EDGAR Part 99 Subpart D (May an Edl Agency/Inst. Disclose Personally Identifiable Info From Ed Records?
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.
(d) ``Signed and dated written consent'' under this part may include
a record and signature in electronic form that--
(1) Identifies and authenticates a particular person as the source
of the electronic consent; and
(2) Indicates such person's approval of the information contained in
the electronic consent.
(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; 69
FR 21671, Apr. 21, 2004]
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 Attorney General of the United States;
(iii) The Secretary; or
(iv) State and local educational authorities.
(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, as defined in Sec. 99.3, of a
dependent student, as defined in section 152 of the Internal Revenue
Code of 1986.
(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)(A) If an educational agency or institution initiates legal
action against a parent or student, the educational agency or
institution may disclose to the court, without a court order or
subpoena, the education records of the student that are relevant for the
educational agency or institution to proceed with the legal action as
plaintiff.
(B) If a parent or eligible student initiates legal action against
an educational agency or institution, the educational agency or
institution may disclose to the court, without a court order or
subpoena, the student's education records that are relevant for the
educational agency or institution to defend itself.
(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, subject to the requirements in Sec. 99.39, is
to a victim of an alleged perpetrator of a crime of violence or a non-
forcible sex offense. The disclosure may only include the final results
of the disciplinary proceeding conducted by the institution of
postsecondary education with respect to that alleged crime or offense.
The institution may disclose the final results of the disciplinary
proceeding, regardless of whether the institution concluded a violation
was committed.
(14)(i) The disclosure, subject to the requirements in Sec. 99.39,
is in connection with a disciplinary proceeding at an institution of
postsecondary education. The institution must not disclose the final
results of the disciplinary proceeding unless it determines that--
(A) The student is an alleged perpetrator of a crime of violence or
non-forcible sex offense; and
(B) With respect to the allegation made against him or her, the
student has committed a violation of the institution's rules or
policies.
(ii) The institution may not disclose the name of any other student,
including a victim or witness, without the prior written consent of the
other student.
(iii) This section applies only to disciplinary proceedings in which
the final results were reached on or after October 7, 1998.
(15)(i) The disclosure is to a parent of a student at an institution
of postsecondary education regarding the student's violation of any
Federal, State, or local law, or of any rule or policy of the
institution, governing the use or possession of alcohol or a controlled
substance if--
(A) The institution determines that the student has committed a
disciplinary violation with respect to that use or possession; and
(B) The student is under the age of 21 at the time of the disclosure
to the parent.
(ii) Paragraph (a)(15) of this section does not supersede any
provision of State law that prohibits an institution of postsecondary
education from disclosing information.
(b) Paragraph (a) of this section does not forbid an educational
agency or institution from disclosing, 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), (13), (14), and (15) of this section.
(Authority: 20 U.S.C. 1232g(a)(5)(A), (b)(1), (b)(2)(B), (b)(6), (h),
and (i))
[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; 65 FR 41853, July 6,
2000]
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 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
to parents of dependent students under Sec. 99.31(a)(8), to disclosures
made pursuant to court orders, lawfully issued subpoenas, or litigation
under Sec. 99.31(a)(9), to disclosures of directory information under
Sec. 99.31(a)(11), to disclosures made to a parent or student under
Sec. 99.31(a)(12), to disclosures made in connection with a
disciplinary proceeding under Sec. 99.31(a)(14), or to disclosures made
to parents under Sec. 99.31(a)(15).
(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;
65 FR 41853, July 6, 2000]
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
(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]
Sec. 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?
As used in this part:
Alleged perpetrator of a crime of violence is a student who is
alleged to have committed acts that would, if proven, constitute any of
the following offenses or attempts to commit the following offenses that
are defined in appendix A to this part:
Arson
Assault offenses
Burglary
Criminal homicide--manslaughter by negligence
Criminal homicide--murder and nonnegligent manslaughter
Destruction/damage/vandalism of property
Kidnapping/abduction
Robbery
Forcible sex offenses.
Alleged perpetrator of a nonforcible sex offense means a student who
is alleged to have committed acts that, if proven, would constitute
statutory rape or incest. These offenses are defined in appendix A to
this part.
Final results means a decision or determination, made by an honor
court or council, committee, commission, or other entity authorized to
resolve disciplinary matters within the institution. The disclosure of
final results must include only the name of the student, the violation
committed, and any sanction imposed by the institution against the
student.
Sanction imposed means a description of the disciplinary action
taken by the institution, the date of its imposition, and its duration.
Violation committed means the institutional rules or code sections
that were violated and any essential findings supporting the
institution's conclusion that the violation was committed.
(Authority: 20 U.S.C. 1232g(b)(6))
[65 FR 41853, July 6, 2000]
EDGAR version June 23, 2005
