Confidentiality of Records: Professional Development for Educators Serving Students with Disabilities Sponsored by: Upper Cumberland Special Education

Confidentiality of Records:Professional Development for

Educators Serving Students with Disabilities

Sponsored by:Sponsored by:

Upper Cumberland Special Education Upper Cumberland Special Education CooperativeCooperative

Applicable LawsApplicable Laws

• Family ___________ Rights and Privacy Family ___________ Rights and Privacy Act of 1976, amended in 1994 Act of 1976, amended in 1994 (FERPA)(FERPA)

• Individuals with _______________ Act of Individuals with _______________ Act of 1991, amended in 1997 (IDEA)1991, amended in 1997 (IDEA)

• Kentucky _____________ Legislation of Kentucky _____________ Legislation of 1998 (HB 330)1998 (HB 330)

Importance of Importance of ConfidentialityConfidentiality

• If violations are found, ______________ If violations are found, ______________ may be withheldmay be withheld

• Parents may proceed in a private Parents may proceed in a private _____________ against the school _____________ against the school district seeking redress for violationsdistrict seeking redress for violations

• It’s the ________ thing to do!It’s the ________ thing to do!

DefinitionsDefinitions

• ConfidentialityConfidentiality– __________ all personally identifiable __________ all personally identifiable

data, information and records used, data, information and records used, or kept by the school district about a or kept by the school district about a studentstudent

– Applies to __________ about a student Applies to __________ about a student and the student’s recordand the student’s record


• DisclosureDisclosure– __________ access to, the release, __________ access to, the release,

transfer, and other communication of transfer, and other communication of educational records of a child or educational records of a child or youthyouth

– This includes disclosure made: This includes disclosure made: • __________________• in ____________in ____________• by any other means, including electronic by any other means, including electronic

transfer of informationtransfer of information


• Educational RecordEducational Record– Documents and other _______ Documents and other _______

information directly related to a child or information directly related to a child or youth which may include:youth which may include:• personal and _________ datapersonal and _________ data• evaluation and test dataevaluation and test data• _________, psychological, and progress _________, psychological, and progress

reportsreports• written accounts of conferenceswritten accounts of conferences• any other information used in working with any other information used in working with

the childthe child


• Eligible StudentEligible Student– A youth who has reached __or is A youth who has reached __or is

attending a post secondary education attending a post secondary education institutioninstitution

– If a court has established limited or If a court has established limited or full guardianship, the youth is full guardianship, the youth is notnot an an eligible studenteligible student


• Personally IdentifiablePersonally Identifiable– Data or information that include any of Data or information that include any of

the following:the following:• _________________ of child/youth, parent, or _________________ of child/youth, parent, or

other family memberother family member• personally identifiable number such as a personally identifiable number such as a

______ ________________________ __________________• list of __________ characteristics/traits or list of __________ characteristics/traits or

other information which make other information which make identification easyidentification easy

NoticeNotice

• Must be published ________ and Must be published ________ and before any major identification, before any major identification, location and evaluation activitylocation and evaluation activity

• Must be published in the local Must be published in the local ______________

• Must be published in all languages Must be published in all languages deemed necessarydeemed necessary

Access RightsAccess Rights

• ________ have the right to review ________ have the right to review and inspect their child’s and inspect their child’s educational recordeducational record

• _________________ have the right to _________________ have the right to review and inspect their review and inspect their educational recordseducational records


• _____ parents are allowed access to _____ parents are allowed access to their child’s educational recordtheir child’s educational record

• Access must be denied ifAccess must be denied if a legal a legal decree specifically __________ decree specifically __________ parental rightsparental rights

• Guardians, surrogates, and foster Guardians, surrogates, and foster parents have access rightsparents have access rights


• An explanation or interpretation of An explanation or interpretation of records must be provided upon records must be provided upon the _________ of a parent or eligible the _________ of a parent or eligible studentstudent

• A parent or eligible student may A parent or eligible student may authorize a _____________ to review authorize a _____________ to review and inspect recordsand inspect records


• Access should be grantedAccess should be granted – as soon as possibleas soon as possible– within ___ calendar days from the time within ___ calendar days from the time

the school personnel receives the the school personnel receives the request request

– ________ any ARC meeting or due ________ any ARC meeting or due process hearing takes placeprocess hearing takes place

– at a time and place mutually acceptable at a time and place mutually acceptable to the parent and LEA representativeto the parent and LEA representative


• _____________ must be provided in _____________ must be provided in the parent’s mode of the parent’s mode of communicationcommunication

• A _______ copy of the records shall A _______ copy of the records shall be provided to the parent or be provided to the parent or eligible student upon requesteligible student upon request


• Test protocols and private notes Test protocols and private notes are considered educational are considered educational records if records if __________________________ to __________________________ to othersothers

• As such, they may be accessed by As such, they may be accessed by parentsparents

Record of Access

• Each folder should properly document a Each folder should properly document a ________________________________________– This documentation includes:This documentation includes:

• Name of person who accessedName of person who accessed• Date access givenDate access given• Purpose for which request was madePurpose for which request was made

• Persons accessing confidential Persons accessing confidential information must have a __________ information must have a __________ educational interesteducational interest

RecordRecord of Accessof Access

• Everyone with a legitimate Everyone with a legitimate educational interest signs record of educational interest signs record of access access – ____________ parents, eligible youth, and ____________ parents, eligible youth, and

employees of the districtemployees of the district

• A _________ by names and positions of A _________ by names and positions of those who have access to recordsthose who have access to records must must bebe maintained for public inspectionmaintained for public inspection

Record of AccessRecord of Access

• The local school district must maintain The local school district must maintain a list of the _________________________ of a list of the _________________________ of educational recordseducational records

• If information is given on records of If information is given on records of _________ child/youth, information _________ child/youth, information about other children shall be protectedabout other children shall be protected

Record AmendmentRecord Amendment• A parent may request that A parent may request that

information be __________, if the information be __________, if the parent believes that information in parent believes that information in the child’s recordsthe child’s records– is inaccurateis inaccurate– is misleading is misleading – violates the privacy of the childviolates the privacy of the child

Record AmendmentRecord Amendment

• The local _______________must The local _______________must decide whether to amend the decide whether to amend the informationinformation – within 14 days of receipt of request within 14 days of receipt of request

• The district must _______ the The district must _______ the parent or eligible student whether parent or eligible student whether the information has been amended the information has been amended as requestedas requested


• If the local school district decides ______If the local school district decides ______

_______ information, within 7 calendar _______ information, within 7 calendar days of the decision they must days of the decision they must – provide a written explanation to the parents provide a written explanation to the parents – advise them of the right to a records advise them of the right to a records

amendment hearingamendment hearing– advise them of amendment hearing advise them of amendment hearing

procedures used by the school districtprocedures used by the school district


• If the parents request a _________If the parents request a _________ – it must be held in accordance with the local it must be held in accordance with the local

school district’s policies and proceduresschool district’s policies and procedures

• If the hearing decision is to amend the If the hearing decision is to amend the recordsrecords – the district amends the record and notifies the district amends the record and notifies

the parents or eligible student in _________the parents or eligible student in _________


• If the decision is to not amend the If the decision is to not amend the recordrecord– the parents are notified of the decision and the parents are notified of the decision and

the right to place in the records a the right to place in the records a __________ commenting on the information __________ commenting on the information and stating any reasons for disagreeing and stating any reasons for disagreeing with the decisionwith the decision

– any explanation must be maintained and any explanation must be maintained and disclosed as part of the educational recorddisclosed as part of the educational record in the futurein the future

Informed ConsentInformed Consent

• ________________ is needed to disclose ________________ is needed to disclose records to individuals or agencies records to individuals or agencies

• Parental consent is _____ required for Parental consent is _____ required for – directory informationdirectory information– disclosure to individuals on the consent disclosure to individuals on the consent

listlist


• School officials must haveSchool officials must have – a ___________, signed and dated consent a ___________, signed and dated consent

to release personally identifiable to release personally identifiable information from educational recordsinformation from educational records

• _________ apply to parties authorized _________ apply to parties authorized by law to receive such informationby law to receive such information


• The district may request a due The district may request a due process hearingprocess hearing– if a parent _________ to give consent for if a parent _________ to give consent for

the disclosure of educational records the disclosure of educational records needed to provide a free and needed to provide a free and appropriate education andappropriate education and

– the district _____________ with the the district _____________ with the parent’s refusalparent’s refusal

DisclosureDisclosure

• The local school district may The local school district may disclose personally identifiable disclose personally identifiable information without parental information without parental consentconsent – to a __________ in which the child to a __________ in which the child

seeks or intends to enrollseeks or intends to enroll– if the district receives a _________ if the district receives a _________

order or lawfully issued subpoenaorder or lawfully issued subpoena


• The local school district may disclose The local school district may disclose personally identifiable information personally identifiable information without parental consentwithout parental consent – when the request is for ______________ when the request is for ______________

informationinformation

– in an _______________ situation when it is in an _______________ situation when it is necessary to protect the health and necessary to protect the health and safety of a child/youth or other safety of a child/youth or other individualsindividuals

Disclosure

• Local school districts must maintain Local school districts must maintain records of ____________records of ____________ – as outlined in local policies and as outlined in local policies and

procedures procedures – for access to, and disclosure of, for access to, and disclosure of,

personally identifiable information personally identifiable information

• Exceptions are outlined in local school Exceptions are outlined in local school districts’ policies and proceduresdistricts’ policies and procedures


• Information from the educational Information from the educational records of another local school records of another local school district cannot be discloseddistrict cannot be disclosed until until the district gets __________________ the district gets __________________ for disclosurefor disclosure

SafeguardsSafeguards

• __________________must be ensured at all __________________must be ensured at all stage of dealing with recordsstage of dealing with records – collection, storage, disclosure, and collection, storage, disclosure, and

destructiondestruction

• An _________ from the local school An _________ from the local school district must be responsible for ensuring district must be responsible for ensuring the confidentiality of special education the confidentiality of special education recordsrecords


• All staff who have access to educational All staff who have access to educational records must receive ___________ records must receive ___________ regarding regarding

policies and procedures related to policies and procedures related to confidentiality confidentiality

• Local school district must maintain, and Local school district must maintain, and update each year, a current listing of update each year, a current listing of employees who may have _________to employees who may have _________to personally identifiable informationpersonally identifiable information


• Local school districts mustLocal school districts must– ensure computer files containing ensure computer files containing

educational records are ___________educational records are ___________– act in a responsible manner when act in a responsible manner when

sending and receiving _____ sending and receiving _____ containing confidential informationcontaining confidential information

Destruction of Records

• ____________ must be informed when ____________ must be informed when educational records are no longer educational records are no longer needed to provide educational needed to provide educational services to the studentservices to the student

• When a parent requests the When a parent requests the destruction of recordsdestruction of records, , information information is destroyed that is no longer is destroyed that is no longer ____________________

Destruction of Records Destruction of Records

• Personally identifiable information Personally identifiable information may be retained as required by the may be retained as required by the KY Department of Education student KY Department of Education student record ________________record ________________

• The local school district must notify The local school district must notify _______ of records that may be needed _______ of records that may be needed for Social Security eligibility for Social Security eligibility determinationdetermination

Destruction of RecordsDestruction of Records

• When a parent request destruction When a parent request destruction of records the district does not of records the district does not destroy any recordsdestroy any records– if there is an outstanding _______ to if there is an outstanding _______ to

inspect or review the recordsinspect or review the records– if records are needed for ____________ if records are needed for ____________

with applicable state and federal with applicable state and federal requirementsrequirements

Rights of the Child or Rights of the Child or YouthYouth

• Parents must be notified at least Parents must be notified at least _____ _____ prior to a youth’s 18th _____ _____ prior to a youth’s 18th birthdaybirthday – that parental rights will transfer to that parental rights will transfer to

the youth at age 18 the youth at age 18 • unless the district is provided with unless the district is provided with

evidence that proves the parent is the evidence that proves the parent is the guardian or youth's representative in guardian or youth's representative in educational matterseducational matters

Rights of the Child or Youth

• The local school district does not The local school district does not disclose educational records of a disclose educational records of a youth ___________ to parents withoutyouth ___________ to parents without– the youth’s written consentthe youth’s written consent– a court order, ora court order, or– proof the youth is a dependent as proof the youth is a dependent as

defined in section 152 of the Internal defined in section 152 of the Internal Revenue Code of 1954Revenue Code of 1954

Juvenile Court Records

• Courts may release certain juvenile Courts may release certain juvenile court records to a ____________court records to a ____________– these records must be kept these records must be kept

confidentialconfidential – the principal may ___________ them to the principal may ___________ them to

• counseling staff and counseling staff and • teachers to whom the child is assigned for teachers to whom the child is assigned for

instructioninstruction

Juvenile Court Records

• If the child transfers to another school,If the child transfers to another school, the principal should contact the principal should contact ______________ ____________ so they may ______________ ____________ so they may send the records to the new principalsend the records to the new principal

• Juvenile court information __________ be Juvenile court information __________ be revealed to any other personrevealed to any other person – Legal action may result if confidentiality is Legal action may result if confidentiality is

not applied to these recordsnot applied to these records

Juvenile Court RecordsJuvenile Court Records

• _______________ legislation _______________ legislation addresses additional juvenile court addresses additional juvenile court record issuesrecord issues

• For further information, refer to For further information, refer to the local school districts’ the local school districts’ __________________________

and _____________________and _____________________

Exercise 1: Exercise 1: Children’s Corner DaycareChildren’s Corner Daycare

The Children's Corner Daycare calls The Children's Corner Daycare calls a local school district and requests a local school district and requests that Sue's school records are that Sue's school records are forwarded to them. It is a small forwarded to them. It is a small community and the person receiving community and the person receiving the call is familiar with the caller. the call is familiar with the caller. Can the records be sent under these Can the records be sent under these conditions?conditions?

YES NO

Feedback 1: Feedback 1: Children’s Corner DaycareChildren’s Corner Daycare

The records cannot be sent without written parental consent. FERPA and IDEA do not allow a school district to send personally identifiable information to another agency without written parental authorization.

Exercise 2: AmberExercise 2: Amber

Amber's family moved to the Amber's family moved to the neighboring county. The neighboring county. The neighboring school district sent a neighboring school district sent a request for the transfer of records. request for the transfer of records. Can this information be Can this information be forwarded without parental forwarded without parental permission?permission?

YES NO

Feedback 2: AmberFeedback 2: Amber

The records can be sent to the neighboring school. FERPA requirements allow the school district to forward educational records on request to a school in which a student seeks to enroll.

Exercise 3: JaneExercise 3: Jane

Jane is a teacher assistant at Jane is a teacher assistant at Brownsville Elementary School. Brownsville Elementary School. Jane's close friend asked Jane to Jane's close friend asked Jane to check on the progress of the friend's check on the progress of the friend's nephew who also attends nephew who also attends Brownsville. Can Jane obtain this Brownsville. Can Jane obtain this information?information?

YESYES NONO

Feedback 3: JaneFeedback 3: Jane

Jane has no legitimate educational Jane has no legitimate educational interest in the progress of interest in the progress of someone's nephew; therefore, she someone's nephew; therefore, she has no right to review his progress. has no right to review his progress. In order for Jane to review the In order for Jane to review the progress of the nephew, she would progress of the nephew, she would have to be working directly with the have to be working directly with the child, but she still could not share child, but she still could not share the information with her friend. the information with her friend.

Exercise 4: SandyExercise 4: Sandy Sandy lives with her grandparents. Sandy lives with her grandparents.

Sandy's parents have legal custody of Sandy's parents have legal custody of Sandy, but they have a very limited Sandy, but they have a very limited role in the care of Sandy. Sandy's role in the care of Sandy. Sandy's teacher would like to initiate a referral teacher would like to initiate a referral due to a suspected learning disability. due to a suspected learning disability. Who has the right to give written Who has the right to give written permission to evaluate Sandy for the permission to evaluate Sandy for the suspected learning disability?suspected learning disability?

GRANDPARENTSGRANDPARENTS PARENTSPARENTS

Feedback 4: SandyFeedback 4: Sandy

The ARC chairperson can determine The ARC chairperson can determine that a person is "acting as a parent", that a person is "acting as a parent", and as such has all the rights of a and as such has all the rights of a parent until the parent reappears to parent until the parent reappears to reclaim his or her rights. Therefore, reclaim his or her rights. Therefore, Sandy's grandparents are "acting as Sandy's grandparents are "acting as a parent" and have the rights of a a parent" and have the rights of a parent in making educational parent in making educational decisions concerning Sandy.decisions concerning Sandy.

Exercise 5: MatthewExercise 5: Matthew Matthew's natural father arrives at Matthew's natural father arrives at

Matthew's school. He requests to see Matthew's school. He requests to see Matthew's school records. A review Matthew's school records. A review of Matthew's school records indicated of Matthew's school records indicated that Matthew's parents are divorced that Matthew's parents are divorced and that Matthew lives with his and that Matthew lives with his mother. Can the school allow access mother. Can the school allow access to educational records to Matthew's to educational records to Matthew's father?father?

YESYES NONO

Feedback 5: MatthewFeedback 5: Matthew

Both natural parents are allowed Both natural parents are allowed access to the educational records access to the educational records of a child, unless the school has of a child, unless the school has been informed that a parent is not been informed that a parent is not allowed due to some legal action. allowed due to some legal action. The fact that Matthew's parents The fact that Matthew's parents are divorced does not are divorced does not automatically take away his automatically take away his parental rights. parental rights.

Exercise 6: MaryExercise 6: Mary Mary is a parent member of a Site Mary is a parent member of a Site

Based Decision-Making Council. Based Decision-Making Council. Mary would Mary would like to have a look at the recent state like to have a look at the recent state test scores of all the students in Mrs. test scores of all the students in Mrs. Reed's class. Does Mary have access Reed's class. Does Mary have access to these records?to these records?

YESYES NONO

Feedback 6: MaryFeedback 6: Mary

Mary does not have the right to Mary does not have the right to access the students’ educational access the students’ educational records. A Site Based Decision-records. A Site Based Decision-Making member does not have Making member does not have access to personally identifiable access to personally identifiable information. Parent consent would information. Parent consent would have to be obtained from each have to be obtained from each parent to allow Mary access to the parent to allow Mary access to the students’ educational records.students’ educational records.

Exercise 7: BonnieExercise 7: Bonnie Bonnie has recently separated from Bonnie has recently separated from

Fred. Bonnie and Fred are the Fred. Bonnie and Fred are the natural parents of a student in your natural parents of a student in your classroom. Bonnie sends you a note classroom. Bonnie sends you a note that Fred is not to have any access to that Fred is not to have any access to any of their child's educational any of their child's educational records. Can the school honor records. Can the school honor Bonnie’s request?Bonnie’s request?

YESYES NONO

Feedback 7: BonnieFeedback 7: Bonnie

Both natural parents are allowed Both natural parents are allowed access to the educational records of access to the educational records of a child, unless the school has been a child, unless the school has been informed that a parent is not informed that a parent is not allowed access due to some legal allowed access due to some legal action. The fact that the parents are action. The fact that the parents are separated, and the mother has separated, and the mother has requested that the father not have requested that the father not have access does not constitute a legal access does not constitute a legal action.action.

Exercise 8: KrogersExercise 8: Krogers While shopping at Krogers, an adult While shopping at Krogers, an adult

in the community asks you, "How is in the community asks you, "How is that new guy in your class doing? I that new guy in your class doing? I heard that the police came to school heard that the police came to school this week to interview him." What this week to interview him." What information can you release information can you release concerning this student?concerning this student?

YESYES NONO

Feedback 8: KrogersFeedback 8: Krogers

No information may be released to No information may be released to the community member concerning the community member concerning this student. This community this student. This community member has no legitimate member has no legitimate educational interest, and is not educational interest, and is not accessible to personally identifiable accessible to personally identifiable information concerning any information concerning any student without written consent student without written consent from a parent. from a parent.

• Kathy Eversole

• Upper Cumberland Special Education Cooperative

• [email protected]