|
Students |
5126-AR |
PUPIL RECORDS
A.
Purpose
and Scope
To establish
procedures for handling and processing pupil records
B.
General
1.
Definitions
a.
"Pupil"
means a person who is or was enrolled in school.
b.
"Adult
Pupil" means a person who is or was enrolled in school and who is at
least 18 years of age.
c. A student who is attending both a secondary
school and an institution of postsecondary training is an adult pupil. A former
student is granted the same rights as a student. An applicant who has never
enrolled is not a student under the provisions of the state or federal law.
d.
"Eligible
Pupil" means a person 16 years or older who has completed Grade 10. A
student age 16 or past the tenth grade has access rights to his records.
e.
"Parents"
as used in this procedure means a natural parent, an adoptive parent, or legal
guardian. If parents are divorced or legally separated, only the parent having
legal custody of the pupil may challenge the content of a record, offer a
written response to a record, or consent to release records to others,
provided, however, that either parent may grant consent if both parents provide
written notification to the school district that such an agreement has been
made. Whenever a pupil has attained the age of 18 years or is attending an
institution of postsecondary education, the permission or consent required of,
and the rights accorded to, the parents or guardian of the pupil shall
thereafter only be required of, and accorded to, the pupil.
f.
"Pupil
Record" means any item of information directly related to an
identifiable pupil, other than directory information, gathered within or
without the school system and maintained within the school system, regardless
of the physical form in which it is maintained. Essential in this definition is
the idea that any information which is maintained for the purpose of second
party review is considered a pupil record.
1)
"Mandatory
Permanent Pupil Records" are those records which are maintained in
perpetuity and which schools have been directed to compile by
2)
"Mandatory
Interim Pupil Records" are those records which the schools are
directed to compile and maintain for stipulated periods of time and are then
destroyed as per
3)
"Permitted
Pupil Records" are those records having clear importance only to the
current educational process of the student.
Pupil record
shall not include informal notes related to a pupil compiled by a school
officer or employee which remain in the sole possession of the maker and are
not accessible or revealed to any other person except a substitute. For
purposes herein, "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 the notes in his or her
position.
The following
documents are not "records" and may be destroyed at any time:
1) Mimeographed, otherwise duplicated, or
carbon copies, except the original or one copy. (A person receiving a
duplicated copy need not retain it.) (This does not include Special Education
forms.)
2) An individual memorandum, other than one
relating to personnel matters, between one employee and another employee of the
district
3) Notices of meetings, excluding Special
Education notices
4) Advertisements and other sales material
received
5) Library books, pamphlets, and magazines
6) Textbooks, maps used for instruction and
other instructional materials
7) Any pupil pass, tardy slip, admit slip,
verification of illness or other note from home relating to a pupil may be
destroyed after the year in which they are applicable.
g.
"Directory
Information" means one or more of the following items: student's name,
address, telephone number, 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.
h.
"Confidentiality"
means the withholding of information considered private. This cannot apply to
pupil records maintained for a K-12 student insofar as no record may be
withheld from specified persons including parents or eligible students.
Related to
confidentiality is the concept of privileged communication. The district may
permit authorized access to all records which it maintains,
including those obtained from private agencies or locally developed reports
from district psychologists, counselors or health personnel. All information
maintained on a pupil is open to inspection by the parents of dependent
students or to the student who is age 16 and past the tenth grade.
i.
"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.
A natural
parent has access rights without regard to custody (unless a court order
specifies otherwise). Foster homes and licensed group homes do not necessarily
have guardianship nor the rights of access to records.
The school district must obtain written permission from a parent or court
before pupil record information can be shared with the foster home or licensed
group home.
j.
"Personally
identifiable" means that the data or information includes:
1)
The
name of a student, the student's parent, or other family member
2)
The
address of the student
3)
A
personal identifier, such as the student's social security number or student
number
4)
A list
of personal characteristics which would make the student's identity easily
traceable
5)
Other
information which would make the student's identity easily traceable
2.
Administrative
Responsibility for Pupil Records
a.
The
Director of Pupil Services shall be the custodian of all pupil records at the
district level.
b.
The
principal shall be custodian of all pupil records maintained at that school.
c.
The
custodian of pupil records shall be responsible for the security of pupil records
maintained by the district and shall devise procedures for assuring that access
to such records is limited to authorized persons.
d.
The
custodian of pupil records shall have the overall responsibility for
maintaining and preserving the confidentiality of pupil records.
e.
The
custodian of pupil records shall be responsible for classifying records and
maintaining them so that each record can clearly be identified by
classification.
f.
The
custodian of pupil records shall be responsible for the review of pupil records
and the destruction of items specifically excluded from destruction
restrictions.
g.
The
custodian of pupil records shall have the responsibility of keeping the parent
community informed of their rights in regard to pupil records.
h.
The
custodian of pupil records has the responsibility of ensuring that the
procedures for collection, maintenance, accessibility, dissemination and
retention of pupil information shall be reviewed periodically and revised, if
necessary.
i.
The
principal shall be responsible for granting or denying access to records on the
basis of the procedures set forth in this document. He/She shall maintain a
current listing for public inspection of names and positions of persons having
access.
j.
The
principal shall ensure that the school staff receives periodic instruction and
training regarding the privacy rights of pupils and parents.
C.
Forms
Used and Additional References
1.
Consent
to
2.
Request
for Pupil Records
3.
Permanent
Record Card
4.
Letter:
Annual Notification of Privacy Rights of Parents and Students
5.
Log of
Access
D.
Procedures
1.
Varieties
of Pupil Records
a.
The
principal of each school shall keep on file a record of enrollment and
scholarship for each pupil currently enrolled in said school.
b.
Records
for each individual pupil shall be maintained in a central file at the school
attended by the pupil. When records are maintained in different locations a
notation in the central file as to where such other records may be found is
required.
c.
Local
school districts shall not compile any other pupil records except mandatory or
permitted records herein defined:
1)
"Mandatory
Permanent Pupil Records"
are those records which the schools have been directed to compile by
a)
Contents:
i)
Legal
name of pupil
ii) Date of birth
iii) Method of verification of birth date
iv) Sex of pupil
v) Place of birth
vi) Name and address of parent of minor pupil
1. Pupil's address, if different
2. Annual verification of the name and address
of the parent and the residence of the pupil
vii) Entering and leaving date of each school
year and for any summer session or other extra session
viii) Subjects taken during each year, halfyear, summer session, or quarter
ix) Grades and credits
x) Verification of or exemption from required
immunizations
xi) Date of high school graduation or equivalent
b)
Maintenance
of Mandatory Permanent Records
Mandatory
records shall be updated as changes occur. A copy of these records must be
forwarded to any public school in
c)
Retention
of Permanent Records
For purposes
of storage and retrieval, a pupil's permanent record shall be microfilmed as a
matter of security one year following the pupil's normal date of graduation.
2)
"Mandatory
Interim Pupil Records"
are those records which schools are required to compile and maintain for
stipulated periods of time and are then destroyed as per
a)
Contents:
i)
A log
or record identifying those persons (except authorized school personnel) or
organizations requesting or receiving information from the record. The log or
record shall be accessible only to the legal parent or guardian or the eligible
pupil, or a dependent adult pupil, or an adult pupil, or the custodian of pupil
records.
ii) Health information
iii) Participation in special education programs
including required tests, case studies, authorizations, and actions necessary
to establish eligibility for admission or discharge
iv) Language training record
v) Progress slips and/or notices as required by
Education Code Sections 49066 and 49607
vi) Parental restrictions regarding access to
directory information
vii) Parent or adult pupil rejoinders to challenged
records and to disciplinary action
viii) Parental authorizations or prohibitions of
pupil participation in specific programs
ix) Results of standardized tests administered
within the preceding three years
b)
Maintenance
of the Mandatory Interim Pupil Record
A copy of
these records must be forwarded to
c)
Retention
of the Cumulative Record
When a pupil
is no longer enrolled in the district, those portions of the pupil record
deemed to have permanent usefulness shall be transferred to the mandatory
record, if necessary. Records no longer necessary or useful shall be classified
as Class III disposable and shall be maintained at the District Records
Department for a period of three years beyond the date of origin. The records
shall then be destroyed by shredding or burning after notifying the state
historian in the Secretary of State's office of the pending destruction.
3)
"Permitted
Records" are those
pupil records which the district may maintain for appropriate educational
purposes.
a)
Contents:
i)
Objective
counselor and/or teacher ratings
ii) Standardized test results older then three
years
iii) Routine discipline data
iv) Verified reports of relevant behavioral
patterns
v) All disciplinary notices
vi) Attendance records not covered in the
Administrative Code Section 400
b)
Maintenance
of Permitted Pupil Records
The
Permitted Pupil Record shall be kept objective, factual and void of value
judgments. Care is to be exercised to insure the accuracy of data. Reported
behavior patterns and specific incidents are to be unambiguously described and
clearly verified prior to becoming a part of any record. School personnel
should be aware that what they write for the record about a pupil, in any and
all contexts, cannot be considered confidential and shall be shared with the
parent or pupil.
c)
Retention
of Permitted Pupil Records
Such records
shall be destroyed when their usefulness ceases or six months after a student
withdraws or graduates.
4)
Anecdotal
Reports
Anecdotal
reports are objective, factual recorded accounts of observed behavior. These
reports should be brief and to the point. They are cumulative in nature as a
single incident may not have any value, but related to other reports over a
period of time may provide significant insight regarding a pupil's behavior.
Anecdotal records should be stripped to the bare facts and void of value
judgments. Any school person may complete an anecdotal report and have it
included in the Permitted Pupil Record.
All anecdotal
information and assessment reports maintained as a pupil record shall be dated
and signed by the individual who originated the data.
These
reports are not to become a part of the permanent record.
5)
Discipline
Reports
These reports
are kept for purposes of determining behavior patterns. These are to be
reviewed at periodic intervals. Retention is the same as for other Permitted
Pupil Records.
6)
External
Agency Reports
These reports
may include confidential information received from cooperating agencies such as
child welfare, juvenile courts and hospitals, as well as those from private
practitioners who are working or have worked with the pupil. Agency reports
do not belong to the school. They are loaned to the school to be used under
conditions which are specified by the lending agency within the restrictions
imposed by this procedure.
These reports
are not part of the Pupil Record. They are to be kept in a secure file by the
person for whom they were addressed for only such a period of time as they are
relevant to the work with a particular pupil. They may be shared on a
need-to-know basis with the external agency. They are not to be released by the
school to a third party. Any decision to release information from any agency
report is the responsibility and prerogative of the agency and not of the
school. The parent, or adult pupil, has a right to review these reports and the
external agencies must be notified.
2.
Access
to Pupil Records
a.
Procedure
for Access to Pupil Records
1)
Parents
and Adult Pupils
a)
Parents
of currently enrolled or former pupils have an absolute right of access to
inspect and review any and all pupil records related to their children which
are collected, maintained or used by the district. This includes the right to
explanations and interpretations, if requested. The editing or withholding of
any such records is prohibited.
b)
Whenever
a pupil has attained the age of eighteen years, the permission or consent
required of, and the rights accorded to, the parents or guardian of the pupil
shall thereafter only be required of, and accorded to, the adult pupil.
c)
A
parent or adult pupil need only appear in person at the school during regular
hours of the school day and request to see such records. If for some reason the
records are not immediately available, the request shall be granted within a
reasonable period of time, but in no case more than 5 working days after the
request has been made. This must occur, when requested, before any meeting
regarding an IEP or hearing related to the identification, evaluation or
placement of the child is held.
d)
Copies
of permanent records are available at a similar cost per page as that of the
duplicating rate at the time of the request. There will be no charge for copies
if such a fee prevents parents from inspecting and reviewing records.
2)
Other
Agencies
a)
Authorized
organizations, agencies, and persons from outside the school whose access
requires the consent of the parent or the adult pupil must submit their request
to view the records, together with any required authorization, to the district
custodian of records or to the principal of the school which the student
attends.
b)
The
district custodian of records, the principal shall be responsible during the
inspection for interpretation of the records where necessary and for prevention
of their alteration, damage, or loss. In every instance of inspection of pupil
records by persons who do not have assigned educational responsibility, an
entry shall be made in the access log of said record, indicating the name of
the person(s) granted access, the reason access was granted, the time and
circumstances of inspection, and the records inspected.
c)
Unless
otherwise judicially instructed, the school district shall, prior to the
disclosure of any pupil records to organizations, agencies, or persons outside
the school pursuant to a court order, give the parent or adult pupil at least
three days' notice, if lawfully possible within the requirements of the
judicial order, of the name of the requesting agency and the specific records
requested. Such notification shall be provided in writing, if practicable. Only
those records related to the specific purpose of the court order shall be
disclosed.
3.
Rights
of Parents and Adult Pupils
a.
Right
to Challenge
1)
Certain
information may be added to or removed from the record upon mutual agreement of
the principal and the parent, or adult pupil.
Information
shall be corrected or removed if it is:
a)
Inaccurate
b)
An
unsubstantiated personal conclusion or inference
c)
A
conclusion or inference outside of the observer's area of competence
d)
Not
based on the personal observation of a named person within the time and place
of the observation noted
2)
In the
event of disagreement, the parent, or adult pupil, shall be advised of the
right to a hearing.
a)
He or
she may file a written request with the superintendent to remove any
information recorded in the written records which meet one or more of the above
four criteria.
b)
The
complete record shall be impounded by the superintendent, or designee, while
under appeal. Copies of contested material shall not be given to any
individual, including the party making the challenge.
c)
Within
ten days of receipt of such request, the superintendent, or designee, or a
hearing panel shall meet the parent, or adult pupil, and the employee who
recorded the information in question, if such employee is presently employed by
the district.
d)
To
assist in making determinations, the superintendent or governing board may
convene a hearing panel composed of the following persons, provided that the
parent has given written consent to release information from the relevant
pupil's records to the members of the panel so convened:
1. The principal of a public school other than
the public school at which the record is on file
2. A certificated employee appointed by the
PUEA board
3. A parent appointed by the superintendent or
by the governing board of the district, depending upon who convenes the panel
e)
The
persons appointed shall, if possible, not be acquainted with the pupil, his
parent or guardian, or the certificated employee who recorded the information.
f)
The
principal appointed to the hearing panel shall serve as its chairman.
g)
The
hearing panel shall, in closed session, hear the objections to the information
of the parent and the testimony of the certificated employee who recorded the
information in question, if any, and if such employee is presently employed by
the school district.
h)
The
hearing panel shall be provided with verbatim copies of the information which
is the subject of the controversy.
i)
If the
superintendent convenes a hearing panel, the hearing shall be held within a
reasonable period of time after the request has been received and the parent of
the student or the eligible student shall be given notice of the date, place
and time reasonably in advance of the hearing.
j)
The
parent of the student or the eligible student shall be afforded a full and fair
opportunity to present evidence relevant to the issues raised and may be
assisted or represented by individuals of his or her choice at his or her own
expense, including an attorney.
k)
Written
findings shall be made setting forth the facts and decisions of the panel, and
such findings shall be forwarded to the superintendent or the governing board,
depending upon who convened the panel.
l)
The
proceedings of the hearing shall not be disclosed or discussed by panel members
except in their official capacities.
m)
The
superintendent shall then sustain or deny the allegations. If the
superintendent sustains the allegations, he/she shall order the correction or
the removal and destruction of the information and inform the parents in
writing. Destruction is to be performed by the school employee originally
responsible for the custody of the school records. Under no circumstances is
the record removed from the file to be given to the individual challenging its
content.
If the
superintendent denies the allegations and refuses to order the correction or
removal of the information, the parent, or adult pupil, may within thirty days
of the refusal, appeal the decision in writing to the Board of Education.
n)
Within
thirty days of receipt of such an appeal, the Board of Education shall, in
closed session with the parent, or adult pupil, and the
employee who recorded the information in question, if such employee is
presently employed by the district, determine whether or not to sustain
or deny the allegations. If the Board of Education sustains the allegations, it
shall order the superintendent to immediately correct or remove and destroy the
information from the written records of the pupil and inform the parents in
writing. The decision of the Board of Education shall be final. Records of
these administrative proceedings shall be maintained in a confidential manner
and shall be destroyed one year after the decision of the Board of Education,
unless the parent, or adult pupil, initiates legal proceedings relative to the
disputed information within the prescribed period.
o)
If the
final decision of the Board of Education is unfavorable to the parent, or adult
pupil, or if the party accepts an unfavorable decision by the superintendent,
the party shall have the right to submit a written statement of the objections
regarding the information to the Custodian of Pupil Records. This statement shall
become a part of the pupil's school record until such time as the information
objected to is corrected or removed.
b.
Notification
of Rights to Inspect and Review
Notification
to parents, or adult pupils, shall be made at the time of initial enrollment in
the district and once a year, thereafter, as a part of the superintendent's
annual letter to parents.
4.
Retention
and Destruction of Pupil Records
a.
No
additions except routine updating shall be made to the record after high school
graduation or permanent departure without the prior consent of the parent or
adult pupil.
b.
Mandatory
permanent pupil records shall be preserved in perpetuity by all
c.
Unless
forwarded to another district, mandatory interim pupil records may be adjudged
to be disposable when the student leaves the district or when their usefulness
ceases (during the third school year following such classification).
d.
Permitted
pupil records may be destroyed when their usefulness ceases. They may be
destroyed after six months following the pupil's completion of or withdrawal
from the educational program.
The method of
destruction shall assure that records are not available to possible public
inspection in the process of destruction.
5.
Transfer
of Records
a.
When a
pupil transfers to another school district or to a private school, a copy of
the pupil's Mandatory Permanent Pupil Record shall be transferred upon request
from the other district or private school. The original or a copy must also be
retained permanently by the sending district. If the transfer is to another
b.
If the
pupil is a within-California transfer, the receiving school shall notify
parents of the record transfer. If the student transfers out of state, the
sending district may notify the parents of the rights accorded to them. The
notification shall include a statement of the parent's right to review,
challenge, and receive a copy of the pupil record, if desired.
c.
Pupil
records shall not be withheld from the requesting district because of any
charges or fees owed by the pupil or his parent. This provision applies to
pupils in grades K-12 in both public and private schools. Records are to be
forwarded upon request from the district or private school to which a student
has transferred.
d.
Parent
permission to forward records is not required.
e.
When a
student, owing charges or fees, has transferred to another school, notification
shall be made to that school that the student owes a debt to the district and
that all requested transcripts, grades and diplomas be withheld until the debt
is cleared.
f.
Notification
of the decision to withhold information, and that the decision will be enforced
by the school district to which the pupil has transferred, shall be made to the
parent or guardian of the student.
6.
Classification
of Records
a.
Information
about pupils that is collected and maintained by school personnel shall be
classified as follows:
1)
Permanent
Records -- Class 1
2)
Optional
Records -- Class 2
Any record
worthy of further preservation but not classified as Class 1 may be classified
as Class 2 and then retained until reclassified as Class 3.
3)
Disposable
Records -- Class 3
a)
A Class
3, Disposable, record shall not be destroyed until after the second July 1
succeeding the completion of the audit required by Education Code Section 17206
or of any other legally required audit.
b)
A
continuing record shall not be destroyed until the third year after it has been
classified as Class 3, Disposable.
c)
Disposable
records shall be destroyed during the third school year after the school year
in which they originated.
7.
Disclosure
of Personally Identifiable Information From Pupil Records
a.
Prior
consent required
1)
The
principal shall obtain the written consent of the parent of a student or the
eligible student before disclosing personally identifiable information from the
education records of a student.
2)
The
written consent must be signed and dated by the parent of the student or the
eligible student giving the consent and shall include:
a)
A
specification of the records to be disclosed
b)
The
purpose or purposes of the disclosure
c)
The
party or class of parties to whom the disclosure may be made
b.
Prior
consent not required
1)
Personally
identifiable information from the education records of a student without the
written consent of the parent of the student or the eligible student may be
disclosed if the disclosure is:
a)
To
other school officials, including teachers and SARB members, within the
district who have legitimate educational interests
b) To officials of another school or school
system in which the student seeks or intends to enroll
c)
Federal
education officials, the United States Office for Civil Rights, the
Superintendent of Public Instruction, or the County Superintendent of Public
Instruction, or the County Superintendent of Schools, or their respective
designees, where such information is necessary to audit or evaluate a state of
federally funded program or pursuant to a federal or state law
d)
To
other federal, state and local officials to the extent that information is
specifically required to be reported pursuant to state law
e)
To
appropriate persons in connection with an emergency if the knowledge of such
information is necessary to protect the health or safety of a student or other
persons
f)
To
agencies or organizations in the connection with a pupil's application for, or
receipt of, financial aid
g)
To
accrediting organizations in order to carry out their accrediting function
h)
To
parents of a dependent student, as defined in section 152 of the Internal
Revenue Code of 1954
i)
To
comply with a judicial order or lawfully issued subpoena; Provided that
the educational agency or institution makes a reasonable effort to notify the
parent of the student or the eligible student of the order or subpoena in
advance of compliance therewith; and
j)
To
organizations conducting studies for, or on behalf of, educational agencies or institutions
for the purpose of developing, validating, or administering student aid
programs, and improving instruction; Provided, that the studies are
conducted in a manner which will not permit the personal identification of
students and their parents by individuals other than representatives of the
organization and the information will be destroyed when no longer needed for
the purposes for which the study was conducted; the term,
"organizations" includes, but is not limited to, Federal, State and
local agencies, and independent organizations.
2)
Directory
information may be released to one or more of the following persons, agencies
or organizations:
a)
Individual
request from employers and prospective employers
b)
News
media, including, but not limited to, newspapers, magazines, and radio and
television stations--reviewed and approved by the Administrative Assistant to
the superintendent
c)
School
support groups as approved by the principal
d)
A
federal, state or local law enforcement officer, including a probation officer,
parole officer or administrator, or a member of a parole board, seeking
information in the course of his or her duties if the person has a legitimate
educational interest.
A principal,
or designee, may, at his/her discretion, limit or deny the release of specific
categories of directory information to any public or private nonprofit
organization based upon a determination of the best interests of pupils.
No directory
information shall be released regarding any pupil when a parent has notified
the school/ district that such information shall not be released.
8.
Log
of Access
a.
For
each request and each disclosure of personally identifiable information from a
pupil's record, the principal shall maintain a record which indicates:
1)
The
parties who have requested or obtained personally identifiable information from
the education records of the student
2)
The
legitimate interests these parties had in requesting or obtaining the information.
b.
These
procedures do not apply to disclosures to:
1)
A
parent
2)
A
student
3)
School
officials
4)
Disclosures
of directory information
c.
The
record of disclosures may be inspected:
1)
By the
parent of the student or the eligible student
2)
By the
district and site custodians of the records
3)
By
auditors to validate the record-keeping procedures of the district or school
E.
Reports
Required
None
F.
Record
Retention
See pertinent
procedures sections
G.
Responsible
Administrative Unit
1.
Educational
Services Division
2.
Director
of Pupil Services
H.
Approved
by:
|
Violet L.
Bryant |
|
James O.
Fleming |
|
|
Responsible Division Head |
Date |
Superintendent |
Date |