Schools and Schools with Sixth Forms

Schools and Schools with Sixth Forms

April 2013 – March 2014

1.The Charter Members involved with this information sharing protocol are:

Essex County Council (ECC) and Named School/Sixth Form?

*Any reference to schools will also include those establishments with a sixth form

Why partners have agreed to share information?

Effectively sharing information about learners (aged between 16–19 and up to the age of 25 for those with learning difficulties and disabilities) between providers and Essex County Council (ECC) can bring significant benefits in supporting young people to progress in and through post-16 learning including:

1. Supporting the reduction of young people NOT in employment, education or training (NEET) and those who are ‘Unknown’ to the local authority.

2. Supporting young people who are vulnerable i.e. Children in Care.

3. Ensuring sufficient and appropriate provision is available to meet the needs of the RPA agenda.

4. Schools using the data for the purpose of relevant marketing that will meet the needs of young people who require information about specific training programmes.

Legality

In order to comply with the Data Protection Act (DPA) or any subsequent replacement legislation, one requirement is that personal information is shared fairly and lawfully (Principle 1). In order to achieve this, organisations must comply with at least one condition from schedule 2 and, where sensitive information is included, at least one condition from schedule 3 of the DPA.

Appropriate Schedule 2 conditions:

The data subject has given their consent to the processing
The processing is necessary for the purposes of legitimate interests pursued by the data controller or by the third party or parties to whom the data are disclosed, except where the processing is unwarranted in any particular case by reason of prejudice to the rights and freedoms or legitimate interests of the data subject

Appropriate schedule 3 conditions:

The data subject has given his explicit consent to the processing of the personal data
The processing is carried out in the course of its legitimate activities by any body or association which

(i) is carried out with appropriate safeguards for the rights and freedoms of data subjects

(ii) does not involve disclosure of the personal data to a third party without the consent of the data subject

and other legislation or statute as follows:

Education and Skills Act 2008 s10 and s72
Education Act 2011
Education Act 1990 s537
Statutory Instrument 2009 No.1563 Education (England)
Apprenticeship, Skills Children and Learning Act 2009

What information will be shared?

INFORMATION SHARED BY SCHOOLS and SCHOOLS WITH SIXTH FORMS

Appendix 1 supplies the months in which specific information is required to support :

All Young People

Intended Destinations

Offers of Learning
Annual Activity Survey data
Starters and Leavers
Information obtained through working with the NEET group – for two terms following leaving compulsory education
Changes in addresses and phone numbers.

Children in Care (CIC)

Provide daily attendance records through a commissioned monitoring service.
Early identification of a young person experiencing difficulties on a course/programme.
Outcomes or progression information of children in care on a web based system (CLA Tracker).
Provide information on financial support through the 18 – 19 Bursary Fund (for those in sixth forms).

INFORMATION SHARED BY ECC WITH RELEVANT SCHOOLS AND SCHOOLS WITH SIXTH FORMS.

Relevant information relating to young people who do not have a confirmed place between Year 11 into their post 16 opportunity i.e. Intended Destinations, will be sent in the Summer Term.
Annual Activity Survey data including named data relating to young people’s destinations will sent by the end of the spring term.
NEET information will be supplied, monthly, for a period of two terms from the September after which the young person has left compulsory education and given consent for ECC to share their data.

Children in Care

Designated person to have access to information about children in care attending the provision and the ability to update the CLA Tracker.

5.Consent

Information shared is with consent of the Service Users.

If a young person has been offered a place or enrolled with a Post 16 Learning Provider; additional appropriate information (outlined below) can only be shared with the consent of the young person and or their parent/carer if a young person should fall into the Mental Capacity Act 2005.

Attendance reports
Exclusion reports
SEN Status
Children in Care Status
English as additional language
Travellers
Youth Offending Status.

6.How will the information be shared?

By providers:-

The Education and Skills Act 2008 outlines the requirement on Education Institutions to supply relevant information to enable the local authority to meet its duty and report information to the DfE. Appendix 1 outlines the data and timescales required by the local authority.

ECC will accept secure information, either in Excel or Word format, at any convenient point in the month via email to: ,

or in hard copy, via a secure method, using safe handling procedures, to the address below through registered post marked ‘Confidential’:

Participation and Tracking Team

South Area Education office

The Knares

Basildon

SS6 5RX

Verbally (e.g. either face to face meetings or via the telephone).
Children in Care information will be shared via the CLA Tracker.

By Essex County Council:-

Information will be sent within 10 working days of the receipt at: .

It will only be sent to the designated person, listed in the learning providers contact

details’, using the safe handling procedures.

7. How long will information be kept for?

Essex County Council is required to keep information on young people in line with the DfE’s Management Information Guidance. As the data owner ECC will retain young peoples’ information up to the age of 23 or 28 if the young person should have learning difficulties or disabilities.
ECC is required to retain information on Children in Care for a period of 75 years.
ECC requests that data shared with schools is used within one month (to ensure currency) and is securely destroyed within 3 months of using the data.

8. Information quality

All of the data received by pre and post-16 education institutions’ must be stored, retained and disposed of in line with their own records retention and security policies which must comply with the requirements of the Data Protection Act 1998 and the Freedom of Information Act 2000.

If information is found to be inaccurate, it is the responsibility of the learning provider to notify the Data Owner, who will ensure the data is corrected and will notify all recipients.
Charter members will not be liable for any financial or other costs incurred by other parties to this protocol as a result of any information being wrongly disclosed by another party to this protocol or as a result of any negligent act or omission by another party to this protocol.

9. How will information be kept secure and confidential?

ECC will send and receive information through the Designated Person listed in the agreement’s contact details.

Partner agencies will ensure that their employees are able to access only the shared information necessary for their role.
Ensure that their employees are appropriately trained so that they understand their responsibilities for confidentiality and privacy.
Protect the physical security of the shared information.
All information held on portable devices must be encrypted to industry standard FIPS 140-2/256 bit asymmetrical encryption.
Email, information must only be sent via encrypted email such as GCSX or password protected emails with the password being given over the telephone prior to sending via the designated person.
Charter members must not pass on or sell the data to other parties or organisations not party to this agreement.
Any information breeches e.g. theft, loss, damage or inappropriate disclosure of information must be reported to the information owner immediately through .

10. Freedom of Information Act (FOI) Requests and Data Protection Subject Access Requests

Any request for information made under either the Freedom of Information Act or the Data Protection Act must be notified to Data Owner – ECC, within 2 days of the request via: .

Any subsequent information required by the Data Owner must be supplied to fulfil the 20 working days Freedom of Information legislation.

This protocol is not confidential and will be available for anyone to view.

11.Managing the protocol

This protocol is owned equally by all participating charter members who receive information from ECC and is co-ordinated and administered on their behalf by the Information Governance Manager within Essex County Council.

This protocol will be reviewed at the end of 12 months and reviewed following changes in legislation or statutory notices.
Relevant staff must agree and sign this agreement before the sharing of any information e.g. Chief Information Officers, Senior Information Risk Officers and/or Caldicott Guardian.

The information must only be used for the purposes stated this agreement.

12.Additional requests for Information

No additional requests for information will be accepted unless through appendix 2.

13. Complaints

Charter members will use their standard organisational procedures to deal with complaints from the public arising from information sharing under this protocol.

If the learning provider should receive a complaint with regard to young people receiving information the link contact within Essex County Council must be notified.

Written Data Sharing Agreement

We the undersigned agree to implement and adhere to this protocol withEssex County Council. (Please keep a copy for your records)

Please complete and return both this agreement and the contact sheet via email to: or send it to Tracy Eve, Employability and Skills Unit, ECC, County Hall, PO Box 11, Chelmsford, Essex CM1 1LX.

Charter Member :

Chief Information Officer or Senior Information Risk Officer responsible for data governance within the Charter Membership.

Print Name: ……………………………………………………………………………..

Signed:…………………………………………………………......

Date:………………………………………………………………………………………

Essex County Council

Chief Information Officer for Essex County Council.

Print Name:………………………………………………………………………………..

Signed: ……………………………………………………………………………......

Date: ………………………………………………………………………………………

Caldicott Guardian on behalf of Essex County Council

Print Name:………………………………………………………………………………..

Signed:…………………………………………………………………………………….

Date: ……………………………………………………………………………………….

INFORMATION SHARING - Contact Sheet

Please complete and email to

Name of Organisation/Charter Member

Designated Person/s responsible for managing data on behalf of the Charter Member. To be completed by the learning establishment.

Name / Role / Contact email / Contact no.
Chief Information Officer or Senior Risk Information officer
Designated person for Children in Care.

Essex County Council Contacts

Persons/ responsible for sharing information within Essex County Council.

Name / Role / Contact email / Contact no.
IAG Participation Consultant
Christine Fitzsimmons (For Special Schools) / IAG Manager / Christine. / 01245 431339
Lisa Raper / Tracking Team Co-ordinator / / 0800 707 6384
Sallie Gilbert / Targeted Personal Adviser for Children in Care / / 01245 434957

Changes in the staff listed within this protocol should be emailed to .
Appendix 1

Information from Schools
Activity / Information Required / Freq / April / May / June / July / Aug / Sept / Oct / Nov / Dec / Jan / Feb / March
Intended Destinations – Year 11 only / Name
Address
Phone & Mob No. email address,
option choices and occupational areas of interest
Offers of Learning / Name, Address Dob, Previous School, Course & Level / Monthly
Activity Survey / Name, Address, Date of Birth, Telephone no., Course, Level & Expected end date. / Monthly
Starters and Leavers / Name, Address,
Date of Birth,
Telephone No.,
Previous School,
Course,
Level,
Expected end date
If leaver - reasons for leaving / Monthly
Attendance records of CLA / Extracted from the CLA Tracker system. / Weekly
Changes in addresses / Name, DOB and new address. / Termly & Year 10 data in July
REMAIN NEET Not accepted onto programmes / Names, Date of Birth,
Course not accepted
Reasons / As required

The colour denotes the year groups that the information collection pertains to:-

Orange – Year 11 only

Green - Year 11, 12 and 13 Students

Red – Year 12 & 13 students OR those who have left compulsory education

Yellow – All Year Groups.

APPENDIX 2

REQUEST FOR ADDITIONAL INFORMATION THROUGH THE DATA SHARING AGREEMENT

To comply with the Data Protection Act 1998 Essex County Council (ECC) and Learning providers must work together to enable the effective and efficient sharing of relevant information within the law. ECC has put in place processes to understand the purpose for which learning providers require data i.e. it must be associated with a training programme that will support young people seeking specific learning opportunities.

Contact name:

Organisation:

Please tick whether you require:

Data:Named Information:

( Data – For provider identifying the level of need for a programme. Named information: This will only be supplied when the course has been agreed to operate).

Purpose for which information is being requested.

Please state the information the school requires.

Please outline how the information will be used.

Signature of sender:………………………………………………..

Name: …………………………………………………………………

Contact Number: …………………………………………………….

Essex County Council is sending through young peoples’ data on the basis that it believes the information will be used to make young people aware of the relevant opportunities available. In accordance with the Data Protection Act 1998 the Learning Provider is required to manage the data to ensure all information is managed securely and used for the purpose with which it is being sent to the provider.

This proforma should be returned to .

OFFICE USE ONLY

Reference No. Date sent:

Returned to:Date to be destroyed:

Checked by: