Local Operating Guidelines

Special Education Records


  1. If a special education student enrolls in another AISD campus, all special education records should be hand-delivered to the new campus by diagnostician, counselor, speech therapist, or appropriate personnel.
  2. If a special education student moves to another district, only the following data (original copies if available) should be sent with the permanent record to the ESC // Office of Student Records: (note: elementary schools send their records to the ESC as soon as the student moves; middle schools may wait until records have been requested from the new school before sending records to the ESC; high schools keep the records until the ESC calls for them)
  1. Original consent for testing
  2. Original ARD and Consent for Placement
  3. Latest full and individual evaluation (including outside agency reports)
  4. Latest notice and consent regarding evaluation
  5. Latest annual ARD and IEP documents
  6. Latest transition plan (if applicable)
  7. Latest graduation ARD (if applicable)

A checklist indicating the dates of the data is included and should accompany the listed records. If any of the information is unavailable, please indicate with "N/A" in the date blank.

Note: Campuses which send student records directly to receiving districts need to send only the preceding data.

Reminder - "all" special education records need to be retained until cessation of services + seven years.

  1. When a special education student graduates, the data listed above, plus the transition plan and graduation ARD, are placed in the permanent record for storage on campus until all student records are requested by the AESC (about 3 - 7 years).
  2. When a student is no longer eligible for special education services, is referred and is not eligible, or parental consent has been withdrawn, the data listed above should be placed in the student's permanent record.  In addition, for a student whose parent has withdrawn consent, please also include the request to withdraw consent and the notice given to the parent.
  3. If parental consent is withdrawn, the special ed data (along with the request to withdraw consent and the notice given to the parent), should be placed in the student's permanent record.
  4. If a student (who has been receiving services in special education or who was evaluated and did not qualify) moves from AISD , but the student is not attending classes at a campus in the district (examples: 2 year old deaf/blind, or private school student receiving services from AISD), that student's entire special education record should be sent to the Student Records Office at the AESC.
  5. The special education records which are sent with the permanent record to the Student Record's Office will be stored for at least 7 years. After that time, all special education records will be destroyed. A statement verifying eligibility as a special education student, dates of eligibility, and handicapping condition will be maintained.

As a reminder: The green file folders used for special education records should be kept on campus and re-used.

Reminder: Do not send records which are considered "third party".

The following may be considered "third party":

  • An IEE
  • Reports from independent contractors or consultants (who were not retained by the District) which were presented to an ARD or for some reason have become part of the student's educational records
  • ARD/IEP evaluations from another school district (unless several FERPA legal qualifications are met -- 99.33(a); 99.31; & 99.32(b) -- see Q&A below)

The following are not considered to be"third party":

  • Reports from independent contractors or consultants who are retained by the District.
  • Reports / records generated by Amarillo ISD

Questions and answers related to disclosure of Student Records:

Subpart D -- May an Educational Agency or Institution Disclose Personally Identifiable Information from Education Records? 

Reg. 99.30 Under what conditions is prior consent required to disclose information?

(a) The parent or eligible student shall provide a signed and dated written consent before an educational agency or institution discloses personally identifiable information from the student's education records, except as provided in Reg. 99.31.

(b) The written consent must:

(1) Specify the records that may be disclosed;

(2) State the purpose of the disclosure; and

(3) Identify the party or class of parties to whom the disclosure may be made.

(c) When a disclosure is made under paragraph (a) of this section:

(1) If a parent or eligible student so requests, the educational agency or institution shall provide him or her with a copy of the records disclosed; and

(2) If the parent of a student who is not an eligible student so requests,the agency or institution shall provide the student with a copy of the records disclosed.

(Authority: 20 U.S.C. 1232g(b)(1) and (b)(2)(A))

[53 Fed. Reg. 11943, Apr. 11, 1988, as amended at 58 Fed. Reg. 3189, Jan. 7, 1993]


Reg. 99.31 Under what conditions is prior consent not required to disclose information?

(a) An educational agency or institution may disclose personally identifiable information from an education record of a student without the consent required by Reg. 99.30 if the disclosure meets one or more of the following conditions:

(1) The disclosure is to other school officials, including teachers, within the agency or institution whom the agency or institution has determined to have legitimate educational interests.

(2) The disclosure is, subject to the requirements of Reg. 99.34, to officials of another school, school system, or institution of postsecondary education where the student seeks or intends to enroll.

(3) The disclosure is, subject to the requirements of Reg. 99.35, to authorized representatives of--

(i) The Comptroller General of the United States;

(ii) The Attorney General of the United States;

(iii) The Secretary; or

(iv) State and local educational authorities.

 

[Amended 65 Fed. Reg. 41853 (July 6, 2000).]

(4)(i) The disclosure is in connection with financial aid for which the student has applied or which the student has received, if the information is necessary for such purposes as to:

(A) Determine eligibility for the aid;

(B) Determine the amount of the aid;

(C) Determine the conditions for the aid; or

(D) Enforce the terms and conditions of the aid. (ii) As used in paragraph (a)(4)(i) of this section, "financial aid" means a payment of funds provided to an individual (or a payment in kind of tangible or intangible property to the individual) that is conditioned on the individual's attendance at an educational agency or institution.

 

(Authority: 20 U.S.C. 1232g(b)(1)(D))

(5)(i) The disclosure is to State and local officials or authorities to whom this information is specifically --

(A) Allowed to be reported or disclosed pursuant to State statute adopted before November 19, 1974, if the allowed reporting or disclosure concerns the juvenile justice system and the system's ability to effectively serve the student whose records are released; or

(B) Allowed to be reported or disclosed pursuant to State statute adopted after November 19, 1974, subject to the requirements of Reg. 99.38.

(ii) Paragraph (a)(5)(i) of this section does not prevent a State from further limiting the number or type of State or local officials to whom disclosures may be made under that paragraph.

(6)(i) The disclosure is to organizations conducting studies for, or on behalf of, educational agencies or institutions to:

(A) Develop, validate, or administer predictive tests;

(B) Administer student aid programs; or

(C) Improve instruction.

(ii) The agency or institution may disclose information under paragraph (a)(6)(i) of this section only if:

(A) The study is conducted in a manner that does not permit personal identification of parents and students by individuals other than representatives of the organization; and

(B) The information is destroyed when no longer needed for the purposes for which the study was conducted.

(iii) If this Office determines that a third party outside the educational agency or institution to whom information is disclosed under this paragraph (a)(6) violates paragraph (a)(6)(ii)(B) of this section,the educational agency or institution may not allow that third party access to personally identifiable information from education records for at least five years.

(iv) For the purposes of paragraph (a)(6) of this section, the term "organization" includes, but is not limited to, Federal, State and local agencies, and independent organizations.

(7) The disclosure is to accrediting organizations to carry out their accrediting functions.

(8) The disclosure is to parents, as defined in Reg. 99.3, of a dependent student, as defined in section 152 of the Internal Revenue Code of 1986.

 

[Amended 65 Fed. Reg. 41853 (July 6, 2000).]

(9)(i) The disclosure is to comply with a judicial order or lawfully issued subpoena.

(ii) The educational agency or institution may disclose information under paragraph (a)(9)(i) of this section only if the agency or institution makes a reasonable effort to notify the parent or eligible student of the order or subpoena in advance of compliance, so that the parent or eligible student may seek protective action, unless the disclosure is in compliance with --

(A) A Federal grand jury subpoena and the court has ordered that the existence or the contents of the subpoena or the information furnished in response to the subpoena not be disclosed; or

(B) Any other subpoena issued for a law enforcement purpose and the court or other issuing agency has ordered that the existence or the contents of the subpoena or the information furnished in response to the subpoena not be disclosed.

(iii)(A) If an educational agency or institution initiates legal action against a parent or student, the educational agency or institution may disclose to the court, without a court order or subpoena, the education records of the student that are relevant for the educational agency or institution to proceed with the legal action as plaintiff.

(B) If a parent or eligible student initiates legal action against an educational agency or institution, the educational agency or institution may disclose to the court, without a court order or subpoena, the student's education records that are relevant for the educational agency or institution to defend itself.

 

[Amended 65 Fed. Reg. 41853 (July 6, 2000).]

(10) The disclosure is in connection with a health or safety emergency, under the conditions described in Reg. 99.36.

(11) The disclosure is information the educational agency or institution has designated as "directory information," under the conditions described in Reg. 99.37.

(12) The disclosure is to the parent of a student who is not an eligible student or to the student.

(13) The disclosure, subject to the requirements in Sec. 99.39, is to a victim of an alleged perpetrator of a crime of violence or a non-forcible sex offense. The disclosure may only include the final results of the disciplinary proceeding conducted by the institution of postsecondary education with respect to that alleged crime or offense. The institution may disclose the final results of the disciplinary proceeding, regardless of whether the institution concluded a violation was committed.

[Amended 65 Fed. Reg. 41853 (July 6, 2000).] (14)(i) The disclosure, subject to the requirements in Reg. 99.39, is in connection with a disciplinary proceeding at an institution of postsecondary education. The institution must not disclose the final results of the disciplinary proceeding unless it determines that--

(A) The student is an alleged perpetrator of a crime of violence or non-forcible sex offense; and

(B) With respect to the allegation made against him or her, the student has committed a violation of the institution's rules or policies.

(ii) The institution may not disclose the name of any other student, including a victim or witness, without the prior written consent of the other student.

(iii) This section applies only to disciplinary proceedings in which the final results were reached on or after October 7, 1998.

[Added 65 Fed. Reg. 41853 (July 6, 2000).] (15)(i) The disclosure is to a parent of a student at an institution of postsecondary education regarding the student's violation of any Federal, State, or local law, or of any rule or policy of the institution, governing the use or possession of alcohol or a controlled substance if--

(A) The institution determines that the student has committed a disciplinary violation with respect to that use or possession; and

(B) The student is under the age of 21 at the time of the disclosure to the parent.

(ii) Paragraph (a)(15) of this section does not supersede any provision of State law that prohibits an institution of postsecondary education from disclosing information.

(b) Paragraph (a) of this section does not forbid an educational agency or institution from disclosing, nor does it require an educational agency or institution to disclose, personally identifiable information from the education records of a student to any parties under paragraphs (a)(1) through (11), (13), (14), and (15) of this section.

 

[Added 65 Fed. Reg. 41853 (July 6, 2000).]

(Authority: 20 U.S.C. 1232g(a)(5)(A), (b)(1), (b)(2)(B), (b)(6), (h), and (i))

[53 Fed. Reg. 11943, Apr. 11, 1988; 53 Fed. Reg. 19368, May 27, 1988, as amended at 58 Fed. Reg. 3189, Jan. 7, 1993, 61 Fed. Reg. 59296 (Nov. 21, 1996) and 65 Fed. Reg. 41853 (July 6, 2000).]


Reg. 99.32 What recordkeeping requirements exist concerning requests and disclosures?

(a)(1) An educational agency or institution shall maintain a record of each request for access to and each disclosure of personally identifiable information from the education records of each student.

(2) The agency or institution shall maintain the record with the education records of the student as long as the records are maintained.

(3) For each request or disclosure the record must include:

(i) The parties who have requested or received personally identifiable information from the education records; and

(ii) The legitimate interests the parties had in requesting or obtaining the information.

(b) If an educational agency or institution discloses personally identifiable information from an education record with the understanding authorized under Reg. 99.33(b), the record of the disclosure required under this section must include:

(1) The names of the additional parties to which the receiving party may disclose the information on behalf of the educational agency or institution; and

(2) The legitimate interests under Reg. 99.31 which each of the additional parties has in requesting or obtaining the information.

(c) The following parties may inspect the record relating to each student:

(1) The parent or eligible student.

(2) The school official or his or her assistants who are responsible for the custody of the records.

(3) Those parties authorized in Reg. 99.31(a)(1) and (3) for the purposes of auditing the recordkeeping procedures of the educational agency or institution.

(d) Paragraph (a) of this section does not apply if the request was from, or the disclosure was to:

(1) The parent or eligible student;

(2) A school official under Reg. 99.31(a)(1);

(3) A party with written consent from the parent or eligible student;

(4) A party seeking directory information; or

(5) A party seeking or receiving the records as directed by a Federal grand jury or other law enforcement subpoena and the issuing court or other issuing agency has ordered that the existence or the contents of the subpoena or the information furnished in response to the subpoena not be disclosed.

 

(Authority: 20 U.S.C. 1232g(b)(1) and (b)(4)(A))

[Amended in 61 Fed. Reg. 69297 (Nov. 21, 1996).]

(Approved by the Office of Management and Budget under control number 1880-0508)

 

Reg. 99.33 What limitations apply to the redisclosure of information?

(a)(1) An educational agency or institution may disclose personally identifiable information from an education record only on the condition that the party to whom the information is disclosed will not disclose the information to any other party without the prior consent of the parent or eligible student.

(2) The officers, employees, and agents of a party that receives information under paragraph (a)(1) of this section may use the information, but only for the purposes for which the disclosure was made.

(b) Paragraph (a) of this section does not prevent an educational agency or institution from disclosing personally identifiable information with the understanding that the party receiving the information may make further disclosures of the information on behalf of the educational agency or institution if:

(1) The disclosures meet the requirements of Reg. 99.31; and

(2) The educational agency or institution has complied with the requirements of Reg. 99.32(b).

(c) Paragraph (a) of this section does not apply to disclosures made to parents of dependent students under Reg. 99.31(a)(8), to disclosures made pursuant to court orders, lawfully issued subpoenas, or litigation under Reg. 99.31(a)(9), to disclosures of directory information under Sec. 99.31(a)(11), to disclosures made to a parent or student under Reg. 99.31(a)(12), to disclosures made in connection with a disciplinary proceeding under Reg. 99.31(a)(14), or to disclosures made to parents under Reg. 99.31(a)(15).

[Amended in 65 Fed. Reg. 41853 (June 6, 2000).]

(d) Except for disclosures under Reg. 99.31(a)(9), (11) and (12), an educational agency or institution shall inform a party to whom disclosure is made of the requirements of this section.

(e) If this Office determines that a third party improperly rediscloses personally identifiable information from education records in violation of Reg. 99.33(a) of this section, the educational agency or institution may not allow that third party access to personally identifiable information from education records for at least five years.

[Amended in 61 Fed. Reg. 69297 (Nov. 21, 1996).]

 

(Authority: 20 U.S.C. 1232g(b)(4)(B))

Reg. 99.34 What conditions apply to disclosure of information to other educational agencies or institutions?

(a) An educational agency or institution that discloses an education record under Reg. 99.31(a)(2) shall:

(1) Make a reasonable attempt to notify the parent or eligible student at the last known address of the parent or eligible student, unless:

(i) The disclosure is initiated by the parent or eligible student; or

(ii) The annual notification of the agency or institution under Reg. 99.6 includes a notice that the agency or institution forwards education records to other agencies or institutions that have requested the records and in which the student seeks or intends to enroll;

(2) Give the parent or eligible student, upon request, a copy of the record that was disclosed; and

(3) Give the parent or eligible student, upon request, an opportunity for a hearing under Subpart C.

(b) An educational agency or institution may disclose an education record of a student in attendance to another educational agency or institution if:

(1) The student is enrolled in or receives services from the other agency or institution; and

(2) The disclosure meets the requirements of paragraph (a) of this section.

(Authority: 20 U.S.C. 1232g(b)(1)(B))

[Amended in 61 Fed. Reg. 69297 (Nov. 21, 1996).]


Reg. 99.35 What conditions apply to disclosure of information for Federal or State program purposes?

(a) The officials listed in Reg. 99.31(a)(3) may have access to education records in connection with an audit or evaluation of Federal or State supported education programs, or for the enforcement of or compliance with Federal legal requirements which relate to those programs.

(b) Information that is collected under paragraph (a) of this section must:

(1) Be protected in a manner that does not permit personal identification of individuals by anyone except the officials referred to in paragraph (a) of this section; and

(2) Be destroyed when no longer needed for the purposes listed in paragraph (a) of this section.

(c) Paragraph (b) of this section does not apply if:

(1) The parent or eligible student has given written consent for the disclosure under Reg. 99.30; or

(2) The collection of personally identifiable information is specifically authorized by Federal law.

 

(Authority: 20 U.S.C. 1232g(b)(3))

Reg. 99.36 What conditions apply to disclosure of information in health and safety emergencies?

(a) An educational agency or institution may disclose personally identifiable information from an education record to appropriate parties in connection with an emergency if knowledge of the information is necessary to protect the health or safety of the student or other individuals.

(b) Nothing in this Act or this part shall prevent an educational agency or institution from --

(1) Including in the education records of a student appropriate information concerning disciplinary action taken against the student for conduct that posed a significant risk to the safety or well-being of that student, other students, or other members of the school community;

(2) Disclosing appropriate information maintained under paragraph (b)(1) of this section to teachers and school officials within the agency or institution who the agency or institution has determined have legitimate educational interests in the behavior of the student; or

(3) Disclosing appropriate information maintained under paragraph (b)(1) of this section to teachers and school officials in other schools who have been determined to have legitimate educational interests in the behavior of the student.

(c) Paragraphs (a) and (b) of this section shall be strictly construed.

(Authority: 20 U.S.C. 1232g(b)(1)(I) and (h))

[53 Fed. Reg. 11943, Apr. 11, 1988; 53 Fed. Reg. 19368, May 27, 1988; and 61 Fed. Reg. 59297 (Nov. 21, 1996).]
Reg. 99.37 What conditions apply to disclosing directory information?

(a) An educational agency or institution may disclose directory information if it has given public notice to parents of students in attendance and eligible students in attendance at the agency or institution of:

(1) The types of personally identifiable information that the agency or institution has designated as directory information;

(2) A parent's or eligible student's right to refuse to let the agency or institution designate any or all of those types of information about the student as directory information; and

(3) The period of time within which a parent or eligible student has to notify the agency or institution in writing that he or she does not want any or all of those types of information about the student designated as directory information.

(b) An educational agency or institution may disclose directory information about former students without meeting the conditions in paragraph (a) of this section.

(Authority: 20 U.S.C. 1232g(a)(5)(A) and (B))