Victor%20DeVore,%20San%20diego%20community%20college%20district

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FERPA PRIVACY STUDENT RECORDS RECORD RET
RETENTION FERPA PRIVACY CENSUS PERSONAL
GHTS FERPA, RECORD RETENTION, STUDENTS R
SB1440 GRADUATION AND PERSISTANCE SUCCE
EVALUATIONS GRADES DESTRUCTION SLO FERP
REGISTRATION OUTCOMES CSU UC GRADUATIO
STUDENT SUCCESS APPLICATION COLLEGE ASSO

• Victor DeVore, San diego community college
  district
• Susan bricker, Pasadena city college

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Learning Outcomes

• Understand what FERPA is and what records are
  affected by FERPA
• Understand students rights regarding his/her
  FERPA protected records
• Understand when consent is needed to share
  student records
• Understand record retention schedule and best
  practices
• Understand federal, state and accreditor
  requirements

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WHAT IS FERPA?
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FERPA
FERPA stands for the Family Educational Rights
and Privacy Act of 1974 FERPA is a Federal Law
that is designed to protect the privacy of
education records, to establish the right of
students to inspect and review their education
records, and to provide guidelines for the
correction of inaccurate and misleading data
through informal and formal hearings. FERPA is
enforced by the Family Policy Compliance Office,
U.S. Department of Education, Washington DC
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The Essence of the ACT

1. College students must be permitted to inspect
   their own education records.
2. School officials may not disclose personally
   identifiable information (PII) about students nor
   permit inspection of their records without
   written permission unless such action is covered
   by certain exceptions permitted by the Act.

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The Laws

• Federal
• Statute 20 U.S.C., 1232g
• Regulations 34 C.F.R., 99, et seq.
• State
• California Constitution, Art. 1, 1
• Education Code, 76200, et seq.
• California Code of Regulations, title 5, 54600
  et seq.
• Local Policy

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KEY Terms and Concepts

• Education Record
• Directory Information
• School Official
• Legitimate Educational Interest
• Prior Consent to Disclosure
• Students right to access their education records
  as outlined in the College Catalog and College
  Website

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What is an education record?

• Any record, with certain exceptions, maintained
  by an institution that is directly related to a
  student or students. This record can contain a
  students name(s) or information from which an
  individual student can be personally identified.
• FERPA rights attach to students as soon as the
  student is in attendance at your college.

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What is In Attendance

• Defined by local policy.
• Local policy can define it to begin as early as
  when the student submits an application or as
  late as when the student shows up for class.
• This is retroactive, meaning FERPA rights apply
  to all records, even those that predate the
  students attendance.

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What is not an education record?

• Sole Possession notes
• Law enforcement unit records
• Financial records of the students parents
• Records maintained exclusively for individuals in
  their capacity as employees
• Medical Treatment records (HIPAA)
• Alumni Records

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Law Enforcement Records

• Records created and maintained by the colleges
  law enforcement unit (e.g. campus police) for a
  law enforcement purpose.
• However, if you give education records to your
  law enforcement unit for an investigation
  (provided you have consent or an applicable
  exemption e.g. subpoena, or health and safety)
  those records do not lose their status as
  education records.

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What is personally identifiable?

• Personally Identifiable means data or information
  which includes
• The name of the student, the students parent, or
  other family members.
• The students campus or home address
• A personal identifier (such as a social security
  number or student number)
• A list of personal characteristics or other
  information which would make the students
  identity known with reasonable certainty

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Grades posted outside of professors office with
student id?

• NO

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What is directory information?

• Although not required to be included in the
  institutions annual notification, the
  institution must notify students of what
  information the institution has designated as
  directory information.
• The Family Policy Compliance Office has
  recommended that this notification be part of the
  institutions annual FERPA notification to
  students.
• Students must be able to opt-out of directory
  information being published.

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What is directory information?

• Some of the following are possible items that a
  college may designate as directory information
• Name, address, phone number, email address, dates
  of attendance and enrollment status (full-time,
  half-time)
• Student participation in officially recognized
  activities and sports including weight, height,
  and high school of graduation of athletic team
  members
• Degrees and awards received by students,
  including honors, scholarship awards, athletic
  wards, Vice Presidents and Presidents
  recognition.

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What can never be directory information?

• Directory information can never include the
  following
• Race, gender, ethnicity, sexual orientation
• SSN
• Grades
• GPA
• Citizenship
• Religion
• Student ID Numbers (unless used as a login
  combined with password/pin may include ID badges
  but must require a second authentication feature.)

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School officials

• A school official can be a person
• 1. Employed by the college in an administrative,
  supervisory, academic, research, or support staff
  position (including law enforcement and health
  staff personnel),
• 2. Elected to the Board of Trustees,
• 3. Or a company employed by or under contract to
  the college to perform a specific task, such as,
  an agent, an attorney, an auditor, or an
  outsourced service provider. (e.g. San Diego
  County Sheriff)
• 4. Serving as a student representative on an
  official committee, such as a disciplinary
  committee, or assisting another school official
  in performing his or her tasks. (Teachers
  Assistants)

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Legitimate Educational interest

• The demonstrated need to know by those officials
  of an institution who act in the students
  educational interest, including faculty,
  administrators, clerical and professional
  employees, and other persons who manage student
  record information.
• Although FERPA does not define legitimate
  educational interest, it states that
  institutions must specify the criteria for
  determining it.

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Inspection and review

• Students have the right to see everything in
  their education record except
• Information about other students
• Financial records of parents and
• Confidential letters of recommendation if they
  waive their right of access
• FERPA does not prescribe what records are created
  or how long they are kept. However you cannot
  destroy a record if there is a request to inspect
  and review. It is important to know and
  understand your districts records retention
  policy. (Ref. BP/AP 3310)

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Inspection and review

• Students have an absolute right of access to
  their educational records.
• If a student (or where applicable, a parent)
  requests to review a record, you must comply
  within 15 days. (State law states 15 days,
  federal law states 45, however since state law is
  more protective, state law trumps federal law.)
• Copies of records are not required, however you
  must provide them if by not doing so you would
  deny student access (e.g. commute distance is not
  feasible.)

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Inspection and review

• Title 5, Section 59410 does permit districts,
  when delineated in board policy, to withhold
  transcripts, diplomas, grades and other
  registration privileges if to student, or former
  student, fails to pay proper financial
  obligations due to the college.
• However, students will always have the ability to
  inspect their records regardless of financial or
  other holds

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Right to amend a record

• Student has the right to seek to amend
  information in their students record.
• Except a college is not required by FERPA to
  afford the student the right to seek to change
  substantive decisions made by school officials
  such as grades, disciplinary rulings, disability
  placements or other evaluations of a student.

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Right to amend a record

• State law permits students to seek to correct
  information in their student education records
  which are deemed
• Inaccurate
• An unsubstantiated personal conclusion or
  inference,
• A conclusion or inference outside the observers
  area of competence, or
• Not based on the personal observations of a named
  person with the time and place of the observation
  noted
• Reference Ed. Code, Section 76232

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Process to amend a record
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The Musts and mays of ferpa

• FERPA dictates that there are things that
  institutions must do and things you may do in
  order to be in compliance.
• MUSTS
• Must obtain written consent from the student
  before disclosing any PII
• Must disclose education records of the student
  (except)
• Parental financial information
• Confidential letters to which student has waived
  their right to inspection
• Education records of other students

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Right to consent to disclosure

• Students have the right to control to whom his or
  her education record is released. The college
  must keep all written consents on file for a
  minimum of three years.
• Written consent must
• Specify the records to be released
• State the purpose of the disclosure
• Identify the party or parties to whom disclosure
  may be made
• Be signed and dated by the student
• There are exceptions.

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When is prior consent not required?

• Institutions may disclose records without consent
  if certain requirements are met, but it is not
  required to do so.
• Some examples
• School officials with a legitimate educational
  interest. Employees and legal agents have access
  to education records in order to perform their
  official, educationally-related duties. (This
  must be defined in local policy)
• Disclosure to organizations conducting studies to
  improve instruction, or to accrediting
  organizations.
• Disclosure to parents of dependent students (IRS
  definition) Parents must file a certification of
  dependency e.g. income taxes
• Judicial Order or lawfully issued subpoena

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When is prior consent not required? (contd)

• Institutions may disclose records without consent
  if certain requirements are met, but it is not
  required to do so.
• Some examples
• Disclosure of health/safety emergency (must
  document what the emergency was and to whom the
  information was released.)
• Disclosure of directory information, provided the
  student has not opt-out of direction
  information.
• Authorized representatives for audit, evaluation
  of federal and state supported programs
• Final results of an institutional disciplinary
  proceeding who committed a crime of violence or
  non-forcible sexual offense (only include name,
  violation committed, and any sanction imposed on
  the student)

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When is prior consent not required? (contd)

• Solomon Act
• The Act allows military organizations access to
  information ordinarily restricted under FERPA for
  the purpose of military recruiting. The Solomon
  Amendment permits Department of Defense entities
  to physically access institutional facilities to
  recruit students, and to obtain students' names,
  addresses, phone numbers, age, class, and degree
  program once every term. Institutions are exempt
  from these requirements if they do not collect
  this information, or if they do not normally
  provide this information to prospective
  employers. The Solomon Amendment only applies to
  enrolled students over the age 17.

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When is prior consent not required? (contd)

• Solomon Act
• Institutions that violate the Solomon Amendment
  risk loss of funding from several federal
  agencies, including the Departments of Defense,
  Education, Health and Human Services, and Labor.
  If a component of the institution violates the
  Solomon Amendment, larger system funding may be
  affected.

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FERPA and subpoenas

• Subpoenas are commands from a court within your
  jurisdiction to produce documents. (Some cases
  you may be asked to testify)
• Note that some subpoenas (typically grand jury
  subpoenas) order districts to not notify the
  student that their records are being requested.

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So you got a subpoena

• What to do?
• Review the subpoena to make sure it is legitimate
  and enforceable, contact your campus legal
  counsel if you have concerns.
• Gather the materials specifically requested in
  the subpoena. Review those documents and make
  sure other PII of other students are redacted.
• Must notify the student that this information
  will be released to permit them time to contest
  the subpoena
• This subpoena must be kept as a record of
  disclosure

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When is prior consent not required? Financial
Aid

• May disclose PII from education records if the
  disclosure is in connection with financial aid
  for which the student has applied or has received
  and the information is NECESSARY to
• determine eligibility for the aid
• determine the amount of the aid
• determine the conditions for the aid, or
• enforce the terms and conditions of the aid.
• For these purposes financial aid is payment of
  funds to a student (or in kind payment) that is
  conditioned on the students attendance at an
  educational agency or institution.

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FERPA and Freedom of information act (FOIA)

• This law gives citizens the right to information
  about the affairs of government.
• However, this does not give citizens the right to
  access student educational records. Student
  records are protected by FERPA and their privacy
  is not impacted by FOIA.
• FOIA does not grant anyone the right to view a
  students private educational record.

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Requirements for Compliance

• Institutions must provide an annual notification
  to students of their FERPA rights.
• Right to Inspect
• Right to amend and challenge
• Opt out of directory information
• Complaint process with US DoE
• Criteria for school officials legitimate
  educational interest when disclosing information
  without prior consent.
• Must provide students access to their education
  records (Keep in mind state 15 days vs federal
  45 days)

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SPECIFIC ISSUES
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Directory Information Example

• Your college designates name, address, telephone
  numbers, email address, and honors and awards
  received as directory information. A non-profit
  organization that serves disabled students asks
  your college for directory information on
  students who are enrolled in DSPS.
• Can the names and contact information of your
  DSPS students be disclosed to the organization as
  directory information?
• No. You cannot link directory information with an
  item that cannot be designated as directory
  information, such as disability status.

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Student Learning Outcomes

• Administrators and faculty with a legitimate
  educational interest may have access to education
  records. Please note that the faculty or staff
  must have a reason to access the information in
  order to perform their educationally-related
  duties.

Good Example
Math Department Chair asking for GPA records for
all students who took MATH-103 and MATH-110 and
if they progressed to Pre-Calculus.
Bad Example
Business Faculty requesting contact and GPA
records for all students who are over the age of
24 and in Intercollegiate sports.
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Ferpa, minors and concurrent enrollment

• Linda, who is 17, is still in high school but is
  also taking classes at your college.
• Have FERPA rights transferred to Linda?
• Yes.
• Can her parents see the records at your college?
• Not unless an exception allows it, e.g., claiming
  little Linda on their income taxes.
• Is there another way the parents might see these
  records?

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Other examples?
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WHAT ABOUT PARENTS?
When a student reaches the age of 18 or begins
attending a postsecondary institution regardless
of age, FERPA rights transfer to the student.
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Institutions may disclose education records of
students to their parents by any of the
following

1. By obtaining the students written consent
2. By having the parents establish the students
   dependency as defined by Internal Revenue Code
3. By exercising its disclosure option on any
   students under age 21 regarding a violation of an
   institutional rule or federal, state, or local
   law regarding the use of alcohol or controlled
   substance as long as state law permits.
4. In a health or safety emergency.

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Records Retention and Destruction
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What is records retention

• Records retention is the identification,
  classification, storage, retention, and
  destruction of records.
• Regulations related to records retention
• Title 5, section 59020 to 59041
• Student Accounting Manual Section 4
• Title 5, section 54600
• Education Code, section 76200

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Title 5, Section 59020 to 59041 and SAAM

• Explains what records and documents district are
  required by law to prepare or retain. Student
  records are part of this section.
• Districts must classify documents
• Class 1 Permanent
• Class 2 Optional
• Class 3 Disposable
• Note If a Class 1 document is scanned, imaged,
  or microphotographed, then it may be classified
  as a Class 3 document for disposal. This process
  must be defined in board policy

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Title 5, Section 59020 to 59041 and SAAM

• Class 3 Documents
• May be destroyed after the third year from the
  origination of the document
• Cannot be destroyed until after the third July
  1st date succeeding completion of an audit
  required by Ed Code section 84040, or of any
  other required audit.

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Sample methods to label documents
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Destruction of education records

• Districts must establish a schedule for the
  destruction of education records.
• This schedule must be publicized and trained to
  all staff that have access to protected records.
  Its important that you review and update this
  policy on an annual basis.

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Destruction of education records
Source Records Retention Guide by AACRAO
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Destruction of education records

• FERPA does not preclude the destruction of
  education records unless a request for access is
  pending.
• However, state law requires the following student
  records to be classified as Class 1 Permanent and
  retained indefinitely
• records of enrollment and scholarship
• certain claims pertaining to an accident or
  injury of a student
• (Cal. Code, Regs., tit. 5, 59023(d).)

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Questions?