Transcript Facilitating Researcher Access to Statewide Longitudinal Data System (SLDS)

RESEARCHER ACCESS TO THE SLDS
Facilitating Researcher Access to Statewide
Longitudinal Data Systems (SLDS)
Kathy Gosa, Kansas Department of Education
Bethann Canada,Virginia Department of Education
Wednesday, February 13, 2013
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OVERVIEW
• Overview: Supporting Data Access for Researchers
• Kansas
• Virginia
• Questions & Answers
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FORUM GUIDE TO SUPPORTING DATA ACCESS FOR
RESEARCHERS: AN SEA PERSPECTIVE
• Recommends a set of “core” practices,
operations, and templates that can be
adapted and adopted by SEAs
• Focuses recommendations on
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Managing the flow of data requests
Establishing response priorities
Monitoring appropriate use
Protecting privacy
Ensuring that research is beneficial to the
agency as well as the research community
• Collaboration
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National Center for Education
Statistics (NCES)
National Center for Education
Evaluation & Regional Assistance
(NCEE)
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DATA PARTNERSHIPS
• 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:
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Encouraging research projects that reflect an education agency’s
information needs and priorities
Supporting data-driven decisionmaking by educators and policymakers
Providing an SEA with access to additional research, statistical, and
program expertise
Building the research skills of SEA staff who will work with members of
the research community while reviewing and servicing data requests
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FOUNDATIONS FOR DATA-SHARING
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Data governance
Data sharing infrastructure
Priorities and goals of the agency
Recognize the numerous dimensions of a research proposal
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Which data are being requested and for what purpose?
Are requested data appropriate to address the research question(s)?
Which data are actually available from the agency?
Which data can be shared?
Which data need to be masked, de-identified, or otherwise altered
to protect individual privacy?
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CHALLENGES TO SHARING DATA
• Supplying data to the research community comes at a cost to the SEA
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Responding to the growing volume of data requests can become a full-time
job for one or more staff members
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
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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
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Data collected by SEAs are intended for specific purposes and may not
necessarily meet the precise needs of research projects
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KANSAS
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KANSAS
Data Request/Access Process
• Requests are submitted online http://www.ksde.org/Default.aspx?tabid=4201
• Overseen by Data Request Review Board (DRRB)
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Reports to Data Governance Board
DRRB is five member Board representing agency Divisions
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
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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
Provides consistent treatment of data requests
Considers, prioritizes, and assigns requests for data
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KANSAS
Data Request/Access Process
• Defined Roles
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Data Request Review Board
Request Manager
Data Steward
General Counsel
Requester
Customer
Agency Staff
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KANSAS
Data Request/Access Process
• Decisions
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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?
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KANSAS
Data Request/Access Process
• Decisions (continued)
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Routine or requires DRRB action?
Requests handled as Routine are summarized and reviewed by DRRB
monthly
DRRB must approve
• Requests for which fees are charged
• Denials
• Requests involving PII/Restricted Data
• PIA is assigned
• Requester is invited to attend/defend
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KANSAS
Streamlining the Process with Researchers
• Why?
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Research aligns with state research agenda
More efficient for us!
• How?
o Training
Module 1: All Data Requests
Module 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 and Use Policy for
Personally-Identifiable Student
Information
2. Data Reporting Practices
3. Best Practices for the Storage and
Destruction of Data based upon KSDE’s
PII Agreement
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KANSAS
Streamlining the Process with Researchers
• How? (continued)
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Training http://www.ksde.org/Default.aspx?tabid=4201
Videos
Exercises
(includes opt out)
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KANSAS
Streamlining the Process with Researchers
• How? (continued)
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Training http://www.ksde.org/Default.aspx?tabid=4201
Primary Investigator Advocate (PIA)
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Assigned when “supported” research request is submitted
Assists the researcher in navigating our process
Provides summary to DRRB
Templates/Agreements/Forms
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FERPA Agreement template
Data destruction template
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KANSAS
Critical Success
Factors
• Automated
tracking
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Essential for FERPA
Recordation
Greatly enhances
efficiency
Informs priorities
for public reporting
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KANSAS
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 http://www.ksde.org/Default.aspx?tabid=83
• Follow-up is a challenge!
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Virginia
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VIRGINIA
Data Access Policy for non-sensitive data
• Non-sensitive data are published on the web with cell
suppression
• Check out our data for researchers page
http://www.doe.virginia.gov/statistics_reports/research
_data/index.shtml
• “Service Request Tracking System”
• Ad Hoc/FOIA requests are logged and tracked
• All requests must be approved by a director
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VIRGINIA
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 three internal reviewers
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VIRGINIA
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 third party, then deidentified 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 are being requested must approve
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VIRGINIA
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?
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VIRGINIA
The current participating agencies
• Department of Education
• State Council on Higher Education
• Virginia Community College System (Workforce)
• Virginia Employment Commission
Coming on board in 2013
• Department of Social Services (DSS)
• Department of Aging and Rehabilitative Services
(DARS)
• Department of Labor and Industry (DOLI)
• The Child HANDS Project
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VIRGINIA
Process Steps
Researcher visits
VLDS Web Portal
Researcher selects
Data Elements,
updates RUDA and
submits for
Approval/Rejection
Shaker runs, Result
data is returned
Researcher contacts
Agency Sponsor
(Email or Phone)
Agency Sponsor
views RUDA and
Approves Rejects
Agency Sponsor
Reviews Downloads
Results
Researcher
completes VLDS
portal account
Researcher updates
Research Purpose
information and
submits for Approval
Agency Sponsor
views Researcher
Information and
Approves Rejects
request
Partner Agencies
view RUDA and
Approve Reject
Researcher Accesses
DRT and builds Data
Requests
Researcher submits
Data Package(s)
Agency Sponsor
reviews Data
Package and
Approves Rejects
Researcher Submits
Research Artifact(s)
Agency Sponsor
reviews Research
Artifact and
Approves Rejects
(if applicable)
Researcher Submits
request to close the
Research Purpose
Agency Sponsor
reviews request and
Approves Rejects
Agency Sponsor
creates Contact,
and initiates portal
user account
Researcher Reviews
Downloads Results
Legend
Researcher /
Portal
Agency /
Workflow
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Shaker
Outside of
VLDS System
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VIRGINIA
Bridging the Data Divide
• Project to improve state agency-university researcher
partnerships
• Facilitated by Virginia Commonwealth University
• Case study of state-university partnerships
• Study of successful partnerships in other states
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VIRGINIA
Bridging the Data Divide – areas of analysis
• Organizational culture, value, and roles
• Data governance and access
• State agency-researcher perspectives
• Lessons and recommendations
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CONTACTS AND ADDITIONAL RESOURCES
Contact information:
Bethann Canada, [email protected]
Kathy Gosa, [email protected]
Keith Brown, [email protected]
Jeff Sellers, [email protected]
For more information on researcher access to the SLDS:
Data Use Issue Brief 2: Forming Research Partnerships with State and Local
Education Agencies: http://nces.ed.gov/programs/slds/pdf/Data-Use-IssueBrief-2_Research-Partnerships.pdf
Webinar: Using SLDS Data ⎼ Working with Researchers:
http://nces.ed.gov/programs/slds/webinars.asp
Forum Publications: Forum Guide to Supporting Data Access for Researchers:
https://nces.ed.gov/forum/publications.asp
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