Data Governance Webinar Kathy Gosa, Kansas Josh Klein, Oregon Baron Rodriguez, PTAC Data Governance: Key components & implementation steps

2 Why Data Governance? Data Governance (DG) is an organizational approach to data and information management  Helps to protect interests of stakeholders by enforcing compliance with agreed-upon rules and regulations regarding data management (including security)  Outlines who can take what actions, when, with what information, and using what methods  Defines rules of engagement, organizational bodies, accountable individuals, and processes  Is formalized as a set of policies and procedures  Encompasses the full data life-cycle

Components of a Data Governance Program 3 Rules and Rules of Engagement 1. Mission and Vision 2. Goals, Governance Metrics, Success Measures, and Funding Strategies 3. Data Rules and Definitions 4. Decision Rights 5. Accountabilities 6. Controls Organizational Bodies and Individuals 7. Data Stakeholders 8. A Data Governance Office 9. Data Stewards Processes 10. Proactive, Reactive, and Ongoing Data Governance Processes

Components of a Data Governance Program contd. 4 Source: “The DGI Data Governance Framework” (Gwen Thomas, The Data Governance Institute).The DGI Data Governance Framework

Data Governance Program: Scope Scope of a DG program with focus on privacy, compliance, and security includes  Protection of sensitive data  Vulnerability assessment and risk mitigation  Enforcement of regulatory, contractual, and architectural compliance requirements  Identification of stakeholders, decision rights, and accountabilities  Access management 5

DG Program Implementation: Key Steps Decision-making authority: Establish organizational structure with different levels of DG & specify roles and responsibilities at each level Standard policies & procedures: Adopt and enforce a written data governance plan Data inventory: Conduct an inventory of all data that require protection Data content: Identify the purposes for which data are collected and justify the collection of sensitive data Data records: Specify activities related to handling data to ensure compliance with security policies 6

DG Program Implementation: Key Steps contd. Data quality: Ensure that data are accurate, relevant, timely, and complete for the purposes they are collected Data access: Define and assign differentiated levels of data access to individuals based on their roles and responsibilities Data security: Ensure the security of sensitive data by mitigating the risks of unauthorized disclosure Data dissemination: Ensure that data sharing and reporting activities comply with federal, state, and local laws 7

Data Governance: Sharing Best Practices Successes, challenges, and areas in need of development Guest speakers: Kathy Gosa (Director of Information Technology, Kansas DE): Postsecondary and internal program data governance Josh Klein (Chief Information Officer, Oregon Department of Education): LEA engagement through the District CIOs, data collection committee, and regional consortia participation 8

Data Governance Program Kansas State Department of Education Kathy Gosa, IT Director PTAC Webinar August 2011

Data Governance Board (Director level decision makers from each department / program area) …establish and enforce policies and practices related to agency data management –Ethics & security will be a part of every decision the group makes –Members have the authority and commitment to make policy recommendations and decisions –LEA participation is via comments on proposed policy. Data Steward Workgroup (agency data stewards) –Focused on communication, collaboration, data quality –Build capacity for ownership and accountability of data –Eliminate the silo effect of working with data Data Request Review Board (subgroup of DGB) –Provides consistent treatment of data requests –Considers, prioritizes and assigns requests for data KSDE Data Governance Program

Setting expectations Escalation Process Data Stewards and Programmers Data Manager / Coordinator Data Owners Data Governance Board Executive Leadership Data Governance Board Executive Leadership Data Stewards & Programmers Data Request Review Board Issue Resolution

Data Governance for P20 Kansas P20 Data Sharing o Executive Order gives authority for KBOR and KSDE to evaluate one another’s programs o MOU specifies that each party must notify the other party of any “use” of the other’s data Federated approach for P20 Data Governance o Postsecondary has a “seat” on KSDE’s DGB and DRRB for all items involving PS data (including revisions to KSDE DG Program) if voting is involved, the PS “seat” has veto power o KSDE is a data owner of P20 data housed at KBOR, and so has a “seat” and decision power on KBOR’s Data Review Committee for any data requests involving P-12 data authorizes access to P-12 data Assigns a data steward with responsibility to assist with analysis/use of P-12 data

Successes / Challenges Successes: o Data Governance is a fundamental part of our culture. o As new issues / challenges have arisen we’ve been able to modify our existing framework to address them. o Expanding re PS data governance was relatively painless. o We’ve “evolved” our process for including LEAs in DG processes. Challenges: o Keep meetings/issues focused – don’t waste time! o Inclusion of LEAs in DG processes. o Immaturity of DG processes at other state agencies. o Applicability of the federated model to other agencies (e.g., Dept of Labor).

Oregon Education Governance Network Josh Klein Chief Information Officer Oregon Department of Education PTAC Webinar August 12, 2011

Oregon Landscape 197 School Districts 19 Education Service Districts 561,698 Students 62,557 School Employees 28,638 Teachers Geographically Large Strong Local Control Data Source: Oregon Statewide Report Card

Governance History IT Manager’s Committee (ITMgrs) –Quarterly* Since October 2000 Data Collection Committee (DCC) –Quarterly Since November 2002 Data Quality Workgroup (DQWG) –Triannually Since February 2008 Data Warehouse Governance Committee (DWGC) –Monthly Since April 2010 Assessment and Accountability Advisory Committees (AAC) DCC Website: ITMgrs Website: DQWG Website: * Monthly IT Manager Meetings also held.

Assessment Panels Panel / Committee Number of Members Meeting Frequency Assessment Policy Advisory Committee times a year Sensitivity Panel times a year English Language Arts Assessment and Content Panel times a year Mathematics Assessment and Content Panel times a year Science Assessment and Content Panel times a year Social Sciences Assessment and Content Panel times a year Accommodations and Modifications Review Panel times a year English Language Proficiency Assessment and Content Panel times a year Content and Assessment Panels Website:

Successes Online Testing Since 2001 (ITMgrs) Required Data Owner Attendance (DCC) One-Year Rule & Annual Collection Cycle (DCC) Race/Ethnicity (DCC/ITMgrs) Student Record Exchange (DWGC) Challenges Coordination & Preparation Including Small/Rural Districts US vs. THEM - Mandate Compliance

In Development Increased Frequency & Web Option (DCC) Monthly Vendor Meetings P-20/W Governance –ALDER Executive Committee (AEC) –Oregon Education Investment Board (OEIB) Institution Reconstitution Policies Oregon Education Information Security Council –FERPA Compliance –Cloud Computing (i.e. Google Apps for Education) AEC Website:

References 21 Statewide Longitudinal Data Systems (SLDS) Technical Brief 2. Data Stewardship: Managing Personally Identifiable Information in Electronic Student Education Records (NCES )NCES The Data Governance Institute – The DGI Data Governance frameworkThe DGI Data Governance framework National Association of State Chief Information Officers – Data Governance series Data Governance series

Upcoming PTAC Events 22 Regional Meetings 2011 Regional meeting #4: MEIC (August, 2011) – Kansas City, MO – Midwest PTAC Webinars 2011 Threats to your Data - August 22 nd : 1:30 - 2:30 pm EST Data Center Consolidation Best Practices - September 16 th : 1:30 - 2:30 pm EST **New**

Stakeholders’ Feedback 23 What are your needs? How can PTAC help you?  Help Desk Help Desk  Site visits Sharing best practices  Input from organizations that have successfully implemented a DG program  Sharing your experiences

PTAC Help Desk & WebsiteHelp Desk 24 Send PTAC your questions on privacy, confidentiality, and data security related to longitudinal data systems (LDSs) Contact the Help Desk o o Toll Free Phone: o Toll Free FAX: Get copies of PTAC resources, join listserv- nces.ed.gov/programs/ptac

Data Governance Webinar Data Governance: Key components & implementation steps Thank You for Participating