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Appendix C—Additional Resources


 

Chapter 1. Data Governance

Data Governance: Changing Culture, Breaking Down Silos, and Deciding Who is in Control

Data Quality Campaign (DQC 2008)

This issue brief discusses the benefits of data governance, conditions helpful in successfully establishing data governance, and more. It also includes case studies of three states’ experiences.

The Need for Data Governance

Education Information Management Advisory Consortium (EIMAC 2008)

Data governance is driven by the need for data quality. This three-page brief discusses the components of good data governance, including leadership, data quality management, controlled analysis and reporting, security and confidentiality, resource management, and data use and accessibility.

The Next Step: Using Longitudinal Data Systems to Improve Student Success

Data Quality Campaign (DQC 2009).

See page 10 for a section on data governance.

DataFlux Knowledge Center


This page contains a host of white papers and other resources related to data governance. See the Data Governance Maturity Model for a good summary of the issue.

NASCIO Enterprise Architecture and Governance Committee


The Enterprise Architecture program of the National Association of State Chief Information Officers (NASCIO) was developed to enable the mission of state and local government. This web page contains a number of helpful resources on data governance, including a three-part series of papers on the topic.

The Data Governance Institute


This website contains an extensive collection of resources on data governance, including basic information, case studies, frameworks, books, and more.

The Data Administration Newsletter


This newsletter publishes many useful articles on data governance.

Management of an Education Information System

ESP Solutions (2005).

This document describes how education agencies can organize resources for effective management of the information they acquire, store, process, and report.

Harnessing the Potential for Research of Existing Student Records Databases: An Action Agenda

National Center for Higher Education Management Systems (2005)

This brief resulted from a meeting of academic researchers responsible for several state student unit record systems. Pages 6–13 discuss issues related to data governance.


Chapter 2. Basic Steps to Establishing Data Governance

Implementing Data Governance as the Foundation of a LDS Presentation

Tennessee Department of Education (2008).

This presentation summarizes Tennessee’s approach to implementing data governance, including roles, helpful strategies, and lessons learned.

Role Descriptions and Responsibilities in the Realm of Data Governance: Managing Information Assets

Tennessee Department of Education (2008).

This document describes eight data management jobs and roles. It also includes a matrix of data governance activities, and the people/groups that need to be involved in each activity.

LDS Share

Data Management Committee Critical Data Issues Logs

Tennessee Department of Education (2007).

This is a template for tracking critical data issues, which may be tracked by a Data Governance Committee.

Policies and Procedures Review: Data Management

Tennessee Department of Education (2006).

This document from Tennessee establishes policy and procedures governing data management and quality for the Department of Education. Roles and responsibilities of the data governance structure are also outlined.


Chapter 3. Groups, Roles, and Responsibilities of Data Governance

Role Descriptions and Responsibilities in the Realm of Data Governance: Managing Information Assets

Tennessee Department of Education (2008).

This document describes eight data management jobs and roles. Also included is a matrix of data governance activities and the people/groups that need to be involved in each activity.

Data Governance Program, Version 2.2

Kansas State Department of Education (2008).

This document details Kansas’ approach to data governance. It includes an overview of the issue, and handbooks for the two major committees involved and for data stewards.

The DGI Data Governance Framework

Data Governance Institute.

This resource presents a framework to help organizations classify, organize, and communicate complex activities related to data-based decisionmaking.

Data Governance: Changing Culture, Breaking Down Silos, and Deciding Who is in Control

Data Quality Campaign (DQC 2008).

This issue brief discusses the benefits of data governance, conditions helpful in successfully establishing data governance, and more. It also includes case studies of three states’ experiences.

Governance Structure, LDS Project Team Organization, and Sustainability



In this presentation, several states report on the governance structures that have helped them succeed in implementing changes required in developing a longitudinal data system.

LDS Share

Effective Governance Models for Managing Data Systems

Tennessee Department of Education (2008).

This presentation details Tennessee’s strategies and recommendations for implementing data governance.

Data Managers Working Group Charter

Michigan Department of Education (2007).

This document outlines the key roles in Michigan’s Data Managers Working Group, which is comparable to the Data Governance Committee in this guide. Also included are the group’s mission and its members’ responsibilities.


Chapter 4-5. Data Quality

Forum Guide to Building a Culture of Quality Data: A School and District Resource

National Forum on Education Statistics (2004).

This guide was developed to help schools and school districts improve the quality of data they collect, and to provide processes for developing a “culture” of quality data by focusing on data entry—getting things right at the source. This guide shows how quality data can be achieved through the collaborative efforts of all staff.

Forum Curriculum for Improving Education Data: A Resource for Local Education Agencies

National Forum on Education Statistics (2007).

This curriculum supports efforts to improve the quality of education data by serving as training materials for K–12 school and district staff. It provides lesson plans, instructional handouts, and related resources; and presents concepts necessary to help schools develop a culture for improving data quality.

Texas Education Agency Data Standards



This web page presents up-to-date documentation on the Texas data standards and requirements. Section 1 includes a discussion of data-submission training.

Texas Data Validation Monitoring 2008–2009



This web page includes resources related to the Texas Education Agency’s data validation system, which analyzes data submitted by districts and charters and automatically identifies potential data anomalies in their reporting on leavers and dropouts, student assessments, and discipline.

Kansas Data Quality Certification Program

Kansas State Department of Education.

This website includes descriptions of the tracks for various roles (e.g., data entry personnel, administrators, etc.), many helpful resources, and more. Also see a presentation about the program, Yellow Brick by Yellow Brick: Using a Professional Development Program to Strengthen Data Quality in Kansas

Nebraska’s Data Validation Process

Beecham and Tagart (2008).

This presentation, and the supporting document, outlines Nebraska’s approach to data validation, which flags errors and presents data issues through reports on a versatile website. There, authorized staff members can review potential errors, make corrections, and approve the information.

The Process for Ensuring Data Quality

ESP Solutions (2009).

This two-part series includes best practices and principles to help education agencies achieve better data quality.

Process Illustration: Steps for Ensuring Data Quality

ESP Solutions (2004).

This illustration details key questions and steps involved in ensuring data quality.

The Data Quality Imperative, Data Quality Series—Part I

ESP Solutions (2007).

This is the first part of a series that merges foundations of data quality from the formal literature on information systems with practical lessons on ensuring data quality in the public education system.

The Data Quality Manual, Data Quality Series—Part II

ESP Solutions (2007).

This is the second part of a series on data quality. It focuses on practical lessons learned on ensuring data quality gained from real school experiences.

LDS Share

Policies and Procedures: Verification of Electronic Data Systems and Accompanying Letter

State of Tennessee Department of Education (2006).

This document establishes policies and procedures for governing data system verification of quality. The accompanying letter is also available.

Statistical Process Control

Maryland State Department of Education (2007).

This document describes Maryland’s statistical process control, a validation process added to the state’s education data collection system to help avoid errors published online for state and federal compliance reporting.


Chapter 6. Data Standards

NCES Handbooks Online

National Center for Education Statistics.

The NCES Data Handbooks provide guidance on consistency in data definitions and maintenance for education data, so that such data can be accurately aggregated and analyzed. The online database provides the nonfiscal handbooks in a searchable web tool and includes data elements for students, staff, and education institutions.

National Education Data Model



The National Education Data Model catalogs the data used in P–12 education and describes the relationships among those data. It is designed to be used as a reference tool to facilitate the identification, merging, and matching of data across different systems; to provide similar descriptions across local education agency (LEA) systems, across LEAs, and from LEAs to the state and federal government; and to specify the content and structure of logical and physical data models.

Common Education Data Standards Initiative



This initiative is a national, collaborative effort to develop voluntary, common data standards for a key subset of K–12 (e.g., demographics, program participation, course information) and to-postsecondary education transition variables. The initiative aims to identify a list of key K–12 and to-postsecondary transition variables; and agree on standard definitions, code sets, business rules, and technical specifications for these variables. Expansion into PK and the workforce will be considered in the future.

DQC Standards, Interoperability, and Portability Thought Leaders Meeting

Data Quality Campaign (DQC 2009).

This webpage includes a number of presentations from a 2009 policymakers meeting in Washington, DC, as well as resources related to data standards.

SIF Association Implementation Toolkit

Schools Interoperability Framework (SIF) Association.

This collection of documents is intended to help education institutions in the SIF implementation process. It includes planning questions (scope, desired automation, data needs, expected changes), RFP language, an implementation planning toolkit, and support resources.

Financial Accounting for Local and State School Systems: 2003 Edition

National Center for Education Statistics (2004).

This NCES handbook was designed to be used as the national standard for state education departments (SEA) reporting financial data, and for school districts preparing comprehensive annual financial reports (CAFR).

The Right Data to the Right People at the Right Time: How Interoperability Helps America’s Students Succeed

Data Quality Campaign (DQC 2007).

This paper reviews the needs for, benefits of, and concurrent efforts to establish interoperable education systems. It offers several key definitions, a case study section, and a list of interoperability examples from other industries.

Secondary School Course Classification System: School Codes for the Exchange of Data (SCED)

National Center for Education Statistics (2007).

This NCES handbook provides a taxonomy for assigning standard codes to secondary school courses in 22 major subject areas. It also includes a content description for each course, and instructions on how to use the taxonomy in coding courses.

Articulating the Case for Course Numbers

ESP Solutions (2006).

This booklet argues for the use of common course codes nationwide.

The Open Group



The Open Group is a consortium of public and private sector organizations that promote open standards and global interoperability in order to enable access to integrated information both within and between enterprises. The organization provides a SIF certification program for vendors.

Metadata and data dictionaries

Forum Guide to Metadata: The Meaning Behind Education Data

National Forum on Education Statistics (2009).

This guide empowers more effective use of data as information. To accomplish this, the publication explains what metadata are, why they are critical to sound education data systems, what components comprise a metadata system, what value metadata bring to data management and use, and how to implement and use a metadata system.

Minnesota Department of Education Data Dictionary

Minnesota Department of Education.

Minnesota has prepared and published its education data dictionary. This version has the same content and form as the state’s internal data dictionary, except that data elements that might be sensitive from a security point of view are not revealed.

South Carolina LDS Project: Data Dictionary–Data Model

South Carolina Department of Education (2006).

This document illustrates South Carolina’s longitudinal data system project’s data dictionary/data model

LDS Share

Strategic Approach For Developing the Longitudinal Data System Data Dictionary

Wisconsin Department of Public Instruction (2007).

This working document outlines the approach for developing a data dictionary for the Wisconsin Department of Public Instruction’s longitudinal data system.

Agency-Wide Data Dictionary Planning Project

Wisconsin Department of Public Instruction (2007).

This document details the planning and the implementation projects related to the Wisconsin Department of Public Instruction’s agency-wide data dictionary.


Chapter 7. Privacy and Confidentiality

Basic Concepts and Definitions for Privacy and Confidentiality in Student Education Records

National Center for Education Statistics (2010).

This technical brief discusses basic concepts and definitions that establish a common set of terms related to the protection of personally identifiable information, especially in education records in the Statewide Longitudinal Data Systems (SLDS). This Brief also outlines a privacy framework that is tied to Fair Information Practice Principles that have been promulgated in both the United States and international privacy work.

Statistical Methods for Protecting Personally Identifiable Information in Aggregate Reporting

National Center for Education Statistics (2010).

This technical brief examines what protecting student privacy means in a reporting context. To protect a student’s privacy, the student’s personally identifiable information must be protected from public release. When schools, districts, or states publish reports on students’ educational progress, they typically release aggregated data—data for groups of students—to prevent disclosure of information about an individual. However, even with aggregation, unintended disclosures of personally identifiable information may occur. Current reporting practices are described and each is accompanied by an example table that is used to consider whether the intended protections are successful.

Data Stewardship: Managing Personally Identifiable Information in Student Education Records

National Center for Education Statistics (2010).

This technical brief focuses on data stewardship, which involves each organization’s commitment to ensuring that privacy, confidentiality, security, and the appropriate use of data are respected when personally identifiable information is collected. Data stewardship involves all aspects of data collection, from planning, collection and maintenance to use and dissemination. The Brief also discusses internal control procedures that should be implemented to protect personally identifiable information, including the use of unique student identifiers and linking codes, workforce security, authorization for access, role based access to student record data, permitted uses, and the handling of data breaches. This Brief concludes with a discussion of accountability and auditing, including an overview of the types of audit activities that can be implemented to ensure that all stages of data stewardship have been successfully implemented.

Forum Guide to the Privacy of Student Information: A Resource for Schools

National Forum on Education Statistics (2006).

This guide helps school and local education agency staff to better understand and apply FERPA, a federal law that protects privacy interests of parents and students in education records. (Note: The Forum is currently developing a single revised guide that will replace all current privacy resources about schools, LEAs and SEAs.)

Forum Guide to Protecting the Privacy of Student Information: State and Local Education Agencies

National Forum on Education Statistics (2004).

This guide presents a general overview of privacy laws and professional practices that apply to information collected for, and maintained in, student records. The document also provides an overview of key principles and concepts governing student privacy; summarizes Federal privacy laws including recent changes; identifies issues concerning the release of information to both parents and external organizations; and suggests good data management practices for schools, districts, and state education agencies. (Note: The Forum is currently developing a single revised guide that will replace all current privacy resources about schools, LEAs and SEAs.)

Privacy Issues in Education Staff Records

National Forum on Education Statistics (2000).

This publication addresses key concepts in protecting and managing information on staff records. It does not provide legal guidelines but, rather, addresses the federal Freedom of Information and Privacy Acts, and offers principles of best practice.

Redefining Student Data Access Policy

Legislative Analyst’s Office (2008).

This brief proposes policy changes to the California legislature that would ease limitations on instructors’ and policymakers’ use of student data to improve instruction while still protecting student privacy.

Protecting Student Records and Facilitating Education Research: A Workshop Summary

National Research Council (2008).

To explore possibilities for data access and confidentiality in compliance with FERPA, the National Academies and the American Educational Research Association convened the Workshop on Protecting Student Records and Facilitating Education Research in April 2008. This document contains a wealth of information on a broad range of related subjects.

Confidentiality and Reliability Rules for Reporting Education Data

ESP Solutions (2008).

This extensive report fleshes out the confidentiality and reliability issues that states encounter when reporting education data. It also offers criteria for agencies to use when establishing the rules for, and selecting, a minimum number of students to report as subgroups in data sets; and performance reports such as adequate yearly progress (AYP). In particular, see pages 26–32 for a discussion on methods of manipulating data to protect confidentiality.

Family Educational Rights and Privacy Act (FERPA)

Family Policy and Compliance Office (FPCO)



This office of the U.S. Department of Education administers FERPA, and its website contains a host of resources on the law including current regulations, legislative history, and guidance on disclosures.

Final FERPA Regulations

U.S. Department of Education (2008).

These regulations were issued by the U.S. Department of Education and have been effective since January 2009. This revised interpretation of the law contains extensive discussions of public comments received about the previous version of the regulations, and all changes are noted.

FERPA Final Rule: Section-by-Section Analysis

Family Policy and Compliance Office (FPCO 2008).

This document highlights the changes in the U.S. Department of Education’s new interpretation of FERPA.

Forum Guide to the Privacy of Student Information: A Resource for Schools

National Forum on Education Statistics (2006).

This guide helps school and local education agency staff to better understand and apply FERPA, a federal law that protects privacy interests of parents and students in education records. (Note: The Forum is currently developing a single revised guide that will replace all current privacy resources about schools, LEAs and SEAs.)

Forum Guide to Protecting the Privacy of Student Information: State and Local Education Agencies

National Forum on Education Statistics (2004).

This guide presents a general overview of privacy laws and professional practices that apply to information collected for, and maintained in, student records. The document also provides an overview of key principles and concepts governing student privacy; summarizes Federal privacy laws including recent changes; identifies issues concerning the release of information to both parents and external organizations; and suggests good data management practices for schools, districts, and state education agencies. (Note: The Forum is currently developing a single revised guide that will replace all current privacy resources about schools, LEAs and SEAs.)

FERPA Resource Page

Data Quality Campaign.

This page contains a wealth of resources on FERPA, including policy briefs, legal analyses, state memoranda of agreement and understanding, and more.

FERPA Final Regulations and Analysis 2008 Resource Page

Data Quality Campaign (DQC).

This page contains several helpful resources on the 2008 FERPA amendments, including analysis; suggestions for further revisions; and FERPA Mythbusters, a document that addresses some misconceptions about the privacy law.

Maximizing the Power of Education Data While Ensuring Compliance with Federal Student Privacy Laws: A Guide for State Policymakers

Data Quality Campaign (DQC 2007).

This issue brief analyzes how the new roles of state education agencies (and their longitudinal data systems) in data collection and sharing can be aligned with FERPA. Though this document is based on a particular interpretation of FERPA, it may serve as a guide to states as they build and use longitudinal data systems in ways that comply with FERPA and fully protect the privacy rights of students and parents.

Health Insurance Portability and Accountability Act (HIPAA)

Department of Health and Human Services (HHS) Health Information Privacy



This website provides fact sheets, educational materials, and frequently asked questions about HIPAA.

Joint Guidance on the Application of FERPA and HIPAA To Student Health Records

Family Policy Compliance Office (FPCO 2008).

The document explains the relationship between FERPA and the HIPAA Privacy Rule, and addresses any confusion on the part of school administrators, health care professionals, and others as to how these two laws apply to student records.

Issue Brief on Privacy Standards for Student Health Records

National Association of School Nurses (2004).

Geared towards school health care providers, this resource discusses the relationship between FERPA and HIPAA and the laws’ implications on their work. The association also has a resource page on FERPA and HIPAA.

Special Education Technical Assistance Paper

Washington State Office of Public Instruction (2003).

This brief paper discusses the instances under which educational institutions are subject to HIPAA.

Forum Curriculum for Improving Education Data: A Resource for Local Education Agencies

National Forum on Education Statistics (2007).

Page 41 of this resource discusses privacy requirements for health records, including HIPAA and its interaction with FERPA.

Individuals with Disabilities Education Act (IDEA)

Forum Guide to Protecting the Privacy of Student Information: State and Local Education Agencies

National Forum on Education Statistics (2004).

See pages 17–18 of this guide for a discussion of privacy protection under IDEA, and the law’s relationship to FERPA. (Note: The Forum is currently developing a single revised privacy product that will replace all current privacy resources about schools, LEAs, and SEAs.)

Building the Legacy: IDEA 2004

U.S. Department of Education.

This site offers a large collection of resources related to Part B of IDEA, which deals with children aged 3–21.

Office of Special Education and Rehabilitative Services

U.S. Department of Education.

This site offers a host of resources related to IDEA legislation, regulations, and policy documents intended to help states implement the law.

Joint Guidance on the Application of FERPA and HIPAA to Student Records

Family Policy Compliance Office (FPCO 2008).

While this document focuses mainly on FERPA and HIPAA, a brief discussion of IDEA is offered in section II.

National School Lunch Act (NSLA)

National School Lunch Program

U.S. Department of Agriculture, Food, and Nutrition Service.

This site contains many resources on NSLA, including a fact sheet and regulations.

Confidentiality of Free and Reduced Price Meal Eligibility

Arkansas Department of Education (2009).

This memo discusses privacy requirements under NSLA, and how they relate to FERPA.


Chapter 8: Data Security

Enterprise Data Security

Birrittieri, T. (2008). InfoManagement Direct, November 2008.

This article offers a simple “ownership” model of data security, focusing specifically on identifying data sensitivity and appropriately granting access to data user groups. It argues that group delineations should be based on users’ job functions rather than the data’s level of confidentiality.

Forum Unified Education Technology Suite

National Forum on Education Statistics (2005).

Part 5 of this resource addresses security, including tips on risk assessment and policy development.

Objective of the Data Security Model

Zhao, X.; O’Connor, B.; and Barraso, G. (2006). InfoManagement Direct, August 2006.

This article provides a technical discussion of the data security “ownership” model. It describes a suggested set of processes including data classification, the identification of the risks associated with business functions and data systems, the creation and implementation of an access control policy, and the establishment of training and contingency plans.

Data Environment Security

Arizona Department of Education (2008).

This presentation provides an overview of Arizona’s efforts to improve security and manage data access. It discusses the establishment of an office to focus on security challenges, as well as creating processes for managing and monitoring data usage, training staff, and developing a means for communicating security issues. The presentation also provides an overview of some of the technical solutions the agency has employed.

Restricted-Use Data Procedures Manual

Institute of Education Statistics (2007).

This IES manual provides a guide to the restricted-use data application process, and to the laws and regulations governing these data.

Managing Data Systems Security

New Hampshire Department of Education (2009).

This presentation briefly introduces New Hampshire’s education agency’s single sign-on system for user-identity management.

LDS Share

Compiled Data Access and Use Agreements

Virginia Department of Education (2006).

This document from 2006 compiles data access and use agreements from Kansas, Oregon, Oklahoma, Illinois, Missouri, and Louisiana.

Policies and Procedures for Data Security and Confidentiality

Tennessee Department of Education (2005).

This sample shows how a state education agency documented policies and specific supporting procedures to guide governance related to data security and confidentiality.

Memorandum of Agreement Between Alaska Department of Education and Early Development and Computer Task Group

Alaska Department of Education and Early Development (2006).

This sample memorandum of agreement authorized a vendor's access to education data maintained and collected by the Alaska Department of Education and Early Development for the purpose of carrying out its contractual obligations related to the delivery of a portion of the agency’s data dictionary project.

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