Appendix 3: Guidelines for Access to and Disclosure of EducationRecords Maintained by Midwestern University

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In accordance with the Family Education Rights and Privacy Act of 1974 (FERPA), the following represent guidelines for access to and disclosure of educational records maintained for students who are or have been in attendance at Midwestern University.

A. Definitions

As used herein:

  1. “University” means Midwestern University.
  2. “Directory information” as defined by FERPA, refers to "information contained in an education record that would not generally be considered harmful or an invasion of privacy if disclosed."
  3. “Education records” means those records that are directly related to a student and are maintained by the University, or by a party acting for the University, as a part of its official records of a student’s University work. The term does not include:
    1. Records of instructional, supervisory, and administrative personnel and educational personnel ancillary thereto, which are in the sole possession of the maker thereof and are not accessible or revealed to any other individual except a substitute (for the purpose of this definition, a “substitute” means an individual who performs on a temporary basis the duties of the individual who makes the record, and does not refer to an individual who permanently succeeds the maker of the record in their position);
    2. Records of a law enforcement unit of the University, which are maintained apart from education records solely for law enforcement purposes and are not disclosed to individuals other than law enforcement officials of the same jurisdiction;
    3. Records relating to an individual who is employed by the University, which are made and maintained in the normal course of business, relate exclusively to the individual in that individual’s capacity as an employee, and are not available for use for any other purpose (this subparagraph does not apply to records relating to any individual in attendance at the University who is employed as a result of their status as a student);
    4. Personal health records of a student, which are created or maintained by a professional acting in their professional capacity, used only in connection with the provision of treatment to a student, and not disclosed to anyone other than individuals providing the treatment (provided that the records can be personally reviewed by a physician or other appropriate professional of the student’s choice); and
    5. Alumni records compiled after graduation.
  4. “Personally identifiable information” means that the data or information includes
    1. The name of a student, the student’s parent, or other family member;
    2. The address of the student;
    3. A personal identifier, such as the student’s social security number or student ID number;
    4. A list of personal characteristics that would make the student’s identity easily traceable; or
    5. Other information that would make the student’s identity easily traceable.
  5. “Record” means any information or data recorded in any medium, including, but not limited to, handwriting, print, tapes, film, microfilm, and microfiche, emails, texts and other electronic means.
  6. “Student” means any person who has matriculated at the University and commenced classes, for whom the University maintains education records. The term does not include an individual who has applied for admission to but has not been in attendance at the University, nor does it include alumni status. “Student Status” terminates at the time a student ceases to attend classes and leaves the institution by graduating, withdrawing, or being dismissed. A "Student Status” is maintained during leaves of absence or suspensions.

B. Inspection and Review of Education Records

  1. Education Records maintained: The University shall maintain the following types of student records:
    1. Personally identifiable information that identifies each student enrolled in the University, such as full legal name, address, race, sex, date and place of birth, marriage status, name of spouse, name of parent or guardian.
    2. Descriptions of student academic status including grade level completed, grades, standardized test scores, and clinical evaluations of work competency and achievement.
    3. Scores on standardized intelligence and aptitude tests.
    4. Scores on standardized professional examination boards.
    5. Records of extracurricular activities.
    6. Health and immunization data.
    7. Criminal background checks
    8. Systematically gathered academic, clinical, and counseling ratings and observations that become part of the education record.
    9. Records relating to disciplinary actions/investigations.
  2. Retention and security of records:
    1. The University Registrar shall maintain relevant education records and any and all records maintained by University administration, with the exception of disciplinary, criminal records, and medical records, which shall be kept separately by the Dean of Students of the University.
    2. Security of all records shall be the responsibility of the Registrar, excepting those above-mentioned files kept by the Dean of Students for which they shall be responsible.
    3. With the exception of disciplinary records, which are permanently retained by the Dean of Students, all other education records are maintained in accordance with the University’s academic records retention policy.
    4. The Registrar and/or the Dean of Students may at any time deemed appropriate, review any and all records for which the individual official shall have responsibility. Such review shall be done to eliminate or amend those records that no longer have meaning in determining the educational accomplishments of the student or that may have been found to be inaccurate.
  3. Right to inspect and review education records:
    1. The University shall permit a student who is or has been in attendance at the institution to inspect and review their own education records. This right to inspect and review includes the right to a response from the University to reasonable requests for explanations and interpretations of the records.
    2. Students shall not be permitted to inspect and review the following records:
      1. Financial records and statements of their parents or any information contained therein.
      2. Confidential letters and confidential statements of recommendation that were placed in the education records of a student prior to January 1, 1975, provided that: (i) the letters and statements were solicited with a written assurance of confidentiality, or sent and retained with a documented understanding of confidentiality, and (ii) the letters and statements are used only for the purposes for which they were specifically intended.
      3. Confidential letters and confidential statements of recommendation placed in the education records of a student after January 1, 1975, respecting admission to the University, an application for employment, or the receipt of an honor or honorary recognition, provided that the student has waived in writing their right to inspect and review those letters and statements of recommendation. In the event of such a waiver: (i) the applicant or student shall be notified upon request of the names of all individuals providing the letters or statements; (ii) the letter or statements shall be used only for the purpose for which they were originally intended; and (iii) such waiver shall not be required by the University as a condition of admission to or receipt of any other service or benefit therefrom. Such a waiver may be revoked at any time with respect to any actions occurring after the revocation.
    3. The procedure for inspection and review of records shall be as follows:
      1. A student desiring to inspect and review their records shall submit a written request directly to the person in charge of the desired records.
      2. Such request must specify the records requested.
      3. A request to inspect the desired records will be granted within a reasonable period of time, not exceeding 45 days after the request has been made.
      4. The student will be notified in writing as to when and where they may inspect the requested records.
      5. Inspection of records will be made in front of the responsible administrator or designee.
      6. A notation will be placed in the file each time it is inspected, stating the date of inspection, person inspecting, and reason for the inspection. In the case of transcript transmittal, a student must submit such request in writing and a notation shall be made on the file as to date and place sent.
      7. Please note that criminal information regarding a crime of violence, or a non-forcible sex offense, along with the results of any disciplinary hearing conducted by the University against the student who is the alleged perpetrator of the crime or offense will be included in that student’s record and that notification of the outcome of such disciplinary hearings will be provided to the alleged victim upon written request. If the alleged victim is deceased as a result of the crime or offense, the University will provide the results of the disciplinary hearing to the victim’s next of kin, if so requested.
    4. A student may request copies of their transcripts from the Registrar in accordance with the following:
      1. A transcript of the student’s academic record will be made for free to students and at a charge per copy to alumni.
      2. Requests for reproduction of a transcript must be made online via the Transcript Request link on the MWU student portal or alumni portal.
      3. The University in general does not typically provide copies of academic records other than academic transcripts, copies of a certified diploma or criminal background check report. If such requests are approved for copying, the requests must be made in writing to the Dean of Students.
      4. All reproduction requests must be accompanied by the payment of record reproduction charges, which is currently $0.50 per page.
      5. Reproduction shall be done as soon as feasible, but not to exceed 45 days after receipt of the request.

C. Amendment of education records

  1. Request to amend education records:
    1. A student who believes that information contained in their education records is inaccurate or misleading, or violates privacy or other rights, may request that the records be amended.
    2. Such a request shall be made in writing and submitted to the custodian of the disputed record, who shall decide whether to amend the record in accordance with the request within a reasonable period of time (not exceeding 45 days) of receipt of the request.
    3. If the custodian of the disputed record, after consultation with the dean of the individual college, refuses to amend the record in accordance with the student’s request, the student has the right to appeal under subsection 2 below.
  2. Right of appeal
    1. If the request by a student to amend education records is denied, they may write to the custodian of the record within 45 days after the denial, requesting an appeal in order to challenge the content of the records to ensure that information therein is not inaccurate, misleading, or otherwise in violation of the privacy or other rights of the student.
    2. The appeal shall be conducted by the Dean of Students (for non-disciplinary records). For appeals related to disciplinary records, the President will hear the appeal.
    3. The appeal shall be held within a reasonable period of time (not exceeding 45 days) after receipt of the request by the custodian of the record.
    4. The student shall have a full and fair opportunity to present all evidence relevant to the issues.
    5. The decision of the appeal shall be based solely upon evidence presented and shall include a written summary of the evidence and the reasons for the decision. The written summary and reasons for the decision shall be made within a reasonable period of time after receipt of the evidence.
  3. Results of the appeal
    1. If, as a result of the appeal, the University decides that the information is inaccurate, misleading, or otherwise in violation of the privacy or other rights of the student, it shall amend the education records of the student accordingly and so inform the student in writing.
    2. If, as a result of the appeal, the University decides that the information is not inaccurate, misleading, or otherwise in violation of the privacy or other rights of the student, it shall inform the student of the right to place in their education records a statement commenting upon the information in the education records and/or setting forth any reasons for disagreeing with the decision of the University. Any explanation placed in the education records of the student hereunder shall be maintained by the University as part of the education records of the student so long as the record or contested portion thereof is maintained, and shall be disclosed to any party subsequently receiving the education records of the student or contested portion thereof.

D. Disclosure of education records, including personally identifiable information

  1. Prior consent for disclosure required.
    1. Unless an exception applies, the University shall obtain the written consent of a student before disclosing a student’s education records or personally identifiable information.
    2. The written consent required shall be signed and dated by the student and shall include: a specification of the records to be disclosed; the purpose(s) of the disclosure; and the party or class of parties to whom the disclosure may be made.
  2. Exceptions: The University may, but need not, disclose the education records of a student, including personally identifiable information without the written consent of a student if the disclosure is:
    1. To the student themself.
    2. To University officials, including the heads of administrative departments as well as faculty members having classroom or advisory responsibility to the student, provided that such officials have legitimate educational interests in the information. For purposes hereof, “legitimate educational interest” shall mean any interest of those officials directly related to the performance of their duties but shall not include any interest having as its principal source the personal prejudice of any such official.
    3. To officials of other colleges or universities in which the student seeks or intends to enroll, provided that the student shall be notified of the transfer of records (except when the transfer is initiated by the student) and receive a copy of the records if desired.
    4. To authorized representatives of: The Comptroller General of the United States; the Secretary of Health, Education and Welfare; the U.S. Commissioner of Education; the Director of the National Institute of Education, or the Assistant Secretary for Education; State educational authorities. It is provided that any such disclosures shall be only for use in connection with the audit and evaluation of federally supported education programs, or in connection with the enforcement of or compliance with the Federal legal requirements relating to such programs. It is provided, further, that except when the consent of a student has been obtained or when the collection of personally identifiable information is specifically authorized by Federal law, any data collected by officials hereunder shall be protected in a manner that will not permit the personal identification of the student by other than those officials, and personally identifiable information shall be destroyed when no longer needed for such audit, evaluation, or enforcement of or compliance with Federal legal requirements.
    5. In connection with financial aid for which a student has applied or received, provided that personally identifiable information from the education records of a student will be disclosed only as may be necessary to determine eligibility for financial aid; determine the amount of financial aid; determine the conditions that will be imposed regarding the financial aid; or to enforce the terms or conditions of the financial aid.
    6. To state and local officials or authorities to whom information is specifically required to be reported or disclosed pursuant to state statute adopted prior to November 19, 1974.
    7. To organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating, or administering predictive tests, administering student aid programs, and improving instruction. It is provided that the studies are conducted in a manner which will not permit the personal identification of students by individuals other than representatives of the organization and the information will be destroyed when no longer needed for the purposes for which the study was conducted.
    8. To parents of a dependent student, as defined in section 152 of the Internal Revenue Code of 1954, as long as the student has provided a written release to the University.
    9. To comply with a judicial order or a lawfully issued subpoena, in which event the student will be notified in advance of compliance, if feasible, of the order or subpoena, the compliance date, and of the University’s intention to comply.
    10. To appropriate parties in a health or safety emergency, when the information is necessary to protect the health or safety of the student or other individuals, based upon the following factors: the seriousness of the threat to the health or safety of the student or other individuals; the need for the information to meet the emergency; whether the parties to whom the information is disclosed are in a position to deal with the emergency; and the extent to which time is of the essence in dealing with the emergency.
    11. To appropriate organizations for the strict purpose of confirming that a student has a student status in a particular program/college of Midwestern University.
    12. To the alleged victim of a crime of violence, or a non-forcible sex offense, the results of any disciplinary hearing conducted by the University against the student who is the alleged perpetrator of the crime or offense upon written request. If the alleged victim is deceased as a result of the crime or offense, the University will provide the results of the disciplinary hearing to the victim’s next of kin, if so requested.
    13. As otherwise provided by law, including but not limited to, the Solomon Act.
  3. Exceptions: Directory Information. FERPA generally requires Midwestern University to obtain a student’s written consent prior to the disclosure of personally identifiable information from the student’s education records, however, Midwestern University may disclose appropriately designated “directory information” without written consent, unless the student has advised Midwestern University to the contrary in accordance with its procedures. For example, certain directory information may be disclosed to residency programs, employment recruiters, and industry representatives. While directory information may be disclosed without student consent, under FERPA, Midwestern University is not required to release directory information. The primary purpose of directory information is to allow Midwestern University to include information from the student’s education records in certain school publications. Examples include but are not limited to:
    • Directories and internal reports;
    • Yearbooks and class photos;
    • Recognition lists;
    • Promotional materials;
    • Graduation programs; and
    • Alumni directories.

      Midwestern University has designated the following information as directory information and may release this information:
    • Student’s name
    • Address
    • Telephone number
    • University email address
    • Photographs, including identification photos, composite photos, yearbook photos, graduation photos
    • Undergraduate institution(s) and the most recent previous educational institution attended
    • Degrees, honors, and awards received
    • Class level
    • Enrollment status
    • Dates of attendance
    • Activities
    • Photographs, videos, or other recordings (“Recordings”) depicting students in public or educational events and activities but only if the Recordings omit personally identifiable information contained in the student’s education record that is not otherwise directory information
    • A student ID number, user ID, or other unique personal identifier used to communicate in electronic systems but only if the identifier cannot be used to gain access to education records except when used in conjunction with one or more factors that authenticate the user’s identity, such as a PIN, password, or other factor known or possessed only by the authorized user
    • A student ID number or other unique personal identifier that is displayed on a student ID badge, but only if the identifier cannot be used to gain access to education records except when used in conjunction with one or more factors that authenticate the user’s identity, such as a PIN, password, or other factor known or possessed only by the authorized user.

      If a student does not want all or some of their directory information released to any person other than officials with legitimate need, the student must notify the Registrar in writing. A restriction requested by a student will block the requested information from use as directory information indefinitely. To remove the restriction, the student must notify the Registrar in writing: Arizona Campus: AZregistrar@midwestern.edu; Illinois Campus: ILregistrar@midwestern.edu. The student submitting such request will be asked to complete the FERPA Non-Disclosure Request Form. A non-disclosure request may result in a complete bar to sharing any personally identifiable information from a student’s education records, which can have an adverse impact to the student’s academic and professional progress. Students with questions may contact the Registrar at: Arizona Campus: (623) 572-3325; Illinois Campus: (630) 515-7600.
  4. Record of disclosures
    1. The University shall maintain a record, kept with the education records of its students, of each request for and disclosure of personally identifiable information, including directory information from the education records of its students. Such record shall indicate the parties who have requested or obtained the information and the legitimate interests these parties had in requesting or obtaining the information.
    2. Recording of disclosures shall not apply to the student themselves, disclosures pursuant to a written consent of the student when the consent is specific with respect to the party or parties to whom the disclosure is to be made or disclosures that are allowed under any exceptions discussed above.
    3. The record of disclosures may be inspected by: the student; the University official responsible for custody of the records; and the parties authorized in, and under conditions set forth in subsection D.2. above.

E. Annual notification of rights

  1. Notice requirement. The University shall give students in attendance at the institution annual notice of the following:
    1. Their rights under the Federal Education Rights and Privacy Act of 1974 (FERPA), regulations promulgated thereunder, and the policies of the University adopted herein;
    2. The location where copies of these Guidelines may be obtained; and
    3. The right to file complaints concerning alleged failures by the University to comply with the requirements of FERPA and regulations promulgated thereunder, with U.S. Department of Education, Student Privacy Policy Office, 400 Maryland Avenue, S.W., Washington, D.C., 20202-8520.
  2. Form of notice. The notice required under subparagraph E.1. above shall be given annually via email that the FERPA rights of students is published annually in Appendix 3 of the student handbook.