Section:5000 Students
Policy Name:REGULATION: Student Records: Confidentiality
Policy Number:5125 REG
Date Approved:10/10/1989
Last Revised:5/1/2005


Definitions

As used in this regulation:

1. "Student Record" means any item of information directly related to an identifiable student, which is maintained by the school district or required to be maintained by an employee in the performance of his/her duties whether recorded by handwriting, print, tapes, film microfilm or other means. Student records include information relative to an individual student gathered within or without the school system and maintained within the school district, regardless of the physical form in which is it maintained. Any information, which is maintained for the purpose of review by a second party, is considered a student record.

"Student record" shall not include records related to a student compiled by a school officer or employee which, used only as a personal memory aid, remain in the sole possession of the maker and are not accessible or revealed to any other person except a substitute.

"Substitute" means a person who performs the duties of the individual who made the notes on a temporary basis, and does not refer to a person who permanently succeeds the maker of notes in his or her position. Medical records are not open to public inspection.

2. "Directory information" means one or more of the following items: student's name, address, telephone number, email address, photograph, date and place of birth, major field of study, participation in officially recognized activities and sports, weight and height of members of athletic teams, dates of attendance, degrees and awards received, and the most recent previous public or private school attended by the student.

3. "Parent" means a natural parent, an adopted parent, or legal guardian. If parents are divorced or legally separated, both the parent granted custody and the parent not granted custody have the legal right of access to the academic, medical, hospital or other health records of the child, unless a court order prohibits access.

Whenever a student has attained eighteen (18) years or is attending an institution of post-secondary education, the permission or consent required of, and the rights accorded to, the parents or guardian of the student shall thereafter be required of, and accorded to, the student.

4. "Access" means a personal inspection and review of a record or an accurate copy of a record, an oral description or communication of a record or an accurate copy of a record and a request to release a copy of any record.

5. "Student" means a person who is or was enrolled in a school.

6. "Eligible student" means a person eighteen (18) years or older or who has completed Grade 10, or is attending an institution of post-secondary education.

Types of Records

The school district shall maintain only the following three categories of records consistent with the records retention schedule promulgated by Connecticut Public Records Administrator, as amended from time to time:

1. Mandatory Permanent Student Records are those records which are maintained in perpetuity and which schools have been directed to compile by statute, regulation, or authorized administrative directive. Such records shall include the following:

a) Legal name of student
b) Date of birth
c) Method of verification of birth date
d) Sex of student
e) Place of birth
f) Name and address of parent of minor student

--Address of minor student if different than the above
--An annual verification of the name and address of the parent and the residence of the student

g) Entering and leaving date of each school year and for any summer session or other extra session
h) Subjects taken during each year, half-year, summer session or quarter
i) If marks or credit are given, the mark or number of credits toward graduation allowed for work taken
j) Verification or exemption from required immunizations
k) Date of high school graduation or equivalent)
l) Any notice of expulsion based upon possession of a firearm or deadly weapon.

2. Mandatory Interim Student records are those records, which the schools are directed to compile and maintain for stipulated periods of time and are then destroyed as per statute, regulations, or authorized administrative directive. Such records include the following:

a) A log or record shall be maintained for each student's record which lists all persons, agencies or organizations requesting or receiving information from the record, and the legitimate interests therefore.

(Exception from listing, see page 5125(o), Access Log, 2.).

b) Health information, including Child Health Developmental Disabilities Prevention Program verification or waiver.

c) Participation in special education programs including required tests, case studies, authorizations, and actions necessary to establish eligibility for admission or discharge

d) Language training records

e) Progress slips and/or notices

f) Parental restrictions regarding access to directory information or related stipulations

g) Parent or adult student rejoinders to challenged records and to disciplinary action

h) Parental authorizations or prohibitions of student participation in specific programs

i) Results of standardized tests administered within the preceding three years

j) Notice of any expulsion and the conduct for which the student was expelled shall be included on the student's cumulative educational record. Such notice except as stated in subsection 1(l) above shall be expunged from the cumulative educational record upon graduation from high school.

3. Permitted Records are those records having clear importance only to the current educational process of the student. Such records may include the following:

a) Objective counselor and/or teacher ratings

b) Standardized test results older than three years

c) Routine discipline data

d) Verified reports of relevant behavioral patterns

e) All disciplinary notices

Maintenance and Security of Pupil Records

1. Custodian of Records


a) The Director of Pupil Services for the Plainville school district has been designated custodian of student records. The address of the custodian is Board of Education, 69 Linden Street, Plainville, Connecticut 06062.

--The custodian is charged with district-wide responsibility for implementing board of education policies and administrative regulations relating to student records.
--The custodian shall be responsible for security of student records and shall devise procedures for assuring that access to such records is limited to authorized persons.
--The custodian of records or a designated certified employee shall be responsible during the inspection for interpretation of the records where necessary and for prevention of their alteration, damage or loss.

b) In each school, the principal, or a certified employee designated by the principal, is responsible for implementation of board of education policies and administrative regulations relating to student records maintained in that school.

2. Files

a) A record for each individual student shall be maintained in a central file at the school attended by the student, or when records are maintained in different locations, a notation shall be placed in the central file indicating where such records may be found.
b) Student records shall be stored in locked containers or rooms.

3. Information


a) All anecdotal information and assessment reports maintained as student records must be dated and signed by the individual who originated the record. Each school principal shall keep on file a record of enrollment and scholarship for each student currently enrolled in that school.

Access to Student Records

1. Parents


a) Parents of currently enrolled or former students shall have an absolute right during regular business hours to access to any and all student records related to their children, which are maintained by the district. Neither the student record, nor any part thereof, shall be withheld or edited. If the student records contain information on more than one student, the parent may inspect and review or be informed of only the specific information, which pertains to that student.
b) A parent or guardian's request for access to student records shall be made in writing to the custodian of student records. Where a request for records is made by a parent of a student requiring special education, and the request is made in order to prepare for a planning and placement team meeting or a due process hearing, such records will be provided within three days of receipt of such request.
c) A requesting parent shall be notified of the location of all student records, if not centrally located.
d) When a parent's dominant language is not English, the district shall make an effort to
--provide interpretation of the student record in the dominant language of the parent, or
--assist the parent in securing an interpreter.

2. Parental Consent

a) The custodian of student records may permit access to student records during regular school hours
--to any person for whom a student's parent has executed written consent specifying the records to be released and identifying the party or class of parties to whom the records may be released; or
--to the student if he/she is an emancipated minor, eligible student, or has entered a post secondary educational institution.
b) The recipient must be notified that the transmission of the information to others without the written consent of the parent is prohibited.
c) The consent notices shall be kept permanently with the student record.
d) Upon request, the district shall provide the parent/eligible student with a copy of the record, which is disclosed. [USDE 99.10(d)]

3. Without Parental Consent

The district may disclose personally identifiable information from an education record of a student without the consent if the disclosure meets one or more of the following conditions:
a) The disclosure is to other school officials, including teachers, within the district whom the district has determined to have legitimate educational interests.
b) The disclosure is to officials of another school, school system, or institution of post secondary education where the student seeks or intends to enroll.
c) The disclosure is to authorized representatives of the Comptroller General of the United States, the Attorney General of the United States, the Secretary of Education, or State and local educational authorities.
d) The disclosure is in connection with financial aid for which a student has applied or which a student has received, if the information is necessary for such purposes as to determine eligibility for the aid, determine the amount of the aid, determine the conditions of the aid, or enforce the terms and conditions of the aid.
e) The disclosure is to State and local officials or authorities if the disclosure concerns the juvenile justice system and its ability to effectively serve the student whose records are released.
f) The disclosure is to organizations conducting studies for, or on behalf of, educational agencies or institutions to:
--Develop, validate, or administer predictive tests.
--Administer student aid programs.
--Improve instruction.
--The agency or institution may disclose such information only if: the study is conducted in a manner that does not permit personal identification of parents and students by individuals other than representatives of the organization; and the information is destroyed when no longer needed for the purposes for which the study was conducted.
g) The disclosure is to accrediting organizations to carry out their accrediting functions.
h) The disclosure is to parents of a dependent student, as defined in section 152 of the Internal Revenue Code of 1986.
i) The disclosure is to comply with a judicial order or lawfully issued subpoena.
--The district may disclose information under this paragraph only if the district makes a reasonable effort to notify the parent or eligible student of the order or subpoena in advance of compliance, so that the parent or eligible student may seek protective action, unless the disclosure is in compliance with:
--A Federal grand jury subpoena and the court has ordered that the existence or the contents of the subpoena or the information furnished in response to the subpoena not be disclosed; or
--Any other subpoena issued for a law enforcement purpose and the court or other issuing agency has ordered that the existence or the contents of the subpoena or the information furnished in response to the subpoena not be disclosed.
--If the district initiates legal action against a parent or student, the district may disclose to the court, without a court order or subpoena, the education records of the student that are relevant for the district to proceed with the legal action as plaintiff.
--If a parent or eligible student initiates legal action against the district, the district may disclose to the court, without a court order or subpoena, the student's education records that are relevant for the district to defend itself.
j) The disclosure is in connection with a health or safety emergency.
k) The disclosure is information the district has designated as "directory information."
l) The disclosure is to the parent of a student who is not an eligible student or to the student.

4. Nothing in this regulation shall preclude the district from providing in its discretion, statistical data from which no student may be identified to any public agency or entity or private nonprofit college, university, or educational research and development organization when such actions would be in the best educational interests of students.

5. Criteria

a) One exception, which permits disclosure without consent, is disclosure to school officials with legitimate educational interests. A "school official" is a person employed by the district as an administrator, supervisor, instructor, or support staff member (including health or medical staff and law enforcement unit personnel); a person serving on the Board of Education; a person or company with whom the district has contracted to perform a special task (such as an attorney, auditor, medical or educational consultant or therapist); or a person serving on a Board of Education committee, such as a disciplinary or grievance committee, or as a hearing officer in discipline cases, or assisting another school official in performing his or her tasks.
b) A school official has a "legitimate educational interest" if the official needs to review an educational record in order to fulfill his or her professional responsibility.

Challenging Contents of Records

1. Student Records Amendment
a) Following an inspection and review of a student's record, the parent or guardian of the student or former student or eligible student may challenge the content of any student record if.
--inaccurate,
--misleading; or
--in violation of the student's privacy rights.

b) Within 30 days of receipt of such request, the superintendent or designee shall meet with the parent or guardian and the certified employee who recorded the information in question, if any, and if such employee is presently employed by the school district.
c) The information shall be corrected or removed if the superintendent sustains any or all of the allegations.
d) If the superintendent denies any or all of the allegations and refuses to order the correction or the removal of the information, the parent or guardian may, within 30 days of the refusal, appeal the decision in writing.

--The district shall then give the parent or eligible student, on request, an opportunity for a hearing to challenge the content of the student's education records on the grounds that the information contained in the education records is inaccurate, misleading, or in violation of the privacy rights of the student.

--The hearing must meet, at a minimum, the following requirements;

--The district shall hold the hearing within 30 days after it has received the request for the hearing from the parent or eligible student.

--The district shall give the parent or eligible student notice of the date, time, and place, reasonably in advance of the hearing.

--The hearing may be conducted by any individual, including an official of the district (i.e. a principal of a school other than the one at which the record is on file), who does not have a direct interest in the outcome of the hearing.

--The district shall give the parent or eligible student a full and fair opportunity to present evidence relevant to the issues raised. The parent or eligible student may, at his or her own expense, be assisted or represented by an individual of his or her own choice, including an attorney.

--The district shall make its decision in writing within a reasonable period of time after the hearing.

--The decision must be based solely on the evidence presented at the hearing, and must include a summary of the evidence and the reasons for the decision.

--If, as a result of the hearing, the district decides that the information is inaccurate, misleading, or otherwise in violation of the privacy rights of the student, it shall amend the record accordingly; and inform the parent or eligible student of the amendment in writing.

-If, as a result of the hearing, the district decides that the information in the education record is not inaccurate, misleading, or otherwise in violation of the privacy rights of the student, it shall inform the parent or eligible student of the right to place a statement in the record commenting on the contested information in the record or stating why he or she disagrees with the decision of the district, or both. Such a statement shall be maintained with the contested part of the record for as long as the record is maintained; and disclosed whenever the portion of the record to which the statement relates is disclosed.

Directory Information

1. The following student information is declared to be directory information:
a) Name
b) Address
c) Telephone number
d) Email address
e) Photograph
f) Date and place of birth
g) Major field of study
h) Participation in officially recognized activities and sports
i) Weight and height of members of athletic teams
j) Dates of attendance
k) Degrees and awards received
l) Most recent previous public or private school attended by the student

2. Directory information may be released to the following:

a) Federal, state and local governmental agencies
b) Representatives of the news media, including but not limited to newspapers, magazines and radio and television stations
c) Employers or prospective employers
d) Nonprofit youth organizations

3. Subject to the provisions of C.G.S. 1-210(b)(11), high schools shall provide the same directory information and on-campus recruiting opportunities to military recruiters as are offered to nonmilitary recruiters or commercial concerns. (cf. 5145.14 On-Campus Recruitment)

4. No information may be released to a private profit-making entity other than employers, prospective employers and representatives of the news media.

5. The names and addresses of students enrolled in grade 12 or who have terminated enrollment prior to graduation may be provided, in accordance with the terms of the law, to a private school or college cooperating under state law.

6. The custodian of records will normally limit or deny the release of specific categories of directory information unless he determines that such release is required by law or is in the best interests of students.

7. Notice shall be given annually of the categories of information, which the school district plans to release, and of the recipients.

a) The school shall allow a reasonable period of time after such notice has been given for a parent or guardian to inform the custodian of student records that any or all of the information designated should not be released without the parent's or guardian's prior consent.
b) No directory information shall be released regarding any student when a parent or guardian has notified the school that such information shall not be released.

Access Log
1. A log or record shall be maintained for each student's record which lists all persons, agencies, or organizations requesting or receiving information from the record and the legitimate educational interests.

2. Such listing need not include the following:

a) Parents or students to whom access is granted.

b) Parties to whom directory information is released.

c) Parties for whom written consent has been executed by the parent or guardian.

d) School officials or employees having a legitimate educational interest.

e) A party receiving or seeking the records as directed by a federal grand jury or other law enforcement subpoena and the issuing court or other issuing agency has ordered that the existence or the contents of the subpoena or the information furnished in response to the subpoena not be disclosed.

3. The log or record shall be open to inspection only by a parent or guardian and the custodian of student records, or the custodian's designee, and to other school officials with legitimate interests in the records, and to the Comptroller General of the United States, the Secretary of Education, an administrative head of an education agency as defined in 20 U.S.C. 1232g., and state educational authorities as a means of auditing the school system's operations.

Fee for Reproducing Records
1. A fee based upon the actual cost of reproduction, handling and postage (if any) shall be charged for furnishing copies of any student record.

2. The custodian of student records annually shall recommend a fee schedule for approval by the Board of Education.

3. No fee shall
a) effectively prevent the parents or guardians from exercising their right to inspect and review student records.
b) be charged for searching or retrieving a student's record.
c) be made for furnishing
d) be charged for one copy of the records of a student receiving special education.
--up to two transcripts of former student's records.
--up to two verifications of various records of former students.

Transfer of Student Records

1. Whenever the district is notified that a student has enrolled in a school in another school district, the district shall

a) transfer the student's education records to the new school district no later than ten days after receipt of such notification, and
b) if the student's parent or guardian did not give written authorization for the transfer of such records, shall send notification of the transfer to the parent or guardian at the same time that it transfers the records.

2. Student records shall not be withheld from the requesting district because of any charges or fees owed by the student or the student's parents or guardian.

3. All student records shall be updated prior to transfer.

4. Parent Notification

a) If the transfer is a within-state transfer, the receiving school shall notify the parents of the record transfer.
b) If the student transfers out of state, the custodian of the student records shall notify the parents or guardian at their last known address of the rights accorded them. (HEW Reg. 99.34)
c) The notification shall include a statement of the parent's or guardian's right to review, challenge, and receive a copy of the student record, if desired.

Retention and Destruction of Student Records

1. No additions, except routine updating, shall be made to a student's record after high school graduation or permanent departure without the parent's or guardian's prior consent for those students who have not reached the age of eighteen years. Adult students may give consent for themselves.

2. The guide to disposal of municipal records in Connecticut is found in Connecticut General Statutes 7-109. For disposal of education records, see Schedule V of "Records Retention Schedules 1982" published by the Public Records Administration, Connecticut State Library, Hartford, Connecticut.

3. The method of destruction shall assure that records are not available to possible public inspection during the destruction process.

Subpoenaed Records
If the school is served with a subpoena issued by competent authority directing the production of school or student records in connection with any court proceeding, the school upon which such subpoena is served may deliver such record, or at its option a copy thereof, to the clerk of such court. Such clerk shall give a receipt for the same and shall be responsible for the safekeeping of such records, not permitting the removal of such records from the premises of the court. The clerk shall notify the school to call for the subpoenaed record when it is no longer needed for use in court.

Any such record so delivered to the clerk of the court shall be sealed in an envelope, which shall indicate the name of the school or student, the name of the attorney subpoenaing the same and the title of the case referred to in the subpoena.

No such record or copy shall be open to inspection by any person except upon the order of a judge of the court concerned, and any such record or copy shall at all times be subject to the order of such judge.

Any and all parts of any such record or copy, if not otherwise inadmissible, shall be admitted in evidence without any preliminary testimony, if there is attached thereto the certification in affidavit form of the person in charge of such record indicating that such record or copy is the original record or copy thereof, made in the regular course of such business to make such record and that it was the regular course of such business to make such record at the time of the transactions, occurrences or events recorded therein or within a reasonable time thereafter.

A subpoena directing production of such school or student records shall be served not less than eighteen (18) hours before the time for production, provided such subpoena shall be valid if served less than eighteen (18) hours before the time of production if written notice of intent to serve such subpoena has been delivered to the person in charge of such records not less than eighteen (18) hours nor more than two weeks before such time for production.

Notification to Parents

1. Parents shall be notified in writing of their rights under this regulation upon the date of the student's initial enrollment, and thereafter at least annually. The notice shall be in a form, which reasonably notifies parents of the availability of the following specific information:
a) The type of student records and information contained therein, which are directly related to students and maintained by the school system.
b) The position of the person responsible for the maintenance of each type of record.
c) The location of the log or record required to be maintained.
d) The criteria to be used by the school district in defining "school officials and employees" and in determining "legitimate educational interest."
e) The policies of the school district for reviewing and expunging student records.
f) The right of the parent or guardian to access to student records.
g) The procedures for challenging the content of student records.
h) The policy that no fee will be charged for up to two copies of a record.
i) The categories of information, which the school district has designated as directory information.
j) The right of the parent to file a complaint with the United States Department of Education concerning an alleged failure by the school system to comply with the provisions of Section 438 of the Federal Education Provisions Act (20 U.S.C.A. 1232g).

Listing of Employee Access to Student Record

Superintendent of Schools: All student records current and past
Directors: All student records
current and past
System-wide Custodian of Records: All student records current and past
Supervisor of Special Services: All student records
current and past
Principals and Assistant Principals: Records of all students assigned to classes within their buildings or being considered for transfer to their schools.
High School Principals: Records of students previously graduated or withdrawn.
Secondary and Elementary Principals: Records of students currently enrolled in their school.
Classroom Teachers: Classroom Records.
School Nurses: Health records of all students enrolled in the building of their school assignment.
Special Services Personnel: Records of all students currently assigned to or Special Education Teachers being considered for their programs.
Psychologist: Records of students whom they are asked to assess/observe (or have assessed or observed).
Speech Staff: Records of students currently assigned to their programs or being considered for speech.
Social Workers and Case Workers: Records of students referred to them and under their management.
Auxiliary Personnel: Records of currently assigned counsels.
School Counselors: Records of students in case load.
Supervisor of School Counseling Services: Records of all students currently enrolled in high school. Since records of past students are housed at the high school, access to these records for transcript purposes.
Reading Staff: Records of students currently assigned or being considered for assignment to their programs.
Secretaries: By virtue of the fact that the job description of School elementary, middle & secretaries calls for filing, completing transcripts, High, Special Services forwarding records, writing letters, and completing assignments involving students in their schools or programs access refers to their responsibility in maintaining student records in their respective schools under the supervision of the System and Building Custodian of Records. In adhering to the law providing for the protection of confidentiality and rights of parents and adult students, employees listed in the current directory not falling into the above categories are restricted from access to student records, e.g. Aides, monitors, technicians, etc.; Cafeteria workers; Central office staff other than those listed above; Custodians; Library workers; Substitutes (unless long term and with permission of Building Custodian of Records)

The current directory listing the names of employees in the above categories is on file in each school and in the Board of Education office at One Central Square, Plainville.

Legal Reference:
Connecticut General Statutes

1-210(b)(11) & (17) Access to public records. Exempt records.

7-109 Destruction of documents

10-15b Access of parent or guardians to student's records

10-94i Rights and liabilities of surrogate parents

10-154a Professional communication between teacher or nurse
and student

10-209 Records not to be public

10-221b Board of Education to establish written uniform policy re treatment of recruiters

46b-56 (e) Access to records of minors

Federal Family Educational Rights and Privacy Act of 1974 (section 438 of the General Education Provisions Act, as amended, added by section 513 of P.L. 93-568, codified at 20 U.S.C. 1232g.)

Regulations of the U.S. Dept. of Education published in 45 C.F.R. 99

Connecticut Public Records Administration Schedule V
Disposition of Education Records

Conn. Gen. Stat.§ 10-233d(f) Expulsion of Pupils

Conn. Department of Education Regulations § 10-76d-18(b)(2) Policies and Procedures for Records