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federal register

March 14, 1996

Part III

Department of
34 CFR Part 99
Family Educational Rights and Privacy;
Proposed Rule

10664 Federal Register / Vol. 61, No. 51 / Thursday, March 14, 1996 / Proposed Rules

DEPARTMENT OF EDUCATION principles advance the regulatory retrieved by a computer, including

reinvention and customer service information stored on CD–ROM.
34 CFR Part 99 objectives of the Administration’s
Section 99.7 Annual Notification of
National Performance Review II and are
RIN 1880–AA71 Rights
essential to an effective partnership
with States and localities. The Secretary The statute requires that educational
Family Educational Rights and Privacy agencies and institutions effectively
proposes these regulations because he
AGENCY: Department of Education. believes they are necessary to inform parents and eligible students of
ACTION: Notice of proposed rulemaking. implement the law and give the greatest their rights. The statute does not,
flexibility to local governments and however, require that educational
SUMMARY: The Secretary proposes to schools. In addition, the regulations agencies and institutions adopt a formal
amend the regulations implementing the minimize burden while protecting written student records policy. The
Family Educational Rights and Privacy parents’ and students’ rights. Secretary proposes to remove the
Act (FERPA). The amendments are requirement in § 99.6 that educational
needed to implement section 249 of the Summary of Major Provisions agencies and institutions adopt a formal
Improving America’s Schools Act of The following is a summary of the written student records policy. The
1994 (IASA) (Pub. L. 103–382, enacted regulatory provisions the Secretary Secretary further proposes to amend the
October 20, 1994), to eliminate proposes as necessary to implement the regulations so that each educational
unnecessary requirements and reduce statute, such as interpretations of agency and institution will be required
regulatory burden, and to incorporate statutory text or standards and to notify parents and eligible students
several technical changes. procedures for the operation of the not only of their basic rights under
DATES: Comments must be received on FERPA but also of how to pursue those
program. The summary does not address
or before May 13, 1996. rights at that specific agency or
provisions that merely restate statutory
ADDRESSES: All comments concerning
language. The Secretary is not The current regulations require that
these proposed regulations should be authorized to change statutory educational agencies or institutions
addressed to LeRoy Rooker, U.S. requirements. Commenters are inform parents and eligible students of
Department of Education, 600 requested to direct their comments to their basic rights. The current
Independence Avenue, SW., Room the regulatory provisions that would regulations also require that the
1366, Washington, D.C. 20202–4605. implement the statute. procedures for pursuing those rights be
Comments may also be sent through the
Section 99.1 Applicability set forth in a student records policy, a
Internet to copy of which parents and eligible
FERPA FERPA applies to educational students may have upon request.
To ensure that public comments have agencies and institutions to which funds However, the Secretary believes that,
maximum effect in developing the final are made available under any program based on the nature of recent complaints
regulations, the Department urges that which is administered by the Secretary. under FERPA, parents and eligible
each comment clearly identify the The proposed clarification of the terms students rarely seek access to the
specific section or sections of the ‘‘educational agency’’ and ‘‘educational student records policy and thus remain
regulations that the comment addresses institution’’ is necessary to indicate that uninformed of how to pursue their
and that comments be in the same order FERPA does not, as a whole, apply to rights at that particular school, such as
as the regulations. State educational agencies (SEAs), the appropriate procedure to seek access
Comments that concern information which provide supervision of, but no to education records. The Secretary also
collection requirements must be sent to administrative control or direction of, believes that removing the requirement
the Office of Management and Budget at public elementary and secondary for a student records policy and adding
the address listed in the Paperwork schools. The proposed clarification of additional requirements to the annual
Reduction Act of 1995 section of this ‘‘educational agency’’ is adapted from notification of rights will lessen burden
preamble. A copy of those comments the definition of ‘‘local educational on institutions and will reduce
may also be sent to the Department agency’’ in 34 CFR 77.1 and is modified, administrative costs because only one
representative named in the preceding in particular, to reflect that FERPA document will be required.
paragraph. applies to certain postsecondary The Secretary believes that
FOR FURTHER INFORMATION CONTACT: administrative agencies, such as those implementation of Congress’ mandate
Sharon Shirley, U.S. Department of found in university systems. FERPA was that students and parents be
Education, 600 Independence Avenue, amended by the IASA to require SEAs ‘‘effectively’’ notified of their rights can
SW., Room 1366, Washington, D.C. to afford parents access to their best be achieved by requiring additional
20202–4605. Telephone: (202) 260– children’s education records. In general, information in the annual notification of
3887. Individuals who use a that right of access to records is the only rights. In that way, parents and eligible
telecommunications device for the deaf right parents are afforded by FERPA students would receive more effective
(TDD) may call the Federal Information with regard to education records notification of their rights and how to
Relay Service (FIRS) at 1–800–877–8339 maintained by SEAs. pursue them. The Secretary further
between 8 a.m. and 8 p.m., Eastern time, believes that, because many of the items
Monday through Friday. Section 99.3 Definitions
required by current regulations to be in
SUPPLEMENTARY INFORMATION: These The Secretary proposes to amend the a formal written student records policy
proposed regulations have been definition of the term ‘‘record’’ in the are not necessary to implement the law,
reviewed and revised in accordance regulations to reflect changing the removal of the requirements would
with the Department’s ‘‘Principles for technology and changing modes of give educational agencies and
Regulating,’’ which were developed to maintaining information. The proposed institutions greater flexibility. Initially,
ensure that the Department regulates in term ‘‘computer media’’ is intended to there may be an additional cost because
the most flexible, most equitable, and cover any manner of maintaining schools will have to change their annual
least burdensome way possible. These information that is stored through and notifications, but this is outweighed by
Federal Register / Vol. 61, No. 51 / Thursday, March 14, 1996 / Proposed Rules 10665

the elimination of the student records Section 99.31(a)(5) Prior Consent Not related to a disciplinary action taken
policy requirement. These two changes Required for Disclosure to Juvenile against a student for behavior that posed
together would reduce burden on Justice Systems a significant risk to the student or others
educational agencies and institutions The proposed regulations implement or from disclosing this information to
and would ensure that parents and a new statutory provision that permits, school officials who have been
eligible students are more aware of how under certain circumstances, the determined to have a legitimate
to pursue their rights. educational interest in the behavior of
disclosure of education records if
The Secretary would allow the student. These matters were implicit
allowed by State law and if the
educational agencies and institutions up in the statute prior to the change.
to three years to transfer from the disclosure concerns the juvenile justice
system’s ability to serve, prior to The statutory amendment also
current requirements and to implement permits the disclosure of information
the new requirements. In order to adjudication, the student whose records
are released. The Secretary has not regarding disciplinary action to school
provide guidance to educational officials in other schools that have a
agencies and institutions, the proposed to define the terms ‘‘juvenile
justice system’’ and ‘‘prior to legitimate educational interest in the
Department would develop a model behavior of the student. The Secretary
annual notice that meets the new adjudication’’ to give States flexibility to
define these terms consistent with State interprets the statute to allow a school
requirements and will make it available official to disclose information
upon publication of the final law and practice. The Secretary is not
aware of any advantage or need for a regarding disciplinary action to school
regulations. Also, for those agencies and officials in schools where a student is
institutions that choose to adopt a uniform definition.
not in attendance. The Secretary
formal written student records policy, Section 99.31(a)(9) Prior Consent Not believes that officials in other schools
the Department would continue to Required for Disclosures Pursuant to have a legitimate educational interest in
update and make available its model Court Orders and Lawfully Issued cultivating a safe school environment.
student records policy. Subpoenas For example, if a school official
Section 99.10 Right To Inspect and The Secretary proposes that knows that a student, who has been
Review Education Records educational agencies and institutions disciplined for carrying a weapon, is
Under section 444(a) of GEPA, SEAs shall not be required to notify parents or planning to attend a school-sponsored
that maintain education records are eligible students prior to disclosures of activity at another high school, FERPA
required to afford parents the right to education records pursuant to a federal would not prohibit the school official
inspect and review their children’s grand jury subpoena or a subpoena from notifying school officials at the
education records. The Secretary issued for a law enforcement purpose. other high school.
believes that this new statutory The Secretary also proposes a new The Secretary believes this
requirement should be implemented, to regulatory provision regarding the interpretation is consistent with
the greatest extent possible, in the same disclosure of education records when an Congress’ intent. The Secretary
manner as the current regulations for educational agency or institution welcomes comment on this provision.
educational agencies and institutions to initiates legal action against a parent or While this provision imposes a potential
afford parents access to education student. cost to students and parents, because
records. Therefore, the Secretary The new regulatory provision would education records may be released
proposes to amend the access provisions clarify that FERPA permits an without their consent, that cost is
in the current regulations to set forth the educational agency or institution to minimal and is outweighed by the
new requirements for SEAs to afford release education records in court interests of others whose safety may be
parents access to education records. The without a parent’s or eligible student’s at stake.
Secretary proposes to apply to SEAs the prior written consent if the educational
same requirement that applies to agency or institution is initiating legal Executive Order 12866
educational agencies and institutions, action against the parent or student, and 1. Assessment of Costs and Benefits
i.e., that they provide a parent or the agency or institution has made a
eligible student access to education reasonable effort to notify the parent or These proposed regulations have been
records within 45 days of receipt of a eligible student of the intent to disclose reviewed in accordance with Executive
request. The Secretary requests in advance. The purpose of this Order 12866. Under the terms of the
comments regarding whether this time notification requirement is to give the order the Secretary has assessed the
frame for SEAs to retrieve records and parent or eligible student the potential costs and benefits of this
provide access to them is reasonable. opportunity to seek a protective order, regulatory action.
The Secretary recognizes that this if the parent or student does not want The potential costs associated with
statutory amendment will impose new personally identifiable information the proposed regulations are those
burdens for SEAs, and seeks comments disclosed to the public. This new resulting from statutory requirements
in particular from the SEAs as to how provision will impose a minimal burden and those determined by the Secretary
this provision can be administered on schools; however, the cost of to be necessary to administer this
without significantly impeding the notification to parents is outweighed by program effectively and efficiently.
duties and day-to-day operations of the the benefit to parents who will be Burdens specifically associated with
SEAs. The Secretary seeks comments on notified prior to the release of their information collection requirements, if
how this provision can be implemented children’s education records to a court. any, are identified and explained
with minimal burden on SEAs while elsewhere in this preamble under the
still affording parents their full statutory Section 99.36 Disclosure of heading Paperwork Reduction Act of
right of access under FERPA. Finally, Information From Disciplinary Records 1995.
the Secretary also seeks comments from The statute was amended by the IASA In assessing the potential costs and
the SEAs as to what types of records to make explicit that FERPA does not benefits—both quantitative and
they maintain that are directly related to prevent educational agencies and qualitative—of these proposed
students. institutions from maintaining records regulations, the Secretary has
10666 Federal Register / Vol. 61, No. 51 / Thursday, March 14, 1996 / Proposed Rules

determined that the benefits of the significant economic impact on a • Enhancing the quality, usefulness,
proposed regulations justify the costs. substantial number of small entities. and clarity of the information to be
To assist the Department in The small entities that would be collected; and
complying with specific requirements of affected by these proposed regulations • Minimizing the burden of the
Executive Order 12866, the Secretary are small local educational agencies collection of information on those who
invites comment on whether there may (LEAs) receiving Federal funds from the are to respond, including through the
be further opportunities to reduce any Department. However, the regulations use of appropriate automated,
potential costs or increase potential would not have a significant economic electronic, mechanical, or other
benefits resulting from these proposed impact on the small LEAs affected technological collection techniques or
regulations without impeding the because the regulations would not other forms of information technology;
effective and efficient administration of impose excessive regulatory burdens or e.g., permitting electronic submission of
the program. require unnecessary Federal responses.
The potential costs and benefits of supervision. The regulations would OMB is required to make a decision
these proposed regulations are impose minimal requirements to ensure concerning the collection of information
discussed elsewhere in this preamble that LEAs comply with the educational contained in these proposed regulations
under the following topic headings: privacy protection requirements in between 30 and 60 days after
§ 99.7 Annual notification of rights; FERPA. publication of this document in the
§ 99.10 Right to inspect and review Federal Register. Therefore, a comment
education records; § 99.31 Prior consent Paperwork Reduction Act of 1995 to OMB is best assured of having its full
not required for disclosure; and § 99.36 Sections 99.7 and 99.32 contain effect if OMB receives it within 30 days
Disclosure of information from information collection requirements. As of publication. This does not affect the
disciplinary records. required by the Paperwork Reduction deadline for the public to comment to
Act of 1995 (44 U.S.C. 3507(d)), the the Department on the proposed
2. Clarity of the Regulations Department of Education has submitted regulations.
Executive Order 12866 requires each a copy of these sections to the Office of
agency to write regulations that are easy Invitation to Comment
Management and Budget (OMB) for its
to understand. review. Interested persons are invited to
The Secretary invites comments on Collection of Information: Family submit comments and recommendations
how to make these proposed regulations Educational Rights and Privacy. regarding these proposed regulations.
easier to understand, including answers SEAs, LEAs, postsecondary This section highlights those issues
to questions such as the following: (1) institutions, and other recipients may be already discussed in the preamble on
Are the requirements in the proposed affected by these regulations. The which the Secretary would particularly
regulations clearly stated? (2) Do the Department needs and uses the like comment.
regulations contain technical terms or information to ensure compliance with The Secretary has attempted to
other wording that interferes with their requirements in FERPA. Annual public balance a desire to ensure that parents
clarity? (3) Does the format of the reporting burden for this collection of are afforded their rights under the law
regulations (grouping and order of information is estimated to be .25 hours with a desire to be as flexible as possible
sections, use of headings, paragraphing, per response for 28,075 respondents, in imposing requirements on
etc.) aid or reduce their clarity? Would including the time for reviewing educational agencies and institutions.
the regulations be easier to understand instructions, searching existing data The Secretary believes this balance can
if they were divided into more (but sources, gathering and maintaining the be achieved through these proposed
shorter) sections? (A ‘‘section’’ is data needed, and completing and amendments to the regulations, in
preceded by the symbol ‘‘§ ’’ and a reviewing the collection of information. particular through the changes to the
numbered heading; for example, § 99.1 Thus, the total annual reporting and annual notification of rights and the
To which educational agencies or recordkeeping burden for this collection removal of the requirement to adopt a
institutions do these regulations apply?) is estimated to be 7,018.75 hours. written student records policy. The
(4) Is the description of the regulations Organizations and individuals Secretary requests specific comments on
in the ‘‘Supplementary Information’’ desiring to submit comments on the these proposed changes to the notice, in
section of this preamble helpful in information collection requirements particular regarding the extent to which
understanding the regulations? How should direct them to the Office of they will affect schools and parents and
could this description be more helpful Information and Regulatory Affairs, students.
in making the regulations easier to OMB, Room 10235, New Executive As previously stated in the preamble,
understand? (5) What else could the Office Building, Washington, DC 20503; the Secretary would like comments on
Department do to make the regulations Attention: Wendy Taylor, Desk Officer whether the proposed regulations
easier to understand? for U.S. Department of Education. regarding the requirement of SEAs to
A copy of any comments that concern The Department considers comments afford access to education records will
how the Department could make these by the public on this proposed create significant burden and disruption
proposed regulations easier to collection of information in— of operations on the SEAs and any
understand should be sent to Stanley M. • Evaluating whether the proposed suggestions as to how to minimize any
Cohen, Regulations Quality Officer, U.S. collection of information is necessary such burdens or disruptions.
Department of Education, 600 for the proper performance of the All comments submitted in response
Independence Avenue, SW. (Room 5121 functions of the Department, including to these proposed regulations will be
FOB–10B), Washington, D.C. 20202– whether the information will have a available for public inspection, during
2241. practical utility; and after the comment period, in Room
• Evaluating the accuracy of the 1366, FOB–10B, 600 Independence
Regulatory and Flexibility Act Department’s estimate of the burden of Avenue, SW., Washington, D.C.,
Certification the proposed collection of information, between the hours of 8:30 a.m. and 4:00
The Secretary certifies that these including the validity of the p.m., Monday through Friday of each
proposed regulations would not have a methodology and assumptions used; week except Federal holidays.
Federal Register / Vol. 61, No. 51 / Thursday, March 14, 1996 / Proposed Rules 10667

Assessment of Educational Impact Disclosure means to permit access to (iv) If the educational agency or
The Secretary particularly requests or the release, transfer, or other institution has a policy of disclosing
comments on whether the proposed communication of personally education records under § 99.31(a)(1), a
regulations in this document would identifiable information contained in specification of criteria for determining
require transmission of information that education records to any party, by any who constitutes a school official and
means, including oral, written, or what constitutes a legitimate
is being gathered by or is available from
electronic means. educational interest.
any other agency or authority of the
United States. * * * * * (v) If the educational agency or
Record means any information institution has a policy of disclosing
List of Subjects in 34 CFR Part 99 recorded in any way, including, but not education records under § 99.31(a)(11),
Administrative practice and limited to, handwriting, print, computer in accordance with § 99.37, a
procedure, Education, Information, media, video or audio tape, film, specification of—
Privacy, Parents, Records, Reporting and microfilm, and microfiche. (A) The types of personally
recordkeeping requirements, Students. * * * * * identifiable information the agency or
institution has designated as directory
Dated: January 11, 1996. § 99.6 [Removed and reserved] information;
Richard W. Riley, 5. Section 99.6 is removed and (B) A parent’s or eligible student’s
Secretary of Education. reserved. right to refuse to allow the agency or
(Catalog of Federal Domestic Assistance 6. Section 99.7 is revised to read as institution to designate specific types of
Number does not apply) follows: information about the student as
The Secretary proposes to amend Part directory information; and
§ 99.7 What must an educational agency
99 of Title 34 of the Code of Federal or institution include in its annual (C) The period of time which a parent
Regulations as follows: notification? or eligible student has to notify the
(a)(1) Each educational agency or agency or institution that he or she does
PART 99—FAMILY EDUCATIONAL not want the agency or institution to
RIGHTS AND PRIVACY institution shall annually notify parents
of students currently in attendance, or designate specific types of information
1. The authority citation for Part 99 eligible students currently in about the student as directory
continues to read as follows: attendance, of their rights under the Act information.
and this part. (b) An educational agency or
Authority: 20 U.S.C. 1232g, unless
(2) The notice must inform parents or institution may provide this notice by
otherwise noted.
eligible students that they have the right any means that are reasonably likely to
2. Section 99.1 is amended by to— inform the parents or eligible students
removing paragraph (b), redesignating (i) Inspect and review the student’s of their rights.
paragraphs (c), (d), and (e) as paragraphs education records; (1) An educational agency or
(b), (c), and (d), respectively, and by (ii) Seek amendment of the student’s institution shall effectively notify
revising paragraph (a) to read as follows: education records that the parent or parents or eligible students who are
eligible student believes to be disabled.
§ 99.1 To which educational agencies or
institutions do these regulations apply? inaccurate, misleading, or otherwise in (2) An agency or institution of
violation of the student’s privacy rights; elementary or secondary education shall
(a) Except as otherwise noted in (iii) Consent to disclosures of effectively notify parents who have a
§ 99.10, this part applies to an personally identifiable information primary or home language other than
educational agency or institution to contained in the student’s education English.
which funds have been made available records, except to the extent that the Act
under any program administered by the (Authority: 20 U.S.C. 1232g(e) and (f)).
and § 99.31 authorize disclosure
Secretary, if— without consent; and 7. Section 99.10 is amended by
(1) The educational institution (iv) File with the Department a adding in paragraphs (c) and (e) ‘‘, or
provides educational services or complaint under §§ 99.63 and 99.64 SEA or its component’’ following the
instruction, or both, to students; or concerning alleged failures by the word ‘‘institution’’ and by revising
(2) The educational agency provides educational agency or institution to paragraphs (a), (b), and (d), and the
administrative control of or direction of, comply with the requirements of the Act authority citation to read as follows:
or performs service functions for, public and this part.
elementary or secondary schools or § 99.10 What rights exist for a parent or
(3) The notice must include the eligible student to inspect and review
postsecondary institutions. following: education records?
* * * * * (i) The procedure for exercising the
right to inspect and review education (a) Except as limited under § 99.12, a
§ 99.2 [Amended] records. parent or eligible student shall be given
3. Section 99.2 is amended by (ii) The procedure for— the opportunity to inspect and review
removing the number ‘‘438’’ and adding, (A) Requesting amendment of records the student’s education records. This
in its place, the number ‘‘444’’. under § 99.20; provision applies to—
4. Section 99.3 is amended by (B) Obtaining a hearing regarding a (1) Any educational agency or
removing in the definition of ‘‘Act’’ the denial of a request for amendment of institution; and
number ‘‘438’’ and adding, in its place, records under §§ 99.21 and 99.22; and (2) Any State educational agency
the number ‘‘444’’ and by revising the (C) Adding a statement to the record (SEA) and its components.
definitions of ‘‘Disclosure’’ and under § 99.21. (i) For the purposes of subpart B of
‘‘Record’’ to read as follows: (iii) The conditions in § 99.31 under this part, an SEA and its components
which the educational agency or constitute an educational agency or
§ 99.3 What definitions apply to these institution may disclose education institution.
regulations? records without a parent’s or eligible (ii) An SEA and its components are
* * * * * student’s prior written consent. subject to Subpart B of this part if the
10668 Federal Register / Vol. 61, No. 51 / Thursday, March 14, 1996 / Proposed Rules

SEA maintains education records on adopted after November 19, 1974, (Authority: 20 U.S.C. 1232g (b)(1) and
students who are or have been in subject to the requirements of § 99.38. (b)(4)(A))
attendance at any school of an * * * * * 13. Section 99.33 is amended by
educational agency or institution subject (6) * * * revising paragraphs (c) and (d) and by
to the Act and this part. (iii) If this Office determines that a adding a new paragraph (e) to read as
(b) The educational agency or third party outside the educational follows:
institution, or SEA or its component, agency or institution to whom
shall comply with a request for access information is disclosed under this § 99.33 What limitations apply to the
to records within a reasonable period of paragraph (a)(6) violates paragraph redisclosure of information?
time, but not more than 45 days after it (a)(6)(ii)(B) of this section, the * * * * *
has received the request. educational agency or institution may (c) Paragraph (a) of this section does
* * * * * not allow that third party access to not apply to disclosures made pursuant
(d) If circumstances effectively personally identifiable information from to court orders or lawfully issued
prevent the parent or eligible student education records for at least five years. subpoenas under § 99.31(a)(9), to
from exercising the right to inspect and * * * * * disclosures of directory information
review the student’s education records, (9)(i) The disclosure is to comply with under § 99.31(a)(11), or to disclosures to
the educational agency or institution, or a judicial order or lawfully issued a parent or student under § 99.31(a)(12).
SEA or its component, shall— subpoena. (d) Except for disclosures under
(1) Provide the parent or eligible (ii) The educational agency or § 99.31(a)(9), (11), and (12), an
student with a copy of the records institution may disclose information educational agency or institution shall
requested; or under paragraph (a)(9)(i) of this section inform a party to whom disclosure is
(2) Make other arrangements for the only if the agency or institution makes made of the requirements of this
parent or eligible student to inspect and a reasonable effort to notify the parent section.
review the requested records. or eligible student of the order or (e) If this Office determines that a
* * * * * subpoena in advance of compliance third party improperly rediscloses
(Authority: 20 U.S.C. 1232g(a)(1)(A) and (B)) unless the disclosure is in compliance personally identifiable information from
with— education records in violation of
§ 99.12 [Amended]
(A) A Federal grand jury subpoena § 99.33(a) of this section, the
8. Section 99.12 is amended by and the court has ordered that the educational agency or institution may
removing in paragraph (a) the commas existence or the contents of the not allow that third party access to
after ‘‘inspect’’ and after ‘‘review’’ and subpoena or the information furnished personally identifiable information from
by adding after the word ‘‘inspect’’ the in response to the subpoena not be education records for at least five years.
word ‘‘and’’ and by revising the disclosed; or 14. Section 99.34(a)(1)(ii) is amended
authority citation to read as follows: (B) Any other subpoena issued for a by removing the word ‘‘policy’’ and
(Authority: 20 U.S.C. 1232g(a)(1)(A), (B), (C), law enforcement purpose and the court adding, in its place, the words ‘‘annual
and (D)) has ordered that the existence or the notification’’.
contents of the subpoena or the 15. Section 99.36 is amended by
§ 99.20 [Amended] information furnished in response to the revising paragraph (b), adding paragraph
9. Section 99.20 is amended by subpoena not be disclosed. (c) and revising the authority citation to
removing in paragraph (a) the words ‘‘or (iii) If the educational agency or read as follows:
other rights’’. institution initiates legal action against
a parent or student and has complied § 99.36 What conditions apply to
§ 99.21 [Amended] disclosure of information in health and
with paragraph (a)(9)(ii) of this section,
10. Section 99.21 is amended by it may disclose education records to the safety emergencies?
removing in paragraphs (a), (b)(1), and court without a court order or subpoena. * * * * *
(b)(2) the words ‘‘or other’’. (b) Nothing in this Act or this part
11. Section 99.31 is amended by * * * * *
(Authority: 20 U.S.C. 1232g (a)(5)(A), (b)(1), shall prevent an educational agency or
redesignating paragraph (a)(6)(iii) as institution from—
(b)(2), (b)(4)(B), and (f)).
paragraph (a)(6)(iv), by adding a new (1) Including in the education records
paragraph (a)(6)(iii) and by revising 12. Section 99.32 is amended by
removing the word ‘‘or’’ following of a student appropriate information
paragraphs (a)(5)(i) and (a)(9) and the concerning disciplinary action taken
authority citation to read as follows: paragraph (d)(3), replacing the period at
the end of paragraph (d)(4) with a against the student for conduct that
§ 99.31 Under what conditions is prior semicolon and adding the word ‘‘or’’ posed a significant risk to the safety or
consent not required to disclose after the semicolon, adding a new well-being of that student, other
information? paragraph (d)(5), and revising the students, or other members of the school
(a) * * * authority citation to read as follows: community;
(5)(i) The disclosure is to State and (2) Disclosing appropriate information
local officials or authorities to whom § 99.32 What recordkeeping requirements maintained under paragraph (b)(1) of
this information is specifically— exist concerning requests and disclosures? this section to teachers and school
(A) Allowed to be reported or * * * * * officials within the agency or institution
disclosed pursuant to State statute (d) * * * who the agency or institution has
adopted before November 19, 1974, if (5) A party seeking or receiving the determined have legitimate educational
the allowed reporting or disclosure records as directed by a Federal grand interests in the behavior of the student;
concerns the juvenile justice system and jury or other law enforcement subpoena or
the system’s ability to effectively serve and the issuing court has ordered that (3) Disclosing appropriate information
the student whose records are released; the existence or the contents of the maintained under paragraph (b)(1) of
or subpoena or the information furnished this section to teachers and school
(B) Allowed to be reported or in response to the subpoena not be officials in other schools that have been
disclosed pursuant to State statute disclosed. determined to have legitimate
Federal Register / Vol. 61, No. 51 / Thursday, March 14, 1996 / Proposed Rules 10669

educational interests in the behavior of justice system and the system’s ability (Authority: 20 U.S.C. 1232g(b)(1)(J))
the student. to effectively serve, prior to
(c) Paragraphs (a) and (b) of this § 99.63 [Amended]
adjudication, the student whose records
section will be strictly construed. are released, an educational agency or 17. Section 99.63 is amended by
(Authority: 20 U.S.C. 1232g (b)(1)(I) and (h)) institution may disclose education removing the word ‘‘person’’ and
16. A new § 99.38 is added to subpart records under § 99.31(a)(5)(i)(B). adding, in its place, the words ‘‘parent
D to read as follows: (b) The officials and authorities to or eligible student’’.
whom the records are disclosed shall [FR Doc. 96–6034 Filed 3–13–96; 8:45 am]
§ 99.38 What conditions apply to
disclosure of information as permitted by certify in writing to the educational BILLING CODE 4000–01–P

State statute adopted after November 19, agency or institution that the
1974 concerning the juvenile justice information will not be disclosed to any
system? other party, except as provided under
(a) If reporting or disclosure allowed State law, without the prior written
by State statute concerns the juvenile consent of the parent of the student.