© Copyright 2008, United Student Aid Funds, Inc. All Rights Reserved.

OASFAASpring 2008 Conference

FERPA

1

The Family Educational Rights and Privacy ActBackground

• Signed into law August 21, 1974.

• Became effective November 19, 1974.

• Commonly called the “Buckley Amendment.”

• 34 CFR Part 99.

2

The Family Educational Rights and Privacy ActBackground

• Family Policy Compliance Office.– (202) 260-3887– www.ed.gov/policy/gen/guid/fpco/ferpa/index.html

FERPA applies to “an educational agency or institution to which funds have been made available under any

program administered by the Secretary (of education)” (34 CFR 99.1).

3

Rights of Parents and Eligible Students

• Rights transfer to students:– At age 18. – “Eligible students.”

• Currently or formerly enrolled.

• Not:– Deceased students.– Prospective students.

3

Rights of Parents and Eligible Students

Parent: A natural parent, a guardian, or an individual acting as

a parent in the absence of a parent

or guardian.

3

Rights of Parents and Eligible Students

• 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.– Potential conflict.

4

Written ConsentNot Needed

• Legitimate educational interests.

• Other schools to which a student is transferring.

• Audit/evaluation purposes.• Appropriate parties with

students’ financial aid.• Organizations conducting

studies for schools.• Accrediting organizations.

• A judicial order or lawfully issued subpoena.

• Health and safety emergencies.

• State and local authorities in juvenile-justice system.

• Under age 21 and violated alcohol and drug laws or policies.

• Alleged victim of a crime.

5

Written ConsentStandards

• Written:– Specify the records to be

disclosed.– State the purpose of the

disclosure.– Identify the party or class of

parties to whom the information will be disclosed.

– Be signed and dated.

• Electronic:– Identifies and authenticates

a particular person as the source of the electronic consent.

– Identifies that person’s approval of the information contained in the electronic consent.

6

Directory Information

• Student’s name.• Address.• Telephone listing.• E-mail address.• Photograph.• Date and place of birth.• Major field of study.• Dates of attendance.• Grade level.• Enrollment status.• Participation in officially-

recognized activities and sports.• Athlete weight and height.• Degrees, honors and awards.• Most recent institution attended.

Directory information refersto information contained in

students’ education records,not generally consideredharmful or an invasion of

privacy, if disclosed.

7

Annual Notification

• 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.

7

Education Record

• Records, files, documents or other materials containing student-related information.

• Maintained by educational agency or institution.– Includes records accessible to another individual.– Handwritten, print, electronic, CD-ROM or other

media.– FERPA does not mandate time frame for retaining.

• Time frame varies based on the type of record.• Federal, state and/or institutional policies

specify archiving needs.

8

Education 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.

8

Education Records Requirements

• School must maintain:– List of all education

records.– Location of records.– Procedures by which

student can review records.

8-9

Record of Disclosures

• Disclosure must include:– Names of parties who

requested or received the information.

– Parties who requested or received information and any legitimate interest.

• Exceptions:– Eligible student or parent.– School official with legitimate

educational interest.– Seeking directory information.– A subpoena with orders that

the subpoena not be disclosed.

– U.S. Attorney General investigating or prosecuting terrorism crimes.

9-10

Access to Student RecordsSubpoenas

• A command from a court requiring a person’s appearance to provide testimony or evidence.

• Student notification required.– Send via certified mail with return receipt.– Exceptions:

• Subpoena specifies not to notify student.• Submitting records.

– Certified copies sent to issuer or agency collecting documents.

– May charge fees for copying and mailing.• Consult with legal counsel before

responding.

10-11

Access to Student RecordsStudent Employees’ Use of Records

Office is responsible for the privacy and confidentiality of student records that student

employees use.

• Recommended use of code of responsibility.– New-employee training tool.– Violations and sanctions explained.

11-12

Access to Student RecordsParental Access to Records

• Parents have no inherent rights to inspect eligible student’s records.

• Rights can be modified. – Written consent of student.– In compliance with subpoena.– In connection with health or safety issue.– Parent(s) claim student on taxes.

13

FERPA Violation Penalties

• Family Policy Compliance Office.– 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.

13

FERPA Violation PenaltiesGonzaga v. John Doe (June 20, 2002)

• Students cannot sue schools that release grades and other personal information improperly.– 7-2 Vote.

• Found that FERPA gives “no specific, individually enforceable rights.”

• Leaves enforcement to ED.

14-15

Ensuring Compliance

• 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.– NASFAA Self-Evaluation Guide on FERPA.– AACRAO’s FERPA Guide.

16-19

Federal Legislative Amendments

• The Jeanne Clery Disclosure of Campus Security and Campus Crime Statistics Act.

• The Gramm-Leach-Bliley Act.

• The Campus Sex Crime Prevention Act.

• The USA Patriot Act.• The Student and

Exchange Visitor Information System.

Notice of Proposed RulemakingFederal Register March 24, 2008

• Proposed changes to FERPA include:– Implementing provisions of amendments:

• USA Patriot Act.• Campus Sex Crimes Prevention Act.

– Implementing Supreme Court decisions:• Owasso Independent School District vs Falvo.• Gonzaga University vs Doe.

– Clarifying and updating provisions based on ED’s experience administering FERPA.

– Clarifying issues resulting from tragic events at Virginia Tech.

20-25

Federal Update

Case Studies

© Copyright 2008, United Student Aid Funds, Inc. All Rights Reserved.

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