EARLY CHILDHOOD INTEGRATED DATA SYSTEM (ECIDS) DATA GOVERNANCE MANUAL NEW MEXICO Prepared by: Public Education Department Children, Youth, & Families Department Department of Health Published: October 23, 2014 i
Version 1.0 Table of Contents Introduction... 3 Purpose... 3 Overview... 3 Guiding Questions:... Error! Bookmark not defined. Scope... 3 Governance Roles and Responsibilities... 4 Data Governance Committee... 4 Data Technical Team... 4 ECIDS Data Governance Structure... 5 Model... 5 Data Governance Committee... 6 Mission... 6 Data Governance Committee... 6 Guiding Principles... 6 Goals and Objectives... 6 Scope and Responsibility... 7 Membership... 7 Data Governance Committee Members... 7 Member Expectations... 8 Decision-making Process... 8 Data Technical Team... 9 Mission... 9 Guiding Principles... 9 Goals and Objectives... 9 Scope and Responsibility... 9 Membership... 10 Data Technical Team... 10 Ad-hoc Subgroups... 10 Member Expectations... 11 Recommendation-making Process... 11 Appendices... 12 Important Terms... 12 Revision History... 13 ii
INTRODUCTION Purpose The Data Governance Manual operationalizes the Early Childhood Integrated Data System (ECIDS) Data Governance Policy. The Manual details the structure, roles, responsibilities, membership, and processes that will be established and to which participants will be held accountable. Overview The Early Childhood Data Governance Committee is authorized to establish and enforce data governance standards and processes. Establishing a set of interagency policies and procedures to ensure the responsible management and use of Early Childhood Data is a shared responsibility of multiple state agencies and entities. Data is a cross agency asset. The importance of a single source of accurate Early Childhood Data for interdepartmental operations and reporting must be emphasized from the highest level of the Departments. Organizations and policies and procedures must be adopted, communicated and enforced at all levels. The data governance standards and processes will reflect alignment with the respective Departments strategic plans. Scope The data governed by the ECIDS will be provided by the following state agencies New Mexico Public Education Department (PED), New Mexico Department of Health (DOH), and New Mexico Children, Youth, and Families Department (CYFD) and will address the key policy and program questions set forth by the executive leadership. The key activities governed by the policy are as follows: 1. Maintain confidentiality of all educational records as required under the Family Rights and Privacy Act (FERPA), 20 U.S.C. 1232(g). 2. Maintain confidentiality and security of all health records as required under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law 104-191. 3. Store data received in a secure manner. 4. Review the related Memoranda of Understanding quarterly to assure that it is being operated in compliance with the requirements of this agreement. If any data security or privacy problems are identified, a report specifying the problems, solutions, and timelines for implementation will be developed cooperatively with personnel from all parties. 5. Ensure all guidelines and procedures developed under this policy/charter are followed. 6. Ensure that the studies conducted and/or systems created with the data are for or on behalf of the parties to improve instruction or agency services and that analysis and reports will be shared with the respective parties prior to publication. 3
7. Ensure that no data will be released or reported in any manner that will allow the identification of any individual person, student, teacher, or school, unless explicitly approved in writing by the agency or agencies that produced, provided, or contributed to the specific data being released. NOTE: This does not alter or replace the participating agencies collection, reporting and use of their own data in accordance with federal and state law. Governance Roles and Responsibilities Data Governance Committee The Data Governance Committee is responsible for making decisions regarding policy implementation and operations for specific functional areas and participating in decisions requiring system-wide policy and operations for the ECIDS. The Committee establishes and enforces data governance standards and processes. The Committee approves reporting generated from the shared data. The member representing each agency is responsible for ensuring that their applications that create, capture and update data elements include edit and validation checks to protect data integrity. The Committee further establishes a set of interagency policies and procedures to ensure the responsible management and use of Early Childhood Data. Data Technical Team The Data Technical Team members from the participating state agencies and entities implement the policies and procedures at the operational level in their respective programs. They are responsible for reviewing requests from the Data Governance Committee and making recommendations about the technical solutions that would address those needs. They are also responsible for ensuring the technical feasibility of desired functionality. 4
ECIDS DATA GOVERNANCE STRUCTURE Model Data Governance Committee Data Technical Team 5
DATA GOVERNANCE COMMITTEE Mission The Data Governance Committee will provide direct oversight and leadership to the ECIDS data governance initiative, enforce policies related to ECIDS data governance, and provide guidance to the Data Technical Team. The Committee s purpose is to maintain the integrity of the Departments data which is a shared responsibility for all of the agencies. Data is the Departments asset and the importance of a collective system of accurate data for departmental operations and reporting must be emphasized from the highest level of the departments. Policies and procedures must be communicated and enforced at all levels. The Data Governance Committee will review and make decisions about the recommendations surrounding and design of the interagency systems. Data Governance Committee The Data Governance Committee is responsible for making decisions regarding policy implementation and operations for specific functional areas and participating in decisions requiring system-wide policy and operations for the ECIDS. The Committee establishes and enforces data governance standards and processes. The Committee approves reporting generated from the shared data. The member representing each agency is responsible for ensuring that their applications that create, capture and update data elements include edit and validation checks to protect data integrity. The Committee further establishes a set of interagency policies and procedures to ensure the responsible management and use of Early Childhood Data. Guiding Principles Guiding Principles of the Data Governance Committee include: Ethics and security are considered in every decision the group makes Decisions are made to provide maximum benefit to the Early Childhood community as a whole Members have the authority and commitment to make policy recommendations and decisions Members will maintain a statewide perspective rather than an individual agency view Goals and Objectives Data Governance Committee goals and objectives include: Establishing and maintaining the strategic direction of the ECIDS Ensuring ECIDS sustainability through resources and funding Ensuring the effectiveness of the ECIDS data governance model Determining the ECIDS vision and priorities 6
Improve data quality Ensure availability of the data necessary and appropriate to support the ECIDS purpose and goals Improve understanding of Early Childhood data within the state Increase access to and use of ECIDS data to make program and policy decisions Ensure data produced and distributed will be reliable and consistent across all educational entities Ensure compliance with State and Federal privacy and security regulations Coordinate the interagency data system with other data sharing initiatives in the state Scope and Responsibility Ensuring continued commitment of resources Providing vision and direction for the Data Technical Team Identifying appropriate policy questions that can be addressed by the ECIDS system Confidentiality and security of all educational and health records Determine authorized users Unique identifiers creation Data storage Memoranda of Understanding review State and federal privacy and security regulation compliance Coordinate data collection efforts Data requests Conflict resolution Membership One member per participating agency/organization is included in the Data Governance Committee; the members are chosen based on the internal roles and responsibilities at their respective organizations. Data Governance Committee members should have a thorough understanding of the policies and programs represented by the data in their agency or organization. The Data Technical Team Facilitator or designee will attend the Data Governance Committee meetings to provide assistance in the understanding of recommendation papers and to bring requests back to the Technical Team but is not a member. Other participants will be invited based on a need for expertise. Data Governance Committee Members Name Title Organization Leighann Lenti Deputy Secretary PED Marc Kolman Deputy Director DOH Steve Hendrix Early Childhood Services Division Director CYFD 7
Member Expectations Data Governance Committee member expectations include: Attending and participating in scheduled Data Governance Committee meetings in person or by telephone; or send a designated representative Ensuring that appropriate resources (human and fiscal) from their agency or organization are allocated to support the work Ensuring that a true statewide focus is maintained Advocating for the ECIDS system to key stakeholders, including legislative representatives Reporting to the Committee on agency data issues, new data regulations, and new policies affecting data provided to the ECIDS Communicating with their agency regarding activities and decisions of the Committee Promoting and modeling appropriate uses of data to inform program and policy decision making Regularly evaluating data quality and enforcing data quality standards Bringing critical issues to the Data Governance Committee and proposing resolutions Identifying new data that need to be included in the ECIDS, including the purpose, source, definitions, and business rules Maintaining awareness of and compliance with all relevant state and federal privacy and security laws Decision-making Process The decision making process is by consensus. When that cannot be reached, majority vote will rule. Virtual voting will be permitted though web ex or conference calls. The results of votes are documented in meeting minutes. 8
DATA TECHNICAL TEAM Mission The Data Technical Team members from the participating state agencies and entities implement the policies and procedures at the operational level in their respective programs. They are responsible for reviewing requests from the Data Governance Committee and making recommendations about the technical solutions that would address those needs. They are also responsible for ensuring the technical feasibility of desired functionality. Guiding Principles Guiding Principles of the Data Technical Team include: Ethics and security are considered in every decision the group makes Decisions are made to provide maximum benefit to the Early Childhood community as a whole Members have the responsibility to determine the resources necessary from their respective agencies/organizations Members will maintain a statewide perspective rather than an individual agency view Goals and Objectives Data Technical Team goals and objectives include: Improve data quality Ensure the data necessary and appropriate to support the ECIDS purpose and goals is available and timely Ensure comprehensive and accurate metadata is documented for all data within the ECIDS Improve understanding of their agency s data among the ECIDS data governance groups Increase use of ECIDS data to make program and policy decisions Scope and Responsibility Scope and responsibilities for the Data Technical Team include: Identify systems of record for all ECIDS data Develop, maintain, and document ECIDS data definitions and other necessary metadata Provide the Data Governance Committee with recommendations (e.g., on data security, infrastructure, metadata, database maintenance, etc.) Implement decisions made by the Data Governance Committee Track changes in federal and state regulations involving data element definitions and translate the impact of these changes for the ECIDS data system 9
Ensure privacy, confidentiality, and security of data, as required by the state and federal privacy laws, such as the Family Educational Rights and Privacy Act (FERPA) and Health Insurance Portability and Accountability Act (HIPAA) Membership At least one member per agency/contributing data system is assigned to the Data Technical Team by the Data Governance Committee; the members are chosen based on the internal roles and responsibilities at their respective organizations. Data Technical Team members should have a thorough understanding of the data collected by their agency or organization, including definitions and intended purpose(s) and their system capabilities. Other participants will be invited based on a need for expertise. Data Technical Team members include roles such as business analysts, applications developers, and database administrators. Data Technical Team Name Role Organization Albert Ericson Program Data Manager DOH (FIT KIDS) Carlos Valdez Applications Manager WELS (FOCUS Vendor) Chris Wenker GIS Epidemiologist DOH (Geocoding) Colin Mitchell Applications Developer UNM (Home Visiting Vendor) Erica Grong Analyst/Programmer UNM (PreK Vendor) James Minkler Applications Developer WELS (FOCUS Vendor) Jennifer Perret Applications Developer PED (STARS) Leroy Goats Strategic Project Director UNM (Home Visiting, FOCUS, and PreK Vendor) Max Cordova Data Analyst CYFD (Data) Patricia Ryan Business Analyst CYFD (FACTS) Raymond Vigil Data Manager CYFD (Data) Subha Arulselvam Applications Developer CYFD (EPICS) Suresh Penumatsa Applications Developer CYFD (EPICS) Susan Coates Database Administrator PED (STARS) Vicki Gallegos Applications Manager CYFD (EPICS) Ad-hoc Subgroups The Data Technical Team may create temporary, ad-hoc subgroups to address specific issues which are usually led by the Data Technical Team Facilitator. Depending on the issue, these subgroups may be comprised of Data Technical Team members or additional Subject Matter Experts (SME) from any of the participating organizations. The subgroup s recommendation or resolution is brought to the Data Technical Team for review and approval. 10
Member Expectations Data Technical Team member expectations include: Provide the most appropriate data from their agency source systems to support the accurate and effective implementation of the ECIDS system Regularly evaluate the quality of their source data going into the ECIDS Contribute their expertise in the content, context and availability of their agency/organization s data Serve as a liaison between their organization and the ECIDS Bring back any data quality issues to member agency/organization Communicate to the Technical Team any source data system changes and their potential impact upon the ECIDS data system Communicate to the member agency/organization any ECIDS data system changes and their potential impact on the source system Attend Technical Team sessions in person or by telephone, or send a designated representative Identify and engage organization s SMEs as needed Team facilitator is responsible to bring issues and recommendations to the Data Governance Committee for review and resolution Recommendation-making Process The recommendation making process is consensus based. When that cannot be reached, majority vote will rule. Virtual voting will be permitted though web ex or conference calls. The outcome of a vote for a preferred option and the discussions surrounding the analysis of different options is documented in a recommendation paper. In order to preserve an environment encouraging the free discussion and contribution of each member, the individuals responsible for raising concerns or providing suggestions will not be individually identified but the concerns and suggestions will be included in the paper. The draft recommendation paper is sent out for the entire group to review and then input is taken on amendments to the paper. When the group is satisfied with the paper as determined by a second vote during a Data Technical Team meeting, the approved paper is forwarded to the Data Governance Committee for review. 11
APPENDICES Important Terms Data - the electronic representation of discrete facts. Data collection the process of gathering and measuring information on variables of interest in an established, systematic fashion. Data Dictionary - a repository that contains comprehensive information about Departmental Data. Data element a unit of data for which the definition, identification, representation, and permissible values are specified by means of a set of attributes. Data Managers - Staff that have operational-level responsibility for data capture, data maintenance, and data dissemination. Data request a standard public request for information (IPRA), a Freedom of Access Act (FOAA) or Freedom of Information Act (FOIA) request, or a request that is scheduled, recurring, or self-service. Data Users - full-time and appropriately designated part-time employees and/or contract personnel of the state who access data in performance of their assigned duties. Departmental Data - data that is acquired or maintained by an individual agency s employees in performance of official administrative duties. Data Governance Team - the committee that establishes overall guidelines for the management of and access to the Interagency Data. Shared data - a subset of Departmental Data that is made available to the interagency data set. System of Record an information storage system that is the authoritative data source for a given data element or piece of information. 12
Revision History Name Date Reasons for Change Version Jennifer Perret 9/29/14 Initial Draft 0.1 Jennifer Perret 10/9/14 Revised based on leadership redesign of 0.2 governance Jennifer Perret 10/16/14 Revised based on Technical Team 0.3 feedback Jennifer Perret 10/23/14 Initial Release 1.0 13