1. Jerry Montag Director/Registrar Office of Registration and Records Greg Brady Deputy General Counsel for Governance and Administration Office of General Counsel Northern Illinois University Family Educational Rights and Privacy Act (FERPA) Training IACRAO 2014 Annual Meeting Alsip, Illinois

2. What to expect with this training… Developing a greater understanding of FERPA within the day-to-day operations of your office Understanding more about the do’s and don’ts of FERPA Being more cognizant of using the “notes” feature within MAP-Works Taking a quiz Enjoying listening to a New Yourker from Dah Bronx and an avid rooter for the New York Yankees Having someone to contact if FERPA help is needed – me!! Not becoming overwhelmed or intimidated with FERPA regulations

3. Throughout this presentation please…. Ask us questions as we go through the overview of FERPA and how it is directly related to MAP-Works Ask us “questions I always had about FERPA but were afraid or intimidated to ask” Don’t get paranoid and schizophrenic with FERPA Enter the appropriate data into MAP –Works as you deem necessary and appropriate Ask Greg or Jerry for help

4. Brief History of FERPA Introduced to Congress by Senator James Buckley of New York. Co-sponsored by Senator Claiborne Pell. Enacted in 1974 as a response to blatant disregard for student privacy. Now the predominant legal consideration in dealing with student records.

5. Life before FERPA Post cards were used to notify students of their final grades or to notify students of academic probation or dismissal Results of tests were handed out by students or were announced by professor Everybody had access to review a student’s record

6. How FERPA has changed our lives Students can view their files that may be stored in any shadow student information system Files include paper or electronic records Impacts length of time we must keep the files Universities must place a “confidentiality” notation onto a student’s record if the student requests information about them is not to disclosed or released. Exceptions to view files may be done via Subpoena, explicit exemption by university or government officials. 6

7. Do you know what to do when these people come to your office?? Remember FERPA!!

9. Why should I care about FERPA ? As a staff member, you have a legal responsibility under FERPA to protect the confidentiality of student education records in your possession. You need to be aware of how/when/if you release information about a student You need to understand the subpoena process You need to be cognizant when the general public (reporters, surveys, businesses, family members) are asking about the student

10. Test Your Knowledge…. When does FERPA begin – hmmmmmm????

11. When does FERPA begin?? ““Institutions should have a definition of what is considered “enrolled”/ “in attendance” since that determines when a student’s FERPA rights begin. Unless defined otherwise, FERPA rights begin on the day the student begins attending class.”” At NIU, FERPA begins when a new student enrolls/registers for classes. – Look in MyNIU to see if a student is registered.

12. How do you know you are speaking with the particular student on the phone or when the parent calls and indicates he/she has this authorization for release of information?? If a student, verify the person on the phone is the student. Ask key questions that only the student can answer – e.g. name of advisor, courses registered in from a previous semester, grade, ACT score, GPA, etc. When in doubt, do not attempt to answer the question and forward the person’s name and phone number to Registration and Records for follow-up.

13. When does FERPA end?? Once a student places a FERPA “confidentiality” flag on their record, the “flag” stays permanently unless the student electronically removes it at a later date. FERPA continues after a student graduates, withdraws or stops attending NIU. The “flag” remains on the student’s record indefinitely. FERPA ends if/when a student passes away. However, universities may have other internal polices and processes that protects the rights and confidentiality/release of this information on these students.

14. What is directory information?? Institutions may define what they consider directory information and they may choose not to define any information as directory information. NIU defines directory information to include: – student's name, address, telephone listing, e-mail address and photographic or electronic picture or image, date and place of birth, major field of study, classification, participation in officially recognized activities and sports, weight and height of members of athletic teams, dates of attendance and full- or part-time status, degrees and awards received, and the most recent previous educational agency or institution attended by the student. This information is available on the “people search directory.” Students at NIU may request that their directory information be kept confidential.

15. An education record is any record that is directly related to a student and that is kept by the University or someone acting on behalf of the University. – The medium in which the information is stored does not matter. MAP-Works notes are considered a part of the education record. It can be shared with other university officials who have a legitimate interest in the records. You are responsible to write notes that are specific in nature but never discerning or derogatory about a student It can be reviewed by a student at any time. What is an Education Record?

16. Examples of Education Records Personal information e.g. name, address, Social Security Number, University ID number, gender, race, citizenship, etc. Enrollment records including class schedules Academic records such as exams, course papers, grades, GPA, transcripts, etc. MAP-Works notes and referrals Disciplinary records Financial records such as financial aid awards and accounts receivable Employment records of students who are employed as a result of their student status.

17. Test Your Knowledge…. An adviser does not have to allow a student to inspect and review his/her personal notes about the student that are held in a file in the adviser’s office desk? True or False 17

18. Examples of non Education Records Personal notes kept in the possession of the maker Campus law enforcement unit records Employee records other than records of those who are employed as a result of their student status Doctor-patient privilege records (“Treatment Records”)

19. Test Your Knowledge…. Faculty members have the right to inspect and review the education records of any student? True or False A student’s Mom calls to see if her son is doing O.K. because he hasn’t called home in a few days. It’s O.K. to update her on her son’s progress or discuss some of your MAP- Works notes? True or False

20. Test Your Knowledge…. If you are handed a subpoena requesting student records you must comply immediately? True or False Sally Student has just been found in violation of the university’s residence hall alcohol policies. Her hall director could contact her parents about this without her permission? True or False

21. Can student educational records ever be released without student’s consent? FERPA allows disclosure of student education records without student consent in certain cases including but not limited to the following: Other NIU employees who have a legitimate educational interest. First ask yourself - do I need access to this student’s record in order to do my job? Parents of dependent students as defined by the IRS. Appropriate persons necessary in an emergency to protect a person’s health or safety e.g. housing, medical, etc. Federal, state and local governmental officials for purposes authorized by law. Individuals who have lawfully obtained court orders or subpoenas. (check with the General Counsel’s office when you receive a subpoena or search warrant before giving out information)

22. Parents have rights??? FERPA permits parental access to a student’s education records if the student signs a written consent, or if the parent provides documentation showing that the student is claimed as a dependent for federal income tax purposes from the most recent prior year.

23. FERPA Rules to live by: Access the records of any student for personal reasons. Discuss the progress of any student with anyone other than the student (including parents) without the student’s consent. Make public postings of grades or any other information, including but not limited to Social Security Numbers or University ID numbers. Provide anyone with student schedules or lists of students enrolled in classes for any purpose. Include confidential information in a recommendation letter without the written consent of the student. Leave graded tests or papers in a stack for students to pick up by sorting through them. DO NOT

24. FERPA rules to live by Protect student records. Securely store confidential information and do not leave confidential information displayed or accessibly on an unattended computer. Shred or properly dispose of all student records that no longer need to be retained. (see record retention policy and follow State Records Act) Contact the Offices of Registration and Records or General Counsel if you have any questions about the release of student records. DO

25. FERPA and MAP-Works Stay focused on your job – Just like MyNIU, if you are not working with a student, you should not be looking at their personal information – If you identify a student who might need your services through aggregate data, outstanding! Reach out to them! Be aware of FERPA Restrictions – You can see FERPA restrictions (Institution Profile Items) – Make sure you are not sharing information with others outside of the need in their professional roles Example:

26. FERPA and MAP-Works Bad Note – Mike is not going to be successful at NIU unless he changes his attitude. He is lazy, does not listen, has major issues with partying. His mom also makes him come home all the time to watch his little brother so he is never in class. “Semi” Good Note – Mike is having some problems with absences. Mike has some personal issues that have contributed to his attendance. We discussed time management strategies and did some goal setting. A referral was also made to Health Enhancement as well as the Counseling and Student Development Center. Example:

27. Questions? Comments?