MANAGING STUDENT RECORDS
By: Cassie Black
Kriha Boucek
Managing Student Records
As we near the end
of the school year we frequently get questions related to student records. What
exactly is a student record? What do we have to keep? What can we throw away?
Does it matter where we store student records?
The answers to
these questions are not always so straightforward, especially with the growing
popularity of electronic storage of information and the use of multiple
databases to store information. However, we’ve identified the top questions we
receive related to student records, focusing on those questions that are
relevant to special education teachers and related service providers.
What is a student record?
Under the Family
Educational Rights and Privacy Act (FERPA) and the Illinois School Student
Records Act (ISSRA), a student record is any writing or other recorded information concerning a
student and by which a student may be individually identified, maintained by a
school or at its direction or by an employee of a school, regardless of how or
where the information is stored.
Student records do not include:
● Writings or other recorded
information maintained by an employee of a school or other person at the
direction of a school for his or her exclusive use as long as: 1) this
information is destroyed not later than the student's graduation or permanent
withdrawal from the school; and 2) the information is not shared with anyone
else (except a person designated by the school as a substitute unless they are
first incorporated in a school student record and made subject to all of the
provisions of this Act).
● Information maintained by
law enforcement professionals working in the school.
● Contents of a video or other electronic recording,
including on a school bus, unless the video/electronic records are used and
maintained for a particular reason (e.g., disciplinary
action or compliance with a student's Individualized Education Program)
regarding that specific student.
While it is beyond the scope of this article,
student records are further categorized by permanent and temporary records,
with districts required to retain permanent records for 60 years after a
student withdraws, transfers, or graduates from the district and temporary
records for five years after a student withdraws, transfers, or graduates from
the district. Special education records, and the types of records we will
discuss below, are generally considered temporary records.
Does it
matter where student records are stored?
While each district typically has a procedure for
storing student records, it is important to note that there are no legal
requirements regarding how or where student records are stored. If a record
individually identifies a student, is maintained by the district or its
employee, and does not meet one of the exceptions above, it is considered a student
record, no matter where it is stored. As technology becomes more prevalent in
teaching and learning, districts typically use multiple databases to store
information. With this in mind, it is important that districts have an
understanding of all the databases used to store information and that employees
have a good understanding of what constitutes a student record so that
districts comply with relevant laws related to student records.
Are personal
notes, progress notes, and/or lesson plans considered student records?
Generally, lesson plans are not student records, as
they aren’t related to or identify specific students. Similarly, personal notes
are not considered student records as long as they are not shared with anyone
else (except a sub) and are destroyed no later than the student’s graduation or
permanent withdrawal from school. Therapy notes, progress notes, and data
collection related to student IEP goals are considered student records and
should be maintained as such.
Are emails
considered student records?
Emails are considered student records when the above
criteria are met. We are often asked if this is true even when the district uses
student initials or ID numbers to identify students. While this may be a good
practice to protect student privacy and prevent unauthorized disclosure of
information to individuals who do not have a legitimate educational interest,
the use of initials or ID numbers does not prevent the email from being
considered a student record.
Do we need
to hold onto test protocols once we’ve finished evaluating a student and have
written the report? If so, do we only keep the first page if that is the only
page that has identifying information?
Test protocols are student records, and like other
temporary student records, must be kept for five years after the student
withdraws, transfers, or graduates from the district. Even if identifying
information is only included on the first page, the entire booklet is
considered the student record and should be retained. Depending on district practices, test
protocols are often kept in the teacher or related service provider’s office or
the district’s special education file. Additionally, with computer-based
scoring, the protocol could be “stored” in the database. Where information is
stored is a district decision and regardless of where it is stored, it is considered
a temporary record.
Can we share test
protocols with parents?
FERPA neither prohibits nor requires that districts
share testing protocols with parents as it only allows parents the right to
inspect and review student records. However, ISSRA allows parents the right to
inspect and copy student records. Another state law, the Mental Health &
Developmental Disabilities Confidentiality Act states
that psychological testing materials whose disclosure would compromise the
objectivity or fairness of the testing process may not be disclosed except to a
psychologist designated by the parent/guardian and/or student. See 740 ILCS 110/3(c). Additionally,
ISSRA states that when access to student records is granted, at either the
request of that individual or the district, a qualified professional may be
present to interpret the information contained in the student’s temporary
record. See 105 ILCS 10/5(b).
Districts are often concerned about sharing testing
protocols with parents because raw data may not be meaningful to parents
without being accompanied by an interpretation. Additionally, districts also
often express concerns related to copyright issues. To address these concerns,
and to comply with the various laws described above, districts may choose to invite parents or other individuals in to
review test protocols with a school staff member qualified to interpret the
results rather than release protocols. Additionally, districts may release
protocols to individuals qualified to interpret the results.
Final thoughts
The end of the year is a good time to review your
district procedures related to student records and share this information with
staff. It’s also a great time to clean up student records by getting rid of
duplicate documents as you transfer documents from one attendance center or
district to another. This summer may also be a great time to identify all of
the data management systems used in your district so that you are ready to
respond efficiently to your next request for student records.