UNIVERSITY OF PITTSBURGH PROCEDURE 09-08-01
CATEGORY: STUDENT AFFAIRS
SECTION: Rights to Review, Inspect and Release
Education Records
SUBJECT: Access to and Release of Education Records
EFFECTIVE DATE: January 9, 2008 Revised
PAGE(S): 10
I. PURPOSE
To provide the steps for review and release of Students' Education
Records, in
compliance with the Family Educational Rights and Privacy
Act of 1974 (FERPA).
II. SCOPE
This procedure includes the guidelines for:
- Publication and modification of Directory Information
- Requesting/providing copies of Education Records
- Reporting violations of the FERPA
- Maintaining records of disclosure
- Seeking to correct Education Records
III. ADMINISTRATIVE RESPONSIBILITIES
The Board of Trustees authorizes the Office of the University Registrar
to inform
Students of the nature of this policy and procedure, and to exercise their
administrative resources to implement the policy as well as to respond to individuals
who violate it.
Requests for access to Education Records, Directory Information, or
general
information about FERPA are directed to:
- The Office of the University Registrar
220 Thackeray Hall
- The Registrar at each Regional Campus
Requests for records unique to one department are directed to:
- The Record Custodian in the department
Requests for access to Education Records available only from a computer
are
directed to:
- Data Security Administrator
IV. DEFINITIONS
Education Records
Any records that pertain to a Student (in handwriting, computer media,
print, video
or audiotape, film, microfilm, microfiche or other medium) and which are maintained
by the University, a University employee or any
agent of the University, except:
- Personal records kept by any University employee or agent which
constitute
records of instructional, supervisory, administrative personnel, and educational
personnel ancillary to those persons, that are kept in the sole possession of the
maker of the record, and are not accessible or revealed to any other person except
a
temporary substitute for the maker of the records.
- Employment records made in the normal course of business, relating
exclusively
to that person's capacity as an employee, and not available for any other purpose.
However, the records related to a Student's employment are Education Records
when:
- The position in which the Student is employed depends on
his status as a
student, or
- The Student receives a grade or credit based on his
performance as an
employee.
- Records of the University of Pittsburgh Police Department (UPPD)
which are:
- Created by the UPPD for a law enforcement purpose, and
- Maintained by the UPPD.
- Records which relate to an individual as an alumnus after he/she
no longer
attends or participates in an educational activity for which the University awards
a grade or credit.
- Records which are:
- Created or maintained by a physician, psychiatrist,
psychologist, or other
recognized professional or paraprofessional acting in a professional or
paraprofessional
capacity or assisting in that capacity;
- Created, maintained or used only in connection with a
provision of treatment
to that Student; and
- Not disclosed to anyone other than individuals providing
the treatment, provided
that the records can be personally reviewed by the physician or another
appropriate professional of the Student's choice. For the purpose of this
definition,"treatment" does not include remedial education activities or activities
which are part of the program of instruction
at the University.
- Financial statements of Parents or any information contained
therein, none of which
may be viewed by the Student.
- Confidential letters and confidential statements of recommendation
which were
placed in the Education Records of a Student prior to
January 1, 1975, provided that:
- The letters and statements were solicited with a written
assurance of ,
confidentiality or sent and retained with a documented understanding of
confidentiality; and
- The letters and statements are used only for the purposes for
which they were
specifically intended.
- Confidential letters of recommendation and confidential statements
of
recommendation which were placed in the Education Records of the Student after
January 1, 1975:
- Respecting admission to an educational institution provided
that the Student has
waived his right to inspect and review those letters and statements of
recommendation;
- Respecting an application for employment; and
- Respecting the receipt of an honor or honorary recognition.
Directory Information
The University designates the personally identifiable information
contained in a Student's
Education Record listed below as "Directory Information" in order that the University may,
at its discretion, disclose
the information without a Student's further prior written consent:
- The Student's name
- The Student's address, phone number, place of birth and electronic
mail address
- The Student's major field of study
- The Student's achievements, degrees, academic awards, or honors
- The Student's weight and height, if a member of athletic teams
- The Student's previous educational institutions
- Participation in officially recognized activities and sports
- Dates of attendance
- The Student's photograph
Student
Any person who attends or has attended an academic program of instruction
sponsored
by the University.
Parent
Parent, guardian, or an individual acting as a parent or guardian of a
Student in the absence
of a parent or guardian. (Note: Only parents or guardians of Students who are not eighteen
years of age, or who are financial dependents of their parents or guardians as defined
under Section 152 of the Internal Revenue Service Code of 1954, may access the
Education Record of the Student. To establish this, it may be necessary, inter alia,
for the parents or guardians to provide a certified copy of their most recent Federal Income
Tax form. These forms can only be submitted to and approved by the Office of the
University Registrar, the Director of Admissions and Financial Aid, Associate Vice
Chancellor of Student Financial
Services and the Office of General Counsel.)
Personal Identifier
Any data or information that makes the subject of a record known. This
includes the
Student's name, address, student identification number, name of Parent or other family
members, and a list of personal characteristics or any other information which would
make the Student's identity known or
easily traceable.
Record Custodian
The individual in a department or office designated as the official contact
person for
access to Education Records of that particular unit.
V. DIRECTORY OF RECORD CUSTODIANS
Location of Education Records
The following listing comprises those offices which routinely possess
applicable
Education Records of Students. For the name of the current Record Custodian, contact
the office directly as set forth in the University
directory.
- Admissions and Financial Aid
- Athletics
- Database Administration and Support
- International Services
- Learning Skills Center
- University Registrar, and Regional Campus Registrars
- Residence Life
- Student Accounting and Billing
- University Collections
- Housing
- Placement & Career Services
- Veterans Services
- Disability Resources and Services
Other Locations
Other individuals or offices which may routinely possess applicable
Education Records
of Students include:
- All academic advisors
- Student affairs offices where they exist at the college or school
level
- Diagnostic laboratories or clinics not exempted in the definition
of Education Records
above
- Faculty or administrators who supervise Students in:
- Independent study
- Field work
- Internships
- Practica or similar experiences
Note that this category may include Deans, Directors and Chairs and
coordinators of
various academic programs. Others who may possess Education Records are
required to comply with this policy.
(For clarification of the above, contact the Office of the University
Registrar, 220 Thackeray
Hall.)
VI. PROCEDURE
Publication and Modification of Directory Information
The University may disclose personally identifiable information (see
definition of Directory
Information) without a Student's prior written consent, provided the Student does not refuse
permission as described below.
University 1. The University will give public notice,
at least annually,
to Students of the
items classified as "Directory
Information."
2. The University's notice to Students
will inform Students
of their rights under FERPA, specifically their right to
bar release of Directory Information
without their consent.
Student 3. Advise the Office of the University
Registrar, in writing,
not to release
the Directory Information.
Office of the
University Registrar 4. Place the confidentiality indicator on
the student
administration system. Notify the appropriate
Record Custodians
of the Student's action.
Record Custodians 5. Mark your records accordingly. No
further disclosures
about that Student are made without written consent
(except to parties who have legal access to Student
Education Records without consent).
Providing Copies of Student Education Records
By prior written consent of a Student, (see Exhibit A - Waiver to Release
Educational Records)
Education Records may be released to third parties as
described below.
Student 1. Specify the records to be released.
2. Identify the person or the organization,
or the class of
persons or organization, to whom the disclosure will be
made.
3. Sign the request.
4. Include the date of consent, and, if
appropriate, a date
when consent is
terminated.
Record Custodian 5. Release the information within 45 calendar
days of the
request.
6. Forward a copy of the Waiver to Release
Educational
Records Form, or its revocation, to the Office of the
University Registrar or Regional Campus Registrar upon
receipt.
Maintaining Records of Requests
Records of requests for access and disclosure made from Education Records will be
maintained by all Record Custodians as described below.
Record Custodian 1. Maintain records of all requests for
information or requests
to gain access to a Student's Education Records. Such
records
will include the following as a minimum:
a. The name of the person or agency that
made the
request
b. The purpose for requesting that
information and/or
access
c. The names of additional parties to
which the receiving
party may disclose the information on behalf of the
educational agency or institution
d. The legitimate educational interests
which each of
the additional parties has in requesting or obtaining
the
information
e. The date the request was made
f. Whether or not the request was granted
g. If granted, the date that access was
given or
disclosure made
School/College/
Regional Campus 2. Ensure that the above records of disclosure
become an
integral part of each Student's cumulative Education
Records and are maintained for University officials with a
legitimate educational interest, for an Eligible Student or
when an Eligible Student
provides written consent.
Exceptions to the Maintenance of Access Records
Records of requests to gain access to a Student's Education Records or disclosure
of
information for such records do not have to be maintained where the request was from or the
disclosure was to: (1) University officials with a legitimate educational interest; (2) the Student;
(3) a party where a Student provides written consent; (4) a party seeking or receiving the
records as directed by a Federal Grand Jury or other law enforcement subpoena and the court
or other issuing agency has ordered that the existence or the contents of the subpoena or the
information furnished in response to that subpoena not be disclosed.
Seeking to Correct Student Education Records
If a requested change in Education Records does not fall within the individual
school's Academic
Integrity Guidelines, that is, if no violation of Student or faculty obligations is alleged by the
Student, the procedure is as follows:
First Level Decision
Student 1. Upon discovery of an item in the Student's
Education
Record that is believed to be inaccurate or misleading, or
in violation of the Student's rights of privacy, Student
requests in writing the Record Custodian to correct the
record.
2. A written request to correct a Student's
Education Record
ensures a review of the correction that the requester wishes
the University to make. Student should include the following
in the written request:
a. Identify the item that is believed to
be incorrect
b. State why the item is believed to be
inaccurate
c. State why the item is believed to be
misleading
d. State why the item violates the
Student's privacy rights
e. Date and sign the request
Record Custodian 3. If the error in the record is obvious and
correction is a
simple matter, make the change and notify the requester
in writing
of the decision made.
4. In the event that the error is not obvious
and/or correction
is not a simple matter, within ten working days of receipt of
the request, review and discuss it with other University officials,
including, if possible, the person who prepared the record, and
notify the requester in writing of the
decision made.
5. If the decision was to change the record,
then effect the
change and notify the requester in writing of the decision
made.
6. If it was determined that the record is
correct and should not
be changed, then forward the decision together with a copy
of the written request to the Office of
the University Registrar.
Student 7. Within ten days of receipt of the
notification of denial, inform
the Office of the University Registrar in writing if a hearing is
desired.
8. Include the following in the notification:
a. The name and address of the requester
b. Identification of the item that is
believed to be incorrect
c. A brief statement of why the item is
believed to be incorrect
d. Signature and date of the request for
a hearing
Office of the
University Registrar 9. Within ten working days notify all parties in
writing of the time
and place of the hearing.
Second Level Decision
Director, University
Student Judicial System 1. During the hearing, preside as the hearing
officer. Provide the
requester with a full and reasonable opportunity to present
material evidence and testimony to demonstrate that the
disputed part of the Student's Education Record is incorrect
and allow the requester to seek assistance during the hearing,
including
the right to be represented by legal counsel.
Student 2. Present evidence supporting the request for the
change to the
Education Record.
Director, University
Student Judicial System 3. Within five working days after the hearing submit
to the
University Registrar a written summary of evidence presented
at the hearing, together
with recommendations.
University Registrar 4. Prepare the University's decision within two
weeks of the
hearing. The hearing officer's recommendation may be
accepted or rejected.
5. If the decision is to change the record,
instruct the Record
Custodian to correct the
record.
Record Custodian 6. Correct the record and notify the requester.
University Registrar 7. If the decision is to reject the request to
change the record,
prepare a written notice to the requester and the Record
Custodian that
includes:
a. The decision that the University's record
is correct and
will not be changed
b. A statement of the reasons for the decision
c. Inform the Student that an explanatory
statement may
be placed in his Education Record, stating the reason(s)
for disagreement with the University's decision and/or
the reasons that the record is
believed to be incorrect
Student Explanatory Statements
Record Custodian 1. Maintain explanatory statements that are received
from a
requester after a hearing as part of the Student's Education
Record. Retain the explanatory statement as long as the
disputed material remains
in the Student's Education Record.
2. Attach the statement to the record to ensure that
when the
disputed part of the record is disclosed the explanatory
statement will also be disclosed. Transcripts will not be
accompanied by explanatory
statements in any manner.
Students may appeal their grades or their academic
status
through other established procedures. See Policy 02-03-04,
Student Grievances.
Reporting Violations of the Family Educational Rights and Privacy Act
If a Student has a complaint that the University is violating the FERPA (and the complaint
cannot
be satisfactorily resolved within the University), that person has a right to file a complaint with the
Department of Education. The address is:
Family Policy Compliance Office
U.S. Department of Education
600 Independence Avenue, SW
Washington, D.C. 20202-4605
The telephone number is (202) 260-3887
XI. EXHIBIT
Exhibit A - Waiver to Release Educational Records
X. REFERENCE
Policy 09-08-01, Access to and Release of Education Records