DAR File No. 37740

Education, Administration

Rule R277-487

Public School Data Confidentiality and Disclosure

Notice of Proposed Rule

(Amendment)

DAR File No.: 37740
Filed: 06/14/2013 10:21:55 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

This rule is amended to provide a section on educator evaluation data.

Summary of the rule or change:

The amendments include adding a new Section R277-487-5 on educator evaluation data; adding a new definition "Classroom-level assessment data"; and adding a new authorizing citation consistent with the new Section R277-487-5.

State statutory or constitutional authorization for this rule:

• Subsection 53A-1-401(3)
• Subsection 53A-13-301(3)

Anticipated cost or savings to:

the state budget:

There is no anticipated cost or savings to the state budget. Existing Utah State Board of Education (Board) staff will comply with the requirements of the new Section R277-487-5 within existing budgets.

local governments:

There is no anticipated cost or savings to local government. It is expected that existing local education agency (LEA) staff will comply with the requirements of the new Section R277-487-5 within existing budgets.

small businesses:

There is no anticipated cost or savings to small businesses. This rule and the amendments apply to public education and do not affect businesses.

persons other than small businesses, businesses, or local governmental entities:

There is no anticipated cost or savings to persons other than small businesses, businesses, or local government entities. Requirements based on the amendments are state and local requirements.

Compliance costs for affected persons:

There are no compliance costs for affected persons. Board and LEA staff will comply with the requirements of the new Section R277-487-5.

Comments by the department head on the fiscal impact the rule may have on businesses:

I have reviewed this rule and I see no fiscal impact on businesses.

Martell Menlove, State Superintendent

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Education
Administration
250 E 500 S
SALT LAKE CITY, UT 84111-3272

Direct questions regarding this rule to:

• Carol Lear at the above address, by phone at 801-538-7835, by FAX at 801-538-7768, or by Internet E-mail at [email protected]

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

07/31/2013

This rule may become effective on:

08/07/2013

Authorized by:

Carol Lear, Director, School Law and Legislation

R277. Education, Administration.

R277-487. Public School Data Confidentiality and Disclosure.

R277-487-1. Definitions.

A. "Board" means the Utah State Board of Education.

B. "Classroom-level assessment data" means student scores on state-required tests, aggregated in groups of more than 10 students at the classroom level or, if appropriate, at the course level, without individual student identifiers of any kind.

[B]C. "Comprehensive Administration of Credentials for Teachers in Utah Schools (CACTUS)" means the electronic file maintained and owned by the USOE on all licensed Utah educators. The file includes information such as:

(1) personal directory information;

(2) educational background;

(3) endorsements;

(4) employment history; and

(5) a record of disciplinary action taken against the educator.

[C]D. "Disciplinary action" means any lesser action taken by UPPAC which does not materially affect a licensed educator's license and licensing action taken by the Board for suspension or revocation.

[D]E. "FERPA" means the Family Educational Rights and Privacy Act of 1974, 20 U.S.C. 1232g, a federal law designed to protect the privacy of students' education records. The law is hereby incorporated by reference.

[E]F. "LEA" means local education agency, including local school boards/public school districts, charter schools, and, for purposes of this rule, the Utah Schools for the Deaf and the Blind.

[F]G. "Student information" means materials, information, records and knowledge that an LEA possesses or maintains, or both, about individual students. Student information is broader than student records and may include information or knowledge that school employees possess or learn in the course of their duties.

[G]H. "Student record" means a record in any form, including handwriting, print, computer media, video or audio tape, film, microfilm, and microfiche, that is directly related to a student and maintained by an educational agency or institution or by a party acting for an agency or institution. Student records shall be maintained by LEAs consistent with 20 U.S.C. Section 1232g.

 

R277-487-2. Authority and Purpose.

A. This rule is authorized under Utah Constitution Article X, Section 3 which vests general control and supervision over public education in the Board, by Section 53A-1-401(3) which allows the Board to make rules in accordance with its responsibilities[,]; by Section 53A-13-301(3) regarding confidentiality and required or appropriate disclosure of student records data; by Section 53A-1-607(2) regarding disclosure of student data to LEAs for assessment and accountability purposes; by Section 53A-8a-410(4) to ensure the privacy and protection of individual educator evaluation data; by Section 53A-3-602.5 regarding a school performance report requiring criterion-referenced or online computer adaptive tests to be aggregated for all students by class; by Section 53A-1-411 which directs the Board to establish procedures for administering or making available online surveys to obtain information about public education issues[,]; and by Section 53A-6-104 which authorizes the Board to issue licenses to educators and maintain licensing information.

B. The purpose of this rule is to :

(1) provide for appropriate review and disclosure of student assessment data on state mandated assessments as required by law;

(2) provide for adequate and appropriate review of student assessment data on state mandated assessments to professional education staff and parents of students;

(3) ensure the privacy of student records, as directed by law[, of individual student information,];

(4) [to] provide an online education survey conducted with public funds for Board review and approval[,]; and

(5) [and to] provide for appropriate protection and maintenance of educator licensing data.

 

R277-487-3. Confidentiality of Student Data.

A. Board Responsibilities:

(1) The Board shall develop resource materials for LEAs to train employees, aids, and volunteers of an LEA regarding confidentiality of student information and student records, as defined in FERPA.

(2) The Board shall make the materials available to each LEA.

B. LEA Responsibilities:

(1) LEAs shall establish policies and provide appropriate training for employees regarding the confidentiality of student records, including an overview of all federal, state, and local laws that pertain to the privacy of students, their parents, and their families. The policy should address the specific needs or priorities of the LEA.

(2) LEAs shall require password protection for all student records maintained electronically.

C. Public Education Employee and Volunteer Responsibilities:

(1) All public education employees, aids, and volunteers in public schools shall become familiar with federal, state, and local law regarding the confidentiality of student information and student records.

(2) All public education employees, aids, and volunteers shall maintain appropriate confidentiality pursuant to federal, state, and local laws with regard to student records.

(3) An employee, aid, or volunteer shall maintain student records in a secure and appropriate place as designated by policies of an LEA.

(4) An employee, aid, or volunteer accessing student records in electronic format shall comply with policies of an LEA regarding the procedures for maintaining confidentiality of electronic records.

(5) An employee, aid, or volunteer shall not share, disclose, or disseminate passwords for electronic maintenance of student records.

(6) All public education employees, aids and volunteers have a responsibility to protect confidential student information and access records only as necessary for their assignment(s).

(7) Public education employees licensed under Section 53A-6-104 shall access and use student information and records consistent with R277-515, Utah Educator Standards. Violations may result in licensing discipline.

 

R277-487-4. Comprehensive Administration of Credentials for Teachers in Utah Schools (CACTUS) Data, Confidentiality, and Appropriate Disclosure.

A. CACTUS maintains public, protected and private information on licensed Utah educators. Private or protected information includes such items as home address, date of birth, social security number, and any disciplinary action taken against an individual's license.

B. A CACTUS file shall be opened on a licensed Utah educator when:

(1) the individual initiates a USOE background check, or

(2) the USOE receives a paraprofessional license application from an LEA.

C. The data in CACTUS may only be changed as follows:

(1) Authorized USOE staff or authorized LEA staff may change demographic data.

(2) Authorized USOE staff may update licensing data such as endorsements, degrees, license areas of concentration and licensed work experience.

(3) Authorized employing LEA staff may update data on educator assignments for the current school year only.

D. A licensed individual may view his own personal data. An individual may not change or add data except under the following circumstances:

(1) A licensed individual may change his demographic data when renewing his license.

(2) A licensed individual shall contact his employing LEA for the purpose of correcting demographic or current educator assignment data.

(3) A licensed individual may petition the USOE for the purpose of correcting any errors in his CACTUS file.

E. Individuals currently employed by public or private schools under letters of authorization or as interns are included in CACTUS.

F. Individuals working in LEAs as student teachers are included in CACTUS.

G. Designated individuals have access to CACTUS data:

(1) Training shall be provided to designated individuals prior to granting access.

(2) Authorized USOE staff may view or change CACTUS files on a limited basis with specific authorization.

(3) For employment or assignment purposes only, authorized LEA staff members may access data on individuals employed by their own LEA or data on licensed individuals who do not have a current assignment in CACTUS.

(4) Authorized LEA staff may also view specific limited information on job applicants if the applicant has provided the LEA with a CACTUS identification number.

(5) CACTUS information belongs solely to the USOE. The USOE shall make the final determination of information included in or deleted from CACTUS.

(6) CACTUS data consistent with Section 63G-2-301(1) under the Government Records Access and Management Act are public information and shall be released by the USOE.

 

R277-487-5. Educator Evaluation Data.

A. The Board shall provide classroom-level assessment data to administrators and teachers. School administrators shall share information requested by parents while ensuring the privacy of individual student information and educator evaluation data.

B. Individual educator evaluation data shall be protected at the school, LEA and state levels and, if applicable, at the USOE.

C. LEAs shall designate employees who may have access to educator evaluation records.

D. LEAs may not release or disclose student assessment information that reveals educator evaluation information or records.

E. LEAs shall train employees in the confidential nature of employee evaluations and the importance of securing evaluations and records.

 

R277-487-[5]6. Public Education Research Data.

A. The USOE may provide limited or extensive data sets for research and analysis purposes to qualified researchers or organizations.

(1) A reasonable method shall be used to qualify researchers or organizations to receive data, such as evidence that a research proposal has been approved by a federally recognized Institutional Review Board (IRB).

(2) Aggregate deidentified student assessment data are available through the USOE website. Individual student information [are]is protected.

(3) The USOE is not obligated to fill every request for data and has procedures to determine which requests will be filled or to assign priorities to multiple requests. The USOE/Board understands that it will respond in a timely manner to all requests submitted under Section 63G-2-101 et seq., Government Records Access and Management Act. In filling data requests, higher priority may be given to requests that will help improve instruction in Utah's public schools.

(4) A fee may be charged to prepare data or to deliver data, particularly if the preparation requires original work. The USOE shall comply with Section 63G-2-203 in assessing fees.

(5) The researcher or organization shall provide a copy of the report or publication produced using USOE data to the USOE at least 10 business days prior to the public release.

B. Student information: Requests for data that disclose student information shall be provided in accordance with the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. Section 1232g; such responses may include:

(1) individual student data that are de-identified, meaning it is not possible to trace the data to individual students;

(2) agreements with recipients of student data where recipients agree not to report or publish data in a manner that discloses students' identities. For example, reporting test scores for a race subgroup that has a count, also known as n-size, of less than 10 could enable someone to identify the actual students and shall not be published;

(3) release of student data, with appropriate binding agreements, for state or federal accountability or for the purpose of improving instruction to specific student subgroups.

C. Licensed educator information:

(1) The USOE shall provide information about licensed educators maintained in the CACTUS database that is required under Section 63G-2-301(2).

(2) Additional information/data may be released by the USOE consistent with the purposes of CACTUS, the confidentiality protections accepted by requester(s), and the benefit that the research may provide for public education in Utah, as determined by the USOE.

D. Recipients of USOE research data shall sign a USOE non-disclosure agreement if required by the USOE.

E. The Board or the USOE may commission research or may approve research requests.

 

R277-487-[6]7. Public Education Survey Data.

A. The Board shall approve statewide education surveys administered with public funds through the USOE or through a contract issued by the USOE, as required under Section 53A-1-411.

B. Data obtained from USOE statewide surveys administered with public funds are the property of the Board.

C. Data obtained from USOE statewide surveys administered with public funds shall be made available as follows:

(1) Survey data made available by the Board shall protect the privacy of students in accordance with FERPA.

(2) Survey data about educators shall be available in a manner that protects the privacy of individual educators consistent with State law.

 

KEY: students, records, confidentiality

Date of Enactment or Last Substantive Amendment: [February 21, ]2013

Notice of Continuation: December 31, 2012

Authorizing, and Implemented or Interpreted Law: Art X Sec 3; 53A-13-301(3); 53A-1-401(3); 53A-1-411