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Understand the basics of students' right to privacy and protecting their records. Learn about FERPA and the Patriot Act, and the rights and responsibilities of educational institutions. Ensure compliance to avoid penalties and safeguard student information.
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The Basics of Students' Right to Privacy and Protecting Their Records Family Educational Rights and Privacy Act (FERPA) and the Patriot Act of 2001
What is FERPA? FamilyEducational Rights andPrivacyAct The Act provides these rights to students at the postsecondary level: • The right to inspect and review the education record. • The right to seek to have the records amended. • The right to have some control over the disclosure of information.
Definition of Student A student is any individual: • who is or has been in attendance at the college; and • regarding whom the college maintains education records.
What is an Education Record? Documentation that a college creates or processes concerning a student
What is an Education Record?(continued) “Record” means: Any information maintained in any way. This includes but is not limited to: handwriting computer media print video or audio tape film microfilm e-mail microfiche
What is “Personally Identifiable Information”? • Student name • A personal identifier, such as SSN • Characteristics or other information that would make a student’s identity easily traceable
Directory Information Information that is not generally considered harmful or an invasion of privacy Information that may be disclosed without prior written consent of the student
Directory Information at ESC Name Address Telephone Number Dates of Attendance Most recent previous educational institution attended Major Area of Concentration (Area of Study and Concentration) Degrees and Awards Earned Participation in officially recognized College activities Birth Date
Record-Keeping Requirement A College must maintain a record of each request for access to and each disclosure of personally identifiable information from the education records of each student EXCEPT
When disclosure is made to: The student A designated school official A party with written consent from the student A party seeking directory information A party with a law enforcement subpoena or court order which specifies that the existence or contents of the subpoena or court order not be disclosed. The US Attorney General in response to an ex parte order (Patriot Act). Health or Safety Emergency deemed an imminent danger to a student, other students, or other members of the community or to a situation that requires the immediate need for information from education records to avert/diffuse serious threats to the safety or health of a student or other individuals.
Enforcement and Penalties • The Family Policy Compliance Office in the U.S. Department of Education is the enforcement agency. • Non-compliance can result in the withdrawal of U.S. Department of Education Funds. • Not intended to give students the right to civil penalties/fines.
SUMMARY • Students are accorded privacy rights under the Family Educational Rights and Privacy Act. • In most cases, written consent is required from the student to release information from the student’s record.
SUMMARY (continued) • EVERYONE at the institution must comply with FERPA. • Failure to follow FERPA can result in the loss of federal funding.
Protecting and Respecting the privacy rights of students is part of all our jobs. It’s the right thing to do.
What is Your Role? • Take reasonable steps to understand “who” is requesting information • Are you speaking to the student? • Are you speaking to a third party? • Share information as appropriate with the person requesting information • Make sure that student records are maintained in a secure manner
What is Your Role?(continued) • Take reasonable steps to understand “who” is requesting information • Are you speaking to the student? • Ask the person for a combination of “unique” information that will assure you that you are speaking to the student, such as: his/her full name, birth date, student ID, primary mentor, when you last attended • Are you speaking to a third party (not the student)? • If this is to confirm a degree credential, send the inquiry to the Office of the Registrar. • Is this over the phone? ESC policy restricts release of Directory Information over the phone to: Dates of Attendance, Area of Study and Concentration, Degree and Awards Earned.
What is Your Role ?(continued) 2. Share information as appropriate with the person requesting information • If the person is the student, you can share any and all information. • If the person is not the student, you are limited to ESC policies relating to Directory Information. Remember, we “may” release Directory Information. We do not “have to.”
What is Your Role ?(continued) • Make sure that student records are maintained in a secure manner. • Paper records should be maintained in lockable filing cabinets and rooms. • Electronic files should be maintained in such a way to ensure maximum security and access only to authorized personnel. • Tech Tip! Always use bcc (not cc) when sending email to a group of students.
What is Your Role ?(continued) The student must provide written consent for anyone/any agency to access their education record information not covered by exceptions of the act or documented arrangements (in writing) previously made by the student currently in effect. This means that the college cannot release non-directory education record information to mothers, fathers, spouses, partners, significant others, long-lost best friends, etc.
Dealing with Requests for Information • Don’t hesitate to send the request to the Office of the Registrar. • Don’t hesitate to say that you don’t know and will get back to the party within a reasonable time. • When in doubt, consult College policies and procedures.
Subpoenas • All subpoenas should be accepted and forwarded to the Office of Administration. • If the subpoena is about a student, it will be forwarded to the Office of the Registrar for the institutional response.
Useful Sites and Contacts • www.esc.edu/TranscriptRequest This “address” takes the student straight to the Office of the Registrar website that contains information about how to request a transcript. • Office of the Registrar. www.esc.edu/Registrar • ESCNet, Policies and Procedures, for the college policies concerning the adherence to the Family Rights and Privacy Act and related student record security policies.
Example #1 “Do I have a financial hold on my account?” asks Neve R. Paiz to the center staff member over the phone. “Yes you do” said the student account clerk. FERPA Violation?
Example #1 Answer On the phone? FERPA says we do not need a signature to release to the student; but are we sure that is the student? Have you taken steps to ascertain that this is actually the student calling by having the caller provide a unique combination of information?
Example #2 Lai Zee’s advisor has been sending emails to her for 3 weeks asking why Lai Zee has missed her appointments. No reply. Having no luck with email, the advisor locates the student’s home phone number. The advisor calls the number and gets sent to voicemail. (“You have reached 123-4567; please leave a message at the tone”). The advisor then says, “This message is for Lai Zee; please contact me asap; I am concerned that you will not earn credit for your studies. Let’s talk about your options”. Is this a FERPA problem?
Example #2 Answer Leaving a message on voicemail presents the potential problem that someone other than the student may access the message; therefore only Directory Information could be included. • Is student progress and academic achievement information Directory Information? NO
Example #3 Special Agent 99 comes to a college office and states that the FBI is investigating a possible interstate book selling scam, and requests information on all students dismissed for student conduct reasons and bookstore purchases of three students. After seeing the badge and revolver the agent displayed, the college office provided the information. Was this a problem?
Example #3 Answer Was this a problem? Yes. Student conduct information is considered educational record information, therefore FERPA does apply. An FBI agent doing an investigation does not meet any exception condition in the regulations that does not require a student signature. Therefore a lawfully issued subpoena or court order or ex parte order coming the from the Attorney General is required.
Example #4 The local new car dealer has asked for a list of all new graduates, including addresses, so that they can send information about “new graduates purchasing discounts.” Such information is listed as Directory Information. But the request is denied. The dealer, also a member of the College Council and recent attendee at a FERPA training session, responds by saying that since you have names and addresses as Directory Information, in accordance with FERPA you have to give that information to the dealer.True? False?
Example #4 Answer False. Release of Directory Information is totally discretionary. FERPA has no requirements as to the release of Directory Information. In addition, we have an ESC Policy that prohibits the release of lists of Empire State College graduates to organizations or individuals for commercial purposes.
Example #5 “Did you give me a ‘No Credit’ for Public Policy?” the young man asked Professor Plum as they were waiting in line at the coffee shop downstairs from the center. The student’s girlfriend looked quite defiant as she stood next to him, cell phone attached to her ear. “Yes I did” responded Professor Plum.FERPA Violation?“And furthermore, as your academic advisor I must inform you that due to your less than stellar performance this semester you are on academic warning” the professor added, as he paid for his Caffe Americano and left the coffee shop.FERPA Violation?
Example #5Answer The fact is that students request educational record information on a regular basis in such environments. Thus the response to the question about the outcome was not a violation. However, the providing of unsolicited information, “You are on academic warning” was a violation, because the student had not specifically requested the information, and the professor released this information to other third parties by adding this to the conversation in a public place without the signed release from the student. Keep in mind that the professor could have deferred in delivering the information, and should have said “come to my office and we can discuss” or “let’s make an appointment to discuss your progress.”
