These guidelines are intended to help UofL students, faculty, staff, and administrators comply with the federal Family Educational Rights and Privacy Act.
The Family Educational Rights and Privacy Act of 1974 (sometimes referred to as the Buckley Amendment, but more often by its acronym, FERPA) affords students certain rights concerning their education records. Under FERPA, UofL students have the right
No one, not even a UofL student's parent or legal guardian, will have access to a student's education records, nor will their contents be disclosed, without the written consent of the student, except as provided by the Act.
UofL may release certain categories of "directory information," however, unless a student asks that some or all of that information not be disclosed.
FERPA, as amended, may be found at 20 U.S.C. 1232g; its final revised regulations may be found at 34 CFR 99. It is administered by the Family Policy Compliance Office of the U. S. Department of Education; for additional information, see the FPCO web site at:
FERPA obliges the University of Louisville to inform students of their rights and to follow procedures through which their rights can be exercised. The university intends to comply fully and fairly with the provisions of FERPA. Where necessary, the university has taken the provisions of KRS 164.183 and KRS 61.870-61.884 into account in formulating these guidelines.
The director of the University Archives and Records Center administers the university's student records policy. Copies of the Act, the annual "Notification of Students' Privacy Rights Under FERPA" statement, these guidelines, and other types of assistance can be obtained from the University Archives. Revisions and clarifications of the university's guidelines and procedures will be made as needed.
A UofL student's education records are those records maintained by UofL (or by a party acting for UofL) that are directly related to the student. Records containing a student's name, social security number, or other personally identifiable information, in whatever medium, unless identified in one of FERPA's excluded categories, are education records.
Directory information includes the following items, not generally considered harmful or an invasion of privacy if disclosed, about UofL students: name, postal addresses, e-mail address, telephone number, date (month and day only) and place of birth, major fields of study, classification (freshman, sophomore, etc.), enrollment status (full-time or part-time), enrollment unit (A&S, Medicine, Law, Music, etc.), residency status, participation in officially recognized activities and sports, weight and height of athletic team members, dates of attendance, degrees and awards received, and most recent previous educational institution attended.
UofL may release without written consent those items specified as public or directory information for students who are currently enrolled, provided the following conditions are met prior to disclosure: a) that UofL inform the students of items designated as public or directory information; b) that students be given the opportunity to refuse disclosures of directory information; and c) that the students be given a reasonable period of time in which to state such refusals in writing. UofL may also release without written consent those items designated as public or directory information on any student not currently enrolled unless that student, at his or her last opportunity as a student, requested otherwise.
Both current students and former students may direct the university not to disclose directory information and may also change their previous instructions to the university.
A student has the right to direct the university not to release directory information. A student can specify that only his or her address category (postal addresses, e-mail address, telephone number) be withheld or he or she can specify that all of his or her directory information items be withheld. The form requesting directory information to be withheld can be downloaded from the University Archives and Records Center website or procured from the University Archives and Records Center, which is on the fourth floor of the Ekstrom Library. If, at the student's last opportunity, he or she instructed UofL to withhold his or her directory information, UofL will continue to withhold it, even though now the person is a "former student," until the person directs otherwise. UofL will comply with a student's request for nondisclosure of directory information, although it may take as long as two business days for the university to process the change.
Students should be aware of potential undesirable consequences of withholding directory information. If a student has instructed UofL to withhold his or her directory information, UofL will not be able to send such information to potential employers and other interested parties without the student's written permission.
The following types of records are not included in the term "education records" and are not subject to inspection or review by students:
A UofL student is a person who has been in attendance at UofL, including cooperative, correspondence, distance education, and international programs. FERPA does not apply to records of applicants for admission to UofL who are not accepted or who are accepted but do not attend. A student who is enrolled in one UofL college, school, or division, but who is denied admission by another UofL unit, does not have any FERPA rights in the unit which denied admission to him or her.
Disclosure means permitting access to or the release, transfer or other communication of education records of the student or the personally identifiable information contained therein to any party, orally, in writing, by electronic means, or by any other means.
Financial Aid means a payment of funds to an individual (or a payment in kind of tangible or intangible property to the individual) that is conditioned on the individual's attendance at the University of Louisville.
Personally Identifiable means data or information which include 1) the name of the student, the student's parent, or other family member; 2) the student's address; 3) a personal identifier such as a social security number or student number; or 4) a list of personal characteristics, or other information that would make the student's identity easily traceable.
Student Right-to-Know Act of 1990 (SRTK) requires colleges and universities to report graduation rates to current and prospective students.
Solomon Amendment of 1996 requires institutions to provide certain directory-type information on students, at least seventeen years of age, upon request from representatives of the Department of Defense for military recruiting purposes.
USA PATRIOT Act of 2001 requires institutions to provide student education records or other tangible items to the U. S. Attorney General or his or her designee in response to an ex parte court order related to a terrorism investigation.
UofL must notify its current students annually of their FERPA rights. Former students do not have to be notified. The director of the University Archives and Records Center oversees the publication of UofL's"Notification of Students' Privacy Rights under FERPA" on the university's web pages and in its catalogs and at least annually in its class schedules, and, if possible, in the Cardinal.
A UofL student has the right to inspect and review his or her education records within forty-five days of the day the university receives the request for access. The student should submit a written request identifying the record(s) he or she wishes to inspect to one of the following university officials: the registrar, the dean of the college or school in which the student is enrolled, the vice president for student affairs, or the director of the University Archives and Records Center. The university will make arrangements for access and notify the student of the time and place where the records may be inspected. If the records are not maintained by the university official to whom the student submitted the request, that official shall advise the student of the person to whom the request should be addressed. The university official who receives a student's written request to inspect his or her records must send a copy of the request to the director of the University Archives and Records Center upon receipt of the request.
A UofL student has the right to inspect and review all education records about him or her except (1) financial information submitted by his or her parents; (2) confidential letters and recommendations placed in his or her files prior to January 1, 1975, provided these letters were collected under established policies of confidentiality and were used only for the purposes for which they were specifically collected; (3) confidential letters and statements of recommendation placed in the records after January 1, 1975, which he or she has waived the right to inspect and review and that are related to the student's admission, application for employment or job placement, or receipt of honors; and (4) education records containing information about more than one student; however, in such cases UofL will permit access to that part of the records pertaining only to the inquiring student.
UofL students may waive any or all of their rights to review confidential letters and statements of recommendation under FERPA. The right of waiver is subject to the following conditions: (1) That UofL does not require waivers. (2) That no UofL service or benefit is denied students who fail to supply waivers (although UofL is free to request waivers). (3) That the documents which students have waived the right to access are used only for the purposes for which they were collected. If used for other purposes, the waivers are void and the documents may be inspected by the students. Instruments used by UofL units for soliciting recommendations and evaluations must contain only requests for information that will be used for the specifically-intended purposes. (4) That the waivers are in writing and signed by the students. Students may waive their rights to inspect and review either individual documents or classes of documents (e.g., part or all of an admission or job placement file). They may revoke the waiver in writing, but, by revoking it, they do not have the right to inspect and review documents collected while the waiver was in force. Note: when "applicants" who waive their rights to access documents become students, they may specifically request and be given the names of all individuals who submitted letters and statements of recommendation for them.
Once students have requested access to their education records, such students' records cannot be destroyed until inspection and review have been provided. In addition, two additional items must not be destroyed unless the records to which they pertain are destroyed: a) "explanations" placed in the records by students as a result of a request for amendment that has been denied, as long as the original document that was the subject of the dispute is maintained, and b) records of disclosures and requests for disclosures.
At the University of Louisville, undergraduate and graduate admissions files, including letters of recommendation, may be destroyed five years after graduation or date of last attendance. Professional school admissions files, which may include letters of recommendation, are retained permanently.
Students have the right to view their education records wherever these records are maintained on campus. Although it is the university's policy to honor requests to inspect records as promptly as possible, once a student has submitted a request to inspect his or her records, UofL has forty-five days in which to comply. The official to whom the student makes the request may require the student to submit the request in writing. The student may request and receive an explanation or interpretation of his or her record from a responsible official. In cases where a student is not within commuting distance of campus, and therefore is unable to be present to view the record on campus, UofL will try to make other arrangements for the student to obtain access, either through photocopies or by using an appropriate third party. Questions or problems regarding these matters should be referred to the director, University Archives and Records Center, for resolution.
UofL must obtain written consent from a student before disclosing any personally identifiable information from his or her education records, apart from directory information, with the exceptions noted below. Such written consent must a) specify the records to be released, b) state the purpose of the disclosure, c) identify the party or class of parties to whom disclosure may be made, and d) be signed and dated by the student. While the student's consent must be made in writing (oral consent is not sufficient) a UofL official may accept a fax or e-mail consent, provided the official is reasonably certain that the fax or e-mail constitutes a bona fide consent.
UofL may disclose personally identifiable information from a student's education records to a third party if the eligible student has signed and dated a written consent form which is presented to a university official by the third party, provided the official is reasonably certain that the form constitutes a bona fide consent.
UofL should inform parties to whom personally identifiable information is released that recipients, as a general rule, are not permitted to disclose the information to others without the written consent of the student. An example of such wording follows: "The attached information has been forwarded to you at the request of the student with the understanding that it will not be released to other parties. The Family Educational Rights and Privacy Act of 1974 as amended prohibits release of this information without the student's written consent. Please return this material to us if you are unable to comply with this condition of release." In certain circumstances (see 34 CFR 99.33), the recipient of the information may legally redisclose the information. If a third party rediscloses personally identifiable student information in violation of FERPA, however, UofL shall be prohibited from permitting access to education records to that third party for a period of not less than five years.
UofL must obtain written consent from a student before disclosing any personally identifiable information from his or her education records, apart from directory information, with the exceptions noted below. Such written consent must a) specify the records to be released, b) state the purpose of the disclosure, c) identify the party or class of parties to whom disclosure may be made, and d) be signed and dated by the student. While the student's consent must be made in writing (oral consent is not sufficient) a UofL official may accept a fax or e-mail consent, provided the official is reasonably certain that the fax or e-mail constitutes a bona fide consent.
UofL may disclose personally identifiable information from a student's education records to a third party if the eligible student has signed and dated a written consent form which is presented to a university official by the third party, provided the official is reasonably certain that the form constitutes a bona fide consent.
UofL should inform parties to whom personally identifiable information is released that recipients, as a general rule, are not permitted to disclose the information to others without the written consent of the student. An example of such wording follows: "The attached information has been forwarded to you at the request of the student with the understanding that it will not be released to other parties. The Family Educational Rights and Privacy Act of 1974 as amended prohibits release of this information without the student's written consent. Please return this material to us if you are unable to comply with this condition of release." In certain circumstances (see 34 CFR 99.33), the recipient of the information may legally redisclose the information. If a third party rediscloses personally identifiable student information in violation of FERPA, however, UofL shall be prohibited from permitting access to education records to that third party for a period of not less than five years.
UofL may disclose education records to the following persons without the student's consent:
UofL offices must maintain records of requests for and disclosures of personally identifiable information. The records of requests, whether granted or not, shall include the names and addresses of the person(s) who requested the information and their legitimate interests in the information. Records of requests and disclosures do not have to be maintained for:
Examples of instances where the university must maintain records of requests and disclosures:
The records of disclosures and requests for disclosures are considered a part of the student's education records; therefore, they must be retained as long as the education records to which they refer are retained by the university.
The records of requests and disclosures must include:
These records must be made available for inspection to students, responsible institutional officials, state and federal auditors, and others, as prescribed by law.
A UofL student has the right to request the amendment of his or her education records that he or she believes are inaccurate or misleading. To ask the university to amend a record the student believes is inaccurate or misleading, the student should write the university official responsible for the record, clearly identify the part of the record he or she wants changed, and specify why it is inaccurate or misleading. The responsible official shall decide, as soon as possible, but not longer than forty-five days from the date of the request, whether or not to amend the challenged record. The responsible official may amend the record. If the university decides not to amend the record as requested, the university will notify the student of the decision and advise him or her of the right to a hearing regarding his or her request for amendment. The student must also be informed that if he or she wishes to receive a hearing, he or she must make this request in writing to the director, University Archives and Records Center, who will provide additional information regarding the hearing procedures to the student. The director will assemble an appropriate hearing panel and will inform the student of the date, place and time of the hearing. The hearing will have present the student, the official responsible for the question (where appropriate), and all other necessary parties. The student will be afforded a full and fair opportunity to present evidence relevant to the issue raised. The student may be assisted or represented at the hearing by one or more persons of his or her choice, including an attorney, at the student's expense. The judgment of the panel shall be final, based solely on the evidence presented at the hearing, and the record shall be changed or retained as recommended. The panel will issue a written statement summarizing the evidence and stating the reasons for the decisions which will be delivered to all parties concerned who have a legitimate educational interest.
If the panel decides against the requested change, it shall inform the student that he or she shall have the opportunity to place with the education record a statement commenting upon the information in the record and/or setting forth any reasons for disagreeing with the decision of the hearing. This statement shall be maintained as part of the record for as long as the record is held by the university, and shall be provided to all persons to whom the questioned record is provided.
The disposition of records held by UofL pertaining to a deceased person is not a FERPA issue but a matter of institutional discretion. UofL officials may exercise their own judgment in deciding whether, and under what conditions, information should be disclosed to survivors or other third parties. Guidance may be obtained from the director, University Archives and Records Center.
Destruction of university records of any sort may occur only in accordance with the university's records disposition policies. Furthermore, UofL officials may not destroy any education records if there is an outstanding request to inspect and review the records.
Nothing in FERPA allows the university to discuss a student's education records publicly, even if a lawsuit has made the information a matter of public record. A university official may not assume that a student's public discussion of a matter constitutes an implied consent for the official to disclose anything other than directory information in reply. The official who wishes to respond to the media under these circumstances should ask the student for a properly executed consent form.
The public posting of grades by the student's name, student ID number, social security number, or any other identifier that would make it possible to discern confidential student information is a violation of FERPA.
If a student has questions about the provisions of FERPA, these guidelines, or related matters, he or she may contact the Open Records Officer, University Archives and Records Center, 502.852.8787.
If a student believes that the university has not complied with the Act, he or she may direct comments concerning this to the Open Records Officer, University Archives and Records Center, who will try to help resolve the matter in question.
If a student believes that the university has not complied with the Act, he or she may file a written complaint with the Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue S.W., Washington DC 20202-4605.
These guidelines are subject to revision.
Open Records/FERPA Officer
Archives & Special Collections
502.852.6674 502.852.6674