Description
This section will discuss the format for maintaining file notes and will discuss policies and procedures concerning file confidentiality.
File notes establish a record of our interactions with students. This is important because if problems do arise, the file notes can help to clarify an ambiguous situation. Also, file notes legally protect us because they are considered official documentation of interactions with students. Thus, it is essential that you document everything, every time you communicate with a student. This includes appointments, walk-in advising, phone calls, and email correspondence.
File Notes
Where to Add File Notes in PeopleSoft
After logging into PeopleSoft, go into “Build Community,” then to “Comments,” then to “Use,” then to “Personal Comments.” To view an existing record, enter the student’s ID number and click “Search.” To add a new record, click on “Add a New Value” located at the bottom of the screen. Enter the student’s ID number and click “Add.” On the next page, under “Administrative Function,” enter GEN and under “Comment Category” enter X17ADV. If you are typing file notes on a different day than the appointment was on, change the date under “Comment Date” to reflect the day of the appointment. Add file notes in the “Comments” section. Make sure to save before leaving the page. You will not be able to go back and add to the comments once you leave the page, so make sure they are complete before changing screens.
Format for File Notes
Even though the comments are now entered electronically into PeopleSoft, a note should still be made in the left hand column of the file including the following:
- The entire date, including the year
- Your name
- Type of contact (e.g., appointment, walk-in, phone, email, Orientation - NHS or NAS, probation)
- A note saying “See electronic file notes on PeopleSoft”
Examples of What to Document in Your File Notes
- When you tell a student that a particular course fulfills a liberal education requirement
- When you tell a student about cancel/add deadlines
- When you tell a student something will count for CLA credit or major credit
- When you refer a student to a program
- When you suggest students get courses evaluated
- When you start the petition process with a student, document your understanding of the situation
- When a student wants to proceed against a recommendation you have made regarding placement
- When a student has made an appointment and then cancels, no-shows, or reschedules
- When you give refund information
- Also, copies of all email correspondence (whether from you to the student or from the student to you) should be copied into PeopleSoft’s electronic file notes. Students are increasingly using this as an advising tool, and thus we need to treat it like any other student correspondence. Additionally, any emails received from third parties such as major advisors should be copied into the electronic file notes as well.
This list is not all-inclusive. Anything that you feel may be of relevance should be put into the file notes.
Using Objective Language
A major part of making file notes is remembering to use non-judgmental language. File notes are a record of your interactions with students, and should be objective. They should record facts, not feelings. Other University employees may see this record, and subjective comments do not help to clarify an ambiguous situation. Also, students have the right to see their own academic record: judgmental comments leave you liable, so keep to the facts.
The following is an example of creating objective file notes from a difficult advising situation.
You have an appointment with Chris. Chris is very angry about the size of his Psychology 1001 class and declares that he doesn’t want to “be treated like a number.” He complains about the amount of tuition he pays for classes and uses foul language in his complaints.
Here is a way to translate this challenging student contact into objective language:
“Chris is interested in pursuing a psychology major, although he is worried about class size. We discussed various ways to make the program smaller, including Psi Chi, internships, and research opportunities.”
Confidentiality of Student Files
Maintaining confidentiality of student information is of the utmost importance; we are required by law, and it is our responsibility, to protect the confidentiality of student records. The Family Educational Rights and Privacy Act (FERPA), state law, and the Regents’ Policy on Access to Student Records dictate what information is public information and what information is private.
Public information includes:
- Name
- Address
- Electronic (email) address
- Telephone Number
- Dates of Enrollment
- Enrollment Status (full time, part time, not enrolled)
- Major
- Adviser
- College
- Class
- Academic Honors and Awards
- Degree Received
Private information (non-releasable) includes (but is not limited to):
- Grades
- Courses Taken
- Schedule
- Test Scores
- Advising Records
- Educational Services Received
- Disciplinary Actions
- Social Security Number
- Student ID Number
- Birth Date
- Gender
- Photographs
- Financial Aid Records
- Student Account Transactions
- Student Account Information or Bills
Student Suppression of Public Information
Public information can be released unless the student has requested that it be suppressed. To determine whether or not student information is suppressed, you can turn to PeopleSoft.
Click on Build Community Services Data, Inquire, FERPA. This information is also viewable on some other locations of PeopleSoft indicated by a light blue window shade icon. Clicking on the icon will bring you to the same screen. Information that the student has suppressed will have the radio button checked.
UM Reports also shows FERPA suppression status. Students who have suppressed information will have a gray bar through their information and a “yes” will appear under FERPA.
To see what the FERPA icon looks like in PeopleSoft, visit the Office of the Registrar’s training website. Remember, we have the option of being stricter than FERPA regulations allow, but we cannot be less strict. When in doubt, do not release information. Legally we have 10 days to respond to most requests for information, which means you do have the opportunity to check to see whether or not the information is public or private, and if it has been suppressed.
Conditions under Which Private Information is Disclosed
However, as in all real life situations, there are conditions under which private student information can be disclosed. The following are conditions under which private data may be released without the student’s authorization:
- If a student requests to see his/her record, or if s/he has given written permission for the information to be released to another person or organization.
- Persons within the University who have a legitimate educational interest in the information for educational, administrative, or research purposes.
- Other educational institutions to which the student seeks to enroll, provided the disclosure is limited to official copies of student transcripts or test scores from the appropriate University office.
- Other organizations conducting educational research studies, provided the studies are conducted in a manner that will not permit identification of students and the information will be destroyed when no longer needed for the purpose for which the study was conducted.
- Persons in compliance with a court order or lawfully issued a subpoena, provided that a reasonable attempt is made to notify the student in advance of compliance.
- Appropriate persons in connection with an emergency, provided the information is necessary to protect the health or safety of the student or other individuals.
- Accrediting organizations and state or federal education authorities when the information is needed for auditing, evaluating, or enforcing legal requirements of educational programs, provided the accrediting organizations and authorities protect the data in a manner that will not permit the personal identification of students and personally identifiable information is destroyed when no longer needed.
- Appropriate persons or agencies in connection with a student’s application for or receipt of financial aid to determine eligibility, amount, or conditions of financial aid.
- Parents of a dependent student as defined under the Internal Revenue Code.
To expand upon a few of these points:
- Students can request to have their private information released by filling out the “Request to Release Student Information.” Forms are available in each advising community. (Handout 14D front side). If a student has completed this form, an RL positive service indicator will be added to PeopleSoft under “Service Indicators.”
- Private information can be shared within the University on a “need-to-know” basis. Need-to-know is defined as those University employees who have a need to know to carry out their defined job functions.
- Parents of a dependent student as defined under the Internal Revenue Code, can have access to their child’s academic record, provided the parent provides evidence of the student’s dependent status for tax purposes. These requests should be referred to the Office of the Registrar. Students can give parents “view only” access to their records in the parent/guest access application on the web at One Stop.
Students’ Access to Records
As mentioned earlier, students may have access to their educational records. To gain access, they need to fill out the “Request to Inspect Record” form. This is a carbon copy form that has two copies: one for the student and one for the file. It is important to observe this procedure when a student asks to see his or her record; this form can protect us from several potential problems. A good example is if a student decides to sue the University and his lawyer tries to say that the student was denied access to his file. This allows us to document that we did comply with the law and allow the student to view his records.
Along the same lines, any student who believes that information contained in his or her education records is inaccurate, misleading, incomplete, or violation of his or her privacy or other personal rights may request to have the record amended. The request must be in writing, signed and dated by the student, and must include sufficient information to identify the challenged record and a statement of the reason that the amendment should be made. The custodian of the record must decide whether to amend the records in accordance with the request. (You have 30 days to do this).
If the custodian decides that the information is inaccurate, misleading, incomplete, or otherwise in violation of the student’s privacy or other personal rights, he or she shall amend the records accordingly and so inform that student in writing. If the custodian decides to refuse to amend the record in accordance with the request he or she must inform the student of this decision in writing, indicating the reasons for refusal, and also advise the student of his or her right to a hearing to challenge the content of the record, and his or her right to place a statement in the education record commenting upon the information. (Note: This information is taken directly from the One Stop Student Services web site.
If you have specific FERPA questions, contact Tina Falkner at rovic001@umn.edu or 612-625-1064.
Related Information
U of M Regents Policy on Student Records
Forms/Instruction
File Notes Format Sample
“Request to Inspect Record” form
