how privacy issues impact etd initiatives marisa ramírez digital repository librarian california...
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How Privacy Issues Impact ETD Initiatives
Marisa RamírezDigital Repository LibrarianCalifornia Polytechnic State [email protected]
Gail McMillanDirector, Digital Library and ArchivesVirginia [email protected]
About FERPAThe Cal Poly ExperienceThe Virginia Tech ExperienceOther experiences
Family Educational Rights and Privacy Act (FERPA) of 1974 a.k.a. Buckley Act
Designed to protect the privacy of student educational recordsChallenges to FERPA resulted in refinements to the Act
Applicable to all public K-12 educational institutions & postsecondary institutions that receive US Department of Education funds
FERPA grants rights to students Inspect and request corrections to their education records Limit the release of “personally identifiable” information from their records
Education records are “directly related to a student and maintained by an educational agency or institution”
Includes “any information recorded in any way, including, but not limited to, handwriting, print, computer media, video or audio tape, film, microfilm, and microfiche.”
When may a school disclose education records without student consent?
School officials with “legitimate educational interests”Student is seeking to enroll in another schoolEducational authorities enforcing Federal or State supported education laws /programsParents of a dependent for income tax purposesEligibility and terms for financial aidSubpoenaDirectory information
Definition: "information that would not generally be considered harmful or an invasion of privacy if disclosed”
Student's name, address, phone number, emailPhotograph, date and place of birthMajor, grade level, enrollment status, dates of attendance, participation in university activitiesWeight and height of student athletesDegrees, honors and awards received; most recent educational institution attended
Students must be provided an opportunity to “opt out” of the release of directory information
Are the release and circulation of student works limited under FERPA?According to LeRoy S. Rooker, Director of the Department of Education's Family Policy Compliance Office
Theses are different -- research sources for the academic community available through the libraryNo written consent needed to make a thesis available through the library AS LONG as the student has been advised in advance that it will be publicly available as part of the curriculum requirements--"Department of Education Clarifies Access to Theses." ALA
Washington Office Newsline, 8 Sept 1993.
Cal PolyMember, California State University system19,000+ students, 1,100 graduate studentsCentralized model for paper deposit
ETD pilot (Spring 2008)Understanding the library need, ability, and responsibility to enforce FERPASubsequent self-review to adjust library activities subject to FERPA laws, such as circulation records, interlibrary loan requests, and student employment records
In consultation with the campus FERPA Compliance Officer additional wording to student click-thru license:
"Students making submissions to this repository agree to share their work and waive any privacy rights granted by FERPA or any other law, policy or regulation, with respect to this work, for the purpose of publication.”
Virginia TechLand grant university, founded 187230,000 students: 5,000 grad studentsCentralized model: 145 programs
ETDs required Jan. 1, 1997Focused on access and copyrightNo forethought given to FERPAMinimal privacy concernsAddressing FERPA requirements retroactively (not uncommon)
Attention of University Legal CounselReviewing policies for records managementEmbargoed ETDs misunderstood
Explicit permission given for unlimited accessI hereby grant to [the institution and its agents] the non-exclusive license to archive and make accessible…my thesis, dissertation…
Implicit permission to override FERPA opt-out Nullifies previous requests for privacy
Has your university dealt with issues of students' rights to nondisclosure?
What has your university done about ETDs in regards to FERPA requirements?
Do you have experience with students invoking their FERPA rights so that all information about their ETDs must be withheld indefinitely?
To the extent this thesis, dissertation, or record of study is an educational record as defined in FERPA, I consent to disclosure of it to anyone who requests a copy. [TAMU, Baylor, etc.]
By signing [the ETD Release Form], the student is specifically granting a non-exclusive distribution license to the University of Kansas, authorizing disclosure of the student’s work to others, and is relinquishing and waiving any claims that may arise under any statutory or common law protections as a result of the use of this work for these purposes.
I grant the University [of Oregon] Libraries permission to make my research freely and publicly available in the digital archive known as Scholars' Bank. [BTDs 2007- ]
University-wide FERPA guidelines common"We do not change our policies simply because our educational delivery methods have changed." Richard Rainsberger, Oct. 2001
“Based on a policy letter [reported in ALA Washington Office Newsline, Sept. 8, 1993] from Leroy Rooker, former FERPA director, we are not changing anything.” VT University Counsel, June 2009
Laws, generally, Do not ensure rights to privacyFocus more on public, not private, good
Access to information, not protection
Student privacy rights: US-centric issues
Intellectual property gets more attention than privacy rights.Increased access to personal informationWhen delivery methods change, it is an opportunity to evaluate policies.Whether privacy is legislated, be aware of the myriad of related issues.
ETDs: Explicit permissionBTDs: Implicit permission
Contact:Marisa RamírezDigital Repository LibrarianCalifornia Polytechnic State [email protected]
Gail McMillanDirector, Digital Library and ArchivesVirginia [email protected]