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Early Childhood Data Governance: Overview and Implementation

September 2013

Missy Cochenour and Jeff SellersDaSy Center TA Specialists

Colleen MurphyUtah Parent Support Program Manager

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Introductions

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• 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.

Session Objectives

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• Data Governance Overviewo Definition and purposeo Intended outcomes and benefitso Structure and representationo Data Governance Policy

• Data Governance in Actiono Processes established and managedo Types of decisions made

• Data Governance Structure and Processeso Roles and responsibilitieso Data Governance Manual

• Next Steps and Wrap Upo 6 month plan for implementation

Presentation Overview

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Data Governance Overview

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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

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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.

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Central Principles for ECData 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

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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

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Data ManagementCommittee

Data Stewards

Information Technology

EC Agency and Program Executive Leadership

EC Agencies, Program(s), IT, Providers

EC Program staff

Responsible for infra-structure that collects,

stores & reports data

DPC

DMC

EC Roles & Groups

Esca

lation

Implem

entation

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Purpose• Codifies leadership’s

o Acknowledgement that data are a critical resource, and o 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

Data Governance Policy

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Data Governance Structure and

Processes

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Data ManagementCommittee

Data Stewards

Information Technology

EC Agency and Program Executive Leadership

EC Agencies, Program(s), IT, Providers

EC Program staff

Responsible for infra-structure that collects,

stores & reports data

DPC

DMC

EC Roles & Groups

Esca

lation

Implem

entation

DPC

Data Policy Committee

Coordinator

Data Stewards

DMC

Who?• Executive leaders responsible for

each program/agency contributing data to the EC Data System

• Chief Information Officer (if applicable)• Data Governance Coordinator

Coordinator

Data Stewards

DMC

• 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

What? DPC

Data Policy Committee

Coordinator

Data StewardsData Management Committee

DMC

DPCWho?• Data Governance Coordinator (Chair)• Data managers representing all

agencies and programs that collect data

• IT representative(s)• Public Information Officer (if applicable)

Coordinator

Data Stewards

DPCWhat?

DMC

Data Management Committee

• 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

Data Policy Committee

Data Management Committee

Data Governance Coordinator

Executive Leadership

Data Stewards

Data Stewards

DMC

Coordinator

DPC

Coordinator

Who?• 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

Data Stewards

DMC

Coordinator

DPCWhat?• 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

Coordinator

Data Stewards

Coordinator

DMC

DPCWho?• Program area staff who are

knowledgeable about:1. the program’s policies and 2. the data required/needed about

that program area• At least one steward per agency

and/or program area

Data Stewards

Coordinator

DMC

DPCWhat?• 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

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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?

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Flow of decision making among DG Groups

ECIDS generates analyses in response to key questions

Program and agency leadership use analyses to inform decision making

As a group discuss the following questions:

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Table Talk- Discussion 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?

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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

Data Governance Manual

27SLDS Webinar 11-29-12

Utah Example

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.

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Next Steps and Wrap Up

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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

Initial Steps to Establish EC Data Governance

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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