CEC Privacy Regulations & Ethical Standards 3 — Questions and Answers
Question 1: An enrollment counselor is approached by a law enforcement officer requesting a student's address without a court order. Under FERPA, the counselor should:
- Provide the address since law enforcement has authority
- Refuse and direct the officer to obtain a lawful court order or subpoena (Correct answer)
- Provide only the city and state, not the full address
- Contact the student first and then decide
Correct answer: Refuse and direct the officer to obtain a lawful court order or subpoena
FERPA generally requires a court order or lawfully issued subpoena before releasing student education records to law enforcement, absent a health/safety emergency exception.
Question 2: Which of the following is an example of a conflict of interest for an enrollment counselor?
- Recommending a program that best matches a student's stated goals
- Receiving a personal bonus from a third-party lender for steering students to their loans (Correct answer)
- Informing students of all available financial aid options
- Disclosing institutional policies honestly to prospective students
Correct answer: Receiving a personal bonus from a third-party lender for steering students to their loans
Receiving personal financial incentives for steering students toward specific lenders or products constitutes a conflict of interest and violates ethical enrollment standards.
Question 3: A student's parent calls demanding their adult child's enrollment status. The student has not provided written consent. What should the counselor do?
- Confirm enrollment since the parent is paying tuition
- Decline to confirm or deny enrollment without the student's written consent (Correct answer)
- Ask the parent to send an email request and then respond
- Provide only general information about the institution's programs
Correct answer: Decline to confirm or deny enrollment without the student's written consent
Once enrolled as a postsecondary student, FERPA rights belong to the student regardless of financial dependency, so disclosure requires the student's written consent.
Question 4: Under the Higher Education Act's incentive compensation ban, enrollment counselors are prohibited from receiving commissions or bonuses based on:
- The number of students who complete their programs
- The number of students successfully enrolled (Correct answer)
- Student satisfaction survey scores
- The accuracy of their enrollment paperwork
Correct answer: The number of students successfully enrolled
The HEA's incentive compensation ban prohibits institutions from compensating enrollment staff based on the number of students enrolled to prevent high-pressure recruiting practices.
Question 5: When a data breach exposes applicant personal information, what is the enrollment counselor's immediate ethical responsibility?
- Wait for legal counsel before notifying anyone
- Notify affected individuals and report the breach to appropriate institutional authorities (Correct answer)
- Delete all affected records to prevent further exposure
- Only notify applicants who specifically request information about their data
Correct answer: Notify affected individuals and report the breach to appropriate institutional authorities
Ethical and legal obligations require prompt notification of affected individuals and internal reporting so the institution can contain the breach and comply with applicable breach notification laws.
Question 6: Which of the following practices best demonstrates an enrollment counselor's commitment to ethical marketing?
- Emphasizing only positive job placement statistics without context
- Providing accurate graduation rates and employment outcomes as reported under federal disclosure requirements (Correct answer)
- Targeting vulnerable populations with aggressive recruitment tactics
- Omitting information about loan default rates to avoid discouraging applicants
Correct answer: Providing accurate graduation rates and employment outcomes as reported under federal disclosure requirements
Ethical marketing requires presenting accurate, federally mandated disclosures such as graduation rates and employment outcomes so prospective students can make informed decisions.
Question 7: A prospective student requests that an enrollment counselor complete their FAFSA on their behalf and submit it. What is the appropriate action?
- Complete and submit the FAFSA to expedite enrollment
- Assist and guide the student but have the student complete and submit it themselves (Correct answer)
- Refuse all assistance with the FAFSA process
- Submit it only if the student signs a written authorization
Correct answer: Assist and guide the student but have the student complete and submit it themselves
Enrollment counselors may assist and explain the FAFSA process, but the student must personally complete and certify their own application to ensure accuracy and legal compliance.
CEC Privacy Regulations & Ethical Standards 3
An enrollment counselor is approached by a law enforcement officer requesting a student's address without a court order.
Under FERPA, the counselor should: