CONFIDENTIALITY

Copyright 2009 by Region 7 Education Service Center. All rights reserved. This material may not be reproduced, displayed, modified or distributed without the express prior written permission of the copyright holder. For permission, contact Copyright 2009 by Region 7 Education Service Center. All rights reserved. This material may not be reproduced, displayed, modified or distributed without the express prior written permission of the copyright holder. For permission, contact Copyright 2009 by Region 7 Education Service Center. All rights reserved.

Who Should Learn about Confidentiality? ALL staff collecting or using personally identifiable information in public education institutions must receive training on confidentiality requirements. ALL staff collecting or using personally identifiable information in public education institutions must receive training on confidentiality requirements.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. CONFIDENTIALITY WORKSHOP GOALS 1. Participants will know the basic confidentiality laws. 2. Participants will understand the basic confidentiality requirements specified in law. 3. Participants will demonstrate awareness of confidentiality practices.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. LEGAL BASIS FOR CONFIDENTIALILTY IDEA 2004 IDEA 2004 Family Education Rights and Privacy Act (FERPA) Family Education Rights and Privacy Act (FERPA) No Child Left Behind (NCLB) No Child Left Behind (NCLB) Protection of Pupil Rights Amendment (PPRA) Protection of Pupil Rights Amendment (PPRA) Elementary and Secondary Education Act (ESEA) discipline

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Legal Basis for Confidentiality Individuals with Disabilities Education Act (IDEA) Passed in 1975 and reauthorized in 1997 and 2004 (no changes to confidentiality section) - Passed in 1975 and reauthorized in 1997 and 2004 (no changes to confidentiality section) Applies to all schools that receive money to serve students with disabilities Applies to all schools that receive money to serve students with disabilities Formerly known as the Education of the Handicapped Act-Part B (EHAB-B) Formerly known as the Education of the Handicapped Act-Part B (EHAB-B)

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Legal Basis for Confidentiality Family Education rights and Privacy Act (FERPA) Family Education rights and Privacy Act (FERPA) Passed in 1974 and amended in 1996 Passed in 1974 and amended in 1996 Applies to all school that receive money from the U.S. Department of Education Applies to all school that receive money from the U.S. Department of Education Also called the “Buckley Amendment” Also called the “Buckley Amendment”

Copyright 2009 by Region 7 Education Service Center. All rights reserved. LEGAL BASIS FOR CONFIDENTIALITY No Child Left Behind (NCLB) Signed by President George W. Bush on January 8, ml

Copyright 2009 by Region 7 Education Service Center. All rights reserved. LEGAL BASIS FOR CONFIDENTIALITY Protection of Pupil Rights Amendment (PPRA) Protection of Pupil Rights Amendment (PPRA) pco/ppra/index.html pco/ppra/index.html

Copyright 2009 by Region 7 Education Service Center. All rights reserved. LEGAL BASIS FOR CONFIDENTIALITY Elementary and Secondary Education Act (ESEA) Elementary and Secondary Education Act (ESEA) Reauthorized with the January 2002 NCLB Act signed by President George W. Bush Reauthorized with the January 2002 NCLB Act signed by President George W. Bush

Copyright 2009 by Region 7 Education Service Center. All rights reserved. WHO IS THE PARENT? Parent or legal guardian Parent or legal guardian NOTE: Transfer of rights: Notice must be given directly to an eligible student: Eligible students are those students who: A. Are 18 years of age B. Attend a post-secondary institution C. Are married (regardless of age in Texas) Note: In all cases, severity of the student’s disability must be considered (IDEA)

Copyright 2009 by Region 7 Education Service Center. All rights reserved. IDEA and LEAs Annual Notification of Rights Must effectively inform parents of students with disabilities Must effectively inform parents of students with disabilities Including: Procedural Safeguards Including: Procedural Safeguards Student Handbook Student Handbook Annual Notice Annual Notice Explain Directory Information Explain Directory Information Must be in the primary language Must be in the primary language

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Parents must be given annual notice of … Their right to inspect and review records. Their right to inspect and review records. A specification of criteria for determining who constitutes a school official and what constitutes a legitimate educational interest if the agency or institution discloses or intends to disclose personally identifiable information to school officials without consent. A specification of criteria for determining who constitutes a school official and what constitutes a legitimate educational interest if the agency or institution discloses or intends to disclose personally identifiable information to school officials without consent. The right of parents to file a complaint with the Family Policy Compliance Office (FPCO) in the Department. A model notification letter is available at The right of parents to file a complaint with the Family Policy Compliance Office (FPCO) in the Department. A model notification letter is available at

Copyright 2009 by Region 7 Education Service Center. All rights reserved. WHAT IS CONSIDERED PERSONALLY IDENTIFIABLE INFORMATION? Any data that includes Name of the student Name of the student Name of the student’s parents or other family members Name of the student’s parents or other family members Address of the student Address of the student Any personal identifier such as social security number Any personal identifier such as social security number Phone number of student or family Phone number of student or family

Copyright 2009 by Region 7 Education Service Center. All rights reserved. ALSO CONSIDERED PERSONALLY IDENTIFIABLE… Records, files, documents, and other materials which Records, files, documents, and other materials which A. Contain information directly related to a student B. Are maintained by an educational agency or institution or by a person acting for such an agency or institution

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Annual Notice Must Also Include Notification of right to request amendment of records Notification of right to request amendment of records Right to request amendment of records if information is inaccurate, misleading, or in violation of privacy rights Right to request amendment of records if information is inaccurate, misleading, or in violation of privacy rights If agency decides to amend, notify parents in writing If agency decides to amend, notify parents in writing If agency refuses to amend, notify parent of refusal and inform parent of right to a hearing If agency refuses to amend, notify parent of refusal and inform parent of right to a hearing

Copyright 2009 by Region 7 Education Service Center. All rights reserved. RESULTS of the HEARING A. Records amended– parent notified in writing B. Records not amended—parent informed to place statement in education file Any parent explanation of disagreement with records must be maintained with the records and disclosed with the records Any parent explanation of disagreement with records must be maintained with the records and disclosed with the records

Copyright 2009 by Region 7 Education Service Center. All rights reserved. More Parents Rights to Review Records Parents have the right to have a representative review records Parents have the right to have a representative review records Parents have the right to a response to requests for explanation and interpretation of records Parents have the right to a response to requests for explanation and interpretation of records

Copyright 2009 by Region 7 Education Service Center. All rights reserved. More Parents Rights Parents have the right to inspect only information related to their own child Parents have the right to inspect only information related to their own child Parent’s rights extend to both parents unless otherwise indicated by law Parent’s rights extend to both parents unless otherwise indicated by law Parents have the right to obtain copies of records Parents have the right to obtain copies of records

Copyright 2009 by Region 7 Education Service Center. All rights reserved. SOLE POSSESSION OF RECORDS Sole possession records are EXEMPT from parent access, challenge and control IF they meet the following test: 1. They are private notes created solely by the individual possessing them and/or 2. They are used as a personal memory aid (must) and/or 3. The information in the note is not accessible or revealed to any other person (except the possessor’s temporary substitute)

Copyright 2009 by Region 7 Education Service Center. All rights reserved. CONSENT FOR DISCLOSURE Annual written notification of the right to consent to disclosure Annual written notification of the right to consent to disclosure Written consent signed and dated including: Written consent signed and dated including: A. Specifications of records disclosed B. Purpose of disclosure C. Parties to whom disclosure is made Copies of disclosed records provided to parent upon request Copies of disclosed records provided to parent upon request Third party disclosure prohibited without written consent of parent Third party disclosure prohibited without written consent of parent

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Conditions Where Prior Consent Is Not Required A. Disclosure within agency with legitimate education interest B. Transfer Records C. Directory Information D. Audit Purposes E. Subpoenas or court order F. Related to disciplinary actions G. Financial aid H. Health and safety emergencies

Copyright 2009 by Region 7 Education Service Center. All rights reserved. DIRECTORY INFORMATION Student’s name Student’s name Student’s address Student’s address Student’s telephone number Student’s telephone number Student’s date and place of birth Student’s date and place of birth Student’s major field of study Student’s major field of study Participation in officially recognized sports and activities Participation in officially recognized sports and activities Student’s weight and height (if student is a member of an athletic team) Student’s weight and height (if student is a member of an athletic team)

Copyright 2009 by Region 7 Education Service Center. All rights reserved. MORE DIRECTORY INFORMATION Dates of attendance Dates of attendance Degree or awards received Degree or awards received Most recent previous educational institution or agency attended Most recent previous educational institution or agency attended

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Directory Information May Be Disclosed IF The parents have been given annual public notice of the types of information designated as directory information The parents have been given annual public notice of the types of information designated as directory information The parents have been given an opportunity to opt out The parents have been given an opportunity to opt out Note: If the parent has not been given this information and the LEA discloses information without consent, the LEA must immediately notify parents and provide the above information. Note: If the parent has not been given this information and the LEA discloses information without consent, the LEA must immediately notify parents and provide the above information.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Record of Access Agency maintains record which indicates: Agency maintains record which indicates: A. Name of party having access B. Date access given C. Purpose of access Record of access is maintained as long as student records are maintained Record of access is maintained as long as student records are maintained Record may be inspected by: Record may be inspected by: A. Parents B. School officials C. Auditors

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Parents have the right to file a complaint Parents have the right to file a complaint Annual Notification of Rights Annual Notification of Rights Address of U.S. Department of Education Address of U.S. Department of Education Family Policy Compliance Office U.S. Department of Education 400 Maryland Avenue, SW Washington, D.C

Copyright 2009 by Region 7 Education Service Center. All rights reserved. * Confidentiality is protected at four stages 1. Collection 2. Storage 3. Disclosure 4. Destruction

Copyright 2009 by Region 7 Education Service Center. All rights reserved. More on Safeguards One official assumes responsibility One official assumes responsibility All personnel receive training All personnel receive training Agency maintains list, for public inspection, of persons (names and positions) within agency who have access to personally identifiable information Agency maintains list, for public inspection, of persons (names and positions) within agency who have access to personally identifiable information

Copyright 2009 by Region 7 Education Service Center. All rights reserved. DESTRUCTION OF INFORMATION Records are not destroyed if there is an outstanding inspection request Records are not destroyed if there is an outstanding inspection request Parents informed when information is no longer needed Parents informed when information is no longer needed Information no longer needed is destroyed at parents’ request Information no longer needed is destroyed at parents’ request A permanent record is maintained A permanent record is maintained

Copyright 2009 by Region 7 Education Service Center. All rights reserved. PROTECTION OF PUPIL RIGHTS AMENDMENT (PPRA) Statute 20 U.S.C. 1232h. Regulations: 34 CFR Part 98 Governs the administration to students of a survey, analysis, or evaluation that concerns one or more of the protected areas: Governs the administration to students of a survey, analysis, or evaluation that concerns one or more of the protected areas:

Copyright 2009 by Region 7 Education Service Center. All rights reserved. MORE on PPRA PPRA also concerns: Marketing surveys and other areas of student privacy Marketing surveys and other areas of student privacy Parental access to information Parental access to information The administration of certain physical examinations to minors The administration of certain physical examinations to minors

Copyright 2009 by Region 7 Education Service Center. All rights reserved. 8 PROTECTED AREAS 1. Political affiliations or beliefs of the student or the student’s parents 2. Mental or psychological problems of the student or the student’s family 3. Sex behavior or attitudes 4. Illegal, ant-social, self-incriminating, or demeaning behavior

Copyright 2009 by Region 7 Education Service Center. All rights reserved. 8 PROTECTED AREAS (continued) 5. Critical appraisals of other individuals with whom respondents have close family relationships 6. Legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers 7. Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program) 8. Religious practices, affiliations, or beliefs of student or student's parent (added by NCLB)

Copyright 2009 by Region 7 Education Service Center. All rights reserved. NCLB’s amendments to PPRA 1. Gives parents more rights with regard to the surveying of minor students, the collection of information from students for marketing purposes, and certain non-emergency medical examination. (See following) (See following)

Copyright 2009 by Region 7 Education Service Center. All rights reserved. NCLB also… 1. Added the 8 th category (religious belief) 2. Added these provisions for educational agencies that receive funds from any Department program: *LEAs are required to develop and adopt policies, along with parents, regarding the following:

Copyright 2009 by Region 7 Education Service Center. All rights reserved. NCLB and LEA 1. Parents have the right to inspect, upon request, a survey created by a third party before the survey is administered or distributed by a school to students. 2.LEAs must have policies to protect student privacy if a survey containing one or more of the eight protected items is included. 3.LEAs must have policies dictating how they will handle a parents legal right and subsequent request to inspect instructional material. 4.LEAs must have policies concerning the administration of physical examinations or screening that the school may administer to students. 5.LEAs must have policies that govern the collection, disclosure, or use of personal information collected for the purpose of marketing or selling or providing the information to others and how student privacy will be protected. 6.LEAs must have policies that indicate how a parent’s right and request to inspect any instrument used to collect personal information.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. PARENTS Parents and students must be given notice of their rights as well as the notice of adoption or continued use of policies regarding their rights They must be given: Parents and students must be given notice of their rights as well as the notice of adoption or continued use of policies regarding their rights They must be given: A. Annually at the beginning of the year B. After substantive change in the policy Note: This new notification may be included in the PPRA general notification. ( find the model at )

Copyright 2009 by Region 7 Education Service Center. All rights reserved. GENERAL NOTIFICATION MUST INCLUDE Clear indication that PPRA applies to surveys that contain questions about one or more of the eight protected areas listed previously and Clear indication that PPRA applies to surveys that contain questions about one or more of the eight protected areas listed previously and That are funded in whole or in part by Department of Education funds and That LEAs will obtain prior written consent from parents before students are required to submit to the survey. That LEAs will obtain prior written consent from parents before students are required to submit to the survey.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. LEAs must notify parents that they have the right to review, upon request : 1. Surveys that concern one of the 8 protected areas. 2. Instructional material associated with that survey. 3. Any instructional material used as part of the curriculum for a student. Sample notification available on FPCO’s web site:

Copyright 2009 by Region 7 Education Service Center. All rights reserved. TERMS Instructional Material is material that is provided to a student, regardless of format, including printed or representational materials, audio-visual materials, and materials in electronic or digital formats such as material accessible through the Internet. NOT tests or assessments

What if no funding is received from the Department of Education for the survey? 1. Annually, at the beginning of the school year, notice must indicate that parents will be given an exact or approximate date of survey and 2. Parent will have an opportunity to “opt out” of his/her child participating.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. IMPORTANT FACTS TO REMEMBER PARENTS MUST HAVE THE RIGHT TO… Opt out of those surveys or activities Opt out of those surveys or activities Be notified at least annually at the beginning of the school year, including approximate dates of events Be notified at least annually at the beginning of the school year, including approximate dates of events Receive notice prior to the event if the date is not known at the beginning of the year Receive notice prior to the event if the date is not known at the beginning of the year

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Terms Invasive Physical Examination is any medical examination that involves the exposure of private body parts, or any act during such examination that includes incision, insertion, or injection into the body, but does not include a hearing, vision, or scoliosis screening.

Direct Notice to Parents Through mail or If student is participating in Activities involving collection, disclosure, or use of personal information collected for the purpose of marketing or for selling that information, or otherwise providing that information to others for that purpose. Any non-emergency, invasive physical examination or screening that is required as a condition of attendance, administered by school and scheduled in advance. Administration of surveys containing one or more of the 8 protected areas and is not funded in any part by the Department of Education. Note: active consent must be obtained and not an opt-out procedure if the survey is funded in whole or in part with Department funds.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Exemptions This law does not apply to any physical examination or screening that is permitted or required by State law, including physical examinations or screenings permitted without parental notification. This law does not apply to any physical examination or screening that is permitted or required by State law, including physical examinations or screenings permitted without parental notification.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. What about personal information not used for marketing purposes? Requirements do not apply if the information is being collected to develop, evaluate, or provide educational products. Examples: College or postsecondary educational recruitment College or postsecondary educational recruitment Military recruitment Military recruitment Book clubs, magazines, etc., providing access to low-cost literary products Book clubs, magazines, etc., providing access to low-cost literary products Curriculum and instructional materials use by schools Curriculum and instructional materials use by schools Tests and assessments Tests and assessments Student sales of products for fundraisers Student sales of products for fundraisers Student recognition programs Student recognition programs ATMATM

Copyright 2009 by Region 7 Education Service Center. All rights reserved. More Responsibilities LEAs that send or receive information from another educational institution must Keep documentation for as long as the record is kept Make every attempt to contact the parent Follow all legal requirements with the information as the original LEA See

Copyright 2009 by Region 7 Education Service Center. All rights reserved. NCLB and ESEA (Elementary and Secondary Education Act) What about disciplinary records? What about disciplinary records? Each school district should have aEach school district should have a procedure in place for the transfer of procedure in place for the transfer of educational records regarding educational records regarding suspension and expulsion to a private suspension and expulsion to a private or public school in which a student or public school in which a student is planning to enroll. is planning to enroll. Each LEA should include in their annual notice of rights under FERPA that they forward education records to other schools that have requested the records in which a student plans to enroll. Each LEA should include in their annual notice of rights under FERPA that they forward education records to other schools that have requested the records in which a student plans to enroll.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Some NO NOs FERPA provides that an LEA that receives Department funds may not have a policy or practice of denying parents the right to: Inspect and review education recordsInspect and review education records Seek to amend education recordsSeek to amend education records Consent to the disclosure of personally identifiable information from educational records except as specified by lawConsent to the disclosure of personally identifiable information from educational records except as specified by law

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Did you know? LEAs may use funds provided under part A of Title V of the ESEA to enhance parental involvement in areas affecting the in-school privacy of students, such as reimbursement for costs associated with this direct notification. LEAs may use funds provided under part A of Title V of the ESEA to enhance parental involvement in areas affecting the in-school privacy of students, such as reimbursement for costs associated with this direct notification.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Listen Closely LEAs are not required to develop or adopt new policies if they have in place on the date of the enactment of NCLB policies covering the requirements of this law LEAs are not required to develop or adopt new policies if they have in place on the date of the enactment of NCLB policies covering the requirements of this lawHOWEVER Annual notice is still required!!!!!

Copyright 2009 by Region 7 Education Service Center. All rights reserved. In Practice 1. Awareness of confidentiality laws and requirements 2. Complying with procedures regarding written educational records 3. Being sensitive to violations of confidentiality in verbal exchanges with others

Copyright 2009 by Region 7 Education Service Center. All rights reserved. CONFIDENTIALITY CAN BE BROKEN WHEN… Staff discuss a child in inappropriate places or situations or Staff discuss a child in inappropriate places or situations or Staff repeat gossip or rumors about a child or his family Staff repeat gossip or rumors about a child or his family

Copyright 2009 by Region 7 Education Service Center. All rights reserved. Confidentiality in Practice GOSSIP VERSUS PROFESSIONALISM WHO are you talking to? (Whom are you talking about?) WHAT are you talking about? WHY are you talking? WHERE are you talking?

Copyright 2009 by Region 7 Education Service Center. All rights reserved. The Old “Teacher” Joke “Today we divided the Class into learning levels. It’s time to separate the Sharpies from the dummies.”

Copyright 2009 by Region 7 Education Service Center. All rights reserved. May I make a suggestion? If you tell a child he’s in the dumb group it is enough to make him act dumb. Why not disguise the groups. Give them animal names.

Copyright 2009 by Region 7 Education Service Center. All rights reserved. The Old “Teacher” Joke “Roger, you’re a lion. Jane, you’re A tiger. Malcolm, you’re a lower crustacean.”

Copyright 2009 by Region 7 Education Service Center. All rights reserved. From “Six Chix” by Isabella Bannerman I am not a gossip. I happen to have Chronic-Intrigue Syndrome.