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PTAC and FPCO: Moving Forward Under the New FERPA Regulations

PTAC and FPCO: Moving Forward Under the New FERPA Regulations. MIS 2012 February 15, 2012. Michael Hawes, Statistical Privacy Advisor Baron Rodriguez, Director, PTAC Allison Camara, PTAC. Pop Quiz.

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PTAC and FPCO: Moving Forward Under the New FERPA Regulations

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  1. PTAC and FPCO: Moving Forward Under the New FERPA Regulations MIS 2012 February 15, 2012 Michael Hawes, Statistical Privacy Advisor Baron Rodriguez, Director, PTAC Allison Camara, PTAC

  2. Pop Quiz From 2009 to 2011, what is the percentage change of organizations conducting an annual privacy review? • - 26 % • + 26 % • - 13 % • + 13 %

  3. Pop Quiz From 2009 to 2011, what is the percentage change of organizations conducting an annual privacy review? • - 26 % • + 26 % • - 13 % • + 13 % In 2009, 52% of companies invested in annual privacy policy reviews. In 2011, only 39% conducted an annual privacy review.

  4. Presentation Overview Overview of ED privacy initiatives PTAC/FPCO coordination FERPA overview Understanding the new FERPA regulations Moving forward -- priorities for 2012 Popular PTAC/FPCO resources

  5. Early 2011 — ED Privacy Initiatives Begin • FERPA Notice of Proposed Rulemaking • Guidance — NCES Technical Briefs • Privacy Technical Assistance Center (PTAC) • Chief Privacy Officer

  6. Chief Privacy Officer: Organizational Structure

  7. Late 2011 — Building on Progress • Regulation changes finalized • 274 Comments received • Final FERPA regulatory changes • December 2, 2011 Federal Register • Effective January 3, 2012 • PTAC guidance documents • Privacy Advisory Committee • Soliciting input

  8. FPCO Mission and Resources • Administers • FERPA • Protection of Pupil Rights Amendment (PPRA) • Military recruiter provisions in the Elementary and Secondary Education Act (ESEA) • Investigates alleged violations of these laws • Issues guidance documents • Coordinates with PTAC

  9. PTAC Mission and Resources • “One-stop” resource center • Regional Meetings and Lessons Learned Forums • Technical Assistance Site Visits • Help Desk • Web resources • Technical Briefs, Issue Briefs, and White Papers • Case studies • Checklists • Frequently Asked Questions • Monthly Webinars, Presentations, and Training Materials

  10. PTAC Experts • Baron Rodriguez – State Support Team • Mike Tassey – Security Expertise • WestStat – Statistical Expertise • Margie Bates – Support/Legal

  11. How is a request to PTAC handled?

  12. What is FERPA? • Family Educational Rights and Privacy Act (FERPA) enacted 1974 • Protects the privacy of students’ education records • Affords parents and eligible students rights to • inspect and review education records, • seek to amend these records, and • consent to the disclosure of personally identifiable information (PII) from education records.

  13. Disclosure of Education Records under FERPA • Requirement for written consent to disclose PII • Parents and eligible students • Exceptions to consent • Studies • Audit or evaluation • Other (e.g., court order, health or safety emergency)

  14. FERPA and Student Privacy — Recent Developments • Move to electronic records • Student longitudinal databases • New risks and vulnerabilities • ED privacy initiatives • Most recent FERPA amendment—January 3, 2012

  15. Key FERPA Regulatory Changes “You know how sometimes FERPA can tie your brain in a knot trying to think through it all?” [quote from an email to PTAC]

  16. FERPA Regulatory Changes — Definitions • Authorized Representative • Any entity or individual designated by a State or local educational authority or an agency headed by an official… to conduct—with respect to Federal- or State-supported education programs—any audit or evaluation, or any compliance or enforcement activity in connection with Federal legal requirements that relate to these programs (FERPA regulations, §99.3). • 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 (FERPA regulations §99.3).

  17. FERPA Regulatory Changes — Audit or Evaluation Exception • Authorized Representative • Written Agreements • Reasonable Methods • “Guidance on Reasonable Methods and Written Agreements”

  18. OLD INTERPRETATION NEW INTERPRETATION FERPA Regulatory Changes — Studies Exception

  19. FERPA Regulatory Changes — Directory Information • Definition of directory information • Conditions for disclosure • Student ID cards and badges • Limited directory information

  20. A Couple of Case Studies • Technical Assistance • Enforcement

  21. ED Priorities for 2012 • Guidance for SEAs and LEAs • Assistance with privacy, confidentiality, and security concerns • Case Studies • FPCO resources and initiatives • Focus on legal interpretation of FERPA • Modernizing FPCO • PTAC resources and initiatives • Focus on best practices • Coordinating with FPCO

  22. POP Quiz # 2 • In 2011, what percentage of organizations dedicate resources to business continuity and/or disaster recovery? • 21% • 52% • 5% • 14%

  23. POP Quiz # 2 • In 2011, what percentage of organizations dedicate resources to business continuity and/or disaster recovery? • 21% • 52% • 5% • 14% That’s down more than 10% from 2009!

  24. 2012 — PTAC Initiatives • Expansion to LEAs • Coordination with FPCO • Helping organizations come into compliance • Statistical and data security experts • Site visits and regional meetings • Best practices guidance documents and training materials • Compliance vs. transparency

  25. Upcoming Events • 25th Annual MIS Conference Presentation • February 16, 2012, Session VI, 10-11am (Nautilus 5): Protection of Personally Identifiable Information Through Disclosure Avoidance Techniques • PTAC Webinar • March 15th, 2012, 2:00 p.m. EST: Special Education: The Intersection of FERPA and IDEA Confidentiality Provisions

  26. Available Resources • Guidance on Reasonable Methods and Written Agreements • Data Stewardship: Managing Personally Identifiable Information in Electronic Student Education Records • Basic Concepts and Definitions for Privacy and Confidentiality in Student Education Records • Responding to IT Security Audits: Improving Data Security Practices • Data Security: Top Threats to Data Protection • Data Security Checklist • Data Governance and Stewardship • Data Governance Checklist • Data Security and Management Training: Best Practice Considerations

  27. Contact Information

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