DOCUMENT RESUME 

AUTHOR 

TITLE 

INSTITUTION 

REPORT NO 

PUB DATE 

NOTE 

PUB TYPE 

EDRS PRICE 

DESCRIPTORS 

Medaris, Michael L.; Campbell, Ellen; James, Bernard 

Sharing Information: A Guide to the Family Educational 

Rights and Privacy Act and Participation in Juvenile Justice 

Programs. Program Report. 

Department of Justice, Washington, DC. Office of Justice 

Programs.; Family Policy Compliance Office (ED), Washington, 

DC . NCJ-163705 

1997-06-00 

54p. 

Guides - Non-Classroom (055) -- ~egal/~egislative/~egulatory 

Materials (090) 

MFOl/PC03 Plus Postage. 

*Agency Cooperation; *Compliance (Legal); Confidential 

Records; *Disclosure; Elementary Secondary Education; 

*Federal Legislation; Federal Regulation; Government School 

Relationship; Information Policy; *Privacy; Recordkeeping; 

School Safety; Student Records; Student Rights 

IDENTIFIERS *Family Educational Rights and Privacy Act 1974 

ABSTRACT 

Maintaining safe schools requires the forging of 

partnerships to share information between schools and youth-serving agencies, 

including the police department, court system, youth parole and probation 

offices, and child protective services. All public elementary and secondary 

schools are subject to the Family Educational Rights and Privacy Act (FERPA), 

a federal law that governs the disclosure of information from education 

records. This guide is for educators, law enforcement personnel, juvenile 

justice professionals, and community leaders who are interested in developing 

interagency information-sharing agreements to fully involve the schools in a 

holistic approach to intervention and delinquency preventian. Educators and 

other youth-serving professionals will find clear directions on how to share 

information while complying with the FERPA. The guide provides an overview of 

FERPA, discusses the act's restrictions on information sharing and exceptions 

to those restr.ictions, explains recordkeeping requirements under the act, and 

summarizes recent changes to the regulations for implementing FERPA. The 

guide also explores the role of multiagency agreements in facilitating 

information sharing and looks at one effective program that relies on such 

agreements. Sources of technical assistance at the U.S. Department of 

Education and the U.S. Department of Justice are included. Appendices contain 

the FERPA regulations and sample documents. (LMI) 

* Reproductions supplied by EDRS are the best that can be made * 

* from the original document. * ................................................................................ 
U.S. Department of Justice

Office of Justice Programs

Office of Juvenile Justice and Delinquency Prevention

OFFICE OF JUSTICE PROGRAMS

BJA NIJ OJJDP BJS OVC

DEPARTMENT OF JUSTICE

Program Report

haring Information: haring Information:

A Guide to the Family Educational Rights and Privacy Act

and Participation in Juvenile Justice Programs

A Guide to the Family Educational Rights and Privacy Act

and Participation in Juvenile Justice Programs
i

Sharing Information:

A Guide to the Family Educational

Rights and Privacy Act and Participation

in Juvenile Justice Programs

Program Report

U.S. Department of Justice

Office of Juvenile Justice and Delinquency Prevention

U.S. Department of Education

Family Policy Compliance Office

Shay Bilchik, Administrator

Office of Juvenile Justice and Delinquency Prevention

June 1997
ii

The principal authors of this document are:

Michael L. Medaris, Office of Juvenile Justice and Delinquency Prevention

Ellen Campbell, Family Policy Compliance Office

Professor Bernard James, J.D., Pepperdine University School of Law

The Office of Juvenile Justice and Delinquency Prevention is a component of the Office of Justice

Programs, which also includes the Bureau of Justice Assistance, the Bureau of Justice Statistics, the

National Institute of Justice, and the Office for Victims of Crime.

The Family Policy Compliance Office is part of the Office of Management within the Department of

Education. The Family Policy Compliance Office administers the Family Educational Rights and

Privacy Act (FERPA).
iii

Foreword

The growth of serious and violent delinquency in our Nation and its impact on our schools concerns us all.

Every day, many children face fighting and other intimidating behavior at school or on the way to and from

school. In addition to the cost to children and their families, school violence may have broad and long lasting

effects on society because it disrupts education and diminishes students’ sense of security in their learning environment. Clearly then, providing safe schools is one of our most important responsibilities. Children must

feel safe and nurtured in school, and they must be challenged to learn rather than challenged to survive.

Maintaining safe schools requires the forging of partnerships to share information between schools and youthserving agencies, including the police department, court system, youth parole and probation offices, and child

protective services. These partnerships rely on effective information sharing among all the agencies responsible

for delivering services to children. Educators who see the first warning signs of delinquency or who have critical information about juveniles involved in the juvenile justice system can, by sharing information with other

justice and youth-serving agencies, help develop effective intervention strategies. At the other end of the spectrum, when the juvenile justice system is about to send an alleged or adjudicated juvenile offender back into

the regular school system, justice officials should notify the school of the timing and circumstances of the

student’s return so the school can take steps to provide needed support services to help the student succeed. In

addition, there are other circumstances in which it is both appropriate and necessary to share information to

ensure public safety and the welfare of our children.

This guide is for educators, law enforcement personnel, juvenile justice professionals, and community leaders

who are interested in developing interagency information sharing agreements to fully involve the schools in a

holistic approach to intervention and delinquency prevention. Educators and other youth-serving professionals

will find clear directions here on how to share information while complying with the Family Educational

Rights and Privacy Act.

It is our hope that this guide will be useful as communities and schools across America work to provide safe

havens for learning for our children.

Shay Bilchik

Administrator

Office of Juvenile Justice and Delinquency Prevention

U.S. Department of Justice

LeRoy Rooker

Director

Family Policy Compliance Office

U.S. Department of Education
v

Table of Contents

Foreword .............................................................................................................................................................. iii

Introduction ......................................................................................................................................................... 1

Information Sharing Between Schools and Other Youth-Serving Agencies Under the

 Family Educational Rights and Privacy Act......................................................................................... 3

The Prior Consent Requirement for Disclosure of Education Records ................................................... 4

Exceptions to the Prior Consent Requirement ............................................................................................ 4

Disclosures Under the Law Enforcement Unit Records Exception ....................................................... 5

Disclosures Under the Directory Information Exception ....................................................................... 7

Disclosures Under the Health or Safety Emergency Exception ............................................................. 7

Disclosures Under the State Law Juvenile Justice System Exception .................................................. 8

Recordkeeping Requirements Under the Family Educational Rights and Privacy Act ....... 11

Administration of the Family Educational Rights and Privacy Act............................................... 13

The U.S. Department of Education’s Family Policy Compliance Office ............................................... 13

Family Educational Rights and Privacy Act Regulations......................................................................... 13

The Family Educational Rights and Privacy Act and State Laws ........................................................... 13

Multiagency Agreements To Facilitate Cooperation and Information Sharing...................... 15

Purpose ........................................................................................................................................................... 15

Legal Considerations ..................................................................................................................................... 15

An Effective Program Based on Multiagency Agreements: the Serious Habitual

Offender Comprehensive Action Program................................................................................................. 16

Conclusion .......................................................................................................................................................... 19

Sources of Technical Assistance ............................................................................................................... 21

U.S. Department of Education .................................................................................................................... 21

U.S. Department of Justice ......................................................................................................................... 21

Office of Juvenile Justice and Delinquency Prevention Information Sharing Initiatives................... 21
vi

Appendixes

Appendix A: Family Educational Rights and Privacy Act Regulations........................................ A–1

Appendix B: Model Notification of Rights Under FERPA for Elementary and Secondary

Institutions .................................................................................................................... B–1

Appendix C: Sample Court Orders ................................................................................................... C–1

Appendix D: Model Interagency Agreement.................................................................................... D–1

Appendix E: Model State Statutes .................................................................................................... E–1
1

Introduction

In an era of scarce resources and alarming juvenile

violence, all agencies serving children and families

need to maximize their ability to share information

so they can coordinate their services to make them

more effective. When State and local agencies begin

to implement comprehensive strategies for addressing juvenile delinquency, the cooperation of schools

in sharing information about students is critical to

the success of these efforts. Educators hold a unique

position of influence in the children’s lives. Consequently, the Nation’s schools can be invaluable partners with the juvenile justice and other systems—

including the social service, health, and mental

health systems—as they seek to serve the needs of

those students at high risk for delinquency. No

student’s needs should be neglected—and no school

community should go unprotected—because of confusion over the extent of the right to privacy.

Educators typically approach participation in

agency information sharing programs with caution

because they have legitimate concerns about the

privacy of students and their families. To a large

extent, their caution reflects an awareness of legal

restrictions on information sharing. All public elementary and secondary schools are subject to the

Family Educational Rights and Privacy Act

(FERPA) (20 U.S.C. § 1232g), a Federal law that

governs the disclosure of information from education records. Some States have similar privacy and

confidentiality laws that also address the issue of

sharing information from education records.

This guide provides basic information on FERPA

for elementary and secondary education professionals and those involved in delivery of services to juveniles, including those students involved in the

juvenile justice system. The information in the guide

makes it clear that FERPA need not be an impediment to full participation by educators in their

community’s efforts to serve the needs of juveniles.

Educators and those providing services to our children share a common ultimate goal: to see all children grow and thrive in safe homes, schools, and

communities and become healthy, productive members of society.

The guide provides an overview of FERPA, discusses the Act’s restrictions on information sharing

and exceptions to those restrictions, explains

recordkeeping requirements under the Act, and

summarizes recent changes to the regulations for

implementing FERPA. Examples are provided to

illustrate some key points. The guide also explores

the role of multiagency agreements in facilitating

information sharing and looks at one effective program that relies on such agreements. Sources of

technical assistance are given in the guide, including

a brief summary of the Office of Juvenile Justice

and Delinquency Prevention’s (OJJDP’s) information sharing initiatives. For convenient reference,

the FERPA regulations are included in appendix A.

In addition, four appendixes (B through E) present

information for schools, other youth-serving agencies and organizations, and the juvenile justice and

related systems to use in developing a juvenile justice network that will enable them to work together

to address the problems of youth who are delinquent

or at risk of becoming delinquent.

Although portions of the guide may also be of interest to educators at colleges and universities, the issues specific to that audience are beyond the scope

of this work. Educators of postsecondary institutions should examine the text and regulations of

FERPA independently and seek additional sources

for guidance.
3

Information Sharing Between Schools and

Other Youth-Serving Agencies Under the

Family Educational Rights and Privacy Act

The Family Educational Rights and Privacy Act

(FERPA) is a complex Federal law that protects the

privacy interests of parents and students with regard

to education records. It affects every public elementary and secondary school and virtually every

postsecondary institution in the country. First enacted in 1974, FERPA has been amended by Congress seven times, most recently through the

Improving America’s Schools Act of 1994 (IASA).

FERPA defines the term “education records”

broadly to include all records, files, documents, and

other materials, such as films, tapes, or photographs,

containing information directly related to a student

that an education agency or institution or a person

acting for the agency or institution maintains. For

example, education records include information that

schools maintain on students in report cards, surveys and assessments, health unit records, special

education records, and correspondence between the

school and other entities regarding students. Education records also include information that a school

maintains about parents.

Examples of Valid Disclosures Under FERPA—

Jane

Jane, 10, has been reported to the child protective services agency as a possible sex abuse victim.

The agency contacts Jane’s teachers to determine

if Jane has exhibited any unusual behavior. FERPA

permits Jane’s teachers to share information about

their observations regarding Jane. Oral information

based on personal observation or knowledge is

not subject to the provisions of FERPA.

Generally, FERPA gives parents the right to inspect

and review their children’s education records, request amendment of the records, and have some

control over the disclosure of information from the

records. When a student turns 18 or enters college,

FERPA classifies him or her as an “eligible student”

and transfers the rights under the Act from the parent to the student. FERPA requires school districts

to notify parents and eligible students annually of

their rights under the Act. (See appendix B for a

sample notification document.)

The recent IASA amendments to FERPA enhanced

the penalty for improperly disclosing information

from education records. FERPA now prohibits a

school from providing information for at least 5

years to a third party who received information and

redisclosed it without the required consent.

Examples of Valid Disclosures Under FERPA—

Ryan (Part I)

Ryan, 13, is adjudicated delinquent for breaking

into a warehouse. As this is his first offense, the

court returns Ryan to school and shares information about the offense with the school. FERPA

does not govern the decision by local juvenile

justice system officials to divulge this information

to the schools. Schools may receive and use

information from law enforcement, courts, and

other justice system components in order to

provide services to Ryan and to maintain a safe

and effective learning environment. However,

once the information on Ryan is received and

maintained by the school, it is subject to FERPA

and exceptions.
4

The Prior Consent Requirement

for Disclosure of Education

Records

For elementary or secondary school students,

FERPA restricts the release of their school records

or information from their records that could identify the student (“personally identifiable information”). Before releasing such records or

information to a party outside the school system,

the school must obtain the consent of the student’s

parents unless the student is 18 or over, in which

case only the student can consent to the release, or

unless the release falls under one of the exceptions

to the consent requirement.

Educators are free to share information with other

agencies or individuals concerning students based

on their personal knowledge or observation, provided the information does not rely on the contents

of an education record. Oral referrals to other agencies based on personal observations are not subject

to the provisions of FERPA. Of course, the process

of interagency information sharing is a dynamic

process, and educators should take care not to circumvent the requirements of FERPA by making a

referral that is predicated on knowledge obtained

from education records.

Exceptions to the Prior Consent

Requirement

Statutory exceptions applicable to the prior consent

requirement are set forth in detail under § 99.31 of the

FERPA regulations. As a general rule, educators may

disclose information without prior consent if they can

answer yes to any of the following questions.

Is the disclosure being made—

◆ To other school officials, including teachers,

within the school or school district who have been

determined to have legitimate educational interests? (A school official has a legitimate educational interest if the official needs to review an

education record in order to fulfill his or her professional responsibility.) (See § 99.31(a)(1) of the

FERPA regulations.)

◆ To officials of another school, school system, or

postsecondary institution where the student seeks

or intends to enroll? (See § 99.34 of the FERPA

regulations.)

◆ To authorized representatives of the Comptroller

General of the United States, the U.S. Secretary

of Education, or State and local education authorities? This exception applies only under certain conditions. Typically, disclosures under this

provision must be in connection with an audit or

evaluation of a Federal- or State-supported education program or in compliance with Federal

legal requirements related to those programs.

(See § 99.35 of the FERPA regulations.)

◆ In connection with the student’s application for or

receipt of financial aid? (See § 99.31(a)(4) of the

FERPA regulations.)

◆ To State and local officials or authorities in compliance with a State statute that concerns the juvenile justice system and the system’s ability to

effectively serve, prior to adjudication, the student whose records are being released? (This

condition is discussed further in “Disclosures

Under the Juvenile Justice System Exception,”

p. 8.) (See § 99.31(a)(5) and § 99.38 of the

FERPA regulations.)

◆ To organizations conducting studies for, or on

behalf of, education agencies or institutions, in

order to develop tests, administer student aid, or

improve instruction? (See § 99.31(a)(6) of the

FERPA regulations.)

◆ To accrediting organizations to carry out their

accrediting functions? (See § 99.31(a)(7) of the

FERPA regulations.)

◆ To parents of a dependent student, as defined by

the Internal Revenue Code, even if the student is

an “eligible student” under FERPA? (See § 99.31

(a)(8) of the FERPA regulations.)

◆ To comply with a judicial order or lawfully issued

subpoena? The regulations direct the school to

make a reasonable effort to notify the parent or

eligible student of the court order or subpoena in

advance of compliance. (See appendix C for

sample court orders.) However, the IASA amend-
5

ments removed this notification requirement for

instances in which a court or other agency issues

either a Federal Grand Jury subpoena or a subpoena for a law enforcement purpose and the

court has ordered the school not to disclose the

existence of the subpoena. (See § 99.31(a)(9) of

the FERPA regulations.)

◆ In connection with a health or safety emergency?

(See § 99.31(a)(10) of the FERPA regulations.

See also “Disclosures Under the Health or Safety

Emergency Exception,” p. 7.)

◆ To teachers and school officials in other schools

who have legitimate educational interests in the

behavior of the student when the information

concerns 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? (See § 99.36 of the FERPA regulations.)

◆ To provide information that the school district has

designated as “directory information”? (See

§ 99.37 of the FERPA regulations. See also “Disclosures Under the Directory Information Exception,” p. 7).

◆ To provide information from the school’s law enforcement unit records? (See § 99.3 definition of

“education records” and § 99.8 of the FERPA

regulations. See also “Disclosures Under the Law

Enforcement Unit Records Exception,” p. 5).

Four of the exceptions specified above require additional explanation:

◆ Disclosures Under the Law Enforcement Unit

Records Exception.

◆ Disclosures Under the Directory Information

Exception.

◆ Disclosures Under the Health or Safety Emergency Exception.

◆ Disclosures Under the Juvenile Justice System

Exception.

Each of these types of disclosures is discussed in the

sections that follow.

Disclosures Under the Law Enforcement

Unit Records Exception

Under FERPA, schools may disclose information

from “law enforcement unit records” to anyone—

Federal, State, or local law enforcement authorities,

social service agencies, or even the media—without

the consent of the parent or eligible student. FERPA

specifically exempts from the definition of “education records”—and thereby from the restrictions of

FERPA—records that a law enforcement unit of a

school or school district creates and maintains for a

law enforcement purpose. In some instances, State

open records laws may require that schools provide

public access to law enforcement unit records because FERPA does not protect these records. (Educators may wish to check with their State attorney

general’s office on this point.)

Examples of Valid Disclosures Under FERPA—

Rodney, Jeff, and Mark (Part I)

A School Resource Officer (SRO) who is a member

of the school’s law enforcement unit receives a

report from the local police department that

Rodney, Jeff, and Mark are active members of the

Five Crew gang. The SRO creates a file and places

the report in it. The SRO also informs the principal,

who makes appropriate notations in each

student’s education record. Several weeks later, a

detective from a neighboring jurisdiction contacts

the SRO. The detective is investigating a rideby

shooting involving gangs at a basketball game

between the two schools. FERPA does not restrict

the SRO from sharing information about the Five

Crew members from the law enforcement unit

record with the investigator.

A “law enforcement unit” is an individual, office,

department, division, or other component of a school

or school district—such as a unit of commissioned

police officers or noncommissioned security

guards—that is officially authorized or designated

by the school district to (1) enforce any Federal,

State, or local law, or (2) maintain the physical security and safety of schools in the district. Educators

may employ commissioned police officers who are

responsible for enforcing laws or officially designate
6

an individual in the school district to carry out the

responsibilities of a law enforcement unit.

Additionally, some school districts make special arrangements with local law enforcement authorities

for the purpose of maintaining safe and drug-free

schools. Although the Departments of Justice and

Education encourage schools without separate law

enforcement units to develop working relationships

with local police authorities, compliance with

FERPA calls for certain precautions. School districts should use a contract or memorandum of understanding to officially designate a local police

officer(s) as the district’s law enforcement unit.

Without this designation, FERPA would prohibit

the school from disclosing information from a

student’s education records, unless one of the other

exceptions to FERPA applies, such as the health or

safety exception. Regardless of whether the school

district has designated one individual or a group of

commissioned officers as the law enforcement unit,

the district should include this designation in the

annual notification of rights to parents and students

under the section concerning the disclosure of information to school officials with a legitimate educational interest in the records. This is so that schools

may freely share information about students with

their law enforcement units and so that parents and

students will know that information from education

records may be disclosed for the purpose of maintaining safe schools.

Because this FERPA exemption applies specifically

to records that a law enforcement unit creates and

maintains for a law enforcement purpose, FERPA

would protect records that the law enforcement unit

created for a purpose other than law enforcement—

even when they are in the possession of the law enforcement unit. On the other hand, even if the law

enforcement unit shares with another component of

the school a copy of a record the unit created for a

law enforcement purpose, FERPA would not restrict dissemination of the records maintained by the

law enforcement unit.

Law enforcement unit records should not be confused

with the records of a school’s disciplinary actions or

proceedings, which are education records. Although

schools may disclose information from their law enforcement unit to other school officials (including

educators in other schools), the copy that the law enforcement unit gives to a principal or other school

official becomes an education record once that official

receives and maintains it. As such, the information is

subject to FERPA and the principal or other official

cannot disclose it to a third party without prior parental consent, unless one of the other exceptions to

FERPA applies. However, the original document that

the law enforcement unit created and maintained,

which relates to activity that formed the basis for subsequent disciplinary actions or proceedings, does not

become an education record merely because the unit

shared it with another component of the school or

because a copy is placed in the student’s education

file. It is, therefore, disclosable like other law enforcement unit records.

Examples of Valid Disclosures Under FERPA—

Donna and Linda

Donna, 13, and Linda, 14, get into an argument

and begin shoving each other. A school resource

officer (SRO), who is a member of the school’s

law enforcement unit, separates them and makes

an incident report. Several days later, the SRO

again breaks up a fight between the two girls

and makes another incident report. Copies of

the two incident reports are forwarded from the

law enforcement unit to the Assistant Principal

who is responsible for school discipline. Because

this is the second time the girls have been

involved in a fight, they are suspended for a day.

The incident reports that provided the basis of

the disciplinary hearing and the disposition are

entered into each girl’s education record.

Several days later, Donna and Linda see each

other at a neighborhood record store and begin

fighting again. The police are called and take the

girls into custody. An officer contacts the school

SRO and learns that Donna and Linda have

gotten into fights at school. While the record of

the school discipline hearing is an education

record that is subject to FERPA constraints, the

incident reports created and maintained by the

SRO are disclosable under the law enforcement

unit record exception.

It should be noted that nothing in FERPA prevents

a school official from disclosing to local law enforce-
7

ment authorities information that is based on that

official’s personal knowledge or observation and not

from an education record. As long as the reporting

of the information does not rely on information contained in education records, FERPA does not restrict

the reporting of crime to local law enforcement.

For instance, if a teacher were to observe that a student is involved in a gang or in illegal activities,

FERPA would not prevent that teacher from reporting the student to law enforcement authorities.

Should the authorities decide to investigate the

teacher’s observations and need information from

the student’s education record, they should obtain a

subpoena unless circumstances trigger one of the

other exceptions under FERPA.

Disclosures Under the Directory

Information Exception

A school can disclose “directory information” from

the education record without prior parental consent

after giving notice of its intention to do so. “Directory information” is information in a student’s education records that is not generally considered

harmful, and its release is not considered an invasion

of the student’s privacy. A critical distinction exists

between directory information and all other information present in school files. School districts can

choose how much directory information from education records they will disclose. Directory information includes, but is not limited to, the following data

about the student:

♦ Name.

♦ Address and telephone.

◆ Date and place of birth.

◆ Major field of study.

◆ Official activities.

◆ Dates of attendance (“from and to” dates of

enrollment).

◆ Height and weight for sports.

◆ Degrees and honors received.

◆ Most recent previous education institution.

◆ Photograph.

The Department of Education considers these items

to be directory information. In most instances, disclosure is helpful to both the institution and the student. However, school districts must establish a

policy and give notice as to the specific types of directory information they intend to disclose. Parents

can, however, retain the right to consent to the disclosure of directory information. Parents who wish

to retain this right must so advise the school. (See

§ 99.3 and 99.37 of the FERPA regulations.)

With the passage of the juvenile justice system exception, discussed on p. 8, education records, including

directory information, may be shared with juvenile

justice system agencies, prior to adjudication of the

student, to the extent that State law allows.

Disclosures Under the Health or Safety

Emergency Exception

The health or safety emergency provision is a

commonsense acknowledgment that there may be

situations when the immediate need for information

to avert or diffuse certain unusual conditions or disruptions requires the release of information. Educators determine what constitutes an “emergency,” but

FERPA requires that they construe the term strictly.

For example, on-campus disruptions that constitute

criminal acts, particularly those involving weapons

and drugs, fall within the scope of the term, as do

crisis situations off campus that affect school campuses or the public health or safety. When a health

or safety emergency exists, schools may share relevant information about students involved in the

emergency with appropriate parties—that is, those

whose knowledge of the information is necessary to

protect the health or safety of the student or other

individuals. (See discussion of recordation requirements on p. 11.)
8

Examples of Valid Disclosures Under FERPA—

Rodney, Jeff, and Mark (Part II)

The principal receives information from a

student that members of Five Crew are planning

an assault at the other high school in retaliation

for the previous shooting. Under the emergency exception, the principal can provide

information from each student’s education

record to the appropriate school officials and

law enforcement agencies.

Disclosures Under the State Law Juvenile

Justice System Exception

FERPA allows schools to play a vital role in a

community’s efforts to identify children who are at

risk of delinquency and provide services prior to a

child’s becoming involved in the juvenile justice system. The 1994 IASA amendments modified FERPA

to permit educators to share information with juvenile justice system agency officials on children who

are at risk of involvement or have become involved

in the juvenile justice system, prior to adjudication,

to the extent State statute allows. System officials to

whom the information is disclosed must certify in

writing that they will not disclose personally identifiable information to any third party except as provided by State law. Consequently, schools in States

with such statutes may disclose information about

students to other State and local agencies as part of

an effort to serve the student whose records are being released, prior to adjudication. As more and

more States establish information sharing programs

to serve students through cooperation with the juvenile justice system, the emphasis on neighborhood

school participation in interagency information sharing agreements will increase. FERPA need not be a

barrier to this progress toward proactive information sharing networks.

Examples of Valid Disclosures Under FERPA—

Mary

Mary, 13, is arrested for shoplifting. This is her first

offense, and the police department’s juvenile

division contacts the school for information

about Mary’s school attendance and academic

performance. The school can release school

attendance, academic performance, or other

information from Mary’s education record with

the consent of one of her parents. If State law

authorizes the disclosure to juvenile justice

system agencies, the school can share information from Mary’s education record without

parental consent. Absent such a State law, the

school should ask the police department to

obtain a subpoena for the records.

The juvenile justice system exception to FERPA’s

prior written consent provision allows the disclosure

of education records, or information from education

records, without consent of the parent or eligible student, if four conditions (see § 99.38 of the FERPA

regulations) are met:

(1) The disclosure or reporting of the records must

be to a State or local juvenile justice system

agency.

(2) The disclosure must be based on a State statute

authorizing the disclosure.

(3) If the State law was passed after November 19,

1974 (the date FERPA was enacted), the disclosure must relate to the juvenile system’s ability to serve, prior to adjudication, the student

whose records are being released.

(4) The State or local officials must certify, in writing, that the institution or individual receiving

the personally identifiable information has

agreed not to disclose it to a third party, other

than another juvenile justice system agency.

Adjudication is the process of determining whether

a juvenile has committed an act which, if committed

by an adult, would be considered criminal conduct.

The process is triggered by a “petition” alleging an

act of delinquency. The petition may result in a

finding or determination that the juvenile committed
9

the alleged act of delinquency. For the purposes of

FERPA, once this finding or determination is made

and the court has made a disposition of the case, the

juvenile would be considered an “adjudicated delinquent.” The disposition of a delinquency case is the

equivalent of a “sentence” in a criminal case.

The fact that a juvenile has been adjudicated delinquent is not, in and of itself, determinative of

whether the State law juvenile justice system exception for the release of information that concerns the

“juvenile justice system’s ability to effectively serve a

student prior to adjudication” is applicable.

If the juvenile justice system seeks the disclosure of

information on a student in order to identify and

intervene with a juvenile at risk of delinquency,

rather than to obtain information solely related to

supervision of an adjudicated delinquent, the juvenile could be classified as a preadjudicated delinquent for purposes of this exception. The Secretary

of Education believes that each school, working in

conjunction with State and local authorities, can

best determine whether a release of personally identifiable information from an education record “concerns the juvenile justice system’s ability to effectively serve a student prior to adjudication.” Thus,

FERPA gives schools flexibility in determining

whether an education record of a juvenile may be released without the prior written consent of the parent.

Florida provides an example of a State law that

allows State and local officials to make use of this

IASA amendment to FERPA. The State enacted

legislation requiring Florida’s Department of Juvenile Justice (DJJ) to establish an early delinquency

intervention program with the cooperation of local

law enforcement agencies, the judiciary, district

school board personnel, the office of the State’s Attorney, the office of the Public Defender, and community service agencies that work with children.

The Florida law specifies the type of information the

cooperating agencies are to share with DJJ and

directs specified agencies and persons to develop

information sharing agreements within each county.

The law states, “Within each county, the sheriff, the

chiefs of police, the district school superintendent

shall enter into an interagency agreement for the

purpose of sharing information about juvenile offenders. . . .The agreement must specify the condiExamples of Valid Disclosures Under FERPA—

Johnny (Part II)

Before the counselor can refer Johnny to an

appropriate agency, the police department picks

him up on the street at 2 a.m. on a school night.

No one is home when the police attempt to

contact the parents. Johnny spends the night in

a temporary foster home, and the police refer his

case to family services the next day. During the

assessment process, the agency contacts the

school and asks for information about Johnny’s

attitude and school performance. The school can

provide information from Johnny’s education

record if at least one of these conditions is met:

(1) A parent consents, or

(2) There is a court order or lawfully issued

subpoena directing the release of

information, or

(3) A State law authorizes information sharing

between educators and juvenile justice

agencies.

Examples of Valid Disclosures Under FERPA—

Johnny (Part I)

Johnny, 11, is having problems in school. He is

inattentive, does not complete homework

assignments, falls asleep in class, and is hostile to

some of the other children. When the school

counselor interviews him, Johnny is sullen and

unresponsive. The school counselor makes

several unsuccessful attempts to reach the

parents. In this situation, the teacher or the

counselor can share personal observations with a

family services agency but cannot rely on an

education record as the source of this personal

knowledge of Johnny’s situation. If, however,

State law authorizes the disclosure and the

receiving entity is a juvenile justice system agency,

the teacher or the counselor can, to the extent

authorized by State statute, then also use

information contained in Johnny’s education

record in making the referral. Thus, FERPA gives

schools flexibility in determining whether an

education record of a juvenile may be released

without the prior written consent of the parent.
10

tions under which summary criminal history information is to be made available to appropriate

school personnel, and the conditions under which

development records are to be made available to

appropriate department personnel.” In addition,

the law requires the school district to be notified

when a youth is arrested for a felony or a crime of

violence. FERPA further requires that juvenile

justice system agencies certify in writing that they

will not redisclose education records to any third

party except as provided by State law.
11

A school district must follow certain FERPA

recordkeeping requirements. Section 99.32 of the

FERPA regulations requires that schools maintain

with each student’s education records a record of all

individuals, agencies, or organizations that requested

or obtained access to the student’s education records,

specifying the legitimate interest that each party had

in obtaining the information. Accordingly, educators

should document all disclosures of information from a

student’s education records unless the request is from

and the disclosure is to one of the following:

♦ The parent or eligible student.

♦ A school official within the school system.

♦ A party with written consent from the parent or

eligible student.

♦ A party seeking directory information.

♦ A party requesting or receiving the records as

directed by a Federal grand jury or other law

enforcement subpoena when the issuing court or

agency has ordered that no one disclose the existence or the contents of the subpoena or the information furnished in response to the subpoena.

Recordkeeping Requirements Under the

Family Educational Rights and Privacy Act

Examples of Valid Disclosures Under FERPA—

Ryan (Part II)

Ryan, now 14, is adjudicated delinquent for

breaking into several vehicles on a parking lot.

This is his second offense. As a condition of his

probation, the court orders Ryan to attend

school regularly and to achieve passing grades in

his classes. FERPA does not prevent a school

from receiving information about Ryan’s status as

an adjudicated delinquent. The school, in turn,

can assist juvenile probation by providing

information from Ryan’s education record

concerning Ryan’s attitude and performance in

school. However, because of the fact that Ryan

has been adjudicated and the information being

sought is solely related to Ryan's status as an

adjudicated delinquent, his school can only

provide this information if one of the following

conditions is met:

(1) A parent consents, or

(2) There is a court order or lawfully issued

subpoena directing the release of the

information.
13

Administration of the Family Educational

Rights and Privacy Act

The U.S. Department of

Education’s Family Policy

Compliance Office

The Family Policy Compliance Office in the U.S.

Department of Education administers FERPA. The

Office provides technical assistance on FERPA to

education agencies and institutions, State and local

officials, and parents. The Office also investigates

alleged violations of the law.

Family Educational Rights and

Privacy Act Regulations

Another responsibility of the Family Policy Compliance Office is to develop and issue regulations to aid

in effective administration of FERPA. On November

21, 1996, the Department of Education published

regulations to implement the IASA amendments to

FERPA. At the same time, in an effort to reduce the

burden on schools and to streamline the complaint

procedures, the Department of Education also revised

the FERPA regulations to do the following:

♦ Give schools greater flexibility by removing the

requirement for adoption of a formal written student records policy.

♦ Require schools to include additional information

in the mandatory annual notification of rights so

that parents and students will receive more effective notification of their rights and procedures to

pursue them. (A sample notification is included in

appendix B.)

♦ Clarify FERPA requirements for State education

agencies (SEA’s) to afford parents access to any

education records that SEA’s maintain on their

children.

♦ Clarify what constitutes legal standing to file

FERPA complaints with the Department of Education. The complainant must be a parent or an

eligible student affected by an alleged violation.

♦ Clarify the requirement that a school district

make a reasonable effort to notify in advance the

parent or student of its intent to disclose information from education records to a court in cases

where a school district is initiating legal action

against a parent or student.

The Family Educational Rights and

Privacy Act and State Laws

If a school wishes to continue to receive Federal

funds, the recipient must comply with FERPA’s

provisions on the disclosure of education records. (A

school district is considered a “recipient” if it receives any funds directly from a program administered by the Secretary of Education or is under the

auspices of a State education agency that receives

such funds.) Compliance with portions of a State

law that conflict with FERPA may jeopardize continued eligibility to receive Federal education funds.

If educators believe that a State law conflicts with

FERPA, they should bring this to the attention of

appropriate State officials.
15

Multiagency Agreements To Facilitate

Cooperation and Information Sharing

Purpose

Multiagency agreements formulated to be consistent

with Federal, State, and local laws provide an organizing framework for State and local juvenile justice

reform efforts. These agreements are crucial to the

development of a juvenile justice network. Typically

agencies involved in these agreements provide a

wide range of services to juveniles. Parties to such

an agreement may be child welfare, mental health,

and social services agencies; licensed private community organizations; law enforcement agencies;

juvenile courts; district attorney (or State’s attorney), probation, corrections, and public defenders

offices; and local schools.

Generally, delinquency prevention and intervention,

community safety, efficiency, and coordination are

the objectives that drive the development of

multiagency agreements. More specifically, these

objectives may include the following:

♦ Providing appropriate programs and services to

intervene with juveniles currently involved in the

juvenile justice system.

♦ Providing appropriate programs and services

designed to deter at-risk juveniles from delinquent behavior.

♦ Increasing the safety and security of the community and its children by reducing juvenile crime.

♦ Eliminating duplication of services.

♦ Coordinating efforts to share resources and training programs.

The contents of interagency agreements underscore

the commitment of each agency to offer a maximum

degree of cooperation and planning to achieve the

group objectives. Typically these agencies agree to

participate in interagency planning and development

meetings, assign staff to participate in consolidated

case management systems where feasible, develop

internal policies and procedures to implement the

agreement to the fullest extent, and comply with Federal and State laws in implementing the agreement.

Other provisions of the agreement may identify the

unique role of each agency. Law enforcement officials might agree, for example, to promptly notify

other agencies when juveniles are arrested for truancy or certain violent crimes. The juvenile court

might agree to provide periodic information on the

disposition of cases or seek input from agencies on

dispositional alternatives. The probation office might

agree to share information about the move of a juvenile offender into or out of the jurisdiction and the

terms, if any, of probation. Other agencies might be

willing to share information on the achievement,

behavioral, and attendance history of juvenile offenders to improve assessment and proper treatment. Educators might also agree to make referrals

to appropriate agencies when students or staff commit certain offenses or exhibit at-risk behavior. (See

sample interagency agreement in appendix D.)

Legal Considerations

Relevant Federal and State record confidentiality

laws can resolve potential legal problems that arise

in connection with interagency agreements. Laws

that govern the activities of each State agency may

also create standards for information sharing. Policies on juvenile record information vary greatly from

State to State. For example, some States treat juvenile court records as public information (see Washington Revised Code 13.50.050; 13.50.010). Other

States permit access to court records only by the
16

juvenile and the agencies directly involved in the

juvenile justice system. Most States use a method of

conditional disclosure of juvenile court records in

which a judge permits access to agencies that are not

a part of the juvenile justice system by court order

(see Pennsylvania Revised Code 6307, 6308).

State law may occasionally require local agencies to

share information. Some States direct law enforcement units to report arrest information to schools

when the arrest involves violent offenses of an enrolled student (see Florida Statutes 39.045). Other

States require the formation of interagency teams

for specific purposes (see Illinois Statutes, Chapter

75, Section 405/1–8.2). State law may also regulate

the disclosure of records that other child care agencies maintain on juveniles. These laws should be

consulted as well. All agencies are vital components

of a comprehensive local strategy to combat juvenile

delinquency. Those interested in developing a comprehensive local strategy should identify State laws

that frustrate strategies of local teams to share files

of record information and advocate for their appropriate reform. Statutes from Florida and Illinois (see

appendix E) illustrate comprehensive legislative

approaches to delinquency prevention designed to

both prevent delinquency and intervene in the lives

of at-risk juveniles.

An Effective Program Based on

Multiagency Agreements: the

Serious Habitual Offender

Comprehensive Action Program

A current example of multiagency agreements that

unify community resources to improve the delivery of

services to juveniles is the Serious Habitual Offender

Comprehensive Action Program (SHOCAP). When

research indicated that a small proportion of offenders

commit most serious and violent juvenile crime,

OJJDP introduced the Serious Habitual Offender/

Drug-Involved Program in 1983. SHOCAP, which

grew out of those initial efforts, seeks to improve public safety by involving those agencies working within

the juvenile justice system, for example, law enforcement, prosecution, education, probation, corrections,

and social services in a cooperative process to share

information and manage juvenile justice system agency

cases. The program provides the structure for focusing

attention on serious habitual offenders (SHO’s) and

enhances the quality and relevance of information

exchanged through active interagency collaboration.

SHOCAP has four main goals:

♦ To provide a structured, coordinated juvenile justice system focus on habitual juvenile offenders.

♦ To establish specific juvenile justice policies that

enhance the effectiveness of system procedures

for handling habitual juvenile offenders.

♦ To promote public safety by identifying, tracking,

arresting, and prosecuting the most violent habitual juvenile offenders.

♦ To identify pre-Serious Habitual Offender juveniles (pre-SHO’s) and provide early intervention

services designed to prevent these juveniles’ development into SHO’s.

In short, SHOCAP identifies a community’s most

dangerous and violent juvenile offenders and focuses

community resources on immediate and aggressive

intervention, including detention, vertical prosecution, and enhanced sentences when they offend or

reoffend. The program prevents youth from falling

through the cracks by ensuring that relevant case

information is made available immediately for juvenile justice decisionmakers. With increased interagency cooperation and information sharing,

SHOCAP provides a framework for more efficient

service delivery by reducing duplicate services. This

increased efficiency allows SHOCAP programs to

establish additional early intervention and treatment

resources for pre-SHO youth before they become

more serious habitual offenders.
17

Examples of Valid Disclosures Under FERPA—

Ronald

Ronald has been involved in several strong-arm

robberies and is at risk of becoming a career

criminal offender. The county SHOCAP program

designates Ronald as a serious habitual offender

and develops a supervision and treatment

program. He is required to go to school each

day, attend a jobs program three times a week,

and go to counseling. Nothing in FERPA restricts

Ronald’s school from receiving information

regarding his SHO status. If there is a State law

authorizing information sharing with juvenile

justice system agencies, Ronald’s school can

assist in the treatment program by sharing

information from his education record about his

attendance, performance, and behavior with

other agencies providing supervision and services to Ronald.

Florida is developing a statewide SHOCAP program. The program involves a Federal and State

partnership: selected county sites receive SAFE

POLICY training, provided by OJJDP, and technical assistance, provided by the Florida Department

of Law Enforcement. Currently there are 26

SHOCAP sites in Florida with 5 additional sites

scheduled for implementation in 1997. For more

information regarding SHOCAP, please refer to

“Sources of Technical Assistance,” p. 21.

Schools are indispensable partners in effective

SHOCAP programs because adjudicated offenders

who are not placed in detention are likely to return

to campus. As noted previously, where State law

authorizes or directs disclosures, educators should

be advised when alleged juvenile offenders return to

the school population and given appropriate information about the youth’s offense and current status.

Educators can assist in this partnership, to the extent authorized by Federal and State law, by providing information to supervising agencies to better

assess the rehabilitation process by tracking attendance, academic achievement, and in-school behavior.
19

Conclusion

Educators can supply valuable information to other

agencies in a delinquency prevention network. In an

ideal information sharing system, a lively, two-way

exchange of information occurs with educators actively involved in the process. In this type of system,

each agency in the jurisdiction talks and listens. The

juveniles about whom they share a common interest

benefit from the synergy that unfolds.

Schools that operate outside the juvenile justice system agency information network are at the same

disadvantage as juvenile justice systems that operate

without school input. Disruptive and sometimes

dangerous youth are placed back onto campuses and

into school classrooms as a condition of court-ordered supervision without proper notification and

assessment of their needs, often with problems beyond the expertise available in the traditional school.

Students, faculty, and staff are placed at risk as the

school phase of probation unfolds without any realistic hope of proper supervision because school officials were not informed of the particular information

they needed to best serve the juvenile and protect

other students, faculty, and staff. Juvenile offenders

may be tempted to turn their invisibility on campus

into license for further lawlessness and disruptive

conduct.

It would be hard to overstate the need for educators to

share and receive information about student conduct.

There is no doubt, however, that without meaningful

information sharing between youth-serving agencies,

all the efforts of these agencies working independently

will not be enough to give the Nation’s children safe,

nurturing environments in which to grow.
21

Sources of Technical Assistance

U.S. Department of Education

One source of technical assistance is the Department of Education’s recent publication entitled

Strong Families, Strong Schools: Building Community

Partnerships For Learning. As this booklet points out,

research has shown that greater family involvement

in children’s learning is a critical link to achieving a

high-quality education and a safe, disciplined learning environment for every student. Strong Families,

Strong Schools is available from the Department of

Education (800–USA–LEARN).

The Department of Education encourages families

and schools to team up to make schools safer—a

precondition for learning—by establishing familyschool-community partnerships to make safe schools

a priority. Although FERPA does not allow schools

to share information on students with other parents,

schools can designate parents serving on a school or

interagency committee designed to address juvenile

delinquency as school officials with a legitimate educational interest. The sample FERPA notification of

rights to parents and students in appendix B includes language to cover this situation.

For more information about FERPA or its applicability to participation in Information Sharing Interagency Agreements, contact:

Family Policy Compliance Office

U.S. Department of Education

600 Independence Avenue SW.

Washington, DC 20202–4605

202–260–3887

E-mail: FERPA@ED.Gov

U.S. Department of Justice

Office of Juvenile Justice and

Delinquency Prevention Information

Sharing Initiatives

OJJDP’s training and technical assistance programs

stress the importance of interagency information sharing. The School Administrators for Effective Police,

Prosecution, Probation Operations Leading to Improved Children and Youth Services Program (SAFE

POLICY) is a week-long program directed at reducing juvenile violence in schools. The program stresses

improved use of information by developing interagency agreements that call for information sharing

and coordination of juvenile services.

The Chief Executive Officer Course is an intensive

1-day orientation for local executives of public and

private agencies that emphasizes information sharing

as a method for improving the juvenile justice system.

The Serious Habitual Offender Comprehensive

Action Program (SHOCAP) is presented as a module in the SAFE POLICY and Chief Executive

Training programs and is also available in a 40-hour

course designed to assist a SHOCAP jurisdiction in

developing its own unique interagency information

sharing agreement. The course requires the participation of policy level officials from law enforcement,

schools, juvenile detention/corrections, prosecution,

and social services.
22

Each of these courses has a module on laws and

policies that affect information sharing. They will

use this Guide as a resource for future presentations.

The courses also teach techniques and methods designed to maximize information sharing. Sample

State legislation, consent policies, and judicial orders

are also available to course participants.

In addition, OJJDP can provide direct technical

assistance upon request to individual jurisdictions

working on improving their information sharing.

To learn more about training and technical assistance related to information sharing, please contact:

Training and Technical Assistance Division

Office of Juvenile Justice and Delinquency

 Prevention

Office of Justice Programs

U.S. Department of Justice

633 Indiana Avenue NW., 7th Floor

Washington, DC 20531

202–307–5940

Educators, remember:

1. Notify parents and eligible students annually of their rights under FERPA.

2. Notify parents and eligible students annually of “directory information” designated

by the school.

3. Identify school officials and criteria for

legitimate educational interests in the annual notification of rights.

4. Designate a school official as the school’s

“law enforcement official,” if you do not

have a law enforcement unit.

5. Disclose education records only with parental consent or under one of the exceptions in FERPA.

6. Provide parents and eligible students access to education records within 45 days of

request.

7. The definition of “education records” under FERPA encompasses all records that

contain information on a student and are

maintained by a school, except those

records specifically exempted by law.

8. Give notice to parents or eligible students,

when appropriate, of a court order or subpoena for education records before compliance.

9. Inform third parties of 5-year penalty for

redisclosure of education records without

parental consent.

10. Keep records of disclosures to third parties.
A–1

Appendix A: Family Educational Rights and

Privacy Act Regulations

34 CFR Part 99

Subpart A—General

Section

99.1 To which educational agencies or institutions

do these regulations apply?

99.2 What is the purpose of these regulations?

99.3 What definitions apply to these regulations?

99.4 What are the rights of parents?

99.5 What are the rights of students?

99.7 What must an educational agency or institution

include in its annual notification?

99.8 What provisions apply to records of a law enforcement unit?

Subpart B—What Are the Rights

of Inspection and Review of

Education Records?

Section

99.10 What rights exist for a parent or eligible student to inspect and review education records?

99.11 May an educational agency or institution

charge a fee for copies of education records?

99.12 What limitations exist on the right to inspect

and review records?

Subpart C—What Are the

Procedures for Amending

Educating Records?

Section

99.20 How can a parent or eligible student request

amendment of the student’s education records?

99.21 Under what conditions does a parent or eligible student have the right to a hearing?

99.22 What minimum requirements exist for the

conduct of a hearing?

Subpart D—May an Educational

Agency or Institution Disclose

Personally Identifiable

Information From Education

Records?

Section

99.30 Under what conditions is prior consent required to disclose information?

99.31 Under what conditions is prior consent not

required to disclose information?

99.32 What recordkeeping requirements exist concerning requests and disclosures?

99.33 What limitations apply to the redisclosure of

information?

99.34 What conditions apply to disclosure of information to other educational agencies or institutions?
A–2

99.35 What conditions apply to disclosure of information for Federal or State program purposes?

99.36 What conditions apply to disclosure of information in health and safety emergencies?

99.37 What conditions apply to disclosing directory

information?

99.38 What conditions apply to disclosure of information as permitted by State statute adopted after

November 19, 1974 concerning the juvenile justice

system?

Subpart E—What Are the

Enforcement Procedures?

Section

99.60 What functions has the Secretary delegated to

the Office and to the Office of Administrative Law

Judges?

99.61 What responsibility does an educational

agency or institution have concerning conflict with

State or local laws?

99.62 What information must an educational agency

or institution submit to the Office?

99.63 Where are complaints filed?

99.64 What is the complaint procedure?

99.65 What is the content of the notice of complaint

issued by the Office?

99.66 What are the responsibilities of the Office in

the enforcement process?

99.67 How does the Secretary enforce decisions?

Subpart A—General

§ 99.1 To which educational agencies or

institutions do these regulations apply?

(a) Except as otherwise noted in § 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.

(b) This part does not apply to an educational

agency or institution solely because students attending that agency or institution receive non-monetary

benefits under a program referenced in paragraph

(a) of this section, if no funds under that program

are made available to the agency or institution.

(c) The Secretary considers funds to be made available to an educational agency or institution if funds

under one or more of the programs referenced in

paragraph (a) of this section—

(1) Are provided to the agency or institution by

grant, cooperative agreement, contract, subgrant, or

subcontract; or

(2) Are provided to students attending the agency or

institution and the funds may be paid to the agency

or institution by those students for educational purposes, such as under the Pell Grant Program and the

Guaranteed Student Loan Program (Titles IV-A-1

and IV-B, respectively, of the Higher Education Act

of 1965, as amended).

(d) If an educational agency or institution receives

funds under one or more of the programs covered

by this section, the regulations in this part apply to

the recipient as a whole, including each of its components (such as a department within a university).

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

§ 99.2 What is the purpose of these

regulations?

The purpose of this part is to set out requirements

for the protection of privacy of parents and students

under section 444 of the General Education Provisions Act, as amended.

(Authority: 20 U.S.C. 1232g)
A–3

NOTE: 34 CFR 300.560-300.576 contain requirements regarding confidentiality of information relating to handicapped children who receive benefits

under the Education of the Handicapped Act.

§ 99.3 What definitions apply to these

regulations?

The following definitions apply to this part:

“Act” means the Family Educational Rights and

Privacy Act of 1974, as amended, enacted as section

444 of the General Education Provisions Act.

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

“Attendance” includes, but is not limited to:

(a) Attendance in person or by correspondence; and

(b) The period during which a person is working

under a work-study program.

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

“Directory information” means information contained in an education record of a student which

would not generally be considered harmful or an

invasion of privacy if disclosed. It includes, but is

not limited to the student’s name, address, telephone

listing, date and place of birth, major field of study,

participation in officially recognized activities and

sports, weight and height of members of athletic

teams, dates of attendance, degrees and awards received, and the most recent previous educational

agency or institution attended.

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

“Disciplinary action or proceeding” means the investigation, adjudication, or imposition of sanctions by an

educational agency or institution with respect to an

infraction or violation of the internal rules of conduct

applicable to students of the agency or institution.

“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.

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

“Educational agency or institution” means any public or private agency or institution to which this part

applies under § 99.1(a).

(Authority: 20 U.S.C. 1232g(a)(3))

“Education records” (a) The term means those

records that are:

(1) Directly related to a student; and

(2) Maintained by an educational agency or institution or by a party acting for the agency or institution.

(b) The term does not include:

(1) Records of instructional, supervisory, and administrative personnel and educational personnel

ancillary to those persons that are kept in the sole

possession of the maker of the record, and are not

accessible or revealed to any other person except a

temporary substitute for the maker of the record;

(2) Records of the law enforcement unit of an educational agency or institution, subject to the provisions of § 99.8.

(3)(i) Records relating to an individual who is employed by an educational agency or institution, that:

(A) Are made and maintained in the normal course

of business;

(B) Relate exclusively to the individual in that

individual’s capacity as an employee; and

(C) Are not available for use for any other purpose.

(ii) Records relating to an individual in attendance

at the agency or institution who is employed as a

result of his or her status as a student are education

records and not excepted under paragraph (b)(3)(i)

of this definition.

(4) Records on a student who is 18 years of age or

older, or is attending an institution of postsecondary

education, that are:

(i) Made or maintained by a physician, psychiatrist,

psychologist, or other recognized professional or

paraprofessional acting in his or her professional

capacity or assisting in a paraprofessional capacity;
A–4

(ii) Made, maintained, or used only in connection

with treatment of the student; and

(iii) Disclosed only to individuals providing the

treatment. For the purpose of this definition, “treatment” does not include remedial educational activities or activities that are part of the program of

instruction at the agency or institution; and

(5) Records that only contain information about an

individual after he or she is no longer a student at

that agency or institution.

(Authority: 20 U.S.C. 1232g(a)(4))

“Eligible student” means a student who has reached

18 years of age or is attending an institution of

postsecondary education.

(Authority: 20 U.S.C. 1232g(d))

“Institution of postsecondary education” means an

institution that provides education to students beyond the secondary school level; “secondary school

level” means the educational level (not beyond grade

12) at which secondary education is provided as

determined under State law.

(Authority: 20 U.S.C. 1232g(d))

“Parent” means a parent of a student and includes a

natural parent, a guardian, or an individual acting as

a parent in the absence of a parent or a guardian.

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

“Party” means an individual, agency, institution, or

organization.

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

“Personally identifiable information” includes, but is

not limited to:

(a) The student’s name;

(b) The name of the student’s parent or other family

member;

(c) The address of the student or student’s family;

(d) A personal identifier, such as the student’s social

security number or student number;

(e) A list of personal characteristics that would

make the student’s identity easily traceable; or

(f) Other information that would make the student’s

identity easily traceable.

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

“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.

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

“Secretary” means the Secretary of the U.S. Department of Education or an official or employee of the

Department of Education acting for the Secretary

under a delegation of authority.

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

“Student,” except as otherwise specifically provided

in this part, means any individual who is or has been

in attendance at an educational agency or institution

and regarding whom the agency or institution maintains education records.

(Authority: 20 U.S.C. 1232g(a)(6))

§ 99.4 What are the rights of parents?

An educational agency or institution shall give full

rights under the Act to either parent, unless the

agency or institution has been provided with evidence that there is a court order, State statute, or

legally binding document relating to such matters as

divorce, separation, or custody that specifically revokes these rights.

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

§ 99.5 What are the rights of students?

(a) When a student becomes an eligible student, the

rights accorded to, and consent required of, parents

under this part transfer from the parents to the student.

(b) The Act and this part do not prevent educational

agencies or institutions from giving students rights

in addition to those given to parents.
A–5

(c) If an individual is or has been in attendance at one

component of an educational agency or institution,

that attendance does not give the individual rights as a

student in other components of the agency or institution to which the individual has applied for admission,

but has never been in attendance.

(Authority: 20 U.S.C. 1232g(d))

§ 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

§ 99.31 authorize disclosure without consent; and

(iv) File with the Department a complaint under

§§ 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 all of the following:

(i) The procedure for exercising the right to inspect

and review education records.

(ii) The procedure for requesting amendment of

records under § 99.20.

(iii) If the educational agency or institution has a

policy of disclosing education records under

§ 99.31(a)(1), a specification of criteria for determining who constitutes a school official and what

constitutes a legitimate educational interest.

(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.

(Approved by the Office of Management and Budget under control number 1880–0508)

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

§ 99.8 What provisions apply to records of

a law enforcement unit?

(a) (1) “Law enforcement unit” means any individual, office, department, division, or other component of an educational agency or institution, such as

a unit of commissioned police officers or non-commissioned security guards, that is officially authorized or designated by that agency or institution

to—

(i) Enforce any local, State, or Federal law, or refer

to appropriate authorities a matter for enforcement

of any local, State, or Federal law against any individual or organization other than the agency or institution itself; or

(ii) Maintain the physical security and safety of the

agency or institution.

(2) A component of an educational agency or institution does not lose its status as a “law enforcement

unit” if it also performs other, non-law enforcement

functions for the agency or institution, including

investigation of incidents or conduct that constitutes

or leads to a disciplinary action or proceedings

against the student.

(b) (1) Records of law enforcement unit means

those records, files, documents, and other materials

that are—
A–6

(i) Created by a law enforcement unit;

(ii) Created for a law enforcement purpose; and

(iii) Maintained by the law enforcement unit.

(2) Records of law enforcement unit does not

mean—

(i) Records created by a law enforcement unit for a

law enforcement purpose that are maintained by a

component of the educational agency or institution

other than the law enforcement unit; or

(ii) Records created and maintained by a law enforcement unit exclusively for a non-law enforcement purpose, such as a disciplinary action or

proceeding conducted by the educational agency or

institution.

(c) (1) Nothing in the Act prohibits an educational

agency or institution from contacting its law enforcement unit, orally or in writing, for the purpose

of asking that unit to investigate a possible violation

of, or to enforce, any local, State, or Federal law.

(2) Education records, and personally identifiable

information contained in education records, do not

lose their status as education records and remain

subject to the Act, including the disclosure provisions of § 99.30, while in possession of the law enforcement unit.

(d) The Act neither requires nor prohibits the disclosure by any educational agency or institution of

its law enforcement unit records.

(Authority: 20 U.S.C. 1232g(a) (4) (B) (ii))

Subpart B—What Are the Rights

of Inspection and Review of

Education Records?

§ 99.10 What rights exist for a parent or

eligible student to inspect and review

education records?

(a) Except as limited under § 99.12, a parent or eligible student must 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 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.

(c) The educational agency or institution, or SEA or

its component, shall respond to reasonable requests

for explanations and interpretations of the records.

(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.

(e) The educational agency or institution, or SEA or

its component, shall not destroy any education

records if there is an outstanding request to inspect

and review the records under this section.

(f) While an education agency or institution is not

required to give an eligible student access to treatment

records under paragraph (b)(4) of the definition of

“Education records” in § 99.3, the student may have

those records reviewed by a physician or other appropriate professional of the student’s choice.

(Authority: 20 U.S.C. 1232g(a)(1)(A) and (B))
A–7

§ 99.11 May an educational agency or

institution charge a fee for copies of

education records?

(a) Unless the imposition of a fee effectively prevents a parent or eligible student from exercising the

right to inspect and review the student’s education

records, an educational agency or institution may

charge a fee for a copy of an education record which

is made for the parent or eligible student.

(b) An educational agency or institution may not

charge a fee to search for or to retrieve the education records of a student.

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

§ 99.12 What limitations exist on the

right to inspect and review records?

(a) If the education records of a student contain

information on more than one student, the parent or

eligible student may inspect and review or be informed of only the specific information about that

student.

(b) A postsecondary institution does not have to

permit a student to inspect and review education

records that are:

(1) Financial records, including any information

those records contain, of his or her parents;

(2) Confidential letters and confidential statements

of recommendation placed in the education records

of the student before January 1, 1975, as long as the

statements are used only for the purposes for which

they were specifically intended; and

(3) Confidential letters and confidential statements

of recommendation placed in the student’s education

records after January 1, 1975, if:

(i) The student has waived his or her right to inspect

and review those letters and statements; and

(ii) Those letters and statements are related to the

student’s:

(A) Admission to an educational institution;

(B) Application for employment; or

(C) Receipt of an honor or honorary recognition.

(c)(1) A waiver under paragraph (b)(3)(i) of this

section is valid only if:

(i) The educational agency or institution does not

require the waiver as a condition for admission to or

receipt of a service or benefit from the agency or

institution; and

(ii) The waiver is made in writing and signed by the

student, regardless of age.

(2) If a student has waived his or her rights under

paragraph (b)(3)(i) of this section, the educational

institution shall:

(i) Give the student, on request, the names of the

individuals who provided the letters and statements

of recommendation; and

(ii) Use the letters and statements of recommendation only for the purpose for which they were intended.

(3)(i) A waiver under paragraph (b)(3)(i) of this

section may be revoked with respect to any actions

occurring after the revocation.

(ii) A revocation under paragraph (c)(3)(i) of this

section must be in writing.

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

(D))

Subpart C—What Are the

Procedures for Amending

Education Records?

§ 99.20 How can a parent or eligible

student request amendment of the

student’s education records?

(a) If a parent or eligible student believes the education records relating to the student contain information that is inaccurate, misleading, or in violation of

the student’s rights of privacy, he or she may ask the

educational agency or institution to amend the record.
A–8

(b) The educational agency or institution shall decide whether to amend the record as requested

within a reasonable time after the agency or institution receives the request.

(c) If the educational agency or institution decides

not to amend the record as requested, it shall inform

the parent or eligible student of its decision and of

his or her right to a hearing under § 99.21.

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

§ 99.21 Under what conditions does a

parent or eligible student have the right to

a hearing?

(a) An educational agency or institution shall give a

parent or eligible student, on request, an opportunity for a hearing to challenge the content of the

student’s education records on the grounds that the

information contained in the education records is

inaccurate, misleading, or in violation of the privacy

rights of the student.

(b)(1) If, as a result of the hearing, the educational

agency or institution decides that the information is

inaccurate, misleading, or otherwise in violation of

the privacy rights of the student, it shall:

(i) Amend the record accordingly; and

(ii) Inform the parent or eligible student of the

amendment in writing.

(2) If, as a result of the hearing, the educational

agency or institution decides that the information in

the education record is not inaccurate, misleading,

or otherwise in violation of the privacy rights of the

student, it shall inform the parent or eligible student

of the right to place a statement in the record commenting on the contested information in the record

or stating why he or she disagrees with the decision

of the agency or institution, or both.

(c) If an educational agency or institution places a

statement in the education records of a student under paragraph (b)(2) of this section, the agency or

institution shall:

(1) Maintain the statement with the contested part

of the record for as long as the record is maintained;

and

(2) Disclose the statement whenever it discloses the

portion of the record to which the statement relates.

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

§ 99.22 What minimum requirements

exist for the conduct of a hearing?

The hearing required by § 99.21 must meet, at a

minimum, the following requirements:

(a) The educational agency or institution shall hold

the hearing within a reasonable time after it has

received the request for the hearing from the parent

or eligible student.

(b) The educational agency or institution shall give

the parent or eligible student notice of the date, time,

and place, reasonably in advance of the hearing.

(c) The hearing may be conducted by any individual, including an official of the educational

agency or institution, who does not have a direct

interest in the outcome of the hearing.

(d) The educational agency or institution shall give

the parent or eligible student a full and fair opportunity to present evidence relevant to the issues raised

under § 99.21. The parent or eligible student may, at

their own expense, be assisted or represented by one

or more individuals of his or her own choice, including an attorney.

(e) The educational agency or institution shall make

its decision in writing within a reasonable period of

time after the hearing.

(f) The decision must be based solely on the evidence presented at the hearing, and must include a

summary of the evidence and the reasons for the

decision.

(Authority: 20 U.S.C. 1232g(a)(2))
A–9

Subpart D—May an Educational

Agency or Institution Disclose

Personally Identifiable

Information From Education

Records?

§ 99.30 Under what conditions is prior

consent required to disclose information?

(a) The parent or eligible student shall provide a

signed and dated written consent before an educational agency or institution discloses personally

identifiable information from the student’s education

records, except as provided in § 99.31.

(b) The written consent must:

(1) Specify the records that may be disclosed;

(2) State the purpose of the disclosure; and

(3) Identify the party or class of parties to whom the

disclosure may be made.

(c) When a disclosure is made under paragraph (a)

of this section:

(1) If a parent or eligible student so requests, the

educational agency or institution shall provide him

or her with a copy of the records disclosed; and

(2) If the parent of a student who is not an eligible

student so requests, the agency or institution shall

provide the student with a copy of the records disclosed.

(Authority: 20 U.S.C. 1232g(b)(1) and (b)(2)(A))

§ 99.31 Under what conditions is prior

consent not required to disclose

information?

(a) An educational agency or institution may disclose personally identifiable information from an

education record of a student without the consent

required by § 99.30 if the disclosure meets one or

more of the following conditions:

(1) The disclosure is to other school officials, including teachers, within the agency or institution whom

the agency or institution has determined to have

legitimate educational interests.

(2) The disclosure is, subject to the requirements of

§ 99.34, to officials of another school, school system,

or institution of postsecondary education where the

student seeks or intends to enroll.

(3) The disclosure is, subject to the requirements of

§ 99.35, to authorized representatives of:

(i) The Comptroller General of the United States;

(ii) The Secretary; or

(iii) State and local educational authorities.

(4)(i) The disclosure is in connection with financial

aid for which the student has applied or which the

student has received, if the information is necessary

for such purposes as to:

(A) Determine eligibility for the aid;

(B) Determine the amount of the aid;

(C) Determine the conditions for the aid; or

(D) Enforce the terms and conditions of the aid.

(ii) As used in paragraph (a)(4)(i) of this section,

“financial aid” means a payment of funds provided

to an individual (or a payment in kind of tangible or

intangible property to the individual) that is conditioned on the individual’s attendance at an educational agency or institution.

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

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

authorities to whom this information is specifically—

(A) Allowed to be reported or disclosed pursuant to

a 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
A–10

(B) Allowed to be reported or disclosed pursuant to

a State statute adopted after November 19, 1974,

subject to the requirements of § 99.38.

(ii) Paragraph (a)(5)(1) of this section does not

prevent a State from further limiting the number or

type of State or local officials to whom disclosures

may be made under that paragraph.

(6)(i) The disclosure is to organizations conducting

studies for, or on behalf of, educational agencies or

institutions to:

(A) Develop, validate, or administer predictive tests;

(B) Administer student aid programs; or

(C) Improve instruction.

(ii) The agency or institution may disclose information under paragraph (a)(6)(i) of this section only if:

(A) The study is conducted in a manner that does

not permit personal identification of parents and

students by individuals other than representatives of

the organization; and

(B) The information is destroyed when no longer

needed for the purposes for which the study was

conducted.

(iii) If this Office determines that a third party outside the educational agency or institution to whom

information is disclosed under this paragraph (a)(6)

violates paragraph (a)(6)(ii)(B) of this section, the

educational agency or institution may not allow that

third party access to personally identifiable information from education records for at least five years.

(iv) For the purposes of paragraph (a)(6) of this

section, the term “organization” includes, but is not

limited to, Federal, State, and local agencies, and

independent organizations.

(7) The disclosure is to accrediting organizations to

carry out their accrediting functions.

(8) The disclosure is to parents of a dependent student, as defined in section 152 of the Internal Revenue Code of 1954.

[Note: The above section should read “the Internal Revenue

Code of 1986.”]

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

order or lawfully issued subpoena.

(ii) The educational agency or institution may disclose information under paragraph (a)(9)(i) of this

section only if the agency or institution makes a reasonable effort to notify the parent or eligible student

of the order or subpoena in advance of compliance,

so that the parent or eligible student may seek protective action, unless the disclosure is in compliance

with—

(A) A Federal grand jury subpoena and the court

has ordered that the existence or the contents of the

subpoena or the information furnished in response

to the subpoena not be disclosed; or

(B) Any other subpoena issued for a law enforcement purpose and the court or other issuing agency

has ordered that the existence or the contents of the

subpoena or the information furnished in response

to the subpoena not be disclosed.

(iii) 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 the student’s education records that are

relevant to the action to the court without a court

order or subpoena.

(10) The disclosure is in connection with a health or

safety emergency, under the conditions described in

§ 99.36.

(11) The disclosure is information the educational

agency or institution has designated as “directory

information,” under the conditions described in

§ 99.37.

(12) The disclosure is to the parent of a student who

is not an eligible student or to the student.

(13) The disclosure is to an alleged victim of any

crime of violence, as that term is defined in Section

16 of title 18, United States Code, of the results of

any disciplinary proceeding conducted by an institution of postsecondary education against the alleged

perpetrator of that crime with respect to that crime.
A–11

(b) This section does not forbid an educational

agency or institution to disclose, nor does it require

an educational agency or institution to disclose, personally identifiable information from the education

records of a student to any parties under paragraphs

(a)(1) through (11) and (13) of this section.

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

(b)(2)(B), and (b)(6))

§ 99.32 What recordkeeping requirements

exist concerning requests and disclosures?

(a)(1) An educational agency or institution shall

maintain a record of each request for access to and

each disclosure of personally identifiable information from the education records of each student.

(2) The agency or institution shall maintain the

record with the education records of the student as

long as the records are maintained.

(3) For each request or disclosure the record must

include:

(i) The parties who have requested or received personally identifiable information from the education

records; and

(ii) The legitimate interests the parties had in requesting or obtaining the information.

(b) If an educational agency or institution discloses

personally identifiable information from an education record with the understanding authorized under

§ 99.33(b), the record of the disclosure required

under this section must include:

(1) The names of the additional parties to which the

receiving party may disclose the information on behalf of the educational agency or institution; and

(2) The legitimate interests under § 99.31 which

each of the additional parties has in requesting or

obtaining the information.

(c) The following parties may inspect the record

relating to each student:

(1) The parent or eligible student.

(2) The school official or his or her assistants who

are responsible for the custody of the records.

(3) Those parties authorized in § 99.3 1 (a)(1) and

(3) for the purposes of auditing the recordkeeping

procedures of the educational agency or institution.

(d) Paragraph (a) of this section does not apply if

the request was from, or the disclosure was to:

(1) The parent or eligible student;

(2) A school official under § 99.3 1 (a)(1);

(3) A party with written consent from the parent or

eligible student;

(4) A party seeking directory information; or

(5) A party seeking or receiving the records as directed by a Federal grand jury or other law enforcement subpoena and the issuing court or other

issuing agency has ordered that the existence or the

contents of the subpoena or the information furnished in response to the subpoena not be disclosed.

(Approved by the Office of Management and Budget under control number 1880–0508)

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

§ 99.33 What limitations apply to the

redisclosure of information?

(a)(1) An educational agency or institution may

disclose personally identifiable information from an

education record only on the condition that the

party to whom the information is disclosed will not

disclose the information to any other party without

the prior consent of the parent or eligible student.

(2) The officers, employees, and agents of a party

that receives information under paragraph (a)(1) of

this section may use the information, but only for

the purposes for which the disclosure was made.

(b) Paragraph (a) of this section does not prevent an

educational agency or institution from disclosing

personally identifiable information with the understanding that the party receiving the information

may make further disclosures of the information on

behalf of the educational agency or institution if:
A–12

(1) The disclosures meet the requirements of

§ 99.31; and

(2) The educational agency or institution has complied with the requirements of § 99.32(b).

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

disclosures made pursuant to court orders or to lawfully issued subpoenas under § 99.31(a)(9), to disclosures of directory information under §99.31(a)

(11), or to disclosures to a parent or student under

§ 99.31 (a)(12).

(d) Except for disclosures under § 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 § 99.33(a) of

this section, the educational agency or institution may

not allow that third party access to personally identifiable information from education records for at least

five years.

(Authority: 20 U.S.C. 1232g(b)(4)(B))

§ 99.34 What conditions apply to

disclosure of information to other

educational agencies or institutions?

(a) An educational agency or institution that discloses an education record under § 99.31(a)(2) shall:

(1) Make a reasonable attempt to notify the parent

or eligible student at the last known address of the

parent or eligible student, unless:

(i) The disclosure is initiated by the parent or eligible student; or

(ii) The annual notification of the agency or institution under § 99.7 includes a notice that the agency or

institution forwards education records to other agencies or institutions that have requested the records

and in which the student seeks or intends to enroll:

(2) Give the parent or eligible student, upon request,

a copy of the record that was disclosed; and

(3) Give the parent or eligible student, upon request,

an opportunity for a hearing under Subpart C.

(b) An educational agency or institution may disclose an education record of a student in attendance

to another educational agency or institution if:

(1) The student is enrolled in or receives services

from the other agency or institution; and

(2) The disclosure meets the requirements of paragraph (a) of this section.

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

§ 99.35 What conditions apply to

disclosure of information for Federal or

State program purposes?

(a) The officials listed in § 99.31(a)(3) may have

access to education records in connection with an

audit or evaluation of Federal or State supported

education programs, or for the enforcement of or

compliance with Federal legal requirements which

relate to those programs.

(b) Information that is collected under paragraph

(a) of this section must:

(1) Be protected in a manner that does not permit

personal identification of individuals by anyone except the officials referred to in paragraph (a) of this

section; and

(2) Be destroyed when no longer needed for the

purposes listed in paragraph (a) of this section.

(c) Paragraph (b) of this section does not apply if:

(1) The parent or eligible student has given written

consent for the disclosure under § 99.30; or

(2) The collection of personally identifiable information is specifically authorized by Federal law.

(Authority: 20 U.S.C. 1232g(b)(3))
A–13

§ 99.36 What conditions apply to

disclosure of information in health and

safety emergencies?

(a) An educational agency or institution may disclose personally identifiable information from an

education record to appropriate parties in connection with an emergency if knowledge of the information is necessary to protect the health or safety of the

student or other individuals.

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

educational agency or institution from—

(1) Including in the education records of a student

appropriate information concerning disciplinary

action taken against the student for conduct that

posed a significant risk to the safety or well-being of

that student, other students, or other members of the

school community;

(2) Disclosing appropriate information maintained

under paragraph (b)(1) of this section to teachers

and school officials within the agency or institution

who the agency or institution has determined have

legitimate educational interests in the behavior of

the student; or

(3) Disclosing appropriate information maintained

under paragraph (b)(1) of this section to teachers

and school officials in other schools who have been

determined to have legitimate educational interests

in the behavior of the student.

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

strictly construed.

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

§ 99.37 What conditions apply to

disclosing directory information?

(a) An educational agency or institution may disclose

directory information if it has given public notice to

parents of students in attendance and eligible students

in attendance at the agency or institution of:

(1) The types of personally identifiable information

that the agency or institution has designated as directory information;

(2) A parent’s or eligible student’s right to refuse to

let the agency or institution designate any or all of

those types of information about the student as directory information; and

(3) The period of time within which a parent or eligible student has to notify the agency or institution

in writing that he or she does not want any or all of

those types of information about the student designated as directory information.

(b) An educational agency or institution may disclose directory information about former students

without meeting the conditions in paragraph (a) of

this section.

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

§ 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 § 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))

Subpart E—What Are the

Enforcement Procedures?

§ 99.60 What functions has the Secretary

delegated to the Office and to the Office of

Administrative Law Judges?
A–14

(a) For the purposes of this subpart, “Office” means

the Family Policy Compliance Office, U.S. Department of Education.

(b) The Secretary designates the Office to:

(1) Investigate, process, and review complaints and

violations under the Act and this part; and

(2) Provide technical assistance to ensure compliance with the Act and this part.

(c) The Secretary designates the Office of Administrative Law Judges to act as the Review Board required under the Act to enforce the Act with respect

to all applicable programs. The term “applicable

program” is defined in section 400 of the General

Education Provisions Act.

(Authority: 20 U.S.C. 1232g(f) and (g), 1234)

§ 99.61 What responsibility does an

educational agency or institution have

concerning conflict with State or local

laws?

If an educational agency or institution determines

that it cannot comply with the Act or this part due to

a conflict with State or local law, it shall notify the

Office within 45 days, giving the text and citation of

the conflicting law.

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

§ 99.62 What information must an

educational agency or institution submit

to the Office?

The Office may require an educational agency or

institution to submit reports containing information

necessary to resolve complaints under the Act and

the regulations in this part.

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

§ 99.63 Where are complaints filed?

A parent or eligible student may file a written complaint with the Office regarding an alleged violation

under the Act and this part. The Office’s address is:

Family Policy Compliance Office, U.S. Department

of Education, Washington, D.C. 20202–4605.

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

§ 99.64 What is the complaint procedure?

(a) A complaint filed under § 99.63 must contain

specific allegations of fact giving reasonable cause to

believe that a violation of the Act or this part has

occurred.

(b) The Office investigates each timely complaint to

determine whether the educational agency or institution has failed to comply with the provisions of the

Act or this part.

(c) A timely complaint is defined as an allegation of

a violation of the Act that is submitted to the Office

within 180 days of the date of the alleged violation

or of the date that the complainant knew or reasonably should have known of the alleged violation.

(d) The Office extends the time limit in this section

if the complainant shows that he or she was prevented by circumstances beyond the complainant’s

control from submitting the matter within the time

limit, or for other reasons considered sufficient by

the Office.

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

§ 99.65 What is the content of the notice of

complaint issued by the Office?

(a) The Office notifies the complainant and the educational agency or institution in writing if it initiates

an investigation of a complaint under § 99.64(b).

The notice to the educational agency or institution—

(1) Includes the substance of the alleged violation;

and

(2) Asks the agency or institution to submit a written response to the complaint.

(b) The Office notifies the complainant if it does not

initiate an investigation of a complaint because the

complaint fails to meet the requirements of § 99.64.

(Authority: 20 U.S.C. 1232g(g))
A–15

§ 99.66 What are the responsibilities of

the Office in the enforcement process?

(a) The Office reviews the complaint and response

and may permit the parties to submit further written

or oral arguments or information.

(b) Following its investigation, the Office provides

to the complainant and the educational agency or

institution written notice of its findings and the basis

for its findings.

(c) If the Office finds that the educational agency or

institution has not complied with the Act or this

part, the notice under paragraph (b) of this section:

(1) Includes a statement of the specific steps that the

agency or institution must take to comply; and

(2) Provides a reasonable period of time, given all of

the circumstances of the case, during which the educational agency or institution may comply voluntarily.

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

§ 99.67 How does the Secretary enforce

decisions?

(a) If the educational agency or institution does not

comply during the period of time set under §99.66(c),

the Secretary may, in accordance with part E of the

General Education Provisions Act—

(1) Withhold further payments under any applicable

program;

(2) Issue a compliant to compel compliance through

a cease-and-desist order; or

(3) Terminate eligibility to receive funding under

any applicable program.

(b) If, after an investigation under § 99.66, the Secretary finds that an educational agency or institution

has complied voluntarily with the Act or this part,

the Secretary provides the complainant and the

agency or institution written notice of the decision

and the basis for the decision.

(Note: 34 CFR Part 78 contains the regulations of

the Education Appeal Board.)

[Please note that Part 78 has been removed from the

CFR and has been replaced with 34 CFR Part 81.]

(Authority: 20 U.S.C. 1232g(f); 20 U.S.C. 1234)

[These regulations are codified in 34 CFR Part 99 as

amended on November 21, 1996 (61 FR 59292).]
B–1

Appendix B: Model Notification of Rights

Under FERPA for Elementary and Secondary

Institutions

The Family Educational Rights and Privacy Act

(FERPA) affords parents and students over 18

years of age (“eligible students”) certain rights with

respect to the student’s education records. They are:

(1) The right to inspect and review the student’s

education records within 45 days of the day the

District receives a request for access.

Parents or eligible students should submit to the

school principal [or appropriate school official] a

written request that identifies the record(s) they

wish to inspect. The principal will make arrangements for access and notify the parent or eligible

student of the time and place where the records may

be inspected.

(2) The right to request the amendment of the

student’s education records that the parent or

eligible student believes are inaccurate or misleading.

Parents or eligible students may ask Alpha School

District to amend a record that they believe is inaccurate or misleading. They should write the school

principal, clearly identify the part of the record they

want changed, and specify why it is inaccurate or

misleading.

If the District decides not to amend the record as

requested by the parent or eligible student, the District will notify the parent or eligible student of the

decision and advise them of their right to a hearing

regarding the request for amendment. Additional

information regarding the hearing procedures will

be provided to the parent or eligible student when

notified of the right to a hearing.

(3) The right to consent to disclosures of personally

identifiable information contained in the student’s

education records, except to the extent that

FERPA authorizes disclosure without consent.

One exception which permits disclosure without

consent is disclosure to school officials with legitimate educational interests. A school official is a person employed by the District as an administrator,

supervisor, instructor, or support staff member (including health or medical staff and law enforcement

unit personnel); a person serving on the School

Board; a person or company with whom the District

has contracted to perform a special task (such as an

attorney, auditor, medical consultant, or therapist);

or a parent or student serving on an official committee, such as a disciplinary or grievance committee, or

assisting another school official in performing his or

her tasks.

A school official has a legitimate educational interest

if the official needs to review an education record in

order to fulfill his or her professional responsibility.

[Optional] Upon request, the District discloses education records without consent to officials of another

school district in which a student seeks or intends to

enroll. [NOTE: FERPA requires a school district to

make a reasonable attempt to notify the student of

the records request unless it states in its annual notification that it intends to forward records on request.]

(4) The right to file a complaint with the U.S.

Department of Education concerning alleged

failures by the District to comply with the requirements of FERPA. The Office that administers FERPA is:
B–2

Family Policy Compliance Office

U.S. Department of Education

600 Independence Avenue SW.

Washington, DC 20202–4605

[NOTE: In addition, a school may want to include

its directory information public notice, as required

by § 99.37 of the regulations, with its annual notification of rights under FERPA.]
C–1

Appendix C: Sample Court Orders

 Notice of Juvenile Court Disposition

 (On Agency Letterhead)

 Superintendent, Date: _________________________________

_________________________________ School District RE: __________________________________

Birthdate: _____________________________

Last school: ____________________________

In accordance with (Code, Section)

and with the Order of the Juvenile Court, you are hereby notified that the above-named minor was found by

the juvenile court to have:

❒ Used, possessed, or sold a controlled substance

Committed:

❒ Murder

❒ Arson

❒ Robbery

❒ Rape or another serious sex offense

❒ Kidnaping

❒ Attempted murder or serious assault

❒ Use or possession of a deadly or dangerous weapon

❒ Another offense that may be significant to school safety, specifically:

______________________________________________________________________________________

______________________________________________________________________________________

______________________________________________________________________________________

 On , the minor was placed ______________________________________________

_________________________________________________________________________________________

 with specific terms of probation to ____________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

_________________________________________________________________________________________

 Sincerely yours,

_______________________________

 Deputy Probation Officer CONFIDENTIAL

 Phone: _________________________ INFORMATION
C–2

Court Order Authorizing School-Probation Information Exchange

STATE OF ____________________________________________________________, SUPERIOR COURT

COUNTY OF __________________________________________________________ , JUVENILE COURT

ORDER OF THE JUVENILE COURT AUTHORIZING RELEASE AND EXCHANGE OF INFORMATION BETWEEN SCHOOL DISTRICTS AND PROBATION OFFICIALS

Pursuant to the authority vested in the Court by _________________________________________________

Code, Section ______________________________________________________________________________

IT IS HEREBY ORDERED that the Probation Department of ____________________________________

_____________________________ County and all school districts in _______________________________

County shall release information to each other regarding all minors and students under their supervision. Information that may be helpful in providing services, supervision, progress reports, advice to the juvenile court,

and educational placements, as well as in increasing school safety and other legitimate official concerns of both

agencies shall be shared by both agencies. Such information shall include, but is not limited to, academic, attendance, and disciplinary records; arrest and dispositional data; names of minors on probation and their assigned probation officers; and names of minors attending individual schools and their assigned teacher,

counselor, or other appropriate adult contact at the school site.

______________________________________ ________________________________________________

 DATE PRESIDING JUDGE, JUVENILE COURT
C–3

Court Order Allowing Interagency Information Exchange

STATE OF ____________________________________________________________, SUPERIOR COURT

COUNTY OF __________________________________________________________ , JUVENILE COURT

ORDER OF THE JUVENILE COURT AUTHORIZING RELEASE AND EXCHANGE OF

INFORMATION BETWEEN SCHOOL DISTRICTS, LAW ENFORCEMENT, PROSECUTORS,

COUNTY COUNSELS, CHILD PROTECTIVE SERVICES, AND PROBATION DEPARTMENT

OF ______________________________ COUNTY

Pursuant to the authority vested in the court by

(Code, Sections)

IT IS HEREBY ORDERED that juvenile court records and any other information that may be in the possession of school districts, law enforcement, prosecutors, county counsels, child protective services, and probation departments regarding minors may be released, for governmental purposes only, to the following

persons who have a legitimate and official interest in the information:

1. The minor

2. The minor’s attorney

3. The minor’s parents or guardians

4. Foster parents

5. All district attorneys offices

6. All law enforcement agencies

7. All county attorneys

8. All school districts

9. All probation departments

10. All public welfare agencies

11. All youth detention facilities

12. All corrections departments

13. Authorized court personnel

14. All courts

15. All treatment or placement programs that require the information for placement, treatment, or rehabilitation of the minor

16. All multidisciplinary teams for abuse, neglect, or delinquency

17. All juvenile justice citizens advisory boards

18. All State central information registries

19. All coroners

20. All victims may receive information from law enforcement, probation or the prosecutor to enable them to

pursue civil remedies. These same agencies may release information to identifiable potential victims that

a minor constitutes as a threat to their person or property. They may release the name, description, and

whereabouts of the minor and the nature of the threat toward the potential victim.

All information received by authorized recipients listed above may be further disseminated only to other authorized recipients without further order of this court.
C–4

IT IS FURTHER ORDERED that the release of information to the media regarding minors shall be as

follows:

1. District attorneys, probation and law enforcement officials may divulge whether or not an arrest has been

made, the arresting offenses, and disposition of the arrest.

2. District attorneys, county counsels, law enforcement, child protective services, and probation officials may

divulge whether or not they plan to file a petition and the charges alleged therein, the detention or release

status of the minor, the date and location of hearings, the names of the judge or referee who will hear the

matter, and the finding and disposition of the court.

3. In the event of runaways or escapes from juvenile placements or institutions, district attorneys, law enforcement, child protective services, and probation officials may confirm the fact of the runaway or escape

to the media and the name of the juvenile, the general type of record of the juvenile, and the city of residence of the juvenile.

IT IS FURTHER ORDERED that this order does not prohibit release of information by law enforcement,

probation officials, or district attorneys about crimes or the contents of arrest reports except insofar as they

disclose the identity of the juvenile.

This order supersedes the previous order of the Court concerning release of information dated___________ .

______________________________________ _______________________________________________

 DATE PRESIDING JUDGE, JUVENILE COURT
D–1

Appendix D: Model Interagency Agreement

This Agreement made and entered into as of the

date set forth below, by and between the

[List Agencies Here]

WITNESSETH:

WHEREAS, all parties are committed to providing

appropriate programs and services to prevent children from becoming at risk and to intervene with

children already involved in the juvenile justice system; and

WHEREAS, the parties to this agreement desire a

maximum degree of long range cooperation and

administrative planning in order to provide for the

safety and security of the community and its children; and

WHEREAS, all parties are committed to improving

services to children in the juvenile justice system

through sharing information, eliminating duplication

of services and coordinating efforts; and

WHEREAS, all parties mutually agree that sharing

resources, where feasible, and in particular, training

efforts, may result in improved coordination; and

WHEREAS, it is the understanding by all parties

that certain roles in serving children and youth are

required by law, and that these laws serve as the

foundation for defining the role and responsibility of

each participating agency; and

WHEREAS, all parties mutually agree that all obligations stated or implied in this agreement shall be

interpreted in light of, and consistent with governing

State and Federal laws;

NOW, THEREFORE in consideration of the following agreements, the parties do hereby convenant

and agree to do the following:

EACH OF THE PARTIES AGREE TO:

1. Promote a coordinated effort among agencies and

staff to achieve maximum public safety with the goal

of reducing juvenile crime.

2. Participate in interagency planning meetings, as

appropriate.

3. Assign staff, as appropriate, to participate in a consolidated case management system, reentry into

school of children returning from detention or commitment program, and other information-sharing

activities to assess and develop plans for at-risk youth

and those involved in the juvenile justice system.

4. If applicable, participate in the planning and implementation of a juvenile assessment, receiving, and

truancy center to the extent feasible for each party.

5. Jointly plan, and/or provide information and access to, training opportunities, when feasible.

6. Develop internal policies and cooperative procedures, as needed, to implement this agreement to the

maximum extent possible.

7. Comply with relevant State and Federal law and

other applicable local rules which relate to records

use, security, dissemination, and retention/destruction.

THE JUVENILE COURT AGREES TO:

1. Notify the Superintendent, or designee, of the

name and address of any student found to have committed a delinquent act or who has had adjudication

withheld. Notification shall be within 48 hours and

shall include the specific delinquent act found to

have been committed or for which adjudication was

withheld, or the specific felony for which the student

was found guilty.
D–2

2. Identify sanctions for youth who are in contempt

of court due to violation of a court order on school

attendance.

3. Upon request by the school district, share dispositional information with the Superintendent or his

designee regarding juveniles who are students within

the educational system for purposes of assessment,

placement, or security of persons and property.

4. Consider the issuance of court orders necessary to

promote the goals of this agreement, particularly

information sharing between the agencies involved.

5. Develop, in corporation with School and law enforcement, and local service providers, a written

plan to determine the procedures to take when a

child is identified as being truant from school.

6. Develop appropriate internal written policies to

insure that confidential education record information is disseminated only to appropriate personnel.

THE DEPARTMENT OF PROBATION

AGREES TO:

1. Notify the Sheriff and Superintendent of Schools

or designees, immediately upon learning of the move

or other relocation of a juvenile offender into, out of,

or within the jurisdiction, who has been adjudicated,

or had adjudication withheld for a violent misdemeanor or felony.

2. Share dispositional, placement, and case management information with other agencies as appropriate

for purposes of assessment, placement, and enhanced supervision of juveniles.

3. Develop, in cooperation with School and law enforcement, and local service providers, a written

plan to determine the procedures to take when a

child is identified as being truant from school.

4. Develop appropriate internal written policies to

insure that confidential education record information is disseminated only to appropriate personnel.

THE DEPARTMENT OF HEALTH [OR SOCIAL SERVICES OR SIMILAR AGENCY]

AGREES TO:

1. Provide notice to the Superintendent of Schools

or a designee, immediately upon the initiation of

planning efforts with private nonprofit entities or

governmental entities, including agencies part of this

Agreement, which could result in the creation, relocation, or expansion of youth services programs and

which may impact the school district.

2. Develop, in cooperation with School and law enforcement, and local service providers, a written

plan to determine the procedures to take when a

child is identified as being truant from school.

3. Develop appropriate internal written policies to

insure that confidential education record information is disseminated only to appropriate personnel.

THE SCHOOL SUPERINTENDENT AGREES

TO:

1. Notify, within 24 hours, the child’s principal of

juveniles arrested for crimes of violence or violation

of law upon receipt of such information from law

enforcement or the court system or probation department. The principal, within 24 hours of such

notice, shall provide such information to student

service personnel, the school resource officer, the

student assistance coordinator, and the student’s

immediate teachers.

2. Designate the contact person to be responsible for

receiving juvenile arrest information and inform all

parties as to the Superintendent’s designee.

3. Request criminal history information only for the

purposes of assessment, placement, or security of

persons and property.

4. Designate the contact person(s) to be responsible

for receiving confidential criminal history information and inform all parties as to the names of those

individuals.

5. Develop appropriate internal written policies to

insure that confidential criminal history information is

disseminated only to appropriate school personnel.
D–3

6. Share information on student achievement, and

behavioral and attendance history on juvenile offenders and juveniles at risk of becoming offenders

with the parties to this agreement, for the purpose of

assessment and treatment.

7. Develop, in cooperation with School and law enforcement, and local service providers, a written

plan to determine the procedures to take when a

child is identified as being truant from school.

8. Notify the appropriate law enforcement agency

when an adult or a student commits any of the following offenses on school property, on school sponsored transportation, or at school sponsored

activities: Homicide; Sexual Battery; Armed Robbery; Aggravated Battery on a teacher or other

school personnel; Kidnapping or abduction; Arson;

Possession, use, or sale of any firearm; Possession,

use, or sale of any explosive device; Possession, use,

or sale of any controlled substance; or any act that

compromises school or community safety. Additionally, if the offense involves a victim, school officials

shall notify the victim and the victim’s parents of the

offense and the victim’s right to press charges

against the offender. School personnel shall cooperate in any investigation or other proceedings leading

to the victim’s exercise of right as provided by law.

EACH LAW ENFORCEMENT CHIEF

[OR SHERIFF] AGREES TO:

1. Notify the Superintendent, or designee, of the

name and address of any student arrested for crimes.

Notification shall be within 24 hours and shall include the specific delinquent which led to the arrest.

2. Upon request by the school district, share summary

criminal history information with the Superintendent

or his designee regarding juveniles who are students

within the educational system for purposes of assessment, placement, or security of persons and property.

3. Develop appropriate internal written policies to

insure that confidential education record information is disseminated only to appropriate personnel.

4. Develop, in cooperation with School and law enforcement, and local service providers, a written

plan to determine the procedures to take when a

child is identified as being truant from school.

5. Notify the Superintendent, or designee, of the

name and address of any employee of the school

district who is charged with a felony or with a misdemeanor involving the abuse of a minor child or the

sale or possession of a controlled substance. Notification shall be within 24 hours and shall include the

specific act which led to the arrest.

THE STATE ATTORNEY [OR DISTRICT

ATTORNEY] AGREES TO:

1. Notify the Superintendent or designee when a

student is formally charged with a felony, or with a

delinquent act which would be a felony if committed

by an adult in a timely manner.

2. Provide copies to the Superintendent or designee

of all Petitions, Informations, or No File decisions,

as to students for violent misdemeanors and felonies

or delinquent acts which would be a felony if committed by an adult in a timely manner.

ADMINISTRATIVE

TERM OF AGREEMENT:

This agreement shall be in effect as of the date the

agreement is signed by the majority of the initiating

parties and shall renew automatically unless otherwise modified. All parties are signatory to this agreement when signing or when the majority of the

initiating parties signs, whichever is later. Any party

signatory to this agreement may terminate participation upon thirty days notice to all other signed parties to the agreement.

AGENCY REPRESENTATIVES:

The parties will develop procedures for ongoing

meetings and will, at least annually review and if

necessary, recommend any changes.

MODIFICATION OF AGREEMENT:

Modification of this agreement shall be made only

by consent of the majority of the initiating parties.

Such shall be made with the same formalities as

were followed in this agreement and shall include a

written document setting forth the modifications,

signed by all the consenting parties.
D–4

OTHER INTERAGENCY AGREEMENTS:

All parties to this agreement acknowledge that this

agreement does not preclude or preempt each of the

agencies individually entering into an agreement

with one or more parties to this agreement. Such

agreements shall not nullify the force and effect of

this agreement. This agreement does not remove any

other obligations imposed by law to share information with other agencies.

SIGNATURES OF PARTIES TO THIS

AGREEMENT:

Upon signing this agreement, the original agreement

and signature shall be filed with the clerk of the

court and placed in the public records of the jurisdiction. A certified copy of the agreement and the

signatures shall be provided to each signatory to the

agreement.

Cautions for Model Interagency Agreement

As educators and juvenile justice professionals work on developing interagency information sharing

agreements, they should ensure that the laws of their State permit information and record sharing. Further, the interagency agreement should contain a clause prohibiting the release of information to third

parties not covered by the agreement.
E–1

Appendix E: Model State Statutes

Illinois

WEST’S SMITH-HURD ILLINOIS

COMPILED STATUTES ANNOTATED

CHAPTER 705. COURTS

JUVENILE COURTS

ACT 405. JUVENILE COURT ACT OF 1987

ARTICLE I. GENERAL PROVISIONS

COPR. © WEST 1994 No Claim to Orig.

U.S. Govt. Works

405/1-8.1. Legislative findings

s. 1-8.1. Legislative findings.

(a) The General Assembly finds that a substantial

and disproportionate amount of serious crime is

committed by a relatively small number of juvenile

offenders, otherwise known as serious habitual offenders. By this amendatory Act of 1992, the General Assembly intends to support the efforts of the

juvenile justice system comprised of law enforcement, state’s attorneys, probation departments, juvenile courts, social service providers, and schools in

the early identification and treatment of habitual

juvenile offenders. The General Assembly further

supports increased interagency efforts to gather

comprehensive data and actively disseminate the

data to the agencies in the juvenile justice system to

produce more informed decisions by all entities in

that system.

(b) The General Assembly finds that the establishment of a Serious Habitual Offender Comprehensive Action Program throughout the State of Illinois

is necessary to effectively intensify the supervision

of serious habitual juvenile offenders in the community and to enhance current rehabilitative efforts. A

cooperative and coordinated multi-disciplinary approach will increase the opportunity for success with

juvenile offenders and assist in the development of

early intervention strategies.

CHAPTER 705. COURTS

JUVENILE COURTS

ACT 405. JUVENILE COURT ACT OF 1987

ARTICLE I. GENERAL PROVISIONS

COPR. © WEST 1994 No Claim to Orig.

U.S. Govt. Works

405/1-8.2. Cooperation of agencies;

Serious Habitual Offender Comprehensive

Action Program

s. 1-8.2. Cooperation of agencies; Serious Habitual Offender Comprehensive Action Program.

(a) The Serious Habitual Offender Comprehensive

Action Program (SHOCAP) is a multi-disciplinary

interagency case management and information sharing system that enables the juvenile justice system,

schools, and social service agencies to make more

informed decisions regarding a small number of juveniles who repeatedly commit serious delinquent acts.

 (b) Each county in the State of Illinois may establish

a multi-disciplinary agency (SHOCAP) committee.

The committee shall consist of representatives from

the following agencies: local law enforcement, area

school district, state’s attorney’s office, and court services (probation). The chairman may appoint additional members to the committee as deemed

appropriate to accomplish the goals of this program,

including, but not limited to, representatives from the

juvenile detention center, mental health, the Illinois

Department of Children and Family Services, and

community representatives at large.
E–2

(c) The SHOCAP committee shall adopt, by a majority of the members:

 (1) criteria that will identify those who qualify as a

serious habitual juvenile offender; and

 (2) a written interagency information sharing

agreement to be signed by the chief executive

officer of each of the agencies represented on the

committee. The interagency information sharing

agreement shall include a provision that requires

that all records pertaining to a serious habitual

offender (SHO) shall be confidential. Disclosure

of information may be made to other staff from

member agencies as authorized by the SHOCAP

committee for the furtherance of case management and tracking of the SHO. Staff from the

member agencies who receive this information

shall be governed by the confidentiality provisions of this Act. The staff from the member agencies who will qualify to have access to the

SHOCAP information must be limited to those

individuals who provide direct services to the

SHO or who provide supervision of the SHO.

(d) The Chief Juvenile Circuit Judge, or the Chief

Circuit Judge, or his designee, may issue a comprehensive information sharing court order. The court

order shall allow agencies who are represented on

the SHOCAP committee and whose chief executive

officer has signed the interagency information sharing agreement to provide and disclose information to

the SHOCAP committee. The sharing of information will ensure the coordination and cooperation of

all agencies represented in providing case management and enhancing the effectiveness of the

SHOCAP efforts.

(e) Any person or agency who is participating in good

faith in the sharing of SHOCAP information under

this Act shall have immunity from any liability, civil,

criminal, or otherwise, that might result by reason of

the type of information exchanged. For the purpose of

any proceedings, civil or criminal, the good faith of

any person or agency permitted to share SHOCAP

information under this Act shall be presumed.

(f) All reports concerning SHOCAP clients made

available to members of the SHOCAP committee and

all records generated from these reports shall be confidential and shall not be disclosed, except as specifically authorized by this Act or other applicable law. It

is a Class A misdemeanor to permit, assist, or encourage the unauthorized release of any information contained in SHOCAP reports or records.

Florida

FLORIDA STATUTES

TITLE V JUDICIAL BRANCH

CHAPTER 39 PROCEEDINGS

RELATING TO JUVENILES

PART II DELINQUENCY CASES

Fla. Stat. @ 39.045 (1995)

39.045 Oaths; records; confidential information.

(1) Authorized agents of the Department of Juvenile Justice may administer oaths and affirmations.

(2) The clerk of the court shall make and keep

records of all cases brought before it pursuant to this

part. The court shall preserve the records pertaining

to a child charged with committing a delinquent act or

violation of law until the child reaches 24 years of age

or reaches 26 years of age if he or she is a serious or

habitual delinquent child, until 5 years after the last

entry was made, or until 3 years after the death of the

child, whichever is earlier, and may then destroy

them, except that records made of traffic offenses in

which there is no allegation of delinquency may be

destroyed as soon as this can be reasonably accomplished. The court shall make official records of all

petitions and orders filed in a case arising pursuant to

this part and of any other pleadings, certificates,

proofs of publication, summonses, warrants, and writs

that are filed pursuant to the case.

(3) Records maintained by the Department of Juvenile Justice, including copies of records maintained

by the court, which pertain to a child found to have

committed a delinquent act which, if committed by

an adult, would be a crime specified in ss. 110.1127,

393.0655, 394.457, 397.451, n1 402.305(1), 409.175,

and 409.176 may not be destroyed pursuant to this

section, except in cases of the death of the child.

Such records, however, shall be sealed by the court

for use only in meeting the screening requirements
E–3

for personnel in s. 402.3055 and the other sections

cited above, or pursuant to departmental rule. The

information shall be released to those persons specified in the above cited sections for the purposes of

complying with those sections. The court may punish by contempt any person who releases or uses the

records for any unauthorized purpose.

(4) The clerk shall keep all official records required

by this section separate from other records of the

circuit court, except those records pertaining to motor vehicle violations, which shall be forwarded to

the Department of Highway Safety and Motor Vehicles. Except as provided in subsection (9), official

records required by this part are not open to inspection by the public, but may be inspected only upon

order of the court by persons deemed by the court to

have a proper interest therein, except that a child

and the parents, guardians, or legal custodians of the

child and their attorneys, law enforcement agencies,

the Department of Juvenile Justice and its designees, the Parole Commission, and the Department

of Corrections shall always have the right to inspect

and copy any official record pertaining to the child.

The court may permit authorized representatives of

recognized organizations compiling statistics for

proper purposes to inspect, and make abstracts

from, official records under whatever conditions

upon the use and disposition of such records the

court may deem proper and may punish by contempt proceedings any violation of those conditions.

(5) Except as provided in subsections (3) and (8),

all information obtained under this part in the discharge of official duty by any judge, any employee

of the court, any authorized agent of the Department of Juvenile Justice, the Parole Commission,

the Juvenile Justice Advisory Board, the Department of Corrections, the district juvenile justice

boards, any law enforcement agent, or any licensed

professional or licensed community agency representative participating in the assessment or treatment of a juvenile is confidential and may be

disclosed only to the authorized personnel of the

court, the Department of Juvenile Justice and its

designees, the Department of Corrections, the Parole Commission, the Juvenile Justice Advisory

Board, law enforcement agents, school superintendents and their designees, any licensed professional

or licensed community agency representative participating in the assessment or treatment of a juvenile, and others entitled under this part to receive

that information, or upon order of the court.

Within each county, the sheriff, the chiefs of police,

the district school superintendent, and the department shall enter into an interagency agreement for

the purpose of sharing information about juvenile

offenders among all parties. The agreement must

specify the conditions under which summary criminal history information is to be made available to

appropriate school personnel, and the conditions

under which school records are to be made available

to appropriate department personnel. The agencies

entering into such agreement must comply with

s. 943.0525, and must maintain the confidentiality of

information that is otherwise exempt from

s. 119.07(1), as provided by law.

(6) All orders of the court entered pursuant to this

part must be in writing and signed by the judge,

except that the clerk or deputy clerk may sign a

summons or notice to appear.

(7) A court record of proceedings under this part is

not admissible in evidence in any other civil or

criminal proceeding, except that:

(a) Orders transferring a child for trial as an

adult are admissible in evidence in the court in

which he or she is tried, but create no presumption as to the guilt of the child; nor may such orders be read to, or commented upon in the

presence of, the jury in any trial.

(b) Orders binding an adult over for trial on a

criminal charge, made by the judge as a committing magistrate, are admissible in evidence in the

court to which the adult is bound over.

(c) Records of proceedings under this part forming a part of the record on appeal must be used in

the appellate court in the manner provided in

s. 39.069(4).

(d) Records are admissible in evidence in any

case in which a person is being tried upon a

charge of having committed perjury, to the extent

such records are necessary to prove the charge.
E–4

(e) Records of proceedings under this part may

be used to prove disqualification pursuant to

ss. 39.076, 110.1127, 393.0655, 394.457, 397.451,

402.305, 402.313, 409.175, and 409.176, and for

proof in a chapter 120 proceeding pursuant to

ss. 415.1075 and n2 415.504.

(8) (a) Records regarding children are not open to

inspection by the public. Such records may be inspected only upon order of the Secretary of Juvenile

Justice or his or her authorized agent by persons

who have sufficient reason and upon such conditions for their use and disposition as the secretary or

his or her authorized agent deems proper. The information in such records may be disclosed only to

other employees of the Department of Juvenile Justice who have a need therefor in order to perform

their official duty; to other persons as authorized by

rule of the Department of Juvenile Justice; and,

upon request, to the Juvenile Justice Advisory

Board and the Department of Corrections. The secretary or his or her authorized agent may permit

properly qualified persons to inspect and make abstracts from records for statistical purposes under

whatever conditions upon their use and disposition

the secretary or his or her authorized agent deems

proper, provided adequate assurances are given that

children’s names and other identifying information

will not be disclosed by the applicant.

 (b) The destruction of records pertaining to children committed to or supervised by the Department

of Juvenile Justice pursuant to a court order, which

records are retained until a child reaches the age of

24 years or until a serious or habitual delinquent

child reaches the age of 26 years, shall be subject to

chapter 943.

(9) Notwithstanding any other provisions of this

part, a law enforcement agency may release for publication the name, photograph, and address of a

child taken into custody if the child has been taken

into custody by a law enforcement officer for a violation of law which, if committed by an adult, would

be a felony, or the name, photograph, and address of

any child who has been found by a court to have

committed three or more violations of law which, if

committed by an adult, would be misdemeanors.

(10) This part does not prohibit the release of the

juvenile offense report by a law enforcement agency

to the victim of the offense.

(11) Notwithstanding any other provision of this

section, when a child of any age is taken into custody by a law enforcement officer for an offense that

would have been a felony if committed by an adult,

or a crime of violence, the law enforcement agency

must notify the superintendent of schools that the

child is alleged to have committed the delinquent

act. Upon notification, the principal is authorized to

begin disciplinary actions pursuant to s. 232.26. The

information obtained by the superintendent of

schools pursuant to this section must be released

within 48 hours after receipt to appropriate school

personnel, including the principal of the school of

the child. The principal must immediately notify the

child’s immediate classroom teachers.
U.S. Department of Justice

Office of Justice Programs

Office of Juvenile Justice and Delinquency Prevention

Washington, D.C. 20531

Official Business

Penalty for Private Use $300

BULK RATE

POSTAGE & FEES PAID

DOJ/OJJDP

Permit No. G–91

NCJ 163705
U.S. DEPARTMENT OF EDUCATION 

Office of Educatlonal Research and Improvement (OERI) 

Educatlonal Resources lnformatlon Center (ERIC) 

NOTICE 

REPRODUCTION BASIS 

This clocurnent is covered by a s.i.,one.d ''Reptnd~!r.tim R~!.es.e 

(Blanket)" form (on file within the ERIC system), encompassing all 

or classes of documents from its source organization and, therefore, 

does not require a "Specific Document" Release form. 

d This document is Federally-funded, or carries its own permission to 

reproduce, or is otherwise in the public domain and, therefore, may 

be reproduced by ERIC without a signed Reproduction Release 

form (either "Specific Document" or "Blanket").