Appendix F through G

Appendix F Transcript Data Request Contacting Materials and Data Elements................................... F-1

Appendix G Student Records Request Contacting Materials and Data Elements................................. G-1

F-1

Appendix F

Transcript Data Request Contacting Materials and 

Data Elements

i

Contents

Transcript Collection Request Letter from RTI.................................................................................. F-3

Transcript Collection Request Letter from NCES .............................................................................. F-4

Transcript Request from Endorsing Agency ....................................................................................... F-5

Sample List of Endorsing Associations and Organizations ................................................................ F-6

Guide to the High School Longitudinal Study of 2009 (HSLS:09)..................................................... F-7

Family Educational Rights and Privacy Act Fact Sheet ..................................................................... F-9

Text for the High School Longitudinal Study of 2009 (HSLS:09)Postsecondary Education 

Transcript Study (PETS) Brochure.............................................................................................. F-16

Disclosure Notice................................................................................................................................... F-19

Student Transcript Fax Test Page....................................................................................................... F-20

Student Transcript Fax Transmittal Sheet......................................................................................... F-21

HSLS:09 Postsecondary Education Transcripts (HSLS:09 PETS).................................................. F-23

Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-3

Transcript Collection Request Letter from RTI

{date}

{contact_fname} {contact_lname}

{inst_name}

{inst_addr1}

{inst_adr2}

{inst_city}, {inst_st} {inst_zip}

Dear {contact_salute} {contact_lname}:

We greatly appreciate your cooperation in the High School Longitudinal Study of 2009 (HSLS:09) 

Postsecondary Education Transcript Study. As Peggy Carr, Acting Commissioner of the National Center 

for Education Statistics, indicates in the enclosed letter, this study is designed to collect transcript data for 

students participating in HSLS:09 that attended your institution. Authorized by federal law (Education 

Sciences Reform Act of 2002, 20 U.S.C. § 9543), HSLS:09 data will provide researchers, educators, and 

policymakers with critical information to better understand young adults’ education and work experiences 

during and after high school.

I am writing to request transcripts for {sch_num} sample member{s} who attended your institution. To 

facilitate our coding of your institution’s transcripts, it would be helpful to also receive a mapping of your 

institution’s degree programs and courses to the Classification of Instructional Programs, if such a 

mapping exists. Included with this package are detailed instructions for preparing and transmitting 

transcript data to RTI. A list of students for whom transcripts are requested is posted, with their student 

ID numbers and dates of birth, at the secure NCES postsecondary data portal website listed in the box 

below. To gain access to the site, you will need to log in using the username and password printed at the 

bottom of this letter. Also available at the website are instructions for obtaining reimbursement for the 

requested transcripts, should your institution require it. We would appreciate receiving the requested 

transcript data on or before {DUE DATE}. Please do not hesitate to call me if you feel you need to have a 

later delivery date.

Thank you in advance for your timely participation in this important effort. Please feel free to contact me 

for additional information. You can reach me by telephone at <helplinenumber> or e-mail at 

HSLSrecords@rti.org.

Sincerely,

Daniel Pratt

HSLS:09 Project Director

Please visit the study website for more information:

https://surveys.nces.ed.gov/portal

To log in, enter the IPEDS UNITID below as your 

username and enter the password below.

Your IPEDS UNITID: «entity_id»

Your password: «password»
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-4

Transcript Collection Request Letter from NCES

<date>

Dear Registrars and Officials:

«entity_name» has been selected to participate in the High School Longitudinal Study of 2009 (HSLS:09) 

Postsecondary Education Transcript Study. The goal is to collect transcript data for students participating 

in a longitudinal study being conducted for the National Center for Education Statistics (NCES), U.S. 

Department of Education. HSLS:09 collects information on individuals who were sampled from their 

high schools as 9

th graders in 2009. Their questionnaire asks about their work and further schooling 

experiences.

As part of this study, NCES is requesting transcripts for HSLS:09 sample members who have attended 

your institution. As the collection continues, there may be additional sample members who we learn 

attended your institution; therefore, we may contact you again in the future. Many secure options are 

available to you for providing transcript data. These options and instructions are included in this package.

Linking student transcript data, interview data, and other administrative record information will result in a 

dataset that researchers can use to better understand the relationship between students’ education and their 

subsequent career paths and graduate/professional study. NCES publications from previous rounds of 

HSLS:09 are available at http://nces.ed.gov/surveys/hsls09/.

The Family Educational Rights and Privacy Act of 1974 (FERPA) (20 U.S.C. § 1232[g]) allows for the 

release of institution record information to the Secretary of Education or his agent without prior consent 

of survey members (34 CFR § 99.31[a]). All responses that relate to or describe identifiable 

characteristics of individuals may be used only for statistical purposes and may not be disclosed or used 

in identifiable form for any other purpose except as required by law (Education Sciences Reform Act of 

2002, 20 U.S.C. § 9573). RTI International, as the contractor for NCES, has been given the authority to 

collect information from institution records under federal law. The enclosed Family Educational Rights 

and Privacy Act Fact Sheet includes the text of the FERPA requirements, with passages that authorize 

this transcript data collection highlighted.

Let me assure you that very stringent measures are in place to safeguard the confidentiality of participants 

(see enclosed “Disclosure Notice”).

NCES has contracted with RTI International (RTI) to collect HSLS:09 data. Your cooperation with RTI 

in this important study is greatly appreciated. For further information or questions, please contact the RTI 

project director, Daniel Pratt, at (919) 541-6615 or djp@rti.org. You may also contact the NCES Project 

Officer Elise Christopher at (202)502-7899 or elise.christopher@ed.gov.

Sincerely,

Peggy Carr, Ph.D.

Acting Commissioner

National Center for Education Statistics
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-5

Transcript Request from Endorsing Agency

Dear Colleague:

I am writing to ask for your assistance with the High School Longitudinal Study of 2009

(HSLS:09) Postsecondary Education Transcript Study. HSLS:09 seeks transcript data from 

postsecondary institutions to supplement student interview data collected for an important 

longitudinal study that is endorsed by [ENDORSING AGENCIES1].

HSLS:09 collects data on a cohort of students that were sampled as 9

th graders in 2009 and 

then follows their educational and employment experiences over time. The data are collected by 

RTI International for the National Center for Education Statistics (NCES) in the U.S. Department 

of Education’s Institute of Education Sciences.

HSLS:09 postsecondary transcript data will be combined with data from student interviews, 

other institution records, and administrative databases to provide a total picture of the cohort. 

The enclosed materials describe the uses of the data.

Transcript data are being collected under the provisions of the Family Educational Rights and 

Privacy Act (FERPA). The Family Educational Rights and Privacy Act of 1974 (FERPA) (20 

U.S.C. § 1232[g]) allows for the release of institution record information to the Secretary of 

Education or his agent without prior consent of survey members (34 CFR § 99.31[a]). All 

responses that relate to or describe identifiable characteristics of individuals may be used only 

for statistical purposes and may not be disclosed or used in identifiable form for any other 

purpose except as required by law (Education Sciences Reform Act of 2002, 20 U.S.C. § 9573). 

RTI International, as the contractor for NCES, has been given the authority to collect information 

from institution records under federal law.

Your cooperation and assistance in providing transcripts to RTI in a timely manner will be 

greatly appreciated.

Sincerely,

[NAME]

[TITLE, ENDORSING AGENCY]

 

1 Endorsements will be sought for the transcript collection in 2016.
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-6

Sample2List of Endorsing Associations and Organizations

American Association of Collegiate Registrars and Admissions Officers

American Association of Community Colleges

American Association of State Colleges and Universities

American Council on Education

Association for Institutional Research

Association of Allied Schools of Health Professions

Association of American Colleges and Universities

Association of Catholic Colleges and Universities

Association of Private Sector Colleges and Universities

Association of Public and Land-grant Universities

Association of Schools of Allied Health Professions

Career College Association

The Carnegie Foundation for the Advancement of Teaching

The College Board

Council of Graduate Schools

Council of Independent Colleges

Hispanic Association of Colleges and Universities

Midwestern Higher Education Compact

National Accrediting Commission of Cosmetology Arts and Sciences

National Association of College and University Business Officers

National Association for Equal Opportunity in Higher Education

National Association of Independent Colleges and Universities

National Association of State Universities and Land Grant Colleges

National Association of Student Financial Aid Administrators

New England Board of Higher Education

Southern Regional Education Board

State Higher Education Executive Officers

United Negro College Fund

Western Interstate Commission for Higher Education

 

2 Endorsements will be sought for the transcript collection in 2016.
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-7

Guide to the High School Longitudinal Study of 2009 (HSLS:09)

Postsecondary Education Transcript Study

Text for the HSLS:09 PETS Instructions for Sending Data

There are 5 primary steps for providing data. You will need to access the secure NCES postsecondary data portal 

website at https://surveys.nces.ed.gov/portal. Log in using the username and password printed at the bottom of the 

letter you received from RTI.

NOTE: You will need your username and password each time you log in to the website.

1 Complete the Institution Information page

On this page, you will provide or confirm selected information about your institution including GPA scale and 

grading system. This page is accessible from the Task Menu.

2 Complete the Transcript Data Transmission page

Each student's name, student ID number (if known), and date of birth will be listed on the transmission page. 

Please check the box next to each student whose transcript you are sending and select the mode of submission. If 

you are unable to provide a transcript, please enter the reason in the space provided—for example, "No record of 

student’s attendance" or "Transcript cannot be located." Please print and retain a copy for your records.

3 Transmit Transcript Data

A number of options are available for transmitting transcript data. Each is described below.

Uploading to the Secure NCES Postsecondary Data Portal Website: Uploading electronic transcript data 

directly to the secure website, preferably in XML or EDI format that conforms to the PESC standard, is the 

preferred method for sending transcript data. If your transcript data are not in one of these formats, we ask 

that you or a programmer from your institution convert them to a format that we can process using the file 

specifications available from the link entitled "Upload transcript data in CSV or fixed-width format" on the 

Transcript Data Transmission page available from the Task Menu. However, if you are unable to reformat the 

transcript data to match the file specifications, we will accept them in their existing electronic format. NOTE: 

The XML formatted transcript should adhere to the PESC XML standard format for college transcript, version 

1.0.0. The EDI formatted transcript should adhere to the PESC EDI standard format for Student Educational 

Record (Transcript).

Sending Transcript Data as an Encrypted Attachment by Electronic Mail: If you choose to use electronic 

mail (email) to submit student transcript data, the attachment containing the data will need to be encrypted, 

using software such as SecureZIP (select the option Use FIPS 140 Mode), to ensure they are transmitted 

securely. SecureZIP can be downloaded free of charge from the website: http://www.securezip.com. Detailed 

instructions for downloading and using SecureZIP can be accessed from the link "Email transcript data as an 

encrypted attachment." If you choose to use encryption software other than SecureZIP, please contact the 

Help Desk to ensure that the software complies with our security standards.

Once the attachment is encrypted, send to HSLSrecords@rti.org and include the file names and descriptions. 

If you need assistance with this process, please contact the Help Desk toll-free at <helplinephone> or via 

email at HSLSrecords@rti.org.

Sending Transcript Data by Secure File Transfer Protocol (sFTP): If you choose to submit transcript data 

using the sFTP site, please contact the Help Desk to obtain the sFTP site location and your username and 

password. The Help Desk may be reached toll-free at <helplinephone> or via email at HSLSrecords@rti.org. 

Additional instructions on how to perform the data transfer via sFTP may be accessed from the link "Send 

transcript data by secure File Transfer Protocol (sFTP)." After you have successfully uploaded your files to the 
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

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sFTP server, please send an email to HSLSrecords@rti.org with the names of the files and their structure.

Sending Transcript Data via eSCRIP-SAFETM: If you are a registered eSCRIP-SAFETM sender and wish to 

use eSCRIP-SAFETM to send your transcripts, please select RTI International, U.S. Department of Education 

Longitudinal Studies as the transcript recipient.

Faxing Hard Copy Transcripts: If your institution is unable to provide the transcript data electronically via any 

of the methods previously mentioned, you may fax transcripts to our secure fax machine at 

<FaxLineNumber>. First, fax the Student Transcript Fax Test Page included in your institution packet, with 

your name, telephone number, and fax number, to ensure that the transfer is working correctly. An automated 

reply fax will confirm that we successfully received the test page. Once you receive confirmation, fax the 

completed Student Transcript Fax Transmittal Sheet along with the transcripts. Some institutions’ fax 

machines are not set up to receive automated replies. In these cases, we ask that you verify that the test fax 

was successfully sent by checking the status page that is produced by your fax machine and ensure that the 

transmission was successful and that the correct number of pages were sent. If so, you may then hit redial 

and send the completed Student Transcript Fax Transmittal Sheet along with the transcripts. If you encounter 

difficulty, please contact the fax help line at <helplinephone>. If you do not have the fax test page or 

transmittal sheet, you may print a copy from the link "Fax hard copy transcripts."

Once you have sent the transcript data, click Submit on the Transcript Data Transmission page.

4 Provide CIP Code Mappings

Once transcript data are received, the individual courses and degree programs reported in the transcript data will 

be coded using a classification system based on the National Center for Education Statistics' (NCES) Classification 

of Instructional Programs (CIP). The mapping(s) can be transmitted to RTI by uploading to the secure study 

website or sending via email to HSLSrecords@rti.org. If you choose to upload the mappings, please select “Upload 

CIP code mappings” from the Main Menu.

5 Provide Requested Course Catalogs

If we need a course catalog from your institution, there will be a Catalog Transmittal Sheet in your packet. It 

includes a list of the catalogs requested and instructions for sending them to RTI. If you do not find a Catalog 

Transmittal Sheet in your packet, then no catalogs are needed from your institution at this time.
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-9

Family Educational Rights and Privacy Act Fact Sheet

34 CFR PART 99

Subpart A—GENERAL

§99.1 To which educational agencies or institutions do these regulations apply?

§99.2 What is the purpose of these regulations?

§99.3 What definitions apply to these regulations?

§99.4 What are the rights of parents?

§99.5 What are the rights of students?

§99.7 What must an educational agency or institution include in its annual notification?

§99.8 What provisions apply to records of a law enforcement unit?

Subpart B—WHAT ARE THE RIGHTS OF INSPECTION AND REVIEW OF EDUCATION 

RECORDS?

§99.10 What rights exist for a parent or eligible student to inspect and review education records?

§99.11 May an educational agency or institution charge a fee for copies of education records?

§99.12 What limitations exist on the right to inspect and review records?

Subpart C—WHAT ARE THE PROCEDURES FOR AMENDING EDUCATION RECORDS?

§99.20 How can a parent or eligible student request amendment of the student's education records?

§99.21 Under what conditions does a parent or eligible student have the right to a hearing?

§99.22 What minimum requirements exist for the conduct of a hearing?

Subpart D—MAY AN EDUCATIONAL AGENCY OR INSTITUTION DISCLOSE 

PERSONALLY IDENTIFIABLE INFORMATION FROM EDUCATION RECORDS?

§99.30 Under what conditions is prior consent required to disclose information?

§99.31 Under what conditions is prior consent not required to disclose information?

§99.32 What recordkeeping requirements exist concerning requests and disclosures?

§99.33 What limitations apply to the redisclosure of information?

§99.34 What conditions apply to disclosure of information to other educational agencies or 

institutions?

§99.35 What conditions apply to disclosure of information for Federal or State program purposes?

§99.36 What conditions apply to disclosure of information in health and safety emergencies?

§99.37 What conditions apply to disclosing directory information?

§99.38 What conditions apply to disclosure of information as permitted by State statute adopted 

after November 19, 1974, concerning the juvenile justice system?

§99.39 What definitions apply to the nonconsensual disclosure of records by postsecondary 

educational institutions in connection with disciplinary proceedings concerning crimes of 

violence or non-forcible sex offenses?

Subpart E—WHAT ARE THE ENFORCEMENT PROCEDURES?

§99.60 What functions has the Secretary delegated to the Office and to the Office of 

Administrative Law Judges?

§99.61 What responsibility does an educational agency or institution, a recipient of Department 

funds, or a third party outside of an educational agency or institution have concerning 

conflict with State or local laws?

§99.62 What information must an educational agency or institution or other recipient of 

Department funds submit to the Office?
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

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§99.63 Where are complaints filed?

§99.64 What is the investigation procedure?

§99.65 What is the content of the notice of investigation issued by the Office?

§99.66 What are the responsibilities of the Office in the enforcement process?

§99.67 How does the Secretary enforce decisions?

Subpart A—GENERAL

§99.1 To which educational agencies or institutions do these regulations apply?

(a) Except as otherwise noted in §99.10, this part applies to an educational agency or institution to which 

funds have been made available under any program administered by the Secretary, if—

(1) The educational institution provides educational services or instruction, or both, to students; or

(2) The educational agency is authorized to direct and control public elementary or secondary, or 

postsecondary educational institutions.

(b) This part does not apply to an educational agency or institution solely because students attending that 

agency or institution receive non-monetary benefits under a program referenced in paragraph (a) of this section, 

if no funds under that program are made available to the agency or institution.

(c) The Secretary considers funds to be made available to an educational agency or institution of funds 

under one or more of the programs referenced in paragraph (a) of this section—

(1) Are provided to the agency or institution by grant, cooperative agreement, contract, subgrant, or 

subcontract; or

(2) Are provided to students attending the agency or institution and the funds may be paid to the agency or 

institution by those students for educational purposes, such as under the Pell Grant Program and the Guaranteed 

Student Loan Program (titles IV-A-1 and IV-B, respectively, of the Higher Education Act of 1965, as 

amended).

(d) If an educational agency or institution receives funds under one or more of the programs covered by this 

section, the regulations in this part apply to the recipient as a whole, including each of its components (such as 

a department within a university).

(Authority: 20 U.S.C. 1232g)

Subpart D—MAY AN EDUCATIONAL AGENCY OR INSTITUTION DISCLOSE 

PERSONALLY IDENTIFIABLE INFORMATION FROM EDUCATION RECORDS?

§99.30 Under what conditions is prior consent required to disclose information?

(a) The parent or eligible student shall provide a signed and dated written consent before an educational 

agency or institution discloses personally identifiable information from the student's education records, except 

as provided in §99.31.

(b) The written consent must:

(1) Specify the records that may be disclosed;

(2) State the purpose of the disclosure; and

(3) Identify the party or class of parties to whom the disclosure may be made.

(c) When a disclosure is made under paragraph (a) of this section:

(1) If a parent or eligible student so requests, the educational agency or institution shall provide him or her 

with a copy of the records disclosed; and

(2) If the parent of a student who is not an eligible student so requests, the agency or institution shall 

provide the student with a copy of the records disclosed.

(d) “Signed and dated written consent” under this part may include a record and signature in electronic 

form that—

(1) Identifies and authenticates a particular person as the source of the electronic consent; and

(2) Indicates such person's approval of the information contained in the electronic consent.

(Authority: 20 U.S.C. 1232g (b)(1) and (b)(2)(A))
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§99.31 Under what conditions is prior consent not required to disclose information?

(a) An educational agency or institution may disclose personally identifiable information from an education 

record of a student without the consent required by §99.30 if the disclosure meets one or more of the following 

conditions:

(1)(i)(A) The disclosure is to other school officials, including teachers, within the agency or institution 

whom the agency or institution has determined to have legitimate educational interests.

(B) A contractor, consultant, volunteer, or other party to whom an agency or institution has outsourced 

institutional services or functions may be considered a school official under this paragraph provided that the 

outside party—

(1) Performs an institutional service or function for which the agency or institution would otherwise use 

employees;

(2) Is under the direct control of the agency or institution with respect to the use and maintenance of

education records; and

(3) Is subject to the requirements of §99.33(a) governing the use and redisclosure of personally identifiable 

information from education records.

(ii) An educational agency or institution must use reasonable methods to ensure that school officials obtain 

access to only those education records in which they have legitimate educational interests. An educational 

agency or institution that does not use physical or technological access controls must ensure that its 

administrative policy for controlling access to education records is effective and that it remains in compliance 

with the legitimate educational interest requirement in paragraph (a)(1)(i)(A) of this section.

(2) The disclosure is, subject to the requirements of §99.34, to officials of another school, school system, or 

institution of postsecondary education where the student seeks or intends to enroll, or where the student is 

already enrolled so long as the disclosure is for purposes related to the student's enrollment or transfer.

NOTE: Section 4155(b) of the No Child Left Behind Act of 2001, 20 U.S.C. 7165(b), requires each State to 

assure the Secretary of Education that it has a procedure in place to facilitate the transfer of disciplinary records 

with respect to a suspension or expulsion of a student by a local educational agency to any private or public 

elementary or secondary school in which the student is subsequently enrolled or seeks, intends, or is instructed 

to enroll.

(3) The disclosure is, subject to the requirements of §99.35, to authorized representatives of—

(i) The Comptroller General of the United States;

(ii) The Attorney General of the United States;

(iii) The Secretary; or

(iv) State and local educational authorities.

(4)(i) The disclosure is in connection with financial aid for which the student has applied or which the 

student has received, if the information is necessary for such purposes as to:

(A) Determine eligibility for the aid;

(B) Determine the amount of the aid;

(C) Determine the conditions for the aid; or

(D) Enforce the terms and conditions of the aid.

(ii) As used in paragraph (a)(4)(i) of this section, financial aid means a payment of funds provided to an 

individual (or a payment in kind of tangible or intangible property to the individual) that is conditioned on the 

individual's attendance at an educational agency or institution.

(5)(i) The disclosure is to State and local officials or authorities to whom this information is specifically—

(A) Allowed to be reported or disclosed pursuant to State statute adopted before November 19, 1974, if the 

allowed reporting or disclosure concerns the juvenile justice system and the system's ability to effectively serve 

the student whose records are released; or

(B) Allowed to be reported or disclosed pursuant to State statute adopted after November 19, 1974, subject 

to the requirements of §99.38.

(ii) Paragraph (a)(5)(i) of this section does not prevent a State from further limiting the number or type of 

State or local officials to whom disclosures may be made under that paragraph.

(6)(i) The disclosure is to organizations conducting studies for, or on behalf of, educational agencies or 

institutions to:

(A) Develop, validate, or administer predictive tests;

(B) Administer student aid programs; or
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

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(C) Improve instruction.

(ii) Nothing in the Act or this part prevents a State or local educational authority or agency headed by an 

official listed in paragraph (a)(3) of this section from entering into agreements with organizations conducting 

studies under paragraph (a)(6)(i) of this section and redisclosing personally identifiable information from 

education records on behalf of educational agencies and institutions that disclosed the information to the State 

or local educational authority or agency headed by an official listed in paragraph (a)(3) of this section in 

accordance with the requirements of §99.33(b).

(iii) An educational agency or institution may disclose personally identifiable information under paragraph 

(a)(6)(i) of this section, and a State or local educational authority or agency headed by an official listed in 

paragraph (a)(3) of this section may redisclose personally identifiable information under paragraph (a)(6)(i) and 

(a)(6)(ii) of this section, only if—

(A) The study is conducted in a manner that does not permit personal identification of parents and students 

by individuals other than representatives of the organization that have legitimate interests in the information;

(B) The information is destroyed when no longer needed for the purposes for which the study was 

conducted; and

(C) The educational agency or institution or the State or local educational authority or agency headed by an 

official listed in paragraph (a)(3) of this section enters into a written agreement with the organization that—

(1) Specifies the purpose, scope, and duration of the study or studies and the information to be disclosed;

(2) Requires the organization to use personally identifiable information from education records only to 

meet the purpose or purposes of the study as stated in the written agreement;

(3) Requires the organization to conduct the study in a manner that does not permit personal identification 

of parents and students, as defined in this part, by anyone other than representatives of the organization with 

legitimate interests; and

(4) Requires the organization to destroy all personally identifiable information when the information is no 

longer needed for the purposes for which the study was conducted and specifies the time period in which the 

information must be destroyed.

(iv) An educational agency or institution or State or local educational authority or Federal agency headed 

by an official listed in paragraph (a)(3) of this section is not required to initiate a study or agree with or endorse 

the conclusions or results of the study.

(v) For the purposes of paragraph (a)(6) of this section, the term organization includes, but is not limited to, 

Federal, State, and local agencies, and independent organizations.

(7) The disclosure is to accrediting organizations to carry out their accrediting functions.

(8) The disclosure is to parents, as defined in §99.3, of a dependent student, as defined in section 152 of the 

Internal Revenue Code of 1986.

(9)(i) The disclosure is to comply with a judicial order or lawfully issued subpoena.

(ii) The educational agency or institution may disclose information under paragraph (a)(9)(i) of this section 

only if the agency or institution makes a reasonable effort to notify the parent or eligible student of the order or 

subpoena in advance of compliance, so that the parent or eligible student may seek protective action, unless the 

disclosure is in compliance with—

(A) A Federal grand jury subpoena and the court has ordered that the existence or the contents of the 

subpoena or the information furnished in response to the subpoena not be disclosed;

(B) Any other subpoena issued for a law enforcement purpose and the court or other issuing agency has 

ordered that the existence or the contents of the subpoena or the information furnished in response to the 

subpoena not be disclosed; or

(C) An ex parte court order obtained by the United States Attorney General (or designee not lower than an 

Assistant Attorney General) concerning investigations or prosecutions of an offense listed in 18 U.S.C. 

2332b(g)(5)(B) or an act of domestic or international terrorism as defined in 18 U.S.C. 2331.

(iii)(A) If an educational agency or institution initiates legal action against a parent or student, the 

educational agency or institution may disclose to the court, without a court order or subpoena, the education 

records of the student that are relevant for the educational agency or institution to proceed with the legal action 

as plaintiff.

(B) If a parent or eligible student initiates legal action against an educational agency or institution, the 

educational agency or institution may disclose to the court, without a court order or subpoena, the student's 

education records that are relevant for the educational agency or institution to defend itself.
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(10) The disclosure is in connection with a health or safety emergency, under the conditions described in 

§99.36.

(11) The disclosure is information the educational agency or institution has designated as “directory 

information”, under the conditions described in §99.37.

(12) The disclosure is to the parent of a student who is not an eligible student or to the student.

(13) The disclosure, subject to the requirements in §99.39, is to a victim of an alleged perpetrator of a crime 

of violence or a non-forcible sex offense. The disclosure may only include the final results of the disciplinary 

proceeding conducted by the institution of postsecondary education with respect to that alleged crime or 

offense. The institution may disclose the final results of the disciplinary proceeding, regardless of whether the 

institution concluded a violation was committed.

(14)(i) The disclosure, subject to the requirements in §99.39, is in connection with a disciplinary 

proceeding at an institution of postsecondary education. The institution must not disclose the final results of the 

disciplinary proceeding unless it determines that—

(A) The student is an alleged perpetrator of a crime of violence or non-forcible sex offense; and

(B) With respect to the allegation made against him or her, the student has committed a violation of the 

institution's rules or policies.

(ii) The institution may not disclose the name of any other student, including a victim or witness, without 

the prior written consent of the other student.

(iii) This section applies only to disciplinary proceedings in which the final results were reached on or after 

October 7, 1998.

(15)(i) The disclosure is to a parent of a student at an institution of postsecondary education regarding the 

student's violation of any Federal, State, or local law, or of any rule or policy of the institution, governing the 

use or possession of alcohol or a controlled substance if—

(A) The institution determines that the student has committed a disciplinary violation with respect to that 

use or possession; and

(B) The student is under the age of 21 at the time of the disclosure to the parent.

(ii) Paragraph (a)(15) of this section does not supersede any provision of State law that prohibits an 

institution of postsecondary education from disclosing information.

(16) The disclosure concerns sex offenders and other individuals required to register under section 170101 

of the Violent Crime Control and Law Enforcement Act of 1994, 42 U.S.C. 14071, and the information was 

provided to the educational agency or institution under 42 U.S.C. 14071 and applicable Federal guidelines.

(b)(1) De-identified records and information. An educational agency or institution, or a party that has 

received education records or information from education records under this part, may release the records or 

information without the consent required by §99.30 after the removal of all personally identifiable information 

provided that the educational agency or institution or other party has made a reasonable determination that a 

student's identity is not personally identifiable, whether through single or multiple releases, and taking into 

account other reasonably available information.

(2) An educational agency or institution, or a party that has received education records or information from 

education records under this part, may release de-identified student level data from education records for the 

purpose of education research by attaching a code to each record that may allow the recipient to match 

information received from the same source, provided that—

(i) An educational agency or institution or other party that releases de-identified data under paragraph 

(b)(2) of this section does not disclose any information about how it generates and assigns a record code, or that 

would allow a recipient to identify a student based on a record code;

(ii) The record code is used for no purpose other than identifying a de-identified record for purposes of 

education research and cannot be used to ascertain personally identifiable information about a student; and

(iii) The record code is not based on a student's social security number or other personal information.

(c) An educational agency or institution must use reasonable methods to identify and authenticate the 

identity of parents, students, school officials, and any other parties to whom the agency or institution discloses 

personally identifiable information from education records.

(d) Paragraphs (a) and (b) of this section do not require an educational agency or institution or any other 

party to disclose education records or information from education records to any party except for parties under 

paragraph (a)(12) of this section.

(Authority: 20 U.S.C. 1232g(a)(5)(A), (b), (h), (i), and (j)).
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-14

§99.32 What recordkeeping requirements exist concerning requests and disclosures?

(a)(1) An educational agency or institution must maintain a record of each request for access to and each 

disclosure of personally identifiable information from the education records of each student, as well as the 

names of State and local educational authorities and Federal officials and agencies listed in §99.31(a)(3) that 

may make further disclosures of personally identifiable information from the student's education records 

without consent under §99.33(b).

(2) The agency or institution shall maintain the record with the education records of the student as long as 

the records are maintained.

(3) For each request or disclosure the record must include:

(i) The parties who have requested or received personally identifiable information from the education 

records; and

(ii) The legitimate interests the parties had in requesting or obtaining the information.

(4) An educational agency or institution must obtain a copy of the record of further disclosures maintained 

under paragraph (b)(2) of this section and make it available in response to a parent's or eligible student's request 

to review the record required under paragraph (a)(1) of this section.

(5) An educational agency or institution must record the following information when it discloses personally 

identifiable information from education records under the health or safety emergency exception in 

§99.31(a)(10) and §99.36:

(i) The articulable and significant threat to the health or safety of a student or other individuals that formed 

the basis for the disclosure; and

(ii) The parties to whom the agency or institution disclosed the information.

(b)(1) Except as provided in paragraph (b)(2) of this section, if an educational agency or institution 

discloses personally identifiable information from education records with the understanding authorized under 

§99.33(b), the record of the disclosure required under this section must include:

(i) The names of the additional parties to which the receiving party may disclose the information on behalf 

of the educational agency or institution; and

(ii) The legitimate interests under §99.31 which each of the additional parties has in requesting or obtaining 

the information.

(2)(i) A State or local educational authority or Federal official or agency listed in §99.31(a)(3) that makes 

further disclosures of information from education records under §99.33(b) must record the names of the 

additional parties to which it discloses information on behalf of an educational agency or institution and their 

legitimate interests in the information under §99.31 if the information was received from:

(A) An educational agency or institution that has not recorded the further disclosures under paragraph 

(b)(1) of this section; or

(B) Another State or local educational authority or Federal official or agency listed in §99.31(a)(3).

(ii) A State or local educational authority or Federal official or agency that records further disclosures of 

information under paragraph (b)(2)(i) of this section may maintain the record by the student's class, school, 

district, or other appropriate grouping rather than by the name of the student.

(iii) Upon request of an educational agency or institution, a State or local educational authority or Federal 

official or agency listed in §99.31(a)(3) that maintains a record of further disclosures under paragraph (b)(2)(i) 

of this section must provide a copy of the record of further disclosures to the educational agency or institution 

within a reasonable period of time not to exceed 30 days.

(c) The following parties may inspect the record relating to each student:

(1) The parent or eligible student.

(2) The school official or his or her assistants who are responsible for the custody of the records.

(3) Those parties authorized in §99.31(a) (1) and (3) for the purposes of auditing the recordkeeping 

procedures of the educational agency or institution.

(d) Paragraph (a) of this section does not apply if the request was from, or the disclosure was to:

(1) The parent or eligible student;

(2) A school official under §99.31(a)(1);

(3) A party with written consent from the parent or eligible student;

(4) A party seeking directory information; or

(5) A party seeking or receiving records in accordance with §99.31(a)(9)(ii)(A) through (C).

(Authority: 20 U.S.C. 1232g(b)(1) and (b)(4)(A))
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-15

§99.35 What conditions apply to disclosure of information for Federal or State 

program purposes?

(a)(1) Authorized representatives of the officials or agencies headed by officials listed in §99.31(a)(3) may 

have access to education records in connection with an audit or evaluation of Federal or State supported 

education programs, or for the enforcement of or compliance with Federal legal requirements that relate to 

those programs.

(2) The State or local educational authority or agency headed by an official listed in §99.31(a)(3) is 

responsible for using reasonable methods to ensure to the greatest extent practicable that any entity or 

individual designated as its authorized representative—

(i) Uses personally identifiable information only to carry out an audit or evaluation of Federal- or Statesupported education programs, or for the enforcement of or compliance with Federal legal requirements related 

to these programs;

(ii) Protects the personally identifiable information from further disclosures or other uses, except as 

authorized in paragraph (b)(1) of this section; and

(iii) Destroys the personally identifiable information in accordance with the requirements of paragraphs (b) 

and (c) of this section.

(3) The State or local educational authority or agency headed by an official listed in §99.31(a)(3) must use 

a written agreement to designate any authorized representative, other than an employee. The written agreement 

must—

(i) Designate the individual or entity as an authorized representative;

(ii) Specify—

(A) The personally identifiable information from education records to be disclosed;

(B) That the purpose for which the personally identifiable information from education records is disclosed 

to the authorized representative is to carry out an audit or evaluation of Federal- or State-supported education 

programs, or to enforce or to comply with Federal legal requirements that relate to those programs; and

(C) A description of the activity with sufficient specificity to make clear that the work falls within the 

exception of §99.31(a)(3), including a description of how the personally identifiable information from 

education records will be used;

(iii) Require the authorized representative to destroy personally identifiable information from education 

records when the information is no longer needed for the purpose specified;

(iv) Specify the time period in which the information must be destroyed; and

(v) Establish policies and procedures, consistent with the Act and other Federal and State confidentiality 

and privacy provisions, to protect personally identifiable information from education records from further 

disclosure (except back to the disclosing entity) and unauthorized use, including limiting use of personally 

identifiable information from education records to only authorized representatives with legitimate interests in 

the audit or evaluation of a Federal- or State-supported education program or for compliance or enforcement of 

Federal legal requirements related to these programs.

(b) Information that is collected under paragraph (a) of this section must—

(1) Be protected in a manner that does not permit personal identification of individuals by anyone other 

than the State or local educational authority or agency headed by an official listed in §99.31(a)(3) and their 

authorized representatives, except that the State or local educational authority or agency headed by an official 

listed in §99.31(a)(3) may make further disclosures of personally identifiable information from education 

records on behalf of the educational agency or institution in accordance with the requirements of §99.33(b); and

(2) Be destroyed when no longer needed for the purposes listed in paragraph (a) of this section.

(c) Paragraph (b) of this section does not apply if:

(1) The parent or eligible student has given written consent for the disclosure under §99.30; or

(2) The collection of personally identifiable information is specifically authorized by Federal law.

(Authority: 20 U.S.C. 1232g(b)(1)(C), (b)(3), and (b)(5))
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-16

Text for the High School Longitudinal Study of 2009

(HSLS:09)Postsecondary Education Transcript Study (PETS) Brochure

The National Center for Education Statistics (NCES), U.S. Department of Education, is conducting the High School 

Longitudinal Study of 2009 (HSLS:09). This national study of high school students includes the collection of 

student transcript data. Transcripts provide an analytically powerful measure of students' high school and 

postsecondary curricular experience and performance that may be related both to labor market outcomes and to 

postsecondary educational access and attainment. HSLS:09 data, collected under authority of the Education 

Sciences Reform Act of 2002 (20 U.S.C. § 9543), will provide information that will be used by Congress, 

researchers, and policymakers to monitor and improve the quality of education. NCES has contracted with RTI 

International, a nonprofit research organization, to collect the transcript data on its behalf.

Assistance is needed from institutions to make the results of this study comprehensive, accurate, and timely. We are 

collecting transcript information for students who have voluntarily participated in HSLS:09. The information we 

will collect from the transcript includes dates of enrollment, grade point average, degree program, and, for each 

course taken, course number and title, number of credits earned, and grade assigned.

Importance of the Data

HSLS:09 data are made available to researchers, counselors, policymakers, and others in various ways, each of

which is designed to protect the confidentiality of individually-identifying information:

 Descriptive reports are published by NCES on selected topics. HSLS:09 publications and data can also be 

accessed electronically through NCES’s HSLS:09 website: http://nces.ed.gov/surveys/hsls09/. A bibliography 

of HSLS:09 publications is posted there as well.

 Data files (without identifying information) are available.

 Presentations on study findings are made at conferences.

Researchers from a variety of fields have used the data collected in HSLS:09 and its predecessor studies to look at 

equity, access, and choice; cognitive growth and its correlates; course-taking opportunities and choices; school 

effectiveness; parental and community involvement; and post-high school transitions to higher education, training, 

and the labor market.

Authorization to Collect Data

HSLS:09 is conducted by the National Center for Education Statistics (NCES), United States Department of 

Education. The study is authorized by federal law under the Education Sciences Reform Act of 2002 (20 U.S.C. § 

9543). HSLS:09 data are collected for NCES by RTI International.

Transcript Collection Procedures

All known institutions attended by HSLS:09 participants will be contacted for the first time beginning in February 

2017. The NCES postsecondary data portal website (https://surveys.nces.ed.gov/portal) will serve as a secure 

mechanism for the exchange of information between institutions and RTI. To initiate the transcript submission 

process, institutions are being asked to complete an information page about term systems and grading scales and 

may be asked to provide course catalogues not available through other public sources. New students may be added 

to an institution’s transcript request list if new enrollment is discovered from collected transcripts.

Transcripts will be requested from an estimated 3,500 institutions associated with the proportion of the 

approximately 16,150 HSLS:09 sample members who have attended postsecondary institutions. Institutions can 

submit transcripts for their students using any of several methods (in order of preference): uploading to the NCES 

postsecondary data portal website, e-mailing the transcripts as an encrypted attachment, sending by secure File 

Transfer Protocol (sFTP), or faxing to a secure fax machine. Instructions are provided in the packets sent to 

institutions, and the Help Desk will respond to any questions or problems (<helpdeskphone>; 

HSLSrecords@rti.org).
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-17

Once received, transcripts will be data-entered, and fields of study and courses will be coded using the 2010 

College Course Map3, a postsecondary coding taxonomy.

Confidentiality

The High School Longitudinal Study of 2009 is being conducted by NCES under the authority of the Education 

Sciences Reform Act of 2002 (ESRA) (20 U.S.C. § 9543), which authorizes NCES to collect and disseminate 

information about education in the United States. Collection is most often done through surveys. NCES is required 

to follow strict procedures to protect the confidentiality of persons in the collection, reporting, and publication of 

data and adheres to the guidelines issued by the Office of Management and Budget in the Federal Statistical 

Confidentiality Order of 1997 for ensuring the privacy and confidentiality of data collected for statistical purposes.

The Family Educational Rights and Privacy Act of 1974 (FERPA) (20 U.S.C. § 1232[g]) allows for the release of 

institution record information to the Secretary of Education or his agent without prior consent of survey members 

(34 CFR § 99.31[a]). All responses that relate to or describe identifiable characteristics of individuals may be used 

only for statistical purposes and may not be disclosed or used in identifiable form for any other purpose except as 

required by law (Education Sciences Reform Act of 2002, 20 U.S.C. § 9573). RTI International, as the contractor 

for NCES, has been given the authority to collect information from institution records under federal law.

Protection of Electronic Files

All electronic files from institution records are carefully protected. Computer accounts used to access data are

password protected with multilevel controls to ensure that only those individuals with a need to access confidential 

information are able to do so. For the website, where the list of sample members who attended your institution is 

located and where you can upload data if that data transmission method is preferred, proven methods of protection 

for online sessions and data security are used. Data transmitted over the Internet are encrypted using Secure Sockets 

Layer (SSL) protocol. All modules with sample member identifiers on the study website are password protected, 

which requires the user to log in to the site before accessing confidential data. To prevent unauthorized user access, 

the system automatically logs the user out after 20 minutes of inactivity.

Protection of Paper Records

All paper records are maintained in locked storage cabinets. A unique study identification variable (not the Social 

Security number or school ID) is created and maintained for each survey participant to protect against disclosure of 

confidential data.

Preparation of Data for Public Release

All data released to the general public (for example, statistical tables) will be designed so that it will not be possible 

to identify specific individuals.

Violations

All personnel with access to individual data will be required to sign a confidentiality agreement and an affidavit of 

nondisclosure. Project staff is subject to large fines or imprisonment if individual responses are disclosed.

For assistance with the HSLS:09 Postsecondary Education Transcript Study, please contact:

Help Desk

<helpdeskphone> (toll-free)

 

3 Bryan, M. & Simone, S. (2012). 2010 College Course Map (NCES 2012-162REV). National Center for Education Statistics, 

Institute of Education Sciences, U.S. Department of Education. Washington, DC. Retrieved [date] from 

http://nces.ed.gov/pubsearch.
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-18

At RTI International

Tiffany Mattox

Transcript Collection Manager, HSLS:09

1-919-485-7791

HSLSrecords@rti.org

Daniel Pratt

Project Director, HSLS:09

1-919-541-6615

djp@rti.org

At the National Center for Education Statistics

Elise Christopher

Project Officer, HSLS:09

1-202-502-7899

elise.christopher@ed.gov

Conducted by

U.S. Department of Education

National Center for Education Statistics

Washington, DC

http://nces.ed.gov

<date>
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-19

Disclosure Notice

Information from student records for this individual has been provided to RTI

International, a data collection agent for the High School Longitudinal Study of 

2009 (HSLS:2009), conducted by the National Center of Education Statistics 

(NCES) within the U.S. Department of Education. This disclosure statement 

fulfills the requirement of 34 CFR 99.32(a) pursuant to the Family Educational 

Rights and Privacy Act of 1974 [20 U.S.C. 1232g].

This individual is included in the sample for the High School Longitudinal Study

of 2009. Strict protection of all information obtained from individuals selected for 

participation in this study is assured by current federal laws and regulations. All 

responses that relate to or describe identifiable characteristics of individuals may

be used only for statistical purposes and may not be disclosed or used in 

identifiable form for any other purpose, except as required by law (20 U.S.C. § 

9573).

(date collection begins)

OMB # 1850-0852

Expiration Date: (insert date)
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-20

Student Transcript Fax Test Page

«ProjectCode»

IPEDS ID#: «School_ID»

Name of Sender: ____________________________________

Date: ___________________________

Telephone number: __________________________________

Fax number: __________________________________

Instructions:

Please fax this document to <faxnumber> as a test page.

You will receive a confirmation that we received your fax. Once you have our confirmation, please fax 

the completed Student Transcript Fax Transmittal Sheet that you received in your packet and your 

students’ transcripts to the same number.

If you need assistance, please contact our Fax Helpline at <helplinephone>.
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-21

**WARNING: This transmission contains confidential information. Please exercise appropriate security. **

Student Transcript Fax Transmittal Sheet

«ProjectCode»

IPEDS ID#: «School_ID»

Name of Sender: ____________________________________

Date: ___________________________

Telephone number: __________________________________

Fax number: __________________________________

Number of pages (including this transmittal sheet): ________

Number of students whose transcripts were requested: «tot_cnt»

Number of students whose transcripts you are sending: ________

Number of transcripts you are sending (there could be multiple per student): ________

Instructions:

Be sure that you have faxed the Student Transcript Fax Test Page and have been contacted to 

confirm its receipt before sending this page or the transcripts.

If a student transferred to your institution from another institution, please also send copies of any 

transcripts that you have from other institutions (unless that information is already included on the 

transcript from your institution).

Once you have filled out the top of this document, please fax it and student transcripts to <fax number>.

If you need assistance, please contact our Fax Helpline at <helplinephone>.
Appendix F. Transcript Data Request Materials and Prompting Supporting Statement Request for OMB Review (SF83I)

F-22

Catalog Transmittal Sheet

«ProjectCode»

IPEDS ID#: «School_ID»

Name of Sender: ____________________________________

Date: ___________________________

Telephone number: __________________________________

In order to properly code the transcript data we will receive for your students, we need to obtain a copy of 

your institution’s course catalogs, bulletins, or other materials that describe the course offerings for each 

academic year listed below.

<cat_yr_needed> <level>

<cat_yr_needed> <level>

<cat_yr_needed> <level>

<cat_yr_needed> <level>

Instructions:

If the catalog(s) exist electronically, please send an e-mail to HSLSrecords@rti.org and either direct us to 

the catalog(s) online or send the catalog(s) as an attachment. If you need to send hard copy catalogs, 

please place check marks in the appropriate columns below to indicate the types of course catalogs you 

are sending for each year. Please do not send catalogs for which “not needed” appears. Please keep a copy 

of this completed sheet for your records and send the original to RTI with the catalogs using the FedEx 

materials provided.

Academic 

Year

Type of catalog provided (please place checks or comments as appropriate)

Institutionwide/general Undergraduate Graduate Other school/program (please specify)
Supporting Statement Request for OMB Review (SF83I) Appendix F. Transcript Data Request Materials And Prompting

F-23

HSLS:09 Postsecondary Education Transcripts (HSLS:09 PETS) Data 

Elements

The analysis topics for the HSLS:09 PETS were outlined in the research and policy issues 

presented in Supporting Statement Part A section A.2. The HSLS:09 PETS will include the same data 

elements as the previously-approved PETS in ELS:02, B&B:08/09, and BPS:04/09, including: case 

information, schools and terms, academic honors, tests, degrees and majors, and courses. The HSLS:09

PETS data elements are presented as a list of items arranged by logical grouping: courses, terms, degrees, 

and institution. Some institution-level data elements will be collected through a data linkage with the 

IPEDS such as level of offering, institutional control, and calendar system.

Course data elements

 Course name and number

 Course code (coded using College Course Map:2010)4

 Course start and end dates

 Course grade (letter, number or other)

 Credit or clock hours awarded

 Grade points

 Alternative course credit (e.g., for military service, work experience, advanced placement tests)

 Transfer course and credits

Term data elements

 Term start and end dates

 Number of courses/credits attempted and earned during a term

 Term GPA

Degree data elements

 Program type, including type of AA or BA

 Degree award, including dates

 Major field of study, including codes (coded using the 2010 Classification of Instructional 

Programs codes, http://nces.ed.gov/ipeds/cipcode/Default.aspx?y=55) for up to two majors and 

minors, and concentration.

Institution data elements

 Grading system and GPA scale

 Clock or credit hours

 

4 Bryan, M. & Simone, S. (2012). 2010 College Course Map (NCES 2012-162REV). National Center for Education Statistics, 

Institute of Education Sciences, U.S. Department of Education. Washington, DC. Retrieved [date] from 

http://nces.ed.gov/pubsearch.

G-1

Appendix G

Student Records Request

Contacting Materials and Data Elements

i

Contents

Transcript and Student Records Collection Letter to Chief Administrator...............................................G-3

Student Records Request Letter to Financial Aid Personnel ....................................................................G-4

HSLS:09 Financial Aid Record Collection Frequently Asked Questions (FAQs)...................................G-6

Disclosure Notice......................................................................................................................................G-8

Financial Aid Record Collection Reminder Email ...................................................................................G-9

Text for the HSLS:09 Financial Aid Record Collection Quick Guide to Providing Student Records 

Data ..................................................................................................................................................G-10

Text for the High School Longitudinal Study of 2009 (HSLS:09) Financial Aid Record Collection: 

Information Sheet.............................................................................................................................G-12

HSLS:09 Financial Aid Record Collection (HSLS:09 FAR) Data Elements.........................................G-14

Supporting Statement Request for OMB Review (SF83I) Appendix G. Student Records Letters and Contacting Material

G-3

Transcript and Student Records Collection Letter to Chief Administrator

The text of the letter is also sent in an e-mail.

(date)

(Salutation) (FirstName) (LastName) Your IPEDS UNITID: (UnitID)

(Title) Your password: (Password)

(Institution)

(Address)

(City), (State) (Zip)

Dear (Salutation) (LastName):

[A student/students] from (Institution) [has/have] been participating in the High School Longitudinal Study of 2009

(HSLS:09) that is being conducted by the National Center for Education Statistics with data collection being carried 

out by RTI International, a nonprofit research organization. HSLS:09 is authorized by federal law under the 

Education Sciences Reform Act of 2002 (20 U.S.C. § 9543). I am writing to alert you that the current data 

collection effort includes requesting transcripts and student records data for these students from your institution.

Your registrar will be asked to provide transcripts and the financial aid director will be asked to provide 

information on the enrollment status, demographic characteristics, and financial assistance for each sampled 

student.

The enclosed materials describe our data collection process and provide a summary description of the laws and 

procedures safeguarding the confidentiality of all data collected. Any responses that relate to or describe 

identifiable characteristics of individuals may be used only for statistical purposes and may not be disclosed, or 

used, in identifiable form for any other purpose except as required by law (Education Sciences Reform Act of 2002, 

20 U.S.C. § 9573). Additional information, including reports based on data from previous rounds of HSLS:09, is 

available on the NCES website at http://nces.ed.gov/surveys/hsls09/.

We are providing you with advance notice of the study to allow adequate time to plan for data collection and, if 

needed, to contact us for more information prior to that time.

If you have any questions about the study or the data collection process, please contact the HSLS:09 project 

director, Daniel Pratt, at <helplinephone> or via e-mail at hsls@rti.org. You may also direct questions to the NCES 

Project Officer, Elise Christopher, Ph.D. at 1–202–502–7899 or at elise.christopher@ed.gov.

We look forward to your participation in this important study. Thank you for your cooperation.

Sincerely,

Peggy Carr, Ph.D.

Acting Commissioner

National Center for Education Statistics

Enclosures

For more information on the data collection, please visit:

https://surveys.nces.ed.gov/portal

Your IPEDS UNITID: (UnitID)

Your password: (Password)
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

G-4

Student Records Request Letter to Financial Aid Personnel

The text of the letter is also sent in an e-mail.

<date>

«salutation» «fname» «lname»

«Title»

«entity_name»

«phys_addr1»

«phys_addr2»

«phys_city», «phys_state» «phys_zip»

Your IPEDS UNITID: «entity_id»

Your password: «password»

Student Records Data Due: «expected_Date_curr»

Dear «salutation» «lname»,

(Institution) has been selected to participate in the High School Longitudinal Study of 2009 (HSLS:09) 

Financial Aid Records collection. The study is authorized by federal law under the Education Sciences 

Reform Act of 2002 (20 U.S.C. § 9543). HSLS:09 is being conducted by NCES with data collection being 

carried out by RTI International, a nonprofit research organization. We ask that you provide student 

record data for sampled students who attended your institution using the secure Web application 

developed for HSLS:09. Please complete the record abstraction and provide the requested data for these 

students on or before [DUE DATE].

We have developed an Internet-based Student Records System through which you (or someone on your staff) will 

be able to provide data for your selected students. The Student Records System is located on the secure NCES 

postsecondary data portal website: https://surveys.nces.ed.gov/portal.

To assist you with the process of providing student record data, we have enclosed a Quick Guide to Providing 

Student Records Data describing how to access and use the Student Records software. You can find details on what 

data we need to obtain for each sampled student from the Instructions link on the NCES postsecondary data portal

website. A list of your sampled students can also be found on the website, and you can easily print a hardcopy if 

you would like one.

There are three different methods available for providing the student data through the Student Records System.

Data can be entered directly into the web-based system, you can download and complete an Excel template and 

then upload it, or a programmer at your institution can create and upload data files following the specifications on 

the website. Regardless of the method you choose, you will be able to review the provided data on screen in the 

Student Records System.

Please be assured that the security of your students’ data is of the utmost importance, and the Student Records 

software has been developed with this in mind. The system encrypts all data, with the latest technologies before 

transmitting them over the Internet to NCES. In addition, access to the list of students (and to the forms used to 

enter their data) will require authentication using your IPEDS UNITID and unique password. They are printed 

below for your convenience. Please ensure that access is given only to those at your institution who will provide 

student records data.

Soon, we will call you to confirm your receipt of this material and the completion date for providing 

student records data. RTI’s Help Desk staff will be available from 9:00 a.m. to 6:00 p.m. ET, Monday 

through Friday, to answer any questions you may have about the study or about using the Student Records 

System. You may contact the Help Desk at <helplinephone>, toll-free, or via e-mail at 

HSLSrecords@rti.org.

Again, thank you for your continued participation in this important study.

Sincerely,
Supporting Statement Request for OMB Review (SF83I) Appendix G. Student Records Letters and Contacting Material

G-5

Elise Christopher, Ph.D.

Project Officer, HSLS:09

National Center for Education Statistics

elise.christopher@ed.gov

202-502-7899

Your institution’s response to HSLS:09 may be completed online at:

https://surveys.nces.ed.gov/portal

To access the Student Records System, go to the

Login box on the Home page. Then enter the IPEDS

UNITID below as your Username and enter the password below.

Your IPEDS UNITID: «entity_id»

Your password: «password»
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HSLS:09 Financial Aid Record Collection Frequently Asked Questions 

(FAQs)

1. What are the system requirements for using the HSLS:09 Student Records System?

To use the Web-based HSLS:09 Student Records System, your computer must possess (at 

a minimum):

 An Internet connection (high-speed cable is optimum).

 A web browser, such as Microsoft Internet Explorer 6.5 or higher, Firefox 3.0 or higher, 

Chrome 3.0 or higher, or Safari 3.0 or higher with the following:

 128-bit encryption. You may have to adjust your browser settings or download an 

update to activate 128-bit encryption.

 JavaScript enabled. JavaScript is the programming language of the interactive 

sections of our website and must be enabled for many pages to work properly.

 Secure Sockets Layer (SSL) enabled. SSL is used to provide additional security for 

our website and your data.

 Session cookies enabled. Session cookies are small text files temporarily stored in 

your RAM until you close your browser. Session cookies are not stored on your hard 

drive and are automatically removed at the end of the browsing session.

2. How secure is this website?

For this and all other web-based data collections that are part of HSLS:09, proven methods 

of protection for online sessions and data security over the Internet are being used. Secure Sockets 

Layer (SSL) protocol is used to encrypt the data over the Internet. The study website is password 

protected and requires the user to log in to the site before accessing confidential data. The system

will automatically log the user out after 20 minutes of inactivity on the session, preventing 

unauthorized user access to the site.

3. What about confidentiality of the data collected?

Both NCES and RTI follow strict procedures to protect the privacy and confidentiality of study 

participants. Any data released to the public will be in aggregate form (for example, statistical 

tables). Restricted use data files (which contain record-level data, but no directly identifying 

information) are available only to a limited number of qualified researchers, who must pledge, under 

penalty of law with severe fines and imprisonment, to maintain the confidentiality of the data.

4. Do we need to have the student’s permission before providing this information?

No. The data request for HSLS:09 fully conforms to the requirements of the Family 

Educational Rights and Privacy Act of 1974 (FERPA)(34 CFR Part 99). FERPA is designed to 

protect the privacy rights of students and their families by providing consistent standards for the 

release of personally identifiable student and family information. The National Center for Education 

Statistics (NCES) and its data collection agent, RTI International (RTI), are permitted by the 

provisions of FERPA to obtain student-level data from institutions. These data are subject to strict 

confidentiality protections, which must be adhered to by both NCES and RTI.

Student or parental consent is not required for release of information to NCES. FERPA 

explicitly states in 34 CFR § 99.31 that an educational institution may disclose personally identifiable 
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G-7

information from an education record of a student without prior consent if the disclosure is to 

authorized representatives of the Secretary of Education, which includes RTI as contractor for this 

research. A definition of personally identifiable information can be found in 34 CFR § 99.3. Personal 

identifiers, such as Social Security number and student number, are included in the definition. You 

may review this legislation on the U.S. Department of Education’s website: 

http://www.ed.gov/policy/gen/reg/ferpa.

5. By what authority does RTI collect this information?

HSLS:09 is conducted by the National Center for Education Statistics (NCES), United States 

Department of Education. The study is authorized by federal law under the Education Sciences 

Reform Act of 2002 (20 U.S.C. § 9543). As the data collection agent for NCES, RTI is authorized to 

collect data by federal law.

6. Where do I go for the information requested?

The information needed for each of the sampled students is typically collected from three 

distinct (document or online) sources at your institution: the Admissions or Registrar’s Office; the 

Bursar’s or Business Office; and the Financial Aid Office. If you require assistance after reviewing 

the enclosed Quick Guide to Providing Student Records Data, please contact the Help Desk with 

your questions at <helplinephone>, toll-free, or via e-mail at HSLSrecords@rti.org.

7. Can I provide data files instead of keying data into the web-based system?

Yes. You or a programmer can create data files according to the specifications available on 

the Student Records Data page of the NCES postsecondary data portal website. After the files are 

uploaded, your data can be reviewed online using the Student Records System. If you have 

questions, please contact RTI's Help Desk at <helplinephone> or e-mail HSLSrecords@rti.org.
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

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Disclosure Notice

Information from student records for this individual has been provided to RTI International, a

data collection agent for the U.S. Department of Education for High School Longitudinal 

Study of 2009. This disclosure statement fulfills the requirement of 34 CFR 99.32(a)(6) 

pursuant to the Family Educational Rights and Privacy Act of 1974 [20 U.S.C. 1232g].

This individual is included in the sample for the High School Longitudinal Study of 2009.

Strict protection of all information obtained from individuals selected for participation in this 

study is assured by current federal laws and regulations. All responses that relate to or 

describe identifiable characteristics of individuals may be used only for statistical purposes 

and may not be disclosed or used in identifiable form for any other purpose, except as 

required by law (20 U.S.C. § 9573).

(date collection begins)

OMB # 1850-0852

Expiration Date: (insert date)
Supporting Statement Request for OMB Review (SF83I) Appendix G. Student Records Letters and Contacting Material

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Financial Aid Record Collection Reminder Email

Dear «salutation» «lname»:

I am writing as a follow-up to the package you should have received recently that included a letter from me about 

the High School Longitudinal Study of 2009 (HSLS:09) Financial Aid Record collection. The letter requests that 

you log on to the secure NCES postsecondary data portal website and provide student records data for sampled 

students through the Student Records System. Please find below a link to the website as well as the username and 

password needed to access the site and provide data.

website: https://surveys.nces.ed.gov/portal

Your IPEDS UNITID: «entity_id»

Your PASSWORD: «password»

HSLS:09 is being conducted by the National Center for Education Statistics, U.S. Department of Education, with 

data being collected by RTI International, a nonprofit research organization. The data your institution provides are 

very important to the success of the study.

If you have any questions about the study or procedures involved, please contact the Help Desk at <helplinephone>

or via e-mail at HSLSrecords@rti.org.

Thank you again for your cooperation.

Sincerely,

Daniel Pratt

Project Director, HSLS:09

RTI International
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

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Text for the HSLS:09 Financial Aid Record Collection Quick 

Guide to Providing Student Records Data

In order to provide student records for the High School Longitudinal Study of 2009 (HSLS:09), you will need to 

access the secure Student Records System at https://surveys.nces.ed.gov/portal. Log in using the username 

and password printed on the letter you received from RTI and you will see the Task menu.

NOTE: You will need your institution’s username and password each time you, or other users at your institution, log in to the 

website. To ensure the security of your student data, it is important that you log off when you are going to be away from your 

computer and when you are finished with a data entry session.

Before you begin providing student records data, we need to collect some general information about your 

institution. From the Task menu, click Provide Institution Information for Student Records. Then click on each 

of the buttons to provide your institution’s information, then click Save and Continue. When you have entered 

information in all three sections, click the Submit button on the Institution Information page. After clicking 

Submit, the information can be viewed, but not changed, because it is then loaded into the student-level 

component of the system. The link changes to View Institution Information and the Submit button disappears.

There are 2 steps for providing and submitting student records data.

1 Provide Student Records Data

The student-level data we are requesting include contacting information, budget, enrollment status, and 

financial aid awarded for each year the student attended. You can find details on what data are needed from 

the Instructions link on the website.

From the Task menu, click Provide Student Record Data to route to the Student Record Data page. Data can 

be provided via the Student Records System by either entering data online or preparing data offline and then 

uploading completed data files. Specifically, there are three options to choose from, described below.

 Entering Data Online. Enter data online for one student at a time. Click on Case Mode, then select a 

student and a section to begin keying. After you have entered those data, you can set the Go to Next

button to either move to another section for that student or remain in the section and select another 

student. Validation (error checks) can be performed at any time by clicking Save. This will highlight 

missing data and data values that are out of the expected range or type.

 Uploading Data Files

Option A: Data Files Created from Our Excel Template. You may download an Excel template, fill in the 

requested data, and then upload the data. There is a button on the Student Records Data 

page to request the template. Because it must be customized for your institution, once 

requested, the file will be prepared overnight. When the file is ready, you will be able to click 

Download Your Excel Template and an e-mail will be sent to alert you. You will need to enable 

macros so that the validations can be performed and so the data will be formatted in the way 

we can process. If you need assistance enabling macros, please contact the Help Desk 

(information below). Each of the four Student Records sections has its own worksheet in the 

template file. If you key in the data, it will be validated as you enter it. If you cut and paste, the 

data will not be checked for errors until you click Validate or upload to the website. When 

keying is complete, click Upload on the Student Records Data page and follow the 

instructions.

Option B: Data Files Created by Your Programmer. A programmer at your institution can create and 

upload each of the four, required data files following our specifications. Both the specifications 

and a list of sampled students can be accessed from the Student Records Data page. We can

only accept comma separated values (CSV) formatted files. When the files are ready, click 

Upload on the Student Records Data page and follow the instructions.

For both file upload options, when a file is uploaded it is checked for errors such as values outside of 
Supporting Statement Request for OMB Review (SF83I) Appendix G. Student Records Letters and Contacting Material

G-11

expected ranges. When errors are detected, they are displayed onscreen. Please correct these errors 

before attempting to upload the file again. The Upload Status table contains indicators for whether the 

file was uploaded successfully and if so, whether errors were detected.

Regardless of the way in which you provide student records data, you may review your data onscreen in the 

Student Records System.

2 Finalize and Submit Student Records Data

 Review Progress and Edit Data. When you click Review Summary Data on the Student Records Data 

page, you will be routed to the Student Records Summary page where each student has his/her own 

row and each section has its own column. Note the links No Data and Data Saved in the four section 

columns (e.g., Contact Information). No Data indicates that nothing has been saved (or uploaded) for 

the section. Please review these carefully before locking the data for a student. Data Saved indicates 

that the section has been accessed and the Save button pushed (or that one or more data elements 

were uploaded), but does not necessarily indicate that all data have been provided. If you need to edit 

or key data, click on the No Data or Data Saved link to route to Case-Mode for that student and section 

where you can enter or edit data as needed.

 Mark as Never Attended. If you discover that a student never attended your institution, indicate this by 

checking the box in the Student Never Attended column in the student’s row. This action will alert us to 

not expect Student Records data for the student.

 Lock Cases (Students). After you have provided and reviewed a student’s data, you will need to lock 

the case by clicking Lock in the Action column of that student’s row. Locking indicates that the data for 

that student are final and ready to be processed by RTI. You can also click Lock all in the column 

header to indicate that all available data have been provided for all students.

 Submit Data. When you have provided data for all of your students and the cases are locked, please 

alert us by clicking the Submit (Process My Records) button on the Student Records Data page. 

Clicking the button will generate an e-mail to you confirming submission of the data.

Additional information is available on the NCES postsecondary data portal website. If you need assistance, 

please contact the Help Desk toll-free at <helplinephone> or via e-mail at HSLSrecords@rti.org.
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

G-12

Text for the High School Longitudinal Study of 2009 (HSLS:09) 

Financial Aid Record Collection: Information Sheet

(Front side)

How Will the Study Be Conducted?

HSLS:09 data are being collected for the National Center for Education Statistics (NCES) by RTI 

International, a nonprofit research organization. The HSLS:09 sample includes more than 23,000 young 

adults who first took part in this study as 9

th graders in the spring term of 2010. We ask that institution 

staff provide student record information (e.g., enrollment status, aid package received) for HSLS:09

participants who attended the institution.

Data are provided through a web interface over the secure NCES postsecondary data portal website—

either by data entry, uploading electronic data files, or a combination of both. The user friendly web 

interface for data entry and file upload has been developed to minimize the burden on institutional staff in 

providing student record data.

The Family Educational Rights and Privacy Act of 1974 (FERPA) (20 U.S.C. § 1232[g]) allows for the 

release of institution record information to the Secretary of Education or his agent without prior consent 

of survey members (34 CFR § 99.31[a]). All responses that relate to or describe identifiable 

characteristics of individuals may be used only for statistical purposes and may not be disclosed or used 

in identifiable form for any other purpose except as required by law (Education Sciences Reform Act of 

2002, 20 U.S.C. § 9573). RTI International, as the contractor for NCES, has been given the authority to 

collect information from institution records under federal law.

A. Purpose of the Data Collection

HSLS:09 is designed to monitor the transition of a national sample of young people as they progress 

through high school and onto postsecondary education and/or the world of work. The study has collected 

data on young people in high school from multiple perspectives and follows them on many pathways.

Because it draws on respondent survey information as well as administrative records, HSLS:09 is able to 

provide information on many possible outcomes of secondary education.

The HSLS:09 financial aid student records collection, which includes financial aid received and 

enrollment status for each year attended, will provide data for longitudinal analysis of financial 

aid records. This would allow examination of borrowing and debt trends over time, as well as the 

effects of those trends on postsecondary persistence and attainment, and decisions about work 

and family.

Authorization and Confidentiality of Data

HSLS:09 is conducted under the authority of the Education Sciences Reform Act of 2002 (20 U.S.C. 

§ 9543), which authorizes the National Center for Education Statistics (NCES), within the U.S. 

Department of Education’s Institute of Education Sciences, to collect and disseminate information about 

education in the United States.
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G-13

(Back)

NCES is required to follow strict procedures to protect the confidentiality of persons in the collection, 

reporting, and publication of data. Any individually identifiable information supplied by individuals or 

institutions to a federal agency may be used only for statistical purposes and may not be disclosed or used 

in identifiable form for any other purpose except as required by law (Education Sciences Reform Act of 

2002, 20 U.S.C. § 9573).

For questions, please contact the Help Desk toll-free at <helplinephone> or via email at 

hslsrecords@rti.org, or you may contact the project director or project officer (see below).

<date> (NCES logo)

Conducted by:

U.S. Department of Education

National Center for Education Statistics

Washington, DC

http://nces.ed.gov

Elise Christopher, Ph.D.

National Center for Education Statistics

Project Officer, HSLS:09

1-202-502-7899

elise.christopher@ed.gov

Daniel Pratt

RTI International

Project Director, HSLS:09

1-919-541-6615

djp@rti.org
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

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HSLS:09 Financial Aid Record Collection (HSLS:09 FAR) Data Elements

The HSLS:09 FAR data elements are presented in Exhibit H-1 below. The data elements for the financial 

aid record collection will be the same as those collected for the ELS:2002 Financial Aid Feasibility Study and the 

2015-16 National Postsecondary Student Aid Study (NPSAS:16). Data elements selected for HSLS:09 FAR are 

included because they provide critical information towards understanding a student’s financial aid. For each student 

at a given institution, certain data elements will be collected separately for each academic year attended by the 

student while other data elements will be collected once.

Exhibit H-1 presents three columns: the first lists the ELS:2002 FAFS data elements; the second column 

indicates the NPSAS:16 Field Test student record data elements; and the third column shows HSLS:09 FAR data 

elements with a decision on whether to include an element from the other studies only when the studies differed.

Exhibit H-1. HSLS:09 FAR Data Elements 

ELS:2002 FAFS NPSAS:16 FT Student Records 

(only the differences from ELS:2002 

are noted)

HSLS:09 FAR 

(decisions noted only 

when ELS:2002 and 

NPSAS differ)

Institution Level Information

Length of time that institution maintains student 

financial aid information

Length of time that institution maintains student 

enrollment information

Length of time that institution maintains student 

budget information

Length of time that institution maintains student 

tuition information

Length of time that institution maintains student 

degree information

Contact Information

Permanent Contact Information

Address 1

Address 2

City

State

ZIP

Country (if not USA) 

E-Mail

Phone

International Phone

Local Contact Information

Address 1 Included

Address 2 Included

City Included

State Included

ZIP Included

E-Mail Included

Phone 1 Included

Phone 1 Type Included

Phone 2 Included

Phone 2 Type Included

Campus E-mail Included

Parent's Contact Information
Supporting Statement Request for OMB Review (SF83I) Appendix G. Student Records Letters and Contacting Material

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ELS:2002 FAFS NPSAS:16 FT Student Records 

(only the differences from ELS:2002 

are noted)

HSLS:09 FAR 

(decisions noted only 

when ELS:2002 and 

NPSAS differ)

Parent’s First Name Included

Parent’s Middle Name Included

Parent’s Last Name Included

Parent’s Suffix Included

Parent’s Address 1 Included

Parent’s Address 2 Included

Parent’s City Included

Parent’s State Included

Parent’s ZIP Included

Parent’s E-Mail Included

Parent’s Phone Included

Parent’s Cell Phone Included

Parent’s International Phone Included

Other Contact Information

Other Contact’s First Name Included

Other Contact’s Middle Name Included

Other Contact’s Last Name Included

Other Contact’s Suffix Included

Other Contact’s Relationship to Student Included

Other Contact’s Address 1 Included

Other Contact’s Address 2 Included

Other Contact’s City Included

Other Contact’s State Included

Other Contact’s ZIP Included

Other Contact’s Country (if not USA) Included

Other Contact’s E-Mail Included

Other Contact’s Phone Included

Other Contact’s Cell Phone Included

Additional Contact Information

Additional Contact’s First Name Included

Additional Contact’s Middle Name Included

Additional Contact’s Last Name Included

Additional Contact’s Suffix Included

Additional Contact’s Phone Included

Additional Contact’s Relationship to 

Student Included

Student Info and Budget

Personal Information

First Name

Middle Name

Last Name

Suffix

DOB Month

DOB Year

Social Security Number 

Gender

Marital Status (Maiden and spouse name only applicable for married students)

Marital Status Marital Status

Will use NPSAS data 

elements.

Maiden Name

Spouse First Name

Spouse Middle Name

Spouse Last Name

Citizenship Status
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

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ELS:2002 FAFS NPSAS:16 FT Student Records 

(only the differences from ELS:2002 

are noted)

HSLS:09 FAR 

(decisions noted only 

when ELS:2002 and 

NPSAS differ)

Citizenship

Veteran Status

Veteran of U.S. Armed Forces?

High School Information

High School Completion Type Included

High School Completion Year Included

Ethnicity and Race

Ethnicity Included

Race: White Included

Race: Black or African-American Included

Race: Asian Included

Race: American Indian or Alaska Native Included

Race: Native Hawaiian or Other Pacific 

Islander Included

Budget

Local residence

Tuition/fees

Books/supplies

Room and board

Health insurance

Transportation

Computer technology

All other expenses

Total cost of attendance

Budget period

Enrollment

Degree Program and Progress

Degree Program

Degree Type Included

Class Level

Expected to complete degree requirements by 

6/30/2015? Not included

Cumulative (unweighted) GPA Not included

Received baccalaureate degree? Not included

Date received (MM/YYYY) Not included

Majors

CIP code for primary major Included

Primary Major Included

CIP code for secondary major Included

Secondary Major Included

Undeclared Included

Initial Enrollment

First Enrolled at this Institution Month (mm)

First Enrolled at this Institution Year (yyyy)

Last date of enrollment at this institution month 

(mm)

Not included

Included

Last date of enrollment at this institution year 

(yyyy)

Not included

Included

Ever taken a remedial course Included

Required Clock Hours

Total number of clock hours in program Included

Tuition Charged

Total Tuition and mandatory fees charged 
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ELS:2002 FAFS NPSAS:16 FT Student Records 

(only the differences from ELS:2002 

are noted)

HSLS:09 FAR 

(decisions noted only 

when ELS:2002 and 

NPSAS differ)

Residency for Tuition Purposes

Enrollment status & Number of hours enrolled per term

[Term Name 1 (Start Date – End Date)]

Hours [Term 1]

[Term Name 2 (Start Date – End Date)]

Hours [Term 2]

[Term Name 3 (Start Date – End Date)]

Hours [Term 3]

[Term Name 4 (Start Date – End Date)]

Hours [Term 4]

[Term Name 5 (Start Date – End Date)]

Hours [Term 5]

[Term Name 6 (Start Date – End Date)]

Hours [Term 6]

[Term Name 7 (Start Date – End Date)]

Hours [Term 7]

[Term Name 8 (Start Date – End Date)]

Hours [Term 8]

[Term Name 9 (Start Date – End Date)]

Hours [Term 9]

[Term Name 10 (Start Date – End Date)]

Hours [Term 10]

[Term Name 11 (Start Date – End Date)]

Hours [Term 11]

[Term Name 12 (Start Date – End Date)]

Hours [Term 12]

Aid Awarded

Satisfactory Academic Progress Status

Placed on financial aid warning? Included

Placed on financial aid probation Included

Ineligible to receive Title IV financial aid? Included

Federal Aid – amounts

Pell grant

Subsidized Stafford loan

Unsubsidized Stafford loan

Parent PLUS loan

Graduate PLUS loan

Federal TEACH grant

Perkins loan

Federal SEOG grant

Federal work-study – award amount

Federal work-study – disbursed amount Not included Included

Iraq & Afghanistan Service grant

Veteran benefits

Federal health professions loan

Federal health professions disadvantaged loan

State Aid amounts - preloaded with the most common programs for that state

[State aid program 1] State aid program 1 name

Will use NPSAS data 

elements.

State aid program 1 type

State aid program 1 amount

[State aid program 2] State aid program 2 name
Appendix G Student Records Letters and Contacting Material Supporting Statement Request for OMB Review (SF83I)

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ELS:2002 FAFS NPSAS:16 FT Student Records 

(only the differences from ELS:2002 

are noted)

HSLS:09 FAR 

(decisions noted only 

when ELS:2002 and 

NPSAS differ)

State aid program 2 type

State aid program 2 amount

[State aid program 3] State aid program 3 name

State aid program 3 type

State aid program 3 amount

[State aid program 4] Not included Not included

[State aid program 5] Not included Not included

[State aid program 6] Not included Not included

[State aid program 7] Not included Not included

[State aid program 8] Not included Not included

[State aid program 9] Not included Not included

[State aid program 10] Not included Not included

[State aid program 11] Not included Not included

[State aid program 12] Not included Not included

Institution Aid amounts – specific programs collected at a student-level from institution

Institution aid 1 name

Institution aid 1 type

Institution aid 1 amount

Institution aid 2 name

Institution aid 2 type

Institution aid 2 amount

Institution aid 3 name

Institution aid 3 type

Institution aid 3 amount

Institution aid 4 name Not included Not included

Institution aid 4 type Not included Not included

Institution aid 4 amount Not included Not included

Institution aid 5 name Not included Not included

Institution aid 5 type Not included Not included

Institution aid 5 amount Not included Not included

Graduate Aid – amounts (Only applicable for graduate students)

Graduate fellowship/scholarship

Graduate Federal fellowship

Graduate Federal traineeship

Graduate teaching assistantship/stipend

Graduate research assistantship/stipend

Other graduate assistants/tutors/readers stipends

Graduate student tuition waivers

Graduate faculty/staff tuition waivers

Graduate institutional work study

Graduate institutional loan

Government/Private Aid – amounts

Scholarships/grants from private organizations

Employer paid tuition

ROTC/armed forces grants

WIA/job training/vocational rehabilitation

Bureau of Indian Affairs grants

Scholarships/grants from outside state agency

Private loans

DC tuition assistance grant

Other/Specify Aid

Other aid 1 name

Other aid 1 type
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ELS:2002 FAFS NPSAS:16 FT Student Records 

(only the differences from ELS:2002 

are noted)

HSLS:09 FAR 

(decisions noted only 

when ELS:2002 and 

NPSAS differ)

Other aid 1 source

Other aid 1 amount

Other aid 2 name

Other aid 2 type

Other aid 2 source

Other aid 2 amount

Other aid 3 name

Other aid 3 type

Other aid 3 source

Other aid 3 amount

Other aid 4 name Not included Not included

Other aid 4 type Not included Not included

Other aid 4 source Not included Not included

Other aid 4 amount Not included Not included

Other aid 5 name Not included Not included

Other aid 5 type Not included Not included

Other aid 5 source Not included Not included

Other aid 5 amount Not included Not included