Educational Research

Institutional Review Board

What is FERPA?

When student records are involved, researchers must follow the regulations of The Family Educational Rights and Privacy Act (FERPA) and The Protection of Pupil Rights Amendment (PPRA), as applicable, which exist separately from ETSU IRB regulations and procedures.

FERPA is a federal law that gives parents/guardians certain rights regarding their children’s education records. These rights transfer to the student when they reach age 18 or attend a postsecondary institution. Generally, schools must obtain written permission from the parent or eligible student in order to release any information from a student's education record.  

FERPA defines educational records as records containing information (in any medium - paper, electronic, microfilm, etc.) that are directly related to a student and are maintained by an educational institution or by a party acting for the institution. Educational records may include (but is not limited to) any of the following: 

  • Grades/Transcripts
  • Personal identifiers/Contact information 
  • Course Enrollment/Programs of study 
  • Extracurricular involvement 
  • Attendance records 
  • Specific assignments 
  • FERPA Consent Requirements
    The written consent of the parents/guardians to release their child’s educational records must specify the following: 
    • What records will be shared
    • Why the records will be shared
    • Any potential persons/parties who the records might be shared with
    • Whose record is being shared
    • Who is authorizing the sharing of the record 


  • Transparency Requirements
    In studies involving FERPA regulations, parents/guardians and eligible students have the right to request a copy of the record(s) that has been shared with the researcher. This access should be provided by the educational institution that shared the information with the researcher. 
  • Documentation Requirements

    When arranging access to education records, the researcher and the school must have a written agreement documenting how they are complying with FERPA and other Department of Education regulations. This agreement should include:

    • How the researcher will accommodate parents/guardians who wish to review the study materials and/or procedures
    • What information will be shared with the researcher
    • How the information will be used
    • How and when any identifiable information will be destroyed or returned to the school  

FERPA Exceptions

In some cases, a researcher may be able to access education records without student consent. A researcher may be eligible for a FERPA exception if 

  • The study purpose is to develop, validate, or administer predictive tests,
  • The study purpose is to administer student aid programs,
  • The study purpose is to improve instruction, OR
  • All personally identifiable information has been removed from the record
  • Documenting FERPA Exceptions

    When an exception is granted, the researcher and the school must have a written agreement that specifies the following: 

    • Why the exception was granted 
    • The purpose, scope, and duration of the study 
    • What information will be shared 
    • Assurance that the shared education records will only be used for the purposes of the study 
    • Assurance that identifiable information will not be shared with anyone outside of the research team and necessary stakeholders 
    • A plan for how and when the identifiable information will be returned or destroyed upon completion of the study 
  • Personally Identifiable Information

    Under FERPA, anything that could be used to link an education record to a specific student is considered personally identifiable information.  Personally identifiable information may include (but is not limited to) the following: 

    • Name 
    • SSN or student ID number 
    • Names and/or maiden names of a student’s family members 
    • Address 
    • Date of Birth 
    • Handwriting 
    • Biometric records (fingerprints, facial characteristics, voice recordings, etc) 
  • When FERPA Exceptions Cannot be Granted

    For certain types of studies, FERPA exceptions cannot be granted, and the researcher must get permission from the parent/legal guardian or consent from the student (if the student is an adult). Studies seeking to gain information related to any of the following topics are not eligible for a FERPA exception: 

    • Political affiliations/beliefs of the student or the student’s family 
    • Mental/psychological issues of the student or student’s family 
    • Sexual behavior or attitudes 
    • Illegal, anti-social, self-incriminating, or demeaning behavior 
    • Religious beliefs, practices, or affiliations of the student or the student’s family 
    • Critical appraisals of the student’s close friends/family 
    • Legal relationships (such as with lawyers, doctors, or ministers) 
    • Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program) 

    When a study involves any of the above 8 topics, the parents/guardians of the students have the right to review any study materials (such as surveys or activity descriptions) and/or procedures upon request before deciding if they will permit their student to participate.  

Survey Research in Schools


The Protection of Pupil Rights Amendment, or PPRA, is a federal law that provides certain rights for parents of students regarding, among other things, student participation in surveys; the inspection of instructional material; certain physical exams; and the collection, disclosure, and use of personal information for marketing purposes. PPRA applies to the programs and activities of the State board of education, public board of education or similar authority over public schools, and any program funded by the U.S. Department of Education.

  • What part of PPRA relates to IRB protocols?

    PPRA affords parents of students certain rights regarding participation in surveys involving one or more of the eight specific topics deemed protected information. These include the right to:

    Consent before students are required to submit a survey involving protected information if the survey is funded as part of any program administered by ED.
    Receive direct notice and an opportunity to opt a student out of any protected information survey distributed through local schools if it is not funded by ED
     Inspect, upon request, any protected information surveys, and surveys created by a third party, before administration or distribution through the local school to a student and instructional materials, used by the local school system as part of the educational curriculum.
    These rights transfer from the parents to the student when the student turns 18 years old, or becomes an emancipated minor. Because the IRB is charged with protecting the rights and welfare of participants in research, investigators must supply documentation that school sites comply with PPRA, when applicable.

  • What survey topics are covered by PPRA?
    • PPRA specifies the right of parents and guardians to consent, or opt out in certain conditions, and to inspect any instrument used to collect information concerning:
    • political affiliations or beliefs of the student or the student's parent

    • mental and 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

    • income
  • PPRA Consent Form/Parent Permission Requirements

    PPRA specifies that prospective, written consent must be obtained from parents or guardians of children before their child is asked to respond to any protected information surveys funded by the Department of Education. An opt out approach is not allowed. 

    For studies not funded by ED, but where the protected information survey is distributed or administered by a public school, parents must be directly notified in advance regarding the survey, be provided an opportunity to inspect the survey, and be allowed to opt their child out of participating.

    Furthermore, PPRA requires that parents be provided the opportunity to inspect (access and review upon request) any instructional materials used by the school system, and this includes materials used for research sponsored by ED or for unfunded research occurring in public schools.

    These consent requirements must be fulfilled by the local school, not necessarily by the investigators. Therefore, the IRB requires documentation that the school site participating in the research has policies and procedures in place to comply with PPRA, when applicable.

State Laws and Research in Schools

The state where the school or institution is located may have specific laws providing rights to parents and students. Researchers must inform the IRB if the research is occurring outside the state of Tennessee and may need to obtain a legal opinion, or supply resources, for the IRB to better understand the applicable laws in the location being studied. Research teams must be qualified to conduct research within the setting and population proposed and are expected to inform the IRB of any special protections or requirements relevant to their proposal. The IRB will seek Legal Counsel’s opinion as needed to facilitate its review and approval of research.

An example of an applicable TN statutory protection for parents is Tenn. Code Ann. § 49-2-211, which requires local schools to have a policy that gives parents the right to access all surveys, analyses, or evaluations prior to being administered and to require written, informed consent of parents before the student participates. School sites must provide written permission to researchers that includes documentation of compliance with applicable laws before the IRB will approve the research.

  • Tips for Researchers
    • Check with school district registrar, or with Carly Weaver, Associate Counsel (if using ETSU data you already have access to via your employment, etc.) to ensure you follow FERPA regulations. For example, if not getting signed student/parent permission based on an accepted condition in 34 CFR § 99.31 stated above, check with the registrar or legal counsel to see if you need a formal written exception. Documentation of an exception must be provided to the IRB when asking for a waiver or to use an opt out consent procedure.
    • Be very specific about what data you are requesting to the IRB and to the registrar (e.g., instead of a generic response such as ‘academic record’, list all items you will collect: GPAs and cumulative GPAs, students’ academic transcript, course and grade history, gender identity, ethnicity, etc.). 
    •  If you can reasonably obtain prior written, informed consent or parental permission for the research, you must do so, and written consent allows for the use of protected information in research. The consent must be specific about the records being used for research and who will have access.
    •  If you cannot obtain prior written consent from the parent/guardian(s), or the student over 18, there are some flexibilities available in the regulations to allow for opt out notification when deemed appropriate by the IRB. Justification to the IRB will be required for consideration of an opt out notification process. 
    • For research in public schools, the IRB requires a Letter of Permission from the appropriate signatory authority. The letter needs to incorporate details as to the role, expectations, awareness, commitments, responsibilities of the relevant parties. For example, the letter would need to describe how access to records is granted and attest to compliance with applicable laws such as FERPA and PPRA.

Other Resources

A Parent Guide to the Family Educational Rights and Privacy Act (FERPA), July 2021

Protection of Pupil Rights Amendment (PPRA) General Guidance, November 2020

Tennessee Department of Education Legal Resources