1. Requests for Records: The Office of the Registrar
Subpoenas
Records Requests
Open Records Request By
University Counsel
April 12, 2016, Registrar Staff Meeting

2. SUBPOENAS
You’ve been served

3. SUBPOENAS: What? Who? When? Why?
What is it? Legal document that commands a person or entity to testify in court at a certain time and/or produce certain documents.
Who needs to respond? The person named on the subpoena
When to respond? By the date and time specified on the subpoena.
Why do we need to respond? To avoid
contempt of court.

4. SUBPOENAS: How to respond initially
Although it is the individual named on the subpoena’s personal responsibility, WE ARE HERE TO HELP!
When you receive a subpoena:
Call our office and let us know: These can be time sensitive
Scan and send a copy of the subpoena to our office
Be ready to collect records or testify in court
Prepare FERPA notice to any students whose records might be at issue

5. SUBPOENAS: What will our office do?
Determine whether the subpoena was lawfully issued
Call and negotiate with the attorney, court, or agency that issued subpoena to clarify what is needed
Provide records instead of testimony in court?
Witness fees?
Enough time to notify the student?
Contact you to let you know what has been requested
Counsel you on the court process

6. SUBPEONAS: Compliance Issues
FERPA
Provide reasonable notice to the students (7-10 days) – don’t need consent (34 C.F.R (9)(ii))
Exceptions to providing notice
Order not to disclose– protecting law enforcement process or grand jury process (99.31(9)(ii)(A)-(B))
If University initiates legal action against student/parent – can disclose student records to court without notice (99.31(9)(iii)(A))
Requirement to comply with Subpoena and produce records!
Remember, we must comply or face contempt of court

7. RECORDS REQUESTS: FERPA
Request from student or student’s attorney for student information
Have to provide students the opportunity to inspect and review the records
Don’t have to make copies- unless “circumstances effectively prevent” student from viewing them
Most provide within 45 days (34 C.F.R (b))
Usually require a release of information with signature and date from the student

8. RECORDS REQUESTS: What must be provided?
Education record
Respond to general requests with general information held by the registrar’s office
Respond to specific requests by routing the request around to the different offices who might have responsive records
Must respond to reasonable requests for explanation and interpretation of record

9. RECORDS REQUESTS: What cannot be provided?
Financial records of parents 34 C.F.R (b)(1)
Confidential letters and statements of recommendation if student has waived right to review and those statements relate to employment/admission/honors. 34 C.F.R. (3)(i)-(ii).
Records containing PII of other students

10. RECORDS REQUESTS: what does not need to be provided but may be
FPCO guidance states that access to “academic calendars, course syllabi, or general notices such as announcements of specific events or extra-curricular activities” does not need to be provided as it doesn’t relate to an individual student and thus is not an education record
Do not need to provide information that is not typically maintained or has not been created

11. RECORDS REQUESTS SUBPOENAS 2) Send to University Counsel for advice
1) Quick turn around time
2) Send to University Counsel for advice
3) Individual compliance obligation
4) Probably have to provide copies of requested record (or testimony about records)
5) Can release PII without student consent
RECORDS REQUESTS
1) 45 days to respond
2) Do not need to send to University Counsel (unless you have questions)
3) University-wide compliance obligation
4) Don’t have to provide copies
5) Cannot release PII without consent
Provide student education records
Response required by law

12. CORA: The Basics of the Colorado Open Records Act
Presumption: all records made, maintained, or kept by CU are public, unless:
An exception applies (e.g. personnel files, letters of reference, contrary to Federal law [FERPA], specific details of bona fide research projects, proprietary information); or
The record is not public by definition (e.g. records that identify a donor)

13. CORA: Timeframes
Must provide responsive records within 3 days; unless:
There are “extenuating circumstances,” which can extend the timeline an add’l 7 days
Note: the timeline is extended while the parties negotiate the terms of the request (e.g. search terms)

14. CORA: what to do when you receive a request
Do not delete anything!
Wait to hear from Scott or University Counsel before gathering material
After go-ahead from Scott or OUC, gather records and provide to Scott or University Counsel for review
Track time spent on request

15. CORA: How does it relates to the Registrar?
The custodian of records will not allow anyone to inspect records if “such inspection would be contrary to any federal statute or regulation.” C.R.S (1)(b).
This means that if someone is requesting a record with student’s PII we will redact the identifying information

16. Will only release if student signs a form consenting to the release
CORA
Request will come from Custodian of records
FERPA protected information will be withheld (unless student at issue makes request)
RECORDS REQUESTS
Will only release if student signs a form consenting to the release
Do not need to consult with legal prior to responding (unless you have a question!)
SUBPOENAS
Will release information even without student consent
Will not release PII unless student makes the request or provides release
Short turn around time period
Requires help by legal
Not a record retention statute

17. UNDEFINED REQUESTS
What do I do if an IRS agent knocks on the door and asks to see proof that a certain student attended CU?
What should I do if a parent that has power of attorney asks for access to their student’s records?
A professor contacts your office to ask to see a student’s transcript. The professor wants to give the student a failing grade unless the student is about to fail out of school. What should you do?

18. QUESTIONS
???

19. Contact information
Alex Loyd, Assistant University Counsel or
Julie Steeler, Research Counsel or
Main Office