EDGAR Part 99 (Family Educational Rights and Privacy)-Subpart A (General)
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?
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?
99.39 What definitions apply to the nonconsensual disclosure of records
by postsecondary educational institutions in connection with
disciplinary proceedings concerning crimes of violence or non-
forcible sex offenses?
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?
Appendix A to Part 99--Crimes of Violence Definitions
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 is authorized to direct and control
public elementary or secondary, or postsecondary educational
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;
65 FR 41852, July 6, 2000]
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)
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)
Dates of attendance. (a) The term means the period of time during
which a student attends or attended an educational agency or
institution. Examples of dates of attendance include an academic year, a
spring semester, or a first quarter.
(b) The term does not include specific daily records of a student's
attendance at an educational agency or institution.
(Authority: 20 U.S.C. 1232g(a)(5)(A))
Directory information means information contained in an education
record of a student that 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, electronic mail address,
photograph, date and place of birth, major field of study, dates of
attendance, grade level, enrollment status (e.g., undergraduate or
graduate; full-time or part-time), participation in officially
recognized activities and sports, weight and height of members of
athletic teams, degrees, honors and awards received, and the most recent
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 that are kept in the sole possession of the maker, are
used only as a personal memory aid, and are not accessible or revealed
to any other person except a 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 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; 65 FR 41852, July 6, 2000]
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) An individual who is or has been a student at an educational
institution and who applies for admission at another component of that
institution does not have rights under this part with respect to records
maintained by that other component, including records maintained in
connection with the student's application for admission, unless the
student is accepted and attends that other component of the institution.
(Authority: 20 U.S.C. 1232g(d))
[53 FR 11943, Apr. 11, 1988, as amended at 58 FR 3188, Jan. 7, 1993; 65
FR 41853, July 6, 2000]
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 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 Sec. Sec. 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]
EDGAR version June 23, 2005
