South Dakota Department of Education & Cultural Affairs

South Dakota Department of Education

ADMIN - Office of Data Collection

POLICY STATEMENT - SR(1)

ISSUED - September 4, 1997

TITLE: Student Records - Data Confidentiality

Authorization:
Student records (SR) will be submitted to the South Dakota Department of Education & Cultural Affairs (DECA) - Office of Data Collection from all accredited South Dakota schools beginning with the 1997-98 school year. Authorization to establish this system of data collection is provided by SDCL 13-3-1.4 and 13-3-5 (see Exhibit 1).

Purpose:
The collection of student records will replace (beginning with the 1998-99 school year) previously reported aggregated data from the following reports:

Fall Enrollment,
Special Needs Child Count,
State Aid Application/Annual Report Student Data (Part I)
Students Participating in Limited English Proficiency Programs Report (LEP),
Free & Reduced Lunch Eligibility Report*, and
Graduate Survey.

Student data will help facilitate the following:

promote efficiencies (reduce reporting burden),
build on existing technologies,
provide a common basis of data reporting, and
allow accountability needed for state funding.

Data Elements:
Current student record data elements are listed on Exhibit 2.

All information submitted will be considered an education record and therefore is protected by the Family Educational Rights and Privacy Act (FERPA, Exhibit 3). This federal law limits who can see an education record without the consent of the student's parent, and it provides for the parents' right to see what is kept in the records.

Access to SR Information:
DECA will comply with all applicable provisions of FERPA . Access to all student data (including name and identification numbers) will be limited to staff directly working to ensure the validity and accuracy of the data. Once the accuracy of the data has been determined, students' names and any identification number will be deleted prior to data disclosure. All statistical data requests will be aggregated to a level to ensure student confidentiality. DECA shall maintain a record of authorized personnel to access student records.

Parents and eligible students may access their child's student data upon filing of a request form (Exhibits 4-1 through 4-8). A verification process will be established by this office to assist it's staff in determining the validity of the request. A reasonable fee may be charged if copies of the records are requested. The fee imposed may not serve to deter a parent from reviewing his or her child's record.

Non-custodial parents may also access their child's records unless there is a legally binding document that specifically removes the parent's FERPA rights. Custody or other residential arrangements for a child do not, by themselves, affect the FERPA rights of a child's parents.

Requests from a third party (e.g., a relative, lawyer, news reporter) not authorized under FERPA will require parental consent. The requester should include a written, signed and dated parental consent form with data request. The data request must: specify the information to be released; state the purpose of the release; and identify the individuals or entities to whom the release may be made.

Requests from a third party authorized under FERPA (e.g., auditors, court orders) must also specify the information to be released; the purpose of the release and identify the individual or entity to whom the release will be made. In addition, prior to the release the request must be reviewed and approved by the Secretary of the Department of Education and Cultural Affairs or an appointed staff designee. Outside parties receiving student records must also receive a written explanation of their responsibilities with regards to FERPA (Exhibit 5-1). Any third party that inappropriately re-releases student identifiable information cannot have access to education records for five years.

DECA/Office of Data Collection shall maintain a record of access and release of records (for a period of three years), including the names of persons retrieving the records and the purposes for each release.

*Child & Adult Nutrition Services (CANS) will continue to request an October survey to determine number of students eligible, number of meals, prices and days served by site.

Exhibit 1
Statutory Authorization to Collect Student Data

The authority to require the submission of data is found in the following two statutes:

1) § 13-3-1.4. General supervision of accredited elementary and secondary schools and postsecondary technical institutes.

Subject to policies established by the South Dakota Board of Education, the secretary of the Department of Education and Cultural Affairs has general supervision over all accredited elementary and secondary schools and postsecondary technical institutes in the state, including adult education, kindergarten, preschool, and summer schools.

2) § 13-3-51. Data reporting and record systems.

It shall be the duty of the secretary of the department of education and cultural affairs to establish a uniform system for the gathering and reporting of educational data for the keeping of adequate educational and financial records and for the evaluation of educational progress.

Exhibit 2
Student Record Data Elements

Student Record Data Elements:

1) Reporting Period
2) School Year
3) District Number
4) School Number
5) First Name
6) Middle Initial
7) Last Name
8) Date of Birth
9) Gender
10) Race/Ethnicity
11) Student Record Identification Number
12) Student Social Security Number
13) Free Meal Eligible
14) Reduced Meal Eligible
15) Grade Level
16) Resident School District
17) Attending School District
18) Status Start Date
19) Status End Date
20) Percent Enrolled
21) Exit/Withdrawal Type
22) County of Residence
23) Membership Days
24) Attendance Days
25) Limited English Proficiency (LEP) Program Eligible
26) LEP Language
27) Special Education Placement Category
Special Education Services: Elements 28-40
28) Occupational Therapy
29) Physical Therapy
30) Psychological Services
31) Counseling Services
32) Social Work Services
33) Audiological Services
34) Recreational Therapy
35) School Health Services
36) Speech/Language Therapy
37) Transportation
38) Other Therapy Services
39) Assistive Technology Services
40) Orientation & Mobility Services
41) Instructional Program Type
42) Special Education Primary Disability
43) Graduate Status
44) Enrollment Status
45) Multiple Disability 1
46) Multiple Disability 2
47) Multiple Disability 3
48) Multiple Disability 4
49) Multiple Disability 5

For further definitions and/or questions regarding any of the above data elements, please contact:

South Dakota Department of Education & Cultural Affairs
Office of Data Collection
700 Governors Drive
Pierre, SD 57501-2291
Phone # (605) 773-3248
Fax # *(605) 773-6139
E-mail address: susanr@deca.state.sd.us

Exhibit 3
The Family Educational Rights and Privacy Act (FERPA)

Student education records are official and confidential documents protected by one of the nation's strongest privacy protection laws, the Family Educational Rights and Privacy Act (FERPA). FERPA, also known as the Buckley Amendment, defines education records as all records that schools or education agencies maintain about students.

FERPA gives parents (as well as students in postsecondary schools) the right to review and confirm the accuracy of education records. This and other United States "privacy" laws ensure that information about citizens collected by schools and government agencies can be released only for specific and legally defined purposes. Since enacting FERPA in 1974, Congress has strengthened privacy safeguards of education records through this law, refining and clarifying family rights and agency responsibilities to protect those rights.

FERPA's legal statute citation can be found in the U.S. Code (20 USC 1232g), which incorporates all amendments to FERPPA. FERPA regulations are found in the Federal Register (34 CFR Part 99). FERPA's 1994 amendments are found in Public Law (P.L.) 103-382.

FERPA Protects Privacy

FERPA applies to public schools and state or local education agencies that receive Federal education funds, and it protects both paper and computerized records. In addition to the Federal laws that restrict disclosure of information from student records, most states also have privacy protection laws that reinforce FERPA. State laws can supplement FERPA, but compliance with FERPA is necessary if schools are to continue to be eligible to receive Federal education funds.

FERPA requires schools and local education agencies to annually notify parents of their rights under FERPA. The notice must effectively inform parents with disabilities or who have a primary home language other than English. The annual notice pertaining to FERPA rights must explain that parents may inspect and review records and, if they believe the records to be inaccurate, they may seek to amend them. Parents also have the right to consent to disclosures of personally identifiable information in the record, except under authorized circumstances.

FERPA gives both parents, custodial and noncustodial, equal access to student information unless the school has evidence of a court order or state law revoking these rights. When students reach the age of 18, or when they become students at postsecondary education institutions, they become "eligible students' and rights under FERPA transfer to them. However, parents retain access to student records of children who are their dependents for tax purposes.

FERPA Defines an Education Record

Education records include a range of information about a student that is maintained in schools in any recorded way, such as handwriting, print, computer media, video or audio tape, film, microfilm, and microfiche. Examples are:

Date and place of birth, parent(s) and/or guardian addresses, and where parents can be contacted in emergencies;

Grades, test scores, courses taken, academic specializations and activities, and official letters regarding a student's status in school;

Special education records;

Disciplinary records;

Medical and health records that the school creates or collects and maintains;

Documentation of attendance, schools attended, courses taken, awards conferred, and degrees earned;

Personal information such as student's identification code, social security number, picture, or other information that would make it easy to identify or locate a student.

Personal notes made by teachers and other school officials that are not shared with others are not considered education records. Additionally, law enforcement records created and maintained by a school or district's law enforcement unit are not education records.

Part of the education record, known as directory information, includes personal information about a student that can be made public according to a school system's student records policy. Directory information may include a student's name, address, and telephone number, and other information typically found in school yearbooks or athletic programs. Other examples are names and pictures of participants in various extracurricular activities or recipients of awards, pictures of students, and height and weight of athletes.

Each year schools must give parents public notice of the types of information designated as directory information. By a specified time after parents are notified of their review rights, parents may ask to remove all or part of the information on their child that they do not wish to be available to the public without their consent.

FERPA Guarantees Parent Review and Appeal

If, upon review, parents find an education record is inaccurate or misleading, they may request changes or corrections, and schools and education agencies must respond promptly to these requests.

Requests should be made in writing, according to an agency's annual notice of procedures for exercising rights to amend records. Within a reasonable time period, the school or agency must decide if the request to change a record is consistent with its own assessment of the accuracy of the record. If a parent's request is denied, he or she must be offered the opportunity for a hearing. If the disagreement with the record continues after the hearing, the parent may insert an explanation of the objection in the record. FERPA's provisions do not apply to grades and educational decisions about children that school personnel make.

While parents have a right to review records, schools are not required by Federal law to provide copies of information, unless providing copies would be the only way of giving parents access. Schools may charge a reasonable fee for obtaining records, and they may not destroy records if a request for access is pending.

FERPA Restricts Disclosure of Student Records

Local education agencies and schools may release information from students' education records with the prior written consent of parents, under limited conditions specified by law, or as stated in local agencies' student records policies. The same rules restricting disclosures apply to records maintained by third parties acting on behalf of schools, such as state and local education agencies, intermediate administrative units, researchers, psychologists, or medical practitioners who work for or are under contract to schools.

If an agency or school district has a policy of disclosing records, it must specify the criteria for determining school officials within an agency, including teachers, who have a legitimate educational interest. Generally, school officials have legitimate educational interest if they need to review an education record to fulfill their professional responsibilities.

Teachers and school officials who work with the students and schools to which students apply for entrance may also have access to education records without prior consent of the parent. In addition, information from students' records may be released to state and local education officials to conduct audits or to review records in compliance with Federal laws. Schools may also disclose information from education records without the consent of parents in response to subpoenas or court orders. A school official must make a reasonable effort to notify the parent before complying with the subpoena unless the subpoena is issued to enforce a law and specifies not to notify the parent. In emergencies, school officials can provide information from education records to protect the health or safety of the student or others.

There are cases when schools or school systems decide it is in the public interests to participate in policy evaluations or research studies. If student records are to be released for these purposes, the school or school system must obtain prior consent of the parent. Signed and dated written consent must:

Specify the records that will be released;

State the reason for releasing the records;

Identify the groups or individuals who will receive the records.

In general, information about each request for records access and each disclosure of information from an education record must be maintained as part of the record until the school or agency destroys the education record. Outside parties receiving records must receive a written explanation of the restrictions on the re-release of information.

Additional FERPA Provisions

In 1994, the Improving America's School Act amended several components of FERPA, tightening privacy assurances for students and families. The amendments apply to the following key areas:

Parents have the right to review the education records of their children maintained by the state education agencies;

Any third party that inappropriately re-releases personally identifiable information from an education record cannot have access to education records for five years;

Information about disciplinary actions taken against students may be shared, without prior consent of the parent, with officials in other education institutions;

Schools may release records in compliance with certain law enforcement judicial orders and subpoenas without notifying parents.

Questions? Call the Local School System, State Education Agency, or the Federal Family Policy Compliance Office.

School districts, state education agencies, and the U.S. Department of Education all offer assistance about FERPA. Before contacting Federal officials, however, you can often get a direct and immediate response from your local or state education officials.

The Family Policy Compliance Office can be reached at the following address;

U.S. Department of Education
600 Independent Avenue, SW
Washington, DC 20202-4605
(202) 260-3887

Exhibit 4-1
Request to Review an Education Record

Date: ________________

To: Ray Christensen, Secretary
South Dakota Department of Education & Cultural Affairs

From: Name of Requester _________________________
Address _________________________ _________________________

Under the provisions of the Family Educational Rights and Privacy Act of 1974, I wish to inspect the following education record: __________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________

of (Name of Student): ________________________________________________________

School Which Student is Attending: ______________________________________________

Requester(s)' Relationship to Student: ____________________________________________

I do___/do not ____ desire a copy of such records. I understand that a $5.00 fee will be charged for the copies.

Signature: _________________________________________________________________

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For official use only

Date Received _____________ Date Request Verified: _______________________

Approved:_____ Disapproved: _____ Reason(s) for disapproval: _______________________

Signature of Official Approving/Disapproving Request: ________________________________

Date: ___________________ Date Notification Sent: _________________________

Exhibit 4-2
Notification to Review an Education Record

Date: __________________

To: (Name of Requester)
_____________________________________

From: Ray Christensen, Secretary
South Dakota Department of Education & Cultural Affairs

Your request to review your child's or your own record was received on (date)_____________. The request was approved.

_________ The record will be available at the following office for review on (date)________:

(Name and address of office, including contact person)

___________________________________________________

_________ As you requested, a copy of the record will be mailed to you (copying fee has been received).

_________ As you requested, a copy of the record will be mailed to you upon receipt of the $5.00 copying fee. Please forward your check, made payable to S.D. Dept. of Education & Cultural Affairs, 700 Governors Drive, Pierre, SD 57501-2291.

Please contact Susan Ryan, Director of the Office of Data Collection, at 773-3248 if you have questions regarding this notice.

Signature: ____________________________________________________

Exhibit 4-3
For Use on Date of Review

__________ I have reviewed and/or have been informed of the contents of the requested education record on (date) __________ and am satisfied with its accuracy and completeness.

__________ I have reviewed and/or have been informed of the contents of the requested education record on (date) _________. I am aware that I have the right to request an amendment to all or part of the record if I am not satisfied with its accuracy and completeness. I also have received a request form for this purpose.

Signature of Parent(s): ________________________________________________________

Signature of Staff Managing the Review: __________________________________________

For use in copying/mailing of record:

Date fee received:___________ Check No. ____________ Staff Initials: _____________

Date copies mailed: _____________ Staff Initials: ____________

Amount received: ________________

Exhibit 4-4
Consent Form to Allow Accompanying
Person to Review Record

For use by Parent or Eligible Student to Grant Consent

I hereby grant the permission for ______________________________ to accompany me today during my review of my/my child's education records. I understand that in doing so, the information maintained in the education records, otherwise protected by Federal laws, may be disclosed with my consent to the above named.

Signature: ____________________________________

Name: ____________________________________

Date: ____________________________________

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For use by Accompanying Person as Affidavit of Non-Disclosure

In accompanying the above signed parent/guardian on this date during his/her review of the education records of _________________________________, I will be given access to confidential information maintained in the education records of the named student. I understand that this information is protected under FERPA. I hereby acknowledge that I fully understand that the intentional release by me of this information to any authorized person could subject me to penalties imposed by federal laws.

Signature: ____________________________________

Name: ____________________________________

Date: ____________________________________

-------------------------------------------------------------------------------------------------------------------------------------------------------------------

For official use only

Staff Initials: ____________________________ Date: ________________________

Exhibit 4-5
Request to Amend an
Education Record

To: Name of Designated Official
______________________________________

From: Name of Parent(s)
______________________________________

I have reviewed my child's education record and believe it contains information that is inaccurate, misleading, or in violation of my child's rights. Please amend the record as follows:

Current record: To be changed to:

_________________________________ ______________________________________

Signature: _______________________________________

Address: _______________________________________

Telephone Number: _______________________________________

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For official use only

Date Received: __________ Request approved: _______Denied: _________

Reason(s) for denial: _______________________________________________________

Date of hearing scheduled: _____________ Location: _______________________________

Date of notification sent: ______________

Signature of official approving/denying request: _____________________________________

Exhibit 4-6
Notification for Approval/Disapproval
of Request for Amendment

Date: _______________________

From: Name of Designated Official
_____________________________________

To: Name of Parent
______________________________________

Your request for amendment of the education record of your child, _________________ was received and reviewed.

_________ The request was approved and necessary changes are made to the specified
record as requested.

_________ The request was denied because ____________________________________. However, you are entitled to a hearing concerning your request. If you decide to request a hearing, please notify the following office within 30 days.

Name of Contact Person
Address and telephone number

Signature: _________________________________________________

Exhibit 4-7
Notification for a Hearing
of Request for Amendment

To:                Name of Parent
From:            Name of Designated Official
Date:             ________________________

We have received your request to schedule a hearing for the purposes of challenging the contents of the education records of your child, ____________________________. A hearing is hereby scheduled as below.

___________ The hearing is scheduled at:

Date
Time
Location/Office
Address

If you cannot be present on the above date, please contact my office as soon as possible to establish a mutually convenient date.

__________ The hearing is rescheduled at:

Date
Time
Location/Office
Address

You shall have a full and fair opportunity to present evidence relevant to the issues you have raised regarding your child's education records. You also may be assisted or represented by individuals of your choice, including an attorney. The decision will be based exclusively on the evidence presented at the hearing.

Please do not hesitate to contact me if you have any questions.

____________________________

Name, Title
Office
Address
Phone Number

Exhibit 4-8
Request of Non-Parent for Access
to Education Record

To: Name of Designated Official

From: ________________________________
Name, title, organization

I hereby request permission to examine the following part(s): _________________________________________________________________________
_________________________________________________________________________

of the official education records of _______________________at ______________________. I certify that I am (check one as appropriate):

_______ An authorized official of another school system in which the student intends to enroll.

_______ An authorized representative of the Comptroller General of the United States.

_______ An authorized representative of the Secretary of the U.S. Department of Education.

_______ Other authorized official(s) ____________________________________________

I agree that no unauthorized person or organization will have access to any records or information obtained through this request without the written permission of the parents of the student or the student. I understand the maximum penalties for re-disclosure of the record will be as set forth by federal laws and regulations.

Signature: _________________________________ Date: _________________

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For official use only

Request approved/denied by: _____________________ Date: __________________

Exhibit 5-1
Affidavit of Non-Release by Researchers

I, _______________________________ do solemnly swear that when given access to the (title of data to be provided)____________________________ provided by the South Dakota Department of Education & Cultural Affairs, I shall not:

1. Use or reveal any personally identifiable information furnished, acquired, retrieved, or assembled by me or others;

2. Make any release or publication whereby an individual could be identified or the data furnished by or related to any particular person can be identified; or

3. Permit anyone other than the individuals authorized by ____________________(name of the agency or school) to examine the individual reports.

Signature: ________________________________

Name: ________________________________

Title: ________________________________

Organization: ________________________________

Date: ________________________________

Any inappropriate re-releases of personally identifiable information from an education record will result in the loss of access to education records for five years.

Notary Public and Seal: ____________________________________

Exhibit 5-2
Statement of Non-Disclosure

I, __________________________________ agree to safeguard and maintain strict confidentiality concerning student record data received by the South Dakota Department of Education and Cultural Affairs/Office of Data Collection. The re-release of which is prohibited by the Family Educational Rights and Privacy Act of 1974. I acknowledge that I fully understand that the intentional release by me of this to any unauthorized person could subject me to formal disciplinary actions which may include for-cause termination of my employment (ARSD 55:01:12:05).

Signature: _____________________________

Organization: _____________________________

Date: _____________________________