Office Academic Program Review
GUIDELINES
FOR COMPLIANCE
WITH
THE FAMILY EDUCATIONAL RIGHTS AND PRIVACY ACT (FERPA)
I. Background
Purpose of FERPA and the rights of students
it establishes with respect to their education records.
II. Applicability
Who is and is not a student under FERPA.
III. Education Records
Definition of education records to which
FERPA applies.
Where students go in order to see their
records.
V. Waivers
Circumstances under which a student can
waive right of access to his or her education records.
When and how a student can request that his
or her education records be amended.
VII. Hearings
Student's right to a hearing if the
University declines to amend his or her education record.
VIII. Disclosure of Personally Identifiable Information
When consent of the student is not needed to
disclose personally identifiable information.
Information which may be released without a student's
consent unless student requests otherwise.
X. Review by Government Agencies
Procedures when government agents request
information from a student's education
record.
Procedures when parents request information
from a student's education record.
XII. Annual Notice
How the University informs students about
their FERPA rights.
I. Background
Among its several purposes, the Family
Educational Rights and Privacy Act of 1974 (FERPA) was enacted to protect the
privacy of students' education records, to establish the rights of students to
inspect and review their education records, and to provide students with an
opportunity to have inaccurate or misleading information in their education
records corrected. FERPA also permits the disclosure by an institution without
a student's prior consent of so-called directory information about that
student. Students have the right to file complaints with the Department of
Education's Family Policy Compliance Office concerning alleged failures by an
institution to comply with FERPA. In accordance with the statute and the FERPA
regulations issued by the Department of Education,
II. Applicability
"Student" includes any person with
respect to whom the University maintains an education record, whether or not
that person is currently in attendance. Persons who have not been in attendance
are not "students" entitled to review their records. Thus, persons
who have applied to and been admitted by the University, but who have not yet
begun to attend classes, are not eligible to review their records. Also,
students who, while attending one school or
III. Education Records
"Education records" available for
review are defined as those records, files, documents, and other materials that
contain information directly related to a student and that are maintained by
the University. The form in which the information is maintained by the
University does not matter; for example, computerized or electronic files,
audio or video tape, photographic images, film, etc., with such information are
"education records". This
includes communications and documents distributed or received by e-mail, or
other similar University systems, which are retained in these systems, either
by the sending or receiving party.
In general, records maintained by the
University that are available for student review are: recorder's docket,
admissions docket, departmental docket, placement docket (if student has a file
there), financial aid docket (if student has applied for aid), advisement and
counseling dockets from the various schools, and bursar's docket. Not all of
these categories of records are maintained for any given student, and there may
be others. Students have the right to
review original documents from their files.
Under FERPA and its related regulations the following
types of University records are not "education records" and are,
therefore, not available for student review:
1) Personal notes
or records (including computerized files) that are kept by an individual
University employee solely in her or his possession, are used only as a
personal memory aid, and are not accessible or revealed to others, except to a
temporary substitute.
2) Records that
relate to an individual who is employed by the University and that (a) are made
and maintained in the normal course of business, (b) are not available for use
for any other purpose, and (c) relate exclusively to the individual in that
individual's capacity as an employee. This exception does not apply to records
that relate to a student in attendance at the University who is employed as a
result of his or her status as a student.
3) Medical and
psychiatric records created, maintained, and used only in connection with the
treatment of a student and that are not available to anyone other than the
persons providing such treatment. Such records can be personally reviewed by a
physician, psychologist, or other appropriate health professional of the
student's choice. (Students who have received treatment from the
4) Records that
contain information relating to a person only after that person is no longer a student at the University, i.e., alumni
records.
Also, the University does not have to permit
a student to review education records that are:
1) Financial
records of the parents of a student.
2) Confidential
letters and statements of recommendation placed in the education records of a
student (a) prior to January 1, 1975, as long as they are used only for the
purposes for which they were specifically intended; and (b) after January 1,
1975, if the student has waived access to such letters and recommendations and
if such letters and recommendations relate to the student's admission to an
educational institution (including admission to NYU), application for
employment, or receipt of an honor or honorary recognition (see Section V,
Waivers).
At NYU, FERPA is administered by Assistant
Provost Barnett W. Hamberger (note exceptions below),
Requests for record reviews at the Graduate
Division of the Stern School of Business, the
STERN (Graduate Division only)
Beth Rubin, Assistant Dean for Academic
Affairs
DENTISTRY
Associate Dean Andrew Spielman,
Office of the Dean 345 East 24th
Street, 10th Floor West
LAW
Michelle Kirkland, Assistant Dean of Academic
Services and Registration Furman
Hall,
MEDICINE
Maureen Doran, Director of Registration and
Student Records Schwartz
Hall,
NYU students who wish to review their
records must complete a record request form in the office of Mr. Hamberger,
If a student is physically unable to come to
the appropriate record review office, and if this inability would effectively
deny the student access to her or his records, the student may obtain a record
request form by calling or writing to the appropriate record review officer.
The student should then return the completed request form by mail to the record
review officer. The officer will make special arrangements for the review.
A student may waive his or her right to
access to confidential recommendations for any of the following: admission to
an educational institution; employment; receipt of an honor or honorary
recognition. Waiver forms are available from each Dean's Office and in
Departmental Offices. The waiver must be in writing and must be signed by the
student. If a student waives her or his right to access, the recommendations
must be used solely for the purposes for which they were intended, and, if the
student so requests, the University will give her or him the names of the
individuals who made the recommendations. Recommendations mailed to third
parties should include a copy of the signed waiver, so that the third party is
aware that the student has waived access to the recommendation, and, hence,
cannot obtain access to it from the third party's records in the future. The
University does not have the right to make the student's waiver a condition to
the student's receipt of any service or benefit from the University. Waivers
may be revoked by the student, but the revocation will not enable the student
to gain access to confidential recommendations made while the waiver was in
effect.
If a student believes that any of the
education records relating to her or him contain information that is
inaccurate, misleading, or in violation of her or his rights of privacy, she or
he may ask the University to correct or delete such information. The student
may also ask that additional explanatory material be inserted in the record.
Requests for amendment of a record or the addition of explanatory material
should be submitted at the conclusion of the record review on form PL 93-3803,
available from the appropriate record review officer. The reasons for the
request should be set forth on the form and should clearly identify the part of
the record the student wants changed and specify why it is inaccurate or
misleading. There is no obligation on the part of the University to grant such
a request. If the University declines to amend the records as requested by the
student, it will so inform the student, and the student may request a hearing.
The right to challenge the contents of an educational record may not be used to
question substantive educational judgments that have been correctly recorded.
For example, a hearing may not be requested to contest the assignment of a grade.
Grades given in the course of study include written evaluations that reflect
institutional judgment of the quality of a student's academic performance.
VII. Hearings
If the University declines to amend a
student's record as he or she requests, the student has the right to a hearing.
The hearing will be held within a reasonable time after the University receives
the student's request for it. The hearing may be conducted by any person, including
an official of the University, who does not have a direct interest in its
outcome. At the hearing, the student may be assisted or represented by one or
more individuals, including legal counsel, of the student's choice at the
student's expense. Within a reasonable time following the hearing, the hearing
officer will make her or his recommendation(s) in writing to the President (or
his designee). This recommendation, and the written decision of the President
or his designee on behalf of the University, will be based solely on the
evidence presented at the hearing and will include a summary of that evidence
and the reasons for the conclusions reached. If the decision of the President
or his designee is to amend the record, the record will be amended and the
student will be given written notice of the amendment. If the decision of the
President or his designee is not to amend the record, the student will be
informed that he or she has the right to place a written statement in his or
her record, which will be kept in the file as long as the file itself is kept.
The statement may comment on the contested portion of the file or say why the
student disagrees with the decision of the President or his designee, or do
both. If the contested portion of the file is disclosed to anybody, the
student's statement will also be disclosed.
VIII. Disclosure of
Personally Identifiable Information
Prior to disclosing personally identifiable
information from a student's education records, the University will obtain the
student's signed and dated written consent to such disclosure, unless consent
is not required by law. The student’s written consent must “specify the records
that may be disclosed; state the purpose of the disclosure; and identify the
party or class of parties to whom the disclosure may be made.” In the case of
certain offices, such as the career services or preprofessional
committees, students can sign a blanket consent for disclosure of specified
records to “appropriate third parties.” Signed and dated written consent “may
include a record and signature in electronic form that identifies and
authenticates” the student as the source of the consent and indicates the
student’s “approval of the information contained in the electronic consent.”
Such consent is not needed for disclosure of directory information (see Section
IX below) or for disclosure:
1) to the student;
2) to school officials with legitimate
educational interests; school officials having a legitimate educational
interest include any University employee acting within the scope of her or his
University employment, and any duly appointed agent or representative of the
University acting within the scope of his or her appointment.
3) to accrediting, testing, and similar
organizations;
4) to parents of dependent students (see
Section XI below);
5) to certain federal, state, and local
officials and authorities, in each case as specified in Subpart D of the FERPA
Regulations, 34 C.F.R. Part 99;
6) in connection with financial aid for
which the student has applied or received, under the conditions set forth in
the FERPA Regulations.
7) to comply with a subpoena or judicial
order, provided that the University attempts to notify the student of the order
or subpoena before complying with it (unless, in the case of a Federal grand
jury subpoena or other subpoena issued for a law enforcement purpose, the
subpoena orders that such notification not be made), or to provide information
to the Attorney General of the United States or to his designee, without
notification to the student, in response to a court order issued in connection
with the investigation or prosecution of terrorism crimes as specified in Title
18, U.S. Code, sections 2331 and 2332 (g) (5) (B). Permission is not needed for
disclosure to a court when the University has initiated legal action against a
parent or student or when necessary for the University to defend itself when a
parent or student has initiated action against it.
8) to appropriate parties in connection with
an emergency when the information is necessary to protect the health or safety
of the student or other individuals. The interpretation of a health or safety
emergency is to be strictly construed.
9) when forwarding education records to the
officials of another institution (a) in which a student seeks or intends to
enroll if that institution requests such records, or (b) if the student is
enrolled in, or receiving services from, that institution while she or he is
attending NYU. The student's consent is not required for such disclosure, nor
is any other notice of the transfer required, although a copy of each record so
disclosed will be provided to the student if the student asks for it.
10) of the final results of any University disciplinary
proceeding relating to a crime of violence or non-forcible sex offense
allegedly perpetrated by a University student to an alleged victim of that
crime or offense, regardless of whether or not it is concluded that a violation
was committed. The consent of the alleged student perpetrator is not a
condition to this disclosure.
11) of the final results of any University
disciplinary proceeding reached on or after October 7, 1998 if it is determined
that a student is an alleged perpetrator of a crime of violence or non-forcible
sex offense and the student has committed a violation of the University's rules
or policies with respect to the allegation. The names of other students,
including the victim or witnesses, may not be disclosed without their prior
written consent.
12) to the parent of a student regarding the
student's violation of any Federal, State, or local law, or any rule or policy
of the University, regarding the use or possession of alcohol or a controlled
substance, provided that the University has determined that the student has
committed a disciplinary violation with respect to that use or possession and
the student is under the age of 21 at the time of the disclosure.
13) of information concerning registered sex
offenders, provided to the University under the Wetterling
Act, including information made available under State sex offender registration
and community notification programs.
In the case of certain offices, such as the
career services or preprofessional committees,
students can sign a blanket consent for disclosure of records to
"appropriate third parties."
The University will maintain a record of
each request for and disclosure of personally identifiable information from the
education records of a student to persons outside the University for as long as
such records are maintained. The record will indicate the parties who have
requested or obtained the personally identifiable information and the
legitimate interest these parties had in requesting or obtaining the
information. The student has the right to inspect and review this record of
requests. The requirement to keep records of requests does not apply to:
disclosures to the student; disclosures made pursuant to the written consent of
the student; disclosures to University employees determined by the University
to have legitimate educational interests; disclosures of directory information;
or disclosures made in compliance with a Federal grand jury or other law
enforcement subpoena which orders that the existence or the contents of the
subpoena or the information furnished not be disclosed to the student.
In instances where disclosure of personally
identifiable information from an education record to a third party is permitted
(see above), the third party is subject to the requirements of the FERPA
Regulations with respect to possible redisclosure of
that information and the University must so inform the third party.
When a student gives his or her written consent
to the disclosure of personally identifiable information from his or her
records to persons outside the University, the student may request that the
University provide him or her with a copy of any records thus disclosed, and
the University will do so.
The purpose of the consent form is to permit
the student to have some control over the disclosure of personally identifiable
information in her or his education records. The fact that a student signs a
consent form, whether specific or "blanket," does not, however, bind
the University to make the student's records available to the third party or
parties who have obtained the student's consent to their review of his or her
files. The student's records are still the property of the University and, even
if a consent has been signed, the University will exercise its discretion in
each case by disclosing to the third party only such information, records, and
files, if any, as the University deems appropriate in light of the reason that
the third party is seeking access to the student's records. Because of this,
all consents obtained directly from students by third parties must include a
specification of the records to be disclosed, the purposes of the disclosure,
and the person or groups of persons to whom disclosure may be made. The
original signed consent must be provided to the University by the third party
at the time the request for access is made. The University will retain the
original consent. Records to which students are denied access because they are
not "education records" usually will not be made available to an
outside party. In addition, the third party generally will not be permitted to
make copies of records to which he or she is granted access, even if the
consent signed by the student explicitly gives permission for such copies to be
made. If the student wishes the third party to have copies of documents in her
or his file, or if there are other documents to which the third party has not
been granted access by the University but which the student wishes the third
party to have, the student may copy those records (see Section IV above) and
provide such copies to the third party directly.
The University has designated the following
student information as "directory information." Such information may
be disclosed for any purpose, at the discretion of the University, except as
provided below. *
Name, dates of attendance, NYU school or
college, class, previous institution(s) attended, major field of study, full or
part-time status, degree(s) conferred (including dates), honors and awards
(including dean's list), past and present participation in officially
recognized activities (including positions held and official statistics related
to such participation and performance).
*Under federal law, address information, telephone listings, and date and
place of birth are also considered directory information for military
recruitment purposes. Address refers to
“physical mailing address” but not e-mail address.
Currently enrolled students may refuse to
permit disclosure of this information. To do so, a student enrolled in any
school other than the College of Dentistry, School of Medicine, School of Law,
or Stern School of Business - Graduate Division should complete a form
requesting nondisclosure at the Office of the University Registrar, 25 West 4th
Street, and submit it to that office. A hold will be placed on the release of
directory information filed with the University Registrar, which will remain in
effect until the student files a written request to remove it. Students in the
College of Dentistry, School of Law, School of Medicine, or Stern School of
Business - Graduate Division should complete the nondisclosure form available
in the Recording Office of the school in which he or she is enrolled. Students
in these schools will be informed if they must file a new nondisclosure form
each academic year. A request not to disclose directory information applies to
the entire category of such information and cannot be selective with regard to
specific items defined as directory information. Similarly, a request not to
disclose directory information applies to all individuals and organizations,
subject to the exceptions stated in Section VIII above, and cannot be selective
with regard to specific individuals or organizations.
Students should consider very carefully the
effect of a decision to withhold directory information. If that decision is
made, any requests during that academic year for such information from
non-University persons or organizations will be refused (subject to the
exceptions stated in Section VIII above or unless the student has subsequently
removed the hold by notifying the Registrar or appropriate Recording Office in
writing). If a student does not specifically request the withholding of
directory information by filing the appropriate University form, as indicated
above, the University assumes that he or she approves of the disclosure of such
information. The University disclaims any and all liability for inadvertent
disclosure of directory information designated to be withheld.
X. Review by Government
Agencies
Authorized representatives of government
agencies may occasionally ask to see a student's education records. Such
requests are usually made when a student or former student has applied for a
government job. The government agent should be referred to the appropriate record
review officer, as indicated in Section IV above. Generally, the University
will handle such requests in the same manner as other requests for access to
student records by third parties (see Section VIII), provided that the
government agent shows official identification and provides a signed release
from the student, a copy of which will
be retained by the University.
If a government agent has a subpoena, she or
he should be referred to the Office of Legal Counsel. Under the FERPA regulations,
the University is required to make a reasonable attempt to notify the student
prior to complying with the subpoena unless, in the case of a subpoena issued
for law enforcement purposes, the subpoena orders that such notification not be
made. (See Section VIII above.)
Occasionally,
a parent will request information from a student's education records or a copy
of the student's transcript. Under FERPA, institutions are not required to
disclose such information to the student's parent, but may do so if: (a) there
is written consent to the disclosure from the student, or (b) the parent
requests the information in writing and provides evidence that the student is his
or her dependent under the Internal Revenue Code of 1986 (See Section VIII
above.), or (c) the student has violated a Federal, State, or local law or any
rule or policy of the University regarding the use or possession of alcohol or
a controlled substance, provided that the University has determined that the
student has committed a disciplinary violation with respect to that use or
possession and the student is under the age of 21 at the time of the
disclosure.
If the
procedure indicated under (b) is followed, the University's practice is to ask
the parent to establish dependency by providing a copy of her or his latest
federal income tax return. Confidential information on the return may be
expunged, provided that the information that remains is sufficient for the
University to ascertain that the parent has claimed the student as a dependent.
Further, it is also the practice of the University (except in a health or
safety emergency) to inform the student of such a request and of the
information requested before deciding whether to provide the requested
information to the parent. "Parent" is defined by FERPA as "a
natural parent, a guardian, or an individual acting as a parent in the absence
of a parent or guardian."
XII. Annual Notice
The University will inform students of these
Guidelines and of their rights under FERPA and the Department of Education's
FERPA regulations by placing a notice about them in the Student's Guide to NYU
each year, the Class Schedule each semester, and on the websites of the
Registrar and The Student Resource Center. For Annual Notice, go to
http://www.nyu.edu/registrar/university-policies/ferpa.html.
For additional information or a copy of the
statute, the FERPA regulations, or these Guidelines, please contact Barnett W. Hamberger, Assistant Provost, 212-998-2310,
September 2007