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U-MIC

2. Family educational rights and privacy act
FERPA
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U-MIC
University of Michigan IRB Collaborative

3. FERPA Family Educational Rights and Privacy Act (FERPA) federal law
protects confidentiality of personally identifiable information
in educational record
applies to use of educational records for
scholarly research
institutional research on learning and teaching
34 CFR 99
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U-MIC

4. FERPA Use of educational information with permission
from the student’s parent
from student if
at least 18 years old
enrolled in a postsecondary institution
requirement met if student or parent
signs and dates consent document
authorizes the release of educational record for research
consent document must identify
records disclosed
purpose of disclosure
to whom disclosed
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U-MIC

5. FERPA Use of educational information with permission IRB process
IRB application
specifies information from educational records to be used in research
indicates whether any information is personally identifiable
must include documentation of permission
even if project qualifies for exemption from Common Rule
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U-MIC

6. FERPA Use of educational information without permission
allowable (not required) for information in three basic categories:
directory information
de-identified information
information that qualifies for a study exception
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U-MIC

7. FERPA Use of educational information without permission
Category 1: directory information
information not generally considered harmful/ or invasion of privacy if disclosed
student name
name of the student’s school
major course of study
dates of attendance
other basic academic information
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U-MIC

8. FERPA Use of educational information without permission
Category 2: de-identified information
omits personally identifiable information (PII)
direct identifiers
name
Social Security number
student ID
indirect identifiers
family members’ names
birthdate or mother’s maiden name
biometric records
fingerprints
retina/iris patterns
voiceprints
DNA sequence
facial characteristics
handwriting
other information that might identify student
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U-MIC

9. FERPA Use of educational information without permission
Category 3: Study exception
applies in cases where an investigator conducts a study for/on behalf of disclosing institution
improve instruction
develop predictive tests
administer student aid programs
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U-MIC

10. FERPA Use of educational information without permission
IRB/MOU process at the University of Michigan
study prevents students from being identified by persons outside study
requires written agreement between institution and investigator
Memorandum of Understanding (MOU)
study purpose, scope and duration
the information to be disclosed
when PII will be destroyed
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U-MIC

11. FERPA Use of educational information without permission
IRB/MOU process at the University of Michigan
Study receives approval with contingencies
Application should specify
which information will be used
whether PII
Unit responsible for disclosing information
executes MOU per parameters approved by the IRB
Researcher submits executed copy of MOU to IRB for final approval
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U-MIC

12. FERPA Use of educational information from external institutions
contact the external institution
follow external institution’s FERPA policies/procedures
U-M IRB review process
obtain site approval documentation
FERPA requirements
other applicable requirements
include documentation with U-M IRB application
even if a project qualifies for an exempt determination
Written permission may be
part of the informed consent
separate document
Study exception for research conducted by U-M researchers at external institution
rare
data use agreement or MOU from releasing institution
including required information and terms of use
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U-MIC

13. FERPA Student information not protected under FERPA
Information not considered part of an educational record:
records in sole possession of creator
instructor’s notes
some law enforcement records
employment records
information about individual when no longer a student
alumni activities
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U-MIC

14. Family Educational Rights and Privacy Act (FERPA)
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U-MIC

15. Thank you. Adam Mrdjenovich Cindy Shindledecker IRB-HSBS Judy Birk
IRBMED
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U-MIC