FERPA

1. How can I post grades without violating FERPA?

The public posting of grades either by the student's name, institutional student identification number or social security number, without the student's written permission, is a violation of FERPA. Instructors can assign students unique numbers or codes that can be used to post grades. However, the order of the posting must not be alphabetic or by any other identifiable order.

2. How can I return graded assignments without violating FERPA?

If assignments contain "personally identifiable" information, leaving them unattended for anyone to see is a violation of FERPA. A possible solution would be either to leave the graded assignments with an assistant or secretary who would ask students for proper identification prior to distributing them or to leave them in a sealed envelope with only the student's name on it.

3. How can I send grades to students without violating FERPA?

Using Self-Service to post students grades is always the best option. In addition, instructors can notify students of their final grades via the U.S. Mail if the information is enclosed in a sealed envelope. Notification of grades via a postcard violates a student's privacy. Notification of grades via email is permissible. However, there is no guarantee of confidentiality.

4. Who has access to student academic records?

Faculty members must demonstrate "a legitimate educational interest" in order to access student records (e.g. advising students, retention study, etc.) Faculty members do not have access to student academic records unless their normal job duties specifically require access.

5. What information may I disclose to parents?

Without the express, written permission of the student, parents, like all other third parties, may have access only to the student's directory information. If a student has restricted his or her directory information, then directory information is also considered confidential. Such things as progress in a course, deficiencies in a subject area, scores and grades on papers, exams, etc. are all examples of personally identifiable information that make up part of the student's academic record. When in doubt, do not release information.

6. What information may I release in crisis situations or emergencies?

If non‐directory information is needed to resolve a crisis or emergency situation, an education institution may release that information if the institution determines that the information is "necessary to protect the health or safety of the student or other individuals." Factors considered in making this assessment are: the severity of the threat to the health or safety of those involved; the need for the information; the time required to deal with the emergency; and the ability of the parties to whom the information is to be given to deal with the emergency.

7. How does FERPA affect letters of recommendation?

Written permission of the student is required for a letter of recommendation if any information included in the recommendation is part of the "academic record" (grades, GPA and other non‐directory information). Personal observations about a student may be disclosed without the student's consent.

8. How do I properly dispose of confidential information?

Dispose of all material containing confidential information (such as tests, papers, class rosters) by shredding or placing them in a receptacle intended for the collection of material to be disposed of in a secure manner.

9. What are the consequences for violating FERPA?

FERPA violations may result in the loss of federal funding for the university. Any breach of confidentiality could lead to disciplinary action, including the possibility of termination of employment.

10. Must I formally acknowledge that I understand FERPA?

All employees who work with the student records database (Datatel) must sign the Confidentiality of Student Records Statement. This document explains that academic records may only be disclosed to or discussed with the student and individuals with legitimate educational interest. After signing this statement, it becomes part of the employee's file.

All university offices should consider developing a procedure for handling confidential academic records and ensuring that all staff members are educated in these procedures.

1. Who has access to student academic records?

An institution may only disclose personally identifiable information without the student's written consent to "school officials" whom the institution has determined to have a "legitimate educational interest."

2. When should I release students’ information?

Such things as progress in a course, deficiencies in a subject area, scores and grades on papers, exams, etc. are all examples of personally identifiable information that make up part of the student's academic record. Without the express, written permission of the student, parents, like all other third parties, may have access only to the student's directory information. If a student has restricted his or her directory information, then directory information is also considered confidential. An institution is not obligated to release directory information to anyone. FERPA only says that an institution MAY release information, but there is no obligation to do so. When in doubt, do not release information.

3. Does FERPA apply to deceased students?

The privacy rights of an individual expire with that individual's death. Institutional records held for a deceased person is not a FERPA issue, but a matter of institutional policy. CLU will exercise its own discretion in deciding whether, and under what conditions, information should be disclosed to survivors or third parties.

4. What FERPA responsibilities do student workers have?

FERPA does not preclude an institution from identifying students as "school officials" with a "legitimate educational interest" for specific purposes. The same requirements and responsibilities for a full time school official exist for student workers. The student workers must be trained on FERPA just as if they were faculty or staff.

5. How does FERPA apply to students with financial holds?

Students have the right to inspect the contents of their student folder, regardless of their financial status with the institution. However, an institution is not required to release an official transcript if the student has a past due account.

6. How do I properly dispose of confidential information?

Dispose of all material containing confidential information (such as tests, papers, class rosters) by shredding or placing them in a receptacle intended for the collection of material to be disposed of in a secure manner.

7. What information may I release in crisis situations or emergencies?

If non‐directory information is needed to resolve a crisis or emergency situation, an education institution may release that information if the institution determines that the information is "necessary to protect the health or safety of the student or other individuals." Factors considered in making this assessment are: the severity of the threat to the health or safety of those involved; the need for the information; the time required to deal with the emergency; and the ability of the parties to whom the information is to be given to deal with the emergency.

8. May I release confidential information to officially registered student groups?

Student groups do NOT have legitimate educational interest and consequently may not be given confidential information about a student or students without each student's express, written permission.

9. What are the consequences for violating FERPA?

FERPA violations may result in the loss of federal funding for the university. Any breach of confidentiality could lead to disciplinary action, including the possibility of termination of employment.

10. Must I formally acknowledge that I understand FERPA?

All employees who work with the student records database (Datatel) must sign the Confidentiality of Student Records Statement. This document explains that academic records may only be disclosed to or discussed with the student and individuals with legitimate educational interest. After signing this statement, it becomes part of the employee's file.

All university offices should consider developing a procedure for handling confidential academic records and ensuring that all staff members are educated in these procedures.

Directory Information

Information contained in an education record of a student that generally would not be considered harmful or an invasion of privacy if disclosed. At Cal Lutheran, directory information is defined as: the student's name, address, electronic mail address, campus residence hall, campus box number, campus telephone number, date and place of birth, dates of attendance, degree date, degrees awarded or anticipated, honors, major field of study, previous institution most recently attended, participation in recognized activities or sports, and weight and height of members of athletic teams.

NOTE: Items that can never be identified as directory information are a student's social security number, citizenship, gender, religious preference, grades, and GPA.

Dates of Attendance

This is the period of time during which a student attends or attended an institution. Examples of dates of attendance include an academic year, a spring semester, or a first quarter. The term does not include specific daily records or a student's attendance pattern at the institution.

Education Institution

Generally means any public or private agency or institution (including governing boards which provide administrative control or direction of a university system) of post‐secondary education that receives funds from any federal program under the administrative responsibility of the Secretary of Education. The term refers to the institution as a whole, including all of its components (e.g., schools or departments in a university).

Educational Records

Those records directly related to a student and maintained by the institution or by a party acting for the institution.

The term "education records" does not include the following:

1. Records of institutional, supervisory, administrative, and certain educational personnel which are in the sole possession of the maker and are not accessible or revealed to any other individual except a substitute who performs on a temporary basis (as defined in the institutional personnel policy) the duties of the individual who made the records.
2. Records maintained by a law enforcement unit of the education agency or institution that were created by that law enforcement unit for the purpose of law enforcement.
3. Records relating to individuals who are employed by the institution which are made and maintained in the normal course of business, relate exclusively to individuals in their capacity as employees, and are not available for use for any other purpose.
4. Records of individuals in attendance at an institution who are employed as a result of their status as students are education records, e.g.; work‐study, graduate assistants.
5. Records relating to a student (see the definition of "eligible student" ) which are:
   1. created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in his or her professional capacity or assisting in a paraprofessional capacity;
   2. used solely in connection with the provision of treatment to the student; and
   3. not disclosed to anyone other than individuals providing such treatment, so long as the records can be personally reviewed by a physician or other appropriate professional of the student's choice. (Appropriateness may be determined by the institution.) "Treatment" in this context does not include remedial educational activities or activities which are part of the program of instruction at the institution.
6. Records of an institution which contain only information relating to a person after that person is not longer a student at the institution (e.g., information gathered on the accomplishments of alumni).

FERPA

Refers to the Family Educational Rights and Privacy act of 1974, as Amended, enacted as Section 438 of the General Education Provisions Act (20 U.S.C. 1232g)

Legitimate Educational Interest

The demonstrated "need to know" by those officials of an institution who act in the student's educational interest, including faculty, administration, clerical and professional employees, and other persons, including student employees or agents, who manage student record information. (Although the Act does not define "legitimate educational interest", it states that institutions must establish their own criteria, according to their own procedures and requirements, for determining when their school officials have a legitimate educational interest in a student's education records.

Parent

Includes a natural parent, a guardian, or an individual acting as a parent in the absence of a parent or a guardian.

Personally Identifiable

Data or information which include:

1. the name of the student, the student's parent, or other family members;
2. the student's address;
3. a personal identifier such as a social security number or student number;
4. other indirect identifiers, such as the student’s date of birth, place of birth and mother’s maiden name;
5. other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to be able to identify the student with reasonable certainty; or
6. information requested by a person who the institution reasonably believes knows the identity of the student to whom the education record directly relates.

Records

Any information or data recorded in any medium (e.g., handwriting, print, tapes, film, microfilm, microfiche, any form of electronic data storage).

School Officials

These are members of an institution who act in the student's educational interest within the limitations of their "need to know." These may include faculty, administration, clerical and professional employees and other persons, including student employees or agents, who manage student education record information. (Although the Act does not define "school officials," it states that institutions must establish their own criteria, according to their own procedures and requirements, for determining them. This is a recommended definition.)

Student

This is any individual for whom an education institution maintains education records. The term does not include an individual who has never attended the institution. An individual who is or has been enrolled in one component unit of an institution and who applies for admission to a second unit has no right to inspect the records accumulated by the second unit until enrolled therein.

Subpoena

A command from a court to require the person named in the subpoena to appear at a stated time and place to provide testimony or evidence. There are two main types of subpoenas: "duces tecum" (requires the production of documents, papers, or other tangibles) and "ad testificandum" (requires person to testify in a particular court case).