2.1.1 Student Records

Preface

The University accumulates data and keeps student records in order to enable faculty/staff to plan educational opportunities to meet the needs of the individual students, to counsel more effectively with students, and to assist them in reaching their career goals either in graduate study or employment after graduation. The purpose of this general policy statement is to outline procedures for the development, maintenance, and use of student records. Individual offices may develop more detailed policies regarding student records as long as such policies are not inconsistent with this policy.

I.  Definition of Terms

For the purpose of implementing this policy and these procedures, the following definitions shall apply:

A. Act or "FERPA"- shall mean and refer to the "Family Educational Rights and Privacy Act of 1974" and the implementing regulations in 34 C.F.R Part 99.

B. School or University - shall mean Illinois State University or other post-secondary institution as the context may require.

C. Students - shall mean any person previously or currently enrolled or registered for credit or noncredit coursework within the University; or any person who has made application for such enrollment within the past twelve (12) months.

D. Education, records, files, or data - hereafter known as or referred to as "education records," shall mean those materials collected, maintained, and used by the University or its agents that: are directly related to the student; are used as a basis for taking or abstaining from taking some University action with respect to the enrollment of a student; are used as a basis for taking or abstaining from taking some University action which may affect a student's ability to be enrolled in another institution of higher education or to gain employment in some other private or public organization; or some University action which may affect a student's status after enrollment.

E. Confidential information or materials not considered to be "Education Record" shall mean those materials which are not directly accessible to students, including:

1. The personal and private notes of faculty/staff used as memory aids, provided they are not revealed to any third party, other than in the case of a person assigned another's duties for a temporary period.
2. The law enforcement records of a law enforcement unit associated with an institution (e.g., Public Safety) created for a law enforcement purpose and maintained by a law enforcement unit.
3. Employment records of a person employed by an educational institution (who is not in attendance at such institution) in which case the records are made and maintained in the normal course of business which relate exclusively to that person in his/her capacity as an employee and are not available for use for any other purposes.
4. The records which are created or maintained by a physician, psychiatrist, psychologist, or other recognized professionals or paraprofessionals acting in a professional or paraprofessional capacity or assisting in that capacity, and which are created, maintained, or used only in connection with the provision of treatment to the student, and are not available to anyone other than persons providing such treatment provided, however, that such records can be personally reviewed by a physician or other appropriate professional of the student's choice.
5. Records created by the University after an individual is no longer a student in attendance that are not directly related to the individual's attendance as a student.
6. Grades on peer-graded papers before they are collected and recorded by a teacher.All letters of reference, recommendation or evaluation which may have been received by the University prior to January 1, 1975, under an assurance of confidentiality to the writer are not subject to the provisions of the Act. No student shall be permitted to review or challenge this information, and the information shall not be made available to any person, group or agency within or without the University.

F.  Written Consent - shall mean a signed statement by the student specifying the exact record or records to be released, the purpose for the release, and the person or agency or group to whom the record is to be released. Any such consent shall become a part of the official record of the student.

G.  Written form - shall mean a form provided by or specified by the University upon which an entry must be made of the name, date, and purpose for which any authorized person, agency or organization as specified in the Act or in this policy and procedures has sought and received access to a student's official record.

H. Personally identifiable information includes, but is not limited to:  (i) the student's name; (ii) the name of the student's parent or other family members; (iii) the address of the student or student's family; (iv) a personal identifier, such as the student's social security number, student number, or biometric record; (v) other indirect identifiers, such as the student's date of birth, place of birth, and mother's maiden name; (vi) other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty; or (vii) information requested by a person who the educational agency or institution reasonably believes knows the identity of the student to whom the education record relates.

II.  General Principles Governing Use of Student Records

The following principles guide the faculty/staff of the University in the utilization of education records.

A. Need for Records. Unless a demonstrable need for a record is established which is reasonably and justifiably related to the basic purposes and necessities of the University, no records should be made or maintained.

B. Confidentiality. In its relations with students, the University will preserve the confidential character of communications and records so as to insure that educational processes are carried forward in the most responsible manner.

The obligation of confidentiality is relative rather than absolute since there are conditions which can alter it. This obligation may lapse when it is evident that there is an articulable and significant threat to the health or safety of the student or others and release of information from an education record is necessary to protect the health or safety of the student or other individuals or as otherwise permitted by the Act.

The acquisition and dissemination of information for records is based on a respect and concern for the privacy and protection of the individual student. All persons handling records shall be advised of the confidential nature of such information and their responsibilities in this regard. Evidence of breach of confidence may result in enforcement of applicable University, State, and Federal laws and regulations. Evaluation and interpretation of information about a student shall be done by a qualified staff person.

C. In accordance with the Act as amended, Illinois State University students have the right to review, inspect, request an amendment, and challenge the accuracy of education records maintained by the institution except under certain circumstances. The Act requires that the institution must obtain the student's Written Consent in order to disclose personally identifiable information from an education record.

D.  The institution may release personally identifiable information from a student's education record without his or her consent under certain circumstances, including:

1.  Officials of other schools or school systems in which the student intends to enroll; (Prior to release the student shall be notified, receive a copy of the record if desired, and have an opportunity for a hearing to challenge the content of the record.)

2.  Authorized representatives of the (a) Comptroller General of the United States; (b) the Secretary of the U. S. Department of Education; (c) state or local educational authorities, or (d) authorized representative of the Attorney General for law enforcement purposes. The collection of personally identifiable information where authorized by federal law shall not include information, including social security numbers, which would permit the personal identification of students after the data has been collected;

3.  Parents of a dependent student as defined in Section 152 of the Internal Revenue Code of 1954. (The student will be notified of any such request by University personnel contacting the student and/or by sending a letter to local and home address.);

4.  Organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating, or administering predictive tests, administering student aid programs or improving instruction, provided the study is conducted in a manner that does not permit personal identification of parents and students by individuals other than representatives of the organization and that the information is destroyed when no longer needed for the purposes for which the study was conducted and the agency enters into a written agreement that meets the requirements of 34 C.F.R. 99.31(6)(C);

5.  Accrediting organizations to carry out their accrediting functions;

6.  To comply with a judicial order or lawfully issued subpoena; such information is furnished upon judicial order, or pursuant to any lawfully issued subpoena, upon condition that the student be notified of any such order or subpoena in advance by the University personally contacting said student or by forwarding such notice through the mail to the last known address of said student. Limited exceptions to student notification are permitted by the Act;

7.  Other school officials, including faculty, within the educational institution or local educational agency who have legitimate educational interests;

8.  A contractor, consultant, volunteer or other party provided that the party (a) performs an institutional service or function; (b) is under the direct control of the institution with respect to the use and maintenance of education records; and (c) is subject to the requirements of 34 C.F.R. 99.c(a) governing the use and re-disclosure of personally identifiable information from education records.

9.  Financial Aid staff in connection with the student's application for, and receipt of financial aid;

10.  The general public when the information is classified as "directory information." Students have the right to restrict directory information.  The categories of directory information and the process for restricting it can be found on the Office of the University Registrar website.  If a student does not wish such information released without consent, he or she should notify the Office of University Registrar, 107 Moulton Hall, Campus Box 2202, prior to the first day of classes.

11.  Disclosure is in connection with a health or safety emergency, under the conditions described;

12.  Disclosure is to an alleged victim of any crime of violence as that term is defined in Section 16 of Title 18, United States Code or a non-forcible sex offense, provided that the disclosure may only include the final results of a disciplinary proceeding related to the alleged crime or offense and the proceeding determines the student is an alleged perpetrator of a crime of violence or non-forcible sex offense and the student violated the institution's rules or policies;

13. Disclosure to a parent of a student regarding the student's violation of any federal, state or local law, or University policy governing the possession or use of alcohol or controlled substance if (a) the institution determines the student committed a disciplinary violation with respect to that use or possession and (b) the student is under the age of 21 at the time of disclosure to the parent; and

14.  Disclosure concerning sex offenders and other individuals required to register under the Violent Crime Control and Law Enforcement Act of 1994, 42 U.S.C. 14071, and the information was provided to the institution pursuant to that statute and applicable its guidelines.

E. With respect to the persons, agencies or organizations under an applicable exception desiring access to a student's education records, any such access shall be permitted only upon the completion of an office form kept permanently with the file of the student, for the student’s inspection, indicating specifically the date, the person, agency or organization, and the legitimate educational or other interest that such person, agency or organization has in seeking such information.

F. Questions concerning this law and the University’s policy concerning release of student information and the procedures for contesting the content of cumulative files may be directed to the University General Counsel, Hovey Hall 208, Campus Box 1010, Normal, IL 61790-1010 (309) 438-8999.

III.  Requests from Individuals, Agencies, or Organizations

The following describes the conditions under which information may be released to specified individuals, agencies or organizations.

A.  Requests from Prospective Employers, Investigators from Private or Governmental Agencies (not specified in II-D), and the General Public

The University will respond to inquiries for personally identifiable information or non-directory type information only with the written consent of the student concerned. Information submitted by persons using Career Services is considered to be confidential and will be released subject to conditions stipulated by the applicant and the Service at the time of registration.

B.  Information about Organizational, Political, Racial or Religious Affiliation

The University does not maintain records of membership of student organizations. Organizational membership is not recorded in student records unless the student expressly requests the inclusion of such information. This is released only if the student so requests. Information relative to an individual's race or creed may be provided under circumstances dictated by law. Information about student views, beliefs, and political associations which professors acquire in the course of their work as instructors, advisors, and counselors shall be considered confidential.

For the purposes of communication with the University, registered student organizations are required to provide the Coordinator of Student Activities with the names of the officers to whom communications are to be directed. When new officers are elected, names of the former officers are discarded.

C.  Academic Achievement

Academic eligibility of students being considered for membership in honor societies for honors, awards, or scholarships may be furnished by the committees responsible for making the awards. Specified grade point averages can only be released at the request of the student.

D.  Questions related to implementation of FERPA may be directed to the University Registrar, Moulton Hall 102, Campus Box 2202,  Normal, IL 61790-2202, (309) 438-2289.

IV.  Procedure for Student Inspection, Review, and Hearing

A. Right of University to Refuse Access

Illinois State University reserves the right to refuse to permit a student to inspect the following records:

1.  The financial statement of the student’s parents.

2.  Letters and statements of recommendation for which the student has waived his or her right of access, or which were placed in file before January 1, 1975.

3.  Records connected with an application to attend Illinois State University or a component unit of Illinois State University if that application was denied.

4.  Those records which are excluded from the FERPA definition of education records.

V.  Inspection

A student may initiate an inspection of his/her education records by requesting access and providing picture identification.  The University reserves the right to require this request in writing. The request for inspection shall be honored by the University, during regular working hours, without undue delay as part of its normal work routine. Although no education records shall be removed from University offices, the student may make notes from them or request copies of them at his/her expense. Qualified personnel may be provided by the University to interpret requested records.

VI.  Review

A student shall have the right to challenge by review the content of the inspected record(s) upon the ground that said record(s) are inaccurate, misleading, or otherwise violative of privacy or other rights. To secure such a review, the student shall, within fifteen (15) calendar days after inspection of the requested record(s) for the first time, file with the person in charge of the record(s) a written request for review indicating specifically the change sought and the reasons therefore. No later than forty-five (45) days following receipt of a request for review, the person in charge of the challenged record(s) shall make and communicate a decision upon the requested change.

If Illinois State University decides that the challenged information is not inaccurate, misleading, or in violation of the student’s right of privacy, it will notify the student that he/she has a right to place in the record a statement commenting on the challenged information and/or a statement setting forth reasons for disagreeing with the decision.

The statement will be maintained as part of the student’s education records as long as the contested portion is maintained. If Illinois State University discloses the contested portion of the record, it must also disclose the statement.

If Illinois State University decides that the information is inaccurate, misleading, or in violation of the student’s right of privacy, it will amend the record and notify the student, in writing, that the record has been amended.

VII.  Hearing

A denial of a requested change in a student's record may be appealed by filing a written request for a hearing within ten (10) days after receipt of that denial. The request for a hearing shall be in accordance with the University Hearing Panel (UHP) and University Appeals Board (UAB) procedures.  For information on the hearing process, visit Student Conduct and Conflict Resolution Responsibilities. 

VIII.  Location Where Records Are Kept

Records are maintained in the following locations: