Family Educational Rights And Privacy Act (FERPA)
(FERPA) sets out requirements designed to protect the privacy of parents and
students. In brief, the law requires a school district to:
- Provide a parent access to their child's educational records.
- Provide a parent an opportunity to seek correction of records he/she believes to be inaccurate or misleading.
- With some exceptions, obtain the written permission of a parent before disclosing information contained in the student's educational record.
Use your browser's 'Find' function to search for key sections. Chances are, you're looking for the section that deals with a parent's right to access his or her child's school records, which is Section 99.4. If you haven't already done so, make sure you take a look at the instructions on the Getting School Records page.
[Code of Federal Regulations]
[Title 34, Volume 1, Parts 1 to 299]
[Revised as of July 1, 1997]
From the U.S. Government Printing Office via GPO Access
[CITE: 34CFR99]
[Page 286-301]
TITLE 34--EDUCATION
PART 99--FAMILY EDUCATIONAL RIGHTS AND PRIVACY
Subpart A--General
Sec.
99.1 To which educational agencies or institutions do these regulations
apply?
99.2 What is the purpose of these regulations?
99.3 What definitions apply to these regulations?
99.4 What are the rights of parents?
99.5 What are the rights of students?
99.6 [Reserved]
99.7 What must an educational agency or institution include in its
annual notification?
99.8 What provisions apply to records of a law enforcement unit?
Subpart B--What Are the Rights of Inspection and Review of Education
Records?
99.10 What rights exist for a parent or eligible student to inspect and
review education records?
99.11 May an educational agency or institution charge a fee for copies
of education records?
99.12 What limitations exist on the right to inspect and review
records?
Subpart C--What Are the Procedures for Amending Education Records?
99.20 How can a parent or eligible student request amendment of the
student's education records?
99.21 Under what conditions does a parent or eligible student have the
right to a hearing?
99.22 What minimum requirements exist for the conduct of a hearing?
Subpart D--May an Educational Agency or Institution Disclose Personally
Identifiable Information From Education Records?
99.30 Under what conditions is prior consent required to disclose
information?
99.31 Under what conditions is prior consent not required to disclose
information?
99.32 What recordkeeping requirements exist concerning requests and
disclosures?
99.33 What limitations apply to the redisclosure of information?
99.34 What conditions apply to disclosure of information to other
educational agencies or institutions?
99.35 What conditions apply to disclosure of information for Federal or
State program purposes?
[[Page 287]]
99.36 What conditions apply to disclosure of information in health and
safety emergencies?
99.37 What conditions apply to disclosing directory information?
99.38 What conditions apply to disclosure of information as permitted
by State statute adopted after November 19, 1974, concerning
the juvenile justice system?
Subpart E--What Are the Enforcement Procedures?
99.60 What functions has the Secretary delegated to the Office and to
the Office of Administrative Law Judges?
99.61 What responsibility does an educational agency or institution
have concerning conflict with State or local laws?
99.62 What information must an educational agency or institution submit
to the Office?
99.63 Where are complaints filed?
99.64 What is the complaint procedure?
99.65 What is the content of the notice of complaint issued by the
Office?
99.66 What are the responsibilities of the Office in the enforcement
process?
99.67 How does the Secretary enforce decisions?
Authority: 20 U.S.C. 1232g, unless otherwise noted.
Source: 53 FR 11943, Apr. 11, 1988, unless otherwise noted.
Subpart A--General
Sec. 99.1 To which educational agencies or institutions do these
regulations apply?
(a) Except as otherwise noted in Sec. 99.10, this part applies to an
educational agency or institution to which funds have been made
available under any program administered by the Secretary, if--
(1) The educational institution provides educational services or
instruction, or both, to students; or
(2) The educational agency provides administrative control of or
direction of, or performs service functions for, public elementary or
secondary schools or postsecondary institutions.
(b) This part does not apply to an educational agency or institution
solely because students attending that agency or institution receive
non-monetary benefits under a program referenced in paragraph (a) of
this section, if no funds under that program are made available to the
agency or institution.
(c) The Secretary considers funds to be made available to an
educational agency or institution of funds under one or more of the
programs referenced in paragraph (a) of this section--
(1) Are provided to the agency or institution by grant, cooperative
agreement, contract, subgrant, or subcontract; or
(2) Are provided to students attending the agency or institution and
the funds may be paid to the agency or institution by those students for
educational purposes, such as under the Pell Grant Program and the
Guaranteed Student Loan Program (titles IV-A-1 and IV-B, respectively,
of the Higher Education Act of 1965, as amended).
(d) If an educational agency or institution receives funds under one
or more of the programs covered by this section, the regulations in this
part apply to the recipient as a whole, including each of its components
(such as a department within a university).
(Authority: 20 U.S.C. 1232g)
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59295, Nov. 21, 1996]
Sec. 99.2 What is the purpose of these regulations?
The purpose of this part is to set out requirements for the
protection of privacy of parents and students under section 444 of the
General Education Provisions Act, as amended.
(Authority: 20 U.S.C. 1232g)
Note: 34 CFR 300.560-300.576 contain requirements regarding
confidentiality of information relating to handicapped children who
receive benefits under the Education of the Handicapped Act.
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59295, Nov. 21, 1996]
Sec. 99.3 What definitions apply to these regulations?
The following definitions apply to this part:
Act means the Family Educational Rights and Privacy Act of 1974, as
amended, enacted as section 444 of the General Education Provisions Act.
(Authority: 20 U.S.C. 1232g)
[[Page 288]]
Attendance includes, but is not limited to:
(a) Attendance in person or by correspondence; and
(b) The period during which a person is working under a work-study
program.
(Authority: 20 U.S.C. 1232g)
Directory information means information contained in an education
record of a student which would not generally be considered harmful or
an invasion of privacy if disclosed. It includes, but is not limited to
the student's name, address, telephone listing, date and place of birth,
major field of study, participation in officially recognized activities
and sports, weight and height of members of athletic teams, dates of
attendance, degrees and awards received, and the most recent previous
educational agency or institution attended.
(Authority: 20 U.S.C. 1232g(a)(5)(A))
Disciplinary action or proceeding means the investigation,
adjudication, or imposition of sanctions by an educational agency or
institution with respect to an infraction or violation of the internal
rules of conduct applicable to students of the agency or institution.
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.
(Authority: 20 U.S.C. 1232g(b)(1))
Educational agency or institution means any public or private agency
or institution to which this part applies under Sec. 99.1(a).
(Authority: 20 U.S.C. 1232g(a)(3))
Education records. (a) The term means those records that are:
(1) Directly related to a student; and
(2) Maintained by an educational agency or institution or by a party
acting for the agency or institution.
(b) The term does not include:
(1) Records of instructional, supervisory, and administrative
personnel and educational personnel ancillary to those persons that are
kept in the sole possession of the maker of the record, and are not
accessible or revealed to any other person except a temporary substitute
for the maker of the record;
(2) Records of the law enforcement unit of an educational agency or
institution, subject to the provisions of Sec. 99.8.
(3)(i) Records relating to an individual who is employed by an
educational agency or institution, that:
(A) Are made and maintained in the normal course of business;
(B) Relate exclusively to the individual in that individual's
capacity as an employee; and
(C) Are not available for use for any other purpose.
(ii) Records relating to an individual in attendance at the agency
or institution who is employed as a result of his or her status as a
student are education records and not excepted under paragraph (b)(3)(i)
of this definition.
(4) Records on a student who is 18 years of age or older, or is
attending an institution of postsecondary education, that are:
(i) Made or maintained by a physician, psychiatrist, psychologist,
or other recognized professional or paraprofessional acting in his or
her professional capacity or assisting in a paraprofessional capacity;
(ii) Made, maintained, or used only in connection with treatment of
the student; and
(iii) Disclosed only to individuals providing the treatment. For the
purpose of this definition, ``treatment'' does not include remedial
educational activities or activities that are part of the program of
instruction at the agency or institution; and
(5) Records that only contain information about an individual after
he or she is no longer a student at that agency or institution.
(Authority: 20 U.S.C. 1232g(a)(4))
Eligible student means a student who has reached 18 years of age or
is attending an institution of postsecondary education.
(Authority: 20 U.S.C. 1232g(d))
Institution of postsecondary education means an institution that
provides education to students beyond the secondary school level;
``secondary school level'' means the educational level (not
[[Page 289]]
beyond grade 12) at which secondary education is provided as determined
under State law.
(Authority: 20 U.S.C. 1232g(d))
Parent means a parent of a student and includes a natural parent, a
guardian, or an individual acting as a parent in the absence of a parent
or a guardian.
(Authority: 20 U.S.C. 1232g)
Party means an individual, agency, institution, or organization.
(Authority: 20 U.S.C. 1232g(b)(4)(A))
Personally identifiable information includes, but is not limited to:
(a) The student's name;
(b) The name of the student's parent or other family member;
(c) The address of the student or student's family;
(d) A personal identifier, such as the student's social security
number or student number;
(e) A list of personal characteristics that would make the student's
identity easily traceable; or
(f) Other information that would make the student's identity easily
traceable.
(Authority: 20 U.S.C. 1232g)
Record means any information recorded in any way, including, but not
limited to, handwriting, print, computer media, video or audio tape,
film, microfilm, and microfiche.
(Authority: 20 U.S.C. 1232g)
Secretary means the Secretary of the U.S. Department of Education or
an official or employee of the Department of Education acting for the
Secretary under a delegation of authority.
(Authority: 20 U.S.C. 1232g)
Student, except as otherwise specifically provided in this part,
means any individual who is or has been in attendance at an educational
agency or institution and regarding whom the agency or institution
maintains education records.
(Authority: 20 U.S.C. 1232g(a)(6))
[53 FR 11943, Apr. 11, 1988, as amended at 60 FR 3468, Jan. 17, 1995; 61
FR 59295, Nov. 21, 1996]
Sec. 99.4 What are the rights of parents?
An educational agency or institution shall give full rights under
the Act to either parent, unless the agency or institution has been
provided with evidence that there is a court order, State statute, or
legally binding document relating to such matters as divorce,
separation, or custody that specifically revokes these rights.
(Authority: 20 U.S.C. 1232g)
Sec. 99.5 What are the rights of students?
(a) When a student becomes an eligible student, the rights accorded
to, and consent required of, parents under this part transfer from the
parents to the student.
(b) The Act and this part do not prevent educational agencies or
institutions from giving students rights in addition to those given to
parents.
(c) If an individual is or has been in attendance at one component
of an educational agency or institution, that attendance does not give
the individual rights as a student in other components of the agency or
institution to which the individual has applied for admission, but has
never been in attendance.
(Authority: 20 U.S.C. 1232g(d))
[53 FR 11943, Apr. 11, 1988, as amended at 58 FR 3188, Jan. 7, 1993]
Sec. 99.6 [Reserved]
Sec. 99.7 What must an educational agency or institution include in its
annual notification?
(a)(1) Each educational agency or institution shall annually notify
parents of students currently in attendance, or eligible students
currently in attendance, of their rights under the Act and this part.
(2) The notice must inform parents or eligible students that they
have the right to--
(i) Inspect and review the student's education records;
(ii) Seek amendment of the student's education records that the
parent or eligible student believes to be inaccurate, misleading, or
otherwise in violation of the student's privacy rights;
(iii) Consent to disclosures of personally identifiable information
contained
[[Page 290]]
in the student's education records, except to the extent that the Act
and Sec. 99.31 authorize disclosure without consent; and
(iv) File with the Department a complaint under Secs. 99.63 and
99.64 concerning alleged failures by the educational agency or
institution to comply with the requirements of the Act and this part.
(3) The notice must include all of the following:
(i) The procedure for exercising the right to inspect and review
education records.
(ii) The procedure for requesting amendment of records under
Sec. 99.20.
(iii) If the educational agency or institution has a policy of
disclosing education records under Sec. 99.31(a)(1), a specification of
criteria for determining who constitutes a school official and what
constitutes a legitimate educational interest.
(b) An educational agency or institution may provide this notice by
any means that are reasonably likely to inform the parents or eligible
students of their rights.
(1) An educational agency or institution shall effectively notify
parents or eligible students who are disabled.
(2) An agency or institution of elementary or secondary education
shall effectively notify parents who have a primary or home language
other than English.
(Approved by the Office of Management and Budget under control number
1880-0508)
(Authority: 20 U.S.C. 1232g (e) and (f))
[61 FR 59295, Nov. 21, 1996]
Sec. 99.8 What provisions apply to records of a law enforcement unit?
(a)(1) Law enforcement unit means any individual, office,
department, division, or other component of an educational agency or
institution, such as a unit of commissioned police officers or non-
commissioned security guards, that is officially authorized or
designated by that agency or institution to--
(i) Enforce any local, State, or Federal law, or refer to
appropriate authorities a matter for enforcement of any local, State, or
Federal law against any individual or organization other than the agency
or institution itself; or
(ii) Maintain the physical security and safety of the agency or
institution.
(2) A component of an educational agency or institution does not
lose its status as a law enforcement unit if it also performs other,
non-law enforcement functions for the agency or institution, including
investigation of incidents or conduct that constitutes or leads to a
disciplinary action or proceedings against the student.
(b)(1) Records of a law enforcement unit means those records, files,
documents, and other materials that are--
(i) Created by a law enforcement unit;
(ii) Created for a law enforcement purpose; and
(iii) Maintained by the law enforcement unit.
(2) Records of a law enforcement unit does not mean--
(i) Records created by a law enforcement unit for a law enforcement
purpose that are maintained by a component of the educational agency or
institution other than the law enforcement unit; or
(ii) Records created and maintained by a law enforcement unit
exclusively for a non-law enforcement purpose, such as a disciplinary
action or proceeding conducted by the educational agency or institution.
(c)(1) Nothing in the Act prohibits an educational agency or
institution from contacting its law enforcement unit, orally or in
writing, for the purpose of asking that unit to investigate a possible
violation of, or to enforce, any local, State, or Federal law.
(2) Education records, and personally identifiable information
contained in education records, do not lose their status as education
records and remain subject to the Act, including the disclosure
provisions of Sec. 99.30, while in the possession of the law enforcement
unit.
(d) The Act neither requires nor prohibits the disclosure by an
educational agency or institution of its law enforcement unit records.
(Authority: 20 U.S.C. 1232g(a)(4)(B)(ii))
[60 FR 3469, Jan. 17, 1995]
[[Page 291]]
Subpart B--What Are the Rights of Inspection and Review of Education
Records?
Sec. 99.10 What rights exist for a parent or eligible student to
inspect and review education records?
(a) Except as limited under Sec. 99.12, a parent or eligible student
must be given the opportunity to inspect and review the student's
education records. This provision applies to--
(1) Any educational agency or institution; and
(2) Any State educational agency (SEA) and its components.
(i) For the purposes of subpart B of this part, an SEA and its
components constitute an educational agency or institution.
(ii) An SEA and its components are subject to subpart B of this part
if the SEA maintains education records on students who are or have been
in attendance at any school of an educational agency or institution
subject to the Act and this part.
(b) The educational agency or institution, or SEA or its component,
shall comply with a request for access to records within a reasonable
period of time, but not more than 45 days after it has received the
request.
(c) The educational agency or institution, or SEA or its component
shall respond to reasonable requests for explanations and
interpretations of the records.
(d) If circumstances effectively prevent the parent or eligible
student from exercising the right to inspect and review the student's
education records, the educational agency or institution, or SEA or its
component, shall--
(1) Provide the parent or eligible student with a copy of the
records requested; or
(2) Make other arrangements for the parent or eligible student to
inspect and review the requested records.
(e) The educational agency or institution, or SEA or its component
shall not destroy any education records if there is an outstanding
request to inspect and review the records under this section.
(f) While an education agency or institution is not required to give
an eligible student access to treatment records under paragraph (b)(4)
of the definition of Education records in Sec. 99.3, the student may
have those records reviewed by a physician or other appropriate
professional of the student's choice.
(Authority: 20 U.S.C. 1232g(a)(1) (A) and (B))
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59296, Nov. 21, 1996]
Sec. 99.11 May an educational agency or institution charge a fee for
copies of education records?
(a) Unless the imposition of a fee effectively prevents a parent or
eligible student from exercising the right to inspect and review the
student's education records, an educational agency or institution may
charge a fee for a copy of an education record which is made for the
parent or eligible student.
(b) An educational agency or institution may not charge a fee to
search for or to retrieve the education records of a student.
(Authority: 20 U.S.C. 1232g(a)(1))
Sec. 99.12 What limitations exist on the right to inspect and review
records?
(a) If the education records of a student contain information on
more than one student, the parent or eligible student may inspect and
review or be informed of only the specific information about that
student.
(b) A postsecondary institution does not have to permit a student to
inspect and review education records that are:
(1) Financial records, including any information those records
contain, of his or her parents;
(2) Confidential letters and confidential statements of
recommendation placed in the education records of the student before
January 1, 1975, as long as the statements are used only for the
purposes for which they were specifically intended; and
(3) Confidential letters and confidential statements of
recommendation placed in the student's education records after January
1, 1975, if:
(i) The student has waived his or her right to inspect and review
those letters and statements; and
[[Page 292]]
(ii) Those letters and statements are related to the student's:
(A) Admission to an educational institution;
(B) Application for employment; or
(C) Receipt of an honor or honorary recognition.
(c)(1) A waiver under paragraph (b)(3)(i) of this section is valid
only if:
(i) The educational agency or institution does not require the
waiver as a condition for admission to or receipt of a service or
benefit from the agency or institution; and
(ii) The waiver is made in writing and signed by the student,
regardless of age.
(2) If a student has waived his or her rights under paragraph
(b)(3)(i) of this section, the educational institution shall:
(i) Give the student, on request, the names of the individuals who
provided the letters and statements of recommendation; and
(ii) Use the letters and statements of recommendation only for the
purpose for which they were intended.
(3)(i) A waiver under paragraph (b)(3)(i) of this section may be
revoked with respect to any actions occurring after the revocation.
(ii) A revocation under paragraph (c)(3)(i) of this section must be
in writing.
(Authority: 20 U.S.C. 1232g(a)(1) (A), (B), (C), and (D))
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59296, Nov. 21, 1996]
Subpart C--What Are the Procedures for Amending Education Records?
Sec. 99.20 How can a parent or eligible student request amendment of
the student's education records?
(a) If a parent or eligible student believes the education records
relating to the student contain information that is inaccurate,
misleading, or in violation of the student's rights of privacy, he or
she may ask the educational agency or institution to amend the record.
(b) The educational agency or institution shall decide whether to
amend the record as requested within a reasonable time after the agency
or institution receives the request.
(c) If the educational agency or institution decides not to amend
the record as requested, it shall inform the parent or eligible student
of its decision and of his or her right to a hearing under Sec. 99.21.
(Authority: 20 U.S.C. 1232g(a)(2))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 61
FR 59296, Nov. 21, 1996]
Sec. 99.21 Under what conditions does a parent or eligible student have
the right to a hearing?
(a) An educational agency or institution shall give a parent or
eligible student, on request, an opportunity for a hearing to challenge
the content of the student's education records on the grounds that the
information contained in the education records is inaccurate,
misleading, or in violation of the privacy rights of the student.
(b)(1) If, as a result of the hearing, the educational agency or
institution decides that the information is inaccurate, misleading, or
otherwise in violation of the privacy rights of the student, it shall:
(i) Amend the record accordingly; and
(ii) Inform the parent or eligible student of the amendment in
writing.
(2) If, as a result of the hearing, the educational agency or
institution decides that the information in the education record is not
inaccurate, misleading, or otherwise in violation of the privacy rights
of the student, it shall inform the parent or eligible student of the
right to place a statement in the record commenting on the contested
information in the record or stating why he or she disagrees with the
decision of the agency or institution, or both.
(c) If an educational agency or institution places a statement in
the education records of a student under paragraph (b)(2) of this
section, the agency or institution shall:
(1) Maintain the statement with the contested part of the record for
as long as the record is maintained; and
[[Page 293]]
(2) Disclose the statement whenever it discloses the portion of the
record to which the statement relates.
(Authority: 20 U.S.C. 1232g(a)(2))
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59296, Nov. 21, 1996]
Sec. 99.22 What minimum requirements exist for the conduct of a
hearing?
The hearing required by Sec. 99.21 must meet, at a minimum, the
following requirements:
(a) The educational agency or institution shall hold the hearing
within a reasonable time after it has received the request for the
hearing from the parent or eligible student.
(b) The educational agency or institution shall give the parent or
eligible student notice of the date, time, and place, reasonably in
advance of the hearing.
(c) The hearing may be conducted by any individual, including an
official of the educational agency or institution, who does not have a
direct interest in the outcome of the hearing.
(d) The educational agency or institution shall give the parent or
eligible student a full and fair opportunity to present evidence
relevant to the issues raised under Sec. 99.21. The parent or eligible
student may, at their own expense, be assisted or represented by one or
more individuals of his or her own choice, including an attorney.
(e) The educational agency or institution shall make its decision in
writing within a reasonable period of time after the hearing.
(f) The decision must be based solely on the evidence presented at
the hearing, and must include a summary of the evidence and the reasons
for the decision.
(Authority: 20 U.S.C. 1232g(a)(2))
Subpart D--May an Educational Agency or Institution Disclose Personally
Identifiable Information From Education Records?
Sec. 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 Sec. 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 FR 11943, Apr. 11, 1988, as amended at 58 FR 3189, Jan. 7, 1993]
Sec. 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 Sec. 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 Sec. 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 Sec. 99.35, to
authorized representatives of:
(i) The Comptroller General of the United States;
(ii) The Secretary; or
(iii) State and local educational authorities.
[[Page 294]]
(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
Sec. 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 of a dependent student, as defined
in section 152 of the Internal Revenue Code of 1954.
(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) If the educational agency or institution initiates legal
action against a parent or student and has complied with paragraph
(a)(9)(ii) of this section, it may disclose the student's education
records that are relevant to the action to the court without a court
order or subpoena.
[[Page 295]]
(10) The disclosure is in connection with a health or safety
emergency, under the conditions described in Sec. 99.36.
(11) The disclosure is information the educational agency or
institution has designated as ``directory information'', under the
conditions described in Sec. 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 is to an alleged victim of any crime of
violence, as that term is defined in section 16 of title 18, United
States Code, of the results of any disciplinary proceeding conducted by
an institution of postsecondary education against the alleged
perpetrator of that crime with respect to that crime.
(b) This section does not forbid an educational agency or
institution to disclose, 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) and (13) of this section.
(Authority: 20 U.S.C. 1232g(a)(5)(A), (b)(1), (b)(2), (b)(4)(B), and
(f))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993; 61 FR 59296, Nov. 21, 1996]
Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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.
(Approved by the Office of Management and Budget under control number
1880-0508)
(Authority: 20 U.S.C. 1232g(b)(1) and (b)(4)(A))
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59297, Nov. 21, 1996]
Sec. 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
[[Page 296]]
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 Sec. 99.31; and
(2) The educational agency or institution has complied with the
requirements of Sec. 99.32(b).
(c) Paragraph (a) of this section does not apply to disclosures made
pursuant to court orders or lawfully issued subpoenas under
Sec. 99.31(a)(9), to disclosures of directory information under
Sec. 99.31(a)(11), or to disclosures to a parent or student under
Sec. 99.31(a)(12).
(d) Except for disclosures under Sec. 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 Sec. 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.
(Authority: 20 U.S.C. 1232g(b)(4)(B))
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59297, Nov. 21, 1996]
Sec. 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 Sec. 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
Sec. 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))
[53 FR 11943, Apr. 11, 1988, as amended at 61 FR 59297, Nov. 21, 1996]
Sec. 99.35 What conditions apply to disclosure of information for
Federal or State program purposes?
(a) The officials listed in Sec. 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 Sec. 99.30; or
[[Page 297]]
(2) The collection of personally identifiable information is
specifically authorized by Federal law.
(Authority: 20 U.S.C. 1232g(b)(3))
Sec. 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 will be strictly
construed.
(Authority: 20 U.S.C. 1232g (b)(1)(I) and (h))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 61
FR 59297, Nov. 21, 1996]
Sec. 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))
Sec. 99.38 What conditions apply to disclosure of information as
permitted by State statute adopted after November 19, 1974,
concerning the juvenile justice system?
(a) If reporting or disclosure allowed by State statute concerns the
juvenile justice system and the system's ability to effectively serve,
prior to adjudication, the student whose records are released, an
educational agency or institution may disclose education records under
Sec. 99.31(a)(5)(i)(B).
(b) The officials and authorities to whom the records are disclosed
shall certify in writing to the educational agency or institution that
the information will not be disclosed to any other party, except as
provided under State law, without the prior written consent of the
parent of the student.
(Authority: 20 U.S.C. 1232g(b)(1)(J))
[61 FR 59297, Nov. 21, 1996]
Subpart E--What Are the Enforcement Procedures?
Sec. 99.60 What functions has the Secretary delegated to the Office and
to the Office of Administrative Law Judges?
(a) For the purposes of this subpart, Office means the Family Policy
Compliance Office, U.S. Department of Education.
(b) The Secretary designates the Office to:
[[Page 298]]
(1) Investigate, process, and review complaints and violations under
the Act and this part; and
(2) Provide technical assistance to ensure compliance with the Act
and this part.
(c) The Secretary designates the Office of Administrative Law Judges
to act as the Review Board required under the Act to enforce the Act
with respect to all applicable programs. The term applicable program is
defined in section 400 of the General Education Provisions Act.
(Authority: 20 U.S.C. 1232g (f) and (g), 1234)
[53 FR 11943, Apr. 11, 1988, as amended at 58 FR 3189, Jan. 7, 1993]
Sec. 99.61 What responsibility does an educational agency or
institution have concerning conflict with State or local laws?
If an educational agency or institution determines that it cannot
comply with the Act or this part due to a conflict with State or local
law, it shall notify the Office within 45 days, giving the text and
citation of the conflicting law.
(Authority: 20 U.S.C. 1232g(f))
Sec. 99.62 What information must an educational agency or institution
submit to the Office?
The Office may require an educational agency or institution to
submit reports containing information necessary to resolve complaints
under the Act and the regulations in this part.
(Authority: 20 U.S.C. 1232g (f) and (g))
Sec. 99.63 Where are complaints filed?
A parent or eligible student may file a written complaint with the
Office regarding an alleged violation under the Act and this part. The
Office's address is: Family Policy Compliance Office, U. S. Department
of Education, Washington, DC 20202-4605.
(Authority: 20 U.S.C. 1232g(g))
[58 FR 3189, Jan. 7, 1993, as amended at 61 FR 59297, Nov. 21, 1996]
Sec. 99.64 What is the complaint procedure?
(a) A complaint filed under Sec. 99.63 must contain specific
allegations of fact giving reasonable cause to believe that a violation
of the Act or this part has occurred.
(b) The Office investigates each timely complaint to determine
whether the educational agency or institution has failed to comply with
the provisions of the Act or this part.
(c) A timely complaint is defined as an allegation of a violation of
the Act that is submitted to the Office within 180 days of the date of
the alleged violation or of the date that the complainant knew or
reasonably should have known of the alleged violation.
(d) The Office extends the time limit in this section if the
complainant shows that he or she was prevented by circumstances beyond
the complainant's control from submitting the matter within the time
limit, or for other reasons considered sufficient by the Office.
(Authority: 20 U.S.C. 1232g(f))
[53 FR 11943, Apr. 11, 1988, as amended at 58 FR 3189, Jan. 7, 1993]
Sec. 99.65 What is the content of the notice of complaint issued by the
Office?
(a) The Office notifies the complainant and the educational agency
or institution in writing if it initiates an investigation of a
complaint under Sec. 99.64(b). The notice to the educational agency or
institution--
(1) Includes the substance of the alleged violation; and
(2) Asks the agency or institution to submit a written response to
the complaint.
(b) The Office notifies the complainant if it does not initiate an
investigation of a complaint because the complaint fails to meet the
requirements of Sec. 99.64.
(Authority: 20 U.S.C. 1232g(g))
[58 FR 3189, Jan. 7, 1993]
[[Page 299]]
Sec. 99.66 What are the responsibilities of the Office in the
enforcement process?
(a) The Office reviews the complaint and response and may permit the
parties to submit further written or oral arguments or information.
(b) Following its investigation, the Office provides to the
complainant and the educational agency or institution written notice of
its findings and the basis for its findings.
(c) If the Office finds that the educational agency or institution
has not complied with the Act or this part, the notice under paragraph
(b) of this section:
(1) Includes a statement of the specific steps that the agency or
institution must take to comply; and
(2) Provides a reasonable period of time, given all of the
circumstances of the case, during which the educational agency or
institution may comply voluntarily.
(Authority: 20 U.S.C. 1232g(f))
Sec. 99.67 How does the Secretary enforce decisions?
(a) If the educational agency or institution does not comply during
the period of time set under Sec. 99.66(c), the Secretary may, in
accordance with part E of the General Education Provisions Act--
(1) Withhold further payments under any applicable program;
(2) Issue a compliant to compel compliance through a cease-and-
desist order; or
(3) Terminate eligibility to receive funding under any applicable
program.
(b) If, after an investigation under Sec. 99.66, the Secretary finds
that an educational agency or institution has complied voluntarily with
the Act or this part, the Secretary provides the complainant and the
agency or institution written notice of the decision and the basis for
the decision.
(Note: 34 CFR part 78 contains the regulations of the Education
Appeal Board)
(Authority: 20 U.S.C. 1232g(f); 20 U.S.C. 1234)
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993]
[[Page 301]]
Subtitle B--Regulations of the Offices of the Department of Education
[[Page 303]]
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