Early Childhood Data Governance: Overview and Implementation September 2013 Missy Cochenour and Jeff Sellers DaSy Center TA Specialists Colleen Murphy Utah Parent Support Program Manager Missy

Introductions Missy & Corey to do the SST overview

Session Objectives Provide the audience with information about EC data governance structures, roles, and processes Prepare Part C/619 Data Managers and coordinators to to go back to their agencies and designate the appropriate staff as members of the data governance team. Missy

Presentation Overview Data Governance Overview Definition and purpose Intended outcomes and benefits Structure and representation Data Governance Policy Data Governance in Action Processes established and managed Types of decisions made Data Governance Structure and Processes Roles and responsibilities Data Governance Manual Next Steps and Wrap Up 6 month plan for implementation Corey

Data Governance Overview Corey

ELC/EC Governance vs. Data Governance ELC /EC Governance Oversees entire scope of effort - overarching goals and how they will be achieved Determines focus/priorities of data use Involves leadership and program area staff from participating agencies and programs Data Governance Oversees how information assets can be used to help achieve the ELC goals Takes strategic direction from broader ELC governance Involves leadership, program area staff, and IT staff from participating agencies and programs Corey

What is EC Data Governance? Data governance is both an organizational process and a structure. It establishes responsibility for data, organizing program area staff to collaboratively and continuously improve data quality through the systematic creation and enforcement of policies, roles, responsibilities, and procedures. DG can be structured to support one sector (e.g., EC) or span across sectors (e.g., P-20W) – but there are key differences between the two. Corey

Central Principles for EC Data Governance Interagency/program approach to managing information, from collection through use All programs and/or agencies contributing data to the effort are represented Program area ownership of information – it’s NOT an IT initiative Clear, distinct roles for and relationships among program areas, IT, and leadership Common definitions and business rules across programs and/or agencies Inter-agency/program data governance coordinator Corey

Intended Outcomes and Benefits A common vision for EC data use; defined key policy and program questions aligned with that vision Improved understanding of EC data collected, reported, and used by participating agencies and programs Better coordination among state agencies and programs administering early childhood services Improved communication, collaboration, and relationships between EC program/agency staff and IT Increased consistency and reduced redundancy of data collected across agencies and programs More effective data use in support of policy and program goals Corey

Information Technology EC Roles & Groups EC Agency and Program Executive Leadership Data Policy Committee Data Management Committee Data Stewards Information Technology DPC EC Agencies, Program(s), IT, Providers Escalation Implementation DMC EC Program staff Missy Responsible for infra-structure that collects, stores & reports data

Data Governance Policy Purpose Codifies leadership’s Acknowledgement that data are a critical resource, and Commitment that the data will be managed and used as such in support of the EC agencies’ and programs’ missions Provides strategic direction by creating a framework for decision making about and accountability for how data will be managed across EC Assigns stewardship responsibilities for participating agencies’ data included in the EC effort Empowers the data management committee to establish more detailed interagency standards and processes Contents Policy Statement Scope Definitions of Key Terms Governance Roles and Responsibilities Processes Missy

Data Governance Structure and Processes Corey

Information Technology EC Roles & Groups EC Agency and Program Executive Leadership Data Policy Committee Data Management Committee Data Stewards Information Technology DPC EC Agencies, Program(s), IT, Providers Escalation Implementation DMC EC Program staff Corey Responsible for infra-structure that collects, stores & reports data

Who? Data Policy Committee DPC Executive leaders responsible for each program/agency contributing data to the EC Data System Chief Information Officer (if applicable) Data Governance Coordinator DMC Coordinator Speaker: Corey Data governance policy committee Data management committee membership Data governance lead/coordinator Data stewards Data Policy Committee Data Stewards

What? Data Policy Committee Establish Data Governance Policy DPC Establish Data Governance Policy Establish Data Management Committee (DMC) Resolve issues escalated by the DMC Approve data policies & major data-related decisions proposed by the DMC Hold program/agency areas accountable for adhering to the data governance policy DMC Coordinator Speaker: Corey Data governance policy committee Data management committee membership Data governance lead/coordinator Data stewards Data Policy Committee Data Stewards

Data Management Committee Who? DPC Data Governance Coordinator (Chair) Data managers representing all agencies and programs that collect data IT representative(s) Public Information Officer (if applicable) DMC Coordinator Speaker: Missy IT- build out of data system; it may be beyond data system and be program IT folks as well PIO- usually included so that they can be ahead of the communications. Data Management Committee Data Stewards

Data Management Committee What? DPC Establish and document inter- agency/program standards, processes, and procedures for data collections, reporting, and release Identify, prioritize, and resolve critical data issues affecting the quality, availability, or use of data DMC Coordinator Speaker: Missy Critical data issue-group here. Data Management Committee Data Stewards

Data Management Committee Executive Leadership Data Policy Committee Data Governance Coordinator Data Stewards Speaker: Corey Data governance policy committee Data management committee membership Data governance lead/coordinator Data stewards Data Management Committee

Who? Early Childhood state-wide perspective DPC Early Childhood state-wide perspective Understanding of how data use should support and inform early childhood policies and programs Understanding of IT concepts and systems, but not located within IT DMC Coordinator Speaker: Corey Data governance policy committee Data management committee membership Data governance lead/coordinator Data stewards Coordinator Data Stewards

What? Chair the DMC Serve as liaison between DPC & DMC Ensure all data governance participants are fulfilling their responsibilities Convene working groups of data stewards to address critical data issues spanning multiple program areas DMC Coordinator Speaker: Corey Third bullet: tangible example- as building out data system there will be things that are specific to a subset of people. The recommendation is the coordinator to identify the issues that need additional discussion and identify who needs to come back together to resolve the issue. Only bring in people when they are relevant to the conversation. Coordinator Data Stewards

Who? Program area staff who are knowledgeable about: DPC Program area staff who are knowledgeable about: the program’s policies and the data required/needed about that program area At least one steward per agency and/or program area DMC Coordinator Speaker: Missy Goal: make sure all programs/agencies are represented. Data Stewards

What? DPC Determine definitions, collection frequency, and reporting requirements to meet internal and external data users’ needs Resolve critical data issues w/in program area Communicate to DMC policies and decisions made to programs DMC Coordinator Speaker: Missy What is a critical data issue? Defined as-Something that has prevented the timely/quality reporting of information/integrating the data and will continue to reoccur. (“the pain points”)- The group will need to assign who needs to resolve and then revisit these often to determine the progress made (have a plan). Communicate (bullet 4) responsible letting others know what decisions were made Data Stewards

Establishing EC DG Groups Questions Each Group Should Answer and Document: What is the mission of this group? What are the goals and objectives of this group? What is the membership of this group? What are the expectations of the member? What is the decision making process for this group? What is the role of this group relative to the other data governance groups? Missy

Flow of decision making among DG Groups Executive Board identifies EC state policies and priorities (i.e., what is the state trying to achieve) Data Management Committee identifies key questions in support of policies Data Stewards Workgroup determines what data and business rules are necessary to answer the key questions ECIDS generates analyses in response to key questions Program and agency leadership use analyses to inform decision making Corey

Table Talk- Discussion Questions As a group discuss the following questions: Discuss initial concerns and opportunities of ECIDS data governance. What critical agency topics (e.g. HIPAA, capacity, agency regulations) do we need to consider while creating a sustainable Data Governance structure?   Missy

Data Governance Manual Purpose Details the structure, roles, responsibilities, membership, and processes that will be established and to which participants will be held accountable Operationalizes the Early Childhood Data Governance Policy Contents Data governance model For each data governance group, details: Mission Goals and objectives Scope and responsibility Membership Decision making process Appendixes with data governance processes Corey

Utah Example SLDS Webinar 11-29-12

Data Research Committee Data Management Committee Data Policy Committee Data Research Committee Data Management Committee

Data Management Committee Define and recommend data elements to be included. Coordinate the submission of data. Ensure data quality and accuracy. Promote the use of data to make informed data policy decisions. Each participant shall appoint up to two representatives who have technical expertise in the early childhood data collected by their respective entity. Each participant shall have one unweighted vote, regardless of the number of representatives appointed by the participant.

Data Research Committee Review for approval all research requests for unidentifiable data. Develop pre-approved methods for data retrieval. Develop a process for timely review and approval of research data requests. Develop standard data reports intended for public distribution. Each participant may appoint two persons who have knowledge and expertise regarding the use of data from their entity for research purposes to sit on the Research Committee. Each participant shall have one unweighted vote, regardless of the number of representatives appointed by the participant. Each participant may veto the use of data submitted by it for use in any proposed research by following the procedures established by the Data Policy Committee. UDOH shall appoint up to two non-voting professional researchers who are not affiliated with UDOH or any participant and who are agreeable to the Research Committee to sit on the Research Committee.

Data Policy Committee Establish policies and procedures consistent with FERPA and other applicable federal and state privacy laws. Protect PII from unauthorized disclosure or use. Develop policies for data collection, management, and distribution. Develop standards and practices to govern. Develop breach response plans as may be required by federal or state law. Develop discipline policies for inappropriate use or publication of PII. Review for final approval recommendations of the Data Management Committee. Review for final approval and release of standard data reports intended for public use developed by the Data Research Committee; Develop conflict resolution procedures to resolve conflicts between participants. Oversee UDOH and participant compliance with this data sharing agreement. Each participant shall appoint up to two representatives who have the authority to approve data policies for their participating entity to sit on the ECCS Data Policy Committee. Each participant shall have one unweighted vote, regardless of the number of representatives appointed by the participant.

Next Steps and Wrap Up Missy

Initial Steps to Establish EC Data Governance Identify participating agencies/programs Determine governance structure (key groups and roles) Establish and determine how/when data policy committee will convene (e.g., agenda item on existing standing meeting) Draft and obtain DPC sign off on data governance policy Identify members of data management committee for each participating agency or program Identify other members of data management committee (e.g., IT representation) Identify data stewards/managers for each participating agency or program Identify data governance coordinator Missy Remind them that there are other steps but these are a few to get started These steps are also not in order.

State Support Team Contact Info: Missy Cochenour, (909) 214-4264, missy.cochenour@aemcorp.com Jeff Sellers, (850) 544-4191, jeff.sellers@aemcorp.com Colleen Murphy, (801) 883-4679, cmurphy@utah.gov