First of all, since the goal of FERPA training is to educate ourselves on the federal regulations to ensure our policies and practices are in compliance, we need to establish a common ground for our language and terms. Even the structure of the regulations themselves acknowledges this important point, providing an extensive introductory section (34 CFR §99.3) to define terms used within the regulatory text. Many of us in education are familiar with terms such as student, attendance, and academic record. Not all of our definitions agree, however, prompting the need to be specific about our terms before we can go on to talk about legal requirements that incorporate and depend upon the specific meanings of those terms.

The second portion of FERPA training is the exposition of the requirements and parameters of FERPA—what we, as education officials, are required to do to remain in compliance with the regulations. I used the word parameters here because FERPA, like other regulations, is not composed exclusively of mandates—those unequivocal, binding requirements that dictate compliance. Recognizing the differences and traditions that exist among institutions and educational communities, FERPA includes areas in which only general guidance on establishing policy and practice is given. These are the permissions within FERPA—those actions that are permitted, but not required of education officials.

While it is important to understand the language, intent, and requirements of the regulations, it is also important for education officials to develop their own decision-making abilities. To be effective in carrying out their academic or student services functions, administrators need to develop an expertise in using FERPA to make decisions in their everyday transactions at the school, college, university, or other educational setting. The use of examples or scenarios for developing such expertise is extremely helpful in this regard.

Having provided FERPA training since 2000, I have become aware of yet another area that has become increasingly important and vital to include in our educational initiatives about FERPA: context. And by context, I mean that education officials—especially those who develop policy or make public relations decisions about student information—need to recognize and maintain a big picture appreciation of the economic, political, and philosophical dialogue in which—and from which—FERPA arises.

For many of our frontline staff, it is probably sufficient for them to be cognizant of the federal regulations and the institutional policies that impact how they perform their work. With adequate training and ongoing professional development, our people become empowered to take initiative in making decisions that ensure efficient and effective student services. But for managers and policy makers, a broader and deeper understanding of FERPA and privacy is required. Managers may be confronted with situations for which there are no clear directions, either in office policy or in FERPA. Policy makers, who essentially set the standards for institutional practice, cannot successfully create procedure or provide direction without some understanding and appreciation for the broader context of privacy from which FERPA emerges.

Participants in my FERPA workshops have included admissions and recruiting professionals, information technology technicians and programmers, financial services accountants, and customer services staff. Some of these individuals do not have responsibilities that explicitly involve the disclosure of information from education records. Yet, the perception exists, and rightfully so, that FERPA touches all aspects of education records, and there is a hunger for knowledge and guidance on records management concerns such as records creation, access, disclosure, retention, and destruction. While FERPA may not address these issues directly, the privacy concerns and the political dialogue from which FERPA arose give considerable and reliable guidance on many of these areas.

In this book, I have endeavored to provide a new, more comprehensive approach to FERPA for education officials throughout our colleges, universities, and other educational organizations. Education officials from the K-12 environment will also find much of the information in this book helpful, although the guidance offered in the application of the regulations is given with a focus on higher education.

With the incorporation of the extensive amendments proposed and incorporated into FERPA in December 2008, this book presents FERPA from the vantage point of a quote that has been a part of my own education and has often been ascribed to the great 13th-century thinker, St. Thomas Aquinas: “Intelligence is the ability to see implication.”

In the pages that follow, I have attempted to summarize the thrust of the dialogue on privacy for education officials, highlighting some of the primary concerns and events that led to the codification of American legislation on privacy. This is not a legal history of privacy but rather an overview with a definite slant toward the concerns of privacy in education. Within that context, and prompted by the same predisposition for identifying implications, FERPA, infused by the extensive amendments of 2008, is explored in its language and terms, as well as in its application and guidance.

This book is not necessarily intended to be read cover to cover, although the chapters and unfolding of this presentation have been arranged with a definite intent and direction. For those readers interested in a specific aspect of FERPA or seeking guidance regarding the implications and requirements of the regulations, there are sufficient guideposts throughout the book for you to begin from any perspective or interest.

To assist in this exploration of FERPA, I will use three types of information summaries throughout this text.

The first instructional aid is the FERPA citation, direct quotes from the regulations themselves, including the specific regulatory reference. The FERPA citations, enclosed with a dotted-line border (as illustrated below), are presented because “legalese,” or the language of the law, is often subject to interpretation. And interpretation may differ between individuals, attorneys, and even the courts. Providing you with the exact FERPA citation under discussion allows you to make your own assessment of the interpretations and guidance provided in this volume.

As an additional benefit, the complete text of the FERPA legislation is provided in Appendix I of this book.

Visual aids are meant to organize information in such a way as to facilitate your understanding or grasp of the material. If this were an in-person presentation, most of the visual aids would be PowerPoint slides accompanying the verbal presentation of this material.

In some cases, the visual aids are tables of information, organized for ease in understanding and contrast. But there are also other kinds of visual aids that are included throughout this volume, such as samples of disclosure language, excerpts from forms, and sample procedures. For consistency, visual aids are presented in boxes that are bound by a single, continuous line. An example of a visual aid is the one at the beginning of this Preface entitled “Elements of Successful FERPA Training.”

The last type of instructional aid is the Sidebar. These summaries offer additional information regarding initiatives, organizations, entities, or individuals that are mentioned in the text. While not critical to understanding the information in the primary flow of the text, the sidebars are intended to elaborate on content and so encourage a deeper exploration or appreciation of the subject, people, or events depicted in these short reports. Sidebars are bound with a double-border. An example of a sidebar is the one entitled “FERPA Legislation” below.

Now, some readers may think all of this information too overwhelming and perhaps ultimately irrelevant. After all, I have been confronted in some of my workshops with the attitude that invariably cries, “Just tell me what I have to know. That’s all! Just tell me what I have to know to get my job done and be in compliance.” Indeed, my goal is to accomplish this mission—but, it is also more.

One of my primary values as an educator or trainer is to help participants develop the ability to make their own decisions, to become confident and empowered in performing their daily job responsibilities. That is the reason for this broader, more multifaceted approach to training about FERPA.

When I was facilitating Franklin Covey workshops, one of the quotes we often referenced came from the ancient Chinese philosopher Lao Tzu. He said this:

My goal is not just to tell you what you need to know right now to do a job and be in compliance with FERPA. My goal is to help you develop your own expertise about FERPA, to empower you with the knowledge and confidence to perform your academic and student services functions with assurance and confidence. Aware of the implications of both our actions and our decisions, we ensure that how we comply with FERPA echoes the spirit and the unique values and missions of our individual institutions.

Therein lies the excitement and joy of education and continuing professional development!

Official legislative material from the U.S. National Archives and Records Administration, including the Federal Register, were the primary sources for the text of the regulations and of their amendments.

Other government websites, including those of the White House, Congress, and the U.S. Senate, were consulted for information regarding legislation, enforcement, and the historical background of legislative sponsorship. For the chronology of privacy legislation and initiatives, the Electronic Privacy Information Center (EPIC) and the Privacy Rights Clearinghouse yielded a wealth of practical information and further additional resources.

The U.S. Department of Education, specifically its website and the training efforts of LeRoy Rooker, former director of the Family Policy Compliance Office (FPCO), have been the primary foundation for information and resources on FERPA. Notably, it is the Department of Education which has jurisdiction for the interpretation and enforcement of FERPA.

Publications and the website literature of the American Association of Collegiate Registrars and Admissions Officers (AACRAO) and the Council on Law in Higher Education (CLHE) were consulted in the interpretation and application of FERPA.

Lastly, the questions and comments of colleagues at my training programs and through other consultations contributed to the development and expansion of the practical tools and guides for the application of FERPA.

Working primarily in registrar operations, Cliff spent 14 years at UCLA. For two of his years at UCLA, Cliff assumed an additional part-time appointment as a staff welfare coordinator, becoming certified as a Franklin Covey facilitator and laboring in the areas of professional development, organizational climate, and staff representation. Cliff has also worked in the registrar ’s offices of both Pomona College and Antioch University Los Angeles. In addition, he was interim director of Admissions and Financial Aid at Antioch University Los Angeles.

Cliff has been active and visible in organizations such as the Pacific Association of Collegiate Registrars and Admissions Officers (PACRAO), the American Association of Collegiate Registrars and Admissions Officers (AACRAO), the Council on Law in Higher Education (CLHE), and the UCLA Administrators and Supervisors Association (ASA). He served as the 2003 president of PACRAO and was elected to multiple terms as ASA president. Cliff has been a member of numerous committees and editorial boards, most recently for CLHE’s newsletter the Regulatory Advisor. Cliff has also served on the advisory board for LRP Publications’ The Successful Registrar. Cliff is the founder of three prestigious institutes: the PACRAO Emerging Professionals Institute (EPI) in 2003, the ASA Leadership Development Institute in 1997, and the UC Management and Leadership (UCML) Conference in 1995.

In the year 2000, Cliff assumed the post of manager for Training and Communication Services in the Registrar ’s Office at UCLA. Charged with FERPA training responsibilities, Cliff created a four-hour workshop entitled “Managing the Privacy of Student Records” and went on to publish his textbook and the facilitator’s guide for this workshop through LRP Publications. He has written two other books—The FERPA Transition: Helping Parents Adjust to Higher Education Records Laws (2004) and Records Management in Higher Education (2006), the latter in collaboration with colleague Linda Arquieta-Herrera. Most recently, he worked with attorney Aileen Gelpi on updates to The FERPA Answer Book for Higher Education Professionals.

Cliff is a regular presenter on FERPA at workshops, conferences, and other professional development events. Cliff has been featured in numerous national audio conferences, as well as in webinars and a training video.

A native of Southern California, Cliff attended the University of Notre Dame, from which he graduated cum laude with a B.A. in English. Cliff attended the Jesuit School of Theology at the Graduate Theological Union in Berkeley, California, while studying for the Roman Catholic priesthood. He worked in the banking industry for 12 years, in both Northern and Southern California, before coming to higher education.

Currently, Cliff is the FERPA expert for College Parents of America and on the advisory board for Docufide, Inc. He is a member of the Registrars and Enrollment Services Consulting for Colleges and Universities (RESCCU) team and is affiliated with Painted Dreams Ranch (PDR) Enterprises, the records management and customer services consulting company of colleague Linda Arquieta-Herrera.