EDGAR Part 98 (Student Rights in Research, Experimental Programs, and Testing)
TITLE 34--EDUCATION
PART 98_STUDENT RIGHTS IN RESEARCH, EXPERIMENTAL PROGRAMS,
AND TESTING
Sec.
98.1 Applicability of part.
98.2 Definitions.
98.3 Access to instructional material used in a research or
experimentation program.
98.4 Protection of students' privacy in examination, testing, or
treatment.
98.5 Information and investigation office.
98.6 Reports.
98.7 Filing a complaint.
98.8 Notice of the complaint.
98.9 Investigation and findings.
98.10 Enforcement of the findings.
Authority: Sec. 514(a) of Pub. L. 93-380, 88 Stat. 574 (20 U.S.C.
1232h(a)); sec. 1250 of Pub. L. 95-561, 92 Stat. 2355-2356 (20 U.S.C.
1232h(b)); and sec. 408(a)(1) of Pub. L. 90-247, 88 Stat. 559-560, as
amended (20 U.S.C. 1221e-3(a)(1)); sec. 414(a) of Pub. L. 96-88, 93
Stat. 685 (20 U.S.C. 3474(a)), unless otherwise noted.
Source: 49 FR 35321, Sept. 6, 1984, unless otherwise noted.
Sec. 98.1 Applicability of part.
This part applies to any program administered by the Secretary of
Education that:
(a)(1) Was transferred to the Department by the Department of
Education Organization Act (DEOA); and
(2) Was administered by the Education Division of the Department of
Health, Education, and Welfare on the day before the effective date of
the DEOA; or
(b) Was enacted after the effective date of the DEOA, unless the law
enacting the new Federal program has the effect of making section 439 of
the General Education Provisions Act inapplicable.
(c) The following chart lists the funded programs to which part 98
does not apply as of February 16, 1984.
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Authorizing Implementing
Name of program statute regulations
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1. High School Equivalency Section 418A of part 206.
Program and College Assistance the Higher
Migrant Program. Education Act of
1965 as amended
by the Education
Amendments of
1980 (Pub. L. 96-
374) 20 U.S.C.
1070d-2).
2. Programs administered by the The Rehabilitation parts 351-356,
Commissioner of the Act of 1973 as 361, 362, 365,
Rehabilitative Services amended by Pub. 366, 369-375,
Administration. L. 95-602 (29 378, 379, 385-
U.S.C. 700, et 390, and 395.
seq.).
3. College housing.............. Title IV of the part 614.
Housing Act of
1950 as amended
(12 U.S.C. 1749,
et seq.).
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(Authority: 20 U.S.C. 1221e-3(a)(1), 1230, 1232h, 3487, 3507)
Sec. 98.2 Definitions.
(a) The following terms used in this part are defined in 34 CFR part
77; ``Department,'' ``Recipient,'' ``Secretary.''
(b) The following definitions apply to this part:
Act means the General Education Provisions Act.
Office means the information and investigation office specified in
Sec. 98.5.
(Authority: 20 U.S.C. 1221e-3(a)(1))
Sec. 98.3 Access to instructional material used in a research or
experimentation program.
(a) All instructional material--including teachers' manuals, films,
tapes, or other supplementary instructional material--which will be used
in connection with any research or experimentation program or project
shall be available for inspection by the parents or guardians of the
children engaged in such program or project.
(b) For the purpose of this part research or experimentation program
or project means any program or project in any program under Sec. 98.1
(a) or (b) that is designed to explore or develop new or unproven
teaching methods or techniques.
(c) For the purpose of the section children means persons not above
age 21 who are enrolled in a program under Sec. 98.1 (a) or (b) not
above the elementary or secondary education level, as determined under
State law.
(Authority: 20 U.S.C. 1221e-3(a)(1), 1232h(a))
Sec. 98.4 Protection of students' privacy in examination, testing, or
treatment.
(a) No student shall be required, as part of any program specified
in Sec. 98.1 (a) or (b), to submit without prior consent to psychiatric
examination, testing, or treatment, or psychological examination,
testing, or treatment, in which the primary purpose is to reveal
information concerning one or more of the following:
(1) Political affiliations;
(2) Mental and psychological problems potentially embarrassing to
the student or his or her family;
(3) Sex behavior and attitudes;
(4) Illegal, anti-social, self-incriminating and demeaning behavior;
(5) Critical appraisals of other individuals with whom the student
has close family relationships;
(6) Legally recognized privileged and analogous relationships, such
as those of lawyers, physicians, and ministers; or
(7) Income, other than that required by law to determine eligibility
for participation in a program or for receiving financial assistance
under a program.
(b) As used in paragraph (a) of this section, prior consent means:
(1) Prior consent of the student, if the student is an adult or
emancipated minor; or
(2) Prior written consent of the parent or guardian, if the student
is an unemancipated minor.
(c) As used in paragraph (a) of this section:
(1) Psychiatric or psychological examination or test means a method
of obtaining information, including a group activity, that is not
directly related to academic instruction and that is designed to elicit
information about attitudes, habits, traits, opinions, beliefs or
feelings; and
(2) Psychiatric or psychological treatment means an activity
involving the planned, systematic use of methods or techniques that are
not directly related to academic instruction and that is designed to
affect behavioral, emotional, or attitudinal characteristics of an
individual or group.
(Authority: 20 U.S.C. 1232h(b))
Sec. 98.5 Information and investigation office.
(a) The Secretary has designated an office to provide information
about the requirements of section 439 of the Act, and to investigate,
process, and review complaints that may be filed concerning alleged
violations of the provisions of the section.
(b) The following is the name and address of the office designated
under paragraph (a) of this section: Family Educational Rights and
Privacy Act Office, U.S. Department of Education, 400 Maryland Avenue,
SW., Washington, DC 20202.
(Authority: 20 U.S.C. 1231e-3(a)(1), 1232h)
Sec. 98.6 Reports.
The Secretary may require the recipient to submit reports containing
information necessary to resolve complaints under section 439 of the Act
and the regulations in this part.
(Authority: 20 U.S.C. 1221e-3(a)(1), 1232h)
Sec. 98.7 Filing a complaint.
(a) Only a student or a parent or guardian of a student directly
affected by a violation under Section 439 of the Act may file a
complaint under this part. The complaint must be submitted in writing to
the Office.
(b) The complaint filed under paragraph (a) of this section must--
(1) Contain specific allegations of fact giving reasonable cause to
believe that a violation of either Sec. 98.3 or Sec. 98.4 exists; and
(2) Include evidence of attempted resolution of the complaint at the
local level (and at the State level if a State complaint resolution
process exists), including the names of local and State officials
contacted and significant dates in the attempted resolution process.
(c) The Office investigates each complaint which the Office receives
that meets the requirements of this section to determine whether the
recipient or contractor failed to comply with the provisions of section
439 of the Act.
(Approved by the Office of Management and Budget under control number
1880-0507)
(Authority: 20 U.S.C. 1221e-3(a)(1), 1232h)
Sec. 98.8 Notice of the complaint.
(a) If the Office receives a complaint that meets the requirements
of Sec. 98.7, it provides written notification to the complainant and
the recipient or contractor against which the violation has been alleged
that the complaint has been received.
(b) The notice to the recipient or contractor under paragraph (a) of
this section must:
(1) Include the substance of the alleged violation; and
(2) Inform the recipient or contractor that the Office will
investigate the complaint and that the recipient or contractor may
submit a written response to the complaint.
(Authority: 20 U.S.C. 1221e-3(A)(1), 1232h)
Sec. 98.9 Investigation and findings.
(a) The Office may permit the parties to submit further written or
oral arguments or information.
(b) Following its investigations, the Office provides to the
complainant and recipient or contractor written notice of its findings
and the basis for its findings.
(c) If the Office finds that the recipient or contractor has not
complied with section 439 of the Act, the Office includes in its notice
under paragraph (b) of this section:
(1) A statement of the specific steps that the Secretary recommends
the recipient or contractor take to comply; and
(2) Provides a reasonable period of time, given all of the
circumstances of the case, during which the recipient or contractor may
comply voluntarily.
(Authority: 20 U.S.C. 1221e-3(a)(1), 1232h)
Sec. 98.10 Enforcement of the findings.
(a) If the recipient or contractor does not comply during the period
of time set under Sec. 98.9(c), the Secretary may either:
(1) For a recipient, take an action authorized under 34 CFR part 78,
including:
(i) Issuing a notice of intent to terminate funds under 34 CFR
78.21;
(ii) Issuing a notice to withhold funds under 34 CFR 78.21,
200.94(b), or 298.45(b), depending upon the applicable program under
which the notice is issued; or
(iii) Issuing a notice to cease and desist under 34 CFR 78.31,
200.94(c) or 298.45(c), depending upon the program under which the
notice is issued; or
(2) For a contractor, direct the contracting officer to take an
appropriate action authorized under the Federal Acquisition Regulations,
including either:
(i) Issuing a notice to suspend operations under 48 CFR 12.5; or
(ii) Issuing a notice to terminate for default, either in whole or
in part under 48 CFR 49.102.
(b) If, after an investigation under Sec. 98.9, the Secretary finds
that a recipient or contractor has complied voluntarily with section 439
of the Act, the Secretary provides the complainant and the recipient or
contractor written notice of the decision and the basis for the
decision.
(Authority: 20 U.S.C. 1221e-3(a)(1), 1232h)
EDGAR version June 23, 2005
