What are sole possession records under FERPA

FERPA (The Family Education Rights and Privacy Act), sets forth requirements regarding the privacy of student records and affords students certain rights with respect to their education records. FERPA applies to those institutions that receive funding from the Department of Education and guarantees students three primary rights:  to inspect and review their education records; to seek to amend education records; and to exercise some control over the disclosure of information from those education records.

Education records are those records which are directly related to a student and maintained by Northern Arizona University or by a person or authorized agent acting for Northern Arizona University, which include any information or data recorded in any medium, including, but not limited to handwriting, print, tapes, film, microfilm, and microfiche.

How does FERPA affect me as a faculty or staff member?

If the student has not restricted access to “directory” (or public) information, you may release the following:

  • Name
  • Address (local and permanent)
  • University E-mail address
  • Telephone number
  • Major field of study
  • Participation in officially recognized activities and sports
  • Weight and height of members of athletic teams
  • Dates of attendance (enrollment verification)
  • Enrollment status (undergraduate or graduate, freshman, etc., full-time or part-time)
  • Degrees, honors, and awards received
  • Institution most recently previously attended

Departments may not release non-directory or personally identifiable information about a student to a third party (parents included) without the student’s written authorization.  You may have the student fill out a FERPA release form through the Office of the Registrar if the student wants to allow you to speak with a third party.  To determine if a student has a FERPA release form on file, please check to see if the student has an RA6 Positive Service Indicator flag in the LOUIE system.  Instructions on how to check for this flag in LOUIE can be accessed at this link.

The following information can only be released when there is a FERPA Release on file and will only be released to the individuals specified on the Release.  Please carefully check the RA6 Positive Service Indicator flags for specific information.

Do Not Release Without Written Authorization:

  • Student ID number
  • Student ID Photo
  • Grades/Exam Scores
  • Grade Point Average
  • Social Security Number
  • Parent Address/Phone
  • Detail of Registration Information (i.e., courses, times)
  • Race, Ethnicity, or Nationality
  • Gender
  • Total Credits
  • Number of Credits Enrolled in a term
  • Emergency Contact

The public posting of grades either by the student’s name, student ID number, or social security number without the student’s written permission is a violation of FERPA. This includes the posting of grades to a class/institutional website and applies to any public posting of grades in hallways and in departmental offices for all students including those taking distance education courses.  This includes leaving graded materials in hallways!

If an instructor wants to post grades, then a system needs to be put in place that ensures FERPA requirements are met. The instructor may also obtain the student’s written permission or use code words or randomly assigned numbers that only the instructor and individual student know.

Notification of grades via e-mail is in violation of FERPA! There is no guarantee of confidentiality on the Internet. The institution would be held responsible if an unauthorized third party gained access, in any manner, to a student’s education record through any electronic transmission method.

The student has a right to inspect and review any departmental or college records you maintain on him/her except for ‘sole possession records’. A sole possession record is a record you never share with anyone else and that is maintained solely by you. Sole possession records are not subject to FERPA.

FERPA considers Teaching Assistants to be an extension of the faculty member. Faculty members may even share their sole-possession records with their TAs. However, if other faculty and department members can inspect those notes, they are no longer sole possession and become education records. Students have the right to inspect and review those records.

FERPA stands for the Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR Part 99) and is a federal law that protects the privacy of students' educational records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education. Students have specific, protected rights regarding the release of such records, and FERPA requires that institutions strictly adhere to these guidelines.

FERPA guidelines protect students by guarding against the release of their records without their consent. Each semester, The Florida State University publishes information for students and the public regarding their rights and the protection of their educational records under the Family Educational Rights and Privacy Act of 1974, as amended.

Protected Parties under FERPA:

FERPA protects currently or formerly enrolled students, regardless of their age or parental-dependency status. However, FERPA does not protect deceased students or students who have applied to Florida State University but have not attended any classes.

Student Rights under FERPA:

FERPA grants four specific rights to students who are eighteen or older, or who are currently attending a postsecondary institution. Those rights are:

  • the ability to view the information the institution holds;
  • a right to seek amendment of those records and, in certain cases, append a statement to the record;
  • the ability to consent to disclosure of his/her records; and
  • a right to file a complaint with the FERPA office in Washington, D.C.

Educational Record:

An Educational Record is any record maintained by an institution that can personally identify a student or group of students. Since FERPA is technology independent, these records can consist of any number of media, including but not limited to hand-written, print, email, files, documents, tapes, disks, film, microfilm, and microfiche. Additionally, virtually any information provided by a student to the university to be used in the educational process is considered a student educational record, and can include:

  • personal information
  • enrollment records
  • grades
  • schedules

Moreover, student educational records may appear as:

  • a document in the student records office
  • a computer printout in your office
  • a class list on your desktop
  • a computer display screen
  • notes you have taken during an advisement session

You may NOT destroy records under investigation. For policies related to the retention of educational records, ask the supervisor of your area or academic department.

Sole Possession Note:

Sole possession notes are personal observation or recollection notes made and kept by individuals. Sharing these notes with other people or placing these notes in a public-view area makes them educational records subject to FERPA. As a rule of thumb, if you don't want it to become an educational record, don't write it down.

Legitimate Educational Interest:

In accordance with FERPA, a school official has a legitimate educational interest if the official needs to review an educational record in order to fulfill his/her professional responsibility. A school official, or internal authority, is defined as a person employed by the University in an administrative, supervisory, academic, research, or support staff position. Further, these officials act in the student's educational interest on a legitimate "need-to-know" basis.

If a school official requires information located in a student's educational record to fulfill University-related responsibilities, that official has legitimate educational interest. This includes such purposes as:

  • performing appropriate tasks that are specified in her/his position description or by a contract agreement;
  • performing a task related to a student's education;
  • performing a task related to the discipline of a student;
  • providing services for the student or the student's family, such as health care, counseling, job placement, or financial aid.

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Records which are kept in the sole possession of the maker of the records, are used only as a personal memory aid, and are not accessible or revealed to any other person except a temporary substitute for the maker of the records.

Records of the law enforcement unit of an educational agency or institution. Law enforcement unit records are records that are: (1) created by a law enforcement unit; (2) created for a law enforcement purpose; and (3) maintained by the law enforcement unit.

Records relating to an individual who is employed by an educational agency or institution that are made and maintained in the normal course of business, relate exclusively to the individual in that individual’s capacity as an employee and are not available for use for any other purpose. However, records relating to an individual in attendance at the agency or institution who is employed because of his or her status as a student are education records.

Records on a student who is 18 years of age or older, or attending a postsecondary institution, that are: (1) made or maintained by a physician or other recognized professional acting in that capacity; (2) made, maintained, or used only in connection with treatment of the student; and (3) disclosed only to individuals providing the treatment.

Records that are created or received by an educational agency or institution after an individual is no longer a student in attendance and that are not directly related to the individual’s attendance as a student.

Records that are grades on peer-graded papers, before they are collected and recorded by a teacher.

Early Childhood Educators

Postsecondary School Officials