Top 3 FERPA Violations and How to Avoid Them

IT, risk, and compliance professionals in higher education must have a comprehensive understanding of the cyber threats that jeopardize personally identifiable and protected health information (PII/PHI). If unaddressed, these threats can lead to a cyberattack and/or data breach which, in turn, can lead to a costly FERPA violation.

FERPA violations can have severe consequences, including loss of federal funding, litigation, and reputational damage. In this post, we’ll explore the top three FERPA violations, their consequences, and provide strategic guidance on how to avoid them.

FERPA Overview

The Family Educational Rights and Privacy Act (FERPA) is a federal law enacted in 1974 to protect the privacy of student education records. It also grants parents and guardians specific rights regarding their children’s education records, which transfer to the student when they turn 18 or attend a school beyond the high school level. For the purpose of this post, we’ll focus on the data privacy portion of FERPA.

FERPA restricts the disclosure of personally identifiable information from students’ education records without explicit consent from the parents or the eligible student, except in certain legally specified situations. This ensures that sensitive information about students is not shared without appropriate authorization, thereby protecting their privacy.

By creating a legal structure for the protection of educational records, FERPA plays a crucial role in maintaining the confidentiality and integrity of student information and fostering trust between families and educational institutions.

Who is Impacted by FERPA?

FERPA is applicable to all educational agencies and institutions that receive funding under any program administered by the U.S. Department of Education, which includes a vast majority of schools, colleges, and universities. This includes primary and secondary schools that provide foundational education, community colleges and technical institutes that offer vocational training and associate degrees, as well as universities that deliver undergraduate and graduate degree programs.

What is a FERPA Violation?

A FERPA violation, simply put, occurs when a school fails to adhere to the guidelines set by the Family Educational Rights and Privacy Act, which aims to safeguard the confidentiality of students’ educational records. A FERPA violation typically results in the unauthorized disclosure of personally identifiable information, such as grades, disciplinary records, or other sensitive data, without their written consent.

Examples of FERPA violations include improperly disclosing student grades, sharing information without consent, and denying access to records to parents or eligible students. These breaches can occur either intentionally or unintentionally.

Top 3 FERPA Violations

FERPA compliance is essential for protecting student privacy. IT, risk, and compliance professionals must be aware of the common FERPA violations to avoid significant consequences. Common FERPA violations include the unauthorized disclosure of educational records, improper disposal of student records, and inadequate data protection practices. These and other FERPA violations can lead to serious financial, legal, and reputational consequences. By identifying these common violations and implementing effective strategies to address them proactively, educational institutions can significantly reduce the risk of FERPA violations and ensure the integrity of their student privacy practices.

1. Unauthorized Disclosure of Educational Records

The top FERPA violation on our list is the unauthorized disclosure of education records. Unauthorized disclosure of grades, transcripts, student schedules, disciplinary records, and personal information occurs when such information is shared without explicit consent from the student or their parent. Examples of improper disclosure include:

• Sharing grades or test scores with parents or guardians without the student’s consent (if the student is over 18 or in college)
• Publicly posting grades or exam results using identifying information, such as student IDs
• Discussing a student’s academic performance with unauthorized individuals

To avoid this all too common FERPA violation, it is essential for educational institutions to implement strict access controls, including role-based permissions and multi-factor authentication.

Role-based access controls restrict data access based on user roles, ensuring only authorized personnel can access sensitive student information. IT, risk, and compliance personnel at higher education institutions must regularly review and update role assignments to reflect changing responsibilities within the organization. Multi-factor authentication (MFA) enhances security by requiring multiple verification methods before access sensitive information like student records.

2. Improper Disposal of Student Records

Improper disposal of student records is another key driver of FERPA violations. This violation frequently occurs when educational institutions fail to securely destroy records containing the personally identifiable information (PII) of students. For instance, tossing paper copies of student records into unsecured trash bins, failing to wipe data from computer hard drives, and leaving physical records in unsecured or public areas, such as printers or common office spaces. These mis-steps can lead to unauthorized access of student records which, again, is a FERPA violation.

To avoid this FERPA violation, educational organizations must implement thorough records management and disposal policies. Secure destruction methods such as shredding paper documents and using data-wiping tools for electronic records are essential. Training staff on these procedures and conducting regular audits on record disposal processes and procedures can further mitigate this risk and ensure compliance with FERPA regulations. Also consider consulting with privacy officers or legal experts to review data handling practices.

3. Inadequate Data Protection Measures

The third most common type of FERPA violation stems from inadequate data protection measures. With the increased use of technology in education, digital records are often mishandled due to poor security practices, outdated systems, or lack of training on current data protection measures. A failure to implement robust security protocols can result in unauthorized access to sensitive information. For instance, using outdated security software that is more susceptible to a cyberattack and subsequent data breach that exposes student records. Other examples include:

• Using unencrypted emails to share student records
• Leaving student records accessible on unsecured devices or cloud storage platforms
• Allowing unauthorized access to student record databases due to weak access controls

To avoid this FERPA violation, educational institutions must invest in robust cybersecurity frameworks that align with FERPA standards and best practices. This includes deploying firewalls, anti-virus programs, and intrusion detection systems to defend against unauthorized data access. Regularly updating these systems helps protect against emerging threats. Additionally, implementing a comprehensive data classification policy ensures that sensitive information is afforded the highest level of protection.

Institutions should also conduct regular training and awareness programs for faculty and staff, emphasizing the importance of data security and the role each individual plays in maintaining it.

Penalties for FERPA Violations

FERPA violations can lead to significant penalties for educational institutions. These may include the potential withdrawal of federal funding, legal challenges, and reputational damage.

One of the most severe consequences of FERPA violations is the potential loss of federal funding, which can significantly impact an institution’s financial stability and ability to provide educational services.

Legal challenges can also arise, leading to costly litigation and the possibility of settlements or fines.

Finally, reputational damage from FERPA violations can erode trust among students, parents, and the community, making it difficult for institutions to attract and retain students.

Student Records Protected Under FERPA

It will be difficult for educational institutions to avoid a FERPA violation if they don’t have a clear understanding of what constitutes “student records.” Within the context of FERPA. student, or education, records refer to any records that are directly related to a student and maintained by an educational institution or a party acting on its behalf. These records include:

• Academic Records:Grades, transcripts, class lists, course schedules, and attendance records.
• Personal Information:Student identification numbers, contact information, and social security numbers (if part of the record).
• Disciplinary Records:Records related to suspensions, expulsions, or other disciplinary actions.
• Health Records (if maintained by the school):Immunization records or nurse&rsquo s office documentation (not covered by HIPAA when part of education records).
• Financial Records:Information about tuition payments, scholarships, and financial aid.
• Special Education Records:Individualized Education Programs (IEPs) and related evaluations.
• Student records can also include employment records if employment is contingent on student status, e.g., work-study records. Photos and videos, if used to directly identify a student or are maintained by the institution, qualify as well.

There are, however, important exceptions to student records that are not covered under FERPA. For example, FERPA excludes:

• Sole Possession Notes: Private notes held by school staff that are not shared or made part of the official record.
• Law Enforcement Records: Created and maintained by campus law enforcement units for law enforcement purposes.
• Employment Records: Records related to employment of students when employment is not tied to student status.
• Alumni Records: Information created or received after the individual is no longer a student.
• Medical Records: Maintained exclusively by health professionals for treatment purposes (covered by HIPAA instead)

It’s critical for IT, risk, and compliance professionals in higher education to understand the distinction between FERPA-protected records and other types of records in order to ensure FERPA compliance and ultimately protect student privacy.

Kiteworks Helps Educational Institutions Avoid FERPA Violations

FERPA violations, whether through unauthorized disclosure of educational records, improper disposal of student records, and inadequate data protection practices, can have profound consequences for educational institutions. By understanding the types and implications of these violations, IT, risk, and compliance professionals can implement strategies to safeguard student information and maintain FERPA compliance. Developing stringent access controls, investing in secure technologies, regularly auditing data protection measures, and educating faculty and staff about FERPA requirements are all pivotal steps in mitigating FERPA violation risks. By adopting these proactive measures, institutions can not only avoid violations but also enhance their reputation as trustworthy stewards of student information.

Kiteworks helps higher education institution mitigate the risk of a FERPA violation. The Kiteworks Private Content Network enables secure file sharing and transfer of student records and other sensitive information, protected by robust encryption and granular access controls, ensuring that only authorized personnel can access this content. Kiteworks also provides comprehensive audit logs and monitoring features, allowing institutions to see and report who accessed student records and with whom they shared them.

The Kiteworks Private Content Network, a FIPS 140-2 Level validated secure file sharing and file transfer platform, consolidates email, file sharing, web forms, SFTP, managed file transfer, and next-generation digital rights management solution so organizations control, protect, and track every file as it enters and exits the organization.

To learn more about Kiteworks, schedule a custom demo today.

Additional Resources

• Blog Post How to Demonstrate FERPA Compliance: Best Practices for IT, Risk, and Cybersecurity Professionals
• Blog Post 5 Secure File Sharing Capabilities Educational Institutions Require
• Blog Post 4 Things Educational Institutions Need to Consider When Using Secure File Transfer
• Brief Research Organizations and Universities: Enhance Your Security and Compliance With Kiteworks
• Case Study Weill Cornell Medicine Improves Collaboration Among Researchers With Simple and Secure Data Sharing