FERPA and IRB: Implications for Testing Centers

1. FERPA and IRB: Implications for Testing Centers Judith W. Grant, Ph.D.,CIP NCTA Conference San Antonio, Texas August 6, 2009

2. Welcome to San Antonio • It isn’t always this hot! • Please come back in February!

3. FERPA • Family Educational Rights and Privacy Act • Federal law, enacted August 21, 1974 to protect the privacy of personally identifiable information contained within a student’s educational record • Most recently updated, January 8, 2009

4. Student or parent must provide consent for release of educational records/use of educational records unless the release or use qualifies as not requiring consent • Generally, research uses require written consent

5. Educational Record • A record containing information, in any medium—paper, electronic, microfilm, etc., that directly relates to a student and are maintained by an educational institution or a party acting for the institution • Applies to all schools (K-12 and postsecondary institutions) that receive funds under various programs from the U.S. Dept. of Education

6. Points to Keep in Mind • Student records are subject to FERPA if they can be linked to the student (i.e., contain identifiers) • Doesn’t prohibit disclosures for health and safety purposes in emergencies • Doesn’t prohibit teachers and other school officials having access to records in which they have a legitimate educational interest

7. May disclose records to parents in cases in which the student is a dependent regardless of student’s age (need evidence or consent of student) • Information can be released, without consent, to another institution for purposes related to the student’s enrollment or transfer • Postsecondary students can provide consent for release regardless of age

8. Examples of FERPA subject records • Transcripts • Test scores submitted for admission • Test scores required for promotion or graduation • Homework • Term papers

9. Records Usually Not Subject to FERPA • Certain law enforcement records • Employment records that relate exclusively to the individual as an employee • Information about an individual obtained after he or she is no longer a student

10. Directory Information(may be released without consent unless student opts out) • Name, address, telephone number • Email address • Date and place of birth • Major field of study • Enrollment status • Dates of attendance • Most recent previous school attended • Date of graduation • Physical factors (ht. & wt. of athletes) • Photographs • Degrees, certificates, awards

11. FERPA and RESEARCH Generally, schools must have written permission from the parent (if student is a minor) or student in order to release any information from student’s educational record for the purpose of research. University/college students: student can provide consent regardless of otherwise minor status Exception allows disclosure without consent when the recipient agency is conducting research on behalf of the institution (requires written agreement)

12. Institutional Review Board(IRB) • IRB’s established by US Congress in 1974 (National Research Act) • Purpose is to protect the rights and welfare of human participants in research • Institutions receiving research funding from the Department of Health & Human Services required to have an Assurance with HHS (known as a Federalwide Assurance)

13. Institutions having an Assurance must have an IRB or a designated IRB to approve and provide oversight for the protection of human subjects in research • IRB’s ensure that research complies with regulations and ethical principles HHS, FDA state, local & institutional regs Belmont Ethical Principles

14. Important Definitions • Research--a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge • Human Subject—a living individual about whom an investigator conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information

15. Do you need IRB approval before presenting student data at a conference? Is it research? Are you intending to contribute to generalizable knowledge? Does the research involve human subjects? “private identifiable information”

16. Non-Research Use of Data Data for educational planning within the institution Data for quality improvement within an institution Data for needs assessment within an institution When the collection of data is for non-research purposes only no IRB approval is needed.

17. IRB’s : all a little different • Same federal regulations, but the regulations are the bottom line (can require more) • Institutional Policy can add extra requirements • Other Institutional Requirements may impose requirements (Who is the custodian of the data, who owns the data, who can access the data)

18. Obtaining IRB approval • IRB’s are all a little different!!! • Submission of research for review to IRB prior to implementation (that includes recruitment) • Submission should include plans for the protections of human subjects • Procedures/forms differ from one institution to another • Different levels of review required for different levels of risk and specified procedures

19. Belmont Ethical Principles Respect for Persons Beneficence Justice

20. Informed Consent • Adequate information to decide about participation • Adequate time/opportunity to decide about participation • Absence of coercion and undue influence • Absence of exculpatory language • Understandable language/reading level

21. Informed Consent Document • Waiver of consent • Waiver of documentation of consent

22. Conflict of Interest • Individuals or institutions in situations where there are potentially opposing interests operating to potentially bias the results of research (bias the design, implementation, interpretation of research) • Examples: enrollment bonuses, excessive payment beyond reasonable compensation

23. Ethical principles guide good testing procedures. • Ethical principles guide IRB review of research. IRB’s should facilitate the ethical conduct of research to contribute to greater knowledge and understanding.