1. Privacy and Security in the VLDS

2. 2 Commonwealth Security Benefits (Intended) Confidence in the integrity of the data and the systems processes Assistance in compliance with laws and regulation involving confidentiality A secure environment in which to perform business activities of the Commonwealth Identification and protection of key business functions and services in the event of disaster Monitoring for intrusions and Network "attacks" on Commonwealth systems

3. 3 SEC 501-01: The Commonwealth’s IS Security Standard Chapters Risk Management IT Contingency Planning Information Systems Security Logical Access Control Data Protection Facilities Security Personnel Security Threat Management IT Asset Management

4. 4 Government Data Collection and Dissemination Practices Act (selected items) § 2.2-3803. Administration of systems including personal information; Internet privacy policy; exceptions. A. Any agency maintaining an information system that includes personal information shall: –1. Collect, maintain, use, and disseminate only that personal information permitted or required by law to be so collected, maintained, used, or disseminated, or necessary to accomplish a proper purpose of the agency; –5. Make no dissemination to another system without (i) specifying requirements for security and usage including limitations on access thereto, and (ii) receiving reasonable assurances that those requirements and limitations will be observed. –6. Maintain a list of all persons or organizations having regular access to personal information in the information system; –7. Maintain for a period of three years or until such time as the personal information is purged, whichever is shorter, a complete and accurate record, including identity and purpose, of every access to any personal information in a system, including the identity of any persons or organizations not having regular access authority but excluding access by the personnel of the agency wherein data is put to service for the purpose for which it is obtained; –8. Take affirmative action to establish rules of conduct and inform each person involved in the design, development, operation, or maintenance of the system, or the collection or use of any personal information contained therein, about all the requirements of this chapter, the rules and procedures, including penalties for noncompliance, of the agency designed to assure compliance with such requirements;

5. 5 Government Data Collection and Dissemination Practices Act § 2.2-3805. Dissemination of reports –Any agency maintaining an information system that disseminates statistical reports or research findings based on personal information drawn from its system, or from other systems shall: 1. Make available to any data subject or group, without revealing trade secrets, methodology and materials necessary to validate statistical analysis, and 2. Make no materials available for independent analysis without guarantees that no personal information will be used in any way that might prejudice judgments about any data subject. § 2.2-3806. Rights of data subjects. –2. Give notice to a data subject of the possible dissemination of part or all of this information to another agency, nongovernmental organization or system not having regular access authority, and indicate the use for which it is intended, and the specific consequences for the individual, which are known to the agency, of providing or not providing the information.

6. 6 Family Educational Rights and Privacy Act (2008 Amendments to Regulations) State Consolidated Education Data Systems –…the Department has been working closely with SEAs to establish or upgrade State data systems in order to manage information generated by assessments, and use the data to improve student academic achievement and close achievement gaps. Changes to § 99.35(b) make it possible for SEAs and other State educational authorities to implement K-16 accountability systems by redisclosing personally identifiable student information on behalf of LEAs and postsecondary institutions provided they have legal authority to audit or evaluate one another's education programs. –Additionally, under FERPA, State educational authorities, such as SEAs and higher education commissions, may disclose education records in personally identifiable form, without consent, to contractors, consultants, and other parties to whom they have outsourced organizational services or functions, including evaluation of Federal or State supported education programs under § 99.35, provided that the State educational authority has direct control over that outside party.

7. 7 Relevant SCHEV Language § 23-9.6:1. Duties of Council generally.23-9.6:1 –9. Develop a uniform, comprehensive data information system designed to gather all information necessary to the performance of the Council's duties. The system shall include information on admissions, enrollments, self-identified students with documented disabilities, personnel, programs, financing, space inventory, facilities and such other areas as the Council deems appropriate. When consistent with the Government Data Collection and Dissemination Practices Act, the Virginia Unemployment Compensation Act, and applicable federal law, the Council, acting solely or in partnership with the Virginia Department of Education or the Virginia Employment Commission, may contract with private entities to create de-identified student records for the purpose of assessing the performance of institutions and specific programs relative to the workforce needs of the Commonwealth. For the purposes of this section, "de-identified student records" means records in which all personally identifiable information has been removed.

8. 8 Component Overview Data

9. 9 Data Request DataData DataData

10. 10 Security Overview Aggregated Data (Suppressed) Aggregated Data (Non- Suppressed) Unit Record Level Data Account Management Portal Components Anonymous Named Schools Researchers Agency Employees System Admin DataData DataData

11. 11 Security DataData DataData DataData DataData Authentication Authorization Database Table Column Database Table Column Role Based Permission Role Based Permission Viewing Editing Viewing Editing Suppressed Data Non-Suppressed Data Suppressed Data Non-Suppressed Data Viewing

12. 12 Reporting: Record Level Linked Data DataData DataData Report Creation 1,2 (Ad Hoc interface) Lexicon Shell Database 1,2 Ad Hoc Metadata Report Creation 1,2 (Ad Hoc interface) Query Results 5,6 DOE SCHEV VEC Approval 1.1. Instantiates the information contained in the Lexicon. 2.2. Contains dummy data. 1.1. Instantiates the information contained in the Lexicon. 2.2. Contains dummy data. Source Data 1.Report link will display report with dummy data. 2.Report will have a button that will allow submission of report to workflow. 3.Distributed query engine generate queries to each of the source data systems and join the result sets. 4.Engine will interact with Lexicon. 5.Options for report display include a Logi Analysis Grid (depending on number of records returned.) or a link to download a file. 6.Access may be provided through Ad Hoc report portal. 1.Report link will display report with dummy data. 2.Report will have a button that will allow submission of report to workflow. 3.Distributed query engine generate queries to each of the source data systems and join the result sets. 4.Engine will interact with Lexicon. 5.Options for report display include a Logi Analysis Grid (depending on number of records returned.) or a link to download a file. 6.Access may be provided through Ad Hoc report portal. Results Shaker 3,4

13. Lexicon – Shaker Process DS 1 DS 2 DS 3 Lexicon Linking Control Data Access Control User Interface/ Portal/ LogiXML Sub-Query Optimization Hashed ID Matrix Authorized Query Query Results Common IDs [deterministic] or Common Elements with appropriate Transforms, Matching Algorithms and Thresholds [probabilistic] A linking engine process will update the Lexicon periodically to allow query building on known available matched data fields. No data is used in this process. Queries are built on the relationships between data fields in the Lexicon. Workflow Manager Sample Data Shell Database Query Building Process (Pre-Authorization) ?

14. 14 Matched Hash ID Values The SLDS server will match records from different agencies using the Hash ID After records are matched, the SLDS server will delete the Hash ID values and replace them with randomly generated unique IDs. September 10, 2015 Possible Connection using Web Service – creates Web Services Data Source (Oracle) - enables application and data integration by turning external web service into an SQL data source, making external Web services appear as regular SQL tables. This table function represents the output of calling external web services and can be used in an SQL query. Possible Connection using Homogeneous link between Oracle DBs – establish synonyms for global names of remote objects in the distributed system so that the Shaker can access them with the same syntax as local objects Sub-query processing priority will be determined for each query to minimize unnecessary data transfer (e.g. not downloading unmatched records unless specifically requested) to optimize join performance – see Query Sub-Process Optimization Possible Connection using Heterogeneous link using available Transparent Gateway or Generic ODBC/OLE Merging UR Data on Hashed-IDs DataData DataData Add’l Data Sources

15. 15 Data Architecture DS 1 Lexicon DS 1 SPs 3 Aggregate Linked Data 1.Contains DBs for Shaker, Ad Hoc metadata, logging, auditing, etc. 2.Database for Shaker process and that temporarily stores linked record level data. The temporary tables will be dropped after a set period of time. 3.For canned reports, Stored Procedures will be used for data querying and suppression. 1.Contains DBs for Shaker, Ad Hoc metadata, logging, auditing, etc. 2.Database for Shaker process and that temporarily stores linked record level data. The temporary tables will be dropped after a set period of time. 3.For canned reports, Stored Procedures will be used for data querying and suppression. Shaker/ Deidentified Record Level Data 2 VITA (CESC) Aggregate Linked Reports Record Level Query / Reports Lexicon UI / Admin ETL 1 Metadata and Security 1 Shell DB Workflow DataData DataData DS 3 DS 2 SLDS Portal

16. 16 Security Authentication –COV AUTH Authorization –Role Based Anonymous User Named User –System Administrator –Agency Employee –Researcher –Permissions Workflow Reports (Suppressed and Non-Suppressed) Query Building Tool Lexicon Data elements User Account Management Data security enforced by/at …. –Portal –Lexicon Viewing Editing –Reports Suppressed Data Non-Suppressed Data –Workflow –Data Database Table Column DataData DataData

17. Questions?