SUBCHAPTER III—GENERAL REQUIREMENTS AND CONDITIONS CONCERNING OPERATION AND ADMINISTRATION OF EDUCATION PROGRAMS: GENERAL AUTHORITY OF SECRETARY
Editorial Notes
Codification
§1230. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
Part 1—General Authority
§1231. Joint funding of programs
(a) Joint projects; transfers of appropriations; contracts or grants; criteria
(1) The Secretary is authorized to enter into arrangements with other Federal agencies to jointly carry out projects of common interest, to transfer to such agencies funds appropriated under any applicable program, and to receive and use funds from such agencies, for projects of common interest.
(2) Funds transferred or received pursuant to paragraph (1) shall be used only in accordance with the statutes authorizing the appropriation of such funds, and shall be made available by contract or grant only to recipients eligible to receive such funds under such statutes.
(3) If the Secretary enters into an agreement under this subsection for the administration of a project, the agency administering the project shall use such agency's procedures to award contracts or grants and to administer such awards, unless the parties to the agreement specify the use of procedures of another agency that is a party to the agreement.
(4) If the Secretary has entered into an agreement authorized under this subsection and the Secretary and the heads of the other agencies participating in the agreement determine that joint funding is necessary to address a special need consistent with the purposes and authorized activities of each program that provides funding under the joint project, the Secretary and the heads of the other participating agencies may develop a single set of criteria for the jointly funded project and require each applicant for such project to submit a single application for review by the participating agencies.
(b) Joint applications
The Secretary may develop the criteria for, and require the submission of, joint applications under two or more applicable programs under which funds are awarded on a competitive basis, and may jointly review and approve such applications separately from other applications under such programs, when the Secretary determines that such joint awards are necessary to address a special need consistent with the purposes and authorized activities of each such program. Any applicant for such a joint award shall meet the eligibility requirements of each such program.
(c) Limitations on joint funding
The Secretary may not construe the provisions of this section to take precedence over a limitation on joint funding contained in an applicable statute.
(d) Congressional notice
(1) The Secretary shall provide notice to the Committee on Education and Labor of the House of Representatives and to the Committee on Labor and Human Resources of the Senate of each joint funding agreement made with other Federal agencies not later than 60 days after the making of such agreements.
(2) Such notice shall include—
(A) a description of the purpose and objectives of the joint funding arrangement;
(B) the amounts and sources, by program, of the funds dedicated to such arrangement; and
(C) the criteria developed to govern the award of contracts and grants.
(
Editorial Notes
Prior Provisions
A prior section 430 of
Amendments
1994—
1972—Subsec. (c).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
Effective Date of 1972 Amendment; Inconsistent Provisions Ineffective
§1231a. Collection and dissemination of information
The Secretary shall—
(1) prepare and disseminate to State and local educational agencies and institutions information concerning applicable programs, and cooperate with other Federal officials who administer programs affecting education in disseminating information concerning such programs;
(2) inform the public regarding federally supported education programs; and
(3) collect data and information on applicable programs for the purpose of obtaining objective measurements of the effectiveness of such programs in achieving the intended purposes of such programs.
(
Editorial Notes
Prior Provisions
A prior section 431 of
Another prior section 431 of
Amendments
1994—
1976—Subsec. (b).
1972—Subsec. (a)(4).
Statutory Notes and Related Subsidiaries
Effective Date of 1976 Amendment
Amendment by
Effective Date of 1972 Amendment
Evaluation Practices and Procedures at National, State, and Local Levels for Federally Funded Elementary and Secondary Educational Programs; Report to Congress
§§1231b, 1231b–1. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section 1231b,
Section 1231b–1,
§1231b–2. Review of applications
(a) Persons aggrieved; final State educational agency actions; hearing; ruling and reasons for ruling; rescission of final actions
In the case of any applicable program under which financial assistance is provided to (or through) a State educational agency to be expended in accordance with a State plan approved by the Secretary, any applicant or recipient aggrieved by the final action of the State educational agency, and alleging a violation of State or Federal law, rules, regulations, or guidelines governing the applicable program, in (1) disapproving or failing to approve its application or program in whole or part, (2) failing to provide funds in amounts in accord with the requirements of laws and regulations, (3) ordering, in accordance with a final State audit resolution determination, the repayment of misspent or misapplied Federal funds, or (4) terminating further assistance for an approved program, may within thirty days request a hearing. Within thirty days after it receives such a request, the State educational agency shall hold a hearing on the record and shall review such final action. No later than ten days after the hearing, the State educational agency shall issue its written ruling, including reasons therefor. If it determines such final action was contrary to Federal or State law, or the rules, regulations, and guidelines governing such applicable program, it shall rescind such final action.
(b) Appeals to Secretary; persons aggrieved; notice; orders prescribing appropriate agency actions; finality of agency fact findings; interim orders pending appeal or review
Any applicant or recipient aggrieved by the failure of a State educational agency to rescind its final action after a review under subsection (a) may appeal such action to the Secretary. An appeal under this subsection may be taken only if notice of such appeal is filed with the Secretary within twenty days after the applicant or recipient has been notified by the State educational agency of the results of its review under subsection (a). If, on such appeal, the Secretary determines the final action of the State educational agency was contrary to Federal law, or the rules, regulations, and guidelines governing the applicable program, he shall issue an order to the State educational agency prescribing appropriate action to be taken by such agency. On such appeal, findings of fact of the State educational agency, if supported by substantial evidence, shall be final. The Secretary may also issue such interim orders to State educational agencies as he may deem necessary and appropriate pending appeal or review.
(c) Records; availability
Each State educational agency shall make available at reasonable times and places to each applicant or recipient under a program to which this section applies all records of such agency pertaining to any review or appeal such applicant or recipient is conducting under this section, including records of other applicants.
(d) Termination of assistance for noncompliance with provisions or orders
If any State educational agency fails or refuses to comply with any provision of this section, or with any order of the Secretary under subsection (b), the Secretary shall forthwith terminate all assistance to the State educational agency under the applicable program affected or issue such other orders as the Secretary may deem appropriate to achieve such compliance.
(
Editorial Notes
Prior Provisions
A prior section 432 of
Another prior section 432 of
Amendments
1994—Subsec. (a).
Subsec. (b).
Subsec. (d).
1978—Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Effective Date
§1231c. Advice, counsel, and technical assistance
(a) State educational agencies, institutions of higher education
For the purpose of carrying out more effectively Federal education programs, the Secretary is authorized, upon request, to provide advice, counsel, and technical assistance to State educational agencies, institutions of higher education, and, with the approval of the appropriate State educational agency, elementary and secondary schools—
(1) in determining benefits available to them under Federal law;
(2) in preparing applications for, and meeting requirements of, applicable programs;
(3) in order to enhance the quality, increase the depth, or broaden the scope of activities under applicable programs; and
(4) in order to encourage simplification of applications, reports, evaluations, and other administrative procedures.
(b) Cost allocation, collection, etc., by local educational agencies
The Secretary shall permit local educational agencies to use organized and systematic approaches in determining cost allocation, collection, measurement, and reporting under any applicable program, if he determines (1) that the use of such approaches will not in any manner lessen the effectiveness and impact of such program in achieving purposes for which it is intended, (2) that the agency will use such procedures as will insure adequate evaluation of each of the programs involved, and (3) that such approaches are consistent with criteria prescribed by the Comptroller General of the United States for the purposes of audit. For the purpose of this subsection a cost is allocable to a particular cost objective to the extent of relative benefits received by such objective.
(c) Dissemination
In awarding contracts and grants for the development of curricula or instructional materials, the Secretary and the Director of the National Institute of Education shall—
(1) encourage applicants to assure that such curricula or instructional materials will be developed in a manner conducive to dissemination through continuing consultations with publishers, personnel of State and local educational agencies, teachers, administrators, community representatives, and other individuals experienced in such dissemination;
(2) permit applicants to include provision for reasonable consultation fees or planning costs; and
(3) insure that grants to public agencies and nonprofit private organizations and contracts with public agencies and private organizations for publication and dissemination of curricula or instructional materials, or both, are awarded competitively to such agencies and organizations which provide assurances that the curricula and instructional materials will reach the target populations for which they were developed.
(d) Annual report by Secretary
The Secretary's annual report shall contain a statement of the Secretary's activities under this section.
(
Editorial Notes
Prior Provisions
A prior section 433 of
Another prior section 433 of
Amendments
1978—Subsecs. (c), (d).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Transfer of Functions
"Secretary" and "Secretary's", meaning the Secretary of Education, substituted for "Commissioner" and "Commissioner's", respectively, in subsecs. (a) to (d) pursuant to sections 301(a)(1) and 507 of
National Institute of Education
The National Institute of Education consisting of a National Council on Educational Research and a Director of the Institute was established by
§1231c–1. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
§1231d. Parental involvement and dissemination
In the case of any applicable program in which the Secretary determines that parental participation at the State or local level would increase the effectiveness of the program in achieving its purposes, the Secretary shall promulgate regulations with respect to such program setting forth criteria designed to encourage such participation. If the program for which such determination is made provides for payments to local educational agencies, applications for such payments shall—
(1) set forth such policies and procedures as will ensure that programs and projects assisted under the application have been planned and developed, and will be operated, in consultation with, and with the involvement of, parents of the children to be served by such programs and projects;
(2) be submitted with assurance that such parents have had an opportunity to present their views with respect to the application; and
(3) set forth policies and procedures for adequate dissemination of program plans and evaluations to such parents and the public.
(
Editorial Notes
Prior Provisions
A prior section 434 of
Another prior section 434 of
Another prior section 434 of
Amendments
1994—
§1231e. Use of funds withheld
(a) At any time that the Secretary makes an allotment or reallotment to any State under any applicable program, the Secretary shall reduce such allotment or reallotment by such amount as the Secretary determines such allotment or reallotment would have been reduced, had the data on which such allotment or reallotment is based excluded all data relating to local educational agencies of the State that, on the date of the Secretary's action, are ineligible to receive the Federal financial assistance involved because of failure to comply with title VI of the Civil Rights Act of 1964 [
(b) The Secretary may use any funds withheld under subsection (a)—
(1) to increase the allotments or reallotments of local educational agencies within the State that are not described in subsection (a), or the allotments or reallotment of all States, in accordance with the Federal law governing the program; or
(2) for grants to local educational agencies of that State in accordance with section 405 of the Civil Rights Act of 1964 [
(
Editorial Notes
References in Text
The Civil Rights Act of 1964, referred to in subsec. (a), is
The Education Amendments of 1972, referred to in subsec. (a), is
The Age Discrimination Act of 1975, referred to in subsec. (a), is title III of
Prior Provisions
A prior section 435 of
Another prior section 435 of
Another prior section 435 of
Amendments
1994—
§1231f. Repealed. Pub. L. 103–382, title II, §212(a)(1), Oct. 20, 1994, 108 Stat. 3913
Section,
Part 2—Administration: Requirements and Limitations
§1231g. Applications
(a) Submission and amendments of applications
Notwithstanding any other provision of law, unless expressly in limitation of the provisions of this section, the Secretary is authorized to provide for the submission of applications for assistance effective for more than one fiscal year under any applicable program with whatever amendments to such applications being required as the Secretary determines essential.
(b) Uniform dates
The Secretary shall, insofar as is practicable, establish uniform dates during the year for the submission of applications under all applicable programs and for the approval of such applications.
(c) Development of common applications
The Secretary shall, insofar as is practicable, develop and require the use of—
(1) a common application for grants to local educational agencies in applicable programs administered by State educational agencies in which the funds are distributed to such local agencies pursuant to some objective formula, and such application shall be used as the single application for as many of these programs as is practicable;
(2) a common application for grants to local educational agencies in applicable programs administered by State educational agencies in which the funds are distributed to such local agencies on a competitive or discretionary basis, and such application shall be used as the single application for as many of such programs as is practicable; and
(3) a common application for grants to local educational agencies in applicable programs which are directly administered by the Secretary, and such application shall be used as the single application for as many of these programs as is practicable.
(
Editorial Notes
Prior Provisions
A prior section 436 of
Another prior section 436 of
Another prior section 436 of
Amendments
1994—
Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1978, see section 1530(a) of
§1232. Regulations
(a) "Regulation" defined
For the purpose of this section, the term "regulation" means any generally applicable rule, regulation, guideline, interpretation, or other requirement that—
(1) is prescribed by the Secretary or the Department; and
(2) has legally binding effect in connection with, or affecting, the provision of financial assistance under any applicable program.
(b) Citation of authority
Regulations shall contain, immediately following each substantive provision of such regulations, citations to the particular section or sections of statutory law or other legal authority on which such provision is based.
(c) Uniform application
All regulations shall be uniformly applied and enforced throughout the 50 States.
(d) Application of exemption
The exemption for public property, loans, grants and benefits in
(1) that govern the first grant competition under a new or substantially revised program authority as determined by the Secretary; or
(2) where the Secretary determines that the requirements of this subsection will cause extreme hardship to the intended beneficiaries of the program affected by such regulations.
(e) Schedule for promulgation of final regulations
Not later than 60 days after the date of enactment of any Act, or any portion of any Act, affecting the administration of any applicable program, the Secretary shall submit to the Committee on Education and Labor of the House of Representatives and the Committee on Labor and Human Resources of the Senate a schedule in accordance with which the Secretary plans to promulgate final regulations that the Secretary determines are necessary to implement such Act or portion of such Act. Such schedule shall provide that all such final regulations shall be promulgated within 360 days after the date of enactment of such Act or portion of such Act.
(f) Transmittal of final regulations
Concurrently with the publication of any final regulations, the Secretary shall transmit a copy of such final regulations to the Speaker of the House of Representatives and the President pro tempore of the Senate.
(
Editorial Notes
Prior Provisions
A prior section 437 of
Another prior section 437 of
Another prior section 437 of
Amendments
1994—
1981—Subsec. (d)(1).
1980—Subsec. (d)(1).
1976—Subsec. (a).
Subsec. (b)(1).
Subsec. (b)(2)(A).
Subsec. (c).
Subsec. (d)(1).
Subsec. (d)(2).
Subsec. (e).
Subsec. (g).
1975—Subsec. (d)(1).
Subsec. (d)(2).
1974—Subsec. (b).
Subsecs. (d) to (g).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Education and Labor of House of Representatives changed to Committee on Education and the Workforce of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Committee on Labor and Human Resources of Senate changed to Committee on Health, Education, Labor, and Pensions of Senate by Senate Resolution No. 20, One Hundred Sixth Congress, Jan. 19, 1999.
Effective Date of 1981 Amendment
Effective Date of 1980 Amendment
Amendment by
Effective Date of 1976 Amendment
Amendment by
Effective Date of 1975 Amendment
"(a) Notwithstanding any other provision of law, the amendments made by sections 2(a), 2(b), and 2(c) [amending
"(b) The amendments made by sections 2(d), 2(e), 3, 6, and 7 [enacting
"(c) The amendments made by sections 4 and 5(a) [enacting
"(d) The provisions of section 5(b) [amending
Effective Date of 1974 Amendment
Study and Report on Rules and Regulations
§1232–1. Repealed. Pub. L. 98–511, title I, §109(b), Oct. 19, 1984, 98 Stat. 2369
Section,
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Repeal effective July 1, 1985, see section 711(b) of
§1232a. Prohibition against Federal control of education
No provision of any applicable program shall be construed to authorize any department, agency, officer, or employee of the United States to exercise any direction, supervision, or control over the curriculum, program of instruction, administration, or personnel of any educational institution, school, or school system, or over the selection of library resources, textbooks, or other printed or published instructional materials by any educational institution or school system, or to require the assignment or transportation of students or teachers in order to overcome racial imbalance.
(
Editorial Notes
Prior Provisions
A prior section 438 of
Another prior section 438 of
Amendments
1976—
1972—
Statutory Notes and Related Subsidiaries
Effective Date of 1976 Amendment
Amendment by
Executive Documents
Ex. Ord. No. 13791. Enforcing Statutory Prohibitions on Federal Control of Education
Ex. Ord. No. 13791, Apr. 26, 2017, 82 F.R. 20427, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to restore the proper division of power under the Constitution between the Federal Government and the States and to further the goals of, and to ensure strict compliance with, statutes that prohibit Federal interference with State and local control over education, including section 103 of the Department of Education Organization Act (DEOA) (
(b) The Secretary shall examine whether these regulations and guidance documents comply with Federal laws that prohibit the Department from exercising any direction, supervision, or control over areas subject to State and local control, including:
(i) the curriculum or program of instruction of any elementary and secondary school and school system;
(ii) school administration and personnel; and
(iii) selection and content of library resources, textbooks, and instructional materials.
(c) The Secretary shall, as appropriate and consistent with applicable law, rescind or revise any regulations that are identified pursuant to subsection (b) of this section as inconsistent with statutory prohibitions. The Secretary shall also rescind or revise any guidance documents that are identified pursuant to subsection (b) of this section as inconsistent with statutory prohibitions. The Secretary shall, to the extent consistent with law, publish any proposed regulations and withdraw or modify any guidance documents pursuant to this subsection no later than 300 days after the date of this order.
(i) the authority granted by law to an executive department or agency, or the head thereof; or
(ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.
(b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
(c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.
Donald J. Trump.
§1232b. Labor standards
All laborers and mechanics employed by contractors or subcontractors on all construction and minor remodeling projects assisted under any applicable program shall be paid wages at rates not less than those prevailing on similar construction and minor remodeling in the locality as determined by the Secretary of Labor in accordance with
(
Editorial Notes
References in Text
Reorganization Plan Numbered 14 of 1950, referred to in text, is set out in the Appendix to Title 5, Government Organization and Employees.
Codification
"
Prior Provisions
A prior section 439 of
Amendments
1994—
Part 3—Administration of Education Programs and Projects by States and Local Educational Agencies
§1232c. State agency monitoring and enforcement
(a) State plan
In the case of any applicable program in which Federal funds are made available to local agencies in a State through or under the supervision of a State board or agency, the Secretary may require the State to submit a plan for monitoring compliance by local agencies with Federal requirements under such program and for enforcement by the State of such requirements. The Secretary may require such plan to provide—
(1) for periodic visits by State personnel of programs administered by local agencies to determine whether such programs are being conducted in accordance with such requirements;
(2) for periodic audits of expenditures under such programs by auditors of the State or other auditors not under the control, direction, or supervision of the local educational agency; and
(3) that the State investigate and resolve all complaints received by the State, or referred to the State by the Secretary, relating to the administration of such programs.
(b) State enforcement of Federal requirements
In order to enforce the Federal requirements under any applicable program the State may—
(1) withhold approval, in whole or in part, of the application of a local agency for funds under the program until the State is satisfied that such requirements will be met; except that the State shall not finally disapprove such an application unless the State provides the local agency an opportunity for a hearing before an impartial hearing officer and such officer determines that there has been a substantial failure by the local agency to comply with any of such requirements;
(2) suspend payments to any local agency, in whole or in part, under the program if the State has reason to believe that the local agency has failed substantially to comply with any of such requirements, except that (A) the State shall not suspend such payments until fifteen days after the State provides the local agency an opportunity to show cause why such action should not be taken and (B) no such suspension shall continue in effect longer than sixty days unless the State within such period provides the notice for a hearing required under paragraph (3) of this subsection;
(3) withhold payments, in whole or in part, under any such program if the State finds, after reasonable notice and opportunity for a hearing before an impartial hearing officer, that the local agency has failed substantially to comply with any of such requirements.
(c) Withholding of payments
Any withholding of payments under subsection (b)(3) of this subsection 1 shall continue until the State is satisfied that there is no longer a failure to comply substantially with any of such requirements.
(
Editorial Notes
Prior Provisions
A prior section 1232c,
A prior section 440 of
Amendments
1994—
Subsec. (a).
Subsecs. (b), (c).
Statutory Notes and Related Subsidiaries
Effective Date
Applicability of Administrative Procedure to Office of Education or Actions by Commissioner Unaffected by Subsections (b) to (e)
1 So in original. Probably should be "section".
§1232d. Single State application
(a) Submission of general application; approval by State supervisory authority
In the case of any State which applies, contracts, or submits a plan for participation in any applicable program in which Federal funds are made available for assistance to local educational agencies through, or under the supervision of, the State educational agency of that State, such State shall submit (subject to the provisions of part D of title IV of the Elementary and Secondary Education Act of 1965 [
(b) Assurances
An application submitted under subsection (a) shall set forth assurances, satisfactory to the Secretary—
(1) that each program will be administered in accordance with all applicable statutes, regulations, program plans, and applications;
(2) that the control of funds provided under each program and title to property acquired with program funds will be in a public agency, or in a nonprofit private agency, institution, or organization if the statute authorizing the program provides for grants to such entities, and that the public agency or nonprofit private agency, institution, or organization will administer such funds and property;
(3) that the State will adopt and use proper methods of administering each applicable program, including—
(A) monitoring of agencies, institutions, and organizations responsible for carrying out each program, and the enforcement of any obligations imposed on those agencies, institutions, and organizations under law,
(B) providing technical assistance, where necessary, to such agencies, institutions, and organizations,
(C) encouraging the adoption of promising or innovative educational techniques by such agencies, institutions, and organizations,
(D) the dissemination throughout the State of information on program requirements and successful practices, and
(E) the correction of deficiencies in program operations that are identified through monitoring or evaluation;
(4) that the State will evaluate the effectiveness of covered programs in meeting their statutory objectives, at such intervals (not less often than once every three years) and in accordance with such procedures as the Secretary may prescribe by regulation, and that the State will cooperate in carrying out any evaluation of each program conducted by or for the Secretary or other Federal official;
(5) that the State will use fiscal control and fund accounting procedures that will ensure proper disbursement of, and accounting for, Federal funds paid to the State under each program;
(6) that the State will make reports to the Secretary (including reports on the results of evaluations required under paragraph (4)) as may reasonably be necessary to enable the Secretary to perform his duties under each program, and that the State will maintain such records, in accordance with the requirements of
(7) that the State will provide reasonable opportunities for the participation by local agencies, representatives of the class of individuals affected by each program and other interested institutions, organizations, and individuals in the planning for and operation of each program, including the following:
(A) the State will consult with relevant advisory committees, local agencies, interest groups, and experienced professionals in the development of program plans required by statute;
(B) the State will publish each proposed plan, in a manner that will ensure circulation throughout the State, at least sixty days prior to the date on which the plan is submitted to the Secretary or on which the plan becomes effective, whichever occurs earlier, with an opportunity for public comments on such plan to be accepted for at least thirty days;
(C) the State will hold public hearings on the proposed plans if required by the Secretary by regulation; and
(D) the State will provide an opportunity for interested agencies, organizations, and individuals to suggest improvements in the administration of the program and to allege that there has been a failure by any entity to comply with applicable statutes and regulations; and
(8) that none of the funds expended under any applicable program will be used to acquire equipment (including computer software) in any instance in which such acquisition results in a direct financial benefit to any organization representing the interests of the purchasing entity or its employees or any affiliate of such an organization.
(c) Effective term of general application
Each general application submitted under this section shall remain in effect for the duration of any program it covers. The Secretary shall not require the resubmission or amendment of that application unless required by changes in Federal or State law or by other significant changes in the circumstances affecting an assurance in that application.
(
Editorial Notes
References in Text
The Elementary and Secondary Education Act of 1965, referred to in subsec. (a), is
Codification
A prior section 1232d was renumbered by
Prior Provisions
Another prior section 441 of
Amendments
2015—Subsec. (a).
2002—Subsec. (a).
1994—
Subsec. (a).
Subsec. (b)(6).
1988—Subsec. (a).
1984—Subsec. (b)(8).
Statutory Notes and Related Subsidiaries
Effective Date of 2015 Amendment
Amendment by
Effective Date of 2002 Amendment
Effective Date of 1988 Amendment
Amendment by
Effective Date of 1984 Amendment
Amendment by
Effective Date
Section effective with respect to appropriations for fiscal year 1980 and subsequent fiscal years, see section 1261 of
§1232e. Single local educational agency application
(a) General application to State agency or board
Each local educational agency which participates in an applicable program under which Federal funds are made available to such agency through a State agency or board shall submit to such agency or board a general application containing the assurances set forth in subsection (b). That application shall cover the participation by that local educational agency in all such programs.
(b) Assurances
The general application submitted by a local educational agency under subsection (a) shall set forth assurances—
(1) that the local educational agency will administer each program covered by the application in accordance with all applicable statutes, regulations, program plans, and applications;
(2) that the control of funds provided to the local educational agency under each program, and title to property acquired with those funds, will be in a public agency and that a public agency will administer those funds and property;
(3) that the local educational agency will use fiscal control and fund accounting procedures that will ensure proper disbursement of, and accounting for, Federal funds paid to that agency under each program;
(4) that the local educational agency will make reports to the State agency or board and to the Secretary as may reasonably be necessary to enable the State agency or board and the Secretary to perform their duties and that the local educational agency will maintain such records, including the records required under
(5) that the local educational agency will provide reasonable opportunities for the participation by teachers, parents, and other interested agencies, organizations, and individuals in the planning for and operation of each program;
(6) that any application, evaluation, periodic program plan or report relating to each program will be made readily available to parents and other members of the general public;
(7) that in the case of any project involving construction—
(A) the project is not inconsistent with overall State plans for the construction of school facilities, and
(B) in developing plans for construction, due consideration will be given to excellence of architecture and design and to compliance with standards prescribed by the Secretary under
(8) that the local educational agency has adopted effective procedures for acquiring and disseminating to teachers and administrators participating in each program significant information from educational research, demonstrations, and similar projects, and for adopting, where appropriate, promising educational practices developed through such projects; and
(9) that none of the funds expended under any applicable program will be used to acquire equipment (including computer software) in any instance in which such acquisition results in a direct financial benefit to any organization representing the interests of the purchasing entity or its employees or any affiliate of such an organization.
(c) Effective term of general application
A general application submitted under this section shall remain in effect for the duration of the programs it covers. The State agencies or boards administering the programs covered by the application shall not require the submission or amendment of such application unless required by changes in Federal or State law or by other significant change in the circumstances affecting an assurance in such application.
(
Editorial Notes
Prior Provisions
A prior section 1232e,
A prior section 442 of
Amendments
1994—Subsec. (a).
Subsec. (b)(2).
Subsec. (b)(4).
Subsec. (b)(7)(B).
1984—Subsec. (b)(9).
Statutory Notes and Related Subsidiaries
Effective Date of 1984 Amendment
Amendment by
Effective Date
Section effective with respect to appropriations for fiscal year 1980 and subsequent fiscal years, see section 1261 of
Part 4—Records; Privacy; Limitation on Withholding Federal Funds
§1232f. Records
(a) Records kept by recipient; full disclosure; maintenance period
Each recipient of Federal funds under any applicable program through any grant, subgrant, cooperative agreement, loan, or other arrangement shall keep records which fully disclose the amount and disposition by the recipient of those funds, the total cost of the activity for which the funds are used, the share of that cost provided from other sources, and such other records as will facilitate an effective financial or programmatic audit. The recipient shall maintain such records for three years after the completion of the activity for which the funds are used.
(b) Audit examination
The Secretary and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access, for the purpose of audit examination, to any records maintained by a recipient that may be related, or pertinent to, grants, subgrants, cooperative agreements, loans, or other arrangements to which reference is made in subsection (a), or which may relate to the compliance of the recipient with any requirement of an applicable program.
(
Editorial Notes
Prior Provisions
A prior section 443 of
Amendments
1994—Subsec. (a).
Subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective with respect to appropriations for fiscal year 1980 and subsequent fiscal years, see section 1261 of
§1232g. Family educational and privacy rights
(a) Conditions for availability of funds to educational agencies or institutions; inspection and review of education records; specific information to be made available; procedure for access to education records; reasonableness of time for such access; hearings; written explanations by parents; definitions
(1)(A) No funds shall be made available under any applicable program to any educational agency or institution which has a policy of denying, or which effectively prevents, the parents of students who are or have been in attendance at a school of such agency or at such institution, as the case may be, the right to inspect and review the education records of their children. If any material or document in the education record of a student includes information on more than one student, the parents of one of such students shall have the right to inspect and review only such part of such material or document as relates to such student or to be informed of the specific information contained in such part of such material. Each educational agency or institution shall establish appropriate procedures for the granting of a request by parents for access to the education records of their children within a reasonable period of time, but in no case more than forty-five days after the request has been made.
(B) No funds under any applicable program shall be made available to any State educational agency (whether or not that agency is an educational agency or institution under this section) that has a policy of denying, or effectively prevents, the parents of students the right to inspect and review the education records maintained by the State educational agency on their children who are or have been in attendance at any school of an educational agency or institution that is subject to the provisions of this section.
(C) The first sentence of subparagraph (A) shall not operate to make available to students in institutions of postsecondary education the following materials:
(i) financial records of the parents of the student or any information contained therein;
(ii) confidential letters and statements of recommendation, which were placed in the education records prior to January 1, 1975, if such letters or statements are not used for purposes other than those for which they were specifically intended;
(iii) if the student has signed a waiver of the student's right of access under this subsection in accordance with subparagraph (D), confidential recommendations—
(I) respecting admission to any educational agency or institution,
(II) respecting an application for employment, and
(III) respecting the receipt of an honor or honorary recognition.
(D) A student or a person applying for admission may waive his right of access to confidential statements described in clause (iii) of subparagraph (C), except that such waiver shall apply to recommendations only if (i) the student is, upon request, notified of the names of all persons making confidential recommendations and (ii) such recommendations are used solely for the purpose for which they were specifically intended. Such waivers may not be required as a condition for admission to, receipt of financial aid from, or receipt of any other services or benefits from such agency or institution.
(2) No funds shall be made available under any applicable program to any educational agency or institution unless the parents of students who are or have been in attendance at a school of such agency or at such institution are provided an opportunity for a hearing by such agency or institution, in accordance with regulations of the Secretary, to challenge the content of such student's education records, in order to insure that the records are not inaccurate, misleading, or otherwise in violation of the privacy rights of students, and to provide an opportunity for the correction or deletion of any such inaccurate, misleading or otherwise inappropriate data contained therein and to insert into such records a written explanation of the parents respecting the content of such records.
(3) For the purposes of this section the term "educational agency or institution" means any public or private agency or institution which is the recipient of funds under any applicable program.
(4)(A) For the purposes of this section, the term "education records" means, 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 such agency or institution.
(B) The term "education records" does not include—
(i) records of instructional, supervisory, and administrative personnel and educational personnel ancillary thereto which are in the sole possession of the maker thereof and which are not accessible or revealed to any other person except a substitute;
(ii) records maintained by a law enforcement unit of the educational agency or institution that were created by that law enforcement unit for the purpose of law enforcement;
(iii) in the case of persons who are employed by an educational agency or institution but who are not in attendance at such agency or institution, records made and maintained in the normal course of business which relate exclusively to such person in that person's capacity as an employee and are not available for use for any other purpose; or
(iv) records on a student who is eighteen years of age or older, or is attending an institution of postsecondary education, which are made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in his professional or paraprofessional capacity, or assisting in that capacity, and which are made, maintained, or used only in connection with the provision of treatment to the student, and are not available to anyone other than persons providing such treatment, except that such records can be personally reviewed by a physician or other appropriate professional of the student's choice.
(5)(A) For the purposes of this section the term "directory information" relating to a student includes the following: 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 by the student.
(B) Any educational agency or institution making public directory information shall give public notice of the categories of information which it has designated as such information with respect to each student attending the institution or agency and shall allow a reasonable period of time after such notice has been given for a parent to inform the institution or agency that any or all of the information designated should not be released without the parent's prior consent.
(6) For the purposes of this section, the term "student" includes any person with respect to whom an educational agency or institution maintains education records or personally identifiable information, but does not include a person who has not been in attendance at such agency or institution.
(b) Release of education records; parental consent requirement; exceptions; compliance with judicial orders and subpoenas; audit and evaluation of federally-supported education programs; recordkeeping
(1) No funds shall be made available under any applicable program to any educational agency or institution which has a policy or practice of permitting the release of education records (or personally identifiable information contained therein other than directory information, as defined in paragraph (5) of subsection (a)) of students without the written consent of their parents to any individual, agency, or organization, other than to the following—
(A) other school officials, including teachers within the educational institution or local educational agency, who have been determined by such agency or institution to have legitimate educational interests, including the educational interests of the child for whom consent would otherwise be required;
(B) officials of other schools or school systems in which the student seeks or intends to enroll, upon condition that the student's parents be notified of the transfer, receive a copy of the record if desired, and have an opportunity for a hearing to challenge the content of the record;
(C)(i) authorized representatives of (I) the Comptroller General of the United States, (II) the Secretary, or (III) State educational authorities, under the conditions set forth in paragraph (3), or (ii) authorized representatives of the Attorney General for law enforcement purposes under the same conditions as apply to the Secretary under paragraph (3);
(D) in connection with a student's application for, or receipt of, financial aid;
(E) State and local officials or authorities to whom such information is specifically allowed to be reported or disclosed pursuant to State statute adopted—
(i) before November 19, 1974, if the allowed reporting or disclosure concerns the juvenile justice system and such system's ability to effectively serve the student whose records are released, or
(ii) after November 19, 1974, if—
(I) the allowed reporting or disclosure concerns the juvenile justice system and such system's ability to effectively serve, prior to adjudication, the student whose records are released; and
(II) the officials and authorities to whom such information is disclosed 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.1
(F) organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating, or administering predictive tests, administering student aid programs, and improving instruction, if such studies are conducted in such a manner as will not permit the personal identification of students and their parents by persons other than representatives of such organizations and such information will be destroyed when no longer needed for the purpose for which it is conducted;
(G) accrediting organizations in order to carry out their accrediting functions;
(H) parents of a dependent student of such parents, as defined in
(I) subject to regulations of the Secretary, in connection with an emergency, appropriate persons if the knowledge of such information is necessary to protect the health or safety of the student or other persons;
(J)(i) the entity or persons designated in a Federal grand jury subpoena, in which case the court shall order, for good cause shown, the educational agency or institution (and any officer, director, employee, agent, or attorney for such agency or institution) on which the subpoena is served, to not disclose to any person the existence or contents of the subpoena or any information furnished to the grand jury in response to the subpoena; and
(ii) the entity or persons designated in any other subpoena issued for a law enforcement purpose, in which case the court or other issuing agency may order, for good cause shown, the educational agency or institution (and any officer, director, employee, agent, or attorney for such agency or institution) on which the subpoena is served, to not disclose to any person the existence or contents of the subpoena or any information furnished in response to the subpoena;
(K) the Secretary of Agriculture, or authorized representative from the Food and Nutrition Service or contractors acting on behalf of the Food and Nutrition Service, for the purposes of conducting program monitoring, evaluations, and performance measurements of State and local educational and other agencies and institutions receiving funding or providing benefits of 1 or more programs authorized under the Richard B. Russell National School Lunch Act (
(i) any data collected under this subparagraph shall be protected in a manner that will not permit the personal identification of students and their parents by other than the authorized representatives of the Secretary; and
(ii) any personally identifiable data shall be destroyed when the data are no longer needed for program monitoring, evaluations, and performance measurements; and
(L) an agency caseworker or other representative of a State or local child welfare agency, or tribal organization (as defined in
Nothing in subparagraph (E) of this paragraph shall prevent a State from further limiting the number or type of State or local officials who will continue to have access thereunder.
(2) No funds shall be made available under any applicable program to any educational agency or institution which has a policy or practice of releasing, or providing access to, any personally identifiable information in education records other than directory information, or as is permitted under paragraph (1) of this subsection, unless—
(A) there is written consent from the student's parents specifying records to be released, the reasons for such release, and to whom, and with a copy of the records to be released to the student's parents and the student if desired by the parents, or
(B) except as provided in paragraph (1)(J), such information is furnished in compliance with judicial order, or pursuant to any lawfully issued subpoena, upon condition that parents and the students are notified of all such orders or subpoenas in advance of the compliance therewith by the educational institution or agency, except when a parent is a party to a court proceeding involving child abuse and neglect (as defined in section 3 of the Child Abuse Prevention and Treatment Act (
(3) Nothing contained in this section shall preclude authorized representatives of (A) the Comptroller General of the United States, (B) the Secretary, or (C) State educational authorities from having access to student or other records which may be necessary in connection with the audit and evaluation of Federally-supported education programs, or in connection with the enforcement of the Federal legal requirements which relate to such programs: Provided, That except when collection of personally identifiable information is specifically authorized by Federal law, any data collected by such officials shall be protected in a manner which will not permit the personal identification of students and their parents by other than those officials, and such personally identifiable data shall be destroyed when no longer needed for such audit, evaluation, and enforcement of Federal legal requirements.
(4)(A) Each educational agency or institution shall maintain a record, kept with the education records of each student, which will indicate all individuals (other than those specified in paragraph (1)(A) of this subsection), agencies, or organizations which have requested or obtained access to a student's education records maintained by such educational agency or institution, and which will indicate specifically the legitimate interest that each such person, agency, or organization has in obtaining this information. Such record of access shall be available only to parents, to the school official and his assistants who are responsible for the custody of such records, and to persons or organizations authorized in, and under the conditions of, clauses (A) and (C) of paragraph (1) as a means of auditing the operation of the system.
(B) With respect to this subsection, personal information shall only be transferred to a third party on the condition that such party will not permit any other party to have access to such information without the written consent of the parents of the student. If a third party outside the educational agency or institution permits access to information in violation of paragraph (2)(A), or fails to destroy information in violation of paragraph (1)(F), the educational agency or institution shall be prohibited from permitting access to information from education records to that third party for a period of not less than five years.
(5) Nothing in this section shall be construed to prohibit State and local educational officials from having access to student or other records which may be necessary in connection with the audit and evaluation of any federally or State supported education program or in connection with the enforcement of the Federal legal requirements which relate to any such program, subject to the conditions specified in the proviso in paragraph (3).
(6)(A) Nothing in this section shall be construed to prohibit an institution of postsecondary education from disclosing, to an alleged victim of any crime of violence (as that term is defined in
(B) Nothing in this section shall be construed to prohibit an institution of postsecondary education from disclosing the final results of any disciplinary proceeding conducted by such institution against a student who is an alleged perpetrator of any crime of violence (as that term is defined in
(C) For the purpose of this paragraph, the final results of any disciplinary proceeding—
(i) shall include only the name of the student, the violation committed, and any sanction imposed by the institution on that student; and
(ii) may include the name of any other student, such as a victim or witness, only with the written consent of that other student.
(7)(A) Nothing in this section may be construed to prohibit an educational institution from disclosing information provided to the institution under section 14071 2 of title 42 concerning registered sex offenders who are required to register under such section.
(B) The Secretary shall take appropriate steps to notify educational institutions that disclosure of information described in subparagraph (A) is permitted.
(c) Surveys or data-gathering activities; regulations
Not later than 240 days after October 20, 1994, the Secretary shall adopt appropriate regulations or procedures, or identify existing regulations or procedures, which protect the rights of privacy of students and their families in connection with any surveys or data-gathering activities conducted, assisted, or authorized by the Secretary or an administrative head of an education agency. Regulations established under this subsection shall include provisions controlling the use, dissemination, and protection of such data. No survey or data-gathering activities shall be conducted by the Secretary, or an administrative head of an education agency under an applicable program, unless such activities are authorized by law.
(d) Students' rather than parents' permission or consent
For the purposes of this section, whenever a student has attained eighteen years of age, or is attending an institution of postsecondary education, the permission or consent required of and the rights accorded to the parents of the student shall thereafter only be required of and accorded to the student.
(e) Informing parents or students of rights under this section
No funds shall be made available under any applicable program to any educational agency or institution unless such agency or institution effectively informs the parents of students, or the students, if they are eighteen years of age or older, or are attending an institution of postsecondary education, of the rights accorded them by this section.
(f) Enforcement; termination of assistance
The Secretary shall take appropriate actions to enforce this section and to deal with violations of this section, in accordance with this chapter, except that action to terminate assistance may be taken only if the Secretary finds there has been a failure to comply with this section, and he has determined that compliance cannot be secured by voluntary means.
(g) Office and review board; creation; functions
The Secretary shall establish or designate an office and review board within the Department for the purpose of investigating, processing, reviewing, and adjudicating violations of this section and complaints which may be filed concerning alleged violations of this section. Except for the conduct of hearings, none of the functions of the Secretary under this section shall be carried out in any of the regional offices of such Department.
(h) Disciplinary records; disclosure
Nothing in this section shall prohibit an educational agency or institution from—
(1) including appropriate information in the education record of any student concerning disciplinary action taken against such 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; or
(2) disclosing such information to teachers and school officials, including teachers and school officials in other schools, who have legitimate educational interests in the behavior of the student.
(i) Drug and alcohol violation disclosures
(1) In general
Nothing in this Act or the Higher Education Act of 1965 [
(A) the student is under the age of 21; and
(B) the institution determines that the student has committed a disciplinary violation with respect to such use or possession.
(2) State law regarding disclosure
Nothing in paragraph (1) shall be construed to supersede any provision of State law that prohibits an institution of higher education from making the disclosure described in subsection (a).
(j) Investigation and prosecution of terrorism
(1) In general
Notwithstanding subsections (a) through (i) or any provision of State law, the Attorney General (or any Federal officer or employee, in a position not lower than an Assistant Attorney General, designated by the Attorney General) may submit a written application to a court of competent jurisdiction for an ex parte order requiring an educational agency or institution to permit the Attorney General (or his designee) to—
(A) collect education records in the possession of the educational agency or institution that are relevant to an authorized investigation or prosecution of an offense listed in
(B) for official purposes related to the investigation or prosecution of an offense described in paragraph (1)(A), retain, disseminate, and use (including as evidence at trial or in other administrative or judicial proceedings) such records, consistent with such guidelines as the Attorney General, after consultation with the Secretary, shall issue to protect confidentiality.
(2) Application and approval
(A)
(B) The court shall issue an order described in paragraph (1) if the court finds that the application for the order includes the certification described in subparagraph (A).
(3) Protection of educational agency or institution
An educational agency or institution that, in good faith, produces education records in accordance with an order issued under this subsection shall not be liable to any person for that production.
(4) Record-keeping
Subsection (b)(4) does not apply to education records subject to a court order under this subsection.
(
Editorial Notes
References in Text
The Richard B. Russell National School Lunch Act, referred to in subsec. (b)(1)(K), is act June 4, 1946, ch. 281,
The Child Nutrition Act of 1966, referred to in subsec. (b)(1)(K), is
Section 3 of the Child Abuse Prevention and Treatment Act, referred to in subsec. (b)(2)(B), is section 3 of
This Act, referred to in subsec. (i)(1), is
The Higher Education Act of 1965, referred to in subsec. (i)(1), is
Prior Provisions
A prior section 444 of
Amendments
2013—Subsec. (b)(1)(L).
Subsec. (b)(2)(B).
2010—Subsec. (b)(1)(K).
2002—Subsec. (a)(1)(B).
Subsec. (b)(1).
Subsec. (b)(1)(J).
Subsec. (b)(7).
2001—Subsec. (j).
2000—Subsec. (b)(7).
1998—Subsec. (b)(1)(C).
Subsec. (b)(6).
Subsec. (i).
1994—Subsec. (a)(1)(B).
Subsec. (a)(1)(C).
Subsec. (a)(1)(D).
Subsec. (a)(2).
Subsec. (a)(4)(B)(ii).
Subsec. (b)(1)(A).
Subsec. (b)(1)(C).
Subsec. (b)(1)(E).
Subsec. (b)(1)(H).
Subsec. (b)(1)(J).
Subsec. (b)(2).
Subsec. (b)(2)(B).
Subsec. (b)(3).
Subsec. (b)(4).
Subsec. (c).
Subsec. (d).
Subsec. (e).
Subsec. (f).
Subsec. (g).
Subsec. (h).
1992—Subsec. (a)(4)(B)(ii).
1990—Subsec. (b)(6).
1979—Subsec. (b)(5).
1974—Subsec. (a)(1).
Subsec. (a)(2).
Subsec. (a)(3) to (6).
Subsec. (b)(1).
Subsec. (b)(2).
Subsec. (b)(3).
Subsec. (b)(4).
Subsec. (e).
Subsec. (g).
Statutory Notes and Related Subsidiaries
Effective Date of 2010 Amendment
Amendment by
Effective Date of 2002 Amendment
Amendment by
Effective Date of 1998 Amendment
Amendment by
Effective Date of 1992 Amendment
Effective Date of 1979 Amendment
Amendment by
Effective Date of 1974 Amendment
Effective Date
1 So in original. The period probably should be a semicolon.
2 See References in Text note below.
§1232h. Protection of pupil rights
(a) Inspection of instructional materials by parents or guardians
All instructional materials, including teacher's manuals, films, tapes, or other supplementary material which will be used in connection with any survey, analysis, or evaluation as part of any applicable program shall be available for inspection by the parents or guardians of the children.
(b) Limits on survey, analysis, or evaluations
No student shall be required, as part of any applicable program, to submit to a survey, analysis, or evaluation that reveals information concerning—
(1) political affiliations or beliefs of the student or the student's parent;
(2) mental or psychological problems of the student or the student's family;
(3) sex behavior or attitudes;
(4) illegal, anti-social, self-incriminating, or demeaning behavior;
(5) critical appraisals of other individuals with whom respondents have close family relationships;
(6) legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers;
(7) religious practices, affiliations, or beliefs of the student or student's parent; or
(8) income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program),
without the prior consent of the student (if the student is an adult or emancipated minor), or in the case of an unemancipated minor, without the prior written consent of the parent.
(c) Development of local policies concerning student privacy, parental access to information, and administration of certain physical examinations to minors
(1) Development and adoption of local policies
Except as provided in subsections (a) and (b), a local educational agency that receives funds under any applicable program shall develop and adopt policies, in consultation with parents, regarding the following:
(A)(i) The right of a parent of a student to inspect, upon the request of the parent, a survey created by a third party before the survey is administered or distributed by a school to a student; and
(ii) any applicable procedures for granting a request by a parent for reasonable access to such survey within a reasonable period of time after the request is received.
(B) Arrangements to protect student privacy that are provided by the agency in the event of the administration or distribution of a survey to a student containing one or more of the following items (including the right of a parent of a student to inspect, upon the request of the parent, any survey containing one or more of such items):
(i) Political affiliations or beliefs of the student or the student's parent.
(ii) Mental or psychological problems of the student or the student's family.
(iii) Sex behavior or attitudes.
(iv) Illegal, anti-social, self-incriminating, or demeaning behavior.
(v) Critical appraisals of other individuals with whom respondents have close family relationships.
(vi) Legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers.
(vii) Religious practices, affiliations, or beliefs of the student or the student's parent.
(viii) Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program).
(C)(i) The right of a parent of a student to inspect, upon the request of the parent, any instructional material used as part of the educational curriculum for the student; and
(ii) any applicable procedures for granting a request by a parent for reasonable access to instructional material within a reasonable period of time after the request is received.
(D) The administration of physical examinations or screenings that the school or agency may administer to a student.
(E) The collection, disclosure, or use of personal information collected from students for the purpose of marketing or for selling that information (or otherwise providing that information to others for that purpose), including arrangements to protect student privacy that are provided by the agency in the event of such collection, disclosure, or use.
(F)(i) The right of a parent of a student to inspect, upon the request of the parent, any instrument used in the collection of personal information under subparagraph (E) before the instrument is administered or distributed to a student; and
(ii) any applicable procedures for granting a request by a parent for reasonable access to such instrument within a reasonable period of time after the request is received.
(2) Parental notification
(A) Notification of policies
The policies developed by a local educational agency under paragraph (1) shall provide for reasonable notice of the adoption or continued use of such policies directly to the parents of students enrolled in schools served by that agency. At a minimum, the agency shall—
(i) provide such notice at least annually, at the beginning of the school year, and within a reasonable period of time after any substantive change in such policies; and
(ii) offer an opportunity for the parent (and for purposes of an activity described in subparagraph (C)(i), in the case of a student of an appropriate age, the student) to opt the student out of participation in an activity described in subparagraph (C).
(B) Notification of specific events
The local educational agency shall directly notify the parent of a student, at least annually at the beginning of the school year, of the specific or approximate dates during the school year when activities described in subparagraph (C) are scheduled, or expected to be scheduled.
(C) Activities requiring notification
The following activities require notification under this paragraph:
(i) Activities involving the collection, disclosure, or use of personal information collected from students for the purpose of marketing or for selling that information (or otherwise providing that information to others for that purpose).
(ii) The administration of any survey containing one or more items described in clauses (i) through (viii) of paragraph (1)(B).
(iii) Any nonemergency, invasive physical examination or screening that is—
(I) required as a condition of attendance;
(II) administered by the school and scheduled by the school in advance; and
(III) not necessary to protect the immediate health and safety of the student, or of other students.
(3) Existing policies
A local educational agency need not develop and adopt new policies if the State educational agency or local educational agency has in place, on January 8, 2002, policies covering the requirements of paragraph (1). The agency shall provide reasonable notice of such existing policies to parents and guardians of students, in accordance with paragraph (2).
(4) Exceptions
(A) Educational products or services
Paragraph (1)(E) does not apply to the collection, disclosure, or use of personal information collected from students for the exclusive purpose of developing, evaluating, or providing educational products or services for, or to, students or educational institutions, such as the following:
(i) College or other postsecondary education recruitment, or military recruitment.
(ii) Book clubs, magazines, and programs providing access to low-cost literary products.
(iii) Curriculum and instructional materials used by elementary schools and secondary schools.
(iv) Tests and assessments used by elementary schools and secondary schools to provide cognitive, evaluative, diagnostic, clinical, aptitude, or achievement information about students (or to generate other statistically useful data for the purpose of securing such tests and assessments) and the subsequent analysis and public release of the aggregate data from such tests and assessments.
(v) The sale by students of products or services to raise funds for school-related or education-related activities.
(vi) Student recognition programs.
(B) State law exception
The provisions of this subsection—
(i) shall not be construed to preempt applicable provisions of State law that require parental notification; and
(ii) do not apply to any physical examination or screening that is permitted or required by an applicable State law, including physical examinations or screenings that are permitted without parental notification.
(5) General provisions
(A) Rules of construction
(i) This section does not supersede
(ii) Paragraph (1)(D) does not apply to a survey administered to a student in accordance with the Individuals with Disabilities Education Act (
(B) Student rights
The rights provided to parents under this section transfer to the student when the student turns 18 years old, or is an emancipated minor (under an applicable State law) at any age.
(C) Information activities
The Secretary shall annually inform each State educational agency and each local educational agency of the educational agency's obligations under this section and
(D) Funding
A State educational agency or local educational agency may use funds provided under part A of title IV of the Elementary and Secondary Education Act of 1965 [
(6) Definitions
As used in this subsection:
(A) Instructional material
The term "instructional material" means instructional content that is provided to a student, regardless of its format, including printed or representational materials, audio-visual materials, and materials in electronic or digital formats (such as materials accessible through the Internet). The term does not include academic tests or academic assessments.
(B) Invasive physical examination
The term "invasive physical examination" means any medical examination that involves the exposure of private body parts, or any act during such examination that includes incision, insertion, or injection into the body, but does not include a hearing, vision, or scoliosis screening.
(C) Local educational agency
The term "local educational agency" means an elementary school, secondary school, school district, or local board of education that is the recipient of funds under an applicable program, but does not include a postsecondary institution.
(D) Parent
The term "parent" includes a legal guardian or other person standing in loco parentis (such as a grandparent or stepparent with whom the child lives, or a person who is legally responsible for the welfare of the child).
(E) Personal information
The term "personal information" means individually identifiable information including—
(i) a student or parent's first and last name;
(ii) a home or other physical address (including street name and the name of the city or town);
(iii) a telephone number; or
(iv) a Social Security identification number.
(F) Student
The term "student" means any elementary school or secondary school student.
(G) Survey
The term "survey" includes an evaluation.
(d) Notice
Educational agencies and institutions shall give parents and students effective notice of their rights under this section.
(e) Enforcement
The Secretary shall take such action as the Secretary determines appropriate to enforce this section, except that action to terminate assistance provided under an applicable program shall be taken only if the Secretary determines that—
(1) there has been a failure to comply with such section; and
(2) compliance with such section cannot be secured by voluntary means.
(f) Office and review board
The Secretary shall establish or designate an office and review board within the Department of Education to investigate, process, review, and adjudicate violations of the rights established under this section.
(
Editorial Notes
References in Text
The Individuals with Disabilities Education Act, referred to in subsec. (c)(5)(A)(ii), is title VI of
The Elementary and Secondary Education Act of 1965, referred to in subsec. (c)(5)(D), is
Prior Provisions
A prior section 445 of
Amendments
2015—Subsec. (c)(5)(D).
2002—Subsec. (b)(1) to (8).
"(1) political affiliations;
"(2) mental and psychological problems potentially embarrassing to the student or his family;
"(3) sex behavior and attitudes;
"(4) illegal, anti-social, self-incriminating and demeaning behavior;
"(5) critical appraisals of other individuals with whom respondents have close family relationships;
"(6) legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers; or
"(7) income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program),".
Subsec. (c) to (f).
1994—
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 2015 Amendment
Amendment by
Effective Date of 2002 Amendment
Amendment by
Effective Date of 1978 Amendment
Amendment by
Effective Date
§1232i. Limitations on withholding of Federal assistance
(a) Refusal to supply personal data on students or families
Except as provided in
(b) Noncompliance with nondiscrimination provisions of Federal law
The extension of Federal financial assistance to a local educational agency may not be limited, deferred, or terminated by the Secretary on the ground of noncompliance with title VI of the Civil Rights Act of 1964 [
(1) at least 30 days prior written notice of deferral to the agency, setting forth the particular program or programs which the Secretary finds to be operated in noncompliance with a specific provision of Federal law;
(2) the opportunity for a hearing on the record before a duly appointed administrative law judge within a 60-day period (unless such period is extended by mutual consent of the Secretary and such agency) from the commencement of any deferral;
(3) the conclusion of such hearing and the rendering of a decision on the merits by the administrative law judge within a period not to exceed 90 days from the commencement of such hearing, unless the judge finds by a decision that such hearing cannot be concluded or such decision cannot be rendered within such period, in which case such judge may extend such period for not to exceed 60 additional days;
(4) the limitation of any deferral of Federal financial assistance which may be imposed by the Secretary to a period not to exceed 15 days after the rendering of such decision unless there has been an express finding on such record that such agency has failed to comply with any such nondiscrimination provision of Federal law; and
(5) procedures, which shall be established by the Secretary, to ensure the availability of sufficient funds, without regard to any fiscal year limitations, to comply with the decision of such judge.
(c) Failure to comply with imposition of quotas
It shall be unlawful for the Secretary to defer or limit any Federal financial assistance on the basis of any failure to comply with the imposition of quotas (or any other numerical requirements which have the effect of imposing quotas) on the student admission practices of an institution of higher education or community college receiving Federal financial assistance.
(
Editorial Notes
References in Text
The Civil Rights Act of 1964, referred to in subsec. (b), is
Prior Provisions
A prior section 446 of
Amendments
1994—Subsec. (a).
1976—
Statutory Notes and Related Subsidiaries
Effective Date of 1976 Amendment
Amendment by
Effective Date
§1232j. Prohibition on federally sponsored testing
(a) General prohibition
Notwithstanding any other provision of Federal law and except as provided in subsection (b), no funds provided to the Department of Education or to an applicable program, may be used to pilot test, field test, implement, administer or distribute in any way any federally sponsored national test in reading, mathematics, or any other subject that is not specifically and explicitly provided for in authorizing legislation enacted into law.
(b) Exceptions
Subsection (a) shall not apply to the Third International Mathematics and Science Study or other international comparative assessments developed under the authority of
(
Editorial Notes
Prior Provisions
A prior section 447 of
Prior sections 1233 to 1233h comprising a former subchapter IV of this chapter were repealed by
Section 1233,
Section 1233a,
Section 1233b,
Section 1233c,
Section 1233d,
Section 1233e,
Section 1233f,
Section 1233g,
Section 1233h,
Amendments
2002—Subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date of 2002 Amendment
Amendment by