Family Educational Rights and Privacy Act (FERPA or Buckley Amendment)
Initially approved: September 1, 2000
Revised: September 23, 2009
Revised: August 15, 2011
Policy Topic: Governance and Administration
Administering Office: Registrar's Office
I. POLICY STATEMENT
Western Carolina University (“WCU” or the “University”) adheres to a policy of compliance
with the Family Educational Rights and Privacy Act of 1974, also known as the Buckley
Amendment or FERPA, which affords the following rights to students with regard to
their education records:
to inspect and review the student’s education records;
to consent to disclosure of the student’s education records to third parties, except
to the extent that FERPA authorizes disclosure without consent;
to request amendment of the student’s education records to ensure that they are not
inaccurate or misleading;
to be notified of the student’s privacy rights under FERPA; and
to file a complaint with the U.S. Department of Education concerning alleged failures
by the University to comply with the requirements of FERPA.
is defined as a person who (1) has applied, been accepted, and has registered for
classes at the University, at either the graduate or undergraduate level; (2) is currently
attending the University; or (3) has attended the University. For purposes of this
policy, the terms
means attendance in person or by paper correspondence, videoconference, satellite,
Internet, or other electronic information and telecommunications technologies, as
well as the period during which a student is working under a work-study program.
are defined as those records directly related to a student and maintained by the
University or by a party acting for the University. Education records do not include
Records of instructional, supervisory, administrative, and certain educational personnel
that are in the sole possession of the maker, are used only as a personal memory aid,
and are not accessible or revealed to any other individual except a temporary substitute
for the maker of the record (e.g., file notes of conversations);
Records created and maintained by University Police for the purpose of law enforcement;
Records relating to individuals who are employed by the University that are made
and maintained in the normal course of business, relate exclusively to individuals
in their capacity as employees, and are not available for use for any other purpose;
Student medical and counseling records created and maintained by a physician, psychologist
or other professional that are used only in connection with the provision of medical
treatment and/or counseling to the student and are not disclosed to anyone other than
individuals providing such treatment/counseling;
Records created or received by WCU after a student is no longer a student in attendance
and are not directly related to the student’s attendance (i.e., alumni records); and
Grades on peer-graded papers before they are collected and recorded by the instructor
means information contained in a student’s education record that would not generally
be considered harmful or an invasion of privacy if disclosed. At WCU, Directory Information
is defined as:
Local and home address
Classification (i.e., freshman, sophomore, junior, senior, graduate student)
Major field of study
Dates of attendance
Degrees awarded by the University
Honors and awards received
The most recent previous educational agency or institution attended by the student
Participation in officially recognized activities and sports
Weight and height of members of athletic teams
University electronic mail (E-mail) address
Directory Information does not include a student’s Social Security number or a student’s
WCU identification number (i.e., “92-number”).
“Personally Identifiable Information”
includes, but is not limited to:
the student’s name;
the name of the student’s parent or other family members;
the permanent address of the student or student’s family;
a personal identifier such as a Social Security number, “92-number”, or biometric
other indirect identifiers such as the student’s date of birth, place of birth, and
mother’s maiden name; and
other information that, alone or in combination, is linked or linkable to a specific
student, which would allow a person to identify the student with reasonable certainty.
III. DISCLOSURE OF EDUCATION RECORDS
A. Disclosure to the Student
FERPA provides students with the right to inspect and review information contained
in their education records, except as provided below. University officials shall
consult with the Office of Legal Counsel prior to providing copies of education records
to students or third parties.
Students wishing to inspect their education records must make written requests to
the University official responsible for maintaining the records, listing the record(s)
of interest. The requested records will be made available within a reasonable period
of time, but no more than forty-five (45) days of receipt of the request. Generally,
students may have copies of their education records, subject to the fee and service
charge provisions in this policy, if circumstances make on-site inspection impractical
and the student is in good standing (for example, a student is not in good standing
if a financial "hold" exists).
Students may not inspect and review the following records/information:
Financial information submitted by their parents;
Confidential letters and recommendations associated with admissions, employment or
job placement, or honors to which they have waived their rights of inspection and
Education records containing information about more than one student, in which case
the University will permit access only to that part of the record which pertains
to the inquiring student;
Admissions information and application materials related to applicants who were denied
admission to the University; or
Records that are excluded from FERPA.
B. Disclosure without Student Consent
The University will not disclose any information from a student’s education records
without the student’s prior written consent, except as provided below. The University
will use reasonable methods to identify and authenticate the identity of parents,
students, University officials, and other parties to whom Personally Identifiable
Information is disclosed.
1. University Officials/Outsourcing.
University officials with legitimate educational interests in the student’s education
records are allowed access to student education records. For purposes of this policy,
“legitimate educational interests” means the University official needs to review the
education record in order to fulfill his/her professional responsibilities for the
University. University officials who may have access to education records for legitimate
educational interests include the following individuals:
a person employed by the University in an administrative, supervisory, academic or
research, or support staff position, including health, medical, and counseling staff;
a member of the Board of Trustees;
a person or entity engaged or employed by or under contract with the University to
perform special services, such as an attorney, attorney’s agent, auditor, or contractor;
a person who is employed by the University Police;
a student serving on an official committee, such as a disciplinary or grievance committee,
or who is assisting another University official in performing his/her tasks; and
contractors, consultants, volunteers, and other outside service providers used by
and under the direct control of the University to perform services that the University
would otherwise provide with its own employees.
Disclosure of education records to a University official having a legitimate educational
interest does not authorize the official to subsequently re-release all or any part
of the records to another party. An unauthorized disclosure of Personally Identifiable
Information from the education records of the student is prohibited. Public posting
of grades by instructors is strictly prohibited.
The University will implement physical, technological access, and administrative controls
to ensure that access to educational records is appropriately limited in compliance
with the legitimate educational interest requirement of FERPA. Administrative controls
include all applicable Division of Information Technology computing systems and devices
policies and procedures, as well as policies adopted by the University Data Security
and Stewardship Committee.
2. Other Institutions.
The University may release a student’s education records to officials of other
educational institutions in which that student seeks or intends to enroll, or where
the student is already enrolled so long as disclosure is related to the student’s
enrollment or transfer. Additionally, the University may return records to the creator
of the records to verify authenticity.
3. State or Federal Supported Programs.
The University may disclose records to the U.S. Comptroller General, U.S. Attorney
General, the Secretary of the Department of Education, or State and local educational
authorities, including the State auditor, in connection with an audit or evaluation
of Federal or State supported education programs, or for the enforcement of or compliance
with those programs.
4. Financial Aid.
The University may disclose a student’s education records to persons or organizations
in connection with that student’s application for or receipt of financial aid, but
only to the extent necessary for such purposes as determining eligibility, amount,
conditions, and enforcement of terms or conditions of such financial aid.
5. Institutional Studies.
The University may disclose education records under certain circumstances to organizations
conducting studies for, or on behalf of, educational agencies or institutions to (i)
develop, validate, or administer predictive tests; (ii) administer student aid programs;
or (iii) improve instruction. Records disclosed under this provision: (i) must not
permit identification of either a student or parent except to those having a legitimate
interest in the information; (ii) must be destroyed when no longer needed; and (iii)
must be disclosed pursuant to a written agreement that specifies the purpose, scope,
and duration of the study, as well as addresses the limitation on the disclosure of
Personally Identifying Information. Disclosures made pursuant to this exception must
be made through the Office of Institutional Planning and Effectiveness, which will
coordinate with the University Institutional Review Board and other units as necessary.
6. Accreditation Agencies.
The University may release a student’s education records to accreditation organizations
or agencies for purposes necessary to carry out their accreditation functions.
7. Court Orders/Ex parte Orders.
Information concerning a student shall be released in response to a judicial order
or lawfully issued subpoena. The University will make reasonable efforts to notify
the student of a subpoena before complying with it, except that the University shall
not notify a student of a subpoena if it is from a federal grand jury or is for law
enforcement purposes, and it provides that the University shall not disclose to any
person the existence or contents of the subpoena or any information furnished in response
to the subpoena. The University shall not notify a student of an ex parte court order
is obtained by the U.S. Attorney General concerning Patriot Act investigations and
prosecutions. Disclosures made under this section must be coordinated with the Office
of Legal Counsel.
If the University initiates legal action against a parent or student, or if a parent
or student initiates legal action against the University, the University may disclose
to the court, without a court order or subpoena, the education records of the student
that are relevant for the University to proceed with the legal action as plaintiff
or to defend itself in such legal action.
9. Health and Safety Emergencies.
The University may disclose Personally Identifiable Information from an education
record to appropriate parties, including parents, in connection with an emergency
if knowledge of the information is necessary to protect the health or safety of the
student or other individuals. Disclosures made under this Section shall be coordinated
with the Vice Chancellor for Student Affairs.
10. Directory Information.
At its discretion, the University may disclose Directory Information without student
consent unless a student submits a written request to the Registrar to withhold such
information from disclosure. Students may withhold Directory Information by notifying
the Registrar's Office in writing within five working days from the first day of classes
for any semester. Requests for non-disclosure of Directory Information will be honored
indefinitely unless the student submits to the Registrar a written revocation of such
request for non-disclosure. Students are warned, however, prior to making a decision
to withhold Directory Information , that undesirable consequences frequently occur,
such as names of students on the Dean's List are not published, names are not listed
in commencement bulletins, and requests from prospective employers are denied. The
University will continue to honor a former student’s opt-out request unless and until
the request is revoked by the former student. Any opt-out request made under this
Section shall not prohibit the disclosure of identifying information in class.
11. Student Conduct Hearing Results.
Disclosure to Victims:
When requested in writing, the University must disclose to an alleged victim (or
if the victim is deceased as a result of such crime or offense, to the next-of-kin)
of any crime of violence, or a non-forcible sex offense (as those terms are defined
by the implementing regulations of FERPA), the final results of any student conduct
proceeding conducted by the University against the alleged perpetrator of such crime
or offense, regardless of whether the alleged perpetrator was found responsible for
violating the University’s rules or policies with respect to such crime or offense.
There is no prohibition on re-disclosure.
Disclosure to Third Parties:
The University may disclose the final results of any student conduct proceeding against
a student who is an alleged perpetrator of any crime of violence or non-forcible sex
offense (as those terms are defined in the implementing regulations of FERPA), if
the student is found responsible for violating the University's rules or policies
with respect to such crime or offense. Such disclosure shall include only the name
of the student, the violation committed, and any sanction imposed by the University
on that student. Such disclosure may not include the name of any other student, such
as a victim or witness, without the prior written consent of that student.
12. Alcohol and Drug Violations.
The University may disclose to a parent or legal guardian of a student, information
regarding any violation of any Federal, State, or local law, or of any rule or policy
of the University, governing the use or possession of alcohol or a controlled substance,
regardless of whether that information is contained in the student's education records,
if the student is under the age of 21 at the time of disclosure to the parent, and
the University determines that the student is responsible for a student conduct violation
with respect to such use or possession.
13. Sex Offenders.
The University may disclose information concerning sex offenders and other individuals
as required or permitted by applicable State law and the Violent Crime Control and
Law Enforcement Act of 1994 if the information was provided to the University under
applicable Federal guidelines.
14. De-identified Records and Information.
The University may disclose records or information without student consent after
the removal of all Personally Identifiable Information, in compliance with FERPA implementing
C. Disclosure with Student Consent
In all other cases, the University will not disclose Personally Identifiable Information
in education records or allow access to those records without prior consent of the
student. Such consent must be written, signed and dated, and must specify the records
to be disclosed, the party to whom the records are to be disclosed, and the purpose
of the disclosure.
D. Record of Disclosures
The Office of the Registrar will maintain a record of each request for access to and
each disclosure of education records, as well as the names of State and local educational
authorities and Federal officials and agencies referenced in Section III.B.3 above,
and will maintain such records with the education records of the student as long as
the records are maintained. For each such request or disclosure the record must include:
(1) the parties who have requested or received Personally Identifiable Information
from the education records; and (2) the legitimate interests the parties had in requesting
or obtaining the information.
The Office of the Registrar will maintain with the student's education records a record
for each disclosure request and each disclosure, except disclosures:
to the student;
pursuant to the written consent of the student or the parent of a dependent student;
to University officials who have a legitimate educational interest;
of Directory Information;
to a party seeking or receiving the records as directed by a Federal grand jury or
other law enforcement subpoena when the issuing court or other issuing agency has
ordered that the existence or the contents of the subpoena or the information furnished
in response to the subpoena not be disclosed; or
to a party seeking or receiving records in accordance with the U.S. Patriot Act.
The University must obtain a copy of a record of further disclosures made by State
and local educational authorities and Federal officials and agencies referenced in
Section III.B.3 above.
The Vice Chancellor for Student Affairs must record the following information in connection
with the health and safety exception referenced in Section III.B.9 above: (i) the
articulable and significant threat to the health or safety of a student or other individual;
and (ii) the parties to whom the University disclosed information.
E. Records of Deceased Students
The University does not release educational records of a deceased student unless:
(1) authorized by the executor/executrix of the deceased student's estate; (2) authorized
by the deceased student's parents if no executor/executrix has been appointed; or
(3) death is established by a certified copy of a death certificate.
IV. TYPES AND LOCATIONS OF EDUCATION RECORDS
The student records maintained by the University are classified as follows:
1. Official academic records are maintained in the Office of the Registrar at 206
Killian Annex. They include admission applications and associated documentation; the
registration records for each semester in residence; the records of grades and credits
received in courses at this University or accepted here from another institution;
and other documents directly relating to academic progress and status. The Dean of
each school/college is the official custodian of records for all school/college and
departmental records regarding students that are not kept in the Registrar’s Office.
Deans will work with department heads and faculty in their school/college to gather
all academic records for inspection by students.
2. Disciplinary records are maintained under the authority of the Vice Chancellor
for Student Affairs at Scott Hall East. They include information about the investigation,
adjudication and imposition of sanctions by the University against a student for breach
of the University’s Code of Student Conduct or other written policies.
3. Financial records are maintained by the Student Accounts Office at Killian Annex.
Financial aid application records, including tax forms, are maintained by the Financial
Aid Office, 118 Killian Annex.
4. Employment records of students receiving financial aid consist of work-study authorizations
and are maintained by the Financial Aid Office, 118 Killian Annex. Non work-study
employment records of students are maintained by the Office of Career Services and
Cooperative Education at Second Floor, Killian Annex. Graduate student teaching and
research appointment records are maintained by the Graduate School at 110 Cordelia
V. REQUESTS TO AMEND RECORDS
If a student believes his/her education record is inaccurate or misleading, the first
step is to discuss the concern with the person who maintains the record. This does
not apply to grade disputes (although it may be used to correct a clerical error in
grades). If the record keeper does not agree with the student, the record keeper will
inform the student of the right to a formal hearing.
A student must request a formal hearing within fifteen (15) business days from the
date the student is informed by the record keeper of the right to a hearing. The request
must be in writing, and must be delivered to the Vice Chancellor or Dean to whom the
record keeper ultimately reports.
The University official who receives the formal hearing request shall either hear
the case personally or designate a person or persons to hear it, provided that those
who hear the case do not have a direct interest in the outcome of the hearing. Within
a reasonable period of time after the request for hearing, the student shall be informed
in writing of the date, place, and time of the hearing. The student may present evidence
relevant to the issues raised and may be assisted at the hearing by one or more persons
of his/her choice, and/or represented by an attorney at his/her expense.
The person(s) hearing the case shall decide it solely on the basis of the evidence
presented at the hearing. The decision shall be in writing, delivered to all parties,
and will summarize the evidence and state the reason(s) for the decision. If the decision
is in favor of the student, the education records will be amended accordingly. If
the decision is unsatisfactory to the student, he or she may place with the education
record a statement commenting on the information in the records or setting forth any
reasons for disagreement with the decision. Such statements will be maintained as
part of the student’s education record and released with the record anytime it is
disclosed to third parties.
The decision of the person(s) hearing the case is final. A student who believes that
the outcome of a hearing to amend his or her education records was unfair or not in
keeping with the provisions of FERPA may file a complaint in accordance with Section
VI of this policy.
Students who believe that the adjudication of their challenges were unfair or not
in keeping with the provisions of FERPA or that their rights have been abridged, may
file complaints with the Family Policy Compliance Office, US Department of Education,
400 Maryland Avenue, SW, Washington, D.C. 20202-5920 concerning the alleged failures
of the University to comply with FERPA.
The University provides official notice to students of their rights under FERPA by
publishing such notice in the Graduate and Undergraduate Catalogs, and posting it
at the Office of the Registrar.
Annual notification shall specifically include notice that the University discloses
a student’s education records to other institutions that have requested records and
in which the student seeks or intends to enroll.
The University also discloses a student’s education records to University of North
Carolina General Administration and any other University of North Carolina (UNC) constituent
campus if a student is enrolled in, or seeks to apply and/or transfer to another UNC
VIII. POLICY REVIEW
This policy shall be reviewed and revised as necessary every four (4) years or as
necessitated by amendments to FERPA or its implementing regulations.