Family Educational Rights and Privacy Act Regulations (PDF) by bwl16513

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									Family Educational Rights and
Privacy Act Regulations
34 CFR Part 99                             99.12 What limitations exist on the right
                                           to inspect and review records?
Subpart A-General
                                           Subpart C-What are the
Section                                    Procedures for Amending
                                           Education Records?
99.1 To which educational agencies or
institutions do these regulations apply?
                                           Section
99.2 What is the purpose of these
                                           99.20 How can a parent or eligible
regulations?
                                           student request amendment of the
                                           student's education records?
99.3 What definitions apply to these
regulations?
                                           99.21 Under what conditions does a
                                           parent or eligible student have the right
99.4 What are the rights of parents?
                                           to a hearing?
99.5 What are the rights of students?
                                           99.22 What minimum requirements exist
                                           for the conduct of a hearing?
99.7 What must an educational agency
or institution include in its annual
notification?                              Subpart D-May an Educational
                                           Agency or Institution Disclose
99.8 What provisions apply to records of   Personally Identifiable
a law enforcement unit?                    Information from Education
                                           Records?
Subpart B-What are the Rights
of Inspection and Review of                Section
Education Records?
                                           99.30 Under what conditions is prior
Section                                    consent required to disclose
                                           information?
99.10 What rights exist for a parent or
eligible student to inspect and review     99.31 Under what conditions is prior
education records?                         consent not required to disclose
                                           information?
99.11 May an educational agency or
institution charge a fee for copies of     99.32 What recordkeeping requirements
education records?                         exist concerning requests and
                                           disclosures?


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99.33 What limitations apply to the         99.62 What information must an
redisclosure of information?                educational agency or institution submit
                                            to the Office?
99.34 What conditions apply to
disclosure of information to other          99.63 Where are complaints filed?
educational agencies or institutions?
                                            99.64 What is the investigation
99.35 What conditions apply to              procedure?
disclosure of information for Federal or
State program purposes?                     99.65 What is the content of the notice
                                            of investigation issued by the Office?
99.36 What conditions apply to
disclosure of information in health and     99.66 What are the responsibilities of the
safety emergencies?                         Office in the enforcement process?

99.37 What conditions apply to              99.67 How does the Secretary enforce
disclosing directory information?           decisions?

99.38 What conditions apply to              (Authority: 20 U.S.C. 1232g, unless
disclosure of information as permitted      otherwise noted).
by State statute adopted after
November 19, 1974, concerning the           PART 99 – FAMILY EDUCATIONAL
juvenile justice system?                    RIGHTS AND PRIVACY ACT (FERPA)

99.39 What definitions apply to the         The authority citation for this part
nonconsensual disclosure of records by      continues to read as follows:
postsecondary educational institutions in
connection with disciplinary proceedings    (Authority: 20 U.S.C. 1232g, unless
concerning crimes of violence or non-       otherwise noted).
forcible sex offenses?
                                            Subpart A-General
Subpart E -What are the
                                            § 99.1 To which educational agencies
Enforcement Procedures?
                                            or institutions do these regulations
                                            apply?
Section
                                            (a) Except as otherwise noted in § 99.10,
99.60 What functions has the Secretary
                                            this part applies to an educational agency
delegated to the Office and to the Office
                                            or institution to which funds have been
of Administrative Law Judges?
                                            made available under any program
                                            administered by the Secretary,
99.61 What responsibility does an
                                            if-
educational agency or institution have
concerning conflict with State or local
                                            (1)The educational institution provides
laws?
                                            educational services or instruction, or
                                            both, to students; or



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(2) The educational agency is authorized     The purpose of this part is to set out
to direct and control public elementary      requirements for the protection of
or secondary, or postsecondary               privacy of parents and students under
educational institutions.                    section 444 of the General Education
                                             Provisions Act, as amended.
(b) This part does not apply to an
educational agency or institution solely     (Authority: 20 U.S.C. 1232g)
because students attending that agency
or institution receive nonmonetary           Note to § 99.2: 34 CFR 300.610 through
benefits under a program referenced in       300.626 contain requirements regarding
paragraph (a) of this section, if no funds   the confidentiality of information
under that program are made available to     relating to children with disabilities who
the agency or institution.                   receive evaluations, services or other
                                             benefits under Part B of the Individuals
(c) The Secretary considers funds to be      with Disabilities Education Act (IDEA).
made available to an educational agency      34 CFR 303.402 and 303.460 identify
or institution if funds under one or more    the confidentiality of information
of the programs referenced in paragraph      requirements regarding children and
(a) of this section-                         infants and toddlers with disabilities and
                                             their families who receive evaluations,
(1) Are provided to the agency or            services, or other benefits under Part C
institution by grant, cooperative            of IDEA. 34 CFR 300.610 through
agreement, contract, subgrant, or            300.627 contain the confidentiality of
subcontract; or (2) Are provided to          information requirements that apply to
students attending the agency or             personally identifiable data, information,
institution and the funds may be paid to     and records collected or maintained
the agency or institution by those           pursuant to Part B of the IDEA.
students for educational purposes, such
as under the Pell Grant Program and the      § 99.3 What definitions apply to these
Guaranteed Student Loan Program              regulations?
(Titles IV-A-l and IV-B, respectively, of
the Higher Education Act of 1965, as         The following definitions apply to this
amended).                                    part:

(d) If an educational agency or              "Act" means the Family Educational
institution receives funds under one or      Rights and Privacy Act of 1974, as
more of the programs covered by this         amended, enacted as section 444 of the
section, the regulations in this part        General Education Provisions Act.
apply to the recipient as a whole,
including each of its components (such       (Authority: 20 U.S.C. 1232g)
as a department within a university).
                                             "Attendance" includes, but is not limited
(Authority: 20 U.S.C. 1232g)                 to-

§ 99.2 What is the purpose of these          (a) Attendance in person or by paper
regulations?                                 correspondence, videoconference,



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satellite, Internet, or other electronic     address; telephone listing; electronic
information and telecommunications           mail address; photograph; date and place
technologies for students who are not        of birth; major field of study; grade
physically present in the classroom; and     level; enrollment status (e.g.,
                                             undergraduate or graduate, full-time or
(b) The period during which a person is      part-time); dates of attendance;
working under a work-study program.          participation in officially recognized
                                             activities and sports; weight and height
(Authority: 20 U.S.C. 1232g)                 of members of athletic teams; degrees,
                                             honors and awards received; and the
“Biometric record,” as used in the           most recent educational agency or
definition of “personally identifiable       institution attended.
information,” means a record of one or
more measurable biological or                (b) Directory information does not
behavioral characteristics that can be       include a student's –
used for automated recognition of an
individual. Examples include                 (1) Social security number; or
fingerprints; retina and iris patterns;
voiceprints; DNA sequence; facial            (2) Student identification (ID) number,
characteristics; and handwriting.            except as provided in paragraph (c) of
                                             this section.
(Authority: 20 U.S.C. 1232g)
                                             (c) Directory information includes a
"Dates of attendance"                        student ID number, user ID, or other
                                             unique personal identifier used by the
(a) The term means the period of time        student for purposes of accessing or
during which a student attends or            communicating in electronic systems,
attended an educational agency or            but only if the identifier cannot be used
institution. Examples of dates of            to gain access to education records
attendance include an academic year, a       except when used in conjunction with
spring semester, or a first quarter.         one or more factors that authenticate the
                                             user's identity, such as a personal
(b) The term does not include specific       identification number (PIN), password,
daily records of a student's attendance at   or other factor known or possessed only
an educational agency or institution.        by the authorized user.

(Authority: 20 U.S.C. 1232g (a)(5)(A))       (Authority: 20 U.S.C. 1232g(a)(5)(A))

"Directory information" means                “Disciplinary action or proceeding”
information contained in an education        means the investigation, adjudication, or
record of a student that would not           imposition of sanctions by an
generally be considered harmful or           educational agency or institution with
an invasion of privacy if disclosed.         respect to an infraction or violation of
                                             the internal rules of conduct applicable
  (a) Directory information includes,        to students of the agency or institution.
but is not limited to, the student's name;



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"Disclosure" means to permit access to        (3)(i) Records relating to an individual
or the release, transfer, or other            who is employed by an educational
communication of personally                   agency or institution, that:
identifiable information contained in
education records by any means,               (A) Are made and maintained in the
including oral, written, or electronic        normal course of business;
means, to any party except the party
identified as the party that provided or      (B) Relate exclusively to the individual
created the record.                           in that individual's capacity as an
                                              employee; and
(Authority: 20 U.S.C. 1232g(b)(1) and
(b)(2))                                       (C) Are not available for use for any
                                              other purpose.
"Educational agency or institution"
means any public or private agency or         (ii) Records relating to an individual in
institution to which this part applies        attendance at the agency or institution
under § 99.1(a).                              who is employed as a result of his or her
                                              status as a student are education records
(Authority: 20 U.S.C. 1232g (a)(3))           and not excepted under paragraph
                                              (b)(3)(i) of this definition.
"Education Records"
                                              (4) Records on a student who is 18 years
(a) The term means those records that         of age or older, or is attending an
are:                                          institution of postsecondary education,
                                              that are:
(1) Directly related to a student; and
                                              (i) Made or maintained by a physician,
(2) Maintained by an educational agency       psychiatrist, psychologist, or other
or institution or by a party acting for the   recognized professional or
agency or institution.                        paraprofessional acting in his or her
                                              professional capacity or assisting in a
(b) The term does not include:                paraprofessional capacity;

(1) Records that are kept in the sole         (ii) Made, maintained, or used only in
possession of the maker, are used only as     connection with treatment of the student;
a personal memory aid, and are not            and
accessible or revealed to any other
person except a temporary substitute for      (iii) Disclosed only to individuals
the maker of the record.                      providing the treatment. For the purpose
                                              of this definition,"treatment" does not
(2) Records of the law enforcement unit       include remedial educational activities or
of an educational agency or institution,      activities that are part of the program of
subject to the provisions of § 99.8.          instruction at the agency or institution;

                                              (5) Records created or received by an
                                              educational agency or institution after an



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individual is no longer a student in          (b) The name of the student’s parent or
attendance and that are not directly          other family members;
related to the individual's attendance as a
student.                                      (c) The address of the student or
                                              student’s family;
(6) Grades on peer-graded papers before
they are collected and recorded by a          (d) A personal identifier, such as the
teacher.                                      student’s social security number, student
                                              number, or biometric record;
(Authority: 20 U.S.C. 1232g(a)(4))
                                              (e) Other indirect identifiers, such as the
"Eligible student" means a student who        student’s date of birth, place of birth,
has reached 18 years of age or is             and mother’s maiden name;
attending an institution of postsecondary
education.                                    (f) Other information that, alone or in
                                              combination, is linked or linkable to a
(Authority: 20 U.S.C. 1232g(d))               specific student that would allow a
                                              reasonable person in the school
"Institution of postsecondary education"      community, who does not have personal
means an institution that provides            knowledge of the relevant
education to students beyond the              circumstances, to identify the student
secondary school level; "secondary            with reasonable certainty; or
school level" means the educational
level (not beyond grade 12) at which          (g) Information requested by a person
secondary education is provided as            who the educational agency or
determined under State law.                   institution reasonably believes knows the
                                              identity of the student to whom the
(Authority: 20 U.S.C. 1232g(d))               education record relates.

"Parent" means a parent of a student and      (Authority: 20 U.S.C. 1232g)
includes a natural parent, a guardian, or
an individual acting as a parent in the       "Record" means any information
absence of a parent or a guardian.            recorded in any way, including, but not
                                              limited to, hand writing, print, computer
(Authority: 20 U.S.C.1232g)                   media, video or audio tape, film,
                                              microfilm, and microfiche.
"Party" means an individual, agency,
institution, or organization.                 (Authority: 20 U.S.C. 1232g)

(Authority: 20 U.S.C. 1232g(b)(4)(A))         "Secretary" means the Secretary of
                                              the U.S. Department of Education or an
"Personally Identifiable Information"         official or employee of the Department
                                              of Education acting for the Secretary
The term includes, but is not limited to--    under a delegation of authority.

(a) The student’s name;                       (Authority: 20 U.S.C.1232g)



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"Student," except as otherwise                giving students rights in addition to
specifically provided in this part, means     those given to parents.
any individual who is or has been in
attendance at an educational agency or        (c) An individual who is or has been a
institution and regarding whom the            student at an educational institution and
agency or institution maintains               who applies for admission at another
education records.                            component of that institution does not
                                              have the rights under this part with
(Authority: 20 U.S.C. 1232g(a)(6))            respect to records maintained by that
                                              other component, including records
§ 99.4 What are the rights of parents?        maintained in connection with the
                                              student's application for admission,
An educational agency or institution          unless the student is accepted and
shall give full rights under the Act to       attends that other component of the
either parent, unless the agency or           institution.
institution has been provided with
evidence that there is a court order, State   (Authority: 20 U.S.C.1232g(d))
statute, or legally binding document
relating to such matters as divorce,          § 99.7 What must an educational
separation, or custody that specifically      agency or institution include in its
revokes these rights.                         annual notification?

(Authority: 20 U.S.C. 1232g)                  (a)(l) Each educational agency or
                                              institution shall annually notify parents
§ 99.5 What are the rights of students?       of students currently in attendance, or
                                              eligible students currently in attendance,
(a)(1) When a student becomes an              of their rights under the Act and this
eligible student, the rights accorded to,     part.
and consent required of, parents under
this part transfer from the parents to the    (2) The notice must inform parents or
student.                                      eligible students that they have the right
                                              to-
(2) Nothing in this section prevents an
educational agency or institution from        (i) Inspect and review the student's
disclosing education records, or              education records;
personally identifiable information from
education records, to a parent without        (ii) Seek amendment of the student's
the prior written consent of an eligible      education records that the parent or
student if the disclosure meets the           eligible student believes to be inaccurate,
conditions in § 99.31(a)(8),                  misleading, or otherwise in violation of
§ 99.31(a)(10), § 99.31(a)(15), or            the student's privacy rights;
any other provision in § 99.31(a).
                                              (iii) Consent to disclosures of personally
(b) The Act and this part do not prevent      identifiable information contained in the
educational agencies or institutions from     student's education records, except to the




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extent that the Act and § 99.31 authorize     (Authority: 20 U.S.C. 1232g (e) and (f))
disclosure without consent; and
                                              § 99.8 What provisions apply to records
(iv) File with the Department a               of a law enforcement unit?
complaint under §§ 99.63 and 99.64
concerning alleged failures by the            (a) (1) "Law enforcement unit" means
educational agency or institution to          any individual, office, department,
comply with the requirements of the Act       division, or other component of an
and this part.                                educational agency or institution, such as
                                              a unit of commissioned police officers or
(3) The notice must include all of the        non-commissioned security guards, that
following:                                    is officially authorized or designated
                                              by that agency or institution to-
(i) The procedure for exercising the right
to inspect and review education records.      (i) Enforce any local, State, or Federal
                                              law, or refer to appropriate authorities a
(ii) The procedure for requesting             matter for enforcement of any local,
amendment of records under § 99.20.           State, or Federal law against any
                                              individual or organization other than the
(iii) If the educational agency or            agency or institution itself; or
institution has a policy of disclosing
education records under § 99.31 (a) (1),      (ii) Maintain the physical security and
a specification of criteria for determining   safety of the agency or institution.
who constitutes a school official and
what constitutes a legitimate educational     (2) A component of an educational
interest.                                     agency or institution does not lose its
                                              status as a "law enforcement unit" if it
(b) An educational agency or institution      also performs other, non-law
may provide this notice by any means          enforcement functions for the agency
that are reasonably likely to inform the      or institution, including investigation of
parents or eligible students of their         incidents or conduct that constitutes or
rights.                                       leads to a disciplinary action or
                                              proceedings against the student.
(1) An educational agency or institution
shall effectively notify parents or           (b) (1) Records of law enforcement unit
eligible students who are disabled.           means those records, files, documents,
                                              and other materials that are-
(2) An agency or institution of
elementary or secondary education shall       (i) Created by a law enforcement unit;
effectively notify parents who have a
primary or home language other than           (ii) Created for a law enforcement
English.                                      purpose; and

(Approved by the Office of Management         (iii) Maintained by the law enforcement
and Budget under control number 1875-         unit.
0246)



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(2) Records of law enforcement unit          education records?
does not mean –
                                             (a) Except as limited under § 99.12, a
(i) Records created by a law enforcement     parent or eligible student must be given
unit for a law enforcement purpose that      the opportunity to inspect and review the
are maintained by a component of the         student's education records. This
educational agency or institution other      provision applies to
than the law enforcement unit; or
                                             (1) Any educational agency or
(ii) Records created and maintained by a     institution; and
law enforcement unit exclusively for a
non-law enforcement purpose, such as a       (2) Any State educational agency (SEA)
disciplinary action or proceeding            and its components.
conducted by the educational agency
or institution.                              (i) For the purposes of subpart B of this
                                             part, an SEA and its components
(c)(1)Nothing in the Act prohibits an        constitute an educational agency or
educational agency or institution from       institution.
contacting its law enforcement unit,
orally or in writing, for the purpose of     (ii) An SEA and its components are
asking that unit to investigate a possible   subject to subpart B of this part if the
violation of, or to enforce, any local,      SEA maintains education records on
State, or Federal law.                       students who are or have been in
                                             attendance at any school of an
(2) Education records, and personally        educational agency or institution subject
identifiable information contained in        to the Act and this part.
education records, do not lose their
status as education records and remain       (b) The educational agency or
subject to the Act, including the            institution, or SEA or its component,
disclosure provisions of § 99.30, while      shall comply with a request for access to
in possession of the law enforcement         records within a reasonable period of
unit.                                        time, but not more than 45 days after it
                                             has received the request.
(d) The Act neither requires nor
prohibits the disclosure by any              (c) The educational agency or institution,
educational agency or institution of its     or SEA or its component, shall respond
law enforcement unit records.                to reasonable requests for explanations
                                             and interpretations of the records.
(Authority: 20 U.S.C. 1232g(a)(4)(B)(ii))
                                             (d) If circumstances effectively prevent
Subpart B-What are the Rights                the parent or eligible student from
of Inspection and Review of                  exercising the right to inspect and review
                                             the student's education records, the
Education Records?
                                             educational agency or institution, or
                                             SEA or its component, shall-
§ 99.10 What rights exist for a parent
or eligible student to inspect and review


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(1) Provide the parent or eligible student   § 99.12 What limitations exist on the
with a copy of the records requested; or     right to inspect and review records?
                                             (a) If the education records of a student
(2) Make other arrangements for the          contain information on more than one
parent or eligible student to inspect and    student, the parent or eligible student
review the requested records.                may inspect and review or be informed
                                             of only the specific information about
(e) The educational agency or institution,   that student.
or SEA or its component, shall not
destroy any education records if there is    (b) A postsecondary institution does not
an outstanding request to inspect and        have to permit a student to inspect and
review the records under this section.       review education records that are:

(f) While an educational agency or           (1) Financial records, including any
institution is not required to give an       information those records contain, of his
eligible student access to treatment         or her parents;
records under paragraph (b)(4) of the
definition of "Education records" in         (2) Confidential letters and confidential
§ 99.3, the student may have those           statements of recommendation placed in
records reviewed by a physician or other     the education records of the student
appropriate professional of the student's    before January 1, 1975, as long as the
choice.                                      statements are used only for the purposes
                                             for which they were specifically
(Authority: 20 U.S.C. 1232g(a)(1)(A)         intended; and
and (B))
                                             (3) Confidential letters and confidential
§ 99.11 May an educational agency or         statements of recommendation placed in
institution charge a fee for copies of       the student's education records after
education records?                           January 1, 1975, if:

(a) Unless the imposition of a fee           (i) The student has waived his or her
effectively prevents a parent or eligible    right to inspect and review those letters
student from exercising the right to         and statements; and
inspect and review the student's
education records, an educational agency     (ii) Those letters and statements are
or institution may charge a fee for a copy   related to the student's:
of an education record which is made for
the parent or eligible student.              (A) Admission to an educational
                                             institution;
(b) An educational agency or institution
may not charge a fee to search for or to     (B) Application for employment; or
retrieve the education records of a
student.                                     (C) Receipt of an honor or honorary
                                             recognition.
(Authority: 20 U.S.C. 1232g(a)(1))




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(c)(1) A waiver under paragraph                the education records relating to the
(b)(3)(i) of this section is valid only if:    student contain information that is
(i) The educational agency or institution      inaccurate, misleading, or in violation
does not require the waiver as a               of the student's rights of privacy, he or
condition for admission to or receipt of a     she may ask the educational agency or
service or benefit from the agency or          institution to amend the record.
institution; and
                                               (b) The educational agency or institution
(ii) The waiver is made in writing and         shall decide whether to amend the record
signed by the student, regardless of age.      as requested within a reasonable time
                                               after the agency or institution receives
(2) If a student has waived his or her         the request.
rights under paragraph (b)(3)(i) of this
section, the educational institution shall:    (c) If the educational agency or
                                               institution decides not to amend the
(i) Give the student, on request, the          record as requested, it shall inform the
names of the individuals who provided          parent or eligible student of its decision
the letters and statements of                  and of his or her right to a hearing under
recommendation; and                            § 99.21.

(ii) Use the letters and statements of         (Authority: 20 U.S.C. 1232g(a)(2))
recommendation only for the purpose for
which they were intended.                      § 99.21 Under what conditions does a
                                               parent or eligible student have the right
(3)(i) A waiver under paragraph (b)(3)(i)      to a hearing?
of this section may be revoked with
respect to any actions occurring after the     (a) An educational agency or institution
revocation.                                    shall give a parent or eligible student, on
                                               request, an opportunity for a hearing to
(ii) A revocation under paragraph              challenge the content of the student's
(c)(3)(i) of this section must be in           education records on the grounds that the
writing.                                       information contained in the education
                                               records is inaccurate, misleading, or
(Authority: 20 U.S.C. 1232g(a)(1) (A),         in violation of the privacy rights of the
(B), (C), and (D))                             student.

Subpart C-What Are the                         (b)(1) If, as a result of the hearing, the
Procedures for Amending                        educational agency or institution decides
                                               that the information is inaccurate,
Education Records?
                                               misleading, or otherwise in violation of
                                               the privacy rights of the student, it shall:
§ 99.20 How can a parent or eligible
student request amendment of the
                                               (i) Amend the record accordingly; and
student's education records?
                                               (ii) Inform the parent or eligible student
(a) If a parent or eligible student believes
                                               of the amendment in writing.



                                                                                        11
(2) If, as a result of the hearing, the      (c) The hearing may be conducted by
educational agency or institution decides    any individual including an official of
that the information in the education        the educational agency or institution,
record is not inaccurate, misleading, or     who does not have direct interest in the
otherwise in violation of the privacy        outcome of the hearing.
rights of the student, it shall inform the
parent or eligible student of the right to   (d) The educational agency or institution
place a statement in the record              shall give the parent or eligible student a
commenting on the contested                  full and fair opportunity to present
information in the record or stating why     evidence relevant to the issues raised
he or she disagrees with the decision of     under § 99.21. The parent or eligible
the agency or institution, or both.          student may, at their own expense, be
                                             assisted or represented by one or more
(c) If an educational agency or              individuals of his or her own choice,
institution places a statement in the        including an attorney.
education records of a student under
paragraph (b)(2) of this section,            (e) The educational agency or institution
the agency or institution shall:             shall make its decision in writing within
                                             a reasonable period of time after the
(1) Maintain the statement with the          hearing.
contested part of the record for as long
as the record is maintained; and             (f) The decision must be based solely on
                                             the evidence presented at the hearing,
(2) Disclose the statement whenever it       and must include a summary of the
discloses the portion of the record to       evidence and the reasons for the
which the statement relates.                 decision.

(Authority: 20 U.S.C. 1232g(a)(2))           (Authority: 20 U.S.C. 1232g(a)(2))

§ 99.22 What minimum requirements            Subpart D-May an Educational
exist for the conduct of a hearing?          Agency or Institution disclose
                                             Personally Identifiable
The hearing required by § 99.21 must
meet, at a minimum, the following            Information from Education
requirements:                                Records?

(a) The educational agency or institution    § 99.30 Under what conditions is prior
shall hold the hearing within a              consent required to disclose
reasonable time after it has received the    information?
request for the hearing from the parent
or eligible student.                         (a) The parent or eligible student shall
                                             provide a signed and dated written
(b) The educational agency or institution    consent before an educational agency or
shall give the parent or eligible student    institution discloses personally
notice of the date, time, and place,         identifiable information from the
reasonably in advance of the hearing.        student's education records, except as
                                             provided in § 99.31.


                                                                                     12
(b) The written consent must:                information from an education record of
                                             a student without the consent required by
(1) Specify the records that may be          § 99.30 if the disclosure meets one or
disclosed;                                   more of the following conditions:

(2) State the purpose of the disclosure;     (1)(i)(A) The disclosure is to other
and                                          school officials, including teachers,
                                             within the agency or institution
(3) Identify the party or class of parties   whom the agency or institution has
to whom the disclosure may be made.          determined to have legitimate
                                             educational interests.
(c) When a disclosure is made under
paragraph (a) of this section:               (B) A contractor, consultant, volunteer,
                                             or other party to whom an agency or
(1) If a parent or eligible student so       institution has outsourced institutional
requests, the educational agency or          services or functions may be considered
institution shall provide him or her with    a school official under this paragraph
a copy of the records disclosed; and         provided that the outside party--

(2) If the parent of a student who is not    (1) Performs an institutional service or
an eligible student so requests, the         function for which the agency or
agency or institution shall provide the      institution would otherwise use
student with a copy of the records           employees;
disclosed.
                                             (2) Is under the direct control of the
(d) "Signed and dated written consent"       agency or institution with respect to the
under this part may include a record and     use and maintenance of education
signature in electronic form that-           records; and

(1) Identifies and authenticates a           (3) Is subject to the requirements of
particular person as the source of the       § 99.33(a) governing the use and
electronic consent; and                      redisclosure of personally identifiable
                                             information from education records.
(2) Indicates such person's approval of
the information contained in the             (ii) An educational agency or institution
electronic consent.                          must use reasonable methods to ensure
                                             that school officials obtain access to only
(Authority: 20 U.S.C. 1232g (b)(1) and       those education records in which they
(b)(2)(A))                                   have legitimate educational interests.
                                             An educational agency or institution that
§ 99.31 Under what conditions is prior       does not use physical or technological
consent not required to disclose             access controls must ensure that its
information?                                 administrative policy for controlling
                                             access to education records is effective
(a) An educational agency or institution     and that it remains in compliance with
may disclose personally identifiable         the legitimate educational interest



                                                                                        13
requirement in paragraph (a)(1)(i)(A) of     (A) Determine eligibility for the aid;
this section.
                                             (B) Determine the amount of the aid;
(2) The disclosure is, subject to the
requirements of § 99.34, to officials of     (C) Determine the conditions for the
another school, school system, or            aid; or
institution of postsecondary education
where the student seeks or intends to        (D) Enforce the terms and conditions of
enroll, or where the student is already      the aid.
enrolled so long as the disclosure is for
purposes related to the student’s            (ii) As used in paragraph (a)(4)(i) of this
enrollment or transfer.                      section,"financial aid" means a payment
                                             of funds provided to an individual (or a
Note: Section 4155(b) of the No Child        payment in kind of tangible or intangible
Left Behind Act of 2001, 20 U.S.C.           property to the individual) that is
7165(b), requires each State to assure the   conditioned on the individual's
Secretary of Education that it has a         attendance at an educational agency or
procedure in place to facilitate the         institution.
transfer of disciplinary records with
respect to a suspension or expulsion of a    (Authority: 20 U.S.C. 1232g(b)(1)(D))
student by a local educational agency to
any private or public elementary or          (5)(i) The disclosure is to State and local
secondary school in which the student is     officials or authorities to whom this
subsequently enrolled or seeks, intends,     information is specifically-
or is instructed to enroll.
                                             (A) Allowed to be reported or disclosed
(3) The disclosure is, subject to the        pursuant to a State statute adopted before
requirements of § 99.35, to authorized       November 19, 1974, if the allowed
representatives of-                          reporting or disclosure concerns the
                                             juvenile justice system and the system's
(i) The Comptroller General of the           ability to effectively serve the student
United States;                               whose records are released; or

(ii) The Attorney General of the United      (B) Allowed to be reported or disclosed
States;                                      pursuant to a State statute adopted after
                                             November 19, 1974, subject to the
(iii) The Secretary; or                      requirements of § 99.38.

(iv) State and local educational             (ii) Paragraph (a)(5)(l) of this section
authorities.                                 does not prevent a State from further
                                             limiting the number or type of State or
(4)(i) The disclosure is in connection       local officials to whom disclosures may
with financial aid for which the student     be made under that paragraph.
has applied or which the student has
received, if the information is necessary    (6)(i) The disclosure is to organizations
for such purposes as to:                     conducting studies for, or on behalf of,



                                                                                      14
educational agencies or institutions to:    (4) Requires the organization to destroy
                                            or return to the educational agency or
(A) Develop, validate, or administer        institution all personally identifiable
predictive tests;                           information when the information is no
                                            longer needed for the purposes for which
(B) Administer student aid programs; or     the study was conducted and specifies
                                            the time period in which the information
(C) Improve instruction.                    must be returned or destroyed.

(ii) An educational agency or institution   (iii) An educational agency or institution
may disclose information under              is not required to initiate a study or agree
paragraph (a)(6)(i) of this section only    with or endorse the conclusions or
if--                                        results of the study.

(A) The study is conducted in a manner      (iv) If this Office determines that a third
that does not permit personal               party outside the educational agency or
identification of parents and students by   institution to whom information is
individuals other than representatives of   disclosed under this paragraph (a)(6)
the organization that have legitimate       violates paragraph (a)(6)(ii)(B) of this
interests in the information;               section, the educational agency or
                                            institution may not allow that third party
(B) The information is destroyed when       access to personally identifiable
no longer needed for the purposes for       information from education records for
which the study was conducted; and          at least five years.

(C) The educational agency or               (v) For the purposes of paragraph (a)(6)
institution enters into a written           of this section, the term "organization"
agreement with the organization that-       includes, but is not limited to, Federal,
                                            State, and local agencies, and
(1) Specifies the purpose, scope, and       independent organizations.
duration of the study or studies and the
information to be disclosed;                (7) The disclosure is to accrediting
                                            organizations to carry out their
(2) Requires the organization to use        accrediting functions.
personally identifiable information from
education records only to meet the          (8) The disclosure is to parents, as
purpose or purposes of the study as         defined in § 99.3, of a dependent
stated in the written agreement;            student, as defined in section
                                            152 of the Internal Revenue Code of
(3) Requires the organization to conduct    1986.
the study in a manner that does not
permit personal identification of parents   (9)(i) The disclosure is to comply with a
and students, as defined in this part, by   judicial order or lawfully issued
anyone other than representatives of the    subpoena.
organization with legitimate interests;
and



                                                                                     15
(ii) The educational agency or institution     educational agency or institution,
may disclose information under                 the educational agency or institution
paragraph (a)(9)(i) of this section only if    may disclose to the court, without a
the agency or institution makes                court order or subpoena, the student's
a reasonable effort to notify the parent or    education records that are relevant for
eligible student of the order or subpoena      the educational agency or institution
in advance of compliance, so that the          to defend itself.
parent or eligible student may seek
protective action, unless the disclosure is    (10) The disclosure is in connection with
in compliance with-                            a health or safety emergency, under the
                                               conditions described in § 99.36.
(A) A Federal grand jury subpoena and
the court has ordered that the existence       (11) The disclosure is information the
or the contents of the subpoena                educational agency or institution has
or the information furnished in response       designated as "directory information,"
to the subpoena not be disclosed;              under the conditions described in
                                               § 99.37.
(B) Any other subpoena issued for a law
enforcement purpose and the court or           (12) The disclosure is to the parent of a
other issuing agency has ordered that the      student who is not an eligible student or
existence or the contents of the subpoena      to the student.
or the information furnished in response
to the subpoena not be disclosed; or           (13) The disclosure, subject to the
                                               requirements in § 99.39, is to a victim of
(C) An ex parte court order obtained by        an alleged perpetrator of a crime of
the United States Attorney General (or         violence or a non-forcible sex offense.
designee not lower than an Assistant           The disclosure may only include the
Attorney General) concerning                   final results of the disciplinary
investigations or prosecutions of an           proceeding conducted by the institution
offense listed in 18 U.S.C.                    of postsecondary education with respect
2332b(g)(5)(B) or an act of domestic or        to that alleged crime or offense. The
international terrorism as defined in 18       institution may disclose the final results
U.S.C. 2331.                                   of the disciplinary proceeding,
                                               regardless of whether the institution
(iii) (A) If an educational agency or          concluded a violation was committed.
institution initiates legal action against a
parent or student, the educational agency      (14)(i) The disclosure, subject to the
or institution may disclose to the court,      requirements in § 99.39, is in connection
without a court order or subpoena, the         with a disciplinary proceeding at an
education records of the student that are      institution of postsecondary education.
relevant for the educational agency or         The institution must not disclose the
institution to proceed with the legal          final results of the disciplinary
action as plaintiff.                           proceeding unless it determines that

(B) If a parent or eligible student
initiates legal action against an



                                                                                         16
(A) The student is an alleged perpetrator     Enforcement Act of 1994, 42 U.S.C.
of a crime of violence or non-forcible        14071, and the information was provided
sex offense; and                              to the educational agency or institution
                                              under 42 U.S.C. 14071 and applicable
(B) With respect to the allegation made       Federal guidelines.
against him or her, the student has
committed a violation of the institution's    (b)(1) De-identified records and
rules or policies.                            information. An educational agency or
                                              institution, or a party that has received
(ii) The institution may not disclose the     education records or information from
name of any other student, including a        education records under this part, may
victim or witness, without the prior          release the records or information
written consent of the other student.         without the consent required by § 99.30
                                              after the removal of all personally
(iii) This section applies only to            identifiable information provided that
disciplinary proceedings in which the         the educational agency or institution or
final results were reached on or after        other party has made a reasonable
October 7, 1998.                              determination that a student’s identity is
                                              not personally identifiable, whether
(15)(i) The disclosure is to a parent of a    through single or multiple releases, and
student at an institution of postsecondary    taking into account other reasonably
education regarding the student's             available information.
violation of any Federal, State, or local
law, or of any rule or policy of the          (2) An educational agency or institution,
institution, governing the use or             or a party that has received education
possession of alcohol or a controlled         records or information from education
substance if-                                 records under this part, may release de-
                                              identified student level data from
(A) The institution determines that the       education records for the purpose of
student has committed a disciplinary          education research by attaching a code to
violation with respect to that use or         each record that may allow the recipient
possession; and                               to match information received from the
                                              same source, provided that--
(B) The student is under the age of 21 at
the time of the disclosure to the parent.     (i) An educational agency or institution
                                              or other party that releases de-identified
(ii) Paragraph (a)(15) of this section does   data under paragraph (b)(2) of this
not supersede any provision of State law      section does not disclose any
that prohibits an institution of              information about how it generates and
postsecondary education from disclosing       assigns a record code, or that would
information.                                  allow a recipient to identify a student
                                              based on a record code;
(16) The disclosure concerns sex
offenders and other individuals required      (ii) The record code is used for no
to register under section 170101 of the       purpose other than identifying a de-
Violent Crime Control and Law                 identified record for purposes of



                                                                                      17
education research and cannot be used to     (2) The agency or institution shall
ascertain personally identifiable            maintain the record with the education
information about a student; and             records of the student as long as the
                                             records are maintained.
(iii) The record code is not based on a
student’s social security number or other    (3) For each request or disclosure the
personal information.                        record must include:

(c) An educational agency or institution     (i) The parties who have requested or
must use reasonable methods to identify      received personally identifiable
and authenticate the identity of parents,    information from the education records;
students, school officials, and any other    and
parties to whom the agency or institution
discloses personally identifiable            (ii) The legitimate interests the parties
information from education records.          had in requesting or obtaining the
                                             information.
(d) Paragraphs (a) and (b) of this section
do not require an educational agency or      (4) An educational agency or institution
institution or any other party to disclose   must obtain a copy of the record of
education records or information from        further disclosures maintained under
education records to any party except for    paragraph (b)(2) of this section and
parties under paragraph (a)(12) of this      make it available in response to a
section.                                     parent’s or eligible student’s request to
                                             review the record required under
(Authority: 20 U.S.C. 1232g(a)(5)(A),        paragraph (a)(1) of this section.
(b), (h), (i), and (j))
                                             (5) An educational agency or institution
§ 99.32 What recordkeeping                   must record the following information
requirements exist concerning requests       when it discloses personally identifiable
and disclosures?                             information from education records
                                             under the health or safety emergency
(a)(l) An educational agency or              exception in § 99.31(a)(10) and § 99.36:
institution must maintain a record of
each request for access to and each          (i) The articulable and significant threat
disclosure of personally identifiable        to the health or safety of a student or
information from the education records       other individuals that formed the basis
of each student, as well as the names of     for the disclosure; and
State and local educational authorities
and Federal officials and agencies listed    (ii) The parties to whom the agency or
in § 99.31(a)(3) that may make further       institution disclosed the information.
disclosures of personally identifiable
information from the student’s education     (b)(1) Except as provided in paragraph
records without consent under                (b)(2) of this section, if an educational
§ 99.33(b).                                  agency or institution discloses personally
                                             identifiable information from education
                                             records with the understanding



                                                                                         18
authorized under § 99.33(b), the record      educational authority or Federal official
of the disclosure required under this        or agency listed in § 99.31(a)(3) that
section must include:                        maintains a record of further disclosures
                                             under paragraph (b)(2)(i) of this section
(i) The names of the additional parties to   must provide a copy of the record of
which the receiving party may disclose       further disclosures to the educational
the information on behalf of the             agency or institution within a reasonable
educational agency or institution; and       period of time not to exceed 30 days.

(ii) The legitimate interests under          (c) The following parties may inspect the
§ 99.31 which each of the additional         record relating to each student:
parties has in requesting or obtaining the
information.                                 (1) The parent or eligible student.

(2)(i) A State or local educational          (2) The school official or his or her
authority or Federal official or agency      assistants who are responsible for the
listed in § 99.31(a)(3) that makes further   custody of the records.
disclosures of information from
education records under § 99.33(b) must      (3) Those parties authorized in
record the names of the additional           § 99.3l(a)(l) and (3) for the purposes of
parties to which it discloses information    auditing the recordkeeping procedures of
on behalf of an educational agency or        the educational agency or institution.
institution and their legitimate interests
in the information under § 99.31 if the      (d) Paragraph (a) of this section does not
information was received from:               apply if the request was from, or the
                                             disclosure was to:
(A) An educational agency or institution
that has not recorded the further            (1) The parent or eligible student;
disclosures under paragraph (b)(1) of
this section; or                             (2) A school official under § 99.31
                                             (a)(1);
(B) Another State or local educational
authority or Federal official or agency      (3) A party with written consent from
listed in § 99.31(a)(3).                     the parent or eligible student;

(ii) A State or local educational            (4) A party seeking directory
authority or Federal official or agency      information; or
that records further disclosures of
information under paragraph (b)(2)(i) of     (5) A party seeking or receiving records
this section may maintain the record by      in accordance with § 99.31(a)(9)(ii)(A)
the student’s class, school, district, or    through (C).
other appropriate grouping rather than
by the name of the student.                  (Approved by the Office of Management
                                             and Budget under control number 1875-
(iii) Upon request of an educational         0246)
agency or institution, a State or local



                                                                                      19
(Authority: 20 U.S.C. 1232g(b)(1) and         (2) A party that receives a court order or
(b)(4)(A)                                     lawfully issued subpoena and rediscloses
                                              personally identifiable information from
§ 99.33 What limitations apply to the         education records on behalf of an
redisclosure of information?                  educational agency or institution in
                                              response to that order or subpoena under
(a)(l) An educational agency or               § 99.31(a)(9) must provide the
institution may disclose personally           notification required under
identifiable information from an              § 99.31(a)(9)(ii).
education record only on the condition
that the party to whom the information is     (c) Paragraph (a) of this section does not
disclosed will not disclose the               apply to disclosures under
information to any other party without        §§ 99.31(a)(8), (9), (11), (12), (14), (15),
the prior consent of the parent or eligible   and (16), and to information that
student.                                      postsecondary institutions are required to
                                              disclose under the Jeanne Clery
(2) The officers, employees, and agents       Disclosure of Campus Security Policy
of a party that receives information          and Campus Crime Statistics Act, 20
under paragraph (a)(l) of this section        U.S.C. 1092(f) (Clery Act), to the
may use the information, but only for the     accuser and accused regarding the
purposes for which the disclosure was         outcome of any campus disciplinary
made.                                         proceeding brought alleging a sexual
                                              offense.
(b)(1) Paragraph (a) of this section does
not prevent an educational agency or          (d) An educational agency or institution
institution from disclosing personally        must inform a party to whom disclosure
identifiable information with the             is made of the requirements of paragraph
understanding that the party receiving        (a) of this section except for disclosures
the information may make further              made under §§ 99.31(a)(8), (9), (11),
disclosures of the information on behalf      (12), (14), (15), and (16), and to
of the educational agency or institution      information that postsecondary
if--                                          institutions are required to disclose
                                              under the Clery Act to the accuser and
(i) The disclosures meet the                  accused regarding the outcome of any
requirements of § 99.31; and                  campus disciplinary proceeding brought
                                              alleging a sexual offense.
(ii) (A) The educational agency or
institution has complied with the             (e) If this Office determines that a third
requirements of § 99.32(b); or                party outside the educational agency or
                                              institution improperly rediscloses
(B) A State or local educational              personally identifiable information from
authority or Federal official or agency       education records in violation of this
listed in § 99.31(a)(3) has complied with     section, or fails to provide the
the requirements of § 99.32(b)(2).            notification required under paragraph
                                              (b)(2) of this section, the educational
                                              agency or institution may not allow that



                                                                                       20
third party access to personally             (1) The student is enrolled in or receives
identifiable information from education      services from the other agency or
records for at least five years.             institution; and

(Authority: 20 U.S.C.1232g(b)(4)(B))         (2) The disclosure meets the
                                             requirements of paragraph (a) of this
§ 99.34 What conditions apply to             section.
disclosure of information to other
educational agencies or institutions?        (Authority: 20 U.S.C. 1232g(b)(1)(B))

(a) An educational agency or institution     § 99.35 What conditions apply to
that discloses an education record under     disclosure of information for Federal
§ 99.31(a) (2) shall:                        or State program purposes?

(1) Make a reasonable attempt to notify      (a)(1) Authorized representatives of the
the parent or eligible student at the last   officials or agencies headed by officials
known address of the parent or eligible      listed in § 99.31(a)(3) may have access
student, unless:                             to education records in connection with
                                             an audit or evaluation of Federal or State
(i) The disclosure is initiated by the       supported education programs, or for the
parent or eligible student; or               enforcement of or compliance with
                                             Federal legal requirements that relate to
(ii) The annual notification of the agency   those programs.
or institution under § 99.7 includes a
notice that the agency or institution        (2) Authority for an agency or official
forwards education records to other          listed in § 99.31(a)(3) to conduct an
agencies or institutions that have           audit, evaluation, or compliance or
requested the records and in which the       enforcement activity is not conferred by
student seeks or intends to enroll or is     the Act or this part and must be
already enrolled so long as the disclosure   established under other Federal, State, or
is for purposes related to the student’s     local authority.
enrollment or transfer;
                                             (b) Information that is collected under
(2) Give the parent or eligible student,     paragraph (a) of this section must:
upon request, a copy of the record that
was disclosed; and                           (1) Be protected in a manner that does
                                             not permit personal identification of
(3) Give the parent or eligible student,     individuals by anyone other than the
upon request, an opportunity for a           officials or agencies headed by officials
hearing under Subpart C.                     referred to in paragraph (a) of this
                                             section, except that those officials and
(b) An educational agency or institution     agencies may make further disclosures
may disclose an education record of a        of personally identifiable information
student in attendance to another             from education records on behalf of the
educational agency or institution            educational agency or institution in
if:                                          accordance with the requirements of



                                                                                       21
§ 99.33(b); and                              (2) Disclosing appropriate information
                                             maintained under paragraph (b)(1) of
(2) Be destroyed when no longer needed       this section to teachers and school
for the purposes listed in paragraph (a)     officials within the agency or institution
of this section.                             who the agency or institution has
                                             determined have legitimate educational
(c) Paragraph (b) of this section does not   interests in the behavior of the student;
apply if:                                    or

(1) The parent or eligible student has       (3) Disclosing appropriate information
given written consent for the disclosure     maintained under paragraph (b)(1) of
under § 99.30; or                            this section to teachers and school
                                             officials in other schools who have been
(2) The collection of personally             determined to have legitimate
identifiable information is specifically     educational interests in the behavior of
authorized by Federal law.                   the student.

(Authority: 20 U.S.C.1232g(b)(3))            (c) In making a determination under
                                             paragraph (a) of this section, an
§ 99.36 What conditions apply to             educational agency or institution may
disclosure of information in health and      take into account the totality of the
safety emergencies?                          circumstances pertaining to a threat to
                                             the health or safety of a student or other
(a) An educational agency or institution     individuals. If the educational agency or
may disclose personally identifiable         institution determines that there is an
information from an education record to      articulable and significant threat to the
appropriate parties, including parents of    health or safety of a student or other
an eligible student, in connection with an   individuals, it may disclose information
emergency if knowledge of the                from education records to any person
information is necessary to protect the      whose knowledge of the information is
health or safety of the student or other     necessary to protect the health or safety
individuals.                                 of the student or other individuals. If,
                                             based on the information available at the
(b) Nothing in the Act or this part shall    time of the determination, there is a
prevent an educational agency or             rational basis for the determination, the
institution from-                            Department will not substitute its
                                             judgment for that of the educational
(1) Including in the education records of    agency or institution in evaluating the
a student appropriate information            circumstances and making its
concerning disciplinary action taken         determination.
against the student for conduct that
posed a significant risk to the safety       (Authority: 20 U.S.C. 1232g (b)(1)(I)
or well-being of that student, other         and (h))
students, or other members of the school
community;                                   § 99.37 What conditions apply to
                                             disclosing directory information?



                                                                                     22
(a) An educational agency or institution      (d) An educational agency or institution
may disclose directory information if it      may not disclose or confirm directory
has given public notice to parents of         information without meeting the written
students in attendance and eligible           consent requirements in § 99.30 if a
students in attendance at the agency          student’s social security number or other
or institution of:                            non-directory information is used alone
                                              or combined with other data elements to
(1) The types of personally identifiable      identify or help identify the student or
information that the agency or institution    the student’s records.
has designated as directory information;
                                              (Authority: 20 U.S.C. 1232g (a)(5) (A)
(2) A parent's or eligible student's right    and (B))
to refuse to let the agency or institution
designate any or all of those types of        § 99.38 What conditions apply to
information about the student designated      disclosure of information as permitted
as directory information; and                 by State statute adopted after
                                              November 19, 1974, concerning the
(3) The period of time within which a         juvenile justice system?
parent or eligible student has to notify
the agency or institution in writing that     (a) If reporting or disclosure allowed by
he or she does not want any or all of         State statute concerns the juvenile justice
those types of information about the          system and the system's ability to
student designated as directory               effectively serve, prior to adjudication,
information.                                  the student whose records are released,
                                              an educational agency or institution may
(b) An educational agency or institution      disclose education records under
may disclose directory information about      § 99.31(a)(5)(i)(B).
former students without complying with
the notice and opt out conditions in          (b) The officials and authorities to whom
paragraph (a) of this section. However,       the records are disclosed shall certify in
the agency or institution must continue       writing to the educational agency or
to honor any valid request to opt out of      institution that the information will not
the disclosure of directory information       be disclosed to any other party, except as
made while a student was in attendance        provided under State law, without the
unless the student rescinds the opt out       prior written consent of the parent of
request.                                      the student.

(c) A parent or eligible student may not      (Authority: 20 U.S.C. 1232g((b)(1)(J))
use the right under paragraph (a)(2) of
this section to opt out of directory          § 99.39 What definitions apply to the
information disclosures to prevent an         nonconsensual disclosure of records by
educational agency or institution from        postsecondary educational institutions
disclosing or requiring a student to          in connection with disciplinary
disclose the student’s name, identifier, or   proceedings concerning crimes of
institutional e-mail address in a class in    violence or nonforcible sex offenses?
which the student is enrolled.



                                                                                       23
As used in this part:                          "Violation committed" means the
                                               institutional rules or code sections that
"Alleged perpetrator of a crime of             were violated and any essential findings
violence" is a student who is alleged to       supporting the institution's conclusion
have committed acts that would, if             that the violation was committed.
proven, constitute any of the
following offenses or attempts to              (Authority: 20 U.S.C.1232g (b)(6))
commit the following offenses that are
defined in appendix A to this part:            Subpart E-What are the
                                               Enforcement Procedures?
Arson
Assault offenses                               § 99.60 What functions has the
Burglary                                       Secretary delegated to the Office and to
Criminal homicide-manslaughter                 the Office of Administrative Law
by negligence                                  Judges?
Criminal homicide-murder and
nonnegligent manslaughter                      (a) For the purposes of this subpart,
Destruction/damage/vandalism of                "Office" means the Family Policy
property                                       Compliance Office, U.S.
Kidnapping/abduction                           Department of Education.
Robbery
Forcible sex offenses                          (b) The Secretary designates the Office
                                               to:
"Alleged perpetrator of a nonforcible sex
offense" means a student who is alleged        (1) Investigate, process, and review
to have committed acts that, if proven,        complaints and violations under the Act
would constitute statutory rape or incest.     and this part; and
These offenses are defined in appendix
A to this part.                                (2) Provide technical assistance to
                                               ensure compliance with the Act and this
"Final results" means a decision or            part.
determination, made by an honor court
or council, committee, commission, or          (c) The Secretary designates the Office
other entity authorized to resolve             of Administrative Law Judges to act as
disciplinary matters within the                the Review Board required under the Act
institution. The disclosure of final results   to enforce the Act with respect to all
must include only the name of the              applicable programs. The term
student, the violation committed, and          "applicable program" is defined in
any sanction imposed by the institution        section 400 of the General Education
against the student.                           Provisions Act.
"Sanction imposed" means a description         (Authority: 20 U.S.C. 1232g (f) and (g),
of the disciplinary action taken by the        1234))
institution, the date of its imposition, and
its duration.                                  § 99.61 What responsibility does an
                                               educational agency or institution have
                                               concerning conflict with State or local


                                                                                       24
laws?                                         violation is based on a policy or practice
                                              of the educational agency or institution.
If an educational agency or institution
determines that it cannot comply with         (b) The Office investigates a timely
the Act or this part due to a conflict with   complaint filed by a parent or eligible
State or local law, it shall notify the       student, or conducts its own
Office within 45 days, giving the text        investigation when no complaint has
and citation of the conflicting law.          been filed or a complaint has been
                                              withdrawn, to determine whether an
(Authority: 20 U.S.C. 1232g (f))              educational agency or institution has
                                              failed to comply with a provision of the
§ 99.62 What information must an              Act or this part. If the Office determines
educational agency or institution             that an educational agency or institution
submit to the Office?                         has failed to comply with a provision of
                                              the Act or this part, it may also
The Office may require an educational         determine whether the failure to comply
agency or institution to submit reports,      is based on a policy or practice of the
information on policies and procedures,       agency or institution.
annual notifications, training materials,
and other information necessary to carry      (c) A timely complaint is defined as an
out its enforcement responsibilities          allegation of a violation of the Act that is
under the Act or this part.                   submitted to the Office within 180 days
                                              of the date of the alleged violation
(Authority: 20 U.S.C. 1232g(f) and (g))       or of the date that the complainant knew
                                              or reasonably should have known of the
§ 99.63 Where are complaints filed?           alleged violation.

A parent or eligible student may file a       (d) The Office may extend the time limit
written complaint with the Office             in this section for good cause shown.
regarding an alleged violation under the
Act and this part. The Office's address       (Authority: 20 U.S.C. 1232g(f))
is: Family Policy Compliance
Office, U.S. Department of Education,         § 99.65 What is the content of the
400 Maryland Avenue, S.W.,                    notice of investigation issued by the
Washington, DC 20202.                         Office?

(Authority: 20 U.S.C. 1232g(g))               (a) The Office notifies the complainant,
                                              if any, and the educational agency or
§ 99.64 What is the investigation             institution in writing if it initiates an
procedure?                                    investigation under § 99.64(b). The
                                              notice to the educational agency or
(a) A complaint must contain specific         institution--
allegations of fact giving reasonable
cause to believe that a violation of the      (1) Includes the substance of the
Act or this part has occurred. A              allegations against the educational
complaint does not have to allege that a      agency or institution; and



                                                                                       25
(2) Directs the agency or institution to       (2) Provides a reasonable period of time,
submit a written response and other            given all of the circumstances of the
relevant information, as set forth in          case, during which the educational
§ 99.62, within a specified period of          agency or institution may comply
time, including information about its          voluntarily.
policies and practices regarding
education records.                             (Authority:20 U.S.C. 1232g(f))

(b) The Office notifies the complainant        § 99.67 How does the Secretary enforce
if it does not initiate an investigation       decisions?
because the complaint fails to meet the
requirements of § 99.64.                       (a) If an educational agency or
                                               institution does not comply during the
(Authority: 20 U.S.C. 1232g(g))                period of time set under § 99.66(c), the
                                               Secretary may take any legally available
§ 99.66 What are the responsibilities of       enforcement action in accordance with
the Office in the enforcement process?         the Act, including, but not limited to, the
                                               following enforcement actions available
(a) The Office reviews a complaint, if         in accordance with part E of the General
any, information submitted by the              Education Provisions Act--
educational agency or institution, and
any other relevant information. The            (1) Withhold further payments under any
Office may permit the parties to submit        applicable program;
further written or oral arguments or
information.                                   (2) Issue a complaint to compel
                                               compliance through a cease-and-desist
(b) Following its investigation, the           order; or
Office provides to the complainant, if
any, and the educational agency or             (3) Terminate eligibility to receive
institution a written notice of its findings   funding under any applicable program.
and the basis for its findings.
                                               (b) If, after an investigation under
(c) If the Office finds that an educational    § 99.66, the Secretary finds that an
agency or institution has not complied         educational agency or institution has
with a provision of the Act or this part, it   complied voluntarily with the Act
may also find that the failure to comply       or this part, the Secretary provides the
was based on a policy or practice of the       complainant and the agency or
agency or institution. A notice of             institution written notice of the decision
findings issued under paragraph (b) of         and the basis for the decision.
this section to an educational agency or       (NOTE: 34 CFR part 78 contains the
institution that has not complied with a       regulations of the Education Appeal
provision of the Act or this part--            Board.)

(1) Includes a statement of the specific       (Authority: 20 U.S.C. 1232g(f); 20
steps that the agency or institution must      U.S.C. 1234)
take to comply; and



                                                                                       26
Appendix A to Part 99 - Crimes               conduct, or both, but without displaying
of Violence Definitions                      a weapon or subjecting the victim to
                                             actual physical attack.
Arson
Any willful or malicious burning or          (NOTE: This offense includes stalking.)
attempt to burn, with or without intent to
defraud, a dwelling house, public            Burglary
building, motor vehicle or aircraft,         The unlawful entry into a building or
personal property of another, etc.           other structure with the intent to commit
                                             a felony or a theft.
Assault Offenses
An unlawful attack by one person upon        Criminal Homicide-Manslaughter by
another.                                     Negligence
                                             The killing of another person through
(NOTE: By definition there can be no         gross negligence.
"attempted" assaults, only "completed"
assaults.)                                   Criminal Homicide-Murder and
                                             Nonnegligent Manslaughter
(ii) Aggravated Assault                      The willful (nonnegligent) killing of one
An unlawful attack by one person upon        human being by another.
another for the purpose of inflicting
severe or aggravated bodily injury. This     Destruction/Damage/Vandalism of
type of assault usually is accompanied       Property
by the use of a weapon or by means           To willfully or maliciously destroy,
likely to produce death or great bodily      damage, deface, or otherwise injure real
harm. (It is not necessary that injury       or personal property without the consent
result from an aggravated assault when a     of the owner or the person having
gun, knife, or other weapon is used          custody or control of it.
which could and probably would result
in serious injury if the crime were          Kidnapping/Abduction
successfully completed.)                     The unlawful seizure, transportation, or
                                             detention of a person, or any
(b) Simple Assault                           combination of these actions, against his
An unlawful physical attack by one           or her will, or of a minor without the
person upon another where neither the        consent of his or her custodial parent(s)
offender displays a weapon, nor the          or legal guardian.
victim suffers obvious severe or
aggravated bodily injury involving           (NOTE: Kidnapping/Abduction includes
apparent broken bones, loss of teeth,        hostage taking.)
possible internal injury, severe
laceration, or loss of consciousness.        Robbery
                                             The taking of, or attempting to take,
(c) Intimidation                             anything of value under confrontational
To unlawfully place another person in        circumstances from the control, custody,
reasonable fear of bodily harm through       or care of a person or persons by force or
the use of threatening words or other


                                                                                     27
threat of force or violence or by putting
the victim in fear.                            (NOTE: An "object" or "instrument" is
                                               anything used by the offender other than
(NOTE: Carjackings are robbery                 the offender's genitalia. Examples are a
offenses where a motor vehicle is taken        finger, bottle, handgun, stick, etc..)
through force or threat of force.)
                                               (d) Forcible Fondling.
Sex Offences, Forcible                         The touching of the private body parts of
Any sexual act directed against another        another person for the purpose of sexual
person, forcibly or against that person's      gratification, forcibly or against that
will, or both; or not forcibly or against      person's will, or both; or not forcibly or
the person's will where the victim is          against the person's will where the
incapable of giving consent.                   victim is incapable of giving consent
                                               because of his or her youth or because of
(a)Forcible Rape (Except "Statutory            his or her temporary or permanent
Rape")                                         mental or physical incapacity.
The carnal knowledge of a person,
forcibly or against that person's will, or     (NOTE: Forcible Fondling includes
both; or not forcibly or against the           "Indecent Liberties" and "Child
person's will where the victim is              Molesting.")
incapable of giving consent because of
his or her temporary or permanent              Nonforcible Sex Offenses
mental or physical incapacity (or              (Except "Prostitution Offenses'')
because of his or her youth).                  Unlawful, nonforcible sexual
                                               intercourse.
(b) Forcible Sodomy
Oral or anal sexual intercourse with           (a) Incest
another person, forcibly or against that       Nonforcible sexual intercourse between
person's will, or both; or not forcibly or     persons who are related to each other
against the person's will where the            within the degrees wherein marriage is
victim is incapable of giving consent          prohibited by law.
because of his or her youth or because of
his or her temporary or permanent              (b)Statutory Rape
mental or physical incapacity.                 Nonforcible sexual intercourse with a
                                               person who is under the statutory age of
(b) Sexual Assault With An Object              consent.
To use an object or instrument to
unlawfully penetrate, however slightly,        (Authority: 20 U.S.C. 1232g(b)(6) and
the genital or anal opening of the body        18 U.S.C. 16)
of another person, forcibly or against
that person's will, or both; or not forcibly   [This is not an official version of the
or against the person’s will where the         regulations. These regulations are
victim is incapable of giving consent          codified in 34 CFR Part
because of his or her youth or because of      99.]
his or her temporary or permanent
mental or physical incapacity.                 [Updated January 2009.]



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