordkeeping, re-disclosure, conditions on 99.31

22. 99.30: Consent Required • Signature required (everything except 99.31) • third party • electronic • Consent includes • what • why • who

23. 99.31: Key Exceptions (there are others, but these are most common) • School Officials • Parents of dependent students • Financial Aid • Judicial order/Subpoenas/Patriot Act • Health & Safety • Disciplinary • victim • results • parents (under 21 students, alcohol & drug) • sex offender • Directory

24. So What’s Your Policy re: Release To Parents of Dependent Students Without A Signature?

25. Directory Information • Directory information: records which are neutral or not necessarily harmful if released to third parties • institutions must specify what their directory information includes • cannot include SSN, student ID, gender, nationality, ethnicity, religion, grades, gpa • release not required; may do so arbitrarily or capriciously. • students may withhold release--opt out • directory holds do not pertain to school officials having access to student educational records

26. So In Ten Seconds Or Less Tell The Person Next To You Whether Or Not You Have Directory Information And If So What It Includes.Time Is Up(And How Would You Know If There Was A Directory Hold?)

27. Best Practices I: When Assessing a Situation, Always Consider-- • Educational Record: covered by FERPA? • Student: does FERPA apply? • Access: signature required? copy required? Immediate? • Must vs May: do I have to? • School Official: provide service for us? • Need to Know: job related? • Dependent: release to parents? Without signature? • Directory Information: Is it listed in the annual notification? Hold in place? How would I know? • Institutional policy & procedures

28. Best Practices II: Checklist & Reminders for All School Officials • Institutional Policy & Procedures. Know them (or where they are) • Avoid accidental violations: • 3rd parties present: only provide requested information to student • check for signed release on file – typically in Registrar’s Office – before discussions with third parties • close files, computer screens, cover papers, close office door, etc whenever leaving work station • “Office Audit”

29. Best Practices III: Checklist & Reminders, continued-- • Directory holds: where to look, what to say. • Do not post lists of information unless directory. • Request signed release for all letters of recommendation, good student status information, etc that require non-directory educational record information. • Immediate release of information is not required (up to 45 days). Insure FERPA protection before release. • Access usually does not require a copy of the record. • Unsure? Contact the Registrar

30. Some Resources • AACRAO FERPA Guide • The FERPA Doctor’s Case Book • LRP Publications, www.shoplrp.com • FPCO website: http://www.ed.gov/policy/gen/guid/fpco/index.html • AACRAO website: http://www.aacrao.org/compliance/ferpa/index.htm • CLHE: http://www.CLHE.org

31. Closing , , , • Have Yourself an Office Audit • Follow-up Meeting(s) re: procedures • Remember: “It is the right thing to do” • Web Site: http://www.chapman.edu/registrar/Privacyindex.html • snodgras@chapman.edu