1. Welcome to Workforce 3 One U.S. Department of Labor Employment and Training Administration Webinar Date: Thursday, October 23, 2014 Presented by: Division of Youth Services (DYS) & Division of Strategic Investments (DSI) U.S. Department of Labor, Employment and Training Administration

2. 2# Enter your location in the Chat window – lower left of screen

3. 3# Michael Hawes – U.S. Department of Education, Office of Privacy, Information, and Records Management Services (PIRMS) Sarah Sunderlin – ETA, Division of Strategic Investments Julie Glasier – ETA, Division of Youth Services

4. 4# Define Objectives Review Points of Data Transfer FERPA Overview Informed Consent School Official Exception Audit and Evaluation Exception Options and Next Steps to Ensure Compliance Q & A

5. Review why and how YCC participant-level data is transferred for performance reporting and program oversight Provide an overview of FEPRA and privacy best practices Offer tips and options for grantees to consider, based on grantee type and project characteristics, to support FERPA compliance Answer grantee questions regarding FERPA and next steps #5

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7. #7 Senders & Receivers Type of Data Use of Data Department of Labor Program Evaluation & Oversight and Technical Assistance Grantees Service Providers High Schools IHE’s Workforce entities Non-Profits Service Providers High Schools IHE’s Workforce entities Non-Profits Provide Service Quarterly Performanc e Reports Individual Level Data Aggregate Data

8. Michael B. Hawes Statistical Privacy Advisor U.S. Department of Education #8

9. Gives parents (and eligible students) the right to access and seek to amend their children’s education records. Protects personally identifiable information (PII) from education records from disclosure without written consent (unless an exception applies). (20 U.S.C. 1232g & 34 CFR Part 99) #9

10. Direct Identifiers –Name –Name of parents or other family members –Address –Identifying Number (e.g., SSN, Student ID#) –etc. Indirect Identifiers (e.g., date or place of birth) “Other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty.” (§ 99.3) 10

11. “Education Records” are records: –Directly related to the student; and –Maintained by (or on behalf of) an educational agency or institution. #11

12. Requirements for consent to disclosure PII under FERPA: –Specify the records to be disclosed –State the purpose of the disclosure –Identify the party or class of parties to whom the disclosure may be made. Consent may be electronic, but it must identify and authenticate the individual. (see §99.30 for more information) #12

13. There are a number of exceptions to FERPA’s written consent requirement, including for: –Health and safety emergencies; –School officials; –Audits and evaluations; –Certain studies; –Court orders and subpoenas; –And others purposes as specified in §99.31 #13

14. 14 Local Education Agencies (LEAs) can disclose PII from education records without consent to third parties under FERPA’s School Official exception, provided that the third party: Performs a service/function for the LEA for which it would otherwise use its own employees Is under the direct control of the LEA with regard to the use/maintenance of the education records Uses education data in a manner consistent with the definition of the “school official with a legitimate educational interest,” specified in the LEA’s annual notification of rights under FERPA Does not re-disclose or use education data for unauthorized purposes

15. #15 State and local educational authorities can disclose PII from education records without consent to their authorized representatives in order to: audit or evaluate a federal or state-supported education program, or to enforce or comply with federal legal requirements relating to those programs; Education Program = Any program principally engaged in the provision of education, including, but not limited to, early childhood education, elementary and secondary education, postsecondary education, special education, job training, career and technical education, and adult education, and any program that is administered by an educational agency or institution (§ 99.3)

16. To use the FERPA’s Audit and Evaluation exception, the SEA/LEA must: –Use a written agreement meeting the requirements of §99.35(a)(3) –Designate the receiving entity as their “authorized representative” for the specific audit or evaluation –Use reasonable methods to ensure that the recipient protects the privacy and security of the data  NEXT STEPS: Contact DOL for additional recommendations on next steps if considering designating DOL as an “authorized representative” #16

17. 17 1)LEA using PTS to provide services 2)Sharing performance data with DOL with written consent 3)Sharing performance data with DOL without written consent a.LEA as Lead Grantee b.IHE as Lead Grantee c.Non-Profit as Lead Grantee

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20. Data entry into the PTS would be considered a disclosure of PII from education records to a third party (DOL’s contractor) Tips for checking school policies fit within this exception: –Review your annual notification of FERPA rights to students and parents –Determine if the PTS/DOL’s contractor meets the school official exception requirements If YES: may enter data into the PTS for case management If NO: contact the Department of Labor (YCC@dol.gov), copying your FPOYCC@dol.gov As a best practice, we recommend that LEAs have an agreement/contract in place with the grantees to ensure that data maintains the school official exception requirements (e.g., “direct control”) # 20

21. Including Consent Language State the records that may be disclosed State the purpose for the disclosure Identify to whom the disclosure will be made Signature and Date #21

22. To use the FERPA’s Audit and Evaluation exception, the SEA/LEA must: –Use a written agreement meeting the requirements of §99.35(a)(3) –Designate the receiving entity as their “authorized representative” for the specific audit or evaluation –Use reasonable methods to ensure that the recipient protects the privacy and security of the data  NEXT STEPS: Contact DOL for additional recommendations on next steps if considering designating DOL as an “authorized representative” #22

23. Provide sample consent language Provide individualized guidance on Audit and Evaluation written agreement processes should that be your option: –Please notify us at ycc@dol.gov, copying your FPO, by Thursday, October 30 th 2014ycc@dol.gov #23

24. U.S. Department of Labor Employment and Training Administration Youth CareerConnect (YCC) Program Office Email: ycc@dol.govycc@dol.gov Useful Resources: TEGL 39-11 - Guidance on the Handling and Protection of Personally Identifiable Information (PII) –https://etagrantees.workforce3one.org/view/20012201393644 26060/infohttps://etagrantees.workforce3one.org/view/20012201393644 26060/info #24

25. 25# U.S. Department of Education’s Privacy Technical Assistance Center Email: PrivacyTA@ed.govPrivacyTA@ed.gov Web:http://ptac.ed.govhttp://ptac.ed.gov Useful Resources: Guidance on Reasonable Methods and Written Agreements –http://www2.ed.gov/policy/gen/guid/fpco/pdf/reasonablemtd_agreement.pdfhttp://www2.ed.gov/policy/gen/guid/fpco/pdf/reasonablemtd_agreement.pdf Written Agreement Checklist –http://ptac.ed.gov/sites/default/files/data-sharing-agreement-checklist.pdfhttp://ptac.ed.gov/sites/default/files/data-sharing-agreement-checklist.pdf

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27. Speaker:Michael Hawes Title:Statistical Privacy Advisor Organization:U.S. Department of Education Email:michael.hawes@ed.gov Telephone:(202) 453-7017 Youth CareerConnect National Office Team YCC@dol.gov 27#

28. Thank You! Find resources for workforce system success at: www.workforce3one.org 28#