Texas Even Start Administrative Manual
June 2004, (Revised January 2008, September 2008)
FERPA, EDGAR, OMB
Who is Behind the Family Educational Rights and
Privacy Act?
The United States Congress is a body of elected officials from each
state across the nation that consists of two chambers: the United States
Senate and the United States House of Representatives. Two United States
Senators represent each state on the federal level and the number of
the U.S. House of Representatives for each state, varies according to
the population in each state. Since 1934, the legislative sessions of
Congress convene on January 3 of odd-numbered years and adjourn on January
3 of the following odd-numbered year. Names of congressional members
from Texas may be found at: http://www.house.gov/house/MemberWWW_by_State.shtml#tx
for the House of Representatives members and http://www.senate.gov/general/contact_information/senators_cfm.cfm?State=TX for
your Senate representative.
The U.S. House Committee on Education and Labor is the federal
House of Representatives’ committee that created the FERPA and
will be responsible for amending the act. The link to the list of all
the members is: http://edworkforce.house.gov/about/index.shtml
On the senate side, the federal senate committee in charge of education
policy and FERPA is the U.S. Senate Committee on Health, Education, Labor,
and Pensions. The committee’s website is: http://help.senate.gov/
Family Policy Compliance Office
The Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g;
34 CFR Part 99) is a Federal law that protects the privacy of student
education records. The law applies to all schools that receive funds
under an applicable program of the U.S. Department of Education.
FERPA gives parents certain rights with respect to their children's
education records. These rights transfer to the student when he or she
reaches the age of 18 or attends a school beyond the high school level.
Students to whom the rights have transferred are "eligible students."
- Parents or eligible students have the right to inspect and review
the student's education records maintained by the school. Schools are
not required to provide copies of records unless, for reasons such
as great distance, it is impossible for parents or eligible students
to review the records. Schools may charge a fee for copies.
- Parents or eligible students have the right to request that a school
correct records which they believe to be inaccurate or misleading.
If the school decides not to amend the record, the parent or eligible
student then has the right to a formal hearing. After the hearing,
if the school still decides not to amend the record, the parent or
eligible student has the right to place a statement with the record
setting forth his or her view about the contested information.
- Generally, schools must have written permission from the parent
or eligible student in order to release any information from a student's
education record. However, FERPA allows schools to disclose those records,
without consent, to the following parties or under the following conditions
(34 CFR § 99.31):
- School officials with legitimate educational interest;
- Other schools to which a student is transferring;
- Specified officials for audit or evaluation purposes;
- Appropriate parties in connection with financial aid to a student;
- Organizations conducting certain studies for or on behalf of the
school;
- Accrediting organizations;
- To comply with a judicial order or lawfully issued subpoena;
- Appropriate officials in cases of health and safety emergencies;
and
- State and local authorities, within a juvenile justice system,
pursuant to specific State law.
Schools may disclose, without consent, "directory" information
such as a student's name, address, telephone number, date and place of
birth, honors and awards, and dates of attendance. However, schools must
tell parents and eligible students about directory information and allow
parents and eligible students a reasonable amount of time to request
that the school not disclose directory information about them. Schools
must notify parents and eligible students annually of their rights under
FERPA. The actual means of notification (special letter, inclusion in
a PTA bulletin, student handbook, or newspaper article) is left to the
discretion of each school.
For additional information or technical assistance, you may call (202)
260-3887 (voice). Individuals who use TDD may call the Federal Information
Relay Service at 1-800-877-8339. Or you may contact us at the following
address:
Family Policy Compliance Office
U.S. Department of Education
400 Maryland Avenue, SW
Washington, D.C. 20202-5901
The Basic Rules of FERPA
- Student educational records are considered confidential and may
not be released without the written consent of the student.
- As a faculty or staff member you have a responsibility to protect
educational records in your possession.
- Some information is considered public (sometimes called “Directory
Information”). This information can be released without the student’s
written permission. However, the student may opt to consider this information
confidential as well. Directory Information is: name, address, phone,
dates of attendance, degrees received, major program, height weight
of athletes, email address, full or part time status, and date of birth.
- You have access to information only for legitimate use in completion
of your responsibilities as a university employee. Need to know is
the basic principle.
- If you are ever in doubt, do not release information until you contact
the Office of Registrar at your university or college or at the Administration
office in your adult education cooperation or Even-Start Family Literacy
Center.
FERPA General Guidance for Students
FERPA is a Federal law that applies to educational agencies and institutions
that receive funding under a program administered by the U. S. Department
of Education. The statute is found at 20 U.S.C. § 1232g and the
Department's regulations are found at 34 CFR Part 99.
Under FERPA, schools must generally afford students who are 18 years
or over, or attending a postsecondary institution:
- access to their education records
- an opportunity to seek to have the records amended
- some control over the disclosure of information from the records.
Specific rights of adult students
- the right to see the information that the institution is keeping
on the student
- the right to seek amendment to those records and in certain cases
append a statement to the record
- the right to consent to disclosure of his/her records
- the right to file a complaint with the FERPA Office in Washington
Special “Don’ts” for Faculty
To avoid violations of FERPA rules, DO NOT:
- at any time use the entire Social Security Number of a student in
a public posting of grades
- ever link the name of a student with that student’s social
security number in any public manner
- leave graded tests in a stack for students to pick up by sorting
through the papers of all students
- circulate a printed class list with student name and social security
number or grades as an attendance roster.
- discuss the progress of any student with anyone other than the student
(including parents) without the consent of the student
- provide anyone with lists of students enrolled in your classes for
any commercial purpose
- provide anyone with student schedules or assist anyone other than
university employees in finding a student on campus
Student Educational Records
A student educational record is just about any information provided
by a student to the university for use in the educational process is
considered a student educational record: personal information; enrollment
records; grades; and schedules.
The storage media in which you find this information does not matter.
Student educational records may be a document in the registrar’s
office; a computer printout in your office; a class list on your desktop;
a computer display screen; or notes you have taken during a advisement
session.
Access to Education Records
Schools are required by FERPA to:
- provide a student with an opportunity to inspect and review his
or her education records within 45 days of the receipt of a request
- provide a student with copies of education records or otherwise
make the records available to the student if the student, for instance,
lives outside of commuting distance of the school
- provide the names and other personally identifiable information
about other students that may be included in the student's education
records.
Schools are NOT required by FERPA to:
- Create or maintain education records;
- Provide students with calendars, notices, or other information which
does not generally contain information directly related to the student;
- Respond to questions about the student.
Amendment of Education Records
Under FERPA, a school must:
- Consider a request from a student to amend inaccurate or misleading
information in the student's education records;
- Offer the student a hearing on the matter if it decides not to amend
the records in accordance with the request;
- Offer the student a right to place a statement to be kept and disclosed
with the record if as a result of the hearing the school still decides
not to amend the record.
A school is not required to consider requests for amendment under FERPA
that:
- Seek to change a grade or disciplinary decision;
- Seek to change the opinions or reflections of a school official
or other person reflected in an education record.
Disclosure of Education Records
A school must:
- Have a student's consent prior to the disclosure of education records;
- Ensure that the consent is signed and dated and states the purpose
of the disclosure.
A school MAY disclose education records without consent when:
- The disclosure is to school officials who have been determined to
have legitimate educational interests as set forth in the institution's
annual notification of rights to students;
- The student is seeking or intending to enroll in another school;
- The disclosure is to state or local educational authorities auditing
or enforcing Federal or State supported education programs or enforcing
Federal laws which relate to those programs;
- The disclosure is to the parents of a student who is a dependent
for income tax purposes;
- The disclosure is in connection with determining eligibility, amounts,
and terms for financial aid or enforcing the terms and conditions of
financial aid;
- The disclosure is pursuant to a lawfully issued court order or subpoena;
or
- The information disclosed has been appropriately designated as directory
information by the school.
Annual Notification
A school must annually notify students in attendance that they may:
- Inspect and review their education records;
- Seek amendment of inaccurate or misleading information in their
education records;
- Consent to most disclosures of personally identifiable information
from education records.
The annual notice must also include:
- Information for a student to file a complaint of an alleged violation
with the FPCO;
- A description of who is considered to be a school official and what
is considered to be a legitimate educational interest so that information
may be shared with that individual; and
- Information about who to contact to seek access or amendment of
education records.
Means of notification:
- Can include student newspaper; calendar; student programs guide;
rules handbook, or other means reasonable likely to inform students;
- Notification does not have to be made individually to students.
Complaints of Alleged Violations:
Complaints of alleged violations may be addressed to:
Family Policy Compliance Office
US Department of Education
400 Maryland Avenue, SW
Washington, DC 20202-5901
Complaints must:
- Be timely submitted, not later than 180 days from the date you learned
of the circumstances of the alleged violation
- Contain specific allegations of fact giving reasonable cause to
believe that a violation has occurred, including:
- Relevant dates, such as the date of a request or a disclosure
and the date the student learned of the alleged violation;
- Names and titles of those school officials and other third parties
involved;
- A specific description of the education record around which the
alleged violation occurred;
- A description of any contact with school officials regarding the
matter, including dates and estimated times of telephone calls and/or
copies of any correspondence exchanged between the student and the
school regarding the matter;
- The name and address of the school, school district, and superintendent
of the district;
- Any additional evidence that would be helpful in the consideration
of the complaint.
Questions on how to apply FERPA
To which educational agencies or institutions do these regulations
apply?
(a) Except as otherwise noted in § 99.10, this
part applies to an educational agency or institution to which funds have
been made available under any program administered by the Secretary,
if -
(1) The educational institution provides educational
services or instruction, or both, to students; or
(2) The educational agency is authorized to direct
and control public elementary or secondary, or postsecondary educational
institutions.
(b) This part does not apply to an educational agency
or institution solely because students attending that agency or institution
receive non-monetary benefits under a program referenced in paragraph
(a) of this section, if no funds under that program are made available
to the agency or institution.
(c) The Secretary considers funds to be made available
to an educational agency or institution if funds under one or more of
the programs referenced in paragraph (a) of this section -
(1) Are provided to the agency or institution by
grant, cooperative agreement, contract, sub grant, or subcontract;
or
(2) Are provided to students attending the agency
or institution and the funds may be paid to the agency or institution
by those students for educational purposes, such as under the Pell
Grant Program and the Guaranteed Student Loan Program (Titles IV-A-1
and IV-B, respectively, of the Higher Education Act of 1965, as amended).
(d) If an educational agency or institution receives
funds under one or more of the programs covered by this section, the
regulations in this part apply to the recipient as a whole, including
each of its components (such as a department within a university).
What is the purpose of these regulations?
The purpose of this part is to set out requirements for the protection
of privacy of parents and students under section 444 of the General Education
Provisions Act, as amended.
What are the basic rules?
(A) Student educational records are considered confidential and may
not be released without the written consent of the student.
(B) As a faculty or staff member you have a responsibility to protect
educational records in your possession.
(C) Some information is considered public (sometimes called “Directory
Information”). This info can be released without the student’s
written permission. However, the student may opt to consider this info
confidential as well. Directory Information is: name, address, email
address, full or part time status, and date of birth.
(D) You have access to information only for legitimate use in completion
of your responsibilities as university employee. Need to know is the
basic principle.
(E) If you are ever in doubt, do not release information until you
contact the Office of the Registrar at your university or college or
at the Administration office in your adult education cooperative or Even-Start
Family Literacy Center.
What are the rights of parents?
An educational agency or institution shall give full rights under the
Act to either parent, unless the agency or institution has been provided
with evidence that there is a court order, State statute, or legally
binding document relating to such matters as divorce, separation, or
custody that specifically revokes these rights.
What are the rights of students?
- (a) When a student
becomes an eligible student, the rights accorded to, and consent required
of, parents under this part transfer from the parents to the student.
- (b) The Act and this
part do not prevent educational agencies or institutions from giving
students rights in addition to those given to parents.
- (c) An individual
who is or has been a student at an educational institution and who
applies for admission at another component of that institution does
not have rights under this part with respect to records maintained
by that other component, including records maintained in connection
with the student's application for admission, unless the student is
accepted and attends that other component of the institution.
What must an educational agency or institution include in its annual
notification?
(a)
(1) Each educational agency or institution shall
annually notify parents of students currently in attendance, or eligible
students currently in attendance, of their rights under the Act and
this part.
(2) The notice must inform parents or eligible
students that they have the right to -
(i) Inspect and review the student's education
records;
(ii) Seek amendment of the student's education
records that the parent or eligible student believes to be inaccurate,
misleading, or otherwise in violation of the student's privacy
rights;
(iii) Consent to disclosures of personally identifiable
information contained in the student's education records, except
to the extent that the Act and § 99.31 authorize disclosure
without consent; and
(iv) File with the Department a complaint under §§ 99.63
and 99.64 concerning alleged failures by the educational agency
or institution to comply with the requirements of the act and this
part.
(3) The notice must include all of the following:
(i) The procedure for exercising the right to
inspect and review education records.
(ii) The procedure for requesting amendment
of records under § 99.20.
(iii) If the educational agency or institution
has a policy of disclosing education records under § 99.31(a)(1),
a specification of criteria for determining who constitutes a school
official and what constitutes a legitimate educational interest.
(b) An educational agency or institution may provide
this notice by any means that are reasonably likely to inform the parents
or eligible students of their rights.
(1) An educational agency or institution shall
effectively notify parents or eligible students who are disabled.
(2) An agency or institution of elementary or
secondary education shall effectively notify parents who have a primary
or home language other than English.
What provisions apply to records of a law enforcement unit?
(a)
(1) "Law enforcement unit" means any
individual, office, department, division, or other component of an
educational agency or institution, such as a unit of commissioned
police officers or non-commissioned security guards, that is officially
authorized or designated by that agency or institution to -
(i) Enforce any local, State, or Federal law,
or refer to appropriate authorities a matter for enforcement of
any local, State, or Federal law against any individual or organization
other than the agency or institution itself; or
(ii) Maintain the physical security and safety
of the agency or institution.
(2) A component of an educational agency or institution
does not lose its status as a "law enforcement unit" if
it also performs other, non-law enforcement functions for the agency
or institution, including investigation of Incidents or conduct that
constitutes or leads to a disciplinary action or proceedings against
the student
(b)
(1) Records of law enforcement unit means those
records, files, documents, and other materials that are-
(i) Created by a law enforcement unit;
(ii) Created for a law enforcement purpose;
and
(iii) Maintained by the law enforcement unit.
(2) Records of law enforcement unit does not mean
-
(i) Records created by a law enforcement unit
for a law enforcement purpose that are maintained by a component
of the educational agency or institution other than the law enforcement
unit; or
(ii) Records created and maintained by a law
enforcement unit exclusively for a non-law enforcement purpose,
such as a disciplinary action or proceeding conducted by the educational
agency or institution.
(c)
(1) Nothing in the Act prohibits an educational
agency or institution from contacting its law enforcement unit, orally
or in writing, for the purpose of asking that unit to investigate
a possible violation of, or to enforce, any local, State, or Federal
law.
(2) Education records, and personally identifiable
information contained in education records, do not lose their status
as education records and remain subject to the Act, including the
disclosure provisions of § 99.30, while in possession of the
law enforcement unit.
(d) The Act neither requires nor prohibits the disclosure
by any educational agency or institution of its law enforcement unit
records.
Subpart B - What Are the Rights of Inspection and Review
of Education Records?
What rights exist for a parent or eligible student to inspect
and review education records?
(a) Except as limited under § 99.12, a parent
or eligible student must be given the opportunity to inspect and review
the student's education records. This provision applies to -
(1) Any educational agency or institution; and
(2) Any State educational agency (SEA) and its
components.
(i) For the purposes of subpart B of this part,
an SEA and its components constitute an educational agency or institution.
(ii) An SEA and its components are subject to
subpart B of this part if the SEA maintains education records on
students who are or have been in attendance at any school of an
educational agency or institution subject to the Act and this part.
(b) The educational agency or institution, or SEA
or its component, shall comply with a request for access to records
within a reasonable period of time, but not more than 45 days after
it has received the request.
(c) The educational agency or institution, or SEA
or its component, shall respond to reasonable requests for explanations
and interpretations of the records.
(d) If circumstances effectively prevent the parent
or eligible student from exercising the right to inspect and review
the student's education records, the educational agency or institution,
or SEA or its component, shall -
(1) Provide the parent or eligible student with
a copy of the records requested; or
(2) Make other arrangements for the parent or
eligible student to inspect and re-view the requested records.
(e) The educational agency or institution, or SEA
or its component, shall not destroy any education records if there
is an outstanding request to inspect and review the records under this
section.
(f) While an education agency or institution is
not required to give an eligible student access to treatment records
under paragraph (b)(4) of the definition of "Education records" in § 99.3,
the student may have those records reviewed by a physician or other
appropriate professional of the student's choice.
May an educational agency or institution charge a fee for
copies of education records?
(a) Unless the imposition of a fee effectively prevents
a parent or eligible student from exercising the right to inspect and
review the student's education records, an educational agency or institution
may charge a fee for a copy of an education record which is made for
the parent or eligible student.
(b) An educational agency or institution may not
charge a fee to search for or to retrieve the education records of
a student.
What limitations exist on the right to inspect and review
records?
(a) If the education records of a student contain
information on more than one student, the parent or eligible student
may inspect and review or be informed of only the specific information
about that student.
(b) A postsecondary institution does not have to
permit a student to inspect and review education records that are:
(1) Financial records, including any information
those records contain, of his or her parents;
(2) Confidential letters and confidential statements
of recommendation placed in the education records of the student
before January 1, 1975, as long as the statements are used only for
the purposes for which they were specifically intended; and
(3) Confidential letters and confidential statements
of recommendation placed in the student's education records after
January 1, 1975, if:
(i) The student has waived his or her right
to inspect and review those letters and statements; and
(ii) Those letters and statements are related
to the student's:
(A) Admission to an educational institution;
(B) Application for employment; or
(C) Receipt of an honor or honorary recognition
(c)
(1) A waiver under paragraph (b)(3)(i) of this
section is valid only if:
(i) The educational agency or institution does
not require the waiver as a condition for admission to or receipt
of a service or benefit from the agency or institution; and
(ii) The waiver is made in writing and signed
by the student, regardless of age.
(2) If a student has waived his or her rights
under paragraph (b)(3)(i) of this section, the educational institution
shall:
(i) Give the student, on request, the names
of the individuals who provided the letters and statements of recommendation;
and
(ii) Use the letters and statements of recommendation
only for the purpose for which they were intended.
(3)
(i) A waiver under paragraph (b)(3)(i)of this
section may be revoked with respect to any actions occurring after
the revocation.
(ii) A revocation under paragraph (c)(3)(i)
of this section must be in writing.
Subpart C - What Are the Procedures for Amending Education
Records?
How can a parent or eligible student request amendment of
the student's education records?
(a) If a parent or eligible student believes the
education records relating to the student contain information that
is inaccurate, misleading, or in violation of the student's rights
of privacy, he or she may ask the educational agency or institution
to amend the record.
(b) The educational agency or institution shall
decide whether to amend the record as requested within a reasonable
time after the agency or institution receives the request.
(c) If the educational agency or institution decides
not to amend the record as requested, it shall inform the parent or
eligible student of its decision and of his or her right to a hearing
under § 99.21.
Under what conditions does a parent or eligible student have
the right to a hearing?
(a) An educational agency or institution shall give
a parent or eligible student, on request, an opportunity for a hearing
to challenge the content of the student's education records on the
grounds that the information contained in the education records is
inaccurate, misleading, or in violation of the privacy rights of the
student.
(b)
(1) If, as a result of the hearing, the educational
agency or institution decides that the information is inaccurate,
misleading, or otherwise in violation of the privacy rights of the
student, it shall:
(i) Amend the record accordingly; and
(ii) Inform the parent or eligible student of
the amendment in writing.
(2) If, as a result of the hearing, the educational
agency or institution decides that the information in the education
record is not inaccurate, misleading, or otherwise in violation of
the privacy rights of the student, it shall inform the parent or
eligible student of the right to place a statement in the record
commenting on the contested information in the record or stating
why he or she disagrees with the decision of the agency or institution,
or both.
(c) If an educational agency or institution places
a statement in the education records of a student under paragraph (b)(2)
of this section, the agency or institution shall:
(1) Maintain the statement with the contested
part of the record for as long as the record is maintained; and
(2) Disclose the statement whenever it discloses
the portion of the record to which the statement relates.
What minimum requirements exist for the conduct of a hearing?
The hearing required by § 99.21 must meet, at a minimum, the
following requirements:
(a) The educational agency or institution shall
hold the hearing within a reasonable time after it has received the
request for the hearing from the parent or eligible student.
(b) The educational agency or institution shall
give the parent or eligible student notice of the date, time, and place,
reasonably in advance of the hearing.
(c) The hearing may be conducted by any individual,
including an official of the educational agency or institution, who
does not have a direct interest in the outcome of the hearing.
(d) The educational agency or institution shall
give the parent or eligible student a full and fair opportunity to
present evidence relevant to the issues raised under § 99.21.
The parent or eligible student may, at their own expense, be assisted
or represented by one or more individuals of his or her own choice,
including an attorney.
(e) The educational agency or institution shall
make its decision in writing within a reasonable period of time after
the hearing.
(f) The decision must be based solely on the evidence
presented at the hearing, and must include a summary of the evidence
and the reasons for the decision.
Previous | Next | Table
of Contents
Adult
Ed in Texas |
Even Start in Texas |
State Initiatives |
Workforce Collaborators 
