Newsgroups: alt.comp.acad-freedom.talk
From: kadie@eff.org (Carl M. Kadie)
Subject: [PSU] University Policy On Confidentiality Of Student Records
Message-ID: <1993Mar22.190144.10602@eff.org>
Date: Mon, 22 Mar 1993 19:01:44 GMT
[This is part of the Pennsylvania State University Code. It is from
the document '//psuinfo/Policies-Rules for Students/Policies and
Rules/Records, Confidentiality Of Student'. It is available via gopher
from info.psu.edu.
A point of interest:
Gives a nice summary of the law on the confidentiality of student records.
- Carl]
POL19: C. OTHER SELECTED POLICIES
1. UNIVERSITY POLICY ON CONFIDENTIALITY OF STUDENT RECORDS*
Preamble
The Pennsylvania State University collects and retains data and
information about students for designated periods of time for the
express purpose of facilitating the student's educational
development. The University recognizes the privacy rights of
individuals in exerting control over what information about
themselves may be disclosed and, at the same time, attempts to
balance that right with the institution's need for information
relevant to the fulfillment of its educational missions.
The University further recognizes its obligation to inform the
student of his or her rights under the Family Educational Rights
and Privacy Act of 1974 (FERPA); to inform the student of the
existence and location of records as well as to define the
purposes for which such information is obtained; to provide
security for such material; to permit student access to,
disclosure of, and challenge to this information as herein
described; and to discontinue such information when compelling
reasons for its retention no longer exist.
*University Policy Manual, AD-11
a. STUDENT RECORD POLICY
Information from records, files, and data directly related to a
student shall not be disclosed by any means (including telephone)
to individuals or agencies outside the University without the
consent of the student in writing, except pursuant to a lawful
subpoena or court order, or except in the case of specifically
designated educational and governmental officials as required by
FERPA. Information contained in such records may be shared
within the University by University officials with "legitimate
educational interests" in such information.
"School officials" are those University employees with general
or specific responsibility for promoting the educational
objectives of the University. Employees whose responsibilities
place them within this category include teachers; faculty
advisers; admissions counselors; academic advisers; counselors;
employment placement personnel; deans, department chairpersons,
directors, and other administrative officials responsible for
some part of the academic enterprise or one of the supporting
activities; administrative and faculty sponsors of officially
recognized clubs, organizations, etc.; members, including
students and alumni, of official (University) committees; and
clerical personnel employed to assist University officials in
discharging professional responsibilities. Access by these
officials is restricted where practical, and only to that portion
of the student record necessary for the discharge of assigned
duties.
"Legitimate educational interests" are defined as those
interests that are essential to the general process of higher
education as prescribed by the body of policy adopted by the
Board of Trustees. Legitimate educational interests would
include teaching, research, public service, and directly
supportive activities such as academic advising, general
counseling, therapeutic counseling, discipline, vocational
counseling and job placement, financial assistance and
advisement, medical services, and academic assistance activities.
In addition, the University officially recognizes appropriate co-
curricular activities which are generally supportive of overall
goals of the institution and contribute generally to the well-
being of the entire student body and specifically to many
individuals who participate in these activities. These
activities include varsity and intramural sports, social
fraternities, specific interest clubs, and student government.
Records originating at another institution also will be subject
to these policies.
b. STUDENT EDUCATIONAL RECORDS
Student educational records are defined as those records, files,
documents, and other materials which contain information directly
related to a student and are maintained by The Pennsylvania State
University or by a person acting for the University pursuant to
University, college, campus, or departmental policy.
Student educational records do not include records of
instructional, supervisory, and administrative personnel and
ancillary educational personnel which are in the sole possession
of the maker and are not accessible or revealed to any other
person, except a substitute.
Other exclusions include:
(1) Notes of a professor/staff member concerning a student and
intended for the professor's/staff member's own use are not
subject to inspection, disclosure, and challenge.
(2) Records of the Police Services Records Division, except in
those instances where they are transmitted within the
University for administrative purposes.
(3) Records relating to an individual who is employed by an
educational agency or institution that:
(a) are made and maintained in the normal course of
business;
(b) relate exclusively to the individual in that
individual's capacity as an employee;
(c) are not available for use for any other purpose.
(4) Records on students which are made or maintained by a
physician, psychiatrist, psychologist, or other recognized
professional or paraprofessional acting or assisting in that
capacity are not subject to the provisions of access,
disclosure, and challenge. Such records, however, must be
made, maintained, or used only in connection with the
provision of treatment to the student and are not available
to anyone other than the persons providing such treatment,
or a substitute. Such records may be personally reviewed by
a physician or other appropriate professional of the
student's choice.
(5) Alumni records.
c. DEFINITION OF A STUDENT
For the purpose of this policy a student is defined as an
individual currently or previously enrolled in any academic
offering of the University.
This definition does not include prospective students (applicants
to any academic program of the University).
d. PUBLIC INFORMATION REGARDING STUDENTS
The following is a list of public information which may be made
available regarding students of the University without their
prior consent and is considered part of the public record of
their attendance:
- name
- address (local and permanent)
- telephone number
- date and place of birth
- major
- student activities, including athletics
- weight/height (athletic teams)
- dates of attendance
- date of graduation
- degrees and awards received and where received
- most recent educational institution attended
- name and address of parents, guardian, spouse
The student is entitled to request that any or all of this
information not be made publicly available. Such a request must
be made in writing to the University Registrar on an annual
basis. Requests filed within ten days after the start of
registration for fall semester will normally block public
information from appearing in directories and other annual
publications. This request shall remain in effect until the last
day of the next summer session. Requests filed after the first
ten days of the fall semester shall be effective only with
respect to the release of information prepared after the receipt
of the request. Such requests also will expire on the last day
of the next summer session.
e. UNIVERSITY OFFICERS RESPONSIBLE FOR STUDENT RECORDS
The following University officers are designated as responsible
for student records within their respective areas: the vice
president and dean of the Commonwealth Educational System; the
vice president for research and dean of the Graduate School; the
vice president for student services; the University budget
director; the corporate controller; the vice president for
business and operations; the deans of the colleges/school; vice
provost and dean for undergraduate education; the campus
executive officers; the provost/deans of Penn State-Behrend, Penn
State Harrisburg, and the College of Medicine at the The Milton
S. Hershey Medical Center. Each of these officers is
responsible for making available a listing of student records
within his or her area of responsibility indicating the purpose,
storage, security, and disposition of each student record.*
*See Reference Section, page xx, for listing of most commonly
kept student records.
f. POLICIES ON DISCLOSURE OF STUDENT RECORDS
The following guidelines will be followed with respect to the
disclosure of student records:
Note: In no case will letters of recommendation and other
information obtained or prepared before January 1, 1975, which
were written on the assumption or express promise of
confidentiality to the authors, be available for inspection,
disclosure, or challenge. Letters of recommendation and other
information written and/or compiled after January 1, 1975, are
available to students in accordance with guidelines that follow.
(1) Disclosure to the student. The student has the right to
inspect and review his or her educational records, and may
do so by making an oral or written request to the University
official responsible for the specific record desired. The
official must respond within forty-five days of the request
by sending the student a copy of the requested record or by
arranging an appointment for the student to review it. The
student has the right to an explanation of any information
contained in the record.
Educational records of the student, or the contents thereof,
will not be released to the student, his or her parents, or
any third party so long as a financial indebtedness or a
serious academic and/or disciplinary matter involving the
student remains unresolved. This limitation does not
preclude the student from having personal access to the
records--merely from obtaining the release of the
information. The student may not have access to the
confidential financial statement of parents or any
information contained in such statements.
A student may waive his or her right of access of
confidential letters of recommendation which he or she seeks
for admission to any educational agency or institution, for
employment, or for application for an honor or honorary
recognition. The student must be notified on request of all
individuals furnishing such recommendations, and the letters
must be solely for the stated purpose for which the student
was notified and for which he or she waived his or her right
of access. Such waivers may not be required as a condition
for admission to, receipt of financial aid from, or receipt
of any other services or benefits from such an agency or
institution.
Where any such records, files, or data contain information
relative to a third person, the student is entitled to be
informed of only so much of the record as pertains to him-
or herself. Each record-keeping unit of the University will
establish procedures for accommodating requests for access
to student records. An administrative charge not exceeding
the actual cost may be initiated in certain areas for access
to records or information.
The student is entitled to copy privilege as regards to his
or her records, files, and data at a reasonable
administrative cost.
(2) Disclosure of information to third parties. Disclosure of
information contained in student records, files, and data is
normally controlled by the student. Such disclosures will
be made to a third party only on the condition that written,
dated consent is obtained from the student. The third party
is to be reminded that he or she should not permit
additional access to the information by an additional person
without further written consent of the student prior to such
an additional transfer of information.
When information on a student must be shared outside the
University, all persons, agencies, or organizations desiring
access to the records of a student shall be required to sign
a written form, to be kept permanently with the file of the
student, indicating specifically the legitimate educational
or other interests in seeking this information. This form
will be available solely to the the student and to the
University officer responsible for the record as a means of
auditing the operation of the record system. Exceptions to
this are items 3. through 9., below.
(3) Disclosure to other educational institutions. Disclosure of
appropriate academic records may be made to officials of
other educational institutions to which the student has
applied and where he or she intends to enroll.
(4) Disclosure pursuant to judicial order. Information
concerning a student shall be released if properly
subpoenaed pursuant to a judicial, legislative, or
administrative proceeding. Effort will be made to give
advance notice to the student of such an order before
compliance by the University.
(5) Disclosure pursuant to requests for financial aid.
Necessary academic and/or financial student records may be
disclosed without the student's prior consent in connection
with the student's application for, or receipt of, financial
aid.
(6) Disclosure to federal and state authorities. This policy
shall not preclude access to student records by authorized
federal and state officials in connection with the audit and
evaluation of federally supported education programs or in
connection with enforcement of federal and state legal
requirements which relate to such programs. Except when
collection of personally identifiable data is specifically
authorized by federal and state law, any data collected and
reported with respect to an individual student shall not
include information (including Social Security number) which
would permit the personal identification of such student.
(7) Disclosure under emergency conditions. On an emergency
basis, information about a student may be released by a
designated University officer when that information is
necessary to protect the health or safety of a student.
(8) Disclosure to educational agencies or institutions.
Information which will not permit the individual
identification of students may be released to organizations
of educational agencies or institutions for the purpose of
developing, validating, and administering predictive tests
and measurements. Similarly, information may be released to
accrediting organizations in order to carry out their
accrediting functions.
(9) Disclosure to parents of dependent students. Information
concerning a student who is dependent within the meaning of
section 152 of the Internal Revenue Code of 1954 may be
released to that student's parents. The Internal Revenue
Code defines a dependent student as one who has attended an
educational institution full time for any five calendar
months of a tax year and who was provided more than one-half
of his or her support as claimed by the parent or parents on
their income tax statement. For purposes of this policy,
the assumption, unless individually certified to the
contrary under the above criteria, will be that University
students are not dependents within the meaning of the
Internal Revenue Code.
g. CHALLENGE OF RECORD ENTRY
The student is entitled to challenge and/or add to the factual
basis of any record entry contained in records, files, and/or
data. The purpose of this challenge is to ensure that such
entries are not inaccurate or misleading, or in violation of his
or her privacy or other rights as a student, and to provide an
opportunity for the correction or deletion of any inaccuracies or
misleading or otherwise inappropriate data contained therein.
The substantive judgment of a faculty member about a student's
work, expressed in grades and/or evaluations, is not within the
purview of this right to challenge.
The University will provide, on request by the student, an
opportunity for a hearing to challenge the content of the
student's record(s). The request should be submitted to the
appropriate University officer (see section above) in whose area
of responsibility the questioned material is kept. The
University officer is authorized to rectify the entry and so
notify the student in writing. The designated officer will
provide the student with an opportunity to place in the records a
statement commenting upon the challenged information in the
educational records, which will be kept so long as the contents
are contested. The contents of the student's challenge will
remain a part of the student's records regardless of the outcome
of any challenge.
If a records-entry question has not been satisfactorily resolved
by this informal procedure, the student is entitled to a hearing
on the matter. The hearing must be held within a reasonable time
after the request, and the student notified as to the time, date,
and place of the hearing at a time reasonably in advance of the
hearing so as to make his or her presence practical.
A hearing officer will be designated by the vice president and
vice provost and the student will be afforded a full and fair
opportunity to present evidence relevant to the issues of record
entry validity. The student may be assisted or represented by an
adviser of his or her choice, including, at his or her own
expense, an attorney. The student will be furnished, within a
reasonable time following the hearing, a written decision from
the designated hearing officer. In addition, the student is
entitled to receive in writing a summary of the evidence and the
reasons for the decision.
An adverse decision may be appealed in writing by the student to
the executive vice president and provost of the University, and
finally, to the President of the University.
The student has the right to file a complaint with the Department
of Education concerning alleged failures of the University to
comply with the requirements of FERPA.
