Exceptions to Education Records

Sole Possession Notes

Notes that are in the "sole possession of the maker" include:

• Interview or advising notes
• Memory-jogging observations of a student

Sole possession notes become education records, subject to FERPA, when they are:

• Made in conjunction or shared with another person
• Placed in an area where others can view the note(s)

Emails can never be sole possession notes.

Law Enforcement Records

Records created and maintained by a law enforcement unit (including W&M Police) for a law enforcement purpose.

Law enforcement records become education records, subject to FERPA, when they are created and maintained for:

• Non-law enforcement purposes
• Purposes other than those of the law enforcement unit

For example: An incident report created by the W&M Police is a law enforcement record until it is shared with another school official.

Medical and Treatment Records

Records created and maintained by a recognized professional, acting in their professional capacity and used only in connection with treatment of the student.

Medical and treatment records become education records, subject to FERPA, when they are shared with other school officials who are not providing treatment.

For example: A student's medical record is a medical and treatment record until it is shared with Student Accessibility Services or a W&M risk assessment team obtains the record to complete a report.

Alumni Records

Records created or received by W&M:

• After the individual is no longer enrolled at W&M
• Not directly related to the individual's attendance as a student

Examples of alumni records can include:

• New addresses
• Employment information
• Marriage and birth announcements
• Participation in alumni events
• Giving record

Employment Records

Records maintained exclusively for individuals in their capacity as employees.

Employment records become education records, subject to FERPA, when the individual is employed as a result of their status as a student. For example:

• Federal work study recipients
• Student equipment managers
• Research assistants
• Student tutors

Case Study: Sole Possession Notes

Max works in Academic Advising and Taylor is one of her freshman students. At one point in the semester, Taylor requests to view his education record, including everything Max has written about him. He is concerned about what personal information she has included. How should Max proceed? Does FERPA allow access to all of Taylor's education record? 

Max should direct Taylor to submit a Request to Inspect Education Records form (pdf) to the University Registrar's office. The University Registrar's office will make arrangements for Taylor to inspect his education record within 45 days after the day the office receives Taylor's request. References to other students will be removed before releasing the education record.

Sole possession notes, which are records "within the exclusive control of the maker" do not need to be released. However, if Max shared her sole possession notes with anyone, such as a colleague, or entered her notes into a system that her colleagues can access, the notes become part of Taylor's education record.

Under Virginia's Freedom of Information Act (FOIA) however, Taylor's complete record, including sole possession notes, may be accessible to Taylor. The University Registrar's office coordinates with University Counsel to respond to FOIA requests.

Case Study: Law Enforcement Records

W&M Police caught Alex and Sam damaging the Thomas Jefferson statue. The W&M Police Department created an incident report and then forwarded the report to the Dean of Students office for review by the Student Conduct Council. At what point did the law enforcement record become an education record, subject to FERPA?

When the incident report (law enforcement record) was shared with a school official to be used for a disciplinary purpose, which is outside the scope of the law enforcement unit's purpose, the incident report became an education record, subject to FERPA.