POLICY LETTER: December 4, 2001 to U.S. Congressman Roscoe E. Bartlett

Dated December 4, 2001Honorable Roscoe E. BartlettMember, House of Representatives5831 Buckeystown Pike, Suite EFrederick, Maryland 21704Dear Mr. Bartlett:This is in response to your letter dated March 29, 2001, on behalf of your constituent, X. In a letter addressed to you dated March 23, 2001, she expressed concerns over the misuse and possible violation of the Family Educational Rights and Privacy Act (FERPA), by the X County Public Schools (District). Your letter was initially referred to the Office of Special Education Programs (OSEP) because X concern involved education records of special education students. However, after consultation with OSEP, it was determined that this Office, the Family Policy Compliance Office (FPCO), is the appropriate office to respond to the issues raised by your constituent because we are responsible for administering FERPA.OSEP informed this Office that, in an attempt to assist you and your constituent, OSEP's contact for the State of Maryland, Michael F. Slade, contacted your office and spoke with Micki Hamilton requesting authorization to contact directly. Although authorized to do so, Mr. Slade was unable to contact X because the telephone number of record was no longer a working number.Nonetheless, based on the information provided, it appears that the District employed the services of the George Washington University's Center for Excellence and Equity in Education (Center) to investigate statistical findings that implied that minority children were being disproportionately referred to the District's special education programs. The District provided the Center with a limited number of student files for its review and analysis.Briefly, FERPA gives parents certain rights with respect to their children's education records. See 20 U.S.C. 1232g and 34 CFR Part 99. In particular, FERPA generally prohibits the disclosure of a student's education records without the prior written consent of the parent. FERPA defines the term "education records" as:except as may be provided otherwise in subparagraph (B), those records, files, documents, and other materials which(i) contain information directly related to a student; and(ii) are maintained by an educational agency or institution or by a person acting for suchagency or institution.20 U.S.C. 1232g(a)(4)(A); 34 CFR 99.3 "Education records."While FERPA generally prohibits the disclosure of education records without prior writtenconsent, there are several statutory exceptions to this rule. One exception allows for thedisclosure of education records to school officials with a legitimate educational interest in therecords. School officials are broadly defined to include contractors and other third partiescarrying out activities for the school that the school would otherwise do itself. Here, the Districthired the Center to perform a service on its behalf. The disclosures to the Center, as a contractoracting for the district, are permitted under the school officials' exception. See 34 CFR99.31(a)(1). Under this exception, the District must list the Center as a "school official" with a"legitimate educational interest" in the annual notification, or an amendment to such notification,required under 34 CFR 99.7.Another potentially applicable statutory exception provides that the educational agency orinstitution may disclose personally identifiable information from an education record of a studentwithout parental consent if the disclosure is to organizations conducting studies for, or on behalfof, educational agencies or institutions to improve instruction. See 34 CFR 99.3 1(a)(6)(i)(C).We do not have enough information about the particulars of the study to conclude that thepurpose of the study is to improve instruction.It is also worth noting additional requirements under this exception. Specific.ally, under itsprovisions, the organization must "conduct the study in a manner that does not permit personalidentification of parents and students by individuals other than representatives of theorganization" and must destroy the information "when no longer needed for the purposes forwhich the study was conducted." .See 34 CFR 99.3 1(a)(6)(ii)(A) and 03). Based on theinformation provided to us, it appears that no personally identifiable information on a studentwas disclosed by the Center in its final report or its presentation of the report and that allinformation was disclosed in aggregate form. Thus, it appears that the District, and the Centeracting on behalf of the District, complied with its requirement not to redisclose personallyidentifiable information from an education record.FERPA also requires that if a school hires an organization to conduct a study, as the District didhere, the school must maintain a record of each request for access to and each disclosure ofpersonally identifiable information from the education records of each student with that student'seducation records. See 34 CFR 99.32(a). In sum, from the information provided to us from youroffice, including documents provided by we have determined that thedisclosures made by the District to the Center without parental consent appear to be consistentwith FERPA.OSEP informs us that o t h e r concerns regarding the interpretation of theCenter's study and the subsequent use of the data, issues not related to FERPA, should beaddressed directly with the Maryland State Department of Education (MSDE). Included belowis the name and address of the Assistant State Superintendent for the MSDE charged withoverseeing special education in the State of Maryland:Dr. Carol Ann BaglinAssistant State SuperintendentMaryland State Department of EducationDivision of Special Education/EarlyIntervention Services200 West Baltimore StreetBaltimore, Maryland 21201-2595I hope this information is helpful. If this Office can be of further assistance regarding thismatter, please feel free to contact me at (202) 260-3887.Sincerely,LeRoy RookerDirectorFamily Policy Compliance OfficePage PAGE 3 Mr. Roscoe G. Bartlett")...0006]aJaJaJaJ;{yzst"ax:Z5EWl)7$8$H$!31PwI7$8$H$..0.P.`.|.'.........00&060R0h0z0|0000&P1h/ =!"#$% X /signed Ingrid Brault for/3 X /signed Ingrid Brault for/3