Appendix A: Family Educational Rights and Privacy Act of 1974

(BUCKLEY AMENDMENT) and the GRAMM-LEACH BLILEY ACT

 

The U.S. Congress in 1974 passed the Family Educational Rights and Privacy Act, which governs the use, distribution of, and individual access to student records kept by educational institutions. The purpose of this legislation was to protect students from the abuses inherent in the release of inaccurate information, which may be present in his or her file. The act provides several safeguards for the student as well as defining the institutional responsibilities and rights in the maintenance and administration of student records. This document will serve to notify the student of the School's implementation of the Act's provisions.

STUDENT RECORDS

The major repository for student records is the Office of Student Affairs, where two separate files are kept on all students: a) Transcript Records and b) General Records. The student is advised that he or she has access to each of these files under the general guidelines presented in the section entitled "Access to Records” later in this section.

Student records may be located in other areas such as:

1) Department and Clinic offices including individual faculty offices
2) Alumni Office
3) Bursar's Office
4) Financial Aid Office
5) Facilities Office
6) Student Advisory and Health Administration Office
7) Office of the Board of Trustees
8) Administrative offices of the University requiring Directory-type information on student
enrollment

Transcript Records
Grades for students are reported on the Transcript Form of the School of Dental Medicine or a Grade Report Form. Students can report incorrect grades to the course director who notifies the Office of Student Affairs of the grading error. The Student Promotions Committee must approve any change in grade due to clerical error before the requisite change has been recorded on the transcript.

Student Records File
Student Records files maintained and administered include:

a) Application material processed by the student through the American Dental Education Association Application Service (AADSAS) at the time of application.
b) Correspondence by the student as a candidate for admissions.
c) Correspondence by the Admissions Office to the student when the student was a candidate for admission.
d) Correspondence from faculty, staff, administration and others regarding the student while enrolled in the School of Dental Medicine.
e) Copies of any verification documents, address/name changes between student and the Office of Student Affairs.

Students are advised that letters of recommendation provided to the School of Dental Medicine in support of the student's admission and interview evaluation forms are not kept as part of the student's permanent record and are not, therefore, part of the general records file.

ACCESS TO RECORDS

The Buckley Amendment provides the student with access to records maintained on him/her by the School of Dental Medicine. The following policies govern such access.

Transcript Records
When used by the Office of Student Affairs to report grades earned in course for the first time, transcripts issued to students are stamped STUDENT COPY and are provided free of charge. Any student may have additional student copies by request through a Transcript Request Form. The fee for each additional copy is $1.00. Official transcripts signed by a school official and embossed with the University seal are not provided to the student, unless the student requests the “sealed envelope’ option. This allows the student to obtain an official transcript, which is however in a sealed envelope.

Student Records File
Students can submit a request to review a document from their student file via a written request to the Office of Student Affairs.

Copies of Board scores or of undergraduate transcripts provided to the School of Dental Medicine as part of the student’s admission to Tufts will not be provided.
A major provision of the Act is the student's right to challenge "inaccurate" or “misleading” information contained in his or her file. The student may submit a written rebuttal to a specific document, which he/she considers inaccurate or misleading. This written rebuttal will be entered as a permanent part of the student's record. The original document is not removed from the student file.

In cases where a document is alleged to be inaccurate or misleading or otherwise in violation of privacy or the rights of the student, the student may request a hearing for removal of such material from his/her file. A written request for a hearing should be directed to the Associate Dean for Student Affairs who will arrange and conduct the hearing. If the student's petition is successful, the offending document(s) will be removed.

General Policies for Implementation of the Buckley Amendment at Tufts University School of Dental Medicine. The following policy statements govern the release of information about students by all faculty, staff, students and the administration.

1) No pictures or non-directory information about students will be provided to anyone outside of the University not authorized to receive such information under the provision of the Act. Request by outside agencies for such information should be directed to the Office of Student Affairs for action. Non-directory student records may be released with notice to the student upon the service of a valid subpoena or court order.

2) Faculty may provide letters of recommendation to outside parties only upon written authorization by the student. The student may request to see these letters of recommendation unless he/she has signed a document waiving this right.

3) A formal complaint will be filed with the Ethics, Professionalism and Citizenship Committee against any faculty member, student, staff or administrator releasing information prohibited by the Act.

RELEASE OF STUDENT INFORMATION

Directory information for students is defined as the following: name, local address, local phone number and certification of enrollment. This information may be released to any requester, unless a student provides written request not to disclose all directory information.

Additional information may be provided to outside agencies without the written consent of the student. The additional information would only include class designation and expected graduation date for a specifically named student.

This type of information is provided to such agencies as banks, credit offices, real estate agents, etc. and is only released when the inquiry concerns a specifically named student.

More detailed information including, but not necessarily limited to, social security number, permanent home address, permanent telephone number, and age may be released under the Act's provisions without the student's signature to such agencies as the ADA, ASDA, offices of the Federal Government, and local, state and federal courts.

All offices of the University have access to student records and are subject to the same restrictions of the Act detailed herein.
Any questions regarding the Family Educational Rights and Privacy Act of 1974 should be directed to the Associate Dean for Student Affairs. Students have the right to file a complaint with the Department of Education under 34 CFR § 99.63-64 alleging a failure to comply with the act.

The following pages contain information on the Privacy Act. This information constitutes your official notification of the rights granted you under Federal legislation known as the Family Educational Rights and Privacy Act (FERPA) of 1974 as amended and under the regulations adopted by the Department of Health, Education and Welfare under the Act.

The Act grants you access to your education records as defined, the right to seek to change portions of your education records which are incorrect or inaccurate, and the right to limit or prevent their disclosure to third parties, except those allowed access by the Act.

These and related matters are discussed in some detail here. Emphasis is placed on records that are the most common. If you have questions or desire to see any records, contact the Dental School Dean’s Office.

Please pay particular attention to Directory Information. If you do not want directory information divulged without your prior consent you must provide written notice of your wishes to the Dean's Office each September. Questions concerning the confidentiality of student records may be addressed to the Associate Dean.

Types of Records
The act refers to two types of record information: education records and directory information. Education records are records directly related to you and maintained by Tufts or by a party acting for Tufts. They do not include the following.

1. Records of instructional, supervisory, administrative, and other personnel that are in the sole possession of the maker and are not accessible to any other individual except one performing on a temporary basis the duties of the maker.

2. Records of the Tufts Security Police that are maintained solely for law enforcement purposes and are not disclosed to individuals other than law enforcement officials of the same jurisdiction.

3. Records of regular University employees who are also enrolled as students, which pertain to the employee as an employee. This does not apply if you are a student employed as a result of your status as student.

4. Records created or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting in that capacity. Details of this exemption are noted later in this statement.

5. Records pertaining to a former student other than those generated when that person was a student.

Record, in this context means any information or data recorded in any medium including, but not limited to handwriting, print, tapes, file, microfilm and microfiche. Directory Information is defined later in this notice.

Checklist of Records
Records of all Dental School students are maintained by the Dean's Office, the Dental program offices, student advisors and program directors, development office, financial aid office, Student Advisory and Health Administration Office, and the Bursar’s Office.

1. Academic
a. Student files maintained by the Dean's Office are the most complete records kept. They contain a semester-by-semester record of grades received. Because of this, the following section is devoted to a description of the files’ origin, contents, uses, and eventual disposition.
b. Records maintained contain pertinent academic information such as transcripts, and copies of correspondence.
c. Archival records are derived from information in your file, as described in the following section.

2. Financial
a. The Bursar maintains all records of charges, billings, and payments.
b. The Financial Aid Office keeps all records of applications for and awards of financial aid. In accordance with the law, parents' confidential statements are treated as such and cannot be viewed by the student, unless parents indicate otherwise.
c. The Development Office maintains records in connection with gifts and donations that you or your family may have made or may make to Tufts.

3. Health and Counseling
In defining "education records", that is those records to which the Privacy Act applies, the law states that the term does not include records relating to an eligible student, which are:
a. Created or maintained by a physician, psychiatrist, psychologist or paraprofessional acting in his or her professional or paraprofessional capacity, or assisting in the capacity.
b. Created, maintained or used only in connection with the provision of treatment to the student.
c. Not disclosed to anyone other than individuals providing the treatment, provided that the records can be personally reviewed by a physician or other appropriate professional of the student's choice. For the purpose of this definition, "treatment" does not include remedial educational activities or activities which are part of the program of instruction at the institution.
d. Health records are kept by the Student Advisory and Health Administration Office and are prevented from third party disclosure, as above, both by professional ethics and law.

4. The Health Science Library keeps a record of books borrowed by students.

5. The Public Information Office maintains records of awards won, honors received, and other outstanding achievements by students.

Summary of Procedures

1. Access by Student
You will be shown any file, except those noted as unavailable for review, upon written request to the person responsible for maintaining the file. These requests must be honored within 45 days. The Dean or a designee will be present during your review in order to answer any questions that may arise or to offer explanations where necessary.
You do not have the right to review material that you made confidential by written waiver or recommendations that were entered into your file as confidential prior to January 1, 1975.

2. No student records are made available to third parties without the written permission of students, except the following:
a. Employees of the University who have a need to know or who work with specific records as a part of their regular duties; certain students, faculty and trustee committees who must have access to specific information to carry out their committee work.
b. Authorized representatives of the Comptroller General of the United States, The Department of Health, Education and Welfare, The Commissioner of Education, The Director of the National Institute of Education, and State Educational Authorities.
c. An individual or organization required to be informed in connection with financial aid for which a student has applied or which a student has received, but such information is limited to that necessary to determine the eligibility of the student for financial aid, the amount of such aid, and the conditions which will be imposed regarding such aid,
and to enforce the terms or conditions of such aid.
d. State and local officials to whom information is specifically required to be reported or disclosed pursuant to state statute adopted prior to November 19, 1974.
e. 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; and improving instruction.
f. Accrediting organizations in order to carry out their accrediting functions.
g. Parents of a dependent student as defined in Section 152 of the Internal Revenue Code of 1954.
h. Appropriate parties in a health or safety emergency if necessary to protect the health or safety of the student or other individuals.

In addition, we must supply records in compliance with a judicial order or any lawfully ordered subpoena but must attempt to notify students of such orders or subpoenas before complying.

Third parties, other than those named above, requesting information other than directory information, must submit requests in writing itemizing the information sought and giving reasons for the request. Upon receipt of such written requests, students will be notified and supplied with forms on which they may, if they desire, grant permission for the release of any or all information requested. A written statement naming the third party, listing all material to be released and signed by the student may substitute for the form.

Procedures for Challenge
If you find an error in your record, for example the wrong grade entered on your transcript, call this to the attention of the Dean's Office. In general, if you feel that any material in your record is inaccurate or misleading or violates your privacy or other rights, you may request that the material be corrected or deleted. If an agreement to make changes in the records cannot be reached by you and the individual maintaining the file, you may appeal to the Dean for a hearing by a board of disinterested persons chosen for that purpose. The hearing will be conducted in accordance with the procedures set forth in the regulations and statement of policy of Tufts University. If, as a result of the hearing, it is decided not to change your education records, you may enter into the record a statement explaining why you take exception to certain items. You may not challenge a grade given, only the accurate
recording of the grade.

Record Contents
The initial record kept by the Dean's Office consists of material provided directly by you or by other persons or agencies at your request to the Admissions Office. The remaining information includes application form, complete college transcript, transcripts from any other colleges you may have attended and standard test scores (GRE, TOEFL, MCAT, etc.). Thereafter, your file grows to include any or all of the following:

• Tufts transcript
• transcripts from other colleges or programs
• notifications from faculty of grade change (make-up exams, errors, etc.)
• forms or letters regarding status
• copies of correspondence with the Dean's Office
• letters of recommendation
• reports concerning incomplete courses
• records of student request to view file
• statements that you may have entered into the records on your own behalf
• copies of enrollment certifications sent on your behalf
• transcript request forms
• documents related to student misconduct
• letters concerning academic difficulties

Many of these items are purged from a file upon completion of all degree requirements.

Third Party Access
No item in your file is available for view or inspection by a third party without your prior knowledge and consent with the limitations previously stated. A common request for information is verification that you are a student in good standing made by banks, insurance companies, etc. If the student initiates the request, an authorization form must be signed to have the information released and you may ask for a copy of information given. Often prospective employers or other agencies with whom you are negotiating request verification of dates of attendance, degree awarded, etc. This falls into the category of directory information, which can be supplied without prior consent unless a student made previous arrangement to the contrary.

Transcripts
Transcripts are produced from the permanent academic record maintained by the Dean's Office. If a faculty member made a clerical error in computing your grade, he or she must submit a Change of Grade Request form to the Dean's Office requesting a change be made on your record. Transcripts are updated in June, September, and January to include new grades. You may at any time request in writing that an official copy of your transcript be furnished to another institution or agency through the Dean’s Office. An official copy of your transcript will bear the Registrar’s signature and the school seal. Official transcripts are not released directly to students or graduates; however, you may at any time request in writing that an unofficial copy of your transcript be furnished to you. An unofficial copy, or student copy, of your transcript will not bear the Registrar’s signature or the school seal and will be marked “student copy.”

Disposition of Records
Applications and related material for persons not accepted are retained by the Dean's Office for two years and then destroyed. Records for students who matriculate are kept in the Dental Dean’s Office throughout the student’s enrollment in Dental and for five years after graduation or separation for Dental school for any reason. Student records include but are not limited to applications; university academic transcripts; notices of admission, readmission, denial; records of grade changes; correspondence.

After the five-year period following graduation or separation from Dental school, student records are archived and typically the following materials are retained:

• Graduation forms
• Final Dental school Transcript
• Reasons for withdrawal, when applicable
• Transcripts for other colleges
• Letters of recommendation written while student was enrolled
After the five-year period, the following materials are typically discarded:
• Duplicate copies of anything
• All correspondence related to admission
• All materials relative to academic warning or probation
• Anything to do with housing

For policies in connection with the disposition of records maintained by course instructors or program directors, consult the individual departments. E-mail request will not be accepted.

Non-archival Records
Post-graduation files are maintained by the Alumni Records office. All available information about an individual including files of the Alumni Records are deposited in the Archives only after the individual is deceased.

Rights as an Alumnus
All rights, which you possess as a student concerning your records, remain with you after you leave Tufts. This applies only to those records, which pertain to you as a student, which are accumulated during your enrollment in the University.

Recommendations
Within Tufts, recommendations from the Dean and Associate Dean would be part of the ongoing file. As such, a student is permitted to view these in the presence of said Dean or a designate, except in cases where you have waived your right of access to a particular document.

Directory Information
The law states that an educational agency or institution that wishes to designate directory information shall give public notice of the following information.

• The categories of personally identifiable information that the institution has designated as directory information.

• The right of the eligible student to refuse to permit the designation of any or all of the categories of personally identifiable information with respect to that student as directory information.

• A period of time within which eligible students must inform the agency or institution in writing that such personally identifiable information is not to be designated as directory information with respect to that student.

Directory information is used at Tufts in the following ways.

• Commencement program - lists names, undergraduate school, any awards received by all members of the graduating class.

• News stories released by the Office of Public Information – lists student name and pertinent information for news story such as participation in officially recognized activities and committees.

• Providing assistance to parents and friends attempting to reach students, particularly in cases of emergency – gives out student name, home and local addresses, and phone numbers.

• Composite photos - these photos are taken of all entering students and distributed to Dental school Program Offices so that course directors and faculty can identify new students.

• Other information only if requested – for example, advisors name and date of birth, which is not given out routinely.

If a student wishes to have consent obtained prior to the release of directory information, written notice must be given to the Dean's Office each September.

Summary of Records
As stated, the Dean’s Office maintains the Permanent Academic Record. The Bursar and the Development Office maintain their own related student files. Program Directors and course directors may also maintain their own related files.

Complaints regarding violation of rights under the Family Education Rights and Privacy Act may be filed with:

The Family Educational Rights & Privacy Office
Department of Health, Education & Welfare
30 Independence Ave., S.W.
Washington, DC

Gramm-Leach Bliley Act

The Financial Modernization Act of 1999, also known as the “Gramm-Leach-Bliley Act” or GLB Act, includes provisions to protect consumers’ personal financial information held by financial institutions.

The GLB Act gives authority to eight federal agencies and the states to administer and enforce the “Financial Privacy Rule” and the “Safeguards Rule”. These two regulations apply to “financial institutions,” which include not only banks, securities firms, and insurance companies, but also companies providing many other types of financial products and services to consumers, including universities who administer loans and other financial aid.

The Financial Privacy Rule governs the collection and disclosure of customers’ personal financial information by financial institutions. It also applies to companies, whether or not they are financial institutions, which receive such information. Because universities are already subject to the privacy provisions in the Federal Educational Rights and Privacy Act ("FERPA"), the Federal Trade Commission decided that institutions of higher education that are complying with FERPA in protecting the privacy of their student financial aid records will be deemed to be in compliance with the GLB Act.

The Safeguards Rule requires all financial institutions that collect or receive customer financial information to design, implement and maintain safeguards to protect such information. Tufts University maintains safeguards to protect student financial information and generally requires that third parties who provide services to the University, which requires them to have access to student financial information, maintain safeguards that comply with the GLB Act.