Budget Administration and Policy Statement on the Family Educational Rights and Privacy Act of 1974, as Amended: Difference between pages

From Appalachian State University Policy Manual
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Policy 501.1
Policy 105.3
== Introduction ==
== Introduction ==
1.1 Appalachian State University endorses and seeks to comply with all provisions of the "Family Educational Rights and Privacy Act of 1974," as amended, (“FERPA”) and all pertinent regulations. The purpose of this legislation was and is to afford students certain rights with regard to their respective education records. In essence, these rights are: (1) the right to inspect and review education records, (2) the opportunity to challenge the contents of education records, and (3) the right to exercise some control over the disclosure of information from education records. The intent of this policy statement is to explain, in detail, the conditions and procedures under which the University will implement the law.


== Scope ==
== Scope ==
 
2.1 This policy applies to all students of Appalachian State University and all employees, volunteers and contractors who have access to education records.


== Definitions  ==
== Definitions  ==


=== Base Budget ===
=== Education Records ===
:Any record (in handwriting, print, tapes, film, computer, or other medium) maintained by Appalachian State University and which personally identifies a student, except :
:The Base Budget allocated to the University at the beginning of each fiscal year is generally the same as the previous fiscal year's final allocation, except for non-recurring funds specified by the Board of Governors, or increases/reductions made by the Office of State Budget and Management under mandates by the NC General Assembly.
#A personal record kept by a University employee if it is kept in the sole possession of the maker of the record and is not accessible by or revealed to any other person except a temporary substitute for the maker of the record.
#Records created and maintained by Appalachian State University's Office of Public Safety/University Police solely for law enforcement purposes.
#An employment record of an individual whose employment is not contingent upon the fact that he or she is a student, provided that the record is used only in relation to the individual's employment.
#Records made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional when that person is acting in his or her professional or paraprofessional capacity, and if the records are used solely for treatment of the student and made available only to those persons providing the treatment.
#Records which contain information about a student after he or she is no longer in attendance at Appalachian State University and which do not relate to the person as a student.


:A Base Budget is established for each division (headed by Chancellor and Vice Chancellors)within the University and is deemed effective as soon as the Certified Budget is adopted by the NC General Assembly and signed by the Governor. The ideal date is July 1 of each fiscal year, with North Carolina fiscal year being July 1 through June 30 of the following year. The Base Budget contains only continuing allocations and all non-recurring (one time) allocations are dropped at the beginning of the fiscal year.
=== FERPA ===
:Family Educational Rights and Privacy Act of 1974, also known as the Buckley Amendment


== Policy and Procedure Statements ==
=== FERPA Directory Information or Directory Information ===
:Information contained in an education record of a student that generally would not be considered harmful or an invasion of privacy if disclosed, and designated in section 4.9 of this policy. Although any information included in the online directory must be part of the FERPA Directory Information, not all FERPA Directory Information is published in the online directory.


=== Budget Administration ===
=== Student ===
:Any person who as an undergraduate or graduate student (1) is currently attending the University, or (2) has attended the University. (An exception: under common law, the privacy rights of an individual cease with the death of that individual.)


==== State Appropriations ====
=== University E-mail Facilities ===  
The University receives State appropriations for operations and support on a year to year basis. The primary factor in determining the appropriated support received is the enrollment level approved by the Board of Governors of The University of North Carolina and the North Carolina General Assembly. Allocations to the University are received in the form of a "Certified Budget" (also called the Continuation Budget) and an "Expansion Budget". Both budgets are originally prepared by the University Budget Office. The Continuation Budget is submitted to the General Administration of The University of North Carolina and to the Office of State Budget and Management for their verification, approval and submittal to the North Carolina General Assembly. Upon approval of the General Assembly, Appalachian State University receives the approved Continuation Budget, known at this point as the "Certified Budget". Expansion Budget monies are approved by the Board of Governors upon the General Administration's recommendations based on the total student credit hours to be administered as dictated by the UNC Funding Model and certified by the NC General Assembly for The University of North Carolina.
:University E-mail Facilities include all facilities, technologies, information resources, and computing and electronic communication devices, hardware, software, and services required to accomplish the processing, storage, transmission, and communication of electronic mail, whether individually controlled or shared, stand-alone, or networked.


=== Flexibility Budgeting ===
== Policy and Procedure Statements  ==


In the 1991 session of the General Assembly, legislation was enacted to allow the Board of Governors of The University of North Carolina to designate specific constituent institutions in which additional management authority and discretion would be delegated. These institutions are referred to as Special Responsibility Constituent Institutions (SRCI). Appalachian State University was designated a SRCI on April 9, 1992.
=== Notification of Student Rights Under FERPA ===
4.1.1 Students at Appalachian State University are notified of their FERPA rights, as follows:
#An abstract of the student's rights under FERPA is found in Appalachian State University's General Bulletin and Graduate Bulletin.
#An abstract of the student's rights under FERPA is found in the Schedule of Classes published by Appalachian State University and distributed prior to and during each academic term. (This notice shall include statements required under U. S. Department of Education regulations found at 34 C.F.R. 99.7.)
#An abstract of the student's rights under FERPA is found in The Appalachian State University Student Handbook of Rights and Responsibilities (revised and published annually).
#A notice regarding FERPA Directory Information is included in the Academic Bulletin.
#A complete statement of the University policy regarding FERPA may be obtained from the Registrar's Office.


The SRCI designation is not permanent, and can be lost if management staffing standards, internal controls and safeguards are not met; if there are significant audit exceptions or findings; or if the mandated reversion is not met. Flexibility legislation was set to end June 30, 1994, because of a sunset clause. The 1993 General Assembly in the regular and reconvened sessions voted to continue Flexibility Budgeting.
=== Procedure for the Inspection of Education Records ===
4.2.1 The Registrar's Office is designated by the University as the official custodian of education records.  


Beyond the University's control, deterioration in the general economic condition of the state could cause the Office of State Budget and Management to intercede and impose its authority to negate the flexibility until the situation has improved.
4.2.2 A student should submit to the Registrar's Office a written request which identifies as precisely as possible the record or records he or she wishes to inspect.  


=== Major Provisions of the Flexibility Legislation (N.C.General Statute 116-30.1, et seq) ===
4.2.3 The Registrar's Office will make the necessary arrangements for access and notify the student of the time and place where the records may be inspected. Access will be given in forty-five (45) days or less from the date of the request.  
#The Board of Governors, acting on recommendations made by the President after consultation with the State Auditor, may designate one or more special responsible constituent institutions (N.C.G.S. 116-30.1).
#All General Fund appropriations made by the General Assembly for the continuation budget of a special responsible constituent institution shall be made in a single sum for each budget code(Appalachian State University has only one budget code, 16080, for these purposes)(N.C.G.S. 116-30.2).
#Funds appropriated may be expended in the manner deemed appropriate by the Chancellor to maintain and advance programs and services of the institution; consistent with the directives and policies of the Board of Governors (N.C.G.S. 116-30.2).
#The University may carry forward into the next fiscal year unexpended balances of general fund appropriations. Such amounts cannot exceed 2.5% of the general fund appropriations and may be expended for one-time costs that do not impose additional financial obligations on the State (ie. equipment, travel, capital projects such as roofing projects)(N.C.G.S. 116-30-30.3).
#Positions may be established or abolished, acting in accordance with State Personnel policies and procedures with respect to SPA employees and in accordance with Board of Governors policies and procedures with respect to EPA employees(N.C.G.S 116-30.4).
#The Board of Governors shall require each special responsible constituent institution to include in its institutional assessment plan those assessment measures that are determined to be standard measures of student learning and development in general undergraduate education (N.C.G.S 116-30.5).
#The current benchmark established by the Board of Governors for Appalachian State University purchased that are required to be bid through the State Purchasing Office is $150,000 (N.C.G.S. 116-31.10). The special responsible constituent institution may enter into contracts for items currently under contract at the State level, should the price be less locally.


For a more in depth analysis of Flexibility Budgeting, please see the white paper on Budget Flexibility filed in the Budget Office.
4.2.4 When a record contains information about more than one student, the student may inspect and review only that portion of the record which pertains directly to him or her.


=== Current Year vs. Permanent Budget Adjustment/Budget Revision ===
=== Limitations on the Student's Right of Access ===
4.3.1 Appalachian State University will refuse access by the student to the following education records:
Budget adjustments or budget revisions are identified as one of the following types:
#A financial record submitted by the student's parents.
#Current Year Transfer: Affects the budget for the current year only; is not reflected as a component of the Base Budget in the following year.
#Letters and statements of recommendation for which the student has waived his or her right of access (when used only for their intended purpose), or which were maintained before January 1, 1975.
#Permanent Transfer: Changes the budget for the current year and is reflected as a component of the Base Budget in the following year; becomes a permanent component in the next biennial Continuation Budget.
#Records connected with an application to attend Appalachian State University if that application was denied.
#Those records which are excluded from the FERPA definition of education records.
=== Allocations ===
Departmental Budgets - The "Certified Budget" is the Base Budget. The Chancellor and Vice Chancellors may adjust the Base Budgets as they deem necessary for their respective areas of responsibility. The Certified Budget is submitted to, and approved biennially by the General Administration of the University of North Carolina System, the Office of State Budget and Management (which reports directly to the Governor), and the North Carolina General Assembly. Additional increases/reductions to the Certified Budget (mandated by the NC General Assembly) are passed along to each division by the University Budget Office at the direction of the Chancellor and Vice Chancellors. The Chancellor and Vice Chancellors then allocate the increases/reductions to the Base Budgets of their respective areas of responsibility. When the increases and reductions have been determined, the individual responsible for each division's budget must submit the budget allocation form to the Budget Office. The form is an Excel spreadsheet disbursed by the University Budget Office to the Chancellor and Vice Chancellor's designated financial person which contains the budgets by both individual accounts and by budget pool. A copy of the Budget Allocation Form can be obtained by contacting the University Budget Office.


The budgeted amounts are verified and entered (WFUPLOADED) into Banner Finance System by the University Budget Office.
=== Refusal to Provide Copies of Education Records ===
4.4.1 Appalachian State University may decline a student's request for a copy of his or her education records if the student has an unpaid financial obligation to the University. (Note: It is not the intent of this policy to deny the student access to his or her education records--the right to inspect and review education records is mandated by FERPA unconditionally. It is merely a statement of the condition under which the University will not provide a copy of the student's education records.)


Budget pools are listed as follows:
=== Fees Charged for the Copying of Records ===
#719000 Contracted Services
4.5.1 With the exception of an official academic transcript, Appalachian State University does not charge a fee for a copy of an education record. The charge for an official academic transcript is subject to change, and is governed by the schedule of fees in effect at the time of the request.
#720000 Supplies and Materials
#731000 Travel
#732000 Communications
#733000 Utilities
#734000 Current Services
#740000 Fixed Charges
#750000 Capital Outlay
#756000 Library Books
#785000 Other Expenses


The Banner Self-Service module and various E-Print reports can be accessed to view the budget pool(s) and the individual line-items applicable to that budget pool. See Procedure 3 for instruction on accessing the Banner Self-Service module.
=== Types and Locations of Education Records ===
4.6.1 As previously noted, the Registrar's Office is designated as the official custodian of education records at Appalachian State University. All requests for inspection and review of education records, regardless of the nature of the record (i.e., academic, financial, etc.), should be directed to the Registrar's Office. Though not inclusive, the following list contains the primary categories of education records and their locations:


=== Budget Establishment ===
{| border="1"
|'''Types'''
Procedure References - Refer to the Accounting Policy 1 - Budget Administration, Policy 2 - Base Budgets, Policy 3 - Budget Adjustments/Revisions and Policy 18 - Fund/Organization (Org) Administration for specific instructions/information.
|'''Responsible Officials/Locations'''
|-  
|Admissions Records
|University Registrar
John E. Thomas Academic Support Services Building


Procedure Description - All programs and departments receiving any type of financial support at University must have a budget established at July 1 to begin the fiscal year. If a base budget has not been established, the Budget Allocation Form (see ACC Append 1) must be completed to establish an annual budget.
Associate Dean for Research & Graduate Studies


Procedure - Even though departments/programs will differ from area to area, the following general steps are required for State Fund budget establishment or for adjustment to a base budget:
John E. Thomas Academic Support Services Building
#Base budgets are automatically allocated on or after July 1 with the effective date of July 1 to begin the fiscal year. The procedure occurs when the NC General Assembly approves the new annual budgets. Approved increases/ reductions are allocated to the Chancellor and each Vice Chancellor from the University Budget Office under the direction of the Chancellor and Vice Chancellors. Budget Allocation Forms accompany allocations. Revisions must be reflected on the Budget Allocation Form.
|-
#The Chancellor and each Vice Chancellor may distribute increases/reductions to program areas or deans who further allocate funds within their areas of responsibility.
|Academic Records
#Budgeted funds must remain in the specific 61XXXX account from which it is allocated. This statement is true of every account except 720000 through 785000 budget pools (excluding pools 733000 and 756000). Amounts may be budgeted as necessary for 720000, 731000, 732000, 734000, 740000, 750000 and 785000 as long as they do not exceed the total 720000 through 785000 amount allocated by the appropriate Vice Chancellor or the Chancellor.
|University Registrar
John E. Thomas Academic Support Services Building
If additional funds are required in any of the 61XXXX accounts or a transfer is required from a 61XXXX into a 720000 through 785000 accounts (including 733000 and 756000), a Request for Budget Revision Form must be completed. A hard copy of the Requet for Budget Revision Form can be obtained by contacting the university Budget Office or access ASU Electronic Forms - Vice Chancellor for Business Affairs.
 
Complete Budget Allocation Form (Excel spreadsheet disbursed by the university Budget Office to the Chancellor and Vice Chancellor's designated financial person):
#Area's program/department name
#Chart of accounts: A
#Plus (+), indicating increase or Minus (-), indicating decrease
#Department's fund and account/budget pool number: (ie. 10XXXX-720000)
#Even-dollar budgeted amount by appropriate budget pool/account number (excluding decimal point and cents, ie. "100" for one hundred dollars)
#719000 - Contracted Services (includes all 719XXX accounts with the exception of 719700 which is budgeted at that minor line-item)
#720000 - Supplies and Materials Pool (includes all 72XXXX accounts)
#731000 - Travel (includes all 731XXX accounts)
#732000 - Communications (includes all 732XXX accounts)
#740000 - Fixed Charges (includes all 74XXXX accounts except 748XXX)
#750000 - Capital Outlay (includes all 75XXXX accounts except 756XXX reserved for Library Books
#756XXX - Library Books (includes all 756XXX accounts and may be used only in Program 101 and 151 for the Library)
#785000 - Other Expenses (includes all 785XXX through 789XXX accounts)
 
If any other budget pool/account is required, such as 733000 Utilities or individualized revenue accounts, insert in like manner on the spreadsheet.
 
The total of all budgeted expenditure account amounts must be listed in an email memorandum. If budgeted revenue account amounts are used, this total must also be included in the same email.
 
==== Additional Funding ====
If the Chancellor, any vice chancellor or and dean decides to transfer budgeted funding from their area to any of their reporting areas (as long as funds remain in the exact, same program (ie. 101 to 101 or 152 to 152) they make make the change by one of the following methods: (1) email to the university Budget Office (Betsy Payne [email protected]) in memornadum format, use the Budget Allocation Form, the Budget Adjustment Form or a form of their own design. A copy of the Budget Allocation Form can be obtained by contacting the university Budget Office or on-line at ASU Electronic Forms - Vice Chancellor for Business Affairs.
 
==== For Institutional Trust Funds ====
Institutional Trust Fund areas will be notified by email memorandum in the spring of each fiscal year of a due date to complete a Budget Allocation Excel spreadsheet. Explicit written instructions will accompany the budget memorandum. The spreadsheet (identical to the Excel spreadsheet described in the State Fund procedure 1 with expenditure/revenue totals listed in a separate email memorandum) will be returned to the university Budget Office when completed. The budgets will be processed (WFUPLOADED) and posted into the accounting records on the Banner Finance System when the new fiscal year begins (shortly after July 1) of the new fiscal year.
 
=== Budget Adjustments/Revisions ===
 
==== Budget Adjustments (Transfers within 720000 through 785000 pools) ====
Adjustments to Departmental Budgets - Any changes to an individual department's budget in the 720000 through 785000 pools (with the exception of the 733000 and 756000 pools), after the base budget is recorded in the Banner Finance accounting records must be processed through the Banner Self-Service Budget Transfer module. Submission must be made by the responsible individual who has been granted fund-based security clearance through the University Controller's Office (see Procedure 3). All requests must be submitted in even dollar amounts. Budget adjustments required between departments (in the 720000 through 785000 budget pools, with the exception of the 733000 and 756000 pools) within the same program (i.e., 101 - 103, 110, 142, 151, 152, 160 or 170) can only be made by representatives of the Chancellor, Vice Chancellors, Deans, or University Budget Office.
 
When requesting budget adjustments, the following regulations are mandatory:
#Budget adjustments are restricted to budget pools: 720000, 731000, 732000, 734000, 740000, 750000, and 785000 for an individual department. Vice Chancellors and Deans may transfer between departments in the 720000 through 785000 pools but must remain within the same program. Vice Chancellors and Deans may submit transfers between departments via e-mail, a paper form of their choosing or the budget allocation Excel spreadsheet that is used for the original base budget distribution. If the Excel spreadsheet method is used, the spreadsheet must be e-mailed to the University Budget Office.
#Budget adjustments of this type are current year only and are considered temporary.
#In January of each year, departments are notified of the date(s) for final budget transfers to be submitted for the current fiscal year. Banner Self-Service budget transfers (budget pools 720000 through 785000 entries with exception of 733000 and 756000) are accepted until June 30.
#When an expenditure is authorized, it must be spent from an account that most closely describes its nature. Funds must be available within the proper budget pool before the entry can be processed through the Banner Finance Purchasing module. Banner Self-Service budget transfers are processed on-line and appear within approximately one and one-half minutes. Budget entries requested between departments are processed daily, except at the normal month-end close-out for reporting when there are no transactions processed in the current month. Posting in the subsequent month can occur on the first day of the month.
 
Departments are notified of over-expended or over-encumbered budget items on a monthly basis, after all University budgets are allocated for the year. Notification occurs via an Over Budget Report posted in e-print by the University Budget Office. The report name is fzrabudget-notice. The University Budget Office sends an e-mail memorandum alerting departments when the report is ready to access and requests that budget adjustment be processed to rectify the overages. The report may be viewed by any individual within a department that has secure Banner Finance System access. Department's memoranda are disbursed to assist the department in maintaining positive budget balance available amounts, to warn of unexpected charges, to expose errors that should be brought to the attention of appropriate personnel for correction and to properly align budgets for reporting purposes.
 
==== Budget Revisions-Flexibility ====
All requests for flexibility budget revision, as defined below, must be submitted in even dollar amounts on the Request for Budget Revision Form developed and available through the University Budget Office or access ASU Electronic Forms located under Vice Chancellor for Business Affairs. The electronic form can be completed, printed, and then sent to the Chancellor or appropriate Vice Chancellor for approval. The revision may be submitted for the current fiscal year only or for both current year and permanent revision. The form is self-explanatory and requires all appropriate blanks to be completed. The justification of request must include: 1) a complete explanation of the desired revision as it relates to the enhancement of the mission of the University; 2) specific assessment measures to be employed; 3) impact of action on future budgets; 4) position number, title, classification, grade, full-time equivalency (FTE), dollar amount of position originally budgeted (if revision applicable to a position); and 5) the required approved signatures for applicable area. When approved by the appropriate Vice Chancellor of the requesting area, the form will be forwarded to the Budget Office for approval and entry into the Banner Finance System. The Budget Office will enter this flexibility revision into the State Budget Revision System via telnet through the State Information Processing System (SIPS) in Raleigh.
 
The following regulations are mandatory when requesting flexibility budget revisions:
#Funds budgeted to any 61XXXX account class (labor/personnel compensation) can be transferred between any 61XXXX minor account class or to/from any of the aforementioned budget pools via Flexibility Budget Revision. For example: (a) Funds budgeted to 614110 (Non-Student Temporary Wage) can be transferred to budget pool 619000 (Contracted Services) or account 614510 (Student Temporary Wage) funds can be transferred to 720000 budget pool (Supplies and Materials); (b) Funds budgeted to 750000 pool (Capital Outlay) may be transferred to budget pool 619000.
#Funds may be transferred between programs, with the exception of the following programs: 102 (Summer Term Instruction) and 103 (Non-Credit Extension Instruction). An example of an allowable transfer would be program 101 funds for instructional departments may be transferred to the Dean's office(s) funds found in program 152.
#Revisions involving accounts 6111X0, 6121X0 or 6131X0 must include position number, title, classification, grade, FTE, and annual salary of the position.
#Revisions must be submitted on the Request for Budget Revision Form with the appropriate approval signatures displayed.
#Departments are notified of the final date for budget revisions to be submitted for the current fiscal year.
These changes may be either for current fiscal year only (temporary revision) or a permanent revision (becomes a component of the Continuation Budget); these revisions are processed upon request.
 
==== Receipt-Support within State Appropriated Funds-Budget Revisions ====
 
Departments which are supported by State Appropriation that gain any portion of receipt-support must submit a Request for Budget Revision to utilize the excess receipts. The revision must be submitted in even dollar amounts on the request for Budget Revision Form developed by the Budget Office (see Accounting, Appendix Statement 2). The request should be completed to show whether the revision is for the current year (temporary) or permanently (receipts will be collected indefinitely). The form must include: the required approval signatures, a complete justification of the desired revision, how the receipts were acquired, and exactly how the funds are to be expended if the revision is approved. If establishment of a receipt-supported position is requested, the following information is required: position number, title, classification, grade, full time equivalency (FTE), and annual salary of the position. When approved by the Chancellor/Vice Chancellor of requesting area, the form will be forwarded to the University Budget Office. The University Budget Office will submit the budget revision to the Office of State Budget and Management in Raleigh for approval. The revision will be entered into the State Budget Revision System via telnet through the State Information Processing System (SIPS) in Raleigh. If approval is granted by The Office of State Budget and Management, the University Budget Office will process the entry into the Financial Records System.
 
'''Example: (a)''' A seminar that will be attended by paying participants with monies deposited to a revenue account (revenue accounts begin with either five-zero (50xxxx) or eight-zero (80xxxx)).
 
Prepare a Request for Budget Revision Form to increase the appropriate revenue account (50xxxx) budget and increase the appropriate expenditure account budget pool (example: 734000 to cover the expense of printing materials for seminar).
 
'''Example: (b)''' Collections for copier charges
 
Prepare a Request for Budget Revision Form to increase the revenue account (50xxxx) budget and increase the appropriate expenditure account budget pool (example: 720000 to cover expense of supplies for copier).
 
The following regulations are mandatory when requesting budget revisions involving receipts for approval by the Office of State Budget and Management in Raleigh:
#Sufficient receipts to cover the amount of the requested increase must be deposited to the proper revenue object within the requesting department's account.
#Budget revisions must be submitted on the Request for Budget Revision Form with the appropriate approval signature(s). The Budget Revision form can be accessed on the web under Electronic forms.
#In January of each year, all departments are notified of the date for final budget revisions to be submitted for the current fiscal year.
The revision may be either for current fiscal year only (temporary) or permanent (becomes a component of the Continuation Budget); these revisions are processed upon request.
 
=== Budget Revisions - Approval ===
'''Procedure Description''' - All programs and departments supported by appropriated State funds requiring budget adjustments as described in Policy Statements area: Budget Adjustment/Revisions; specifically, Budget Revisions-Flexibility, and Receipt-Support within State Appropriated Funds-Budget Revisions, must complete and submit the Request for Budget Revision Form.
 
'''Procedure''' - When budget revisions of any type are required, these general steps are to be followed:
Obtain Request for Budget Revision Form from the University Budget Office or access ASU Electronic Forms on the Web.
Complete a Request for Budget Revision Form
'''Department Name and Phone Number''': Department issuing request and telephone number of requestor.
 
'''Prepared By and Date''': Person preparing request and the current date.
 
'''Building Name and Room Number''': Requesting program area/department's building name and room number.
 
'''Department Index and Account Numbers''': 1XXXXX-XXXXXX Complete Index number(s) (which is the same as the Fund number) and account/budget pool number(s).
 
'''Or: + or -: Plus (+) is equal to an increase in an expenditure and revenue budget and minus (-) is equal to a decrease in an expenditure and revenue budget.'''
 
Current Fiscal Year Amount: '''Even-dollar budget amount for entry to be recorded in current fiscal year only.'''
 
Permanent Revision Amount: '''Even-dollar budget amount for entry to be recorded in all succeeding fiscal years.'''
 
'''Revision can be submitted for both current year and permanently with dollar amount exactly the same for both or can be different amounts. (ie. a new position established at January 1 of current fiscal year woudl require a six month's salary amount and permanent would require the full 12 month's salary amount required.)'''
 
Justification for Request: '''A complete explanation including a description of how the mission of the University will be enhanced by the requested budget action, specific assessment measures to be employed, and the impact of this action on future budgets. Transfers involving objects 6111XXX, 6121XX and 6131XX must include the position number, title, classification, grade, FTE, and dollar amount.'''
 
Approval Section**: Signatures with the date of signature of the following: Department Head, Dean, and the Vice Chancellor. The Vice Chancellor's Office will submit to the University Budget Office if approved, and the Budget Director will verify completeness, sign the form and process it for entry into the Banner Finance System.
 
[http://controller.appstate.edu/forms Budget Adjustment Form and Request for Budget Revision Form]
 
=== Online Budget Transfers ===
Online Budget Transfers allow authorized personnel to enter budget transfers and receive approval by the Budget Office and Special Funds Accounting in a timely manner. This online service replaces the Electronic Funds Transfer system, which required overnight processing.
 
If the person authorized to process budget entries for a department changes, the administratively responsible department head should e-mail the name and the FRS operator number of the previous employee, and the new employee to Libby Clawson in the Controller's Office ([email protected]). This action should occur as soon as possible to avoid budget transfer delays.
 
==== To Begin the Online Budget Process:====
 
Sign on to FRS using your System Number, Operator Number and Password.
 
To access the system titled: '''FA REVIEWABLE SESSION CONTROL'''
 
When prompted for '''Screen: type 0R1 - PRESS THE ENTER KEY ONCE (Note: This is "numeric zero, alpha R, numeric one" not "alpha O, alpha R, alpha 1" '''
 
'''CAUTION!!!! DO NOT PRESS THE ENTER KEY AGAIN UNTIL YOU HAVE REACHED THE BOTTOM OF SCREEN 0R1 AND ALL DATA HAS BEEN COMPLETED.'''
 
'''Open a Reviewable Session - PRESS THE TAB KEY TWICE''' and type in the appropriate answer as follows:


Associate Dean for Research & Graduate Studies


{| border="1"
John E. Thomas Academic Support Services Building
|'''Action:'''
|O Open (alpha character)
|-
|-
|'''Session Reference:'''
|Financial Records
|"BXXX01"
|Director, Office of Student Accounts
Session Reference should consist of four (4) alpha characters and two digits. The four alpha characters should be "B" followed by the three characters assigned by Purchasing for online requisitioning which is an abbreviation-acronym for the department. The two digits should be consecutive numbers beginning with 01 and increasing by one every time you open a new session each day. I.e., BBUD01, BBUD02, BBUD03 would be the first three sessions opened for the Budget Office for a particular day. (If you do not know or have not been assigned an abbreviation for your department, please contact the Purchasing department at extension 4027).
John E. Thomas Academic Support Services Building
|-
|-
|'''Session Date:'''
|Placement Records
|'''"MMDDYYYY"''' The system will default to today's calendar date. You may '''PRESS THE TAB KEY''' at this point or manually type in the date.
|Director, Career Development Center
John E. Thomas Academic Support Services Building
|-
|Academic Progress Records
|Maintained by the Dean of the College/School and the chairperson of the academic department in which the student has formally declared his or her major. If the student has not declared a major, these records are maintained by the Director, Office of General Studies, D. D. Dougherty Building
|-
|-
|'''Description:'''
|Disciplinary Records
|'''"DEPARTMENT NAME"''' Enter your department's name "Budget Office", "Physical Plant" or "Equity Office" etc. - '''PRESS THE TAB KEY ONCE'''
|Director, Office of Student Conduct
Plemmons Student Union
|-
|-
|'''Bank Number:'''
|Financial Aid Records
|Defaults to "30"
|Director, Office of Student Financial Aid
John E. Thomas Academic Support Services Building
|-
|-
|'''Fiscal Year:'''
|Campus Housing Records
|Defaults to Current Fiscal Year
|Director, Office of Residence Life
John E. Thomas Academic Support Services Building
|-
|-
|'''Campus Code:'''
|Extra-Curricular Records
|Defaults to "01"
|Director, Center for Student Involvement and Leadership
Plemmons Student Union
|-
|-
|'''Validate:'''
|Records of Students as Athletes
|Defaults to "F"
|Director, Office of Athletic Media Relations
|-
Athletics Center
|'''Approval ID:'''
|0100 or 0102 - '''PRESS THE ENTER KEY'''
'''(You must always use 0100 if approved by the Budget Office (Betsy Payne's area) or 0102 if approved by Special Funds Accounting (Beverly Christian's area) as the Approval ID number.)'''
If Approval ID is not entered, the transaction will not route to the Budget Office or Special Funds Accounting for final approval and posting. '''Caution:''' If you do not include the Approval ID number before pressing the ENTER key, the system will not allow you to return to this field and enter the ID Number. If you do so, you must first Close the Session and then Delete it and start over.
'''Additionally:''' Even though the cursor returns to Screen: after you have typed in the appropriate Approval ID '''YOU MUST PRESS THE ENTER KEY BEFORE PROCEEDING ON TO THE NEXT SCREEN.'''
Cursor returns to '''SCREEN: type "OLB" ''' (Online Budget) -''' PRESS THE ENTER KEY.'''
|}
|}
PRESS THE TAB KEY TWICE


{| border="1"
=== Disclosure of Education Records ===
|'''Account Number:'''
4.7.1 Appalachian State University will disclose information from a student's education records only with the explicit written consent of the student, except that records may be disclosed without such consent when the disclosure is:
|'''"1999995000"'''
#To Appalachian State University officials who have a legitimate educational interest in the records.
This is your six digit SL number followed by the budget pool you wish to '''INCREASE'''. As with the Electronic Forms System, '''you may only process transactions using budget pools - 2000, 3000, 3100, 3200, 4000, or 5000.'''
#To officials of another educational institution in which the student seeks admission or intends to enroll, upon request by that institution.
|-
#To certain officials of the U. S. Department of Education, the Comptroller General, and state and local educational authorities, in connection with an audit or evaluation of certain state or federally supported education programs, or for compliance with the legal requirements of such programs.
|'''Trans Code Digit 3:'''
#In connection with a student's request for or receipt of financial aid -- i.e., in order to determine the eligibility, amount, or conditions of the financial aid, or to enforce the terms and conditions of the aid.
|Defaults to "2"
#To State and local officials or authorities if specifically required by a North Carolina law in effect on or before November 19, 1974.
|-
#To organizations conducting certain studies for, or on behalf of, educational institutions (under conditions set forth in 34 C.F.R. 99.31[6]).
|'''Reference Number 1:'''
#To accrediting organizations for the purpose of enabling them to carry out their functions.
|'''Z"654321" '''
#To the parents of a student when the parents claim the student as a dependent for federal income tax purposes.
"Z" will automatically default. You must enter six additional digits with meaning to your department (may be numeric or alpha).
#To comply with a judicial order or a lawfully issued subpoena.
|-
#To appropriate parties when necessary to protect the health or safety of the student or other individuals.
|'''Trans Date:'''
#To individuals or organizations requesting FERPA Directory Information so designated by Appalachian State University.
|''' "MMDD" '''
#The result of a disciplinary proceeding conducted by Appalachian State University against an alleged perpetrator of a "crime of violence" (as that term is defined in 34 CFR Part 99) with respect to that crime of violence.
You may manually enter today's calendar date or PRESS THE TAB KEY to the next field and the system will assign today's date.
#To an individual or organization requesting information about a deceased student. (Note: Under common law, the privacy rights of an individual cease with the death of that individual.)
|-
 
|'''Description:'''
4.7.2 An Appalachian State University official is:
|''' "Transfer Funds" '''
#A person employed by the University in an administrative, supervisory, academic, research or support staff position, including health and medical staff.
Enter a brief description of the transaction such as "Budget Transfer" or "Transfer Funds", etc. PRESS THE TAB KEY ONCE
#A person employed by or under contract to Appalachian State University to perform a special task such as an attorney or auditor.
|-
#A student or other volunteer serving on an official committee, such as a disciplinary or grievance committee, or who is assisting another school official in performing employment tasks.
|'''Amount:'''
#A person who is employed by Appalachian State University's Office of Public Safety/University Police.
|''' "0000" '''
#A member of the Appalachian State University Board of Trustees, acting in his or her official capacity.
Amount you wish to '''INCREASE''' the above budget pool in whole dollars (do not enter the decimal). i.e. 1000=$1,000.00. '''PRESS THE TAB KEY ONCE'''
#A representative of the General Administration of the University of North Carolina, acting in his or her official capacity.
|-
#A member of the Board of Governors of the University of North Carolina, acting in his or her official capacity.
|'''Debit/Credit: (D/C)'''
#A person or entity with a capability needed but not possessed by the University or its contractors and employed by such contractors with the consent of the University or otherwise authorized to perform a specific task involving University records or operations.
|'''No response required.'''
 
|-
4.7.3 An Appalachian State University official has a legitimate educational interest if that official is:
|'''Reference Number 2:'''
#Performing a task that is specified in his or her position description or contract agreement.
|''' "AA11BB?" '''
#Performing a task related to a student's education.
Any entry desired (may be numeric or alpha). Does not require entry - may be left blank. PRESS THE TAB KEY ONCE
#Performing a task related to the discipline of a student.
|-
#Providing a service or benefit relating to the student or student's family, including, but not limited to, healthcare, counseling, job placement, or financial aid.
|'''Credit Acct. Number:'''
#Maintaining the safety and security of the campus.
|''' "1999993000" '''
 
This is your six digit SL number (must be the same as SL number used above) followed by the budget pool you wish to DECREASE. The budget pool entered here must have the amount of money specified above as a "Budget Balance Available" (BBA) in order to complete the transaction. (Please be aware if you enter a second revision decreasing the same budget pool as the first revision before the first has been approved and processed through the Budget Office, The BBA will not have been updated to show the decrease.)
=== Record of Requests for Disclosure ===
|-
4.8.1 With the exceptions of (1) a request from a University official deemed to have a legitimate educational interest, and (2) a request for "Directory Information," Appalachian State University will maintain as part of the education record all written requests for and/or disclosures of information from a student's education records. This record will indicate the name of the party making the request, any additional party to whom it may be re-disclosed, and the legitimate interest each party had in requesting or obtaining the information. (NOTE: With the exception of "Directory Information," any personal information from education records will be disclosed only on the condition that the recipient will not permit access to such information by a third party without the written permission of the student.)
|'''ID Number:'''
|Enter any response desired for your information - may be left blank. '''PRESS THE TAB KEY ONCE'''
|-
|'''Reference Number 3:'''
|Will always be left blank. '''PRESS THE ENTER KEY ONCE.'''
|}
If other budget transfers are desired, you may continue on the same screen even if you will be making transactions through another account number; '''unless you are changing from State Funds to Special Funds, or vice versa, at which point you will need to open a new session.''' If no further revisions are necessary, proceed as follows:


{| border="1"
=== FERPA Directory Information ===
|'''Screen:'''
4.9.1 Appalachian State University designates the following student information as public or “Directory Information,” which may be disclosed by the institution for any purpose, without the student’s written consent.
|'''Type 0R2 PRESS THE ENTER KEY ONCE'''
#Student name
|}
#Academic classification (i.e., senior, junior, sophomore, freshman)
#Enrollment status (i.e., part-time or full-time)
At this screen you will be able to review your session entries. It is recommended that you print this screen for your records. If you find there are mistakes you '''CANNOT''' adjust an entry but you can return to '''Screen OLB''' to add another transaction to correct the data or return to '''Screen 0R1''' to first Close and then Delete it.
#Field(s) of study
#Dates of attendance
#Degrees, honors and awards received
#Participation in officially recognized activities and sports
#Weight, height, athletic statistics and photographic representation of members of athletic teams


After review, if your Session is correct and complete, when prompted for
4.9.2 The University will disclose any of these items without prior consent, unless instructed by the student in writing to the contrary. For "Directory Information" to be withheld, the student must submit a written request to the Registrar's Office.


{| border="1"
4.9.3 University affiliated organizations and non-university affiliated organizations or individuals may request directory information from the Office of the Registrar.  As the designated data custodian of student information for the University, the Office of the Registrar is the only unit authorized to release directory information to third parties.  Third party data requests must be submitted in writing and requests are tracked.  All communications transmitting data to third parties must include the following responsibility statement:
|'''Screen:'''
|'''Type 0R1 PRESS THE ENTER KEY ONCE PRESS THE TAB KEY TWICE'''
|-
|'''Action:'''
|''' "C" Close PRESS THE ENTER KEY ONCE'''
|}


The Budget Office or Special Funds Accounting will need to review your session data, approve and process it in order for your transactions to be posted to FRS. The Budget Office and Special Funds Accounting personnel will periodically, throughout each day, review and approve your sessions. If it is necessary that your session be posted immediately, please call the Budget Office at extension 6751 or Special Funds Accounting at extension 6419, whichever is applicable, to have it reviewed and processed.
''Appalachian State University E-mail Facilities are reserved for University-related educational, research and administrative purposes.  Commercial use of the University’s computing network is prohibited.  Any use of University E-mail Facilities that interferes with University activities and functions, or is inconsistent with the mission of the University, is improper and may result in legal action and liability.  This information is provided to you in accordance with the University’s obligations under North Carolina law and for the one-time request only.  Fulfillment of your request does not constitute endorsement of your organization, product(s) or service(s), and does not constitute permission to use the University’s computing and communications networks. Any false claim (expressed or implied) concerning Appalachian State University is expressly forbidden.  Misrepresentation of the University with your organization, product(s) or service(s) (e.g., unauthorized use of Appalachian State University’s name, seal, logo or other indicia) may result in legal action and liability.''


Once approved and processed by the Budget Office or Special Funds Accounting, the data may then be viewed on FRS Screen 023 as a transaction and on Screen 019 as a revised balance.
=== Procedure for the Correction of Education Records ===


'''NOTE''': Departments should be aware that budget revisions entered on the first three (3) to four (4) calendar days of the month will not be approved or processed until FRS is operating in the new month.
4.10.1 If a student believes that the education record is inaccurate, misleading, or otherwise in violation of his or her privacy rights, the student has the right to request that the record be corrected. Procedures for the correction of an education record at Appalachian State University are a follows:
#A student must contact the Registrar's Office, in writing, asking that a record be amended. In so doing, the student should clearly identify the part of the record to be amended and specify why the student believes it to be inaccurate, misleading, or otherwise in violation of the student's rights.
#The University, represented by the Registrar's Office and, if applicable, in consultation with the office that maintains the record in question, will decide either to comply or to not comply. If the University decides to comply, it will amend the record and notify the student, in writing, that the record has been amended. If the University decides to not comply, it will notify the student of the decision and advise the student of his or her right to a hearing to challenge the information believed to be inaccurate, misleading, or otherwise in violation of the student's rights.
#Upon receiving the student's written request, the University will arrange for a hearing and notify the student, in sufficient time, of the date, place, and time of the hearing.
#The hearing will be conducted by a hearing officer who is a disinterested party; the hearing officer may, however, be an official of the University. The student shall be afforded a full and fair opportunity to present evidence relevant to the issues raised in the original request to amend the student's education record. Present at the hearing will be the hearing officer, the student, a representative of the Registrar's Office and , if applicable, a representative of the University office in which the education record is maintained. The student may be assisted by one or more individuals, including (at the student's expense) an attorney.
#The hearing officer will prepare a written report which will include a recommendation to either comply or to not comply with the student's request. The report and recommendation will be based solely on the evidence presented at the hearing. The report will include a summary of the evidence presented and the reasons for the recommendation. The report will be transmitted to the Registrar's Office within ten (10) days of the hearing.
#If the recommendation of the hearing officer is to comply with the student's request, i.e., the report finds that the education record is inaccurate, misleading, or otherwise in violation of the student's right, the University will amend the record and notify the student, in writing, that the record has been amended.
#If the recommendation of the hearing officer is to not comply with the student's request, i.e., the report finds that the challenged information is not inaccurate, misleading, or otherwise in violation of the student's rights, the University will, in writing, so notify the student and inform the student that he or she has the 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 student's statement will be maintained as part of his or her education record as long as the contested portion is maintained. If the University discloses the contested portion of the record, it will also disclose the student's statement.


{| border="1"
=== Procedure for Filing an Official Complaint ===
|'''SCREEN OR1 ACTIONS:'''
4.11.1 If the student believes that Appalachian State University is in error in its interpretation of FERPA, he or she may file a complaint with:
|'''O''' = Open Session
:The Family Policy Compliance Office
|-
:U. S. Department of Education
|
:600 Independence Avenue, SW
|'''C''' = Close Session
:Washington, DC 20202-4605
|-
:Telephone Number: (202) 260-3887
|
:FAX: (202) 260-9001
|'''A''' = Approve (Used by the Budget Office and Special Funds Accounting only)
|-
|
|'''P''' = Process (Used by the Budget Office and Special Funds Accounting only)
|-
|
|'''R''' = Reopen a Session for additional entries ONLY if Session has NOT been Approved and Processed by the Budget Office.
|-
|
|'''D''' = Delete Session (Session must first be Closed before the Delete option will work).
|}


== Additional References ==
== Additional References ==


== Authority ==
== Authority ==
 
:[http://www.ed.gov/policy/gen/guid/fpco/ferpa/index.html The Family Educational Rights and Privacy Act of 1974, 20 U.S.C. § 1232g]
:[https://www2.ed.gov/policy/gen/reg/ferpa/index.html FERPA Regulations]
:[https://www.ncga.state.nc.us/EnactedLegislation/Statutes/PDF/BySection/Chapter_132/GS_132-1.pdf N.C. Gen. Stat.§ 132-1, et seq.]


== Contact Information ==
== Contact Information ==
:Debbie Race, [http://registrar.appstate.edu/ University Registrar],[email protected]. 828-262-2050


 
== Original Effective Date ==
== Effective Date ==
:April 24, 1996


== Revision Dates ==
== Revision Dates ==
:August 23, 1996
:March 22, 2000
:June 4, 2012
:June 1, 2013
:August 19, 2021
[[Category:Contents]]
[[Category:Governance and Administration]]
[[Category:Records]]

Revision as of 19:08, 19 August 2021

Policy 105.3

Introduction

1.1 Appalachian State University endorses and seeks to comply with all provisions of the "Family Educational Rights and Privacy Act of 1974," as amended, (“FERPA”) and all pertinent regulations. The purpose of this legislation was and is to afford students certain rights with regard to their respective education records. In essence, these rights are: (1) the right to inspect and review education records, (2) the opportunity to challenge the contents of education records, and (3) the right to exercise some control over the disclosure of information from education records. The intent of this policy statement is to explain, in detail, the conditions and procedures under which the University will implement the law.

Scope

2.1 This policy applies to all students of Appalachian State University and all employees, volunteers and contractors who have access to education records.

Definitions

Education Records

Any record (in handwriting, print, tapes, film, computer, or other medium) maintained by Appalachian State University and which personally identifies a student, except :
  1. A personal record kept by a University employee if it is kept in the sole possession of the maker of the record and is not accessible by or revealed to any other person except a temporary substitute for the maker of the record.
  2. Records created and maintained by Appalachian State University's Office of Public Safety/University Police solely for law enforcement purposes.
  3. An employment record of an individual whose employment is not contingent upon the fact that he or she is a student, provided that the record is used only in relation to the individual's employment.
  4. Records made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional when that person is acting in his or her professional or paraprofessional capacity, and if the records are used solely for treatment of the student and made available only to those persons providing the treatment.
  5. Records which contain information about a student after he or she is no longer in attendance at Appalachian State University and which do not relate to the person as a student.

FERPA

Family Educational Rights and Privacy Act of 1974, also known as the Buckley Amendment

FERPA Directory Information or Directory Information

Information contained in an education record of a student that generally would not be considered harmful or an invasion of privacy if disclosed, and designated in section 4.9 of this policy. Although any information included in the online directory must be part of the FERPA Directory Information, not all FERPA Directory Information is published in the online directory.

Student

Any person who as an undergraduate or graduate student (1) is currently attending the University, or (2) has attended the University. (An exception: under common law, the privacy rights of an individual cease with the death of that individual.)

University E-mail Facilities

University E-mail Facilities include all facilities, technologies, information resources, and computing and electronic communication devices, hardware, software, and services required to accomplish the processing, storage, transmission, and communication of electronic mail, whether individually controlled or shared, stand-alone, or networked.

Policy and Procedure Statements

Notification of Student Rights Under FERPA

4.1.1 Students at Appalachian State University are notified of their FERPA rights, as follows:

  1. An abstract of the student's rights under FERPA is found in Appalachian State University's General Bulletin and Graduate Bulletin.
  2. An abstract of the student's rights under FERPA is found in the Schedule of Classes published by Appalachian State University and distributed prior to and during each academic term. (This notice shall include statements required under U. S. Department of Education regulations found at 34 C.F.R. 99.7.)
  3. An abstract of the student's rights under FERPA is found in The Appalachian State University Student Handbook of Rights and Responsibilities (revised and published annually).
  4. A notice regarding FERPA Directory Information is included in the Academic Bulletin.
  5. A complete statement of the University policy regarding FERPA may be obtained from the Registrar's Office.

Procedure for the Inspection of Education Records

4.2.1 The Registrar's Office is designated by the University as the official custodian of education records.

4.2.2 A student should submit to the Registrar's Office a written request which identifies as precisely as possible the record or records he or she wishes to inspect.

4.2.3 The Registrar's Office will make the necessary arrangements for access and notify the student of the time and place where the records may be inspected. Access will be given in forty-five (45) days or less from the date of the request.

4.2.4 When a record contains information about more than one student, the student may inspect and review only that portion of the record which pertains directly to him or her.

Limitations on the Student's Right of Access

4.3.1 Appalachian State University will refuse access by the student to the following education records:

  1. A financial record submitted by the student's parents.
  2. Letters and statements of recommendation for which the student has waived his or her right of access (when used only for their intended purpose), or which were maintained before January 1, 1975.
  3. Records connected with an application to attend Appalachian State University if that application was denied.
  4. Those records which are excluded from the FERPA definition of education records.

Refusal to Provide Copies of Education Records

4.4.1 Appalachian State University may decline a student's request for a copy of his or her education records if the student has an unpaid financial obligation to the University. (Note: It is not the intent of this policy to deny the student access to his or her education records--the right to inspect and review education records is mandated by FERPA unconditionally. It is merely a statement of the condition under which the University will not provide a copy of the student's education records.)

Fees Charged for the Copying of Records

4.5.1 With the exception of an official academic transcript, Appalachian State University does not charge a fee for a copy of an education record. The charge for an official academic transcript is subject to change, and is governed by the schedule of fees in effect at the time of the request.

Types and Locations of Education Records

4.6.1 As previously noted, the Registrar's Office is designated as the official custodian of education records at Appalachian State University. All requests for inspection and review of education records, regardless of the nature of the record (i.e., academic, financial, etc.), should be directed to the Registrar's Office. Though not inclusive, the following list contains the primary categories of education records and their locations:

Types Responsible Officials/Locations
Admissions Records University Registrar

John E. Thomas Academic Support Services Building

Associate Dean for Research & Graduate Studies

John E. Thomas Academic Support Services Building

Academic Records University Registrar

John E. Thomas Academic Support Services Building

Associate Dean for Research & Graduate Studies

John E. Thomas Academic Support Services Building

Financial Records Director, Office of Student Accounts

John E. Thomas Academic Support Services Building

Placement Records Director, Career Development Center

John E. Thomas Academic Support Services Building

Academic Progress Records Maintained by the Dean of the College/School and the chairperson of the academic department in which the student has formally declared his or her major. If the student has not declared a major, these records are maintained by the Director, Office of General Studies, D. D. Dougherty Building
Disciplinary Records Director, Office of Student Conduct

Plemmons Student Union

Financial Aid Records Director, Office of Student Financial Aid

John E. Thomas Academic Support Services Building

Campus Housing Records Director, Office of Residence Life

John E. Thomas Academic Support Services Building

Extra-Curricular Records Director, Center for Student Involvement and Leadership

Plemmons Student Union

Records of Students as Athletes Director, Office of Athletic Media Relations

Athletics Center

Disclosure of Education Records

4.7.1 Appalachian State University will disclose information from a student's education records only with the explicit written consent of the student, except that records may be disclosed without such consent when the disclosure is:

  1. To Appalachian State University officials who have a legitimate educational interest in the records.
  2. To officials of another educational institution in which the student seeks admission or intends to enroll, upon request by that institution.
  3. To certain officials of the U. S. Department of Education, the Comptroller General, and state and local educational authorities, in connection with an audit or evaluation of certain state or federally supported education programs, or for compliance with the legal requirements of such programs.
  4. In connection with a student's request for or receipt of financial aid -- i.e., in order to determine the eligibility, amount, or conditions of the financial aid, or to enforce the terms and conditions of the aid.
  5. To State and local officials or authorities if specifically required by a North Carolina law in effect on or before November 19, 1974.
  6. To organizations conducting certain studies for, or on behalf of, educational institutions (under conditions set forth in 34 C.F.R. 99.31[6]).
  7. To accrediting organizations for the purpose of enabling them to carry out their functions.
  8. To the parents of a student when the parents claim the student as a dependent for federal income tax purposes.
  9. To comply with a judicial order or a lawfully issued subpoena.
  10. To appropriate parties when necessary to protect the health or safety of the student or other individuals.
  11. To individuals or organizations requesting FERPA Directory Information so designated by Appalachian State University.
  12. The result of a disciplinary proceeding conducted by Appalachian State University against an alleged perpetrator of a "crime of violence" (as that term is defined in 34 CFR Part 99) with respect to that crime of violence.
  13. To an individual or organization requesting information about a deceased student. (Note: Under common law, the privacy rights of an individual cease with the death of that individual.)

4.7.2 An Appalachian State University official is:

  1. A person employed by the University in an administrative, supervisory, academic, research or support staff position, including health and medical staff.
  2. A person employed by or under contract to Appalachian State University to perform a special task such as an attorney or auditor.
  3. A student or other volunteer serving on an official committee, such as a disciplinary or grievance committee, or who is assisting another school official in performing employment tasks.
  4. A person who is employed by Appalachian State University's Office of Public Safety/University Police.
  5. A member of the Appalachian State University Board of Trustees, acting in his or her official capacity.
  6. A representative of the General Administration of the University of North Carolina, acting in his or her official capacity.
  7. A member of the Board of Governors of the University of North Carolina, acting in his or her official capacity.
  8. A person or entity with a capability needed but not possessed by the University or its contractors and employed by such contractors with the consent of the University or otherwise authorized to perform a specific task involving University records or operations.

4.7.3 An Appalachian State University official has a legitimate educational interest if that official is:

  1. Performing a task that is specified in his or her position description or contract agreement.
  2. Performing a task related to a student's education.
  3. Performing a task related to the discipline of a student.
  4. Providing a service or benefit relating to the student or student's family, including, but not limited to, healthcare, counseling, job placement, or financial aid.
  5. Maintaining the safety and security of the campus.

Record of Requests for Disclosure

4.8.1 With the exceptions of (1) a request from a University official deemed to have a legitimate educational interest, and (2) a request for "Directory Information," Appalachian State University will maintain as part of the education record all written requests for and/or disclosures of information from a student's education records. This record will indicate the name of the party making the request, any additional party to whom it may be re-disclosed, and the legitimate interest each party had in requesting or obtaining the information. (NOTE: With the exception of "Directory Information," any personal information from education records will be disclosed only on the condition that the recipient will not permit access to such information by a third party without the written permission of the student.)

FERPA Directory Information

4.9.1 Appalachian State University designates the following student information as public or “Directory Information,” which may be disclosed by the institution for any purpose, without the student’s written consent.

  1. Student name
  2. Academic classification (i.e., senior, junior, sophomore, freshman)
  3. Enrollment status (i.e., part-time or full-time)
  4. Field(s) of study
  5. Dates of attendance
  6. Degrees, honors and awards received
  7. Participation in officially recognized activities and sports
  8. Weight, height, athletic statistics and photographic representation of members of athletic teams

4.9.2 The University will disclose any of these items without prior consent, unless instructed by the student in writing to the contrary. For "Directory Information" to be withheld, the student must submit a written request to the Registrar's Office.

4.9.3 University affiliated organizations and non-university affiliated organizations or individuals may request directory information from the Office of the Registrar. As the designated data custodian of student information for the University, the Office of the Registrar is the only unit authorized to release directory information to third parties. Third party data requests must be submitted in writing and requests are tracked. All communications transmitting data to third parties must include the following responsibility statement:

Appalachian State University E-mail Facilities are reserved for University-related educational, research and administrative purposes. Commercial use of the University’s computing network is prohibited. Any use of University E-mail Facilities that interferes with University activities and functions, or is inconsistent with the mission of the University, is improper and may result in legal action and liability. This information is provided to you in accordance with the University’s obligations under North Carolina law and for the one-time request only. Fulfillment of your request does not constitute endorsement of your organization, product(s) or service(s), and does not constitute permission to use the University’s computing and communications networks. Any false claim (expressed or implied) concerning Appalachian State University is expressly forbidden. Misrepresentation of the University with your organization, product(s) or service(s) (e.g., unauthorized use of Appalachian State University’s name, seal, logo or other indicia) may result in legal action and liability.

Procedure for the Correction of Education Records

4.10.1 If a student believes that the education record is inaccurate, misleading, or otherwise in violation of his or her privacy rights, the student has the right to request that the record be corrected. Procedures for the correction of an education record at Appalachian State University are a follows:

  1. A student must contact the Registrar's Office, in writing, asking that a record be amended. In so doing, the student should clearly identify the part of the record to be amended and specify why the student believes it to be inaccurate, misleading, or otherwise in violation of the student's rights.
  2. The University, represented by the Registrar's Office and, if applicable, in consultation with the office that maintains the record in question, will decide either to comply or to not comply. If the University decides to comply, it will amend the record and notify the student, in writing, that the record has been amended. If the University decides to not comply, it will notify the student of the decision and advise the student of his or her right to a hearing to challenge the information believed to be inaccurate, misleading, or otherwise in violation of the student's rights.
  3. Upon receiving the student's written request, the University will arrange for a hearing and notify the student, in sufficient time, of the date, place, and time of the hearing.
  4. The hearing will be conducted by a hearing officer who is a disinterested party; the hearing officer may, however, be an official of the University. The student shall be afforded a full and fair opportunity to present evidence relevant to the issues raised in the original request to amend the student's education record. Present at the hearing will be the hearing officer, the student, a representative of the Registrar's Office and , if applicable, a representative of the University office in which the education record is maintained. The student may be assisted by one or more individuals, including (at the student's expense) an attorney.
  5. The hearing officer will prepare a written report which will include a recommendation to either comply or to not comply with the student's request. The report and recommendation will be based solely on the evidence presented at the hearing. The report will include a summary of the evidence presented and the reasons for the recommendation. The report will be transmitted to the Registrar's Office within ten (10) days of the hearing.
  6. If the recommendation of the hearing officer is to comply with the student's request, i.e., the report finds that the education record is inaccurate, misleading, or otherwise in violation of the student's right, the University will amend the record and notify the student, in writing, that the record has been amended.
  7. If the recommendation of the hearing officer is to not comply with the student's request, i.e., the report finds that the challenged information is not inaccurate, misleading, or otherwise in violation of the student's rights, the University will, in writing, so notify the student and inform the student that he or she has the 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.
  8. The student's statement will be maintained as part of his or her education record as long as the contested portion is maintained. If the University discloses the contested portion of the record, it will also disclose the student's statement.

Procedure for Filing an Official Complaint

4.11.1 If the student believes that Appalachian State University is in error in its interpretation of FERPA, he or she may file a complaint with:

The Family Policy Compliance Office
U. S. Department of Education
600 Independence Avenue, SW
Washington, DC 20202-4605
Telephone Number: (202) 260-3887
FAX: (202) 260-9001

Additional References

Authority

The Family Educational Rights and Privacy Act of 1974, 20 U.S.C. § 1232g
FERPA Regulations
N.C. Gen. Stat.§ 132-1, et seq.

Contact Information

Debbie Race, University Registrar,[email protected]. 828-262-2050

Original Effective Date

April 24, 1996

Revision Dates

August 23, 1996
March 22, 2000
June 4, 2012
June 1, 2013
August 19, 2021
Retrieved from "https://policy.appstate.edu/index.php?title=Budget_Administration&oldid=12501"