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: February 1, 2002 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
A. 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.
B. 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
C. Requests for records unique to one department are directed
to:
- The Record Custodian in the department
D. Requests for access to Education Records available only from
a computer are directed to:
- Data Security Administrator
IV. DEFINITIONS
A. 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:
1. 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.
2. 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:
a. The position in which the Student is employed
depends on his status as a student, or
b. The Student receives a grade or credit based on
his performance as an employee.
3. Records of the University Department of Public Safety
which are:
a. Created by the University Department of Public
Safety for a law enforcement purpose, and
b. Maintained by the University Department of Public
Safety.
4. 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.
5. Records which are:
a. 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;
b. Created, maintained or used only in connection
with a provision of treatment to that Student; and
c. 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.
6. Financial statements of Parents or any information
contained therein, none of which may be viewed by the
Student.
7. Confidential letters and confidential statements of
recommendation which were placed in the Education
Records of a Student prior to January 1, 1975, provided
that:
a. The letters and statements were solicited with a
written assurance of confidentiality, or sent and
retained with a documented understanding of
confidentiality; and
b. The letters and statements are used only for the
purposes for which they were specifically
intended.
8. Confidential letters of recommendation and confidential
statements of recommendation which were placed in the
Education Records of the Student after January 1, 1975:
a. Respecting admission to an educational institution
provided that the Student has waived his right to
inspect and review those letters and statements of
recommendation;
b. Respecting an application for employment; and
c. Respecting the receipt of an honor or honorary
recognition.
B. 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:
1. The Student's name
2. The Student's address, phone number and electronic mail
address
3. The Student's major field of study
4. The Student's achievements, degrees, academic awards,
or honors
5. The Student's weight and height, if a member of
athletic teams
6. The Student's previous educational institutions
7. Participation in officially recognized activities and
sports
8. Dates of attendance
9. The Student's photograph
C. Student
Any person who attends or has attended an academic program
of instruction sponsored by the University.
D. 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.)
E. 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.
F. 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
A. 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.
1. Admissions and Financial Aid
2. Athletics
3. Database Administration and Support
4. International Services
5. Learning Skills Center
6. University Registrar, and Regional Campus Registrars
7. Residence Life
8. Student Accounting and Billing
9. University Collections
10. Housing
11. Placement & Career Services
12. Veterans Services
13. Disability Resources and Services
B. Other Locations
Other individuals or offices which may routinely possess
applicable Education Records of Students include:
1. All academic advisors
2. Student affairs offices where they exist at the college
or school level
3. Diagnostic laboratories or clinics not exempted in the
definition of Education Records above
4. Faculty or administrators who supervise Students in:
a. Independent study
b. Field work
c. Internships
d. 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
A. Publication and Modification of Directory Information
The University may disclose personally identifiable
information (see Definition B, 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
designator on the Integrated
Student Information System (ISIS).
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).
B. Providing Copies of Student Education Records
By prior written consent of a Student, Education Records
will be released to third parties as described below.
Student 1. Specify the records to be
released.
2. State the reasons for the
disclosure (except for the release
of a transcript).
3. Identify the person or the
organization, or the class of
persons or organization, to whom
the disclosure will be made.
4. Sign the request.
5. Include the date of consent, and,
if appropriate, a date when consent
is terminated.
Record Custodian 6. Release the information within
45 calendar days of the request.
C. 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.
D. 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.
E. 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 the 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.
F. 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. REFERENCE
Policy 09-08-01, Access to and Release of Education Records