Penn State The Mentor: An Academic Advising Journal

   Current Issue
   About the Journal
   Advising Forum
   Archives
   Bookstore
   Calendar of Events
   Et Cetera
   Guest Book
   Indexes
   Major Changers
   The Muse
   The Portable Mentor
   Search
   Submitting Articles
   Subscribing
   Updates
   Writing Competition
   mentor@psu.edu



book   Advising Forum


  Topic from March 2008
This month, the Advising Forum presents the twenty-first in a series of advising case studies. The first six case studies were published in the journal in May–October 2000, with two other six-part series published in 2002 and 2004.

Case study #21—A case of Mrs. identification

It's the middle of Kim Smith's first semester, and Mrs. Smith calls you to find out how Kim is doing. Although you know that Kim is having problems in several of her courses, you explain to her mother that FERPA prevents you from sharing any information about Kim. She asks if Kim can sign a waiver so you can discuss Kim's records with her, and you reply that it is possible.

At your next meeting with Kim, you ask her if she would sign a waiver so you can discuss her records with her mother. She states, “That person isn't my mother. She's just living with my father, but she likes to call herself 'Mrs. Smith.'” Kim signs the waiver to allow you to discuss her records, but only with her father. The next day, the woman identifying herself as Kim's mother calls you and asks if Kim met with you and if Kim signed the waiver. She says that she and Kim's father would like to have a conference call with you to discuss Kim's grades. What would you do in this case, and why?

  Readers' Responses

leaf  I would explain to the caller that FERPA and university policy prevent me from sharing any information with her about Kim but that Kim can sign a waiver giving me permission to speak with her if Kim wants me to do so. I would very politely play “broken record” on that point. If the caller persists, I would ask to speak with Kim's father.

Why? Kim now knows that her father's friend has called inquiring about her. Kim had the opportunity to release me to speak with her and specifically refrained from doing so. Therefore, I don't have the authority to tell the caller even that much. So I'm back to the initial confidentiality rap. However, Kim has released me to speak with her father. So I would ask to speak with him so that I can offer to set up a meeting with him by himself. I'd feel some responsibility to avoid a telephone conversation about substance which would enable Kim's father to conference in his friend against Kim's wishes.

Marc A. Kaplan, academic advisor and English tutor, Cleary University, March 4, 2008



leaf  Clearly, while I may be able to speak with Mr. Smith, I cannot speak with Mrs. Smith about Kim's grades. In fact, I would avoid the “go-between” role totally. Why do the parents want to talk with me and not Kim? Why not both of us? What more can I suggest to get Kim to speak with her father directly, if not both her parents. Can we all have a conference call, if not a face-to-face meeting? This situation is not uncommon. The parent does have to have truthful information. I can facilitate that happening, but the communication has to be between the student and the parent.

Jackie Skrzynski, academic advisor, Ramapo College, March 5, 2008



leaf  I prefer not to “hide” behind FERPA and university rules and regulations and be up front with third parties about more important reasons for not sharing information about students.

The first part of my response is usually to ask why the question is directed at me instead of the student—who should know his or her records/progress/requirements better than anyone. If they do not, then I can request the help of the parent in encouraging another conference with the student so I may help the student become better educated in these issues—which can result in an informed discussion between the parent and the student.

The second part of my response is usually to remind the third party that my role is to provide academic advice, support, and guidance to a student. Third-person academic advising is about as useful (and usually has the same, or worse, outcomes) as third-person brain surgery.

If necessary, the next part of my response is devoted to explaining the professional and personal ethics behind my consideration for the student's privacy, as well as basic respect for the student as a (developing) person.

FERPA and university rules are my last and final resort (and of least importance to me—when compared with the previous three issues) with a completely Quixotic third party.

Mark Goodner, coordinator of advisor training and academic advisor, Indiana University Bloomington, March 18, 2008



leaf  I would contact Kim's father and inquire if he wanted to have a conference about Kim's work. Since Kim has a restricted written agreement to discuss information only with her father, perhaps Kim would want to attend the meeting to withhold or give consent should Mrs. Smith show up with her husband.

Beatrice Wallace, assistant professor of health and reading improvement II, Southside Virginia Community College, J. H. Daniel Campus, March 18, 2008



leaf  I would have to agree with Marc. It seems as if Kim's response regarding the woman who lives with her father leaves no room for interpretation. Kim does not wish to share information with her, thus I believe I should not go against Kim's wishes. I would ask to speak to her father only.

I also agree with Jackie, however, in that it should be a group project with no possibility of “he said, she said” and the distinct possibility of misinterpretation of statements during translation. Where I tend to disagree with Jackie is that the woman is not Kim's mother and has no right to the information—especially if Kim will not sign a waiver to include her.

Personally, I would prefer to deal with my advisees one-on-one. They now want to be treated as adults, so they should behave as adults—that means taking the responsibility for their own performance or lack of. They should seek out professors or advisers to discuss their academic progress or lack of. If they are not happy with the outcome, I am sure most institutions have procedures they can follow to take it to the next level. They need to learn the process for dealing with these issues on their own. I believe most professors and advisers are only too happy to help and are also very appreciative of the student asking for help or advice. Last resort is to call in mom and dad.

Marie Andreoli, instructor and academic advisor, Keystone College, March 18, 2008



leaf  It's an interesting situation because we also don't know fully what the family dynamics are between Kim and her father as well as between Kim and her mother. Again, depending on the information that we know, there may be other cultural factors that we need to keep in mind in order to fully address the issue. However, most of us don't have the time to find all this out beforehand, so here is how I would approach it:
  • Talk to Kim to let her know what the situation is with her father and Mrs. Smith both wanting to attend and give her the opportunity to first address the issue with her father and Mrs. Smith.
  • If agreed upon by Kim, set up a meeting with Kim and her father (knowing fully well that Mrs. Smith may show up). Since it will have been clear that the permission was only granted to the father, then Mrs. Smith would have to sit out of the conversation. Mrs. Smith will inevitably be upset, but she will have also known that she was not granted permission based on the telephone conversation with Kim's father.
I think even more important is the enforcement of FERPA. In its long history, there really haven't been repercussions as a result of violating FERPA. As advisers, it is often used as a justification for not disclosing information, but even if an individual were to be called on it, they would not be held responsible. It would be considered an institutional violation of FERPA. To my knowledge, not a single institution has lost federal funding (the only sanction FERPA violations could enact) because of violation of FERPA policy—a much bigger issue than what was brought up in this case scenario.

Derek Furukawa, senior academic advisor, University of Nevada, Las Vegas, March 19, 2008



leaf  As a general rule, I use FERPA to try to develop independence in the student and to assist in the relationship between student and parent. Rather than saying simply “I can't tell you, but have your kid sign the form and I will,” I encourage the parent and the student to have a conversation with me about responsibility, independence, and the educational process. I encourage the parent to see FERPA as encouraging the student to take ownership of his or her success and failures.

The legal responsibilities in this case are clear—the obligation is to the student who has not released the adviser to speak on her behalf. However, instead of merely telling the inquiring party that I can't speak with her, I would inform the student that this inquiry is ongoing and ask if she would like to come in with her father to discuss. I would not invite the father in for meeting or approach him directly but would instead encourage the student to work through this in partnership with me and her family.

Karen Archambault, director of student services, branch campus and higher education centers, Brookdale Community College, March 25, 2008



leaf  This case illustrates what appears to be an increasing trend and significant change the role parents play in post-secondary education. More and more parents are becoming highly involved in managing (some might use the term “micro-managing”) their children's university experience.

I would tell the parent requesting the information that I am not willing to discuss any aspect of Kim's activities without Kim being present. While it is true that Kim could sign a waiver to allow disclosure of information, I would still not disclose any information even with Kim's permission without Kim being present.

Rey Carr, CEO, Peer Resources, March 26, 2008


The Mentor is published by Penn State's Division of Undergraduate Studies
Available online at www.psu.edu/dus/mentor/
Privacy and Legal Statements | Copyright | © The Pennsylvania State University | All rights reserved