2. Objectives
• This workshop on confidentiality is
designed to meet federal requirements for
staff training;
• Define and explain rules for confidentiality
and;
• Increase paraprofessional awareness of their
responsibilities regarding privacy of student
records.
3. Two Confidentiality Laws
1. FERPA-Family Education Rights
and Privacy Act
2. IDEA-Individuals With Disabilities
Education Act
4. FERPA
Passed in 1974, amended in 1996
New regulations in effect January 9,
2009
Applies to all schools that receive money
from the U.S. Department of Education
Also called the “Buckley Amendment”
5. IDEA
Passed in 1975, reauthorized in 1997 and
again in 2004
Applies to all schools that receive money to
serve students with disabilities
Formerly the Education of the Handicapped
Act
6. Importance of Confidentiality
• If violations are found, federal funds
may be withheld
• Parents may proceed in a private civil
action against the school district
seeking redress for violations
• It’s the right thing to do!
7. Definitions
• Confidentiality
– Protecting all personally identifiable data,
information and records used, or kept by
the school district about a student
– Applies to discussions about a student and
the student’s record
8. Definitions
• Disclosure
– Permitting access to, the release, transfer,
and other communication of educational
records of a child or youth
– This includes disclosure made:
• orally
• in writing
• by any other means, including electronic
transfer of information
9. Definition Of Education Records
Records, files, documents and other materials
which contain information directly related to a
student and are maintained by an educational
agency or institution, or by a person acting for
such agency or institution.
10. Personally Identifiable
Information
Name of student, student’s parents or other family
member
Address of the student
Any personal identifier (SS #)
A list of personal characteristics that would make
it possible to identify the student
11. Personally Identifiable
Information
Data or information that include any of the
following:
• personal and family data
• evaluation and test data
• medical, psychological, and progress reports
• written accounts of conferences
• any other information used in working with the
child
12. Education records not covered in this
section include records of instructional,
supervisory and administrative personnel
which are in the sole possession of the
maker and are not revealed or accessible to
any other person.
13. Directory Information
Student’s name
Student’s address
Student’s telephone number
Student’s date and place of birth
Student’s major field of study
Participation in officially recognized sports and activities
Student’s weight, height if member of athletic team
Dates of attendance
Degree, awards received
Most recent previous educational institution or
agency attended
14. Directory Information May Be
Disclosed If:
Parents are annually given public notice of
the types of information designated as
directory information
AND
Given opportunity to refuse
15. Right To Inspect And Review
Records
Right to review records within a reasonable period
of time of written request
Right to have representative review records
Right to response to requests for explanation and
interpretation of records
Right to inspect only information related to own
child
Rights extend to both parents unless otherwise
indicated by law
Right to obtain copies of records
16. Sole Possession Records
Sole Possession Records are exempt from parent
access if they meet the following:
• Must be a private note created solely by the
individual possessing the note
• Must be a personal memory aid
AND/OR
• The information in the note must not be
accessible or revealed to any other person
17. Consent for Disclosures
Annual written notification of right to consent
to disclosures
Written consent signed and dated,
including
• specification of records disclosed
• purpose of disclosure
• parties to whom disclosure is made
Copy of disclosed records provided to parent upon
request
Third party disclosure prohibited without written
consent of parent
18. Conditions Where Prior
Consent Not Required
Disclosure within agency with legitimate
education interest
Transfer records
Directory information
Audit purposes
Subpoenas or court order
Financial aid
Health and safety emergencies
19. Destruction Of Information
Records are not destroyed if there is an
outstanding inspection request
Parents informed when information no
longer needed
Information no longer needed destroyed at
parents' request
Permanent record maintained
20. Confidentiality In Practice
Awareness of confidentiality laws and
requirements
Complying with procedures regarding written
educational records
Being sensitive to violations of confidentiality in
verbal exchanges with others
21. Confidentiality May Be
Violated
When staff discusses a child in
inappropriate places or situations
When staff repeats gossip or rumors about a
child or his family
22. Gossip vs. Professional Sharing
Of Information
When talking to a colleague about a
student or his family, apply these
four tests to see if the discussion may
be violating the student’s
confidentiality rights.
23. Four Tests
1. What is discussed
2. Where the discussion takes place
3. Who is listening
4. Why the discussion took place
24. What Is Discussed
• If the discussion involves directory information (name,
address, etc.) there is no problem unless the parent has
refused to have this information released
• If the discussion involves other personally identifiable
information that is confidential (disability, family data,
etc.), the parties should be sure that legitimate educational
interest is involved
• If the discussion involves information that is rumor,
opinion, or hearsay, chances are that confidentiality will be
in question, and the parties have moved from
professionalism to gossip.
25. Where The Discussion Takes
Place
• If the discussion occurs in a private place (such as a
teacher’s empty room, empty teachers’ lounge), there is no
problem with confidentiality
• If the discussion occurs in a public place (such as the
playground, the halls, a busy teachers’ lounge, the
supermarket), there is a good chance that confidentiality
could be violated.
26. Who Is Listening
1. If the parties to the discussion are school
officials with legitimate educational interest
there is no problem with confidentiality
2. If others are listening who have no legitimate
educational interest (such as a teacher who is
eavesdropping, a nosy child on the
playground, children in the hall, etc.)
confidentiality may be violated.
27. Why The Discussion Took Place
• If the parties have legitimate educational interest in a
student and are sharing information that will help them
work with the child, then there is no problem with
confidentiality
• If the parties are gossiping to pass time, carrying tales
about a student or his family, or for other non-educational
reasons, there is probably a problem with confidentiality.
30. When asked if her confidential
files were secured, the teacher
replied, “Yes. I keep them in my
desk drawer, and when I leave
the room, I lock the door to my
room.”
Was she correct?
31. No. Her files are not secure because
anyone with a key has access. It is better
to have a file cabinet or desk with a lock.
32. When the PDE monitor visited the school, he
asked to see the education records of 5
students selected at random. He was given
the students’ folders, which he examined for
required documentation. Later, he was asked
to sign a form stating that he had had access
to the students’ folders and listing the names
of the students.
Was confidentiality violated?
33. Yes. The monitor should have
signed a separate record of access
for each folder he examined, and
the records should be kept with
the folders.
34. The teacher keeps a folder in which she records notes
about her students. These notes have to do with the
student’s personality, behavior, achievement level,
likes and dislikes, attitudes and the like. As the
teacher is making notes in the folder after school, a
parent comes in and, noticing the folder, asks to see
notes relating to her child. The teacher refuses on the
grounds that her notes are not educational records
and, therefore, not accessible by the parent.
Is the teacher correct in her position?
35. Yes, if she does not show or reveal the
contents of the notes to anyone, if she uses
them as a memory aid, and if they remain
her private notes in her sole possession.
However, if she shares the information
with anyone,
it becomes an educational record.
36. The school district had given public notice of
the types of information that would be
considered directory information, and the
parents were duly notified of their rights of
refusal. Three months later, the school
published a directory containing the specified
information on its students. One parent
became very upset, saying the district had no
right to publish this information.
Was the parent correct in his
statement?
37. No. The district had followed FERPA
requirements regarding directory
information (given public notice, notified
parents of rights to refuse). Three
months could be considered more than
enough time to refuse.
38. A parent wanted to inspect her child’s
achievement test results. She was given
her child’s test booklet, his individual
scoring summary and the class scoring
summary to review. She was also shown
the district profile for comparison.
Were confidentiality procedures
violated?
39. Yes, if the class scoring summary
contained other children’s names. A
parent has the right to view only that
information that relates to her child. If
the district profile contained a graph or
something similar (with no names),
there would be no problem showing the
parent.
40. A general and a special education teacher
were sitting in the teachers’ lounge
discussing a child they both taught.
They called the child by name and talked
about his behavior problems, his family
situation, and his disability.
Were the teachers violating
confidentiality?
41. If the teachers were discussing the child in
private (no other teachers in the lounge or not
within earshot of others) and they had a
legitimate educational interest in the child,
they were probably not violating the child’s
confidentiality, but they should monitor what
they say if others come in.
42. A school posts on the main office
bulletin board a list of all the
students in the resource
classroom.
Was confidentiality violated?
43. Yes. Any list that singles children out
violates confidentiality, if the list
contains any information other than
directory information.
44. A school diagnostician has a habit of
leaving students' files out on her desk
during the day. She uses them in
planning evaluations and writing reports.
Is there a violation of
confidentiality?
45. There is no clear-cut answer. Leaving
confidential files on the desk could be a cause
for concern if the office is in a high access
area of the campus. The diagnostician should
be encouraged to close the files or remove
them from her desk when she leaves. The
same applies to teachers who have copies of
IEPs. It is acceptable to keep them open on
a desk while teaching, but they should be
put away at the end of the teaching period.
46. The father of a student requests to see the
report card of his son who is a student in
the local elementary school. The son is
not in any special classes. The parents
are divorced and the son lives with his
mother for the purposes of a school
address. The school refused to disclose
the boy’s grades to the father.
Was there a violation of parent access
to records?
47. Yes, unless the school has been
provided with evidence that there is
a court order, state statute or legally
binding document relating to such
matters as divorce, separation, or
custody that specifically revokes
these rights.
48. Summary
Confidentiality is an important ethical consideration
for everyone. As a representative of the school and
WIU, you are governed by the laws protecting
students and families.
Protect yourself and WIU by understanding the laws
and practicing professional integrity when it comes
to discussing students.
Editor's Notes
Welcome to the online prerecorded presentation on Confidentiality. The presentation will take approximately 1 hour to complete. I’ll do all the talking and you can follow along. The powerpoint slides will anchor the presentation.
By the end of this presentation, you will have met the federal requirements for training on the topic of confidentiality, you will understand the rules for confidentiality and most important, you will possess a greater knowledge and awareness of your responsibilities regarding the privacy of our students, their families and student records.
There are two federal laws which address confidentiality. The Family Education Rights and Privacy Act – or FERPA and The Individuals with Disabilities Act – or IDEA
Under FERPA, parents and students over 18 are granted very specific and extensive rights regarding confidential information contained in education records. Parents are given the right to inspect, control to a degree, and challenge information maintained on their child. FERPA regulations apply to all schools that receive money from the US Dept. of Education.
IDEA addresses services to students with disabilities in public schools. One section of this law deals with confidentiality of student records and incorporates the provisions of FERPA. Together, the two laws interface to protect the rights of all parents and students in public education institutions.
How important is confidentiality? If you are found in violation of a students rights to confidentiality, all federal funds may be withheld from the school and/or district. And the parents have the right to file a civil suit against the school district for additional compensation.
Before we move on, let’s define some of the terms we will be using in this presentation. Confidentiality – for our purposes today, and relating to your role, Confidentiality is defined as “Protecting all personally identifiable data, information and records used or kept by the school district about a student. It also applies to discussions about the student and/or the student’s records.
The definition of disclosure is “the act or process of revealing or uncovering”. For us, this would be permitting access to, the release, transfer and other communication of educational records of a child or youth. Disclosure could be made orally, in writing, or by any other means including electronic transfer. For example, by fax, texting, email, blogging etc.
When we talk about “Education Records” what is included? Education records are any records, files, documents or other materials which contain information that is directly related to a student and are maintained by an educational agency or institution (such as a school or intermediate unit), or by a person acting for such agency or institution (such as a classroom assistant or personal care assistant.)
Okay, this is where we talk about “Personally Identifiable Information”. The most obvious types of Personally Identifiable Information are the Name of student, student’s parents or other family member Address of the student Any personal identifier (SS #) A list of personal characteristics that would make it possible to identify the student Personally identifiable information is the key to confidentiality.
Personally Identifiable information can also include any data or information that includes any of these: personal and family data such as “The father just lost his job”, or “I was told the parents are divorcing” evaluation and test data such as “ medical, psychological, and progress reports written accounts of conferences any other information used in working with the child
This is an exception to the rules regarding Education records. If the teacher keeps notes on a student, but shows them to NO ONE and I repeat, NO ONE, and these notes are kept in a secure manner or location, those notes are not considered education records. This is a grey area and I would not encourage anyone to keep any notes on a student that you wouldn’t share with the parent or guardian.
Some schools create student directories, although the information in student directories has become more and more limited. We probably don’t see too many schools printing directories which list all of the info listed on the slide. If Directory information is defined as information contained in an education record which would not generally be considered harmful if disclosed, most of the things listed above would be left out.
The rights of parents to inspect and review records is clearly spelled out in federal regulations. Those rights are: Right to review records within a reasonable period of time of written request Right to have representative review records such as an advocate or attorney or a designated representative Right to response to requests for explanation and interpretation of records Right to inspect only information related to own child Rights extend to both parents unless otherwise indicated by law Right to obtain copies of records
It is important for teachers and counselors to understand the concept of sole possession records and that once a note is revealed to anyone, it becomes subject to parental access and challenge. The implication is that teachers and other staff should be careful with what they put in writing and with whom they share it.
Federal regulations also spell out the process for consent for disclosure of education records. As a paraeducator, you are not the proper person to answer questions related to consent for disclosure. If a parent or guardian asks you, refer them to the classroom teacher or to the Building Principal.
In order to facilitate speedy sharing of information between schools and agencies, some conditions do not require prior consent. Again, if you are asked about viewing a student’s records, your only answer should be “Let’s talk to the teacher about that.”
The regulations also have language about the destruction of information. As a paraeducator, you should never be asked to destroy student records. However, it is in your best interest to know what the conditions are for destruction of information.
The area of confidentiality is so important for you as a paraeducator. You must be aware of the laws and requirements. Most important of all, you must be sensitive to violations when talking with others. It is so easy to make a mistake that could cost you your livlihood.
We think about confidential records and are careful to keep records locked up and not released to outsiders, but we sometimes forget about what we discuss verbally in public places as maybe being confidential. Discussing a child and her behaviors in a round table discussion with other teachers or aides is an example of inappropriate. Unless everyone in hearing range has a legitimate role in the child’s education, just broadcasting your story is considered a breach of confidentiality. You’re at the grocery store and you run into an old friend. She asks about your job and thinking you are being safe you tell her about the little boy whose father has just been sentenced to prison for robbery and you feel so sorry for the child and his 2 sisters because the family has no money for food and he is falling behind in school because he is always hungry. Doesn’t sound like a breach of confidentiality, but to the cousin of the boy’s mother who overhears this conversation, it is. In a small community, the descriptors of prison sentence for robbery, 1 boy and 2 girls – well, it doesn’t take much to know who family you are talking about.
So, how do you know when you might be crossing the line? Apply these four tests to the discussion.
Remember: What Where Who And, Why
What is discussed: Personal, identifiable information that the parent has refused to have released. This is why we always have photo and publicity releases signed before we send the article to the newspaper. Personal identifiable information that is confidential such as the nature of the disablity, the economic status of the family (for example, whether or not the child receives free or reduced lunch) Don’t gossip about the students!
Read over these scenerios.
If you are approached by a parent who requests to see his child’s student records, simply refer them to the teacher or building principal. While we all want to be helpful, sometimes it isn’t in our best interest.
