Privacy and Security in Early Childhood Data Use

1. Privacy and Security in Early Childhood Data Use Thursday August 1, 2013 • Baron Rodriquez, 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, DaSyCenter - • - Missy Cochenour, SLDS SST -

3. Objectives for the Day 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

4. Introductions 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. Data Use Framework

6. Privacy Considerations • in Using Early • Childhood Data • - Baron Rodriguez, PTAC -

7. Privacy Considerations in Using Early Childhood Data 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.

8. Privacy Considerations in Using Early Childhood Data FERPA’s Audit and Evaluation Exception 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.

9. Privacy Considerations in Using Early Childhood Data FERPA’s Audit and Evaluation Exception – Requirements 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”)

10. Privacy Considerations in Using Early Childhood Data FERPA’s Audit and Evaluation Exception - Requirements (cont’d) 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.

11. Privacy Considerations in Using Early Childhood Data Non-Profit Scenarios Ray Marshall Center & Austin ISD Midwest school district & large non-profit

12. SLDS • Data Use Framework • - Corey Chatis, SLDS SST -

13. Data Use Framework

14. Data Use Framework: Plan • Mission and Goals • What is the point?

15. Data Use Framework: Plan Identification and prioritization of users • Who are we serving? Mission and Goals • What is the point?

16. Data Use Framework: Plan Identification and prioritization of users • Who are we serving? Identification of uses • What types of decisions and/or actions will the system inform? Mission and Goals • What is the point?

17. Data Use Framework: Create Stakeholder engagement • How do we involve those whom we intend to serve?

18. Data Use Framework: Create Stakeholder engagement • How do we involve those whom we intend to serve? Products/Resources • What types of products/ resources will the SLDS generate?

19. Data Use Framework: Create 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?

20. Data Use Framework: Support 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?

21. Data Use Framework: Support(continued) 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?

22. Data use Framework • Identificationof Uses • Stakeholder Engagement • Identification & Prioritization of Users • Products/Resources • Mission & Goals • Delivery • Evolution & Sustainability • User Support

23. Data Use Strategy: Plan • - Corey Chatis, SLDS SST -

24. Data Use Strategy: Plan 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

25. Data Use Strategy: Plan 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

26. Data Use Strategy: Plan 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

27. Governance • Considerations • for Planning • - Missy Cochenour, SLDS SST - • - Robin Nelson, DaSy Center -

28. What is EC Data Governance? 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.

29. What is EC Data Governance? 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)

30. Governance Process Related to Planning • 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

31. Interactive State • Session 1 • - Missy Cochenour, SLDS SST -

32. Interactive State Session 1: Plan Early Childhood Data Use: Plan (toolkit will be provided)

33. Key Data Uses • in Early Childhood • - Missy Cochenour, SLDS SST -

34. Data use Framework • Identificationof Uses • Stakeholder Engagement • Identification & Prioritization of Users • Products/Resources • Mission & Goals • Delivery • Evolution & Sustainability • User Support

35. Key Data Uses in Early Childhood 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?

36. Key Data Uses in Early Childhood

37. Key Data Uses in Early Childhood

38. FERPA and PART C • of the IDEA • - Dale King, FPCO -

39. FERPA and PART C of the IDEA 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

40. FERPA and PART C of the IDEA 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.

41. FERPA and PART C of the IDEA 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.

42. FERPA and PART C of the IDEA Translation of Terms

43. FERPA and PART C of the IDEA

44. FERPA and PART C of the IDEA

45. FERPA and PART C of the IDEA

46. FERPA and PART C of the IDEA

47. FERPA and PART C of the IDEA

48. FERPA and PART C of the IDEA

49. FERPA and PART C of the IDEA

50. Privacy and Governance • Considerations for Use • - Corey Chatis, SLDS SST -