USI 107–01: Release of Student Information

To outline the ASU policy on release of student information, as required by the federal Family Educational Rights and Privacy Act of 1974, as amended

Family Educational Rights and Privacy Act of 1974 (also referred to as the Buckley Amendment or FERPA), 20 United States Code § 1232g, as amended

Vice president for University Student Initiatives

Office of General Counsel

The federal Family Educational Rights and Privacy Act of 1974 (also known as the Buckley Amendment and FERPA) affords students certain rights with respect to their education records. These rights are:

1. the right to inspect and review the student’s education records within 45 days of the day Arizona State University receives a request for access
2. the right to request the amendment of the student’s education records that the student believes are inaccurate or misleading
3. the right to consent to disclosures of personally identifiable information contained in the student’s education records, except to the extent that FERPA authorizes disclosure without consent

   and

4. the right to file a complaint with the U.S. Department of Education concerning alleged failures by ASU to comply with the requirements of FERPA.

Student Control of Access

In addition to the restrictions mandated by law, a student may control access to his or her records by completing forms at the University Registrar Records Information counter at the Tempe campus, Registration Services at the Polytechnic campus, or Enrollment Services at the West or Downtown Phoenix campus.

A parent of a dependent student may challenge denial of access by presenting the most current copy of Internal Revenue Service Form 1040 and a notarized Affidavit of Dependency form to the University Registrar’s Office. For complete information about this procedure, see USI 203–08, “Affidavit of Dependency for Release of Records.” The affidavit is retained by the University Registrar’s Office and must be renewed each tax year. Upon receipt of the affidavit, the university may make the dependent student records available to the parent. Staff at Registration Services at the Polytechnic campus or Enrollment Services at the West or Downtown Phoenix campus may also facilitate this process.

Identification Required

A student accessing education records or receiving university services must provide proof of identity (generally photo identification such as an ASU student ID card, driver’s license, passport, etc.).

Two types of education records, directory information and personally identifiable information, are covered by the amendment. The Buckley Amendment provides the following guidelines for the release of information:

Directory information may be released to anyone without the consent of the student, unless the student indicates otherwise to the University Registrar’s Office.

Controlling Directory Information Release

Unless otherwise requested, a student’s name, local telephone number, addresses, class standing, and college will appear both in the directory of faculty, staff, and students on ASU’s Web pages and in the printed ASU Directory of Faculty, Staff and Students, which is published each fall semester. The Web directory also lists the student’s ASU e-mail address, including the directory number. To avoid the release of directory information in the printed directory, the appropriate form must be submitted to any of the registrar locations (the Records Information counter at the Tempe campus, Registration Services at the Polytechnic campus, or Enrollment Services at the West or Downtown Phoenix campus) before the end of the third week of the fall semester.

Students may limit the release of directory information on the Web or in response to general inquiries at any time by submitting the appropriate form to the University Registrar’s Office.

ASU has a policy that regulates the sale of enrolled student directory information through the University Registrar’s Office. Unless otherwise directed by the student, directory information is subject to sale to outside purchasers.

Personally identifiable information about a student includes not only the name of the student and other personal identifiers but also a list or description of personal characteristics or any other information that would make the student’s identity easily traceable. Further, personally identifiable information includes all information about a student that is not defined as directory information, as well as any information that the student has indicated may not be released, including directory information.

Personally identifiable information may not be released without the student’s consent, except under the following circumstances or to the individuals/organizations listed below or otherwise as permitted by law. These releases are permissible, not required.

1. ASU officials, including teachers, who have a legitimate educational interest in the information and officials of any institution governed by the Arizona Board of Regents (ABOR) to the extent necessary to implement and enforce sanctions under the ABOR Student Code of Conduct
2. officials of other schools in which the student seeks admission or intends to enroll, on the condition that the student, upon request, receives a copy of the record that has been transferred and has an opportunity to challenge, upon request, the content of the record
3. authorized representatives of the U.S. comptroller general, the secretary of the Department of Education, the assistant secretary for education, and state educational authorities:
   
   
   1. for the purpose of audit and evaluation of federally supported education programs or the enforcement of and compliance with legal requirements related to these programs

      or

   2. in connection with financial aid for which a student has applied or which a student has received.

      In these instances, personally identifiable information from the education records of the student may be disclosed only as necessary for purposes such as:

      1. determining the eligibility of the student for financial aid
      2. determining the amount of financial aid
      3. determining the conditions that will be imposed regarding the financial aid

         or

      4. enforcing the terms or conditions of financial aid.

      Any data collected by these representatives under these conditions is required to be protected by the persons receiving it in a manner that will not permit the personal identification of students and their parents by other than those authorized above, except when:

      
      
      1. written consent of the student has been obtained

         or

      2. the collection of personally identifiable information is specifically authorized by federal law.

4. state and local officials or authorities to whom such information is specifically required to be reported or disclosed under state statutes enacted before November 19, 1974
5. federal, state, local, and independent organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of:
   
   
   1. developing, validating, or administering predictive tests
   2. administering student aid programs

      and

   3. improving instruction.

6. accrediting organizations in order to carry out accrediting functions
7. parents of a dependent student defined in the Internal Revenue Code, as evidenced by a notarized affidavit stating that the student is a dependent for income tax purposes, or other documentation as may be separately approved by the university registrar, on a case-by-case basis
8. appropriate parties in a health or safety emergency. Factors to consider in determining whether personally identifiable information should be disclosed shall include:
   
   
   1. the seriousness of the threat to the health or safety of the student or other individuals
   2. the necessity of gaining the information to deal with the emergency
   3. the ability of the parties to whom the information is disclosed to deal with the emergency

      and

   4. the extent to which time is of the essence in dealing with the emergency.

   or

9. persons holding a judicial order or lawfully issued subpoena. The university official must make a reasonable effort to notify the student of the order or the subpoena several days in advance of compliance, except when the subpoena was issued for a law enforcement purpose and states that the student is not to be notified.

Disclosure of Violent Acts

ASU may:

1. disclose to an alleged victim of any crime of violence (as that term is defined in 18 United States Code § 16) or a nonforcible sex offense the final results of any disciplinary proceeding conducted by ASU against the alleged perpetrator of such crime or offense with respect to such crime or offense
2. disclose the final results of any disciplinary proceeding conducted by ASU against a student who is an alleged perpetrator of any crime of violence (as that term is defined in 18 United States Code § 16) or a nonforcible sex offense if ASU determines as a result of that disciplinary proceeding that the student committed a violation of the university’s rules or policies with respect to such crime or offense

   or

3. disclose information provided to ASU under 42 United States Code § 14071 (Jacob Wetterling Crimes Against Children and Sexually Violent Offender Registration Program) concerning registered sex offenders who are required to register under such section.

Disclosure of Disciplinary Records

ASU may:

1. include appropriate information in the education record of any student concerning disciplinary action taken against such student for conduct that posed a significant risk to the safety or well-being of that student, other students, or other members of the school community

   or

2. disclose such information to teachers and school officials, including teachers and school officials in other schools, who have legitimate educational interests in the behavior of the student.

Disclosure of Drug and Alcohol Violations

ASU 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 institution 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:

1. the student is under the age of 21

   and

2. the institution determines that the student has committed a disciplinary violation with respect to such use or possession.

This shall not be construed to supersede any provision of state law that prohibits ASU from making the disclosure described in this section.

Investigation and Prosecution of Terrorism

ASU may, upon official request through a court of competent jurisdiction, release educational records to the attorney general or his or her designee related to the investigation or prosecution of an offense described in 18 United States Code § 2332b or an act of domestic or international terrorism as defined in 18 United States Code § 2331.

ASU, by acting in good faith to produce education records in accordance with an order issued under this subsection, shall not be liable to any person for that production.

ASU may disclose personally identifiable information from the education records of a student only on the condition that the party to whom the information is disclosed will not disclose the information to any other party without the prior written consent of the student. Personally identifiable information disclosed to an agency or organization may be used by its officers, employees, and agents only for the purposes for which the disclosure was made. These limitations on redisclosure are referred to as third party restrictions.

Third Party Restrictions Statement

The following statement appears on records released to agencies or organizations:

“Information contained herein is for the intended purpose only and is not to be used for any other purpose or released to any other person or organization without the written consent of the student whose name appears herein.

If you are unable to comply, in accordance with the federal Family Educational Rights and Privacy Act of 1974, you are required to return this record immediately to:

University Registrar’s Office	or	Registration Services
Arizona State University		ASU at the West campus
P.O. Box 870312		P.O. Box 37100
Tempe, AZ 85287-0312		Phoenix, AZ 85069-7100.”

 

A student may waive any of his or her rights under the act. All waivers must be in writing to be valid.

Except as otherwise required by law, ASU shall maintain records of each request for and release of personally identifiable information. This information shall be kept with the student’s education records and maintained by the custodian of the record.

The record indicates the parties who have requested or obtained personally identifiable information, the legitimate interest these parties had in requesting or obtaining the information, and the date of such a request or disclosure.

Records of release or disclosure shall be available for inspection only to the student, university personnel responsible for custody of the record, and authorized representatives listed in this policy under Conditions of Release of Personally Identifiable Information above.

These records must be maintained for as long as the education records to which they pertain are maintained.

The act dictates the following exceptions to the requirement for the recording of release of information:

1. requests by or disclosures to the student
2. disclosures pursuant to a student’s written consent when the consent is specific with respect to the party, or parties, to whom the disclosure is made

   and

3. requests by or disclosures to university personnel having a legitimate educational interest in the record.

ASU shall permit a student to inspect and review his or her education records. Inspection of education records takes place at reasonable times during business hours.

ASU is not required to release the following information from the education records of a student:

1. Business Services financial records and statements or any related information
2. confidential letters and statements of recommendation that were placed in the education records before January 1, 1975, if the letters and confidential statements:
   
   
   1. were solicited with a written assurance of confidentiality

      and

   2. are used only for the purposes for which they were specifically intended.

3. confidential letters and statements of recommendation that were placed in the education records after January 1, 1975, and that the student has waived his or her rights to review and inspect may not be reviewed and inspected if these papers apply to admission to ASU, application for employment, or receipt of an honorary recognition
4. education records of a student that contain information on more than one student

(In such a case, a student may inspect and review or be informed of only the specific information that pertains to that student.)

and

5. the following records that are not included in the definition of education records and are, therefore, exempt from inspection and review:
   
   
   1. records made or maintained by an ASU employee that are in the sole possession of the maker and are not accessible or revealed to any other individual except a substitute
   2. records of the ASU Police Department (ASU PD) maintained solely for law enforcement purposes and not disclosed to individuals other than law enforcement officials of the same jurisdiction
   3. employment records as made and maintained in the normal course of business

      (This does not apply to an individual in attendance at the university who is employed as a result of his or her status as a student.)

   4. records created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in the capacity of one of the above professionals

      (The student may request that the record be made available to a physician or other comparable, appropriate professional for review.)

      and

   5. records that contain only information relating to a person after that individual is no longer a student (e.g., information pertaining to the accomplishments of alumni).

Having reviewed their records, students who wish to challenge the content of the record on file must follow the procedures set forth below. Grades may not be challenged under this act; only the improper recording of a grade may be challenged under this act.

Informal Request

The student who believes that information contained in his or her education records is misleading or inaccurate, or violates the privacy or other rights of the student, may request that ASU amend such records. A request to amend a student’s education record(s) should be made at the level closest to the source of the information. Informal meetings and discussions with the instructor or the university official responsible for the record should be utilized to satisfy a particular inquiry. The disposition of this request should be made within a reasonable period of time.

Formal Request and Right to a Hearing

The student must be advised by the university of the right to a formal appeals hearing if the university instructor or other official fails to amend the education records of the student in accordance with the informal request. An appeal must be made in writing through the university official responsible for the record. The hearing will be conducted in accordance with the following:

1. The hearing will be held within a 30-day time period after the receipt of the request. A student must be given reasonable advance notice of the date, place, and time of the hearing.
2. The hearing will be conducted by the university registrar or his or her designee, who will serve as chair, two members of the faculty or staff, and two students. The president will appoint committee members who do not have a direct interest in the outcome of the hearing.
3. The committee is an administrative aid and not a judicial body and, therefore, does not follow formal rules of court procedure.
4. The student may retain counsel (not necessarily legal counsel) at his or her own expense and the respondent may also be advised by counsel. Counsel may be present, if requested, during all testimony, but may only advise the complainant or respondent.
5. The student must be afforded an opportunity to present evidence relevant to any alleged misleading or inaccurate information contained in the record.
6. The committee will present its findings, in the form of a recommendation, to the university president.
7. The committee must present its recommendation in writing to the president within 30 calendar days after the conclusion of the hearing. The recommendation will be based solely on the evidence presented at the hearing and will include a summary of the evidence and the reasons for the recommendation.
8. The president’s decision is not subject to appeal within the university system.

If, as a result of the hearing, the university decides that the record is misleading, inaccurate, or otherwise in violation of the privacy or other rights of the student, it will correct the education records of the student accordingly and inform the student in writing. This will be done usually within 45 days of the original request by the student. However, if the university decides that the information is not inaccurate, misleading, or otherwise in violation of the privacy or other rights of the student, it will inform the student of the right to place in the education records a statement commenting upon the information in the education records, setting forth any reasons for disagreeing with the decision of the institution.

Any explanation placed in the education record of the student will be maintained by the university as part of the education record of the student as long as the record is maintained. If the education record of the student or the contested portion of the record is disclosed by the university to any party, the explanation will also be disclosed to that party.

Complaints that cannot be resolved within the university may be filed with:

Family Policy Compliance Office
U.S. Department of Education
400 Maryland Avenue S.W.
Washington, D.C. 20202-4605

The secretary of education is required by the act to establish or designate an office and review board. The office will investigate the complaint and report its findings and the basis for such findings in writing to the complainant and the university.

The office will follow the procedure outlined below.

1. The office will give notice to the university of the alleged violation and its substance.
2. If a lack of compliance is found on the part of the university, specific steps necessary for voluntary compliance, within a reasonable time, will be stated.
3. If the university does not comply within the time period set by the office, the matter will be referred to a federal review board for a hearing.
4. The federal review board chairman will designate a hearing panel or hearing officer to take evidence and decide the case.
5. The panel will submit its decision to the secretary of education, who will modify, reverse, or accept the decision.
6. If the secretary of education finds a lack of compliance with the act or regulations and determines that voluntary compliance cannot be secured, all or part of any federal funds under any federal programs referenced under Section 438 of the act may be terminated, until there is no longer any failure to comply.

No education record may be destroyed if there is an outstanding request to inspect and review it.

The custodian of academic transcript records at ASU is the university registrar. The university registrar also maintains a directory that lists custodian and contact information for other student education records maintained by ASU.

A reasonable fee will be charged for copies of education records. The fee charged for copying the education records of a student is published on the ASU’s Web site and is subject to change without notice.

Requests for additional information or clarification regarding this policy may be directed to the University Registrar’s Office.

Access

The right of students to review and inspect the education records of the student and to control the review and inspection of the education records by third parties.

Act

The federal Family Educational Rights and Privacy Act of 1974, also referred to as the Buckley Amendment and/or FERPA, 20 United States Code § 1232g.

Attendance

Any individual formally admitted to and enrolled at the university for credit or audit in a resident credit or extension course. The term does not apply to applicants for admission, nor does it apply to persons who have been admitted but who have not registered.

Dependency

A student’s dependency on his or her parent for tax purposes, as defined in the Internal Revenue Code.

Directory Information

General information that may be released to anyone without consent of the student, unless the student indicates otherwise, except to the extent that FERPA authorizes disclosure without consent, including:

1. student name
2. addresses (e.g., local, home, mailing, and ASU e-mail, including directory number)
3. local telephone number
4. date of birth
5. degrees, honors, and awards received (includes National Merit, National Achievement, and National Hispanic Scholars)
6. most recently attended educational institution
7. academic major
8. dates of attendance
9. academic level
10. college
11. participation in officially recognized activities/sports

    and

12. weight/height of athletic team members.

Directory Number

A unique number that is internally generated and used to manage e-mail service. It may be displayed with an ASU e-mail address in Web directory searches.

Disclosure

Permitting access or release, transfer, or other communication of education records of the student or the personally identifiable information contained therein, orally or in writing, or by electronic means, or by any other means to any other party.

Education Records

An education record is any record that is directly related to a student and is maintained by ASU or by a party acting for the university. Education records include any information or data recorded in any medium, including but not limited to: handwriting, print, tapes, film, microfilm, microfiche, and electronic media.

The term does not include the following records or information:

1. records made or maintained by an ASU employee that are in the sole possession of the maker and are not accessible or revealed to any other individual except a substitute
2. records of the ASU Police Department (ASU PD) unit maintained solely for law enforcement purposes and not disclosed to individuals other than law enforcement officials of the same jurisdiction
3. employment records as made and maintained in the normal course of business except for employment records of an individual in attendance at the university who is employed as a result of his or her status as a student
4. records created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in the capacity of one of the above professionals

   and

5. records that contain only information relating to a person after that individual is no longer a student.

Educational Institution/Agency

Any public or private institution/agency, including all of its components, that receives funds under any federal program for which the secretary of the U.S. Department of Education has administrative responsibility.

Financial Aid

A payment of funds that is conditioned on attendance of the individual at the university.

Legitimate Educational Interest

An interest in an education record that is justified under one or more of the following conditions:

1. the information or records requested are relevant and necessary to accomplish some task or determination related to the legitimate educational interest of the student
2. the official needs to review an education record in order to fulfill his or her professional responsibilities for the university
3. the task or determination is an employment responsibility or a properly assigned subject for the inquirer’s determination

   and/or

4. the task or determination is consistent with the purpose for which the records, information, or data are maintained.

Parent

A parent, guardian, or an individual acting as a parent of the student in the absence of a parent or guardian.

Personally Identifiable

All information that is not classified as directory information.

Record

Any information or data in any medium, including, but not limited to: handwriting, print, tapes, film, microfilm, microfiche, and electronic media.

School Officials

Administrators, faculty, professional staff, academic advisors, clerical or support employees, including ASU law enforcement unit personnel and ASU health staff; a person or company with whom the university has contracted as its agent, acting with a legitimate educational interest, to provide a service instead of using university employees or officials (such as an attorney, auditor, collection agent, service provider); a person serving on the Board of Regents; or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another school official in performing his or her tasks.

Secretary

The secretary of the U.S. Department of Education.

Student

A student is defined by the amendment as any individual formally admitted to and registered for classes at ASU.

Third Party Restriction

A restriction preventing a third party to whom an education record has been released from releasing the information to anyone except the student or ASU.

For related information, see USI 203–08, “Affidavit of Dependency for Release of Records.”

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