FERPA and PPRA Guidance for Human Subjects Research

Considerations When Collecting Student Records

When collecting education records from students (K-12 and higher education)  and the  are two laws that must be taken into consideration.

 is a federal law that protects the privacy of student education records. The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education. It is the investigator’s responsibility to be aware of when these laws would affect their research and to be aware of their obligations with the school.

 is a federal law that affords certain rights to parents of minor students with regard to surveys that ask questions of a personal nature.

FERPA

Generally, schools must have written permission from the parent or eligible student (if the student is at least 18 years old or attending a post-secondary education institution) in order to release any information from a student’s education record.

Under FERPA, Education Records include:

  • Student grades, GPA, transcripts
  • Student course schedules and enrollment information
  • Student work – class work, tests, homework
  • Student financial information
  • Student health records
  • Student discipline files
  • Special education records
  • Student attendance records
  • Video or audio recordings of students in an educational class setting

If the instructor is also the researcher, they cannot de-identify student data and then use those data for their own research purposes. When an instructor wants to use data from their own students for research purposes, those data are always considered to be confidential, and student consent (or parent consent for students under 18 years old) is needed.

FERPA and Consent Forms

Researchers must obtain signed consent from the parent or student (at least 18 years old or attending a post-secondary education institution) to access information from the student’s educational record for research purposes. The IRB cannot waive the requirement for signed consent. The signed consent forms must be stored indefinitely.

The signed consent form must be dated and signed and include the following information:

  1. Specify the data that are being collected.
  2. State how the data will be used.
  3. State who will have access to the data.
  4. Add a statement: “Federal laws require that you give written permission for researchers to access your educational records. By consenting to participate in the research study you are also providing consent to access the following educational records…..”

Electronic signatures are acceptable as long as the form:

  1. Identifies and authenticates a particular person as the source of the electronic signature.
  2. Indicates the person’s approval of the information contained in the electronic consent. 

Exceptions to FERPA

  • FERPA allows schools to disclose those records, without consent, to the following parties or under the following conditions:
    • School officials with legitimate educational interest;
    • Other schools to which a student is transferring;
    • Specified officials for audit or evaluation purposes;
    • Appropriate parties in connection with financial aid to a student;
    • Accrediting organizations;
    • To comply with a judicial order or lawfully issued subpoena;
    • Appropriate officials in cases of health and safety emergencies; and
    • State and local authorities, within a juvenile justice system, pursuant to specific State law
    • Organizations conducting certain studies for or on behalf of the school.
  • Schools may disclose, without consent, “directory” information such as a student’s name, address, telephone number, date and place of birth, honors and awards, and dates of attendance. However, schools must tell parents and eligible students about directory information and allow parents and eligible students a reasonable amount of time to request that the school not disclose directory information about them.
    • Researchers should contact each educational institution from which they propose to access student records and follow that institution’s FERPA policy and procedures when accessing and proposing to disclose any directory information.
  • Schools may disclose information from student education records without prior consent if all personally identifiable information has been removed from the records, provided that the institution has made a reasonable determination that a student’s identity would not be personally identifiable, whether through single or multiple releases, and taking into account other reasonably available information.
    • Note that it is the educational institution that holds the student records that must make this determination.

Further Guidance on FERPA

For additional guidance about FERPA regulations at the University of Maine please contact the .

If you are working with an outside school and accessing FERPA-protected student records, please consult with that school directly.

PPRA

The PPRA applies to the programs and activities of a state educational agency (SEA), local educational agency (LEA), or other recipient of funds under any program funded by the U.S. Department of Education. It governs the administration to students of a survey, analysis, or evaluation that concerns one or more of the following eight protected areas:

  • political affiliations or beliefs of the student or the student’s parent;
  • mental or psychological problems of the student or the student’s family;
  • sex behavior or attitudes;
  • illegal, anti-social, self-incriminating, or demeaning behavior;
  • critical appraisals of other individuals with whom respondents have close family relationships;
  • legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers;
  • religious practices, affiliations, or beliefs of the student or student’s parent; or,
  • income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program).

Researchers whose research is subject to the PPRA should review the policies of the local educational agency early in the study design process.

References

  • Yale University: Things to Consider When Collecting Student Records (no longer available online)