Records Management Guidelines

1. Student files, electronic and paper, should be housed in a secure manner and should never be accessible in a public area. If you are using paper records, it is prudent to keep academic records of other students face down on your desk when you are working with a If you are working with an electronic records system (AdRx, AAR, etc.), you are responsible for ensuring that the file is not left open on your computer when you are away from your desk.
2. Student academic records should contain only factual records related to the student’s academic status, background, performance, and academic Do not keep medical, psychological, personal or disability information about a student in the academic record.
3. Documentation of any actions that affect a student's academic record and that are not available on SIS or through other electronic means should be recorded as a note in AdRx.

1. We have instituted a standard electronic anecdotal record as part of the AdRx The anecdotal record is to be used to make any and all appropriate notations regarding a student or interactions with a student. These include all contacts with the student whether in person, by phone, or via e-mail and any attempts to contact a student. They also include all contacts about a student – from faculty, parents, administrators, etc. Whenever you have any contact with a student or regarding a student (with a faculty member, with the dean's office, with a parent, etc.), you are expected to make an anecdotal entry of that contact.  In addition, any appointments that the student schedules but fails to keep should also be noted in the record.
2. Anecdotal advising notes are not an advisor's private record of interactions with Advising notes are part of a student's formal academic record. As such, the student has a right to review these notes at any time.
3. Anecdotal advising notes, whether hard copy or electronic, are covered by FERPA confidentiality
4. Anecdotal records should always be factual in nature. Judgmental language or characterizations should never be used.  Remember the student has the right to review her/his own record.  If the student could legitimately object to what you are entering into the anecdotal record, rephrase it. Stating that a student was angry and used inappropriate language, for example, is acceptable, characterizing a student as "foul mouthed” is not.  Stating that you explained several times to a student that they did not meet the prerequisites for admission to a program but the student left your office indicating that they intended to apply to the program anyway is appropriate. Characterizing the student as "immature and someone who should not be in college" is inappropriate and could be the basis for a complaint against an advisor who entered such a record.
5. Accurate and complete anecdotal records are essential to effective advising. They serve not only as a guide to you of previous interactions with the student and of the student's academic and developmental progress but also provide essential information to others who may work with the student (subsequent advisors, the associate director, the dean's office, etc.). The anecdotal record should provide a complete factual record of the interactions with a student including the recommendations you made, any cautions given to the student, referrals to other offices or people, suggestions for further actions on the part of the student. It should also explain the basis for your judgments and the reasons for the recommendations, suggestions, cautions and referrals you made.
6. Any forms, letters, or e-mails from the student, regarding the student, sent to the student or sent on behalf of the student should be noted in the anecdotal record and should be copied to or, depending upon the content, summarized in the AdRx In using e-mail to respond to a student or to an inquiry regarding a student, please bear in mind that e-mail is NOT a confidential form of communication and sharing sensitive information via e-mail could result in a violation of FERPA.  If an e-mail from a student or parent contains information that should not be entered into the academic record (for example, information about medical or psychological issues), do NOT copy the e-mail verbatim into the AdRx anecdotal record.  Either copy the e-mail Xing out references to issues that should not be stored in the academic record OR summarize the e-mail briefly using generic terms--- for example, if a student e-mailed you stating that she had missed many weeks of class last term due to complications from an abortion and was now on probation and wanted to know her options, you should NOT copy that information into the record. It contains highly sensitive medical and personal information that the student may have felt comfortable sharing with you but has not chosen to share with all the other advisors and administrators who would potentially have access to the record in AdRx.  Instead, you should summarize the basic issues--for example, "Student e-mailed me on 5/23/2014 indicating that serious medical issues last semester contributed to missed classes and poor performance and she is now on academic probation.  She asked if there was a way to appeal this decision." And then include a copy of your e-mail response.
7. Notes about student performance, notes about interactions with a student, notes about phone calls from a student, notes about how courses will apply to a student's requirements, should not be entered on stray pieces of paper or in the margins of AAR reports or transcripts. All such information should be recorded in the AdRx anecdotal record. If notations have been made on other forms or reports, that same information should be transcribed into the anecdotal record and the paper notes should be placed in confidential shred.

1. The Family Educational Rights and Privacy Act is a federal law that was passed in the early 1970's and which restricts the release of confidential academic information about a
2. In general, whether or not a student is enrolled at the institution, a student's official major, and degrees earned are considered public. All other information should be treated as confidential and should NOT be shared with parents, guardians, friends, etc. without the express written permission of the student. You must confirm that the university has a release form (ROI) on file and must confirm the persons with whom we are authorized to share information and the specific information the student has authorized us to release by reviewing the FERPA release form before sharing any information. Unless the university has a signed release form from the student, you cannot share grades, GPA, academic status, the courses in which the student is enrolled or other information about a student with anyone other than another employee of IU who has a legitimate need to know the information.  It is also inappropriate to share information about a student over the phone unless you are positive of the identity of the person with whom you are speaking and that person is another IU employee who has a valid reason for needing the information or there is an ROI on file and the person on the phone can provide the password designated by the student on the ROI.  It is NOT sufficient for the caller simply to identify himself or herself as calling from the Registrar's Office, for example, or to identify himself or herself as the student.  If you do not recognize the voice and are not able to verify the caller's identity, you should not discuss any confidential information over the phone. 
3. Whenever you do discuss information covered by FERPA with a third party, you are required to document in the AdRx anecdotal record the information You are required to document that you verified there is a release form on file and you are required to document that you reviewed FERPA confidentiality with the person to whom you released the information.
4. If there is a full confidentiality code in SIS for a student any inquiry about that student must be responded to with the following statement: "I have no information about that individual". If there is a privacy code, you are not even allowed to acknowledge that the person is a student. 
5. Release of a student's current address or phone number to a third party is also Requests for this information from parents, friends or others should be referred to the Office of the Registrar.
6. You can explain policies or requirements to parents or guardians and you can explain the implications of grades or GPA's that the parent already knows as long as you do not allow yourself to inadvertently confirm grades or GPA or to inadvertently release grades or GPA to a third It is wise to conduct such conversations in general terms.  For example, "if a student has a cumulative GPA below 2.00, then ..."rather than "because your daughter has a GPA of...”   It also is wise to refer to FERPA during such conversations and ensure that the parents or guardians or other third parties understand that you are constrained by law from revealing any information. You should always document these conversations in the anecdotal record and you should always make clear in the record that you conformed to FERPA guidelines.  Even very positive information, such as a student achieving a 4.0, is confidential and cannot be released without the student's permission.
7. If you are ever in doubt about whether you can discuss or release certain information, you should consult University Legal Counsel, the Office of the Registrar or your supervisor, rather than risk violating the law or the student's right to confidentiality regarding his/her records.

ADA, the law designed to protect the rights of individuals with disabilities, is more restrictive even than FERPA regarding the release of information about an individual's disability to others. If a student indicates to you that they have a disability, you are NOT allowed to share this information with other employees of the university unless the other employee has a compelling need to know that information in order to perform their professional duties or you have reason to be concerned that a student may be a danger to themselves or others. For example, if a student shares with you that she has been diagnosed with ADD, you should refer the student to Disability Services and encourage them to discuss with that office the support services they can provide, but you are NOT at liberty to reveal to other faculty or staff that the student has a disability unless the nature of the disability and an individual faculty or staff member's professional responsibility to the student provides compelling grounds for you to reveal the information. Whenever possible it is best to encourage the student to share such information with other people at the university with whom they are working rather than for you to share the information on the student's behalf. If a student shares with you that they have a disability that may impact their ability to participate fully in a course, you are allowed to share this information in private with the instructor of that specific course, but you are not allowed to share this information with other faculty or staff in the department. If you are the instructor of record for a course with multiple recitation sections and a student presents you with documentation from Disability Services requesting accommodations in the course, you are allowed to discuss this information with the TA responsible for the recitation in which the student is enrolled but should not reveal the information to all of the TAs. In short, information about a student's disability should be treated as highly confidential and should be shared only with other employees of the university who have compelling professional reasons to have access to the information and discussion of such information should take place only in a private setting.

*Some examples of disabilities covered by ADA are:

• AIDS
• Amputee
• Arthritis
• Attention Deficit Disorder
• Autism
• Blind/Visually Impaired
• Brain Tumor
• Cancer
• Carpal Tunnel Syndrome Cerebral Palsy
• Chemical Sensitivity
• Chronic Fatigue Syndrome
• Crohn’s Disease
• Deaf/Hard of Hearing
• Diabetes
• Fibromyalgia
• Learning Disability
• Lupus
• Mobility/Orthopedic
• Multiple Sclerosis
• Muscular Dystrophy
• Polio
• Psychological (examples: depression, bipolar or manic depression, schizophrenia, anxiety, panic attacks, obsessive-compulsive disorders, and dissociative disorders)
• Scoliosis
• Seizure Disorder
• Speech/Language Disorder
• Spinal Cord Injuries
• Stroke
• Substance Abuse (individuals in recovery)
• Tourette's syndrome
• Traumatic Brain/Head Injury

*This is not a comprehensive list. The law changes with regard to what is covered by the act. If you are uncertain if a condition is covered, check with Disability Services or University Legal Counsel.

1. Since anecdotal advising records and other records in a student’s AdRx file follow the student and are  available to other university employees for appropriate reasons, it is NOT appropriate to enter information about a student’s disability in the student’s academic record even if the student or parent requests that you do
2. If a student, parent, psychologist, sends you information regarding the diagnosis of a student’s disability, you should return the information to the student and advise the student to present the documentation to Disability Services or to Student Health Services (depending upon the nature of the disability and the reason that the documentation has been sent). You should NOT retain this information in the student’s academic record and should not copy such information into AdRx.
3. It is appropriate to document referrals to Disability Services and Counseling services and to note that a student has been approved for accommodations by Disability Services but you should not enter any specific information about the nature of the student’s disability into the AdRx system.

1. If you are ever concerned that a student may be a danger to her/himself or to others, you should report your concern to IUPD, the Dean of Students Office and Counseling Services immediately.
2. If you become aware of a crime or have reason to believe that someone is engaged in illegal activity, you should report the matter to IUPD.

YES      Drop/add conf. Advised student that dropping ECON course would result in failure to fulfill major requirements.  Student reports that she is not doing well and will take an appropriate course this summer at a CC. Discussed with the student the difficulty she is having, better approaches to preparing for the course and recommended that she meet with the instructor to discuss how she can improve her performance.  Emphasized to student that she is required to complete the requirement to graduate and because it is a prerequisite to her senior sequence, she will delay her graduation if she does not complete ECON this semester.

NO       Drop/Add conf.

NO       Advised student that she could not drop ECON because she is required to complete the requirement to meet her graduation requirements.  Student was stubborn, does not listen to anyone and insists that she is going to drop the course because if she doesn't she will receive a low grade.

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YES      Call from student's mother concerned about John's performance last term.  Mother was aware that John received a 1.2 and is in academic difficulty. Explained to the parent that FERPA restricts what information I can share with her. Reviewed the academic standing policy and the standard for good standing at IU. Explained academic probation and dismissal policy.

NO        Call from student's mother concerned about his grades and performance last semester. Explained to student’s mother that a 1.2 GPA is a very serious matter.  Mother believed that the 1.2 placed John on academic probation.  Explained that since John had had below a 2.00 last semester, this past term had been his probationary term and he was now dismissed.

NO       Call from student's mother who is very angry that John has been placed on dismissal.  Explained that John knew last spring that he was on academic probation and had one term to raise his GPA to good standing or he would be dismissed.

YES      Call from John's mother who is concerned because John has told her that he has been dismissed.

Explained that FERPA prevents me from discussing details of her son's record. Explained the academic eligibility policy.  Advised the mother that whenever a student performs below the established minimum GPA, the student is placed on academic probation and is notified of the options they have to raise their GPA and is notified that failure to achieve the required GPA will result in dismissal. Also advised mother that I send a special invitation to every student on probation to see me at the beginning of term to discuss what has caused their poor performance, how they can improve their performance, and the support services available to help them.  Mother was still concerned and wanted to know about appealing the dismissal. Described the appeal process.

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NO        Student came in because he received very poor grades last term.  Student indicates that he was not able to keep up with his course work because he was in and out of the hospital due to clinical depression.  Student reports that he was hospitalized for nearly 4 weeks and because of medication was not able to concentrate in many of the classes he did attend. Advised the student that he should appeal to the Dean's office and that they would allow him to drop the entire semester from his record.

YES      Student came in because he received poor grades last term and is on probation.  Student indicated that he was ill and was hospitalized for 4 weeks. Asked the student why he had not contacted me to discuss his options. Explained that a late withdrawal from his classes might have been possible.  Student said that he was not thinking very clearly and that he was just trying to focus on finishing his classes. Student wanted to know if there was anything he could do. Discussed with the student ways that he could improve his performance this term and the importance of contacting me immediately whenever anything interferes with his ability to attend classes or complete his work.  Also advised the student that I did not know if he had other options, but I would contact the Dean’s Office and would get back to him.