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National Evaluation and Technical Assistance Center for the Education of Children and Youth Who Are Neglected, Delinquent, or At-Risk
Legislation and Interagency Relationships Aid in the Successful Transfer of Student Records
By Sarah Tetteyfio and Regina Waugh
Effectively transferring student records between facilities and other out-of-home placements is vital to ensuring continuity of educational services for youth. This is especially important for youth who are neglected or delinquent (N or D). Commonly, students who are N or D have higher rates of learning, behavioral, and emotional disorders. [1] Records are particularly important to ensure correct supports are in place to facilitate a smooth transition between schools and/or facilities and minimize common errors such as (a) duplication of services, (b) unnecessary referrals, and/or (c) lack of delivery of necessary services. When delays occur, it can exacerbate student and family member frustrations and negative attitudes that already exist, as well as contribute to missed academic opportunities.
Effective records transfer procedures provide program staff with essential information to evaluate and accommodate the needs of incarcerated or neglected juveniles transitioning to a new placement. Obtaining student records efficiently often requires collaborative relationships, communication, and cooperation between and among schools, courts, and agencies. It also requires thorough knowledge and understanding of Federal and State legislation affecting privacy and the sharing of student records.
Federal and State Legislation
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Records transfer policies and procedures must adhere to existing State and Federal statutes. It is essential that States and facilities have a complete understanding of the statutory requirements to avoid placing unnecessary limitations on their ability to share student information. Although the law can be very helpful to the records transfer process, some schools and facilities view it as a barrier. In many cases, lack of effective records transfer and information sharing in the case of juveniles is the result of perceived Federal and State legal constraints on the agencies involved.
The prime piece of Federal legislation regarding the sharing of educational information is the Federal Family Educational Rights and Privacy Act of 1974 (FERPA), which was enacted to prevent the unnecessary disclosure of students’ education records. A bulletin from the Office of Juvenile Justice and Delinquency Prevention (OJJDP) directly addresses the issue and notes that “Many education agencies have been overly cautious in their interpretation of FERPA by establishing policies recognizing a generalized right to privacy with regard to all student records and information. These policies often pose significant obstacles to information sharing among agencies.”[2] However, FERPA actually allows educators to disclose information from a juvenile’s education records at any time with parental consent. Additionally, the Improving America’s Schools Act of 1994 includes a juvenile justice system exception to FERPA, which allows educators to disclose information from a student’s record provided that:
- Such a disclosure is authorized by State law
- The disclosure is to a State or local juvenile justice agency
- The disclosure is necessary to provide preadjudication services to the juvenile
- State or local officials provide written assurances that the information will not be shared outside of the State or local juvenile justice agency[3]
Although no State can have confidentiality laws more lenient than FERPA, some States do have laws that extend FERPA. These extensions should be addressed when establishing records transfer policies. In some cases, a memorandum of understanding/agreement or law allowing the sharing of information between entities that have a legal interest in the wellbeing of a student may be a solution.
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States and agencies may also face resistance from public schools when trying to reenroll students. For example, some State agencies have encountered difficulty enrolling children who are in foster care in a new school because they lack education records from previous placements. To remedy this, several States have introduced laws requiring that records transfer take no more than a certain number of days—Florida, Virginia, and Wisconsin require records transfer within 5 days. This accelerated timeframe allows schools and facilities to review students’ education records during the transition in order to place students in appropriate classes and provide other necessary services upon entry, as well as minimize loss of programming/services between placements.
Collaborative Interagency Relationships
Besides perceived constraints caused by FERPA, another difficulty with transferring student records is that the information comes from a number of different sources. Collaborative transition planning between personnel at records-holding agencies, schools, and facilities is imperative to ensure that records are transferred in a timely and accurate manner. Working collaboratively, personnel are better able to understand how other agencies work, can facilitate more effective communication, and together can identify procedures that facilitate prompt and effective records transfer in the interest of ensuring the required services for students and their families during transition. Below are a few ideas facilities can use to begin collaborating with other agencies.
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- Identify a person to coordinate the collaboration activities between partnering facilities. This person should conduct a self-assessment of the facility. What are the goals, needs, and resources of the facility? Then the coordinator should determine any similarities in existing procedures, goals, needs, and resources between its facility and its partners. Once the partnership is established and self-assessment completed, staff from each facility should come together to develop procedures. The coordinator should monitor progress achieved through the collaboration and instigate changes as needed.
- Appoint a specific person to be devoted to retrieving student records from past placements. This way, there is never a question about to whom the records should be directed and less chance that records will be lost within the facility itself. For facilities receiving students from a relatively small number of schools, it may be possible to have a personal contact at all or most of the places from which students come. Facilities that receive students from many schools may need to focus their resources on the places responsible for the largest proportion of student placements.
- Designate an individual to be responsible for transferring a student’s records to the next placement. The designated person should identify those individuals at the appropriate schools, districts, or facilities who will be in charge of receiving the outgoing student records. The person should also be able to answer questions and provide documentation about the facility’s educational procedures (e.g., testing), curriculum, and accreditation. This individual may be the transition coordinator—an individual charged with managing all aspects of student transition plans.
- Establish a position to develop relationships with the family members or legal guardians of students in out-of-home placements. Families often have valuable information pertaining to the students’ medical, mental health, and academic history, including individualized education plans (IEPs). They also have the power to grant access to student records that may be tied up at facilities or other institutions.
The timely and effective transfer of records can dramatically improve both short-term and long-term student outcomes by ensuring that students receive a continuous education. Applying a comprehensive understanding of FERPA and other Federal or State legislation on the confidentiality of student records and establishing meaningful interagency relationships are major keys to ensuring a successful records transfer procedure.
1. Quinn, M. M., Rutherford, R. B., Leone, P. E., Osher, D. M., & Poirier, J. M. (2005). Students with disabilities in detention and correctional settings. Exceptional Children, 71(3), 339–345.
2. Stephens, R. D., & Arnette, J. L. (2000). From the courthouse to the schoolhouse: Making successful transitions (Juvenile Justice Bulletin, NCJ 178900). Washington, DC: U.S. Department of Justice, Office of Juvenile Justice and Delinquency Prevention.
3. Medaris, M. (1998). A guide to the Family Educational Rights and Privacy Act (OJJDP Fact Sheet No. FS-9878). Washington, DC: U.S. Department of Justice, Office of Juvenile Justice and Delinquency Prevention.