Back to Federal guidance
Wage-record matching for WIOA reporting
Summary ETA sent state unemployment and workforce agencies joint DOL and Education guidance on matching confidential unemployment wage records with education and vocational rehabilitation information for WIOA performance reporting. It asked administrators to review state disclosure rules and procedures. The attached joint guidance explains existing confidentiality rules and gives examples of data-matching options; ETA lists the letter as Active.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
TEGL No. 7-16
Date issued
August 23, 2016
Status
Active
ETA lists this advisory Active as of 2026-10-24.
Status last verified October 24, 2026
Apply this to your situation
This page explains the general guidance. Ask about your specific situation and see what current federal labor law says, with citations.
About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION WIOA/OUI
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI
Washington, D.C. 20210 DATE
August 23, 2016
ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 7-16
TO: STATE WORKFORCE AGENCIES
STATE WORKFORCE ADMINISTRATORS
STATE LABOR COMMISSIONERS
STATE UNEMPLOYMENT INSURANCE DIRECTORS
FROM: PORTIA WU /s/
Assistant Secretary
SUBJECT: Data Matching to Facilitate WIOA Performance Reporting
1. Purpose. To transmit to state unemployment compensation (UC) and workforce agencies
joint guidance with the Department of Education on exchanging confidential UC information
with educational and training providers to meet the performance accountability requirements
of the Workforce Innovation and Opportunity Act (WIOA).
2. References.
• Workforce Innovation and Opportunity Act, Pub. L. 113-128;
• Family Educational Right to Privacy Act (FERPA), section 444 of the General Education
Provisions Act, Pub. L. 03-380, as amended (20 USC 1232g);
• Section 303(a)(1) of the Social Security Act (SSA) (42 USC 503(a)(1));
• 20 CFR Part 603, Confidentiality and Disclosure of State UC Information;
• 34 CFR Part 99, Family Educational Rights and Privacy;
• 34 CFR 361.38, Protection, Use, and Release of Personal Information.
3. Background. In July 2014, Congress enacted WIOA to provide greater training and work
search opportunities to unemployed Americans, especially those who exhaust unemployment
benefits and continue to be unemployed or underemployed. To achieve that end, Congress
required that, in measuring the progress of the state on state and local performance
accountability measures that apply across core programs, states use quarterly wage records
consistent with state law. WIOA also requires that states, to the extent practicable, cooperate
in conducting evaluations (including related research projects), which includes providing
data. In addition, under WIOA eligible training providers are required to report employment
outcomes, and will benefit from states enabling cross-matching with wage records and
education and training provider records.
The Departments of Labor and Education cooperated to create the attached joint guidance,
which explains how educational agencies can match personally identifiable information (PII)
RESCISSIONS EXPIRATION DATE
None Continuing
in education records and personal information in Vocational Rehabilitation (VR) records
with wage records held by the state agency responsible for administration of the state’s UC
program.
4. Action Requested. State Administrators are requested to review their state law, regulations,
policies, and procedures governing disclosure of confidential UC information to determine
how best to accommodate both the WIOA requirement that core programs use wage records
and the need to support eligible training provider reporting using wage records for
performance accountability.
5. Inquiries. Inquiries should be directed to your Regional Office.
6. Attachment. Joint Guidance with the Department of Education for Matching PII From
Educational Records and Personal Information from Vocational Rehabilitation Records with
Unemployment Compensation Wage Records
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2016/TEGL_7-16_Attachment-1_Acc.pdf)
JOINT GUIDANCE ON DATA MATCHING TO FACILITATE WIOA
PERFORMANCE REPORTING AND EVALUATION
Page 1 of 70
Table of Contents
EXECUTIVE SUMMARY ............................................................................................................ 3
INTRODUCTION .......................................................................................................................... 6
DEFINITIONS ................................................................................................................................ 8
Overview of FERPA Rules Governing Education Records ......................................................... 14
Permissive Disclosures of PII from Education Records Protected by FERPA ............................ 17
Overview of Confidentiality Protections Governing VR Records ............................................... 20
Permissive Disclosures of Personal Information from VR Record .............................................. 22
Overview of Confidentiality Protections Governing UC Wage Records ..................................... 23
Permissive Disclosures of Confidential UC Information in UC Wage Records .......................... 24
Wage Record Interchange System (WRIS) and WRIS2............................................................... 28
Options for Matching Student Data with UC Wage Records to Report Performance Outcomes 29
Administrative and Organizational Processes and Infrastructure for Data Sharing ..................... 52
Written Agreement Requirements ............................................................................................. 52
Publication of WIOA Performance Reports.............................................................................. 52
Costs for Providing Access to Wage Records ........................................................................... 53
State Infrastructure to Support WIOA Performance Accountability ........................................ 54
Additional Resources .................................................................................................................... 54
Contact Information ...................................................................................................................... 54
Attachment I.................................................................................................................................. 56
Options for Matching UC Wage Records & Education Data ................................................ 56
Attachment II…………………………………………………………………………………….59
Required Components of a Written Agreement .................................................................... 59
Attachment III ............................................................................................................................... 64
Agencies that Maintain UC Wage Data and Manage Wage Record Matching Agreements. 64
Attachment IV ............................................................................................................................... 69
Additional Resources ............................................................................................................. 69
Page 2 of 70
EXECUTIVE SUMMARY
This joint guidance by the U.S. Departments of Labor and Education (DOL and ED, or,
collectively, Departments) is a resource to provide information to assist State agencies (including
Vocational Rehabilitation (VR) agencies and workforce development agencies), educational
agencies and institutions, and service providers in performance reporting and evaluation
requirements under the Workforce Innovation and Opportunity Act (WIOA) (Pub. L. 113-128).
Under WIOA, States are required to use education information and quarterly wage records to
measure performance of the six core programs and other title I programs authorized by WIOA,
which raises complex issues related to data sharing and privacy. This guidance provides States
with information about applicable requirements for, and procedures and options for, matching
confidential Unemployment Compensation (UC) information from wage records with personal
information from VR records, and personally identifiable information (PII) from education
records, and for protecting the confidentiality of information contained in such records.
Family Educational Rights and Privacy Act (FERPA) is a Federal law that protects the
privacy of student education records and affords parents and eligible students certain rights with
respect to these education records. The general rule is that a parent or eligible student must
provide a signed and dated written consent before an educational agency or institution discloses
PII from the student’s education records, unless an exception, such as FERPA’s audit or
evaluation exception, applies. Under FERPA’s audit or evaluation exception, an authorized
representative of State or local educational authorities may obtain access to PII from education
records to audit or evaluate a Federal- or State-supported education program. However, State
law may provide greater privacy protections than those required by FERPA.
FERPA’s audit or evaluation exception permits disclosure of PII from education
records for WIOA performance accountability purposes.
Vocational Rehabilitation (VR) regulations govern the protection, use, and release of personal
information held by VR agencies. VR agencies, which are not considered educational agencies
or institutions under FERPA, must develop policies and procedures to safeguard the
confidentiality of all personal information, and to inform applicants and recipients of services
and, as appropriate, their representatives, of the VR agency’s need to collect personal
information and its policies. There is no Federal requirement that a VR agency obtain informed
written consent from the individual prior to releasing personal information for purposes directly
related to the administration of the VR program, or for audit, evaluation, or research purposes
when the audit, evaluation, or research are conducted only for purposes directly connected with
the administration of the VR program or for purposes that would significantly improve the
quality of life for applicants and recipients of services and only if done in accordance with a
written agreement. However, if the final audit, evaluation, or research product will contain
personal information, written consent is required.
Unemployment Compensation Confidentiality provisions differ from State to State, making it
necessary for educational agencies and institutions, VR agencies, State workforce agencies, and
other entities to consult with individual State UC agencies to determine the laws, regulations, and
procedures unique to each State. If the State law permits, educational agencies and institutions,
Page 3 of 70
VR agencies, and other entities may obtain individual’s UC wage data by informed consent. If
informed consent is not given, other provisions providing access to public officials for specified
purposes may apply.
Federal UC confidentiality regulations permit disclosure of confidential UC
information for WIOA performance accountability purposes.
Options for Matching Student Data with UC Wage Records to Report Performance
Outcomes
This guidance explains several options, with graphics, by which State UC agencies, State
workforce agencies, State educational authorities, educational agencies or institutions, and VR
agencies, may disclose PII from the student’s education records, confidential UC information,
and personal information contained in VR records for performance accountability reporting
purposes under WIOA, as well as for audits and evaluations. The options are examples only.
Because State UC agencies, State workforce agencies, VR agencies, and State educational
authorities differ in their structure, policies, and procedures, this is not intended as an exhaustive
list of ways in which States may accomplish the goal of matching education, VR, and wage
records for performance accountability purposes.
Option 1: A State Educational Authority Discloses PII from Education Records to the State UC
Agency as its Authorized Representative
Option 2: A State’s Higher Education Governing Board, as a State Educational Authority,
Discloses PII from Education Records to the State UC Agency as its Authorized Representative
Option 3: A State Educational Authority Discloses PII from Education Records to a State
Workforce Agency in addition to the State UC Agency as its Authorized Representatives
Option 4: Educational Agencies or Institutions Disclose PII from Education Records directly to
a State UC Agency, that has been designated as an Authorized Representative of the State
Educational Authority
Option 5: A State Educational Authority, Operating a Statewide Longitudinal Data System
(SLDS), Discloses PII from Education Records to the State UC Agency as an Authorized
Representative of the State Educational Authority
Option 6: A State VR Agency Discloses Personal Information to the State UC Agency for the
Purpose of Conducting an Audit or Evaluation of the VR Program, or for Determining
Performance Accountability
Option 7: A State Educational Authority Discloses PII from Education Records to State UC
Agencies in One or More States, that have been designated as Authorized Representatives of the
State Educational Authority
Page 4 of 70
Option 8: Accessing Interstate Wage Record Data via the Wage Record Interchange System 2
(WRIS 2)
Under WRIS2 aggregate wage information is available for WIOA performance
accountability purposes to both public officials and certain third-party entities.
Option 9: A State VR Agency Discloses Personal Information, and State and Local Educational
Authorities Disclose PII from Education Records, to State UC Agency for Purposes of
Evaluations under section 116(e) of WIOA.
Page 5 of 70
INTRODUCTION
The U. S. Departments of Labor and Education (DOL and ED, or Departments) are issuing this
joint guidance to assist State agencies (including Vocational Rehabilitation (VR) agencies),
educational agencies and institutions, State workforce agencies, and service providers in meeting
performance reporting and evaluation requirements, as applicable, under sections 116 and 122 of
the Workforce Innovation and Opportunity Act (WIOA), Pub. L. No. 113-128. Given the
complexity of the privacy and confidentiality issues raised by the need to match various records
for purposes of meeting performance accountability, reporting, and evaluation requirements, and
the need for States to develop processes that support the required data matching, this guidance
explains:
• An overview of the confidentiality requirements, particularly with regard to when
informed consent, or prior written consent, is required for the disclosure of:
o PII from education records maintained by educational agencies and institutions,
some of which may be eligible training providers (ETPs) under title I of WIOA,
which are protected by the requirements in the Family Educational Rights and
Privacy Act (FERPA) set forth at 20 U.S.C. 1232g and 34 CFR part 99;
o Personal information from records held by VR agencies, which are protected by
the requirements set forth at 34 CFR 361.38; and
o Confidential UC information from wage records held by the State Unemployment
Compensation (UC) agencies, which are protected by the requirements set forth at
20 CFR part 603;
• Options that provide examples of how to meet the various privacy and confidentiality
requirements noted above when matching records for purposes of the performance
accountability, reporting, and evaluation requirements of sections 116 and 122 of WIOA;
and
• Guidelines for the publication of performance reports as set forth in section 116(d)(6)(C)
of WIOA and 34 CFR 99.31(b) of FERPA regulations regarding the de-identification of
records and information.
The Departments recognize there may be other State or Federal laws that require matching
education records with UC wage records for the purpose of evaluating and reporting information
for Federal or State supported education programs. This guidance does not address these other
laws or regulations; however, the privacy and confidentiality provisions and the options
discussed in this guidance may be relevant or helpful to other programs that operate under such
laws and regulations. For example, the Carl D. Perkins Career and Technical Education Act of
2006 (P.L. 109-270) requires States to report on core measures of performance that include
indicators that may necessitate matching PII from education records with UC wage records.
States may choose to provide greater privacy and confidentiality protections to education, UC
wage records, or VR records through State law, regulation, or policy than Federal laws require.
These laws, regulations, or policies may include greater restrictions on how and when
educational agencies and institutions, VR agencies, UC agencies, State workforce agencies, State
educational authorities, or other entities may, without consent, disclose records to other entities.
Because laws, regulations, and procedures vary from State to State, educational agencies and
Page 6 of 70
institutions, VR agencies, UC agencies, State workforce agencies, State educational authorities,
or other entities should consult with counsel to determine the appropriate course of action for
matching records, which may include further steps and restrictions than those established by the
Federal requirements and described in this guidance.
We note that this guidance applies only to requests for wage records when the requestor has a
Social Security Number (SSN) for each of the individuals whose wage records are sought. This
is because the State UC data bases, and the WRIS/WRIS2 platform for exchanging data, are set
up to be searchable only by SSNs.
This guidance does not impose new Federal requirements. Rather, this guidance provides States
with procedures for matching education, VR, and wage records to measure a State’s progress in
performance under the performance accountability requirements in WIOA, and to assist the
Federal government and States in conducting evaluations consistent with requirements in
sections 116, 122, and 169 of WIOA. The Departments are committed to providing technical
assistance to State agencies, educational agencies and institutions, service providers, and the
WIOA core programs, as well as other title I WIOA programs, to facilitate matching these
records for purposes of satisfying performance accountability reporting and evaluation
requirements, and will work with entities to facilitate the matches through these methods or other
approaches that are consistent with the applicable Federal and State laws.
The Departments of Labor’s Workforce Innovation and Opportunity Act Final Rule, the
Departments of Education’s and Labor’s Workforce Innovation and Opportunity Act: Joint Rule
for Unified and Combined State Plans, Performance Accountability, and the One-Stop System
Joint Provisions, and the Department of Education’s Final Rules on State Vocational
Rehabilitation Services Program; State Supported Employment Services Program; Limitations
on Use of Subminimum Wage and on Programs and Activities Authorized by the Adult Education
and Family Literacy Act (Title II of the Workforce Innovation and Opportunity Act), were
published by the Office of the Federal Register (OFR) on August 19, 2016. The published
versions in the Federal Register are the official Final rules. The Department of Education’s final
regulations will take effect 30 days after publication in the Federal Register (September 19,
2016), and the joint final regulation and the Department of Labor’s final regulation will take
effect 60 days after publication in the Federal Register (October 18, 2016).
Page 7 of 70
DEFINITIONS
Administration of law is a term used in DOL’s UC confidentiality and disclosure regulations
and is defined under 20 CFR 603.5(e) as including research related to the law administered by
the public official.
Agent is a person or an entity who or which acts instead of and on behalf of a public official as
provided in UC Confidentiality provisions at 20 CFR 603.5(f). State UC agencies may disclose
confidential UC information to the agent or contractor of a public official so long as the public
official has an agreement with the State UC agency to obtain the data, the confidential UC
information will be used for a permissible purpose as set out in the agreement, and the public
official agrees to be responsible for any failure by the agent or contractor to abide by the terms of
the agreement. Also see “contractor.”
Aggregate Data is a term used in the Wage Record Interchange System (WRIS) and WRIS2 and
is “wage data” that has been stripped of any information that would identify the individual(s) and
employers to whom the data pertains, including but not limited to, name and SSN or Federal
Employer Identification Number, and that have been aggregated into a group(s) containing no
fewer than three records, provided however, that nothing herein shall prevent a Performance
Accountability and Customer Information Agency (PACIA) from observing a more stringent
aggregation policy with regard to its own use and reporting of data.
Authorized representative is a term used in FERPA’s audit or evaluation exception to consent.
It is defined as any entity or individual designated by a State or local educational authority or an
agency headed by an official listed in section 99.31(a)(3) of the FERPA regulations 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. See 34 CFR 99.3.
Confidential UC information is defined at 20 CFR 603.4(b) as: “any UC information which
reveals the name or any identifying particular about any individual or any past or present
employer or employing unit, or which could foreseeably be combined with other publicly
available information to reveal any such particular.” Information that must be kept confidential
under 20 CFR 603.4(b) includes SSNs, wages paid to an individual, the names and addresses of
individuals and employers, and the State and Federal employer identification number of the
employer who paid wages to an individual. See 20 CFR 603.2(b), (j), and (k).
Contractor is a term used in both 34 CFR part 99 and 20 CFR part 603. Contractor, in both
instances, has the ordinary meaning of one with whom an educational entity or public official
contracts. Additional information on contractors may be found in the sections of this guidance
designated as Permissive Disclosures of PII from Education Records Protected by FERPA and
Permissive Disclosures of Confidential UC Information in UC Wage Records.
Core programs are the following six programs authorized by WIOA: the Adult, Dislocated
Worker, and Youth programs, authorized under title I of WIOA and administered by DOL; the
Adult Education and Family Literacy Act (AEFLA) program, authorized under title II of WIOA
and administered by ED; the Employment Service program, authorized under the Wagner-Peyser
Page 8 of 70
Act as amended by title III of WIOA and administered by DOL; and the VR program, authorized
under title I of the Rehabilitation Act of 1973 (Rehabilitation Act), as amended by title IV of
WIOA and administered by ED.
De-identified records and information is a term used in the FERPA regulations to describe
records or information that may be permissibly disclosed, without prior written consent, after the
removal of all PII provided that the party making the release has made a reasonable
determination that a student’s identity is not personally identifiable, whether through single or
multiple releases and taking into account other reasonably available information. See 34 CFR
99.31(b)(1).
Educational agency or institution is a term used in FERPA to refer to those educational entities
to which FERPA directly applies. To meet the definition of “educational agency or institution,”
these entities must receive Federal funds under a program administered by the Secretary of
Education. See 34 CFR 99.1(a) and 99.3. The term “educational agencies and institutions”
generally refers to local educational agencies (LEAs), public elementary and secondary schools,
and institutions of postsecondary education.
Education program is a term used in FERPA’s audit or evaluation exception to prior written
consent to mean 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. See 34 CFR 99.3.
Education records are, with certain exceptions, records directly related to a student and
maintained by an educational agency or institution, or by a party acting for the agency or
institution. See 34 CFR 99.3.
Eligible individual is a term used in title II of WIOA and means an individual who has attained
16 years of age; who is not enrolled or required to be enrolled in secondary school under State
law; and who (i) is basic skills deficient; (ii) does not have a secondary school diploma or its
recognized equivalent, and has not achieved an equivalent level of education; or
(iii) is an English language learner. See section 203(4) of WIOA.
Eligible provider means an organization of demonstrated effectiveness that may include LEAs
and postsecondary institutions, community-based and faith-based organizations, volunteer
literacy organizations, public or private nonprofit agencies, libraries, public housing authorities,
and other nonprofit entities that have the ability to provide AEFLA program activities under title
II of WIOA. Consortia and partnerships of these entities, and a partnership between an employer
and any of these entities, are also eligible providers.
Eligible student means a student who has reached 18 years of age or is attending an institution
of postsecondary education. See 34 CFR 99.3.
Eligible Training Provider (ETP) is a provider of training services eligible to receive funds for
the provision of such services under the title I Adult and Dislocated Worker programs and, in
certain circumstances, the title I Youth program. Such providers must meet the requirements of
Page 9 of 70
section 122 of WIOA and submit an annual performance report in accordance with section
116(d)(4) of WIOA.
PACIA means the Performance Accountability and Customer Information Agency designated by
the governor of a State to be responsible for coordinating a State’s program for assessing State
and local program performance, and evaluating training provider performance. Assessing
program performance and evaluating training provider performance was required under the
Workforce Investment Act of 1998 (WIA), and is now required by WIOA. The PACIA is
responsible for coordinating requests and aggregating matched data to facilitate the interstate
matching of records under WRIS and WRIS2 (and any subsequent agreement). States may have
more than one PACIA.
Additional information about PACIAs may be found in the section titled Wage Record
Interchange System (WRIS) and WRIS2, and in Option 8, as well as through the link in the
Additional Resources section (Attachment IV to this guidance).
Participant, for purposes of this data matching guidance, means an individual who satisfies the
definition of that term at 20 CFR 677.150(a), 34 CFR 361.150(a), and 34 CFR 463.150(a).
Performance of official duties is defined at 20 CFR 603.5(e) to mean “administration or
enforcement of law or the execution of the official responsibilities of a Federal, State, or local
elected official.” This would include enabling State UC agencies to disclose confidential UC
information to State and local agencies and other public officials authorized to carry out their
responsibilities under WIOA for performance accountability, including audits and evaluations of
the programs and other required reporting of outcomes.
Personal information is a term used by VR programs that includes all current and stored
identifiable personal information maintained by the VR agency, including photographs and lists
of names. See 34 CFR 361.38(a).
Personally identifiable information (PII) is a term used in FERPA that refers to information in
education records, such as a student’s name or identification number, that can be used to
distinguish or trace an individual’s identity either directly or indirectly through linkages with
other information. See 34 CFR 99.3. The term includes not only direct identifiers like name and
SSN but also indirect identifiers such as the student’s date and place of birth. PII also includes
“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.” Id.
In some cases, a student’s identity may be personally identifiable, even after removal or
redaction of nominally identifying information from student-level data.
Public official is defined in 20 CFR 603.2(d), as follows:
(1) An official, agency, or public entity within the executive branch of Federal,
State, or local government, who (or which) has responsibility for administering or
enforcing a law, or an elected official in the Federal, State, or local government.
Page 10 of 70
(2) Public postsecondary educational institutions established and governed under
the laws of the State. These include the following:
(i) Institutions that are part of the State's executive branch. This means the head
of the institution must derive his or her authority from the Governor, either
directly or through a State Board, commission, or similar entity established in the
executive branch under the laws of the State.
(ii) Institutions which are independent of the executive branch. This means the
head of the institution derives his or her authority from the State's chief executive
officer for the State education authority or agency when such officer is elected or
appointed independently of the Governor.
(iii) Publicly governed, publicly funded community and technical colleges.
(3) Performance accountability and customer information agencies designated by
the Governor of a State to be responsible for coordinating the assessment of State
and local education or workforce training program performance and/or evaluating
education or workforce training provider performance.
(4) The chief elected official of a local Workforce Development Area as defined
in WIOA section 3(9).
(5) A State educational authority, agency, or institution as those terms are used in
the Family Educational Rights and Privacy Act, to the extent they are public
entities.
Service provider is a broad term that is not program-specific but that refers to any entity
carrying out training for or providing services to participants of WIOA’s core programs. A
subset of the service providers carrying out title I programs are ETPs, organizations determined
by a State or local board to be eligible to provide programs of training services to WIOA title I
core program participants. Service providers also include AEFLA-eligible providers offering
adult education and literacy services and providers of services to VR participants.
State and local educational authority is a term used in FERPA’s audit or evaluation exception
to prior written consent, which covers a State educational agency, LEA, a State postsecondary
commission, Bureau of Indian Education, or any other entity that is responsible for and
authorized under local, State, or Federal law to supervise, plan, coordinate, advise, audit, or
evaluate elementary, secondary, or postsecondary Federal or State supported education programs
and services in the State. See 34 CFR 99.31(a)(3) and 99.35.
State UC Agency means the State agency charged with the administration of the State UC law.
See 20 CFR 603.2(g).
State VR agencies are the designated State agency or designated State unit responsible for
administering the VR program under title I of the Rehabilitation Act, as amended by title IV of
WIOA.
State workforce agency is the State agency responsible for oversight and management of the
workforce development system defined in section 3(67) of WIOA.
Page 11 of 70
Student means any individual who is or has been in attendance at an educational agency or
institution and regarding whom the agency or institution maintains education records. See 34
CFR 99.3.
Third Party Entities (TPEs) are any public body, agency, or private career school required by
law to meet State and/or Federal performance measures. A PACIA, or its agent or consultant,
cannot be designated as a TPE.
Wage Records (also called Wage Data) refers to individually identifiable information reported
quarterly by employers as required by section 1137(a)(3) of the Social Security Act (SSA)
including, but not limited to, employer names, employee names, SSNs, and associated wages.
Wage data also include, to the extent the information is available, industry sectors in which
employees work, as identified by the North American Industrial Classification System
(“NAICS”) codes.
Page 12 of 70
Summary of the Workforce Innovation and Opportunity Act (WIOA)
WIOA, signed into law on July 22, 2014, is the first legislative reform of the publicly-funded
workforce development system in more than 15 years. WIOA reaffirms the role of the customer-
focused one-stop delivery system, a cornerstone of the publicly-funded workforce development
system, and mandates enhanced and increased coordination among several key employment,
education, and training programs. WIOA is designed to help job seekers access employment,
education, training, and support services to succeed in the labor market, and to match employers
with the skilled workers they need to compete in the global economy.
Performance accountability for the core programs is one of the focal points of WIOA. Sections
116(b)(2)(A)(i) and (ii) of WIOA require each of the core programs to be accountable for
primary indicators of performance. See Core programs in the Definitions section for a listing of
those programs. Additionally, other programs authorized by WIOA, such as Indian and Native
American programs, YouthBuild, the National Farmworker Jobs Program, and Job Corps, must
comply with certain performance accountability requirements in section 116 of WIOA.
WIOA section 116(i)(2) requires each of the core programs to use quarterly wage records to
measure the progress of the State on the State and local performance accountability indicators,
specifically those measuring employment outcomes (i.e., employment rates and median
earnings). The Departments interpret “quarterly wage records” in 20 CFR 677.175(b), 34 CFR
361.175, and 34 CFR 463.175 to include, among other things, the interstate and intrastate wages
paid to an individual. As noted in the final Joint Performance information collection requests
(ICR), States must report the performance results for the core programs in the “WIOA Annual
State Performance Report” and, as applicable, the “WIOA Annual Local Area Performance
Report,” as provided in paragraphs (2) and (3) of section 116(d) of WIOA.
ETPs provide training services through Individual Training Accounts to WIOA title I program
participants. Under section 116(d)(4)(A) of WIOA, ETPs receiving WIOA funds must report
employment outcomes (employment rates and median earnings) for all individuals participating
in an eligible program of study (meaning both WIOA participants and the other students in the
program of study). Section 122(b)(2) of WIOA also requires ETPs to submit information to the
State that includes employment outcomes for WIOA title I program participants in the programs
of study. These are the same employment performance indicators generally applicable to the
Adult and Dislocated Worker programs.
WIOA’s requirements for States, local areas, and ETPs to report on indicators of performance
pertaining to employment outcomes and the need to rely on quarterly wage records to prepare
those reports, raise complex privacy and confidentiality issues for the core and other workforce
development programs. In addition, the required ongoing evaluations of these programs by
States will likely require the use of wage records. Therefore, States will need to establish
processes to support reporting of required data by these programs and ETPs, including
supporting matching of wage records with records maintained by the programs.
Page 13 of 70
WIOA also contains a requirement in section 116(d)(6)(C) that the disaggregation of data for the
performance reports “shall not be required when the number of participants in a category is
insufficient to yield statistically reliable information or when the results would reveal personally
identifiable information about an individual participant.” In addition, section 116(i)(3)
specifically requires States to comply with FERPA when carrying out WIOA requirements.
Therefore, the processes established by the States will also need to take these limitations into
account.
WIOA requires States to conduct ongoing evaluations of the WIOA core programs. Section
116(e)(1) of WIOA, also requires States to conduct those ongoing evaluations in coordination
with local boards and State agencies responsible for administration of core programs, to conduct
evaluations in order to promote, establish, implement, and utilize methods for continuously
improving core program activities in order to achieve high-level performance within, and high-
level outcomes from, the workforce development system. These evaluations must be
coordinated with evaluations and research conducted by the Secretaries of Education and Labor.
See WIOA section 116(e)(1).
Overview of FERPA Rules Governing Education Records
FERPA is a Federal law that protects the privacy of student education records and affords
parents and eligible students certain rights with respect to their education records. These rights
include the right of parents to have access to their children's education records, the right to seek
to have the records amended, and the right to provide consent for the disclosure of PII from
education records, unless an exception to consent applies. These rights transfer to the student
when he or she becomes an eligible student. See 34 CFR 99.3 and 34 CFR 99.5.
FERPA directly applies to all educational agencies and institutions that receive Federal funds
under any program administered by the Secretary of Education (including Pell Grants or student
loans funded under title IV of the Higher Education Act of 1965, as amended). The general rule
under FERPA is that a parent or eligible student must provide a signed and dated written consent
before an educational agency or institution discloses PII from the student’s education records,
unless an exception to the general consent rule applies.
It is important that service providers, educational agencies and institutions, and State agencies
comply with FERPA’s requirements when disclosing PII from education records for the purpose
of matching various records to meet performance accountability, reporting, and evaluation
requirements under WIOA. This section provides clarification as to which entities are covered
under FERPA and when records are education records subject to FERPA.
Entities covered under FERPA. As stated above, FERPA directly applies to all educational
agencies and institutions that receive Federal funds under any program administered by the
Secretary of Education. The requirements of FERPA and its protections are most applicable to
PII from education records maintained by WIOA service providers (including AEFLA-eligible
providers and certain ETPs), as many WIOA service providers are educational agencies or
institutions. FERPA is also applicable when third parties that are not educational agencies or
institutions (such as VR agencies, State workforce agencies, or other entities) access, without the
Page 14 of 70
parent’s or eligible student’s prior written consent, PII from education records that was originally
maintained by an educational agency or institution. This subsection provides clarification as to
whom and when FERPA would apply.
AEFLA-eligible providers.
Under AEFLA, services are provided to participants by “eligible providers,” which may include
LEAs and postsecondary institutions, community-based and faith-based organizations, volunteer
literacy organizations, public or private nonprofit agencies, libraries, public housing authorities,
and other nonprofit entities that have the ability to provide adult education and literacy activities.
Consortia and partnerships of these entities, and a partnership between an employer and any of
these entities, are also eligible providers. LEAs and postsecondary institutions providing
AEFLA adult education and literacy services are generally considered to be educational agencies
or institutions subject to FERPA as most are recipients of Federal funds under a program
administered by the Secretary of Education. However, non-educational eligible providers
delivering AEFLA adult education and literacy services, such as community- or faith-based
organizations, volunteer organizations, public or private nonprofit agencies, libraries, public
housing authorities, and other nonprofit entities, typically would not be considered to be entities
covered by FERPA. Although these non-educational entities receive Federal funds under a
program administered by the Secretary of Education to provide AEFLA services, they do not
typically meet the definition of an educational agency or institution and, therefore, FERPA does
not directly apply to such eligible providers. While FERPA does not directly apply to these
eligible providers, FERPA’s “redisclosure” provisions at 34 CFR 99.33 would apply when the
non-educational eligible providers have been provided PII from education records that was
originally maintained by an educational agency or institution without the parent’s or eligible
student’s prior written consent. See “FERPA redisclosure provisions.”
ETPs.
Under WIOA, ETPs may include institutions of higher education that provide a program that
leads to a recognized postsecondary credential, entities that carry out programs registered under
the National Apprenticeship Act, 29 U.S.C. 50 et seq., or other public or private provider of a
program of training services, which may include community-based organizations, joint labor-
management organizations, and eligible providers of adult education and literacy activities under
title II of WIOA if such activities are provided in combination with certain training services.
FERPA would generally apply to postsecondary institutions that are ETPs as most postsecondary
institutions are also recipients of Federal funds under a program administered by the Secretary of
Education. However, some private providers of training services may not be recipients of funds
administered by ED (including Pell Grants or student loans funded under title IV of the Higher
Education Act of 1965, as amended) and, if they are not, those providers would not be
considered educational agencies or institutions under FERPA.
Page 15 of 70
VR agencies.
VR agencies are not considered educational agencies or institutions under FERPA, but must
abide by the confidentiality provisions set forth in 34 CFR 361.38, which are discussed in detail
in the VR-specific section below. While FERPA does not directly apply to VR agencies,
FERPA’s “redisclosure” provisions at 34 CFR 99.33 apply when a VR agency has been provided
PII from education records that was originally maintained by an educational agency or institution
without the parent’s or eligible student’s prior written consent. See “FERPA redisclosure
provisions.”
State educational agencies.
FERPA does not directly apply to State educational agencies as they do not meet the definition
of educational agencies or institutions under FERPA, although FERPA was amended so that
parents and eligible students have the right to inspect and review their education records that are
maintained by State educational agencies and their components. See 20 U.S.C. 1232g(a)(1)(B)
and 34 CFR 99.10. Additionally, FERPA’s “redisclosure” provisions at 34 CFR 99.33 also
apply to State educational agencies that have been provided PII from education records that was
originally maintained by an educational agency or institution without the parent’s or eligible
student’s prior written consent. This implicates the vast majority of PII from education records
maintained by State educational agencies.
Education records. As defined earlier in this guidance, 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. See 20
U.S.C. 1232g(a)(4)(A) and 34 CFR 99.3. Individual records of participants under WIOA are
only education records protected by FERPA if they meet the above definition. Examples of
some records created and or maintained by different service providers and State agencies and the
applicability of FERPA to such records follow.
AEFLA-eligible providers.
AEFLA-eligible providers’ records may or may not be considered an “education record” and
subject to the requirements of FERPA since, as discussed above, not all eligible providers are
considered educational agencies or institutions under FERPA. If an eligible provider is an
educational agency or institution and eligible individuals are students in attendance at the
educational agency or institution, the records of the participants would be education records
subject to FERPA. For eligible providers that are not educational agencies or institutions (or
acting for educational agencies or institutions in maintaining education records, such as non-
profit organizations), or for eligible providers that are educational agencies or institutions and
eligible individuals are not students enrolled in educational agencies or institutions, participant
records would not be education records subject to FERPA. However, if an AEFLA-eligible
provider receives PII from education records that was originally maintained by an educational
agency or institution during the course of providing services to a student, without the parent’s or
eligible student’s prior written consent, the redisclosure requirement in FERPA would apply to
that information. See “FERPA redisclosure provisions.”
ETPs.
ETPs’ records on participants may or may not be considered “education records,” as not all ETPs
are educational agencies or institutions subject to FERPA. For those students in attendance at
postsecondary institutions that are recipients of Federal funds under a program administered by
Page 16 of 70
the Secretary of Education and are also ETPs, their records would be education records and the
requirements in FERPA would apply to those records. But participant records generated and
maintained by service providers that are not educational agencies or institutions subject to
FERPA would not be considered education records subject to FERPA requirements.
VR agencies.
VR records are not subject to the requirements of FERPA, since VR agencies are not considered
educational agencies or institutions under FERPA. However, if a VR agency receives PII from
education records that was originally maintained by an educational agency or institution during
the course of providing VR services to a student, without the parent’s or eligible student’s prior
written consent, the “redisclosure” requirement in FERPA would apply to that information. See
“Overview of Confidentiality Protections Governing VR Records.”
Permissive Disclosures of PII from Education Records Protected by FERPA
FERPA generally requires parents or eligible students to provide written consent before an
educational agency or institution discloses PII from a student’s education records. Such written
consent must specify the records that may be disclosed, state the purpose of the disclosure, and
identify the party or classes of parties to whom the disclosure may be made. See 20 U.S.C.
1232g(b)(2)(A) and 34 CFR 99.30. However, there are exceptions to the prior written consent
requirement set forth in the statute and regulations. Under these exceptions, FERPA permits, but
does not require, educational agencies and institutions to disclose PII from education records
without obtaining the prior written consent of the parent or eligible student. In cases in which
there is not written consent from the parent or eligible student, the exception to consent in
FERPA that may be used to permit matching of PII from education records and wage records is
FERPA’s audit or evaluation exception. See 20 U.S.C. 1232g(b)(1)(C), 1232g(b)(3), and
1232g(b)(5); 34 CFR 99.31(a)(3) and 99.35.
The audit or evaluation exception permits, without consent, the disclosure of PII from education
records to authorized representatives of State or local educational authorities. Under this
exception, PII from education records must be used to audit or evaluate a Federal or State
supported education program, or to enforce or comply with Federal legal requirements that relate
to those education programs. The State or local educational authority disclosing the PII from
education records is specifically required to use reasonable methods to ensure to the greatest
extent practicable that its designated authorized representative complies with FERPA and its
regulations.
A description of the different entities permitted to access education records through the audit or
evaluation exception, the requirements for doing so, and when FERPA’s redisclosure provisions
apply follow.
State or local educational authority. Each State designates one or more agencies or entities
that are responsible for and authorized under local, State, or Federal law to supervise, plan,
Page 17 of 70
coordinate, advise, audit, or evaluate elementary, secondary, or postsecondary Federal or State
supported education programs and services in the State. FERPA refers to such an agency or
entity as a “State or local educational authority.” ED generally has interpreted the term to
include a State educational agency, an LEA, and a State postsecondary commission. See 76 Fed.
Reg. 75,604, 75,607 (Dec. 2, 2011). However, State agencies other than a State educational
agency or State postsecondary commission might, depending on State law, also be a “State
educational authority” under FERPA. This is true for AEFLA programs where the State agency
responsible for the administration and supervision of AEFLA programs may be the State
educational agency, State postsecondary commission, workforce commission or agency, the
State’s department of labor, or any other State entity as determined by the State. Further, ED
generally considers an LEA to be both an educational agency and a local educational authority
under FERPA. Id.
Authorized representative. FERPA’s audit or evaluation exception permits a State or local
educational authority to designate an individual or entity, including a contractor or other
government agency, to be its authorized representative. The State or local educational authority
may then disclose PII from education records to its authorized representative or permit its
authorized representative to obtain access to PII from education records, without the prior written
consent of the parent or eligible student, when necessary for an audit or evaluation of a Federal
or State supported education program, or in connection with the enforcement of any Federal
legal requirements that relate to these programs. For example, the State educational authority
may designate agencies such as a State UC agency to serve as its authorized representative for
the purpose of conducting an audit or evaluation of a Federal or State supported education
program.
Conditions governing disclosures to authorized representatives. The FERPA regulations at
34 CFR 99.35 govern the disclosure of PII from education records, by a State or local
educational authority to its authorized representative:
• The PII from education records must only be used by the authorized representative to
audit or evaluate a Federal or State supported education program, or to enforce Federal
legal requirements that relate to those education programs.
• The State or local educational authority disclosing the PII from education records is
specifically required to use reasonable methods to ensure to the greatest extent
practicable that its authorized representative is FERPA-compliant.
• If the State or local educational authority’s authorized representative is not an employee
of the State or local educational authority, then there must be a written agreement
between the State or local educational authority disclosing the PII from education records
and its authorized representative that includes the mandatory elements in 34 CFR
99.35(a)(3). Attachment II sets out the requirements for a written agreement. If the
authorized representative will in turn make further disclosures of the PII from education
records to any other entity (other than disclosure back to the State or local educational
authority), then the State or local educational authority must provide authorization for
any such further disclosure to be made and is responsible for ensuring that all other
FERPA requirements have been satisfied, such as the recordation requirements in 34
CFR 99.32(b)(2). If the disclosure will be made to another authorized representative of
the State or local educational authority, then the State or local educational authority must
ensure that all of the FERPA requirements, such as the use of reasonable methods and
Page 18 of 70
written agreements, applicable to making a disclosure to another authorized
representative have been met.
The State or local educational authority disclosing PII from education records to its authorized
representative is responsible for using reasonable methods to ensure to the greatest extent
practicable that its authorized representative:
• Uses PII only for the authorized purpose, namely, to carry out an audit or evaluation of
Federal or State supported education programs, or for the enforcement of or compliance
with Federal legal requirements related to these programs;
• Protects the PII from further disclosures or other uses, except as authorized in 34 CFR
99.35(b)(1); and
• Destroys the PII when no longer needed for the authorized purpose.
Before a State or local educational authority discloses PII from education records to an
authorized representative who is not an employee, the State or local educational authority should
create a record of the disclosure containing the name of the authorized representative and the
legitimate interests of the authorized representative in the PII. See 34 CFR 99.32(b)(1).
FERPA’s redisclosure provisions.
FERPA regulations at 34 CFR 99.33 govern the redisclosure of PII from education records by an
educational agency or institution. In general, FERPA permits an educational agency or
institution to disclose PII from education records only on the condition that the party to whom
the PII is disclosed will not disclose the information to any other party without prior written
consent. However, FERPA does permit an educational agency or institution to disclose PII from
education records with the understanding that the party receiving the PII may make further
disclosures of the PII on behalf of the educational agency or institution if the disclosure meets
the requirements of one of the exceptions to consent under 34 CFR 99.31 and the educational
agency or institution (or the State or local educational authority) has complied with the
recordation requirements in 34 CFR 99.32(b).
If the State or local educational authority’s authorized representative will, in turn, be making
further disclosures of the PII from education records on behalf of the State or local educational
authority (other than disclosures back to the State or local educational authority), such
redisclosure must be conducted in accordance with the requirements of the FERPA exceptions to
consent, and the State or local educational authority must either obtain and maintain the record of
further disclosures made by its authorized representative or ensure that the educational agency or
institution that originally disclosed the education records to the State or local educational
authority obtains and maintains the record of further disclosures. See 34 CFR 99.32(b)(2).
Education program. “Education program” is an important term under the audit or evaluation
exception because PII from education records may only be shared without prior written consent
using this exception to audit or evaluate Federal or State supported “education programs” or to
enforce Federal legal requirements related to these programs. The term means 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.
Page 19 of 70
However, an education program need not be administered by an educational agency or institution
for it to be considered an education program for purposes of conducting an audit or evaluation
under FERPA’s audit or evaluation exception. See 76 Fed. Reg. 75,604, 75,614 (Dec. 2, 2011).
For example, in many States, agencies other than the State educational agency may administer
job training or adult education programs. As the core programs are principally engaged in the
provision of education (i.e, job training and adult education) ED interprets these programs to be
education programs under FERPA for the purpose of conducting required core program audits or
evaluations, even when agencies other than educational agencies administer such programs.
Thus, under FERPA’s definitions of “authorized representative” and “education program,”
FERPA would permit a State educational authority to designate another agency, such as the State
department of labor, as its authorized representative to conduct an audit or an evaluation of any
Federal or State supported education program, such as job training or adult education program.
The reporting requirements under section 116(d) and 122(b) of WIOA, and the evaluation
requirements under section 116(e)(1) of WIOA, also would constitute an audit or evaluation of a
federally supported education program for purposes of this exception.
Overview of Confidentiality Protections Governing VR Records
Like education records protected by FERPA and the wage records protected by UC
Confidentiality provisions, VR records also have protection provisions. The protection, use, and
release of personal information under the VR program, which is one of the core programs under
WIOA, are governed by 34 CFR 361.38. In addition to the VR program-specific confidentiality
requirements of 34 CFR 361.38, VR agencies must also consider FERPA and UC confidentiality
requirements when accessing confidential UC information in wage records and PII from
education records.
As stated previously in the section providing an overview of FERPA, VR agencies and their
records are not subject to the requirements of FERPA, since VR agencies are not considered
educational agencies or institutions. However, if a VR agency receives PII from education
records that were originally maintained by an educational agency or institution during the course
of providing VR services to a student, without the parent’s or eligible student’s prior written
consent, the “redisclosure” requirement in FERPA would apply to that information (see detailed
description of FERPA’s requirements above).
VR Program Requirements for Policies that Protect the Use and Release of Personal
Information. VR regulations at 34 CFR 361.38(a)(1) require VR agencies to develop and
implement written policies and procedures to safeguard the confidentiality of all personal
information, including photographs and lists of names. These policies and procedures must
ensure that:
• Specific safeguards are established to protect current and stored personal information,
including a requirement that data only be released when governed by a written
agreement between the VR agency and receiving entity under paragraphs (d) and (e)(1)
of 34 CFR 361.38;
Page 20 of 70
• All applicants and recipients of services and, as appropriate, those individuals'
representatives, service providers, cooperating agencies, and interested persons are
informed through appropriate modes of communication of the confidentiality of personal
information and the conditions for accessing and releasing this information;
• All applicants and recipients of services, or their representatives, are informed about the
VR agency’s need to collect personal information and the policies governing its use,
including:
o Identification of the authority under which information is collected;
o Explanation of the principal purposes for which the VR agency intends to use or
release the information;
o Explanation of whether providing requested information to the VR agency is
mandatory or voluntary and the effects of not providing requested information;
o Identification of those situations in which the VR agency requires or does not
require informed written consent of the individual before information may be
released; and
o Identification of other agencies to which information is routinely released;
• An explanation of State policies and procedures affecting personal information will be
provided to each individual in that individual's native language or through the appropriate
mode of communication; and
• These policies and procedures provide no fewer protections for individuals than State
laws and regulations.
In developing policies and procedures governing personal information in accordance with 34
CFR 361.38(a), and providing that information to applicants, recipients of services, and, as
appropriate, their representatives, a VR agency should make it clear that: (1) some VR records
are needed to comply with the performance accountability requirements of section 116 of
WIOA; and (2) that those records will be matched with State quarterly wage records. In so
doing, the VR agency should explain what information will be released and whether informed
written consent is required. For example, PII from education records received by the VR agency
during the course of providing VR services to a student with a disability, from an educational
agency or institution that are protected by FERPA’s “redisclosure” provisions, might require
prior written consent before the education records could be redisclosed. However, other VR
records that do not include education records may not require informed written consent prior to
disclosure during matching of VR records with wage records for purposes of the VR agency
complying with the performance accountability requirements in WIOA (see further discussion
below). While 34 CFR 361.38 sets general parameters for the protection, use, and release of
personal information, these requirements are superseded by State privacy law if those State laws
provide more protection. See 34 CFR 361.38(a)(1)(v).
When VR agencies Will Release Personal Information. In explaining when and for what
purposes personal information will be released, the VR agencies should make clear, in pertinent
part:
• All personal information in the VR agency’s possession must be used and disclosed only
for the purposes directly connected with the administration of the VR program (34 CFR
361.38(b)).
Page 21 of 70
• The VR agency must release personal information when required to do so by Federal law
or regulation (34 CFR 361.38(e)(3)), which would include the requirements under section
116 of WIOA to collect data (e.g., matching records for the employment-related
performance indicators). The matching of these records, as well as the subsequent
reporting of that data, for purposes of complying with the performance accountability
requirements of WIOA, is not only required by Federal law but also is clearly an
administrative function of the VR agency.
• The VR agency may, but is not required to, release personal information for audit,
evaluation, and research purposes when the release is done in accordance with a written
agreement (see discussion below of “permissive” release of information). See 34 CFR
361.38(d).
Limitation on the Release of Personal Information under the VR Program. The VR agency
may not disclose personal information to advisory or other bodies that do not have official
responsibility for administration of the program. In the administration of the VR program, the
VR agency may obtain personal information from service providers and cooperating agencies
under assurances that the information will not be further divulged, except as provided under 34
CFR 361.38(c) through (e).
Permissive Disclosures of Personal Information from VR Record
In addition to the express authorities for the VR agency to release personal information, namely
in the administration of the VR program or when required by Federal law or regulation, 34 CFR
361.38(d) also permits the VR agency to release personal information for audit, evaluation, and
research when the release of information is done in accordance with a written agreement. In so
doing, the VR agency may release, in accordance with a written agreement, personal information
to an organization, agency, or individual engaged in audit, evaluation, or research only for
purposes directly connected with the administration of the VR program or for purposes that
would significantly improve the quality of life for applicants and recipients of services.
Release of Personal Information under the VR Program for Audit, Evaluation, and
Research. If the VR agency chooses to release personal information for this purpose in
accordance with a written agreement, 34 CFR 361.38(d) requires the VR agency to ensure that
the organization, agency, or individual conducting the audit, evaluation, or research complies
with the following:
• The information will be used only for the purposes for which it is provided;
• The information will be released only to persons officially connected with the audit,
evaluation, or research;
• The information will not be released to the involved individual;
Page 22 of 70
• The information will be managed in a manner to safeguard confidentiality; and
• The final product will not reveal any personal identifying information without the
informed written consent of the involved individual or the individual's representative.
There is no Federal requirement under 34 CFR 361.38(d) that the VR agency obtain informed
written consent from the individual prior to releasing personal information, in accordance with a
written agreement, for audit, evaluation, or research purposes under the VR program, except if
the final product will contain personal information. In that circumstance, the VR agency must
obtain informed written consent from the individual. See 34 CFR 361.38(d)(5). Having said
this, the FERPA provisions, such as those governing disclosures for audit or evaluation purposes,
would still apply for any education records (or PII contained therein) held by a VR agency that
the VR agency obtained or accessed, without prior written consent of the parent or eligible
student during the course of providing VR services to the student with a disability (see more
detailed discussion of this type of disclosure in the section describing permissive disclosure of
education records under FERPA above).
Example of a VR Agency’s Release of Personal Information for Audit, Evaluation, and
Research. Under 34 CFR 361.38(d), a VR agency may choose to contract with an entity to
conduct an evaluation of the VR program to determine areas for performance improvement. In
such a scenario, the VR agency could conduct the evaluation study, in accordance with a written
agreement, without obtaining informed written consent from individuals because: (1) the study
is being conducted as part of the administration of the VR program (34 CFR 361.38(b)); and (2)
the study is directly connected with the administration of the VR program (34 CFR 361.38(d)).
The entity receiving the personal information, in accordance with a written agreement, from the
VR agency to conduct the evaluation study must comply with all of the requirements described
under Release of Personal Information under the VR Program for Audit, Evaluation, and
Research above.
The other requirements governing the protection, use, and release of personal information under
the VR program are not relevant to the matching of wage records and, therefore, will not be
discussed in this guidance.
Overview of Confidentiality Protections Governing UC Wage Records
Like PII in education records protected by FERPA, and confidential information in VR records
protected by 34 CFR 361.38, State UC agencies have their own requirements for protecting the
confidentiality of quarterly wage records. DOL’s confidentiality and disclosure regulations at 20
CFR part 603 govern the disclosure of wage records by States and State UC agencies that
administer State UC laws. Section 603.4 requires that State law provide for “maintaining the
confidentiality of any UC information which reveals the name or any identifying particular about
any individual or any past or present employer or employing unit, or which could foreseeably be
combined with other publicly available information to reveal any such particulars…” See 20
CFR 603.4(b).
Page 23 of 70
Disclosure of confidential UC information falls into two categories: required and permissive.
Required disclosures are set out in sections 303 and 1137, SSA, and section 3304 of the Federal
Unemployment Tax Act, and listed in section 603.6 of the UC confidentiality regulations.
Permissive disclosures of confidential UC information are listed in section 603.5 of the UC
confidentiality regulations. Given that WIOA performance accountability is not among the
required disclosures in 20 CFR 603.6, the provisions for permissive disclosures apply.
The UC confidentiality regulations permit States to disclose confidential UC information with
the informed consent of the individual and, under certain circumstances described below, without
the individual’s consent, if State law allows and if the disclosure does not interfere with the
efficient administration of State UC law. States may disclose confidential UC information to
those persons and entities listed in section 603.5, including to “public officials” in the
performance of their public duties, in accordance with State law. Some States may narrowly
define “public official,” as used in section 603.5, so that only particular officials or State
agencies may obtain confidential UC information. Because laws, regulations, and procedures
vary from State to State, educational agencies and institutions, as well as VR agencies, must
consult with individual State UC agencies to determine the appropriate course of action for
gaining access to confidential UC records, which may include steps and restrictions in addition
to what is required by the Federal requirements outlined below.
It is important to note that, in accordance with section 603.4(b) of the UC confidentiality
regulations, the disclosure of aggregate data is not subject to the requirements contained in the
confidentiality regulations because aggregate data does not contain confidential UC information.
For data to be outside the scope of the UC confidentiality requirements, it must not identify
individuals by such characteristics as age, ZIP code, occupations, or a combination of
characteristics in the aggregate reports; that is, the data provided cannot “foreseeably be
combined with other publicly available information to reveal” particulars about an individual.
See 20 CFR 603.4(b).
Permissive Disclosures of Confidential UC Information in UC Wage Records
Confidential UC information means any UC information required to be kept confidential under
section 603.4(b) of the confidentiality regulation. However, States may disclose confidential UC
information when requested to do so by the individual to whom the information applies, or to
public officials and their agents or contractors in the performance of their public duties. See 20
CFR 603.5(d), (e), and (f).
Informed Consent. Educational agencies and institutions, VR agencies, other partner programs
under WIOA described above, and WIOA service providers, as well as other entities, may obtain
individuals’ UC wage data by informed consent if permitted by State law. See 20 CFR 603.5(d).
The requirements of section 603.5(d)(2)(i) (specifying the elements that must be included in a
written, signed release) and section 603.10 (regarding the disclosure agreement between the
entity requesting the information and the State UC agency) must be met for informed consent
disclosures.
Page 24 of 70
While the informed consent form may not be open-ended, the specific information to be
disclosed to an educational agency or institution, or a VR agency, may include wages over a set
time period because the WIOA performance reporting requirements require data on outcomes
over several quarters after training or educational program completion. That is, the State UC
agency may provide quarterly wage data for a set number of quarters or months, so long as the
purpose set out in the informed consent form provides for multiple disclosures. See 20 CFR
603.5(d)(2)(i)(C). Additionally, the agreement between the entity requesting the information and
the State UC agency must include the purpose for the disclosure, which purpose may provide for
multiple disclosures. See 20 CFR 603.10(b)(1)(i).
Public Officials. In cases where there is not informed consent, disclosure of confidential UC
information to a public official, and to his or her agents and contractors, for use in the
performance of his or her official duties is permissible where authorized by State law. See 20
CFR 603.5(e) and (f). “Public official” is defined in section 603.2(d)(1) as “an official, agency,
or public entity within the executive branch of Federal, State, or local government who (or
which) has responsibility for administering or enforcing a law, or an elected official in the
Federal, State, or local government.”
DOL recently amended the confidentiality and disclosure regulations to clarify the definition of
“public official” to specify those State government officials with whom the State may share
certain confidential UC information to carry out reporting requirements under WIOA. See 20
CFR 603.2(d)(2). The regulations also enumerate certain additional public officials who may
access confidential State wage records needed for performance reporting. Ensuring access to
these State wage records allows State agencies to better manage the information for the purpose
of making federally required reports on certain program outcomes, cooperate more effectively,
and be more informative with respect to Federal program evaluations.
Consistent with 20 CFR 603.2(d)(1), a Federal, State, or local education entity is considered to
be in the executive branch of government if—
• It is established and funded under Federal, State or local laws;
• It is operated in accordance with procedures established under such laws; and
• The entity is ultimately under the control of Federal, State or local executive branch
officials.
In addition, section 603.2(d)(1) includes in the definition of public official “an elected official in
the Federal, State, or local government.”
The definition of “public official” specifically includes public institutions of higher education as
follows:
(2) Public postsecondary educational institutions established and governed under
the laws of the State. These include the following:
(i) Institutions that are part of the State's executive branch. This means the head
of the institution must derive his or her authority from the Governor, either
directly or through a State Board, commission, or similar entity established in the
executive branch under the laws of the State.
Page 25 of 70
(ii) Institutions which are independent of the executive branch. This means the
head of the institution derives his or her authority from the State's chief executive
officer for the State education authority or agency when such officer is elected or
appointed independently of the Governor.
(iii) Publicly governed, publicly funded community and technical colleges.
(3) Performance accountability and customer information agencies designated by
the Governor of a State to be responsible for coordinating the assessment of State
and local education or workforce training program performance and/or evaluating
education or workforce training provider performance.
(4) The chief elected official of a local Workforce Development Area as defined
in WIOA section 3(9).
(5) A State educational authority, agency, or institution as those terms are used in
the Family Educational Rights and Privacy Act, to the extent they are public
entities.
For example, officials of State agencies responsible for institutions of higher education, such as
the State council on higher education or the State superintendent of schools, would be in the
executive branch. While these entities would generally have been considered public officials
under the provisions of 20 CFR 603.2(d) prior to the 2016 amendment, the regulation clarifies
that public institutions of higher education are in the executive branch if they meet the above
factors.
The first part of the definition of public official requires that an executive branch entity must
have responsibility for “administering or enforcing a law.” Such entities would be considered to
be administering a law if the purpose of matching education records with wage records is to
report information that is required under Federal, State or local laws. To clarify that
requirement, the Department of Labor has revised section 603.5(e) to include the following:
(2) For purposes of section 603.2(d)(2) through (5), “performance of official
duties” includes, in addition to the activities set out in paragraph (e)(1) of this
section, use of the confidential UC information for the following limited
purposes:
(i) State and local performance accountability under WIOA section 116,
including eligible training provider performance accountability under WIOA
sections 116(d) and 122;
(ii) The requirements of discretionary Federal grants awarded under WIOA; or
(iii) As otherwise required for education or workforce training program
performance accountability and reporting under Federal or State law.
The above discussion applies only to those entities that are public officials as defined in 20 CFR
603.2(d). Community-based organizations, and for- or nonprofit educational entities or service
providers, may not obtain confidential UC information.
In addition, an educational agency or institution, or a VR agency, meeting the definition of
public official must enter into an agreement for disclosure of confidential UC information that
Page 26 of 70
meets the requirements of section 603.10. That section requires the State UC agency to execute
a written, enforceable agreement with the agency or entity requesting the records before it may
disclose confidential UC records to public officials, their agents or contractors. The agreement
must include the following components:
• A description of the specific information to be disclosed and the purposes for
which the information is sought;
• A statement that those who request or receive information under the
agreement will be limited to those with a need to access it for purposes listed
in the agreement;
• The methods and timing of requests for information and responses to those
requests, including the format to be used;
• Provision for paying the State UC agency for any costs of furnishing the
information if more than an incidental amount of staff time and more than
nominal processing costs are involved in making the disclosure, as provided
by section 603.8(b) of the regulations;
• Provision for safeguarding the information disclosed, as required by section
603.9; and
• Provision for on-site inspections of the education agency, entity, or contractor
to assure that the requirements of the State’s law and the agreement are being
met.
Many of these elements overlap the elements required under the FERPA for disclosures to
authorized representatives. We note that the VR regulation on confidentiality does not require
that the agency enter into an agreement to disclose VR information for purposes directly related
to the administration of the VR program. However, a written agreement is required for sharing
personal information with another entity for either audit and evaluation purposes, or for another
program’s purpose. There are no specific VR content requirements for data exchange
agreements; such agreements must be consistent with statutory and regulatory requirements at 34
CFR 361.38. ED expects to issue guidance in the near future regarding the development of
written agreements for the purpose of ensuring the confidentiality of personal information held
by the VR agencies. See Attachment II for a comparison of the FERPA and UC requirements for
an agreement to disclose information.
Agents and contractors of public officials. Regulations in 20 CFR part 603 permit the
disclosure of confidential UC information to agents and contractors of public officials.
Specifically under 20 CFR 603.5(f), State UC agencies may disclose confidential UC
information to the agent or contractor of a public official so long as the public official has a
written, enforceable agreement with the State UC agency to obtain the data, the public official
agrees in the written agreement to be responsible for any failure by the agent or contractor to
comply with the safeguards and security requirements of 20 CFR 603.9 and 603.10(a), the
confidential UC information will be used for a permissible purpose, and the requirements for all
agreements in 20 CFR 603.10(b) are met.
In this context an “agent” is a person or an entity who or which acts instead of and on behalf of a
principal. A contractor is a person or entity with whom a public official enters into an agreement
to provide services, usually, in this context, for data analysis.
Page 27 of 70
Wage Record Interchange System (WRIS) and WRIS2
WRIS is an automated system for facilitating the exchange of wage records among participating
States for the purpose of providing interstate access to wage record data to support performance
reporting and evaluations of DOL-funded employment and training programs under WIA (the
predecessor to WIOA). WRIS2 extends the WRIS record-sharing model for purposes of
fulfilling Federal or State performance reporting and evaluation requirements to programs
administered by partners in the one-stop system, identified in WIOA, that are not administered
by DOL, including the following programs administered by ED: AEFLA, authorized under title
II of WIOA; the Vocational Rehabilitation Services program authorized under title I of the
Rehabilitation Act of 1973 as amended by Title IV of WIOA; and the postsecondary career and
technical educational programs under the Carl D. Perkins Career and Technical Education Act.
The automated system that supports the WRIS and WRIS2 is funded by DOL through a
cooperative agreement with Maryland to provide the technology infrastructure that facilitates the
information exchange among the States. WRIS and WRIS 2 function only as gateways for
exchanging the information, and the data are not retained in a database.
The Departments and States are collaborating to assess the current WRIS and WRIS2
agreements and to develop a new agreement, or agreements, that would address all programs’
needs for interstate wage record data under WIOA and the FERPA written agreement and
reasonable methods requirements. The agreement or agreements also would address other
FERPA compliance requirements that govern the disclosure of PII from education records for the
purpose of assessing and reporting under sections 116 and 122 of WIOA.
Until the new agreement or agreements are negotiated by the Departments and the States, and
have been signed by the States, Options 7 and 8 set out below provide State educational
authorities, agencies, and institutions, as well as State workforce and VR agencies and service
providers, information on how to match PII from education records and personal information
from VR records with interstate wage records as required by 20 CFR 677.175 for performance
accountability reporting.
The Departments will provide further guidance regarding the WRIS and WRIS2 agreements and
the new model agreements when they are finalized.
For purposes of conducting interstate data sharing under WRIS and WRIS2, the governor in each
State designates one or more PACIAs. The PACIA is responsible for coordinating the State’s
program for assessing State and local program performance, evaluating training provider
performance as was required under the WIA, and is responsible for coordinating data matching
requests and aggregating the matched data.
WIOA contains the same authorities as WIA to establish a system such as WRIS or WRIS 2 for
the purposes of reporting under section 116 and 122 of WIOA. Unlike WIA, section 116 of
WIOA applies to all of the WIOA core programs, which include the Adult, Dislocated Worker
and Youth programs under Title I; the AEFLA programs under title II; the Wagner-Peyser
Page 28 of 70
Employment Services as amended under title III; and the Vocational Rehabilitation programs as
amended under title IV.
We note that the existing WRIS2 agreement requires that any data exchange under the WRIS2
data sharing agreement be conducted in a manner consistent with FERPA and applicable State
law. Thus, before a State educational authority discloses PII from education records to the
PACIA, the authority must enter into a written agreement with the PACIA, compliant with
FERPA’s written agreement requirements, authorizing the PACIA to serve as its authorized
representative and also authorizing the PACIA to redisclose the PII from education records for
which matching wage records are requested to other States’ UC agencies. The State educational
authority must also enter into written agreements with any and all other third parties with whom
the PACIA subsequently rediscloses the PII from education records to conduct the matching
needed for performance reporting, unless the original written agreement with the PACIA
designates the third parties in that agreement as additional authorized representatives of the State
educational authority and the FERPA requirements for written agreements and reasonable
methods are met by the PACIA in making the further disclosures of the PII from education
records to these additional authorized representatives. See 34 CFR 99.35.
Options for Matching Student Data with UC Wage Records to Report Performance
Outcomes
The State should determine which agency or agencies within the State are responsible for WIOA
required performance reporting and program evaluation. In making this decision the State
should take into account factors such as:
• Whether existing State data infrastructures can be used. (E.g., can an existing SLDS be
used for this purpose?)
• Whether the agency has the requisite resources to conduct quality data matching and
ensure data security and confidentiality.
• Whether unique State laws and regulations govern data use.
• Whether the State needs to conduct interstate matching, as well as intrastate matching, to
meet its obligations to report on participants who work in another State.
This section provides examples of various options that will help States determine the best
approach to use in performing data matching. These options take into account the particular
needs of the entities responsible for providing performance information, the varying
requirements of particular State laws relating to the use of wage, education, and other program
records, differing State organizational structures, and other factors. The examples provided
below do not cover all possible situations, but address only those the Departments consider to be
the most common options selected by States. Attachment I provides a chart describing some of
the ways in which educational authorities and training providers may obtain wage records for
audit and evaluation and performance reporting purposes. In addition, each option is
accompanied by graphics describing the flow of requests and results between and among
agencies.
Page 29 of 70
These options and all other information in this guidance do not take into consideration State-
specific laws providing further requirements or restrictions on the disclosure and use of
education and wage records. As stated earlier in this guidance, the Departments are available to
provide technical assistance to States regarding the development of methods that best fit States’
needs.
While these options focus on using an exception to prior written consent under FERPA and on
exceptions to the confidentiality requirements in 20 CFR part 603, educational agencies and
institutions, VR agencies, ETPs, and other service providers are encouraged to obtain prior
written consent from program participants when feasible. One program that is successfully
relying on a consent model is the AEFLA program, where providers currently obtain written
consent from program participants prior to disclosing PII from education records for the purpose
of conducting cross-data matching with UC wage data. The Departments recommend that
participants of programs under WIOA, including the VR and AEFLA programs, be made aware
that their information is being disclosed, how their information is being used, and how it is being
protected from further disclosure.
The Departments recognize that obtaining prior written consent may not be a feasible option in
all circumstances under WIOA. This may be the case for ETP reporting requirements under
section 116 of WIOA, which requires ETPs to report on the levels of performance achieved in
aggregate by all individuals engaged in a program of study, whether they are WIOA participants
or not. Thus, sometimes FERPA’s permissible audit or evaluation exception to written consent
may be the only viable method to permit the disclosure of PII from education records to State
UC agencies as a designated authorized representative of the State or local educational authority.
As discussed in detail earlier in this guidance, FERPA’s audit or evaluation exception allows the
disclosure, without the parent’s or eligible student’s consent, of PII from education records to
authorized representatives of State or local educational authorities responsible for auditing or
evaluating the Federal or State supported education programs administered by the entities of
which it has oversight, including States’ job training or adult education programs under WIOA.
With respect to ETPs, States may want to consider assigning responsibility for ETP reporting
under title I of WIOA to the State educational authority in order to facilitate the necessary data
sharing. In some States, the State educational authority may not otherwise have responsibility
for overseeing ETPs that are not public institutions, but those ETPs may receive Federal funds
under a program administered by the Secretary of Education and therefore be subject to FERPA.
By assigning responsibility for ETP reporting to the State educational authority, the authority
could, through FERPA’s audit or evaluation exception, authorize representatives, including the
State UC agency, to receive PII from education records or other identifying information from the
ETPs and carry out the matching needed to produce the required ETP performance reports. In
addition, those ETPs may not meet the public official definition in 20 CFR 603.2 for purposes of
the UC confidentiality regulations, whereas the State educational authority would meet that
definition and could facilitate the match with the State UC agency.
The audit or evaluation exception would, therefore, permit the disclosure of PII from education
records to authorized representatives of State or local educational authorities as needed to link
PII from education records with wage records for the evaluation of Federal or State supported
education programs. The reports on employment outcomes required under WIOA would
Page 30 of 70
constitute an audit or evaluation of a Federal or State supported education program because they
measure and report on the overall effectiveness of WIOA programs at improving the career
readiness of program participants. The following options describe how the audit or evaluation
exception would apply when matching education data with wage data for program evaluation
and performance accountability purposes. The options include methods for conducting intrastate
and interstate record matching that are compliant with Federal confidentiality requirements.
Each of the options below is accompanied by a graphic description of work flow. The first chart
describes the icons used in the flow charts. For all options where service providers/ETPs or
State educational authorities are included in the data exchange, either the service provider/ETP
or the State educational authority should meet FERPA’s recordkeeping requirements for the
disclosure to the State UC agency. In addition, for all options where the State educational
authority designates the State Workforce Agency (SWA) or the State UC agency as an
authorized representative, the written agreements between or among agencies must be both
FERPA-compliant and consistent with 20 CFR 603.10. Similarly, for those options that involve
data matching between VR records and UC wage records, the written agreement must satisfy the
requirements of 34 CFR 361.38 and 20 CFR 603.10.
In addition, retention or return/disposal of confidential UC information is specific to the purpose
set out in each agreement under 20 CFR 603.10, and must be included in each agreement. Thus,
this issue is not discussed in each option below, but is discussed in Attachment II – Required
Components of a Written Agreement.
NOTE: Options 1-6 cover only how entities may match SSNs against wage data from the State
UC agency in which the entity is located. For options discussing how entities may match SSNs
against wage data from one or more other State UC agencies, please see options 7 and 8.
Also, note that these options are intended to provide a high-level overview of the flow of data
among agencies and of required written agreements. For example, an option may illustrate that a
State educational authority designates a State UC agency as its authorized representative through
a written agreement, but will not provide detail on the specific elements to be included in the
agreement or other criteria to comply with FERPA’s audit or evaluation exception, such as the
requirement for the entity disclosing education records to use reasonable methods to ensure to
the greatest extent practicable that its designated authorized representative is FERPA-compliant.
These details can be found in the FERPA Provisions section of this guidance.
Page 31 of 70
Each option highlighted below will include a brief summary and diagram using the following
icons:
Service Provider: Service provider is a broad term referring to any entity carrying out
training for or providing services to core WIOA program participants. A subset of the
service providers carrying out title I programs are ETPs, organizations determined by a
State or local board to be eligible to provide job training programs to core WIOA
program participants. Service providers also include AEFLA-eligible providers
offering adult and literacy services and providers of services to VR participants.
Service providers that meet the public official exception in the UC regulations, such as
public postsecondary education agencies and institutions in the State education system,
may be considered public officials for data agreements with a State UC agency.
State Educational Authority (Ed. Authority): The State educational authority could
refer to the State educational agency (SEA) but may also be a State postsecondary
commission, workforce commission or agency, the State’s department of labor, or any
other entity that is responsible for and authorized under State law to supervise, plan,
coordinate, advise, audit, or evaluate elementary, secondary, or postsecondary Federal
or State supported education programs and services in the State. Please see the
Definitions section for additional information.
Authorized Representative (Auth. Rep): The State Educational authority for WIOA
programs may designate agencies such as a State UC agency to serve as its authorized
representative through a written agreement that meets FERPA’s requirements to
conduct an audit or evaluation of Federal or State supported education programs.
Please see the Definitions section for additional information.
Public Official: This icon represents entities that meet the UC definition of a “public
official”. The State UC agency may share confidential UC information with public
officials to carry out reporting requirements under the law. Please see the Definitions
section for additional information.
Individual-level Data: This icon represents identifiable, individual-level data being
shared. The data include personal identifiers needed to match individuals across
entities, as well as program participation or wage and employment data, depending on
which entity is disclosing the data. Individual-level data may be PII from education
records, confidential UC information, or personal information from VR program
records (please see the Definitions section for additional information.)
Linking Data: This icon represents the linking of multiple sets of data.
Analyzing Data: This icon represents the role of analyzing individual level data to
evaluate programs and create the WIOA required performance reports for educational
entities, ETPs, and the core programs.
Page 32 of 70
Performance Reports: This icon represents a report containing the required
performance metrics for educational entities and ETPs. The report only includes
aggregate, de-identified information; no identifiable participant outcomes are shared.
Since no identifiable participant information is included, these reports may be shared
with other agencies and/or made publicly available.
NOTE: In each of the graphics below that accompany the various options, the activities
reflected in each shaded area are conducted by the entity whose or which icon is in the shaded
area.
Page 33 of 70
Option 1: A State Educational Authority Discloses PII from Education Records to the State UC Agency
as its Authorized Representative
In this option, the SEA is the State educational authority (Ed. Authority) over core WIOA programs and designates the State
UC agency as its authorized representative. The SEA takes a lead role in collecting program participation data from service
providers, such as ETPs and sends program participant PII from education records to the State UC Agency. The State UC
agency uses the PII from education records to link individuals to wage information and sends the matched, individual level
records to the SEA that meets the public official exception under UC regulations. The SEA is responsible for analyzing
program participation data and wage records to create performance reports for each core program, and reports by ETP. The
SEA may share the de-identified, aggregate performance reports with each ETP, and may share individual level wage
records with ETPs that meet the public official exception in the UC confidentiality regulations. Because the type of
information that can be shared with service providers depends on whether the service provider meets the exception for
public officials in the UC confidentiality regulations, the chart below contains two paths, one for service providers that are
not public officials (top) and one for service providers that are public officials (bottom).
Service providers such as ETPs and AEFLA-eligible providers share PII from education records or program
1 participation data with the SEA, the Ed. Authority, to audit or evaluate WIOA core programs and meet the
recordkeeping requirements for disclosure to the SEA.
The Ed. Authority sends the PII from education records collected from the service providers to the State UC
2 agency; the FERPA regulations at 34 CFR 99.35 require the Ed. Authority to designate the State UC agency as
its authorized representative.
The State UC agency links data and appends wage records to PII from education records, then sends individual
3 level data back to the Ed. Authority, which is a “public official” as defined in Federal UC confidentiality
regulations.
The Ed. Authority analyzes the data and creates WIOA evaluation and performance reports. De-identified,
4 aggregate reports may be shared with all service providers such as ETPs. PII from education records with wage
records may only be shared with service providers such as ETPs who meet the “public official” exception.
Required written agreement(s):
Page 34 of 70
• SEA, as the Ed. Authority, and State UC agency: includes FERPA requirements for the SEA to designate
the State UC agency as its authorized representative and otherwise complies with the written agreement
and reasonable methods requirements in 34 CFR 99.35; includes the UC confidentiality regulations
consistent with 20 CFR 603.10(b).
Page 35 of 70
Option 2: A State’s Higher Education Governing Board, as a State Educational Authority, Discloses PII
from Education Records to the State UC Agency as its Authorized Representative
Higher education is structured very differently across the fifty States. In States that have a Higher Education Governing
Board (HEGB) with authority under State law to evaluate Federal or State supported postsecondary education programs
within the State, the State may rely on the HEGB to perform these linkages. Under this scenario the HEGB obtains PII from
education records for all individuals engaged in a program of study for purposes of the performance reports under section
116(d)(4) of WIOA, or for WIOA participants for purposes of reporting under section 122 of WIOA, from ETPs in the
States and may provide it to the State UC Agency under FERPA’s audit or evaluation exception by designating the State UC
Agency as its authorized representative. The State UC agency then conducts the match between the PII from education
records and its State UC wage records, appends the wage information to the HEGB file, and returns it to the HEGB, which
uses it to evaluate the Federal or State supported education programs. This is permissible because the HEGB is a “public
official” under 20 CFR 603.2(d) responsible for performance accountability reports. However, the HEGB may not provide
individual level data back to private for-profit or nonprofit educational institutions. It may provide only aggregate
information to those institutions. If the HEGB does not otherwise have authority over certain training providers that are
ETPs, the State would have to assign responsibility to the HEGB to audit or evaluate such providers for purposes of carrying
out title I of WIOA.
Postsecondary educational institutions and ETPs disclose PII and program participation data to the HEGB, the Ed.
1 Authority to audit or evaluate core WIOA programs.
HEGB shares PII from education records with the State UC Agency; the HEGB must designate the State UC agency
2 as its authorized representative pursuant to 34 CFR 99.35.
The State UC agency links data and appends wage records to PII from education records, then returns individual level
3 data to the HEGB if the HEGB meets the definition of a “public official” in the UC confidentiality regulations.
HEGB analyzes the data and creates WIOA evaluation and performance reports. De-identified, aggregate reports may
4 be shared with all public postsecondary educational institutions and ETPs. PII from education records with wage
records may only be shared with postsecondary educational institutions and ETPs that meet the “public official”
exception.
Required written agreement(s):
Page 36 of 70
• HEGB and State UC Agency: includes FERPA requirements for HEGB to designate the State UC Agency
as its authorized representative and otherwise complies with the written agreement and reasonable
methods requirements in 34 CFR 99.35, and is consistent with UC confidentiality regulations at 20 CFR
603.10(b).
Page 37 of 70
Option 3: A State Educational Authority Discloses PII from Education Records to a State Workforce
Agency in addition to the State UC Agency as its Authorized Representatives
To fulfill the necessary reporting requirements under WIOA, the State educational authority may choose to designate other
authorized representatives, in addition to the State UC agency, to support performance accountability and auditing and
evaluation of those federally-supported education programs. The SEA, as the State educational authority, may designate a
SWA to receive PII from education records to assist in preparing the performance reports. The State educational authority
would submit PII from education records to the State workforce agency, which would submit the PII to the State UC
agency, also designated an authorized representative by the SEA, to conduct the match and return identified wage
information to the SWA, a public official. The information returned by the SWA to the educational institutions may include
individual level data where such institutions meet the public official exception in the UC confidentiality regulations, and
only aggregate information where the educational institution does not meet that exception.
Service providers such as ETPs and AEFLA eligible providers submit PII from education records and program
1 participation data to the SWA, an authorized representative, to audit or evaluate core WIOA programs.
SWA sends PII from education records to the State UC agency, another authorized representative.
2
The State UC agency links wage records to PII from education records, then returns individual level data to the
3 SWA, which is a “public official” as defined in Federal UC confidentiality regulations.
SWA analyzes the data and creates WIOA evaluation and performance reports. De-identified, aggregate reports
4 may be shared with the SEA and all service providers and ETPs. PII from education records with wage records
may only be shared with service providers and ETPs who meet the public official exception in the UC
confidentiality regulations
Required written agreement(s):
Page 38 of 70
• SEA and State UC Agency: includes FERPA requirements for SEA to designate the UC Agency as its
authorized representative and otherwise complies with the written agreement and reasonable methods
requirements in 34 CFR 99.35, and is consistent with 20 CFR 603.10(b).
• SEA and SWA: includes FERPA requirements for SEA to designate the SWA as its authorized
representative and otherwise complies with the written agreement and reasonable methods requirements in
34 CFR 99.35 and is consistent with 20 CFR 603.10.
Page 39 of 70
Option 4: Educational Agencies or Institutions Disclose PII from Education Records to a State UC
Agency, as an Authorized Representative of the State Educational Authority
In this example, the SEA, as the State educational authority, may permit educational institutions to disclose (without
consent) PII from education records directly to the State UC agency (serving as the SEA’s authorized representative) to
conduct the match with wage records and return the wage information requested by the educational institution to enable
preparation of the performance reports. As noted above, the record-keeping required by FERPA regarding the disclosure
could be met by either the SEA or the disclosing educational institutions. In the case of educational institutions that meet
the definition of a “public official” under the UC confidentiality regulations, the educational institution could receive back
the individual level data, including the individual wage data. Educational institutions that do not meet the exception for
public officials in the UC confidentiality regulations may only receive back aggregate data.
Educational institutions submit PII from education records, and program participation data, to the State
1 UC agency. This is permissible if the SEA designates the State UC agency as its authorized
representative for audit and evaluation purposes.
The State UC agency matches data and appends wage records to PII from education records and returns
2 de-identified aggregate reports to ETPs and may only share PII from education records and individual-
level wage records with the SEA and educational institutions who meet the “public official” exception
(for example, public community colleges) in the UC confidentiality regulations.
Required written agreement(s):
• SEA and State UC Agency: includes FERPA requirements for SEA to designate the UC Agency as its
authorized representative and otherwise complies with the written agreement and reasonable methods
requirements in 34 CFR 99.35, and is consistent with UC confidentiality requirements in 20 CFR
603.10(b).
Page 40 of 70
Option 5: A State Educational Authority, Operating a Statewide Longitudinal Data System (SLDS),
Discloses PII from Education Records to the State UC Agency as an Authorized Representative of the
State Educational Authority
An SEA, as the State educational authority operating a Statewide Longitudinal Data System (SLDS) that contains core
WIOA program participant data, may redisclose PII from education records to the State UC agency by designating the State
UC agency as the SEA’s authorized representative to evaluate core WIOA programs. The State UC agency then matches
the PII from education records to its UC wage records, adds the wage information to the SLDS file, and sends PII and
matched wage records back to the SEA. This is permissible because the SEA meets the definition of a “public official”
under the UC confidentiality regulations. The linked education and workforce data, now integrated in the SLDS, may only
be used for permitted purposes, including the production of mandatory WIOA reporting. Individual level data may be
returned to service providers such as ETPs that meet the “public official” exception in the UC confidentiality regulations,
but only aggregate data may be returned to service providers that do not meet that exception.
SEA extracts WIOA participant PII from the SLDS and sends it to the State UC Agency, an authorized
1 representative to audit or evaluate WIOA programs.
The State UC agency links data and appends wage records to PII from education records then returns
2 individual level data back to the SEA as a “public official.”
SEA analyzes the data and creates WIOA evaluation and performance reports. De-identified, aggregate
3 reports may be shared with all service providers and ETPs. PII from education records with wage
records may only be shared with service providers and ETPs that meet the “public official” exception.
Required written agreement(s):
• SEA and State UC Agency: includes FERPA requirements for SEA to designate the State UC Agency as its
authorized representative and otherwise complies with the written agreement and reasonable methods
requirements in 34 CFR 99.35 and is consistent with UC confidentiality regulations at 20 CFR 603.10(b),
since SEA is a public official.
Page 41 of 70
Page 42 of 70
Option 6: A State VR Agency Discloses Personal Information to the State UC Agency for Conducting
an Audit or Evaluation of the VR Program
As stated earlier in this guidance, a VR agency is not required by 34 CFR 361.38(d) to obtain informed written consent
from the individual prior to conducting the matching of VR records with the State’s quarterly wage records for the purpose
of conduct an audit or evaluation of the VR program. However, 34 CFR 361.38(d) requires the VR agency to enter into a
written agreement with the entity receiving the personal information from the VR records. Thus, a VR agency (whether
located within a State Department of Education, State Department of Labor, or other State agency) may submit personal
information to the State UC agency to match the VR data with the wage data for audit, evaluation, and research purposes
so long as the release of the data is done in accordance with a written agreement. The VR agency must ensure that the UC
agency only uses the data for the purposes of conducting the audit or evaluation and manages the information in a manner
that safeguards the confidentiality of the information consistent with the requirements of 34 CFR 361.38.
Unlike the FERPA regulation and DOL’s confidentiality and disclosure regulations, there is no VR requirement that there
be a written agreement between the VR agency and the State UC agency prior to disclosing VR data to the State UC
agency when that disclosure is for purposes directly related to the VR agency’s administration of the VR program (34 CFR
361.38(b)), such as would be required to match VR records with UC wage records for purposes of complying with the
performance accountability requirements, specifically determining performance under the primary indicators of
performance at section 116(b)(2)(A)(i) of WIOA. No written agreement is needed for purposes directly related to the
administration of the VR program under 34 CFR 361.38(b), but such written agreement is required when the release is for
an audit, evaluation, or research purpose even if that audit, evaluation , or research is connected to the VR program (34
CFR 361.38(d)). UC regulations require that the State UC agency enter into a written agreement, consistent with section
603.10, before wage records may be disclosed to the VR agency. Upon completing the match, the State UC agency returns
the results of the match back to the VR agency at the individual level. The final released product must not reveal any
personal information without the informed written consent of the involved individual or the individual's representative (see
34 CFR 361.38(d)(5)).
Service providers share personal information and program participation data with the State VR agency.
1
Page 43 of 70
2 The VR agency consolidates personal information from multiple service providers and shares with the State UC agency.
3 The State UC agency links data and appends confidential UC information from wage records, then sends individual level
data back to the VR agency, which is a “public official” under the UC confidentiality regulations.
The VR agency analyzes the data and creates WIOA evaluation and performance reports. De-identified, aggregate
4 reports may be shared with all service providers. Personal information with wage records may only be shared with
service providers who meet the “public official” exception
Required written agreement(s):
• State UC Agency with VR: a written agreement containing all requirements in 20 CFR 603.10 and 34
CFR 361.38. FERPA does not apply in this scenario.
Page 44 of 70
Option 7: A State Educational Authority Discloses PII from Education Records to State UC Agencies
in One or More States, as Authorized Representatives of the State Educational Authority
In many States the relevant labor markets for the employment of WIOA participants and individuals engaged in ETP
programs of study may include multiple States. To produce accurate information on employment outcomes the SEA, as the
State educational authority, may want to share PII from education records under FERPA’s audit or evaluation exception by
designating State UC agencies in one or more States as its authorized representative for purposes of preparing performance
reports. The State UC agencies then conduct the matches between the PII from education records and its State wage
records, append the wage information to the files of the State educational authority, and return the files to the State
educational authority, which uses the information to evaluate the Federal or State supported education programs (e.g., ETPs
under title I of WIOA, AEFLA under title II of WIOA, postsecondary vocational education under the Carl D. Perkins Career
and Technical Education Act). The individual level data may be returned to service providers, such as ETPs, that meet the
exception for “public officials” in the UC confidentiality regulations, but only aggregate data may be returned to service
providers that do not meet that exception.
Service providers, such as ETPs, share PII from education records and program participation data with the SEA,
1 the State educational authority over core WIOA programs.
SEA shares PII from education records with multiple State UC agencies; the SEA must designate each State’s UC
2 agency as its authorized representative pursuant to 34 CFR 99.35.
Each State UC agency matches data and appends wage records to PII from education records; the State UC
3 agency then returns individual level data back to the SEA, a “public official.”
SEA analyzes the data and creates WIOA evaluation and performance reports. De-identified, aggregate reports
4 may be shared with all service providers and ETPs. PII from education records with wage records may only be
shared with service providers such as ETPs that meet the “public official” exception.
Required written agreement(s):
• SEA will need separate written agreements with each State UC agency: includes FERPA requirements for
the SEA to designate the State UC agency as its authorized representative and otherwise meets the written
agreement and reasonable methods requirements in 34 CFR 99.35; is consistent with UC confidentiality
regulations at 20 CFR 603.10.
Page 45 of 70
Page 46 of 70
Option 8: Accessing Interstate Wage Record Data via the Wage Record Interchange System 2 (WRIS
2)
To meet their performance reporting and evaluation requirements under WIOA, States must match program participant
records with both inter- and intrastate wage records, as appropriate, to account for the employment outcomes of those
participants in WIOA core programs and certain other WIOA-authorized programs. A possible option for States is to build
upon the current Wage Record Interchange Systems (WRIS and WRIS 2) through the State’s PACIA.
WRIS is an automated system that provides interstate access to wage record data to support performance reporting and
evaluations of DOL-funded employment and training programs under the Workforce Investment Act of 1998 (WIA) (the
predecessor to WIOA). WRIS2 enables participating States to meet Federal or State performance reporting and evaluation
requirements for programs administered by partners in the one-stop system.
Under the current WRIS2 agreement, each program or entity, including a TPE, desiring to match program participant data
against wage records for performance accountability reporting must enter into a separate agreement with the PACIA; the
agreement must incorporate the confidentiality guidelines of their State. Thus, a TPE disclosing SSNs to the PACIA must
have an agreement with the PACIA before data are shared. The current WRIS2 agreement permits the PACIA to return
only aggregate reports to TPEs.
If the requestor is subject to FERPA, or the individual level data to be sent to the PACIA are subject to FERPA, then the
agreement with the PACIA must include all the requirements in 34 CFR 99.35(a)(3), and there must be agreements with all
other parties, including DOL’s contractor and other States, to which the PACIA will send the PII from education records
that are subject to FERPA. Attachment II sets out the requirements for a written agreement.
Governor designates the educational authority as a PACIA and the educational authority signs the WRIS
agreement: The educational institutions can disclose PII to the educational authority/PACIA and the educational
authority/PACIA can query the WRIS2 for the purpose of ETP performance reporting. In this formulation, because the
educational institutions are private entities, and therefore not public officials, the State educational authority/PACIA may
only return aggregate data to the educational institution.
Governor does not designate the educational authority as a PACIA: The state educational authority could enter into a
third party agreement under WRIS2 allowing the PACIA to query the WRIS2 for the ETP performance reporting. For the
reasons described above, the PACIA would only be able to return aggregate data to the state educational authority which
the state educational authority would then return to the educational institution.
If an educational institution that needs interstate wage data for performance accountability reporting is a private entity over
which the State would not otherwise have oversight authority, a possible approach is for the State to designate a State entity
as having responsibility for overseeing the WIOA ETP reporting provisions in the State, making that entity a State
educational authority pursuant to FERPA. Once a State educational authority is designated, that authority must comply with
all of the FERPA requirements, including those in 34 CFR 99.35(a)(3), to disclose PII from education records to other
recipients (other than entities and officials listed in 34 CFR 99.31(a)(3)) in order to meet the performance reporting and
evaluation requirements under WIOA.
The VR agency is permitted to release personal information to the PACIA and to all third parties (including DOL’s
contractor and other States) to which the PACIA will send personal information from VR records for performance reporting
and evaluation purposes. If the individual level data to be sent to the PACIA are subject to VR confidentiality regulations at
34 CFR 361.38, then the agreement with the PACIA must include all the relevant requirements in 34 CFR 361.38. See 34
CFR 361.38(d). There are no specific VR content requirements for data exchange agreements. However, in order to ensure
that the content of VR data exchange agreements meet the statutory and regulatory requirements, ED intends to issue
guidance in the near future specifically regarding written agreements required by 34 CFR 361.38, particularly those required
for audit, evaluation, and research purposes at 34 CFR 361.38(d).
NOTE: As noted above, WRIS and WRIS2 were intended to meet the requirements under WIA and will not meet all
requirements under WIOA without amendments. For that reason, and because WIOA added new core programs and
requirements for performance accountability, DOL and ED are currently working with States to negotiate a single
agreement that takes into account not only the confidentiality protections in 20 CFR part 603, but also includes privacy
Page 47 of 70
protections for PII in education records required by FERPA, and protections for personal information obtained by VR as
required by 34 CFR 361.38.
Until the new agreement or agreements are negotiated and have been signed by the States, Options 7 and 8 provide
information to State educational authorities, agencies, and institutions, as well as State workforce and VR agencies and
service providers, on how to match PII from education records and personal information from VR records with interstate
wage records as required by 20 CFR 677.175 for performance accountability reporting.
The Departments intend to provide further guidance regarding the WRIS and WRIS2 agreements and the new model
agreements when they are finalized.
Page 48 of 70
If the requestor is not subject to FERPA:
The TPE shares WIOA program participant data with the PACIA.
1
The PACIA shares WIOA participant data with WRIS2 to facilitate matches.
2
WRIS2 matches data and returns the individual level results to the PACIA.
3
The PACIA returns aggregate data to the TPE for purposes of the required performance reports.
4
Required written agreement(s):
• If the TPE is a VR agency, then an agreement between the VR agency, the PACIA, the contractor
administering WRIS2, and the participating States that covers the VR written agreement requirements at
34 CFR 361.38 and the UC confidentiality regulations in 20 CFR 603.10(b).
• If the TPE is not a VR agency and will not be exchanging PII from educational records or personal
information covered by the VR regulations, then an agreement between the TPE and the PACIA that
covers the UC confidentiality regulations consistent with 20 CFR 603.10(b) .
Page 49 of 70
If the entity is subject to FERPA and the Governor does not designate the
Educational Authority as a PACIA.
The TPE shares PII from education records with the PACIA, which must be designated as an authorized
1 representative for audit and evaluation purposes pursuant to 34 CFR 99.35.
The PACIA shares PII from education records with WRIS2 to facilitate matches; to permit this, the
2 FERPA-covered TPE must designate all parties to WRIS2, including the contractor administering
WRIS2 and other States, as its authorized representatives pursuant to 34 CFR 99.35.
WRIS2 matches data and returns the individual level results to the PACIA.
3
The PACIA returns aggregate data to the TPE for purposes of the required performance reports.
4
Required written agreement(s):
• If the Governor designates the PACIA as an Educational Authority for the purposes of WIOA
performance reporting:
o PACIA, as the Ed. Authority, and all entities receiving PII from educational records, including
the contractor administering WRIS2 and the Participating States: covers FERPA compliance for
the PACIA/Ed. Authority to designate the contractor administering WRIS2 and the participating
States as its authorized representatives and covers UC confidentiality regulations consistent with
20 CFR 603.10(b).
• If the Governor does not designate the PACIA as an Educational Authority:
o The TPE, the PACIA, all entities receiving PII from educational records, including the contractor
administering WRIS2, the Participating States, and the Ed. Authority: covers FERPA compliance
for the Ed. Authority to designate the PACIA and other entities receiving PII as its authorized
representatives and covers UC confidentiality regulations consistent with 20 CCR 603.10(b).
Page 50 of 70
Option 9: A State VR Agency Discloses Personal Information, and State and Local Educational
Authorities Disclose PII from Education Records to a State UC Agency for Evaluations under Section
116(e) of WIOA
Section 116(e)(1) of WIOA requires States, in coordination with local boards and State agencies
responsible for administration of core programs, to conduct evaluations to promote, establish,
implement, and utilize methods for continuously improving core program activities to achieve high-
level performance within, and high-level outcomes from, the workforce development system.
To obtain wage records for program evaluations, States would follow the same processes set out in
Options 1 through 8, above; which option or options a State would use for any given evaluation would
depend on the purpose of the evaluation. That is, if the purpose of the evaluation were to measure the
success of only those program participants who remained within the State, a “public official” as
defined in 20 CFR 603.2(d), could use Options 1 through 6, or a combination of those options. If the
State wished to include in the evaluation students who had moved to a specific State, or out of State,
the State would use the methods discussed in Options 7 or 8.
The FERPA, VR, and UC requirements for written agreements would have to be met whether the
evaluation measured outcomes for only in-State, for only out-of-State, or for all program participants.
Page 51 of 70
Administrative and Organizational Processes and Infrastructure for Data Sharing
Written Agreement Requirements
Attachment II sets forth the required contents of a data exchange agreement and includes both
FERPA requirements and 20 CFR 603.10 requirements. There are no specific VR content
requirements for data exchange agreements; however, such agreements must be consistent with
statutory and regulatory requirements of 34 CFR 361.38. ED expects to issue guidance in the
near future regarding the development of written agreements required by 34 CFR 361.38 for
purposes of ensuring the protection of the confidentiality of personal information held by VR
agencies.
Publication of WIOA Performance Reports
When generating WIOA performance reports, it is important to remember that section
116(d)(6)(C) of WIOA and 34 CFR 99.30 of the FERPA regulations prohibit the publication of
any data in those reports that would reveal PII from education records. While the aggregation of
individual-level data into program-level reports removes much of the risk of disclosure of PII
from education records, some risk of disclosure does remain in circumstances where data are
reported for small groups, when individuals possess a unique or uncommon characteristic (or a
combination of characteristics) that would allow them to be identified in the resulting aggregate
report, or when all (or almost all) members of a group share a common characteristic or outcome
(e.g., if all program participants are unemployed). To protect privacy in these situations, it is
necessary to establish minimum group size thresholds for reporting data, as well as routines for
truncating extreme values for outcome variables (e.g., when mean or median income is below
$15,000 or above $200,000). While the parameters selected for these privacy protections may
vary from State to State depending on local reporting rules (e.g., States minimum n-size
requirements vary from 3-30, with the majority of States using n=10), the principles behind
disclosure avoidance in public reporting are discussed in a Privacy Technical Assistance Center
FAQ on Disclosure Avoidance (available at:
http://ptac.ed.gov/sites/default/files/FAQs_disclosure_avoidance.pdf
Because State laws on privacy protection vary, as noted above, the UC agency, the State
educational agency, and other educational agencies and institutions, should consult with the
State’s privacy officer or counsel to ensure the UC agency’s actions conform to State law. State
laws on data security may be found at: http://www.ncsl.org/research/telecommunications-and-
information-technology/security-breach-notification-laws.aspx
Page 52 of 70
In addition, NIST 800-122 (Guide to Protecting the Confidentiality of PII) provides guidance for
Federal agencies and those who conduct business on behalf of the agencies. Recommendations
in section 4, Pg. 4-1 of NIST 800-122 can be leveraged. That guidance recommends, among
other things, that the organizations:
Evaluate the sensitivity of each individual PII data field. For example, an individual’s
SSN is generally more sensitive than an individual’s phone number or ZIP code. States
should also evaluate the sensitivity of the PII data fields when combined.
De-identify records by removing enough PII such that the remaining information does not
identify an individual and there is no reasonable basis to believe that the information can
be used to identify an individual. De-identified records can be used when full records are
not necessary, such as for examinations of correlations and trends
Additional information on suppression of data will be forthcoming if needed.
Costs for Providing Access to Wage Records
Federal law prohibits State UC agencies from charging the costs of providing wage data to
public officials, or for- and nonprofit entities, against the grant funds received for administration
of the UC program, unless there is only an incidental amount of staff time and no more than
nominal processing costs are involved in making the disclosure or in those instances where the
UC agency has a reciprocal cost agreement or arrangement with the recipient entity. See 20 CFR
603.8(b) and (d). UC confidentiality regulations define “reciprocal” to mean that the relative
benefits received by each are approximately equal. See 20 CFR 603.8(d). Consequently, State
UC agencies must recover, from the recipient of the wage data or from some other source such as
general revenues, the actual costs of providing the wage data. This must be done consistent with
the uniform requirements in 2 CFR part 200. Provisions for paying the costs of providing wage
data must be included in the written agreement between the State UC agency and the “public
official” receiving the data. See 20 CFR 603.10(b)(iv).
Each State determines the costs of disclosing wage records for that State. The amount recovered
in payment or reimbursement for providing the wage data must include any initial start-up or
programming costs associated with making the disclosure; costs include programmer time to
establish or create a program to extract data based on the requester’s needs; staff time to pull or
review the data; and any other expenses specific to the data request. See 20 CFR 603.8(c).
States vary in their methodology for calculating these costs. State UC agencies should recover
only the actual costs of data access and cross-matching, and are strongly encouraged to assess
costs so as not to place undue burden on State programs and other entities that are required to use
the data under WIOA.
Page 53 of 70
State Infrastructure to Support WIOA Performance Accountability
To meet the performance accountability provisions under WIOA for core programs and ETP
reporting, States will need to collaborate across programs to plan and implement the necessary
foundational written agreements to support information sharing, and information technology
solutions and business processes, to support matching of data and to provide, as appropriate
under both Federal and State laws, either individual data or aggregate data that results from the
matching with the entities that need it. In addition to ensuring that WIOA performance reporting
on participants by the core programs is enabled, States are strongly encouraged to consider how
to support the reporting requirements for ETPs. DOL and ED plan to work with States to
identify models for developing WIOA performance accountability infrastructure and enabling
sharing of States’ best practices.
Additional Resources
Attachment IV provides links to Federal regulations, including FERPA, and the WRIS and
WRIS 2 Data Sharing Agreements, as well as several guidance documents outlining privacy and
security considerations for protecting confidential information from education records.
Also included in Attachment IV are best practice resources on records governance and the use of
the administrative records. These guides review issues that should be considered when preparing
to collect workforce data (e.g., does the State use a federated or centralized data system; how
long have the data been collected; are there any issues with data quality; what was the original
intent of the administrative data collection; how has the State approached data sharing in the
past; etc.). For example, data ownership, technical requirements, and privacy vary greatly
depending on whether a State uses a federated or centralized data system. In a federated system,
individual source systems maintain possession of their data; in a centralized system, data are
housed in a centrally located data repository. To help agencies better navigate these important
issues, references include information on the State longitudinal database system (SLDS) design,
culture of administrative records in the State, and application of UC confidentiality regulations to
requests for records.
Contact Information
DOL and ED have worked collaboratively in the development of this guidance and expect to
continue to work collaboratively to respond to questions from stakeholders and to provide
technical assistance related to the guidance. Questions are likely to surface through a variety of
Page 54 of 70
ways and may flow up through individual program channels. However, DOL and ED plan to
jointly develop responses to questions associated with this guidance and will work to ensure that
all stakeholders receive the same information.
U.S. Department of Education
Please refer to the Privacy Technical Assistance Center (PTAC) website (http://ptac.ed.gov/) and
direct questions related to FERPA and SLDS to [email protected] or 855-249-3072. PTAC
will work with the Department’s Family Policy Compliance Office (FPCO), which administers
FERPA, to provide you with answers.
U.S. Department of Labor
For inquiries regarding the protection and use of UC data please contact
[email protected].
Questions related to WRIS or WRIS 2 should be sent to [email protected]
For questions or concerns on performance-related issues please contact the Department of Labor
at [email protected]
Page 55 of 70
Attachment I
Options for Matching UC Wage Records & Education Data
This chart describes some of the ways in which educational authorities and training providers
may obtain wage records for audit or evaluation, and performance reporting, purposes, and
provides a short-cut to the Options set out above.
Type of Entity Type of Entity Intra or Individual Wage Entity that May
that May Receive that May Interstate Records or Execute the
Student Data Receive Wage Match Aggregate Data Match1
Records
State Educational Public Official Intrastate Individual wage State agency that
Authority records & has wage records
aggregate data (generally the UC
permitted agency),
educational
authority, or
public educational
institutions
Authorized Public Official Intrastate Individual wage State agency that
Representative of records & has wage records
a State aggregate data (generally the UC
Educational permitted agency),
Authority educational
authority, or
public educational
institutions
State Educational Public Official Interstate Individual wage PACIA, State
Authority records or agency that has
aggregate data wage records
permitted (see (generally the UC
below) agency),
educational
authority, or
public educational
institutions
Authorized Public Official Interstate Individual wage PACIA, State
Representative of records or agency that has
a State aggregate data wage records
Educational permitted (see (generally the UC
Page 56 of 70
Type of Entity Type of Entity Intra or Individual Wage Entity that May
that May Receive that May Interstate Records or Execute the
Student Data Receive Wage Match Aggregate Data Match1
Records
Authority below) agency),
educational
authority, or
public educational
institutions
State Educational Non-profit or Intrastate Aggregate data State agency that
Authority for-profit only has wage records
service (generally the UC
providers agency) or
educational
authority
Authorized Non-profit or Intrastate Aggregate data State agency that
Representative of for-profit only has wage records
a State service (generally the UC
Educational providers agency) or
Authority educational
authority
State Educational Non-profit or Interstate Aggregate data PACIA, State
Authority for-profit only agency that has
service wage records
providers (generally the UC
agency), or
educational
authority
Authorized Non-profit or Interstate Aggregate data PACIA, State
Representative of for-profit only agency that has
a State wage records
Educational (generally the UC
Authority agency), or
educational
authority
NOTE: The permissible options detailed above apply to all methods by which the matches occur,
such as WRIS2, SLDS, WDQI, or directly from a State UC agency. However, each such method
may have additional limitations/requirements.
Page 57 of 70
Authorized Representative: Any entity or individual designated by a State or local educational
authority or an agency headed by an official listed in §99.31(a)(3) 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
(34 CFR 99.3), A State UC agency or other State agency that has wage records may be an
authorized representative.
PACIA: The Performance Accountability and Customer Information Agency designated by the
governor to be responsible for coordinating the State’s program for assessing State and local
program performance, and evaluating training provider performance as required under the WIA.
Note that the current definition may change under the new agreements. Note, too, that under the
WRIS and WRIS2 agreements a PACIA may return only aggregate data; this may also change
under the new agreement being negotiated among the States.
1
If a match is executed by an entity other than the agency that has the wage records (generally
the UC agency), such entity may NOT have unfettered access to confidential UC information.
Many State UC agencies provide public agencies (such as child support enforcement, SNAP, and
TANF) access to screens with specific information from the UC data base necessary for the
recipient’s program, but which screens do not provide access to all information in the UC agency
data base.
Page 58 of 70
Attachment II
Required Components of a Written Agreement
FERPA regulations at 34 CFR 99.35(a)(3)(i) require the State or local educational
authority or agency to use a written agreement to designate any authorized representative
to whom PII from education records will be disclosed for the purpose of auditing or
evaluating Federal or State supported education programs.
UC confidentiality regulations at 20 CFR 603.10 require a State or State UC agency to
enter into a written, enforceable agreement with the agency or entity requesting
confidential UC information. The agreement must be terminable if the State or State UC
agency determines that the safeguards in the agreement are not being adhered to.
There are no specific VR content requirements for data exchange agreements; however,
such agreements must be consistent with statutory and regulatory requirements at 34 CFR
361.38. ED expects to issue guidance in the near future regarding the development of
written agreements for the purpose of ensuring the confidentiality of personal information
held by the VR agencies.
The following table lists the required components for written agreements under FERPA
and the UC confidentiality regulation. An “X” in a column denotes that there is no
comparable requirement.
Components of Agreement FERPA Regulations UC Confidentiality
Regulations
Designation of agent Designate the individual or X
entity as an authorized
representative
Defining scope of Specify the PII from Include a description of the
disclosure education records to be specific information to be
disclosed disclosed and the purposes
for which the information is
sought (See also “Purpose
of disclosure”)
Purpose of disclosure Specify that the PII will be Include a description of the
disclosed to the authorized specific information to be
representative for the disclosed and the purposes
purpose of carrying out an for which the information is
audit or evaluation of a sought (See also “Defining
Federal or State supported scope of disclosure”)
education program, or to
enforce or to comply with
Page 59 of 70
Components of Agreement FERPA Regulations UC Confidentiality
Regulations
Federal legal requirements
that relate to the program)
How disclosed information Include a description of the Require the recipient to use
will be used activity with sufficient disclosed information only
specificity to make clear for purposes authorized by
that the work falls within law and consistent with the
the exception of written agreement it entered
§99.31(a)(3), including how into meeting the
the PII from education requirements of §603.10
records will be used
Procedural requirements X Include a description of the
for requests methods and timing of
requests for information
and responses to those
requests, including the
format to be used
Reimbursement of X Provision for paying the
administrative disclosure State UC agency for any
costs costs of furnishing the
information. Grant funds
may be used to pay costs
associated with any
disclosure of UC
information if not more
than an incidental amount
of staff time and no more
than nominal processing
costs are involved in
making the disclosure.
Who may access disclosed Limit the use of PII to only Include a statement that
records authorized representatives those who may receive
with legitimate interests information under the
(i.e., those who need to agreement will be limited to
access data for the purposes those with a need to access
authorized under the audit it for purposes listed in the
or evaluation exception) agreement and that they
(See also “Security of will only access the
Page 60 of 70
Components of Agreement FERPA Regulations UC Confidentiality
Regulations
disclosed Information”) information for those
purposes.
Security of disclosed Establish policies and Provision for safeguarding
information procedures to protect the the information disclosed,
disclosed PII from further as required by section 603.9
disclosure (except back to
the disclosing entity) and
unauthorized use. This
includes limiting the use of
PII to only authorized
representatives with
legitimate interests (i.e.,
those who need to access
data for the purposes
authorized under the audit
or evaluation exception).
The specific policies and
procedures outlined in the
agreement should be
consistent with FERPA and
other Federal and State
confidentiality and privacy
provisions. Please consult
with your legal team to
ensure compliance with all
applicable Federal, State,
and local laws.
Page 61 of 70
Components of Agreement FERPA Regulations UC Confidentiality
Regulations
Retention period of Specify the time period in Information disclosed must
disclosed information which the information must not be retained with PII for
be destroyed longer than such period of
time as the State or State
UC agency deems
appropriate on a case-by-
case basis. The length of the
retention period will be
determined by the purpose
for the disclosure, required
under 20 CFR 603.10(b)(1),
and any retention laws to
which the recipient is
subject.
Destruction of disclosed Require the authorized After the purpose for the
information representative to destroy PII disclosure has been served,
when no longer needed for the recipient must dispose
the specified purpose of the confidential
information. Disposal
means return of the
information to the
disclosing State or State UC
agency or destruction of the
information as directed by
the State or State UC
agency. Disposal includes
deletion of PII by the State
or State UC agency in lieu
of destruction. 20 CFR
603.9(b)(1)(vi)
Compliance X Require recipients to
maintain a system sufficient
to allow an audit of
compliance with safeguards
and security requirements.
20 CFR 603.9(b)(1)(vii)
Provision for on-site
inspections of the education
Page 62 of 70
Components of Agreement FERPA Regulations UC Confidentiality
Regulations
agency, entity, or contractor
to assure that the
requirements of the State’s
law and the agreement are
being met.
Page 63 of 70
Attachment III
Agencies that Maintain UC Wage Data and Manage Wage Record Matching Agreements.
State Agency that oversees wage record data Unit or office that specifically manages
collection and maintenance wage record cross matching agreements
AK Alaska Department of Labor and Division of Employment and Training
Workforce Development Services, Unemployment Insurance
Support Unit
AL Alabama Department of Labor Disclosure Unit
AR Arkansas Department of Workforce Arkansas Department of Workforce
Services Services Information Security Office
AZ Arizona Department of Economic Arizona Department of Economic
Security, Unemployment Insurance Tax Security, EA/UI Data Security Unit
CA Employment Development Department Unemployment Insurance Integrity and
(Tax Branch) Accounting Division (UI Branch)
CO Colorado Department of Labor and Unemployment Insurance Policy and
Employment, Division of Unemployment Communications
Insurance
CT Connecticut Department of Labor CTDOL Office of Program Policy
DC District of Columbia Department of Office of Unemployment Compensation
Employment Services
DE Department of Labor, Division of Benefit Payment Control Unit
Unemployment
FL Florida Department of Revenue General Tax Administration, Resource
Management – Anna Barnes
GA Georgia Department of Labor GDOL Legal Services Unit
HI Department of Labor and Industrial Department of Labor and Industrial
Relations Relations
Unemployment Insurance Division Unemployment Insurance Division
Program Development Coordination and Program Development Coordination and
Evaluation Services Office Evaluation Services Office
IA Iowa Workforce Development Unemployment Tax
ID Idaho Department of Labor Unemployment Insurance Division
Page 64 of 70
State Agency that oversees wage record data Unit or office that specifically manages
collection and maintenance wage record cross matching agreements
IL Illinois Department of Employment Illinois Department of Employment
Security Security
http://www.ides.illinois.gov/Pages/Shared-
Data-Agreements.aspx
We have a website where organizations
can go to request a shared data agreement
for wage matching.
Otherwise, agencies can contact Economic
Information & Analysis (general number
312-793-2316) for information.
IN Indiana Department of Workforce Office of General Counsel
Development
KS Kansas Department of Labor Kansas Department of Labor – Office of
Legal Services
KY Office of Employment and Training, Office of Employment and Training,
Division of Unemployment Insurance, Tax Grants Management & Support
Enforcement Branch Division, Operations Branch
LA Louisiana Workforce Commission Louisiana Workforce Commission’s Legal
Unit/Office of General Counsel
MA Department of Unemployment Assistance Office of the Chief Counsel
MD Department of Labor, Licensing and Department of Labor, Licensing and
Regulation, Division of Unemployment Regulation, Division of Unemployment
Insurance Insurance
ME Maine Department of Labor Administration Unit, Bureau of
Unemployment Compensation, Maine
Department of Labor
MI Unemployment Insurance Agency (UIA), UIA, Benefit Enforcement Unit
Benefit Enforcement Unit
MN Unemployment Insurance Division of the Performance Management Unit of the
Minnesota Department of Employment Minnesota Department of Employment
and Economic Development and Economic Development
MO Missouri Department of Labor and Missouri Department of Labor and
Page 65 of 70
State Agency that oversees wage record data Unit or office that specifically manages
collection and maintenance wage record cross matching agreements
Industrial Relations, Division of Industrial Relations, Office of General
Employment Security Counsel
MS Mississippi Department of Employment Mississippi Department of Employment
Security Security
MT Montana Department of Labor and Unemployment Insurance Division
Industry (Unemployment Insurance (Program Support Bureau)
Division)
NC N.C. Department of Commerce, Division Legal Department
of Employment Security
ND Job Service North Dakota Unemployment Insurance Area
NE Nebraska Department of Labor Office of Administrative Services
Unemployment Insurance
NH New Hampshire Employment Security, Legal Unit manages the actual agreements;
Unemployment Compensation Bureau, Office of the Assistant to the
Contributions Section Commissioner should also be involved.
NJ New Jersey Department of Labor and New Jersey Department of Labor and
Workforce Development Division of Workforce Development Income Security
Employer Accounts Agency
NM New Mexico Department of Workforce Information Technology Department
Solutions
NV Department of Employment, Training and Unemployment Insurance Support
Rehabilitation (DETR) Services (UISS)
NY NYS Dept of Taxation and Finance Wage Reporting Account Resolution Unit
OH Ohio Department of Job and Family OUIO Data Integrity and Access Unit
Services, Office of Unemployment
Insurance Operations (OUIO)
OK Oklahoma Employment Security RES – Support and Compliance Division
Commission
OR Oregon Employment Department Unemployment Insurance Division,
Benefit Payment Control Unit
PA Pennsylvania Department of Labor and UC Tax Services, UC Benefits Policy,
Page 66 of 70
State Agency that oversees wage record data Unit or office that specifically manages
collection and maintenance wage record cross matching agreements
Industry Center for Workforce Information and
Analysis, and Bureau of Workforce
Development Partnership
PR Puerto Rico Department of Labor and Tax Division at the PRDOL
Human Resources
RI RI Department of Revenue, Division of RI Department of Labor and Training, our
Taxation, Employer Tax office Unemployment Insurance division and
Legal Office
SC South Carolina Department of SCDEW Office of General Counsel
Employment and Workforce (SCDEW)
SD South Dakota Department of Labor and South Dakota Department of Labor and
Regulation, Unemployment Insurance Regulation, Secretariat
Division
TN Tennessee Department of Labor & Unemployment Insurance Division
Workforce Development
TX Tax Department of the Texas Workforce Risk and Security Department
Commission
UT Department of Workforce Services - Department of Workforce Services -
Unemployment Insurance Division Unemployment Insurance Division
VA Virginia Employment Commission Customer Relations and Information
Control
VI Virgin Islands Department of Labor Tax Unit
VT Vermont Department of Labor's Legal Section
Unemployment Insurance Division,
Employer Services Unit
WA Washington State Employment Security Labor Market and Performance Analysis
Department (LMPA) Division, Office of Special
Investigations
WI Wisconsin Department of Workforce Data Sharing Coordinator in the Bureau of
Development- Unemployment Insurance Management and Information Services
Page 67 of 70
State Agency that oversees wage record data Unit or office that specifically manages
collection and maintenance wage record cross matching agreements
WV WorkForce West Virginia – WorkForce West Virginia –
Unemployment Compensation Unemployment Compensation
WY Department of Workforce Services Unemployment Insurance Division
Page 68 of 70
Attachment IV
Additional Resources
Case Study #5: Minimizing Access to PII: Best Practices for Access Controls and
Disclosure Avoidance Techniques, U.S. Department of Education (2012):
http://ptac.ed.gov/sites/default/files/case-study5-minimizing-PII-access.pdf
Centralized vs. Federated: State Approaches to P-20W Data System, NCES (2012):
http://nces.ed.gov/programs/slds/pdf/federated_centralized_print.pdf
Checklist: Data Governance, PTAC (2011): http://ptac.ed.gov/sites/default/files/data-
governance-checklist.pdf
Checklist: Data Sharing Agreement, PTAC (2012):
http://ptac.ed.gov/sites/default/files/data-sharing-agreement-checklist.pdf
Data Governance and Stewardship, PTAC (2011):
http://ptac.ed.gov/sites/default/files/issue-brief-data-governance-and-stewardship.pdf
Data Security: Top Threats to Data Protection, PTAC (2015):
http://ptac.ed.gov/sites/default/files/Issue%20Brief%20Data%20Security%20Top%20Thr
eats%20to%20Data%20Protection.pdf
Data Stewardship: Managing Personally Identifiable Information in Student Education
Records (NCES 2011-602): http://nces.ed.gov/pubsearch/pubsinfo.asp?pubid=2011602
Federal regulations resources compilation, U.S. Department of Education:
www.ed.gov/policy/gen/reg/edpicks.jhtml?src=ln
FERPA regulations amendment, U.S. Department of Education (2011):
www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30683.pdf
Guidance for Reasonable Methods and Written Agreements, Family Policy Compliance
Office (2011): www.ed.gov/policy/gen/guid/fpco/pdf/reasonablemtd_agreement.pdf
Privacy Technical Assistance Center website: http://ptac.ed.gov/
Techniques for Analyzing Longitudinal Administrative Data, NCES (2012):
http://nces.ed.gov/programs/slds/pdf/Data-Use-Issue-Brief-4_Analysis-Techniques.pdf
Turning Administrative Data into Research-Ready Longitudinal Datasets, NCES (2012):
http://nces.ed.gov/programs/slds/pdf/Data-Use-Issue-Brief-3_Research-Ready-
Datasets.pdf
Page 69 of 70
20 CFR Part 603 Federal-State Unemployment Compensation Program (UC);
Confidentiality and Disclosure of State UC Information Final Rule:
http://www.ecfr.gov/cgi-bin/text-
idx?c=ecfr&tpl=/ecfrbrowse/Title20/20cfr603_main_02.tpl
WIOA Final Regulations may be found at https://www.doleta.gov/wioa/eta_default.cfm
DOL-issued guidance related to WIOA may be found at
http://wdr.doleta.gov/directives/All_WIOA_Related_Advisories.cfm
WRIS Data Sharing Agreement:
http://doleta.gov/performance/pfdocs/WRIS_Data_Share_Agree_Amended_Febr_17_201
1.pdf
WRIS Website: http://doleta.gov/performance/WRIS.cfm
WRIS 2 Data Sharing Agreement:
http://doleta.gov/performance/pfdocs/WRIS2_DataSharingAgreement%20_Voluntary_O
pt-in.pdf
WRIS 2 Website: http://doleta.gov/performance/wris_2.cfm
Page 70 of 70
What does federal law require in your situation?
Ezel checks current federal labor law against your facts and answers with citations.
Opens in Ezel Pro.
- Checks the law as it stands today, not only this page
- Cites every source it relies on, so you can verify it
- Chat, drafting and research in one workspace