Thursday August 1, 2013

(1)

Thursday August 1, 2013

Baron Rodriguez, PTAC Director

Dale King, FPCO Director

Corey Chatis, State Support Team

Missy Cochenour, State Support Team

Robin Nelson, DaSy Center

(2)

Welcome & Introductions

‐ Robin Nelson, DaSy Center ‐

‐ Missy Cochenour, SLDS SST ‐

(3)

• Develop understanding of key privacy issues in using data

in early childhood

• Increase understanding of how to use early childhood

data from planning through sustainability

• Review analysis of research questions for policy, program,

and practice at various administration levels

• Learn about FERPA & HIPAA impact on development of EC

research questions and sharing of data across agencies

and with external audiences

• Develop state tools to take back to state to inform data

use

Objectives for the Day

(4)

As a state, discuss what you hope to learn

today and how each of you fit into the state

picture around early childhood integrated data

systems, both now and in the future.

(5)

large images

Data Use Framework

CREATE

SUPPORT

PLAN

(6)

Privacy Considerations

in Using Early

Childhood Data

(7)

What legal obligation do EC educational agencies and

institutions have to protect PII from students records?

• Privacy of individual student records are protected under

FERPA

• Other Federal, State ,and local laws, such as HIPAA and IDEA,

may also apply

• Determine how/which information is going to flow

between agencies to help assess which laws may apply

• Develop data sharing agreements which ensure data is

only shared for authorized purposes and adequately

protected at all times.

Privacy Considerations in Using Early

Childhood Data

(8)

A state or local educational authority may

designate a third party as their “authorized

representative” and then disclose PII from

education records to them for the purposes of

conducting an audit or evaluation of a federal

or state‐supported education program.

FERPA’s Audit and Evaluation

Exception

Privacy Considerations in Using Early

Childhood Data

(9)

• Disclosing entity must be a state or local educational

authority

• Must be for the evaluation of a federal or state‐supported

education program

• Must use a written agreement to designate the recipient

as the authorized representative

• The written agreement must include a number of required

elements

(see “Guidance on Reasonable Methods and Written Agreements”)

FERPA’s Audit and Evaluation

Exception ‐ Requirements

Privacy Considerations in Using Early

Childhood Data

(10)

The recipient must:

• Comply with the terms of the written agreement;

• Use the PII only for the authorized purpose;

• Protect the PII from further disclosure or other uses;

• Destroy the PII when no longer needed for the evaluation.

FERPA’s Audit and Evaluation

Exception ‐ Requirements (cont’d)

Privacy Considerations in Using Early

Childhood Data

(11)

Ray Marshall Center & Austin ISD

Midwest school district & large non‐profit

Non‐Profit Scenarios

Privacy Considerations in Using Early

Childhood Data

(12)

SLDS

Data Use Framework

(13)

large images

Data Use Framework

CREATE

SUPPORT

PLAN

(14)

Data Use Framework: PLAN

• Mission and Goals

–

What is the point?

CREATE

SUPPORT

PLAN

(15)

Mission and Goals

–

What is the point?

Data Use Framework: PLAN

CREATE

SUPPORT

PLAN

Identification and

prioritization of users

• Who are we serving?

(16)

Mission and Goals

–

What is the point?

Data Use Framework: PLAN

CREATE

SUPPORT

PLAN

Identification and

prioritization of users

• Who are we serving?

Identification of uses

• What types of decisions and/or

actions will the system inform?

(17)

Stakeholder engagement

–

How do we involve

those whom we intend

to serve?

Data Use Framework: CREATE

CREATE

SUPPORT

PLAN

(18)

Stakeholder engagement

–

How do we involve those

whom we intend to serve?

Products/Resources

–

What types of products/

resources will the SLDS

generate?

Data Use Framework: CREATE

CREATE

SUPPORT

PLAN

(19)

19

Stakeholder engagement

–

How do we involve those

whom we intend to serve?

Products/Resources

–

What types of products/

resources will the SLDS

generate?

Delivery

–

How will you deliver data to key

users?

Data Use Framework: CREATE

CREATE

SUPPORT

PLAN

(20)

User support

–

How will users know

how to use the system?

–

How will users

understand the data

provided by the system?

–

How will users know

what to do with the

data provided by the

system?

Data Use Framework: SUPPORT

CREATE

SUPPORT

PLAN

(21)

Evolution and Sustainability

–

_{How do we continue to}

support users and their

needs as they expand and

evolve?

–

_{How do we make the system}

an essential resource for

users?

–

_{How do we ensure we have}

the resources to continue

meeting users’ needs?

Data Use Framework: SUPPORT

(continued)

CREATE

SUPPORT

PLAN

(22)

large images

Data use Framework

CREATE

SUPPORT

PLAN

Mission & Goals Identification & Prioritization of Users Identification of Uses Stakeholder Engagement Products/Resources User Support Evolution & Delivery

(23)

Data Use Strategy: Plan

(24)

Mission and Goals: What is the point?

• Defining and communicating a common vision

• Establishing clear goals, defining success – the value

of logic chains

• Ensuring that all subsequent decisions regarding

tools, products, training, communication, etc. are

anchored to the vision and goals

Data Use Strategy: Plan

(25)

Identification and Prioritization of User Roles:

Who are we serving?

• The importance of focus: You cannot be everything

to everyone

• Understanding what is important to each user role

and how that supports the overall

mission/objectives of the SLDS

Data Use Strategy: Plan

(26)

Identification of Uses: What types of decisions

and/or actions will the system inform?

• Ensuring the system has the data (granularity,

frequency, quality) required to appropriately inform

the identified decisions and/or actions

• Identifying the “hooks” for each user role‐ how will

the SLDS data help them improve their work

• Understanding how data can be applied within

users’ current context: Actionable and relevant

Data Use Strategy: Plan

(27)

Governance

Considerations

for Planning

‐ Missy Cochenour, SLDS SST ‐

‐ Robin Nelson, DaSy Center ‐

(28)

• Data governance is both an organizational process and a

structure.

• It establishes responsibility for data, organizing program

area staff to collaboratively and continuously improve

data quality through the systematic creation and

enforcement of policies, roles, responsibilities, and

procedures.

• DG can be structured to support one sector (e.g., EC) or

span across sectors (e.g., P‐20W) – but there are key

differences between the two.

What is EC Data Governance?

(29)

Data Governance:

• Helps to protect interests of stakeholders by enforcing

compliance with agreed‐upon rules and regulations

regarding data management (including security)

• Outlines who can take what actions, when, with what

information, and using what methods

• Defines rules of engagement, organizational bodies,

accountable individuals, and processes

• Is formalized as a set of policies and procedures

• Encompasses the full data life‐cycle

(Your resource guide has a variety of data governance resources and for more information talk to Missy or Corey for additional EC Data Governance support)

What is EC Data Governance?

(30)

• Decision Making Authority

•

Establish organizational structure with different levels of DG &

specify roles and responsibilities at each level

• Data Request Process

•

Who approves or denies the requests? Based on what criteria?

•

Recommending approval

•

Reviewing cost estimates and available resources

• Identifying users

•

Standard policies and procedures establish rules of engagement

for dealing with all levels of stakeholders

Governance Process Related to Planning

(31)

Interactive State

Session 1

(32)

Early Childhood Data Use: Plan

(toolkit will be provided)

(33)

Key Data Uses

in Early Childhood

(34)

large images

Data use Framework

CREATE

SUPPORT

PLAN

(35)

What is driving the work in Early Childhood?

• Critical policy and program questions across agencies

and programs

Who are the potential users?

• Policymakers, program administrators, teachers,

parents, and others

Discussion question: What does the use have

to do with Privacy?

Key Data Uses in Early Childhood

(36)

User Interest/Need Example(s) Policymakers & Legislators Inform policy development, revision, and funding decisions  Resource allocation, program evaluation, legislative actions, etc Program leaders Improve program effectiveness and efficiency  Program evaluation, resource allocation, staffing needs, community needs, program development, program planning, etc. Educators Inform decisions to improve local‐level learning environments  Resource allocation, staffing needs, instructional approaches, student placement, curriculum development, etc. Researchers Assess the impact of policies and programs on students and education entities  Research questions, program evaluation, policy evaluation, etc. Families Support learning and inform decisions about placement in available schools/programs/ courses  Which schools/program to send their child to, which classes to take to be ready for college, resources available, etc.

Key Data Uses in Early Childhood

(37)

User Examples from Other States Policymakers & Legislators 1. Are children birth to age 5 on track to succeed when they enter school? 2. What are the education and economic returns on early childhood investments? 3. What are the definable characteristics of the state’s Birth‐8 workforce? 4. Which children and families are and are not being served by which programs and services? Program leaders 1. What characteristics of programs are associated with positive outcomes for which children 2. What characteristics of programs improve quality of services for families? 3. Is my program effective? 4. Are my teachers prepared to meet the needs of the families we serve? Educators 1. Is my class/child development on track to succeed when they enter school? 2. Is ‘this’ instructional strategy working for this child?

Researchers 1. Does the self‐regulation of a child predict their school success in K? 2. How effective is this program? (General program evaluation)

3. What would the impact of increased quality standards have on the workforce?

Families 1. What is the best program for my child? Where are programs located? 2. Is my child on track to be ready for school?

(38)

FERPA and PART C

of the IDEA

(39)

Family Educational Rights and Privacy Act

(FERPA)

• FERPA provides parents the right to:

• inspect and review education records • seek to amend education records; and • consent to the disclosure of personally identifiable information from education records, except as provided by law

FERPA and PART C of the IDEA

(40)

FERPA and IDEA Part C

• FERPA generally applies to records subject to Part C of

IDEA.

• The more specific provisions in the new Part C

regulations published on September 28, 2011, (which

regulations are consistent with, and incorporate the

protections under, FERPA) govern the confidentiality

rights of infants and toddlers with disabilities and

their parents.

FERPA and PART C of the IDEA

(41)

IDEA Part C and Confidentiality

• Part C ensures the protection of the confidentiality of any

personally identifiable data, information, and records

collected or maintained by the Secretary under Part C and

by participating agencies, including the State lead agency

and EIS providers, in accordance with FERPA.

FERPA and PART C of the IDEA

(42)

Translation of Terms

FERPA

Part C

Education record Early intervention Record

Education Early intervention

Educational agency or institution Participating agency

School official Qualified EIS personnel/Service coordinator

State educational authority Lead agency

Student Child under IDEA Part C

(43)

Education Records and Early Intervention Records

FERPA: “Education records” are records that are directly related to a student; and maintained by an educational agency or institution or by a party acting for the agency or institution. Part C: “Early intervention records” to mean “all records regarding a child that are required to be collected, maintained, or used under part C of the Act and the regulations of this part.” Health records on students, including immunization records, maintained by an educational agency or institution subject to FERPA are “education records” subject to FERPA.

FERPA and PART C of the IDEA

(44)

Personally Identifiable Information

FERPA: includes, but is not limited to the student’s name, name of the student’s parent or other family members, address of the student or student’s family, social security number, student’s date of birth, place of birth, and mother’s maiden name. Also, includes other information that, alone or in combination, is linked or linkable to a specific student; or information requested by a person believed to know the identity of the student to whom the education record relates. Part C: Means personally identifiable information as defined in 34 CFR 99.3 as amended, except that the term ‘student’ in the definition of personally identifiable information in 34 CFR 99.3 means ‘child’ as used in this part and any reference to ‘school’ means ‘EIS’ provider as used in this part

FERPA and PART C of the IDEA

(45)

Inspection and Review of Records

FERPA: Provides that educational agency or institution , as well as the SEA, afford parents and eligible students the right to inspect and review their education records, within 45 days of receiving request. Part C: Requires each participating agency to comply with a parent’s request to inspect and review any early intervention records relating to their children that are collected, maintained, or used by the agency without any unnecessary delays and before any meeting regarding an IFSP, or any hearing pursuant to §§ 303.430(d) and 303.439, and in no case more than 10 days after the request has been made.

FERPA and PART C of the IDEA

(46)

Amending Records

FERPA: Affords parents the right to seek to amend information in their child’s education records and an opportunity for a hearing to challenge the content of education records. Part C: Provides the same opportunity for a hearing to challenge the content of education records as FERPA provides. Part C states that a hearing held under § 303.411 must be conducted according to the procedures in FERPA.

FERPA and PART C of the IDEA

(47)

Consent for Disclosure

FERPA: Requires that a parent or eligible student provide a signed and dated written consent before a school discloses education records, except for specific exceptions. Part C: requires parental consent before PII is disclosed to parties, other than to authorized representatives, officials, or employees of participating agencies in order to meet Part C requirements; and parental consent before using PII for any purpose other than meeting the requirements of Part C.

Part C: Part C lead agency or other participating agency may not

disclose PII to any party except participating agencies (including lead agency and EIS providers) that are part of the State’s Part C system without parental consent, unless authorized to do so under Part C or one of the exceptions in FERPA, where applicable to Part C.

(48)

FERPA Exceptions to Consent Relevant to Part C To comply with a judicial order or subpoena To respond to a health or safety emergency In connection with audit or evaluation of Federal or State supported education programs, or for the enforcement of or compliance with Federal legal requirements which relate to those programs. Disclosure of PII from education records of children in foster care to: “agency caseworker or other representative” of a State or local child welfare agency (CWA) who has the right to access a student’s case plan under State or tribal law. (Uninterrupted Scholars Act)

FERPA and PART C of the IDEA

(49)

Record of Access FERPA: Contains recordkeeping requirements for both schools and SEAs. Records must (1) be maintained as long as record is maintained; (2) include parties who requested or received information; and (3) include legitimate interest the parties had in receiving information. Part C: Contains recordkeeping requirements for participating agencies. Agencies (1) must keep a record of parties obtaining access to early intervention records collected, maintained, or used under Part C; (2) and include name of party, date access given, and purpose for which the party is authorized to use the records.

FERPA and PART C of the IDEA

(50)

Privacy and Governance

Considerations for Use

(51)

Complying with FERPA:

• Under what exception does it apply?

• List the exceptions (could we create a spreadsheet to share so

they can take it home/ PTAC FAQ)

• Is there an MOU in place to share these data?

• Does it include the critical question and the related

elements?

• Aggregate and de‐identified data

Privacy Considerations: Use Phase

(52)

Data Content Management

• Clearly defined purposes explaining why data are

collected and used

Data access and use policy

• Who has what level of access to the data?

• Under what conditions?

Data request process

• Is PII absolutely necessary for this research?

• How do external parties request access to the data?

• Who approves or denies the requests? Based on what

Governance Considerations: Use Phase

(53)

Interactive State

Session 2

(54)

Early Childhood Data Use: Use

(toolkit will be provided)

(55)

PTAC 101 on

Multi‐Agency MOUs

(56)

KEY POINTS

• Audit & Evaluation is generally the exception you would use

to share data under FERPA. The Studies exception has a

very narrow focus

• PTAC can assist with review of data sharing agreements. A

few considerations:

• PTAC can’t review in regard to state/local laws, which may be more stringent • PTAC/ED can’t give a “stamp of approval,” but can say it meets the requirements and/or best practices set forth in the data sharing agreement checklist