Understanding and Understanding and Complying with FERPAComplying with FERPA

Dowling CollegeDowling CollegePrepared and Presented byPrepared and Presented by

Ms. Jennifer Kuhl, Assistant VP for Enrollment Ms. Jennifer Kuhl, Assistant VP for Enrollment and Student Services/Registrarand Student Services/Registrar

Dr. David Ring, VP for College Administration and Dr. David Ring, VP for College Administration and Student AffairsStudent Affairs

What is FERPA?What is FERPA?

It stands for the Family It stands for the Family Educational Rights and Privacy Educational Rights and Privacy Act of 1974.Act of 1974.

Also known as the Buckley Also known as the Buckley Amendment.Amendment.

Family Educational Rights Family Educational Rights and Privacy Act of 1974and Privacy Act of 1974

“ “A federal law designed to protect the A federal law designed to protect the privacy of privacy of education recordseducation records, to , to establish the right of students to establish the right of students to inspect and review their education inspect and review their education records, and to provide guidelines records, and to provide guidelines for the correction of inaccurate and for the correction of inaccurate and misleading data through informal misleading data through informal and formal hearings.”and formal hearings.”

Why Comply with FERPA?Why Comply with FERPA?

It’s the Law.It’s the Law.

Failure to comply could Failure to comply could result in the withholding of result in the withholding of Federal Funds, including Federal Funds, including Student Financial Aid.Student Financial Aid.

Lawsuits caused by Lawsuits caused by violations cost time and $$$.violations cost time and $$$.

Family Educational Rights Family Educational Rights and Privacy Act of 1974and Privacy Act of 1974

This act is enforced by the Family This act is enforced by the Family Policy Compliance Office, U.S. Policy Compliance Office, U.S. Department of Education, Washington, Department of Education, Washington, DC.DC.

The Family Policy Compliance Office is The Family Policy Compliance Office is the office within the Department of the office within the Department of Education that administers FERPA and Education that administers FERPA and is responsible for providing technical is responsible for providing technical assistance regarding FERPA to assistance regarding FERPA to educational institutions.educational institutions.

FERPA is applies to both K-12 and higher education.

The Family Compliance Office is responsible for both levels of education.

The primary difference in FERPA between these two levels is that the rights are ascribed to the “student” at the higher education level, and ascribed to the parents at the K-12 level.

FERPA rights are granted to parents until their son/daughter reaches the age of 18 or begins attending an institution of higher education, regardless of age.

The Essence of the ActThe Essence of the Act

College College students students must be permitted to must be permitted to inspect their own inspect their own education recordseducation records..

School officialsSchool officials may not disclose may not disclose personally identifiablepersonally identifiable information information about students nor permit inspection about students nor permit inspection of their records without their written of their records without their written permission, unless such action is permission, unless such action is covered by certain exceptions covered by certain exceptions permitted by the Act.permitted by the Act.

Key TermsKey Terms

StudentStudent Education Record/ Personally Education Record/ Personally

Identifiable InformationIdentifiable Information Directory Information Directory Information School OfficialsSchool Officials Legitimate Educational InterestLegitimate Educational Interest

Who IS and IS NOT Who IS and IS NOT Covered Under FERPA?Covered Under FERPA?

Students Students who are or have who are or have been in attendance at a been in attendance at a postsecondary institution postsecondary institution are covered under FERPAare covered under FERPA..

Applicants Applicants who are denied who are denied admission or who never admission or who never attend are not covered attend are not covered under FERPA.under FERPA.

When do FERPA Rights Begin When do FERPA Rights Begin and End for a Student?and End for a Student?

Rights begin when the student is “in Rights begin when the student is “in attendance” as defined by the institution. attendance” as defined by the institution.

For Dowling College this means a student For Dowling College this means a student is officially registered for at least one is officially registered for at least one class and that class has started.class and that class has started.

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

Student (and Former Student) Student (and Former Student) Rights Under FERPARights Under FERPA

To inspect their education records. To inspect their education records.

To request an amendment to their record and a hearing To request an amendment to their record and a hearing if the request is for amendment is unsatisfactory.if the request is for amendment is unsatisfactory.

Student (and Former Student) Student (and Former Student) Rights Under FERPA Rights Under FERPA Continued…Continued…

To file a complaint with The U.S. Dept. of To file a complaint with The U.S. Dept. of Education if they feel their rights are being Education if they feel their rights are being violated.violated.

To expect that their education records are To expect that their education records are kept confidential except where special kept confidential except where special provisions are made. provisions are made.

To suppress the disclosure of directory To suppress the disclosure of directory information. information.

What are Education What are Education Records?Records?

Records that directly relate to a Records that directly relate to a student and are maintained by an student and are maintained by an institution.institution.

These records can be in any media These records can be in any media form: handwritten, print, type, film, form: handwritten, print, type, film, electronic, microfiche, etc.electronic, microfiche, etc.

What Information Must be What Information Must be Handled in a Secure Way?Handled in a Secure Way?

Any personally identifiable piece of Any personally identifiable piece of information, other than strictly information, other than strictly

directory information. Items such as directory information. Items such as those listed below fall into this those listed below fall into this

category.category.

Registration formsRegistration forms TranscriptsTranscripts Student information displayed on a computer screenStudent information displayed on a computer screen GradesGrades Student schedulesStudent schedules Class assignmentsClass assignments Class RostersClass Rosters Reports/documents containing Student ID/SSN Reports/documents containing Student ID/SSN

What are What are NOTNOT Considered Considered to be Education Records:to be Education Records:

Personal NotesPersonal Notes – kept by a – kept by a faculty/staff member and if ONLY faculty/staff member and if ONLY kept in the sole possession of kept in the sole possession of the one who made the record.the one who made the record.

Personal Notes taken in conjunction Personal Notes taken in conjunction with any other person are not sole with any other person are not sole possession notes.possession notes.

Sharing personal notes with another Sharing personal notes with another person or placing them in an area person or placing them in an area where they can be viewed by others where they can be viewed by others classifies them as “education classifies them as “education records”.records”.

Also Also NOTNOT Considered to be Considered to be Education Records…Education Records…

Law Enforcement Unit Records – Law Enforcement Unit Records – maintained solely for law maintained solely for law enforcement purposes & revealed enforcement purposes & revealed only to law enforcement agencies.only to law enforcement agencies.

Employment RecordsEmployment Records – of those whose – of those whose employment is not contingent upon employment is not contingent upon being a student.being a student.

Records created as a result of being a Records created as a result of being a student (work study, graduate student (work study, graduate assistant, etc.) are education records.assistant, etc.) are education records.

Medical RecordsMedical Records - created by a health - created by a health care professional used only for the care professional used only for the medical/health treatment of the medical/health treatment of the student.student.

Alumni RecordsAlumni Records - created after - created after student has left the institution.student has left the institution.

What Information can be What Information can be Released?Released?

Directory Information.Directory Information. Information that the student has Information that the student has

given written consent to release.given written consent to release. Information needed by College Information needed by College

officials who have a legitimate officials who have a legitimate educational interest.educational interest.

Information needed by certain Information needed by certain government agencies.government agencies.

What is “Directory What is “Directory Information”?Information”?

It is information that can be It is information that can be released without the student’s released without the student’s written consent.written consent.

Each college, to some extent, Each college, to some extent, can determine what information can determine what information is classified as directory is classified as directory information.information.

Directory Information at Directory Information at Dowling College includes:Dowling College includes:

Name Name Address Address Telephone numberTelephone number Campus email address Campus email address Field of study, including majors, minors, Field of study, including majors, minors,

certifications, and pre-professional areas of certifications, and pre-professional areas of studystudy

Class (e.g. sophomore)Class (e.g. sophomore) Enrollment status (full-time, part-time, or less Enrollment status (full-time, part-time, or less

than part-time)than part-time) Participation in officially recognized activities Participation in officially recognized activities

and sports, including photographs of athletesand sports, including photographs of athletes Dates of attendance, including matriculation, Dates of attendance, including matriculation,

drop, and withdrawal datesdrop, and withdrawal dates

Directory InformationDirectory Information continued…continued…

Degrees and certificates received including Degrees and certificates received including date awarded date awarded

Awards received, including deans list, Awards received, including deans list, institutional honors, departmental honors, and institutional honors, departmental honors, and memberships in national honor societies memberships in national honor societies

Previous education institutions attendedPrevious education institutions attended

What is NEVER Directory What is NEVER Directory Information:Information:

RaceRace

GenderGender

GradesGrades

GPAGPA

Country of CitizenshipCountry of Citizenship

SSN/Student NumberSSN/Student Number

ReligionReligion

Release of Information with Consent

Non-directory information may be released with the student’s consent.

A completed and signed Release for Disclosure of Educational Records form will grant the College permission to release specific non-directory information to third parties, provided the student specifically authorizes the designated third party as being permitted access to the particular information requested.

The Release for Disclosure of Educational Records form can be found in the Office of the Registrar, FH 106 or downloaded from the Registration and Student Records Central web page at http://www.dowling.edu/mydowling/registration/

The consent form will remain active until officially withdrawn in writing by the student.

Release of Information with ConsentContinued…

FERPA HoldFERPA Hold

Students have the right under the law Students have the right under the law of FERPA to request that their of FERPA to request that their directory information directory information notnot be released. be released.

To institute a FERPA hold, the student To institute a FERPA hold, the student must submit their request in writing must submit their request in writing to the Office of the Registrar, 106 to the Office of the Registrar, 106 Fortunoff Hall.Fortunoff Hall.

FERPA HoldFERPA Hold Prevents the College from Prevents the College from

releasing any information about a releasing any information about a studentstudent

The College cannot even The College cannot even acknowledge that the person is a acknowledge that the person is a student at Dowlingstudent at Dowling

Strongly recommend against Strongly recommend against students obtaining a FERPA hold, students obtaining a FERPA hold, unless it is absolutely necessaryunless it is absolutely necessary

Who Can Access Who Can Access Student Information Student Information Without Obtaining Without Obtaining Written Consent?Written Consent?

College faculty, staff, and other College faculty, staff, and other designated designated officialsofficials, who, to carry out their responsibilities, , who, to carry out their responsibilities, have a have a legitimate educational interestlegitimate educational interest..

A Designated college official is a person employed by the College in an administrative, supervisory, academic, research, or support staff position (including law enforcement unit personnel and health staff). Also considered college officials are members of the Board of Trustees, a person or company with whom the College has contracted (such as an attorney, auditor, or collection agent), temporary employees, student workers, and graduate assistants employed by the College.

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.

Who Else Can Access Student Who Else Can Access Student Information Without Obtaining Prior Information Without Obtaining Prior

Written Consent?Written Consent? The individual studentThe individual student

Whomever the student authorizes Whomever the student authorizes by providing the institution with a by providing the institution with a written release (release must be written release (release must be written, signed and dated and written, signed and dated and must specify the records to be must specify the records to be disclosed and the identity of the disclosed and the identity of the recipient)recipient)

Parties requesting directory Parties requesting directory information (unless the student information (unless the student has a Privacy or FERPA hold)has a Privacy or FERPA hold)

Officials of other schools in which Officials of other schools in which a student seeks or intends to a student seeks or intends to enroll or is enrolledenroll or is enrolled

Parents if parents claim the student as a dependent for tax purposes. The College 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

An alleged victim of an alleged perpetrator of a crime of violence or a non-forcible sex offense in connection with a Disciplinary Proceeding

Parents regarding alcohol and drug violations of a student under 21 years of age

Parents’ RightsParents’ Rights

Parents may obtain directory Parents may obtain directory information.information.

Parents may obtain non-Parents may obtain non-directory information by directory information by obtaining a signed consent obtaining a signed consent from their child.from their child.

TAKE NOTE:TAKE NOTE:

Access to student information Access to student information via computer software does not via computer software does not authorize unrestricted use of authorize unrestricted use of that information.that information.

Curiosity is not a valid reason to Curiosity is not a valid reason to view student information.view student information.

Records should only be Records should only be accessed in the context of accessed in the context of official business.official business.

MORE Important MORE Important Information:Information:

When in doubt – When in doubt – Don’t Give It Out!!Don’t Give It Out!! Refer requests for student academic Refer requests for student academic

information to the Office of the Registrar.information to the Office of the Registrar. Information about a student can be Information about a student can be

released with a signed consent from the released with a signed consent from the student.student.

Information on a computer should be Information on a computer should be treated with the same confidentiality as a treated with the same confidentiality as a paper copy.paper copy.

More, More More, More Important Important Information…Information… Do not leave confidential Do not leave confidential

information displayed on an information displayed on an unattended computer.unattended computer.

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

Record DisposalRecord Disposal

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

Helpful Hints for Helpful Hints for FacultyFaculty

To Avoid FERPA Violations…

Please DO NOT

Use the SSN/Student ID to post Use the SSN/Student ID to post grades.grades.

Leave graded tests in a stack for Leave graded tests in a stack for students to sort through.students to sort through.

Circulate a printed class list with Circulate a printed class list with the Student Name and the Student Name and SSN/Student ID.SSN/Student ID.

Helpful Hints Helpful Hints ContinuedContinued To Avoid FERPA Violations…

Please DO NOT

Provide anyone with student schedules.Provide anyone with student schedules.

Provide anyone with lists of students Provide anyone with lists of students enrolled in your classes.enrolled in your classes.

Include confidential information (e.g., Include confidential information (e.g., grades, GPA, #of credits) in a grades, GPA, #of credits) in a recommendation letter without the written recommendation letter without the written consent of the student.consent of the student.

Letters of Letters of RecommendationRecommendation

If non-directory information is included If non-directory information is included in a letter of recommendation, you in a letter of recommendation, you must have a signed consent from the must have a signed consent from the student.student.

The signed consent should include the The signed consent should include the following:following: Who has permission to write the letterWho has permission to write the letter Where the letter should be sent toWhere the letter should be sent to What non-directory information should be What non-directory information should be

includedincluded

Sample Permission Letter for Sample Permission Letter for Writing a Letter of Writing a Letter of RecommendationRecommendation

I give permission for Dr. Payne to write a I give permission for Dr. Payne to write a letter of recommendation to:letter of recommendation to:

Sachem Central School District OfficeSachem Central School District Office111 Union Avenue111 Union AvenueHolbrook, NY 11741Holbrook, NY 11741

Dr. Payne has my permission to include my Dr. Payne has my permission to include my grades, GPA, and class rank in this Letter.grades, GPA, and class rank in this Letter.

I waive/do not waive my right to review a I waive/do not waive my right to review a copy of this letter at any time in the future.copy of this letter at any time in the future.

SignatureSignature DateDate

For Additional InformationFor Additional Information Visit the web at Visit the web at http://

www.dowling.edu/mydowling/registration/ferpa.shtm or contact:or contact:

– Ms. Jennifer Kuhl, Registrar at x3273 or Ms. Jennifer Kuhl, Registrar at x3273 or kuhlj@dowling.edu

– Ms. Nadine Lauria, Associate Registrar at x3257 or Ms. Nadine Lauria, Associate Registrar at x3257 or Laurian@dowling.edu

– Dr. David Ring, VP for Administration and Student Dr. David Ring, VP for Administration and Student Affairs at x3054 or Affairs at x3054 or Ringd@dowling.edu