Workforce Investment and Opportunity Act (WIOA) · 2 2 WIOA Overview •The following final rules were published in the Federal Register (FR) on August 19, 2016: •DOL’s Workforce

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Workforce Investment and Opportunity Act (WIOA) Adult Education and Family Literacy Act (AEFLA) and Data Matching to Facilitate Performance Reporting and Evaluation

2017 National Meeting for

Adult Education State

Directors

Washington, DC

June 27, 2017

Dale King Director Family Policy Compliance Office U.S. Department of Education

United States Department of Education

Privacy Technical Assistance Center

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WIOA Overview

• The following final rules were published in the Federal Register

(FR) on August 19, 2016:

• DOL’s Workforce Innovation and Opportunity Act,

• ED’s and DOL’s Workforce Innovation and Opportunity Act: Joint Rule

for Unified and Combined State Plans, Performance Accountability, and

the One-Stop System Joint Provisions,

• ED’s State Vocational Rehabilitation Services Program; State Supported

Employment Services Program; Limitations on Use of Subminimum

Wage and Programs, and

• ED’s Activities Authorized by the Adult Education and Family Literacy Act (AEFLA) (Title II of the Workforce Innovation and Opportunity Act).

United States Department of Education, Privacy Technical Assistance Center

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Key Goals of WIOA

• Helps job seekers access employment, education,training and support services

• Matches employers with skilled workers

• Reaffirms the role of the customer-focused one-stopdelivery system

• Mandates enhanced and increased coordinationamong key employment, education, and trainingprograms

• Focuses on performance accountability for the WIOAcore programs


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Performance Accountability and WIOA Core Programs

• WIOA requires each of the core programs to be

accountable for primary indicators of performance.

These core programs are—

• Adult, Dislocated Worker, and Youth programs administered

by DOL

• AEFLA program administered by ED

• Employment Service program administered by DOL

• VR program administered by ED


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Performance Reporting

• Core programs must use quarterly wage records tomeasure the progress of the State on the State andlocal performance accountability indicators.

• Quarterly wage records include both interstate andintrastate wages paid to an individual.

• States are required to conduct ongoing evaluations ofthe core programs.

• ETPs under the Adult and Dislocated Worker programsmust report employment outcomes for all individualsparticipating in an eligible program of study.

• Other State or Federal laws may require reporting ofemployment outcomes.


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AEFLA Primary Indicators of Performance

• Employment Rate – 2nd Quarter after Exit

• Employment Rate – 4th Quarter after Exit

• Median Earnings – 2nd Quarter after Exit

• Credential Attainment Rate

• Measurable Skill GainsoAchievement of at least one educational

functioning level, or oDocumented attainment of a secondary school

diploma or recognized equivalent

• Effectiveness in Serving Employers


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Performance Reporting and Data Privacy and Confidentiality

• Matching records to meet WIOA performanceaccountability, reporting, and evaluationrequirements raises complex issues regardingprivacy and confidentiality.

• Multiple Federal laws must be considered whenconducting data matching for WIOA reportingperformance.

• States may choose to provide greater privacyand confidentiality protections.


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Federal Laws and Regulations Governing Use and Disclosure of Records

• Family Educational Rights and Privacy Act (FERPA)regulations at 34 CFR 99

• Governs the use and disclosure of personallyidentifiable information (PII) from education records

• VR regulations at 34 CFR 361.38

• Govern the use and release of personal informationfrom VR records

• DOL Regulations at 20 CFR Part 603

• Govern the use and release of confidential UCinformation from wage records by States and StateUC agencies that administer State UC laws


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Family Educational Rights and Privacy Act (FERPA)

A Federal privacy law that affords parents the right to—

• have access to their children’s education records,

• seek to have the records amended, and

• consent to the disclosure of personally identifiableinformation from education records, except as providedby law.

When a student turns 18 years old, or enters a postsecondary institution at any age, the rights under FERPA transfer from the parents to the student (“eligible student”).


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Entities Covered Under FERPA

• Educational agencies andinstitutions (schools, districts,postsecondary institutions)

• AEFLA-eligible providers that are LEAs and postsecondary institutions

• Postsecondary institutions thatare ETPs


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Entities Not Covered Under FERPA

• VR agencies

• State educational agencies

• Community- or faith-basedorganizations

• Public or private nonprofitagencies

• Volunteer organizations

• Libraries

• Public housing authorities


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AEFLA Eligible Providers Subject to FERPA

• LEAs and postsecondary institutions providingAEFLA adult education and literacy services aregenerally considered to be educationalagencies or institutions subject to FERPA.

• Non-educational eligible providers deliveringAEFLA adult education and literacy services,such as community- or faith-basedorganizations, volunteer organizations, andother nonprofit entities, typically would not beconsidered to be entities covered by FERPA.


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Records Covered Under FERPA

• Education records are those records that,with certain exceptions, are:

(1) directly related to a student; and

(2) maintained by an educational agency or institution, or by a party acting for the agency or institution.

• Individual records of participants underWIOA are only education recordsprotected by FERPA if they meet theabove definition.

• Only records of students who are or whohave been in attendance at aneducational agency or institution areeducation records.


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Records Not Covered Under FERPA

• Participant records created and maintained byeligible providers that are not educationalagencies or institutions, such as non-profitorganizations

• Participant records created and maintained byeligible providers that are educational agenciesor institutions and eligible individuals are notstudents enrolled in educational agencies orinstitutions

• Participant records of VR programs


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AEFLA Eligible Providers’ Records Covered Under FERPA

• If an eligible provider is an educational agency or institutionand eligible individuals are students in attendance at theeducational agency or institution, the records of theparticipants are education records subject to FERPA.

• If an eligible provider is not an educational agency orinstitution, the participant records would not be educationrecords subject to FERPA.

• If an eligible provider is an educational agency or institutionand eligible individuals are not students enrolled ineducational agencies or institutions, the participant recordswould not be education records subject to FERPA.

• If an eligible provider receives PII from education recordsthat was originally maintained by an educational agency orinstitution during the course of providing services to astudent the redisclosure requirement in FERPA would applyto that information.


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Disclosing Education Records

• A parent or eligible student shall provide asigned and dated written consent before aschool may disclose education records, exceptfor specific exceptions.

• The exception to consent most applicable tomatching education records and UC wagerecords is FERPA’s audit or evaluation exception.


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Audit or Evaluation Exception

• Exception permits the disclosure of PII from educationrecords without consent to authorized representativesof State or local educational authorities.

• PII from education records must be used to audit orevaluate a Federal- or State-supported educationprogram, or to enforce or comply with Federal legalrequirements that relate to those education programs.


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Education Program

• Any program that is 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, adult education, and any program that is administered by an educational agency or institution.

• ED interprets the core programs to be educationprograms under FERPA for the purpose of conductingrequired core program audits or evaluations.


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Audit or Evaluation Exception

• Each State designates one or more agencies or entities thatare responsible for and authorized under local, State, orFederal law to supervise, plan, coordinate, advise, audit, orevaluate elementary, secondary, or postsecondary Federal- or State-supported education programs and services in theState (i.e., State educational agency, an LEA, and a Statepostsecondary commission).

• A State or local educational authority may designate anindividual or entity, including a contractor or othergovernment agency, to be its authorized representative.

• Example: the State educational authority may designate aState UC agency as its authorized representative for thepurpose of conducting an audit or evaluation of a Federal- or State-supported education program.


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Educational Authority Responsible for Administering AEFLA Programs

• State agencies other than a State educationalagency or State postsecondary commission might,depending on State law, also be a “Stateeducational authority” under FERPA.

• The State agency responsible for theadministration and supervision of AEFLA programsmay be the—• State educational agency,

• State postsecondary commission,

• Workforce commission or agency,

• State’s department of labor, or

• Any other State entity as determined by the State.


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Conditions Governing Disclosures to Authorized Representatives

• PII must be used to audit or evaluate a Federal- orState-supported education program, or to enforceFederal legal requirements that relate to thoseeducation programs.

• Authorized representative must use reasonablemethods to ensure to the greatest extent practicablethat its authorized representative is FERPA-compliant.

• There must be a written agreement between the Stateor local educational authority and its authorizedrepresentative.

• Educational authority must authorize any furtherdisclosure to be made and ensure that all other FERPArequirements are met.


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Written Agreement Requirements

• Designate an authorized representative of theeducational authority

• Specify what PII will be disclosed and for what purpose• Note: Under the audit or evaluation exception, the purpose of

data sharing can only be to carry out an audit or evaluation ofFederal-‐ or State-‐supported education programs, or toenforce or to comply with Federal legal requirements thatrelate to those programs

• Require an authorized representative to destroy PIIupon completion of the audit or evaluation and specifythe time period in which the information must bedestroyed

• Describe the activity to make clear that it falls withinthe audit or evaluation exception


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Vocational Rehabilitation (VR) Provisions: 34 CFR 361.38

• Govern the protection, use, and release of personalinformation held by VR agencies

• VR agencies are not considered educational agencies orinstitutions under FERPA

• Must develop policies and procedures to safeguard theconfidentiality of all personal information

• No Federal requirement that a VR agency obtain informedwritten consent from the individual prior to releasingpersonal information for purposes directly related to theadministration of the VR program, or for audit, evaluation,or research purposes

• No specific VR content requirements for data exchangeagreements; however, such agreements must be consistentwith statutory and regulatory requirements of 34 CFR 361.38


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DOL Confidentiality and Disclosure Regulations: 20 CFR Part 603

• DOL’s confidentiality and disclosure regulations at 20CFR Part 603 govern the disclosure of wage records byStates and State UC agencies.

• States are required to maintain the confidentiality of“any UC information which reveals the name or anyidentifying particular about any individual or any pastor present employer or employing unit, or which couldforeseeably be combined with other publicly availableinformation to reveal any such particulars.”

• Confidential UC information, including wage records,may not be disclosed except as permitted by 20 CFRPart 603.


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Mandatory and Permissive Disclosures

• Mandatory disclosures – 20 CFR 603.6• Information necessary for proper and

efficient administration of the UC program• Examples: TANF, child support enforcement,

HUD, SNAP, and other Federal programs

• Permissive disclosures – 20 CFR 603.5• The regulation permits disclosure under

certain circumstances as long as thedisclosure does not interfere with the properand efficient administration of the UCprogram


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DOL Confidentiality and Disclosure Regulations: Informed Consent

• Educational agencies and institutions, VR agencies,other partner programs under WIOA, and otherentities, may obtain individuals’ UC wage data byinformed consent if permitted by State law.

• The requirements of section 603.5(d)(2)(i) (specifyingthe elements that must be included in a written, signedrelease) and section 603.10 (regarding the disclosureagreement between the entity requesting theinformation and the State UC agency) must be met forinformed consent disclosures.


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Disclosures to Public Officials

• Under 20 CFR 603.5(e), disclosure of confidential UCinformation to a public official for use in theperformance of his or her official duties is permissiblewhen authorized by State law.

• “Public official” is defined in 20 CFR 603.2(d)(1) as “anofficial, agency, or public entity within the executivebranch of Federal, State, or local government who (orwhich) has responsibility for administering or enforcinga law, or an elected official in the Federal, State, or localgovernment.”


Public Postsecondary Educational Institutions as Public Officials

• Under 20 CFR 603.2(d)(2) through (5), the definition of“public official” specifically includes:• Public postsecondary educational institutions which are part

of the State's executive branch

• Public postsecondary educational institutions which areindependent of the State’s executive branch

• Publicly governed, publicly funded community and technicalcolleges

• Performance accountability and customer informationagencies (PACIAs)

• The chief elected official of a local Workforce DevelopmentArea

• A State educational authority, agency, or institution, as thoseterms are used in FERPA, to the extent they are public entities


Options for Matching VR, Education and UI Wage Data

• Joint guidance provides options States may usewhen matching records for performanceaccountability reporting purposes under WIOA,as well as for audits and evaluations of WIOAcore programs.

• The guidance discusses both options for inter- and intra-state matching of records.

• Options included in the guidance are notintended as an exhaustive list.

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Where can I go for help?

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WIOA Resource page: https://www.doleta.gov/wioa/

Family Policy Compliance Office

Telephone: 202-260-3887 Email: [email protected] http://[email protected]

Privacy Technical Assistance Center

Telephone: 855-249-3072 Email: [email protected] http://ptac.ed.gov

Office of Unemployment Insurance

Agnes Wells Telephone: 202-693-2996 Email: [email protected] Email: [email protected] http://doleta.gov/performance/wris_2.cfm

mailto:[email protected]


http://doleta.gov/performance/wris_2.cfm


http://[email protected]/


http://ptac.ed.gov/

https://www.doleta.gov/wioa/

Documents

Workforce Investment and Opportunity Act (WIOA) · 2 2 WIOA Overview •The following final rules were published in the Federal Register (FR) on August 19, 2016: •DOL’s Workforce