Education records are any records maintained in any form or medium by the University that are directly related to a student.  This includes any information recorded in any way, such as handwriting, print, computer media, photos, videos, and audio tape.  The term is broadly interpreted to mean any records related to a student, except for the following:

• Records that are kept in the sole possession of the maker, are used only as a personal memory aid, and are not accessible or revealed to any other person.
• Records of the law enforcement unit of the University, i.e. the UConn Police Department.
• Records related to an individual’s employment at the University exclusively in their capacity as an employee. This exception does not include records related to an individual who is employed as a result of their status as a student, which are education records.
• Records that are made or maintained by a physician or other recognized healthcare professional that are used only in connection with treatment of the student and disclosed only to individuals providing the treatment, i.e. SHaW treatment records.
• Records created or received by the University after an individual is no longer a student and not related to the individual’s attendance as a student, i.e. alumni records.
• Grades on peer-graded papers before they are collected and recorded by the instructor.

Students must provide prior written consent (PWC) with a signed and dated consent form before the University may disclose their education records.  Under FERPA, the written consent must:

• specify the records that may be disclosed;
• state the purpose of the disclosure; and
• identify the party or class of parties to whom the disclosure may be made.

Any format for the written consent may be used if all requirements are included, although it is recommended to use the informed consent template.  It’s important to note that FERPA PWC is distinct from IRB informed consent for human subjects research but a single consent form may be used for both purposes as long as it meets all regulatory requirements.

• Is a typed name on an electronic form (e.g., survey or questionnaire) considered acceptable?
• If yes, when provided with a link to a consent form, are there specific requirements for collecting electronic consent?
• For UConn students, is logging into the form using their NetID and password sufficient to meet signature requirements?

Under FERPA, an electronic signature must establish a reasonable way to identify and authenticate a specific student as the source of the electronic consent.  A typed name would be insufficient as there would be no way to know if the name was actually typed by the student.  On the other hand, an electronic signature generated with security controls such as NetID and password would be sufficient, as these credentials authenticate the student as the individual providing the electronic consent.  A record of the electronic consent must be maintained.

• How does a researcher request UConn Directory Information?
• Can a UConn researcher use UConn Directory Information without obtaining prior written consent?

Directory Information is defined by FERPA as “information contained in an education record of a student that would not generally be considered harmful or an invasion of privacy if disclosed.”  The University has designated the following as Directory Information:

• Name
• NetID
• PeopleSoft Number
• School or College
• Major Field of Study
• Degree Sought
• Student Level
• Degrees, Honors & Awards Received
• Residency/Match Information (medical/dental students)
• Dates of Attendance
• Participation in Officially Recognized Activities and Sports
• Weight and Height of Athletic Team Members and Other Similar Information Including Performance Statistics
• Photographic Likenesses and Video of Athletic Team Members
• For Student Employees, Employing Department & Dates of Employment

Directory Information may be used and disclosed for research without obtaining prior written consent from the student, as long as the student has not opted out of Directory Information.  Researchers should consult with the Office of the Registrar to identify and exclude students who have opted-out of Directory Information.  Directory Information may be requested from the Office of the Registrar.

Is it permissible for a department, program, or center to identify eligible students and send a recruitment email on behalf of a principal investigator (PI), including the PI’s contact information for students interested in learning more about the study?

In general, student data is not authorized for release for purposes of research.  The permitted exceptions are:

• Prior written consent of the student; and
• Deidentified student data.

Certain statistical deidentified data may be requested from the Office of the Registrar and/or Budget, Planning, and Institutional Research.  Researchers should consult with these offices in advance regarding the intended use of deidentified student data.

Researchers may recruit student participants by posting advertisements on the Daily Digest or other University listservs. Additionally, researchers may enroll students from their classes using various methods, such as scripts or information sheets. Recruitment methods and materials must be approved by the IRB.

• Is prior written consent from students required for the instructor to use student assignments and grades for research?

Yes, prior written consent from students is required to use student data for research, including student grades for coursework and other assignments.    It may be difficult to obtain consent after a semester has ended. It is best to plan in advance and obtain consent when the students are readily available.

• If prior written consent has not been obtained, may the instructor de-identify the data?

No, the instructor may not deidentify student data for research purposes.  Please contact the Office of the Registrar and/or Budget, Planning, and Institutional Research for requests about use of de-identified student data.

• How should data from education records be published or reported?

Confidentiality of student data should be maintained when reporting results. Researchers should consider when demographics or other parameters, such as when five or less individuals in a cell or group of participants may make identification possible.  For data to be deidentified under FERPA, all information that is linked or linkable to a specific student must be removed, so that there is no reasonable basis to identify the student.

The University’s Privacy requirements do not extend beyond its own students.  Researchers conducting research in school settings should consult the elementary or secondary school with respect to applicable privacy requirements related to these students.