2012 SLDS P-20W Best Practice Conference 1 R ESEARCHER A CCESS TO THE SLDS Monday, October 29, 2012 Kathy Gosa, Kansas Department of Education Bethann Canada, Virginia Department of Education

2012 SLDS P-20W Best Practice Conference Overview: Supporting Data Access for Researchers Kansas Virginia Questions & Answers O VERVIEW 2

2012 SLDS P-20W Best Practice Conference Recommends a set of “core” practices, operations, and templates that can be adapted and adopted by SEAs Focuses recommendations on o Managing the flow of data requests o Establishing response priorities o Monitoring appropriate use o Protecting privacy o Ensuring that research is beneficial to the agency as well as the research community Collaboration o National Center for Education Statistics (NCES) o National Center for Education n Evaluation & Regional Assistance (NCEE) F ORUM G UIDE T O S UPPORTING D ATA A CCESS FOR R ESEARCHERS : A N SEA P ERSPECTIVE 3

2012 SLDS P-20W Best Practice Conference Data are an integral component of our education system Most SEAs view responding to requests for data as a major responsibility to their stakeholders and a wise investment in education Partnerships with researchers can lead to numerous tangible benefits to education agencies, such as: o Encouraging research projects that reflect an education agency’s information needs and priorities o Supporting data-driven decision-making by educators and policymakers o Providing an SEA with access to additional research, statistical, and program expertise o Building the research skills of SEA staff who will work with members of the research community while reviewing and servicing data requests D ATA P ARTNERSHIPS 4

2012 SLDS P-20W Best Practice Conference Data governance Data sharing infrastructure Priorities and goals of the agency Recognize the numerous dimensions of a research proposal o Which data are being requested and for what purpose? o Are requested data appropriate to address the research question(s)? o Which data are actually available from the agency? o Which data can be shared? o Which data need to be masked, de-identified, or otherwise altered to protect individual privacy? F OUNDATIONS FOR D ATA -S HARING 5

2012 SLDS P-20W Best Practice Conference Supplying data to the research community comes at a cost to the SEA o Responding to the growing volume of data requests can become a full-time job for one or more staff members o There are also practical concerns about sharing education data Confidentiality and security issues Data ownership conflicts Concern regarding the potential for misusing or misinterpreting data Resource allocation o Staff time required to establish an infrastructure, implement core data sharing practices, and manage and monitor requests can create a significant resource burden for an SEA Data limitations o Data collected by SEAs are intended for specific purposes and may not necessarily meet the precise needs of research projects. C HALLENGES TO S HARING D ATA 6

2012 SLDS P-20W Best Practice Conference K ANSAS 7

2012 SLDS P-20W Best Practice Conference Data Request / Access Process Requests are submitted online Overseen by Data Request Review Board (DRRB) o Reports to Data Governance Board o DRRB is 5 member Board representing agency Divisions o Meets monthly in person; ad hoc virtually Review status of routine requests Approval of denials, charges, and non-routine requests All requests for PII must be presented to DRRB o Mission … to implement processes for the provision of accurate, timely data and information to our internal and external customers while protecting personally identifiable student information and other confidential information. o Provides consistent treatment of data requests o Considers, prioritizes and assigns requests for data K ANSAS 8

2012 SLDS P-20W Best Practice Conference Data Request / Access Process Defined Roles o Data Request Review Board o Request Manager o Data Steward o General Counsel o Requester o Customer o Agency Staff K ANSAS 10

2012 SLDS P-20W Best Practice Conference Data Request / Access Process Decisions o Routine or requires DRRB action? Data Availability? Do we have it? Is it publically available? KORA? Restricted Data? Charge? Reformatting Requires significant staff time Alignment with State Research Agenda / BOE Goals? K ANSAS 11

2012 SLDS P-20W Best Practice Conference Data Request / Access Process Decisions (continued) o Routine or requires DRRB action? o Requests handled as Routine are summarized and reviewed by DRRB monthly o DRRB must approve Requests for which fees are charged Denials Requests involving PII / Restricted Data PIA is assigned Requester is invited to attend/defend K ANSAS 12

2012 SLDS P-20W Best Practice Conference Streamlining the Process with Researchers Why? o Research aligns with state research agenda o More efficient for us! How? o Training K ANSAS 13 Module 1: All Data RequestsModule 2: Restricted Use Data Requests 1.KSDE’s Data Request Process 2.KSDE Data Collection Overview 3.Public Data Sources Website Navigation 4.Metadata 5.Ethical Use of Education Data 1.KSDE’s Data Access & Use Policy for Personally-Identifiable Student Information 2.Data Reporting Practices 3.Best Practices for the Storage & Destruction of Data based upon KSDE’s PII Agreement

2012 SLDS P-20W Best Practice Conference Streamlining the Process with Researchers How? (continued) o Training K ANSAS 14 Videos Exercises (includes opt out)

2012 SLDS P-20W Best Practice Conference Streamlining the Process with Researchers How? (continued) o Training o Primary Investigator Advocate (PIA) o Assigned when “supported” research request is submitted o Assists the researcher in navigating our process o Provides summary to DRRB o Templates/Agreements/Forms o FERPA Agreement template o Data destruction template K ANSAS 15

2012 SLDS P-20W Best Practice Conference Critical Success Factors Automated tracking o Essential for FERPA Recordation o Greatly enhances efficiency o Informs priorities for public reporting K ANSAS 16

2012 SLDS P-20W Best Practice Conference Critical Success Factors (continued) Automated tracking Centralized request process with defined roles Process for routine requests and for exceptions Process for prioritization and denial Miscellaneous Request History Report Follow-up is a challenge! K ANSAS 17

2012 SLDS P-20W Best Practice Conference Virginia 18

2012 SLDS P-20W Best Practice Conference Data Access Policy for non-sensitive data Non-sensitive data is published on the web with cell suppression Check out our data for researchers page _data/index.shtml “Service Request Tracking System” Ad Hoc/FOIA requests are logged and tracked All requests must be approved by a director V IRGINIA 19

2012 SLDS P-20W Best Practice Conference Data Access Policy for PII A contract must nearly always be in place A Restricted Use Data Agreement (RUDA) must be in place – Specifies the data, data protection plan, data destruction plan – Each individual accessing must sign a non-disclosure agreement The RUDA must have 3 internal reviewers V IRGINIA 20

2012 SLDS P-20W Best Practice Conference The federated model State law does not allow us to house multi-agency data in a single data store The data must be de-identified, merged by a 3 rd party, then de- identified again (double de-identification) The participating agencies (Data Governance Council)had to agree on – A research agenda – The approvals needed for researchers to request data Data requests are made by the researcher through a portal Microsoft Dynamics CRM manages the workflow behind the scenes Research purpose must “fit” the research agenda All agencies whose data is being requested must approve V IRGINIA 21

2012 SLDS P-20W Best Practice Conference The initial research agenda How can Virginia improve high school graduation rates while increasing students' preparation for college and careers? How can Virginia improve the preparation, recruitment, and retention of Virginia's educational personnel, including their meaningful and ongoing professional development, especially in teacher shortage areas and in hard-to-staff schools? How can Virginia improve performance of the public workforce system? By what means can Virginia's public workforce development system meet the needs of job seekers/workers and employers? V IRGINIA 22

2012 SLDS P-20W Best Practice Conference The current participating agencies Department of Education State Council on Higher Education Virginia Community College System (Workforce) Virginia Employment Commission V IRGINIA 23

2012 SLDS P-20W Best Practice Conference V IRGINIA 24 Process Steps

2012 SLDS P-20W Best Practice Conference Contact information: Bethann Canada, Kathy Gosa, Keith Brown, Jeff Sellers, For more information on researcher access to the SLDS: Data Use Issue Brief 2: Forming Research Partnerships with State and Local Education Agencies: Brief-2_Research-Partnerships.pdfhttp://nces.ed.gov/programs/slds/pdf/Data-Use-Issue- Brief-2_Research-Partnerships.pdf Webinar: Using SLDS Data ⎼ Working with Researchers: Forum Publications: Forum Guide to Supporting Data Access for Researchers: C ONTACTS & A DDITIONAL R ESOURCES 26