5125 AR - Student Records

Students
Administrative Regulation No. 5125
Regulation reviewed:  September 6, 2018

STUDENT RECORDS

Definitions

Student means any individual who is or has been in attendance at the district and regarding whom the district maintains student records. (34 CFR 99.3)

Attendance includes, but is not limited to, attendance in person or by paper correspondence, videoconference, satellite, Internet, or other electronic information and telecommunication technologies for students who are not physically present in the classroom, and the period during which a person is working under a work-study program.  (34 CFR 99.3)

Student records are any item of information (in handwriting, print, tape, computer or other medium), gathered within or outside the district that are directly related to an identifiable student and maintained by the district or required to be maintained by an employee in the performance of his/her duties, or maintained by a party acting for the district.  Any information maintained for the purpose of second-party review is considered a student record. Student records include the student’s health record. (34 CFR 99.3; Education Code 49061, 49062; 5 CCR 430)

Student records do not include: (Education Code 49061, 49062; 34 CFR 99.3)

1.   Directory information

(cf. 5125.1 – Release of Directory Information)

2.   Informal notes compiled by a school officer or employee which remain in the sole possession of the maker, are used only as a personal memory aid, and are not accessible or revealed to any other person except a substitute.

3.   Records of the law enforcement unit of the district, subject to the provisions of 34 CFR 99.8

4.   Records created or received by the district after an individual is no longer a student and that are not directly related to the individual’s attendance as a student.

5.   Grades on peer-grades papers before they are collected and recorded by a teacher.

Mandatory permanent student records are those records which are maintained in perpetuity and which schools have been directed to compile by state law, regulation or administrative directive. (5 CCR 430)

Mandatory interim student records are those records which the schools are directed to compile and maintain for stipulated periods of time and are then destroyed in accordance with state law, regulation or administrative directive. (5 CCR 430)

Permitted student records are those records having clear importance only to the current educational process of the student. (5 CCR 430)

Access means a personal inspection and review of a record, an accurate copy of a record or receipt of an accurate copy of a record, an oral description or communication of a record, and a request to release a copy of any record. (Education Code 49061)

Disclosure means to permit access to or the release, transfer, or other communication of personally identifiable information contained in education records, to any party, by any means including oral, written or electronic means. (34 CFR 99.3)

Personally identifiable information includes but is not limited to: (34 CFR 99.3)

1.         The student’s name

2.         The name of the student’s parent/guardian or other family member

3.         The address of the student or student’s family

4.         A personal identifier such as the student’s social security number, student number, or biometric record (e.g., fingerprints, retina and iris patterns, voiceprints, DNA sequence, facial characteristics, and handwriting)

5.         Other indirect identifiers, such as the student’s date of birth, place of birth, and mother’s maiden name

6.         Other information that, alone or in combination, is linked or linkable to a specific students that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the students with reasonable certainty.,

7.         Information requested by a person who the district reasonably believes knows the identify of the student to whom the student record relates.

Adult student is a person who is or was enrolled in school and who is at least 18 years of age. (5 CCR 430)

Parent/guardian means a natural parent, an adopted parent, legal guardian, surrogate parents, or foster parent. (Education Code 490651, 56050, 56055)

A legitimate education interest is one held by school officials and employees whose duties and responsibilities to the district, whether routine or as a result of special circumstances, require that they have access to student records.

School officials and employees are officials or employees whose duties and responsibilities to the district, whether routine or as a result of special circumstances, require that they have access to student records.

Contractor or consultant is anyone with a formal written agreement or contract with the district regarding the provision of services or functions outsources to him/her by the district.  Contractors or consultant shall not include a volunteer or other party.  (Education Code 49076)

Custodian of records is the employee responsible for security of student records maintained by the district and for devising procedures for assuring that access to such records is limited to authorized persons. (5 CCR 433) 

County placing agency means the county social service department or county probation department. (Education Code 49061)

Persons Granted Absolute Access

The following persons or agencies shall have absolute access to any and all student records in accordance with state law:

1.        Parents/guardians of students younger than age 18, including the parent who is not the student’s custodial parent (Education Code 49069, Family Code 3025)

2.       An adult student age 18 or older or students under the age of 18 who attend a postsecondary institution, in which case the student shall alone exercise rights related to his/her student records and grant consent for the release of records (Education Code 49061; 34 CFR 99.5)

3.         Parents/guardians of an adult students with disabilities who is age 18 years or older and has been declared incompetent under state law (Education Code 56041.5

Access for Limited Purpose/Legitimate Educational Interest

The following persons or agencies shall have access to those particular records that are relevant to their legitimate educational interest or other legally authorized purpose.

1.         Parents/guardians of a student age 18 or older who is a dependent child as defined under 25 USC 152 (Education Code 49076; 34 CFR 99.31)

2.         Students who are age 16 or older or who have completed the 10th grade (Education Code 49076; 34 CFR 99.31

3.         School officials and employees consistent with the definition provided in the section “Definitions” above (Education Code 49076, 34 CFR 99.31)

4.         Members of a school attendance review board (SARB) who are authorized representatives of the district and any volunteer aide age 18 or older who has been investigated, selected, and trained by the SARB to provide follow-up services to a referred student

5.         Officials and employees of other public schools, school systems, or postsecondary institutions where the student intends or is directed to enroll, including local, county, or state correctional facilities where educational programs leading to high school graduation are provided, or where the student is already enrolled, as long as the disclosure is for purposes related to the student's enrollment or transfer 

Unless the annual parent/guardian notification issued pursuant to Education Code 48989 includes a statement that the district may disclose students’ discloses personally identifiable information to officials of another school, school system, or postsecondary institution where the student seeks or intends to enroll, the Superintendent or designee shall make a reasonable attempt to notify the parent/guardian or adult student at his/her last known address, provide a copy of the record that is disclosed, and give the parent/guardian or adult student an opportunity for a hearing to challenge the record.

6.         The Student Aid Commission, to provide the grade point average (GPA) of all district students in grade 12 and, when requested, verification of high school graduation or its equivalent of all students who graduated in the prior academic year, for use in the Cal Grant postsecondary financial aid program. However, such information shall not be submitted when students opt out or are permitted by the rules of the Student Aid Commission to provide test scores in lieu of the GPA. (Education Code 69432.9, 69432.92)

No later than October 15 each year, the Superintendent or designee shall notify each student in grade 12, and his/her parents/guardians if the student is under age 18 years, that the student's GPA will be forwarded to the Student Aid Commission unless he/she opts out within a period of time specified in the notice, which shall not be less than 30 days.

Students’ social security numbers shall not be included in the submitted information unless the Student Aid Commission deems it necessary to complete the financial aid application and the Superintendent or designee obtains permission from the student's parent/guardian, or from the adult student, to submit the social security number.

7.         Federal, state, and local officials, as needed for program audit, evaluation, or compliance activity related to a state or federally funded education program and in accordance with a written agreement developed pursuant to 34 CFR 99.35 (Education Code 49076, 34 CFR 99.3, 99.31, 99.35)

8.         Any county placing agency acting as an authorized representative of a state or local educational agency which is required to audit or evaluate a state or federally supported education program pursuant to Item 6 above (Education Code 49076)

9.         Any person, agency or organization authorized in compliance with a court order or lawfully issued subpoena (Education Code 49076,5 CFCR, 435, 34 CFR 99.31)

Unless otherwise instructed by the court, the Superintendent or designee shall, prior to disclosing a record pursuant to a court order or subpoena, give the parent/guardian or adult student at least three days' notice of the name of the requesting agency and the specific record requested, if lawfully possible within the requirements of the judicial order. (Education Code 49077; 5 CCR435; 34 CFR 99.31)

10.       Any district attorney who is participating in or conducting a truancy mediation program or participating in the presentation of evidence in a truancy petition.

11.       A district attorney's office for consideration against a parent/guardian for failure to comply with compulsory education laws (Education Code 49076) 

12.       Any probation officer, district attorney, or counsel of record for a minor student for the purposes of conducting a criminal investigation or an investigation in regards to declaring the minor student a ward of the court or involving a violation of a condition of probation, subject to evidentiary rules specified in Welfare and Institutions Code 701 (Education Code 49076)

            When disclosing records for these purposes, the Superintendent or designee shall obtain written certification from the recipient of the records that the information will not be disclosed to another party without prior written consent of the student’s parents/guardian or the holder of the student’s educational rights, unless specifically authorized by state or federal law.  (Education Code 49076)

13.       Any judge or probation officer for the purpose of conducting a truancy mediation program for a student or for the purpose of presenting evidence in a truancy petition pursuant to Welfare and Institutions Code 681. (Education Code 49076)

In such cases, the judge or probation officer shall certify in writing to the Superintendent or designee that the information will be used only for truancy purposes.  Upon releasing student information to a judge or probation officer, the Superintendent or designee shall inform, or provide written notification to the student’s parent/guardian within 24 hours.  (Education Code 49076) 

14.       Any foster family agency with jurisdiction over currently enrolled or former students for purposes of accessing those students' records of grades and transcripts and any individualized education program developed and maintained by the district (Education Code 49069.3)

Such individuals shall have access to the student's current or most recent records of grades, transcripts, attendance, discipline, online communication on platforms established by schools for students and parents/guardians, and any individualized education program or Section 504 plan developed and maintained by the district (Education Cod 49069.3)

15.       A student age 14 years or older who is both a homeless student and an unaccompanied minor as defined in 42 USC 11434a (Education Code 49076)

 (cf. 6173 - Education for Homeless Children)

16.       An individual who completes items 1-4 of the caregiver's authorization affidavit pursuant to Family Code 6552 and signs the affidavit for the purpose of enrolling a minor in school (Education Code 49076)

17.       A caseworker or other representative of a state or local child welfare agency or tribal organization that has legal responsibility for the care and protection of a student, provided that the information is directly related to providing assistance to address the student's educational needs (Education Code 49076; 20 USC 1232(g)) 

18.       Appropriate law enforcement authorities, in circumstances where Education Code 48902 requires that the district provide special education and disciplinary records of a student with disabilities who is suspended or expelled for committing an act violating Penal Code 245 (Education Code 48902, 49076)

When disclosing such records, the Superintendent or designee shall obtain written certification by the recipient of the records as described in item #12 above. (Education Code 49076)

19.       Designated peace officers or law enforcement agencies in cases where the district is authorized by law to assist law enforcement in investigations of suspected criminal conduct or kidnapping and a written parental consent, lawfully issued subpoena, or court order is submitted to the district, or information is provided to it indicating that an emergency exists in which the student's information is necessary to protect the health or safety of the student or other individuals (Education Code 49076.5; 34 CFR 99.1-99.67)

In such cases, the Superintendent or designee shall provide information about the identity and location of the student as it relates to the transfer of that student's records to another public school district or California private school. (Education Code 49076.5)

When disclosing records for the above purposes, the Superintendent or designee shall obtain the necessary documentation to verify that the person, agency, or organization is a person, agency, or organization that is permitted to receive such records.

Any person, agency, or organization granted access is prohibited from releasing information to another person, agency, or organization without written permission from the parent/guardian or adult student unless specifically allowed by state law or the federal Family Educational Rights and Privacy Act. (Education Code 49076)

In addition, the parent/guardian or adult student may provide written consent for access to be granted to persons, agencies, or organizations not afforded access rights by law. The written consent shall specify the records to be released and the party or parties to whom they may be released. (Education Code 49075)

Only a parent/guardian having legal custody of the student may consent to the release of records to others. Either parent/guardian may grant consent if both parents/guardians notify the district, in writing, that such an agreement has been made. (Education Code 49061)

Discretionary Access

At his/her discretion, the Superintendent or designee may release information from student records to the following: (Education Code 49076)

1.         Appropriate persons, including parents/guardians of a student, in an emergency if the health and safety of a student or other persons are at stake

When releasing information to any such appropriate person, the Superintendent or designee shall record information about the threat to the health or safety of the student and any other person that formed the basis of the disclosure and the person(s) to whom the disclosure was made.  (Education Code 49076; 34 CFR 99.32)

Unless it would further endanger the health or safety of the student or other persons, the Superintendent or designee shall inform the parent/guardian or adult student within one week of the disclosure that the disclosure was made, of the articulable and significant threat to the health or safety of the student or other individuals that formed the basis for the disclosure, and of the parties to whom the disclosure was made.

2.         Accrediting associations

3.         Under the conditions specified in Education Code 49076, organizations conducting studies on behalf of educational institutions or agencies for the purpose of developing, validating or administering predictive tests, administering student aid programs or improving instruction

            a.         The study is conducted in a manner that does not permit personal identification or parents/guardians and students by individuals other than representatives of the organization who have legitimate interests in the information

            b.         The information is destroyed when no longer needed for the purposes for which the study is conducted.

            c.         The district enters into a written agreement with the organization that includes the information in 34 CFR 99.31

4.         Officials and employees of private schools or school systems where the student is enrolled or intends to enroll

5.         Local health departments operating countywide or regional immunization information and reminder systems and the California Department of Public Health, unless the parents/guardian has requested that no disclosures of this type be made (Health and Safety Code 120440)

6.         Contractors and consultants having a legitimate educational interest based on services or functions which have been outsourced to them through a formal written agreement or contract by the district, excluding volunteers or other parties (Education Code 49076)

When disclosing records for the above purposes, the Superintendent or designee shall obtain the necessary documentation to verify that the person, agency, or organization is a person, agency, or organization that is permitted to receive such records.

7.         Agencies or organizations in connection with the student's application for or receipt of financial aid, provided that information permitting the personal identification of a student or his/her parents/guardians for these purposes is disclosed only as may be necessary to determine the eligibility of the student for financial aid, determine the amount of financial aid, determine the conditions which will be imposed regarding the financial aid, or enforce the terms or conditions of the financial aid (Education Code 49076; 34 CFR 99.31, 99.36)

8.         County elections officials for the purpose of identifying students eligible to register to vote or offering such students an opportunity to register, subject to the provisions of 34 CFR 99.37 and under the condition that any information provided on this basis shall not be used for any other purpose or transferred to any other person or agency (Education Code 49076; 34 CFR 99.31, 99.37)

When disclosing records for the above purposes, the Superintendent or designee shall obtain the necessary documentation to verify that the person, agency, or organization is a person, agency, or organization that is permitted to receive such records.

De-identification of Records

When authorized by law for any program audit, educational research, or other purposes, the Superintendent or designee may release information from a student record without prior consent of the parent/guardian or adult student after the removal of all personally identifiable information. Prior to releasing such information, the Superintendent or designee shall make a reasonable determination that the student's identity is not personally identifiable, whether through single or multiple releases and taking into account other reasonably available information. (Education Code 49074, 49076; 34 CFR 99.31)

Process for Providing Access to Records

Student records shall be maintained in a central file at the school attended by the student or, when records are maintained in different locations, a notation shall be placed in the central file indicating where other records may be found. Parents/guardians shall be notified of the location of student records if not centrally located. (Education Code 49060; 5 CCR 433)

The custodian of the records shall be responsible for the security of student records and shall assure that access is limited to authorized persons.  (5 CCR 433) 

The custodian of records shall develop reasonable methods, including physical, technological, and administrative controls, to ensure that school officials and employees obtain access to only those student records in which they have legitimate interests.  (34 DFR 99.31)

To inspect, review or obtain copies of student records, authorized persons shall submit a request to the custodian of records.  For those individuals for whom the law requires that access be granted based on a legitimate educational interests, the request shall specify such interest involved.  Prior to granting the request, the custodian of records shall authenticate the individual’s identity. 

When required by law, the parent/guardian shall provide written, signed, and dated consent before the district discloses the student record. Such consent may be given through electronic means in those cases where it can be authenticated. The district's consent form shall specify the records that may be disclosed, state the purpose of the disclosure, and identify the party or class of parties to whom the disclosure may be made. Upon request by the parent/guardian, the district shall provide him/her a copy of the records disclosed. (34 CFR 99.30)

If the parent/guardian refuses to provide written consent for the release of student information, the Superintendent or designee shall not release the information, unless it is otherwise subject to release based on a court order or a lawful subpoena.

Within five business days following the date of request, an authorized person shall be granted access to inspect, review and obtain copies of student records during regular school hours. (Education Code 49069, 5 CCR 431)

Qualified certificated personnel shall be available to interpret records when requested. (Education Code 49069)

The custodian of records or the Superintendent or designee shall prevent the alteration, damage or loss of records during inspection. (5 CCR 435)

Access Log

A log shall be maintained for each student’s record which lists all persons, agencies or organizations requesting or receiving information from the records and the legitimate educational interest of the requester. (Education Code 49064)

In every instance of inspection by persons who do not have assigned educational responsibility, the school custodian of records shall make an entry in the log indicating the record inspected, the name of the person granted access, the reason access was granted, and the time and circumstances of inspection. (5 CCR 435)

The log does not need to record access by: (Education Code 49064)

1.         Parents/guardians or adult students

2.         Students 16 years of ago or older who have completed the 10th grade

3.         Parties obtaining district-approved directory information

4.         Parties who provide written parental consent, in which case the consent notice shall be filed with the record pursuant to Education Code 49075

5.         School officials or employees who have a legitimate educational interest.

6.         Law enforcement personnel seeking to enforce immigration laws

The log shall be accessible to only the parent/guardian, adult students, dependent adult students, student age 16 years or older or who has completed the 10th grade, custodian of records, and certain state/federal officials. (Education Code 49064; 5 CCR 432) 

Duplication of Student Records

To provide copies of any student record, the district shall charge a reasonable fee not to exceed the actual cost of furnishing the copies. No charge shall be made for providing up to two transcripts or up to two verifications of various records for any former student. No charge shall be made to locate or retrieve any student record. (Education Code 49065)

Changes to Student Records

No additions except routine updating shall be made to a student’s record after high school graduation or permanent departure without prior consent of the parent/guardian or adult student. (5 CCR 437)

Only a parent/guardian having legal custody of the student may challenge the content of a record or offer a written response to a record. (Education Code 49061)

A student's legal name or gender as entered on the mandatory student record required pursuant to 5 CCR 432 shall only be changed pursuant to a court order. However, at the written request of a student or, if appropriate, his/her parents/guardians, the district shall use the student’s preferred name and pronouns consistent with his/her gender identity on all other district-related documents.

Retention and Destruction of Student Records

All anecdotal information and assessment reports maintained as student records shall be dated and signed by the individual who originated the data. (5 CCR 431)

The following mandatory permanent student records shall be kept indefinitely: (5 CCR 432, 437)

1.         Legal name of student

2.         Date and place of birth and method of verifying birth date

(cf. 5111 - Admission)

3.         Sex of student

4.         Name and address of parent/guardian of minor student

a. Address of minor student if different from the above

b. Annual verification of parent/guardian's name and address and student's residence

5.         Entrance and departure dates of each school year and for any summer session or other extra session

6.         Subjects taken during each year, half-year, summer session, or quarter, and marks or credits given

7.         Verification of or exemption from required immunizations

8.         Date of high school graduation or equivalent

Mandatory interim student records, unless forwarded to another district, shall be maintained subject to destruction during the third school year following a determination that their usefulness has ceased or the student has left the district. These records include: (Education Code 48918; 5 CCR 432, 437, 16027)

1.         Expulsion orders and the causes therefore

(cf. 5144.1 - Suspension and Expulsion/Due Process)

(cf. 5144.2 - Suspension and Expulsion/Due Process (Students with Disabilities))

2.         A log identifying persons or agencies who request or receive information from the student record

3.         Health information, including Child Health and Disability Prevention Program verification or waiver

4.         Information on participation in special education programs, including required tests, case studies, authorizations, and evidence of eligibility for admission or discharge

(cf. 6159 - Individualized Education Program)

(cf. 6164.4 - Identification of Individuals for Special Education)

5.         Language training records

(cf. 6174 - Education for English Language Learners)

6.         Progress slips/notices required by Education Code 49066 and 49067

7.         Parental restrictions/stipulations regarding access to directory information

8.         Parent/guardian or adult student rejoinders to challenged records and to disciplinary action 

9.         Parent/guardian authorization or denial of student participation in specific programs

10.       Results of standardized tests administered within the past three years

11.    Written findings resulting from an evaluation conducted to determine whether it is in a student’s best interest to remain in independent study

Permitted student records may be destroyed six months after the student completes or withdraws from the educational program, including: (5 CCR 432, 437)

1.         Objective counselor/teacher ratings

2.         Standardized test results older than three years

3.         Routine disciplinary data

(cf. 5144 - Discipline)

4.         Verified reports of relevant behavioral patterns

5.         All disciplinary notices

6.         Supplementary attendance records or attendance records not covered in 5CCR Section 432 

Records shall be destroyed in a way that assures they will not be available to possible public inspection in the process of destruction. (5 CCR 437)

Transfer of Student Records

When a student transfers into this district from any other school district or a private school, the Superintendent or designee shall inform the parent/guardian of his/her rights regarding student records, including the right to review, challenge and receive a copy of student records. (Education Code 49068; 5 CCR 438)

When a student transfers into this district from another, the Superintendent or designee shall request that the previous district provide any records, either maintained by that district in the ordinary course of business or received from a law enforcement agency, regarding acts committed by the transferring student that resulted in his/her suspension or expulsion. (Education Code 48201)

When a student transfers from this district to another school district or to a private school, the Superintendent or designee shall forward a copy of the student’s mandatory permanent records as requested by the other district or private school. The original record or a copy shall be retained permanently by this district. If the transfer is to another California public school, the student’s entire mandatory interim record shall be forwarded. If the transfer is out of state or to a private school, the mandatory interim record may be forwarded. Copies of permitted student records may be forwarded to any other district or private school. (5 CCR 438)

Upon receiving a request from a county placing agency to transfer a student in foster care out of a district school, the Superintendent or designee shall transfer the student's records to the next educational placement within two business days. (Education Code 49069.5)

All student records shall be updated before they are transferred. (5 CCR 438)

Student records shall not be withheld from the requesting district because of any charges or fees owed by the student or parent/guardian. (5 CCR 438)

If the district is withholding grades, diploma or transcripts from the student because of his/her damage or loss of school property, this information shall be sent to the requesting district along with the student’s records.

Notification of Parents/Guardians

Upon students’ initial enrollment and at the beginning of each year thereafter, the Superintendent or designee shall notify parents/guardians and eligible students, in writing, of their rights related to student records. If 15 percent or more of the students enrolled in the district speak a single primary language other than English, then the district shall provide these notices to that language.  Otherwise, the district shall provide these notices in the student’s home language insofar as practicable. The district shall effectively notify parents/guardians or eligible students who are disabled. (Education Code 49063; 34 CFR 99.7)

The notice shall include information about: (Education Code 49063; 34 CFR 99.7, 99.34)

1.      The types of student records kept by the district and the information contained therein

2.      The titles of the officials responsible for maintaining each type of record

3.      The location of the log identifying those who request information from the records

4.      District criteria for defining “school officials and employees” and for determining “legitimate educational interest”

5.      District policies for reviewing and expunging student records

6.      The right to inspect and review student records, and the procedures for doing so

7.      The right to challenge and the procedures for challenging the content of a student record that the parent/guardian or student believes to be inaccurate, misleading or otherwise in violation of the student’s privacy rights

8.      The cost, if any, charged for duplicating copies of records

9.      The categories of information defined as directory information pursuant to Education Code 49073

10.    The right to consent to disclosures of personally identifiable information contained in the student’s records except when disclosure without consent is authorized by law

11.    The availability of the curriculum prospectus developed pursuant to Education Code 49091.14 containing the titles, descriptions and instructional aims of every course offered by the school

12.    Any other rights and requirements set forth in Education Code 49060-49078, and the right of parents/guardians to file a complaint with the United States Department of Health, Education, and Welfare concerning an alleged failure by the district to comply with 20 USC 1232g

13.    A statement that the district forwards education records to other agencies or institutions that request the records and in which the student seeks or intends to enroll or is already enrolled as long as the disclosure is for purposes related to the student's enrollment

In addition, the annual parental notification shall include a statement that a student's citizenship status, immigration status, place of birth, or any other information indicating national origin will not be released without parental consent or a court order. 

 

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