Family Educational Rights and Privacy

SUMMARY: The Secretary proposes to amend the regulations implementing

the Family Educational Rights and Privacy Act (FERPA). The amendments

are needed to implement section 249 of the Improving America's Schools

Act of 1994 (IASA) (Pub. L. 103-382, enacted October 20, 1994), to

eliminate unnecessary requirements and reduce regulatory burden, and to

incorporate several technical changes.

DATES: Comments must be received on or before May 13, 1996.

ADDRESSES: All comments concerning these proposed regulations should be

addressed to LeRoy Rooker, U.S. Department of Education, 600

Independence Avenue, SW., Room 1366, Washington, D.C. 20202-4605.

Comments may also be sent through the Internet to

FERPA____C[email protected].

To ensure that public comments have maximum effect in developing

the final regulations, the Department urges that each comment clearly

identify the specific section or sections of the regulations that the

comment addresses and that comments be in the same order as the

regulations.

Comments that concern information collection requirements must be

sent to the Office of Management and Budget at the address listed in

the Paperwork Reduction Act of 1995 section of this preamble. A copy of

those comments may also be sent to the Department representative named

in the preceding paragraph.

FOR FURTHER INFORMATION CONTACT: Sharon Shirley, U.S. Department of

Education, 600 Independence Avenue, SW., Room 1366, Washington, D.C.

20202-4605. Telephone: (202) 260-3887. Individuals who use a

telecommunications device for the deaf (TDD) may call the Federal

Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8

p.m., Eastern time, Monday through Friday.

SUPPLEMENTARY INFORMATION: These proposed regulations have been

reviewed and revised in accordance with the Department's ``Principles

for Regulating,'' which were developed to ensure that the Department

regulates in the most flexible, most equitable, and least burdensome

way possible. These principles advance the regulatory reinvention and

customer service objectives of the Administration's National

Performance Review II and are essential to an effective partnership

with States and localities. The Secretary proposes these regulations

because he believes they are necessary to implement the law and give

the greatest flexibility to local governments and schools. In addition,

the regulations minimize burden while protecting parents' and students'

rights.

Summary of Major Provisions

The following is a summary of the regulatory provisions the

Secretary proposes as necessary to implement the statute, such as

interpretations of statutory text or standards and procedures for the

operation of the program. The summary does not address provisions that

merely restate statutory language. The Secretary is not authorized to

change statutory requirements. Commenters are requested to direct their

comments to the regulatory provisions that would implement the statute.

Section 99.1 Applicability

FERPA applies to educational agencies and institutions to which

funds are made available under any program which is administered by the

Secretary. The proposed clarification of the terms ``educational

agency'' and ``educational institution'' is necessary to indicate that

FERPA does not, as a whole, apply to State educational agencies (SEAs),

which provide supervision of, but no administrative control or

direction of, public elementary and secondary schools. The proposed

clarification of ``educational agency'' is adapted from the definition

of ``local educational agency'' in 34 CFR 77.1 and is modified, in

particular, to reflect that FERPA applies to certain postsecondary

administrative agencies, such as those found in university systems.

FERPA was amended by the IASA to require SEAs to afford parents access

to their children's education records. In general, that right of access

to records is the only right parents are afforded by FERPA with regard

to education records maintained by SEAs.

Section 99.3 Definitions

The Secretary proposes to amend the definition of the term

``record'' in the regulations to reflect changing technology and

changing modes of maintaining information. The proposed term ``computer

media'' is intended to cover any manner of maintaining information that

is stored through and retrieved by a computer, including information

stored on CD-ROM.

Section 99.7 Annual Notification of Rights

The statute requires that educational agencies and institutions

effectively inform parents and eligible students of their rights. The

statute does not, however, require that educational agencies and

institutions adopt a formal written student records policy. The

Secretary proposes to remove the requirement in Sec. 99.6 that

educational agencies and institutions adopt a formal written student

records policy. The Secretary further proposes to amend the regulations

so that each educational agency and institution will be required to

notify parents and eligible students not only of their basic rights

under FERPA but also of how to pursue those rights at that specific

agency or institution.

The current regulations require that educational agencies or

institutions inform parents and eligible students of their basic

rights. The current regulations also require that the procedures for

pursuing those rights be set forth in a student records policy, a copy

of which parents and eligible students may have upon request. However,

the Secretary believes that, based on the nature of recent complaints

under FERPA, parents and eligible students rarely seek access to the

student records policy and thus remain uninformed of how to pursue

their rights at that particular school, such as the appropriate

procedure to seek access to education records. The Secretary also

believes that removing the requirement for a student records policy and

adding additional requirements to the annual notification of rights

will lessen burden on institutions and will reduce administrative costs

because only one document will be required.

The Secretary believes that implementation of Congress' mandate

that students and parents be ``effectively'' notified of their rights

can best be achieved by requiring additional information in the annual

notification of rights. In that way, parents and eligible students

would receive more effective notification of their rights and how to

pursue them. The Secretary further believes that, because many of the

items required by current regulations to be in a formal written student

records policy are not necessary to implement the law, the removal of

the requirements would give educational agencies and institutions

greater flexibility. Initially, there may be an additional cost because

schools will have to change their annual notifications, but this is

outweighed by

[[Page 10665]]

the elimination of the student records policy requirement. These two

changes together would reduce burden on educational agencies and

institutions and would ensure that parents and eligible students are

more aware of how to pursue their rights.

The Secretary would allow educational agencies and institutions up

to three years to transfer from the current requirements and to

implement the new requirements. In order to provide guidance to

educational agencies and institutions, the Department would develop a

model annual notice that meets the new requirements and will make it

available upon publication of the final regulations. Also, for those

agencies and institutions that choose to adopt a formal written student

records policy, the Department would continue to update and make

available its model student records policy.

Section 99.10 Right To Inspect and Review Education Records

Under section 444(a) of GEPA, SEAs that maintain education records

are required to afford parents the right to inspect and review their

children's education records. The Secretary believes that this new

statutory requirement should be implemented, to the greatest extent

possible, in the same manner as the current regulations for educational

agencies and institutions to afford parents access to education

records. Therefore, the Secretary proposes to amend the access

provisions in the current regulations to set forth the new requirements

for SEAs to afford parents access to education records. The Secretary

proposes to apply to SEAs the same requirement that applies to

educational agencies and institutions, i.e., that they provide a parent

or eligible student access to education records within 45 days of

receipt of a request. The Secretary requests comments regarding whether

this time frame for SEAs to retrieve records and provide access to them

is reasonable.

The Secretary recognizes that this statutory amendment will impose

new burdens for SEAs, and seeks comments in particular from the SEAs as

to how this provision can be administered without significantly

impeding the duties and day-to-day operations of the SEAs. The

Secretary seeks comments on how this provision can be implemented with

minimal burden on SEAs while still affording parents their full

statutory right of access under FERPA. Finally, the Secretary also

seeks comments from the SEAs as to what types of records they maintain

that are directly related to students.

Section 99.31(a)(5) Prior Consent Not Required for Disclosure to

Juvenile Justice Systems

The proposed regulations implement a new statutory provision that

permits, under certain circumstances, the disclosure of education

records if allowed by State law and if the disclosure concerns the

juvenile justice system's ability to serve, prior to adjudication, the

student whose records are released. The Secretary has not proposed to

define the terms ``juvenile justice system'' and ``prior to

adjudication'' to give States flexibility to define these terms

consistent with State law and practice. The Secretary is not aware of

any advantage or need for a uniform definition.

Section 99.31(a)(9) Prior Consent Not Required for Disclosures

Pursuant to Court Orders and Lawfully Issued Subpoenas

The Secretary proposes that educational agencies and institutions

shall not be required to notify parents or eligible students prior to

disclosures of education records pursuant to a federal grand jury

subpoena or a subpoena issued for a law enforcement purpose. The

Secretary also proposes a new regulatory provision regarding the

disclosure of education records when an educational agency or

institution initiates legal action against a parent or student.

The new regulatory provision would clarify that FERPA permits an

educational agency or institution to release education records in court

without a parent's or eligible student's prior written consent if the

educational agency or institution is initiating legal action against

the parent or student, and the agency or institution has made a

reasonable effort to notify the parent or eligible student of the

intent to disclose in advance. The purpose of this notification

requirement is to give the parent or eligible student the opportunity

to seek a protective order, if the parent or student does not want

personally identifiable information disclosed to the public. This new

provision will impose a minimal burden on schools; however, the cost of

notification to parents is outweighed by the benefit to parents who

will be notified prior to the release of their children's education

records to a court.

Section 99.36 Disclosure of Information From Disciplinary Records

The statute was amended by the IASA to make explicit that FERPA

does not prevent educational agencies and institutions from maintaining

records related to a disciplinary action taken against a student for

behavior that posed a significant risk to the student or others or from

disclosing this information to school officials who have been

determined to have a legitimate educational interest in the behavior of

the student. These matters were implicit in the statute prior to the

change.

The statutory amendment also permits the disclosure of information

regarding disciplinary action to school officials in other schools that

have a legitimate educational interest in the behavior of the student.

The Secretary interprets the statute to allow a school official to

disclose information regarding disciplinary action to school officials

in schools where a student is not in attendance. The Secretary believes

that officials in other schools have a legitimate educational interest

in cultivating a safe school environment.

For example, if a school official knows that a student, who has

been disciplined for carrying a weapon, is planning to attend a school-

sponsored activity at another high school, FERPA would not prohibit the

school official from notifying school officials at the other high

school.

The Secretary believes this interpretation is consistent with

Congress' intent. The Secretary welcomes comment on this provision.

While this provision imposes a potential cost to students and parents,

because education records may be released without their consent, that

cost is minimal and is outweighed by the interests of others whose

safety may be at stake.

Executive Order 12866

1. Assessment of Costs and Benefits

These proposed regulations have been reviewed in accordance with

Executive Order 12866. Under the terms of the order the Secretary has

assessed the potential costs and benefits of this regulatory action.

The potential costs associated with the proposed regulations are

those resulting from statutory requirements and those determined by the

Secretary to be necessary to administer this program effectively and

efficiently. Burdens specifically associated with information

collection requirements, if any, are identified and explained elsewhere

in this preamble under the heading Paperwork Reduction Act of 1995.

In assessing the potential costs and benefits--both quantitative

and qualitative--of these proposed regulations, the Secretary has

[[Page 10666]]

determined that the benefits of the proposed regulations justify the

costs.

To assist the Department in complying with specific requirements of

Executive Order 12866, the Secretary invites comment on whether there

may be further opportunities to reduce any potential costs or increase

potential benefits resulting from these proposed regulations without

impeding the effective and efficient administration of the program.

The potential costs and benefits of these proposed regulations are

discussed elsewhere in this preamble under the following topic

headings: Sec. 99.7 Annual notification of rights; Sec. 99.10 Right to

inspect and review education records; Sec. 99.31 Prior consent not

required for disclosure; and Sec. 99.36 Disclosure of information from

disciplinary records.

2. Clarity of the Regulations

Executive Order 12866 requires each agency to write regulations

that are easy to understand.

The Secretary invites comments on how to make these proposed

regulations easier to understand, including answers to questions such

as the following: (1) Are the requirements in the proposed regulations

clearly stated? (2) Do the regulations contain technical terms or other

wording that interferes with their clarity? (3) Does the format of the

regulations (grouping and order of sections, use of headings,

paragraphing, etc.) aid or reduce their clarity? Would the regulations

be easier to understand if they were divided into more (but shorter)

sections? (A ``section'' is preceded by the symbol ``Sec. '' and a

numbered heading; for example, Sec. 99.1 To which educational agencies

or institutions do these regulations apply?) (4) Is the description of

the regulations in the ``Supplementary Information'' section of this

preamble helpful in understanding the regulations? How could this

description be more helpful in making the regulations easier to

understand? (5) What else could the Department do to make the

regulations easier to understand?

A copy of any comments that concern how the Department could make

these proposed regulations easier to understand should be sent to

Stanley M. Cohen, Regulations Quality Officer, U.S. Department of

Education, 600 Independence Avenue, SW. (Room 5121 FOB-10B),

Washington, D.C. 20202-2241.

Regulatory and Flexibility Act Certification

The Secretary certifies that these proposed regulations would not

have a significant economic impact on a substantial number of small

entities.

The small entities that would be affected by these proposed

regulations are small local educational agencies (LEAs) receiving

Federal funds from the Department. However, the regulations would not

have a significant economic impact on the small LEAs affected because

the regulations would not impose excessive regulatory burdens or

require unnecessary Federal supervision. The regulations would impose

minimal requirements to ensure that LEAs comply with the educational

privacy protection requirements in FERPA.

Paperwork Reduction Act of 1995

Sections 99.7 and 99.32 contain information collection

requirements. As required by the Paperwork Reduction Act of 1995 (44

U.S.C. 3507(d)), the Department of Education has submitted a copy of

these sections to the Office of Management and Budget (OMB) for its

review.

Collection of Information: Family Educational Rights and Privacy.

SEAs, LEAs, postsecondary institutions, and other recipients may be

affected by these regulations. The Department needs and uses the

information to ensure compliance with requirements in FERPA. Annual

public reporting burden for this collection of information is estimated

to be .25 hours per response for 28,075 respondents, including the time

for reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Thus, the total annual reporting and

recordkeeping burden for this collection is estimated to be 7,018.75

hours.

Organizations and individuals desiring to submit comments on the

information collection requirements should direct them to the Office of

Information and Regulatory Affairs, OMB, Room 10235, New Executive

Office Building, Washington, DC 20503; Attention: Wendy Taylor, Desk

Officer for U.S. Department of Education.

The Department considers comments by the public on this proposed

collection of information in--

Evaluating whether the proposed collection of information

is necessary for the proper performance of the functions of the

Department, including whether the information will have a practical

utility;

Evaluating the accuracy of the Department's estimate of

the burden of the proposed collection of information, including the

validity of the methodology and assumptions used;

Enhancing the quality, usefulness, and clarity of the

information to be collected; and

Minimizing the burden of the collection of information on

those who are to respond, including through the use of appropriate

automated, electronic, mechanical, or other technological collection

techniques or other forms of information technology; e.g., permitting

electronic submission of responses.

OMB is required to make a decision concerning the collection of

information contained in these proposed regulations between 30 and 60

days after publication of this document in the Federal Register.

Therefore, a comment to OMB is best assured of having its full effect

if OMB receives it within 30 days of publication. This does not affect

the deadline for the public to comment to the Department on the

proposed regulations.

Invitation to Comment

Interested persons are invited to submit comments and

recommendations regarding these proposed regulations. This section

highlights those issues already discussed in the preamble on which the

Secretary would particularly like comment.

The Secretary has attempted to balance a desire to ensure that

parents are afforded their rights under the law with a desire to be as

flexible as possible in imposing requirements on educational agencies

and institutions. The Secretary believes this balance can be achieved

through these proposed amendments to the regulations, in particular

through the changes to the annual notification of rights and the

removal of the requirement to adopt a written student records policy.

The Secretary requests specific comments on these proposed changes to

the notice, in particular regarding the extent to which they will

affect schools and parents and students.

As previously stated in the preamble, the Secretary would like

comments on whether the proposed regulations regarding the requirement

of SEAs to afford access to education records will create significant

burden and disruption of operations on the SEAs and any suggestions as

to how to minimize any such burdens or disruptions.

All comments submitted in response to these proposed regulations

will be available for public inspection, during and after the comment

period, in Room 1366, FOB-10B, 600 Independence Avenue, SW.,

Washington, D.C., between the hours of 8:30 a.m. and 4:00 p.m., Monday

through Friday of each week except Federal holidays.

[[Page 10667]]

Assessment of Educational Impact

The Secretary particularly requests comments on whether the

proposed regulations in this document would require transmission of

information that is being gathered by or is available from any other

agency or authority of the United States.

List of Subjects in 34 CFR Part 99

Administrative practice and procedure, Education, Information,

Privacy, Parents, Records, Reporting and recordkeeping requirements,

Students.

Dated: January 11, 1996.

Richard W. Riley,

Secretary of Education.

(Catalog of Federal Domestic Assistance Number does not apply)

The Secretary proposes to amend Part 99 of Title 34 of the Code of

Federal Regulations as follows:

PART 99--FAMILY EDUCATIONAL RIGHTS AND PRIVACY

1. The authority citation for Part 99 continues to read as follows:

Authority: 20 U.S.C. 1232g, unless otherwise noted.

2. Section 99.1 is amended by removing paragraph (b), redesignating

paragraphs (c), (d), and (e) as paragraphs (b), (c), and (d),

respectively, and by revising paragraph (a) to read as follows:

Sec. 99.1 To which educational agencies or institutions do these

regulations apply?

(a) Except as otherwise noted in Sec. 99.10, this part applies to

an educational agency or institution to which funds have been made

available under any program administered by the Secretary, if--

(1) The educational institution provides educational services or

instruction, or both, to students; or

(2) The educational agency provides administrative control of or

direction of, or performs service functions for, public elementary or

secondary schools or postsecondary institutions.

* * * * *

Sec. 99.2 [Amended]

3. Section 99.2 is amended by removing the number ``438'' and

adding, in its place, the number ``444''.

4. Section 99.3 is amended by removing in the definition of ``Act''

the number ``438'' and adding, in its place, the number ``444'' and by

revising the definitions of ``Disclosure'' and ``Record'' to read as

follows:

Sec. 99.3 What definitions apply to these regulations?

* * * * *

Disclosure means to permit access to or the release, transfer, or

other communication of personally identifiable information contained in

education records to any party, by any means, including oral, written,

or electronic means.

* * * * *

Record means any information recorded in any way, including, but

not limited to, handwriting, print, computer media, video or audio

tape, film, microfilm, and microfiche.

* * * * *

Sec. 99.6 [Removed and reserved]

5. Section 99.6 is removed and reserved.

6. Section 99.7 is revised to read as follows:

Sec. 99.7 What must an educational agency or institution include in

its annual notification?

(a)(1) Each educational agency or institution shall annually notify

parents of students currently in attendance, or eligible students

currently in attendance, of their rights under the Act and this part.

(2) The notice must inform parents or eligible students that they

have the right to--

(i) Inspect and review the student's education records;

(ii) Seek amendment of the student's education records that the

parent or eligible student believes to be inaccurate, misleading, or

otherwise in violation of the student's privacy rights;

(iii) Consent to disclosures of personally identifiable information

contained in the student's education records, except to the extent that

the Act and Sec. 99.31 authorize disclosure without consent; and

(iv) File with the Department a complaint under Secs. 99.63 and

99.64 concerning alleged failures by the educational agency or

institution to comply with the requirements of the Act and this part.

(3) The notice must include the following:

(i) The procedure for exercising the right to inspect and review

education records.

(ii) The procedure for--

(A) Requesting amendment of records under Sec. 99.20;

(B) Obtaining a hearing regarding a denial of a request for

amendment of records under Secs. 99.21 and 99.22; and

(C) Adding a statement to the record under Sec. 99.21.

(iii) The conditions in Sec. 99.31 under which the educational

agency or institution may disclose education records without a parent's

or eligible student's prior written consent.

(iv) If the educational agency or institution has a policy of

disclosing education records under Sec. 99.31(a)(1), a specification of

criteria for determining who constitutes a school official and what

constitutes a legitimate educational interest.

(v) If the educational agency or institution has a policy of

disclosing education records under Sec. 99.31(a)(11), in accordance

with Sec. 99.37, a specification of--

(A) The types of personally identifiable information the agency or

institution has designated as directory information;

(B) A parent's or eligible student's right to refuse to allow the

agency or institution to designate specific types of information about

the student as directory information; and

(C) The period of time which a parent or eligible student has to

notify the agency or institution that he or she does not want the

agency or institution to designate specific types of information about

the student as directory information.

(b) An educational agency or institution may provide this notice by

any means that are reasonably likely to inform the parents or eligible

students of their rights.

(1) An educational agency or institution shall effectively notify

parents or eligible students who are disabled.

(2) An agency or institution of elementary or secondary education

shall effectively notify parents who have a primary or home language

other than English.

(Authority: 20 U.S.C. 1232g(e) and (f)).

7. Section 99.10 is amended by adding in paragraphs (c) and (e) ``,

or SEA or its component'' following the word ``institution'' and by

revising paragraphs (a), (b), and (d), and the authority citation to

read as follows:

Sec. 99.10 What rights exist for a parent or eligible student to

inspect and review education records?

(a) Except as limited under Sec. 99.12, a parent or eligible

student shall be given the opportunity to inspect and review the

student's education records. This provision applies to--

(1) Any educational agency or institution; and

(2) Any State educational agency (SEA) and its components.

(i) For the purposes of subpart B of this part, an SEA and its

components constitute an educational agency or institution.

(ii) An SEA and its components are subject to Subpart B of this

part if the

[[Page 10668]]

SEA maintains education records on students who are or have been in

attendance at any school of an educational agency or institution

subject to the Act and this part.

(b) The educational agency or institution, or SEA or its component,

shall comply with a request for access to records within a reasonable

period of time, but not more than 45 days after it has received the

request.

* * * * *

(d) If circumstances effectively prevent the parent or eligible

student from exercising the right to inspect and review the student's

education records, the educational agency or institution, or SEA or its

component, shall--

(1) Provide the parent or eligible student with a copy of the

records requested; or

(2) Make other arrangements for the parent or eligible student to

inspect and review the requested records.

* * * * *

(Authority: 20 U.S.C. 1232g(a)(1)(A) and (B))

Sec. 99.12 [Amended]

8. Section 99.12 is amended by removing in paragraph (a) the commas

after ``inspect'' and after ``review'' and by adding after the word

``inspect'' the word ``and'' and by revising the authority citation to

read as follows:

(Authority: 20 U.S.C. 1232g(a)(1)(A), (B), (C), and (D))

Sec. 99.20 [Amended]

9. Section 99.20 is amended by removing in paragraph (a) the words

``or other rights''.

Sec. 99.21 [Amended]

10. Section 99.21 is amended by removing in paragraphs (a), (b)(1),

and (b)(2) the words ``or other''.

11. Section 99.31 is amended by redesignating paragraph (a)(6)(iii)

as paragraph (a)(6)(iv), by adding a new paragraph (a)(6)(iii) and by

revising paragraphs (a)(5)(i) and (a)(9) and the authority citation to

read as follows:

Sec. 99.31 Under what conditions is prior consent not required to

disclose information?

(a) * * *

(5)(i) The disclosure is to State and local officials or

authorities to whom this information is specifically--

(A) Allowed to be reported or disclosed pursuant to State statute

adopted before November 19, 1974, if the allowed reporting or

disclosure concerns the juvenile justice system and the system's

ability to effectively serve the student whose records are released; or

(B) Allowed to be reported or disclosed pursuant to State statute

adopted after November 19, 1974, subject to the requirements of

Sec. 99.38.

* * * * *

(6) * * *

(iii) If this Office determines that a third party outside the

educational agency or institution to whom information is disclosed

under this paragraph (a)(6) violates paragraph (a)(6)(ii)(B) of this

section, the educational agency or institution may not allow that third

party access to personally identifiable information from education

records for at least five years.

* * * * *

(9)(i) The disclosure is to comply with a judicial order or

lawfully issued subpoena.

(ii) The educational agency or institution may disclose information

under paragraph (a)(9)(i) of this section only if the agency or

institution makes a reasonable effort to notify the parent or eligible

student of the order or subpoena in advance of compliance unless the

disclosure is in compliance with--

(A) A Federal grand jury subpoena and the court has ordered that

the existence or the contents of the subpoena or the information

furnished in response to the subpoena not be disclosed; or

(B) Any other subpoena issued for a law enforcement purpose and the

court has ordered that the existence or the contents of the subpoena or

the information furnished in response to the subpoena not be disclosed.

(iii) If the educational agency or institution initiates legal

action against a parent or student and has complied with paragraph

(a)(9)(ii) of this section, it may disclose education records to the

court without a court order or subpoena.

* * * * *

(Authority: 20 U.S.C. 1232g (a)(5)(A), (b)(1), (b)(2), (b)(4)(B),

and (f)).

12. Section 99.32 is amended by removing the word ``or'' following

paragraph (d)(3), replacing the period at the end of paragraph (d)(4)

with a semicolon and adding the word ``or'' after the semicolon, adding

a new paragraph (d)(5), and revising the authority citation to read as

follows:

Sec. 99.32 What recordkeeping requirements exist concerning requests

and disclosures?

* * * * *

(d) * * *

(5) A party seeking or receiving the records as directed by a

Federal grand jury or other law enforcement subpoena and the issuing

court has ordered that the existence or the contents of the subpoena or

the information furnished in response to the subpoena not be disclosed.

(Authority: 20 U.S.C. 1232g (b)(1) and (b)(4)(A))

13. Section 99.33 is amended by revising paragraphs (c) and (d) and

by adding a new paragraph (e) to read as follows:

Sec. 99.33 What limitations apply to the redisclosure of information?

* * * * *

(c) Paragraph (a) of this section does not apply to disclosures

made pursuant to court orders or lawfully issued subpoenas under

Sec. 99.31(a)(9), to disclosures of directory information under

Sec. 99.31(a)(11), or to disclosures to a parent or student under

Sec. 99.31(a)(12).

(d) Except for disclosures under Sec. 99.31(a)(9), (11), and (12),

an educational agency or institution shall inform a party to whom

disclosure is made of the requirements of this section.

(e) If this Office determines that a third party improperly

rediscloses personally identifiable information from education records

in violation of Sec. 99.33(a) of this section, the educational agency

or institution may not allow that third party access to personally

identifiable information from education records for at least five

years.

14. Section 99.34(a)(1)(ii) is amended by removing the word

``policy'' and adding, in its place, the words ``annual notification''.

15. Section 99.36 is amended by revising paragraph (b), adding

paragraph (c) and revising the authority citation to read as follows:

Sec. 99.36 What conditions apply to disclosure of information in

health and safety emergencies?

* * * * *

(b) Nothing in this Act or this part shall prevent an educational

agency or institution from--

(1) Including in the education records of a student appropriate

information concerning disciplinary action taken against the student

for conduct that posed a significant risk to the safety or well-being

of that student, other students, or other members of the school

community;

(2) Disclosing appropriate information maintained under paragraph

(b)(1) of this section to teachers and school officials within the

agency or institution who the agency or institution has determined have

legitimate educational interests in the behavior of the student; or

(3) Disclosing appropriate information maintained under paragraph

(b)(1) of this section to teachers and school officials in other

schools that have been determined to have legitimate

[[Page 10669]]

educational interests in the behavior of the student.

(c) Paragraphs (a) and (b) of this section will be strictly

construed.

(Authority: 20 U.S.C. 1232g (b)(1)(I) and (h))

16. A new Sec. 99.38 is added to subpart D to read as follows:

Sec. 99.38 What conditions apply to disclosure of information as

permitted by State statute adopted after November 19, 1974 concerning

the juvenile justice system?

(a) If reporting or disclosure allowed by State statute concerns

the juvenile justice system and the system's ability to effectively

serve, prior to adjudication, the student whose records are released,

an educational agency or institution may disclose education records

under Sec. 99.31(a)(5)(i)(B).

(b) The officials and authorities to whom the records are disclosed

shall certify in writing to the educational agency or institution that

the information will not be disclosed to any other party, except as

provided under State law, without the prior written consent of the

parent of the student.

(Authority: 20 U.S.C. 1232g(b)(1)(J))

Sec. 99.63 [Amended]

17. Section 99.63 is amended by removing the word ``person'' and

adding, in its place, the words ``parent or eligible student''.

[FR Doc. 96-6034 Filed 3-13-96; 8:45 am]

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