Adult Education Administrator's Manual
Revised October 2008
Policy
Federal Laws
Family Educational Rights and Privacy Act
(FERPA)
[cont'd]
*Cornell Law Website- Title 20, Chapter 31, Subchapter III, Part 4, Sec. 1232g. - Family educational
and privacy rights (FERPA)
*US Department of Education Website - Family Educational Rights and Privacy Act (FERPA)
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.capitol.state.tx.us/
The U.S. House Committee on Education and the Workforce is the federal House of Representatives’ committee
that created the FERPA and will be responsible for amending the act.
There are 49 members on this committee.
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.
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 cooperative 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 [Title
20, Chapter 31, Subchapter III, Part 4, Sec. 1232g. - Family educational
and privacy rights] and the Department's regulations are found at
34 CFR Part 99. [Title
34--Education, PART 99--Family Educational Rights and Privacy]
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 an 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 Family Policy Compliance Office
(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.
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