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North Carolina School WorksData Governance Handbook

Table of Contents

1. Executive Summary …………………………………………………………………………………………

2. History …………………………………………………………………………………………………………

3. Vision, Mission, and Goals ………………………………………………………………… ………………3.1. Vision ………………………………………………………………………………………………3.2. Mission ……………………………………………………………………………………………3.3. NCSW Information System Development Goals ……………………………………………3.4. Education and Workforce Information Usage Goals …………………………………………

4. North Carolina School Works Partner Agencies …………………………………………………………4.1. Partner Agency Expectations ……………………………………………………………………4.2. Partner Agency Contributions ……………………………………………………………………4.3. Additional Partner Agencies ………………………………………………………………………

5. North Carolina School Works Data Governance Model ……………………………………………………5.1. NCSW Executive Council ………………………………………………………………………….

5.1.1. Executive Council Meetings ……………………………………………………………5.1.2. Executive Council Decisions ……………………………………………………………5.1.3. Executive Council Authority, Roles, Responsibilities ……………………………….

5.2. NCSW Data Governance Committee ……………………………………………………………..5.2.1. Data Governance Committee Meetings ………………………………………………5.2.2. Data Governance Committee Decisions …………………………………………...…5.2.3. Data Governance Committee Authority, Roles, Responsibilities …………………..

5.3. NCSW Work Groups ………………………………………………………………………………..5.3.1. Work Group Meetings …………………………………………………………………..5.3.2. Work Group Decisions ………………………………………………………………… 5.3.3. Technology Work Group ………………………………………………………………..5.3.4. Research Work Group ………………………………………………………………….5.3.5. Communications Work Group …………………………………………………………5.3.6. Sustainability Work Group ……………………………………………………………..

Appendix A – Partnering Member Agencies ……………………………………………………………………A-1 Executive Council ……………………………………………………………………………………A-2 Data Governance Committee ………………………………………………………………………

Appendix B – Applicable Laws, Regulations, and Policies ……………………………………………………B-1 Federal Laws and Regulations …………………………………………………………………...B-2 North Carolina State Laws and Regulations ……………………………………………………B-3 Other Applicable Policies …………………………………………………………………………

Appendix C – Definitions of Key Terms ……………………………………………………………………….

Appendix D – Requesting Data from NCSW …………………………………………………………………D-1 Data Request Process ……………………………………………………………………………D-2 Data Request Form ………………………………………………………………………………

Edited Version 2 – 2/2/2016


1. Executive Summary

The leaders of the government of North Carolina recognize that better information increases the chances of making better governmental decisions. Better decisions lead to better laws, regulations, processes, and programs which support a better quality of life for the people of North Carolina.

In the Information Age there are numerous organizations and individuals that collect, store, and use data. Often these many different data systems seem to produce inconclusive and sometimes conflicting information. By significantly increasing our ability to link the data from multiple data sources we will greatly improve our ability to answer questions that cannot be answered by existing data systems.

The North Carolina School Works (NCSW) information system has been developed to combine the power of state-of-the-art information technology with world class analytics to produce the best possible information about education and the workforce for decision-makers and citizens.

Realizing the importance of how effective education and workforce data analysis and reporting initiatives are in improving the quality and cost of education and workforce programs, North Carolina agencies and the North Carolina Independent Colleges and Universities (NCICU) collaborated to create North Carolina School Works (NCSW) to provide secure access to education and workforce data while maintaining privacy and confidentiality. This access will provide for more effective research into questions that will inform policy in North Carolina for years to come.

In order for NCSW to inform decisions, it is critical that the data on which the decisions are based be complete, accurate, timely, and relevant. To ensure these standards are met, the NCSW has implemented a Data Governance Program that defines and manages the data policies and procedures.

The North Carolina Data Governance Handbook will help NCSW Partners and information requestors become familiar with the NCSW Data Governance model and to inform them of associated roles, responsibilities, authority, and processes. This document outlines the structure of the NCSW Data Governance Program, including critical roles and responsibilities and information for each of the major roles: Data Governance Committee member, and the four Work Groups (Technology, Research, Communications, and Sustainability).

One of the most valuable characteristics of the NCSW is its ability to add partners and their data in order to increase the capabilities of the NCSW information system. As such, in addition to an overview of the NCSW Data Governance Program, this document outlines information, expectations, and requirements necessary to become a NCSW Partner.



2. History

The commitment of the people of North Carolina to education has been clearly stated since the creation of the State. It is written into Section 15 of the North Carolina Constitution. “The people have a right to the privilege of education, and it is the duty of the State to guard and maintain that right” also clearly commits the agencies of the State government to ensure that this right of education is protected and provided.

In the early 1990’s, the North Carolina public education and workforce agencies formed a partnership and created the North Carolina Common Follow-up System to share data across their sections. In 2008, a group was formed to oversee the establishment of a student unique identifier to allow for seamless information sharing about North Carolina students’ educational outcomes. In 2012, the U.S. Department of Education awarded a $3.6 million grant to North Carolina to undertake the development of the NC P-20W Statewide Longitudinal Data System to enable the partners to share data regarding students from pre-school to the workforce. Those grant funds have been used to establish a data broker and develop a distributed query system to enable smarter, more targeted data sharing among School Works Partners and their researchers. This NCSW information system will transparently integrate multiple autonomous database systems into a single database system that will enable North Carolina to answer questions about its education and workforce systems that were not answerable before that integration.

In that same year. 2012, the North Carolina General Assembly enacted legislation that created the North Carolina Longitudinal Data System. This is a system that contains “student data and workforce data from all levels of education and the State’s workforce.” One of the stated purposes of this legislation was to “[f]acilitate and enable the linkage of student data and workforce data.”

In December 2011, the U.S. Department of Education awarded a four-year, $69.99 million Race to the Top grant to North Carolina to develop the Early Childhood Integrated Data System (ECIDS).



3. Vision, Mission, and Goals

3.1. Vision

The North Carolina School Works (NCSW) vision is to provide information to improve the quality of life, education, and employment opportunities for all citizens of North Carolina

3.2. Mission

The mission of the School Works Partners is to build an information system and establish information management policies and processes that will significantly improve the State’s leaders’, policy makers’, and people’s abilities to make better decisions about their education and workforce programs.

3.3. NCSW Information System Development Goals

In order to use the abundance of education and workforce information that is available the NCSW will create a state-of-the-art information system which will:

a) Establish a longitudinal data system that includes education data and Workforce data and is able to effectively add additional data sources

b) Establish a data broker based system so that researchers can ask questions that each of the data systems (when linked) can answer

c) Provide a means for comparing cohort information about the points at which students exit, transfer in, transfer out, drop out, or complete pre-K through postsecondary education programs and enter into the workforce

d) Maintain secure and confidential data that complies with state and federal privacy laws during transmission, reporting and storage

e) Increase the accuracy of the data and information available to researchers and decision-makers

3.4 Education and Workforce Information Usage Goals

The goals and purposes for collecting, sharing, and analyzing the data in the NCSW information system are to:



a) Provide authorized access to data that informs decisions which improve education and employment outcomes in order to improve the quality of life across the state of North Carolina

b) Help answer questions at the core of educational performance and effectiveness

c) Provide a key tool for making better decisions concerning funding and program assessments, as well as identifying trends in North Carolina education

4. North Carolina School Works Partners

4.1. School Works Partners Expectations

The individual agencies, organizations, and entities that are School Works Partners have their designated representatives listed in Appendix A which will be updated by the Executive Council as changes occur. These School Works Partners will continue to function individually in their respective spheres and, as independent entities, each School Works Partner will:

a) Retain the authority to determine which data in its data systems will be accessible to the NCSW information system and to transmit that data from their respective databases to the NCSW information system under the terms of this handbook and contractual agreements

b) Create or provide a database to securely protect and hold the School Works Partner’s NCSW data that is subject to being accessed by the NCSW information system consistent with law and relevant contractual agreements

c) Use reasonable efforts to provide data that is accurate, complete, timely, and relevant

d) Support and advocate best data management and governance practices to their respective School Works Partner staff

4.2. School Works Partners Contributions

Working together the members of the NCSW will communicate, cooperate, coordinate, and collaborate to maintain and enhance the value of the information they produce and share. Together each School Works Partner will:

a) Designate a representative for each of the current committees and working groups



b) Approve and accept the structure, roles, and responsibilities described in this handbook

c) Report issues that might possibly affect the NCSW information system

4.3. Additional School Works Partners

Agencies and organizations that want to become members of the NCSW will:

a) Seek the approval of the existing School Works Partners

b) Sign a Memorandum of Agreement stating that they are familiar with, and agree to comply with, the policies and procedures of the NCSW and this handbook

c) Appoint a representative for each of the current committees and working groups

d) Comply with the technical requirements outlined in the NCSW technical specification documents including the maintenance of data stores and data transference

5. North Carolina School Works Data Governance Model

5.1. NCSW Executive Council

The members of the NCSW Executive Council will be listed in Appendix A.1 and will be the Heads of each School Works Partner. The Council will select its Chair and define its own operating schedule and procedures.

5.1.1. Executive Council Meetings

The Executive Council will meet as often as is necessary to resolve issues, evaluate recommendations, and respond to questions presented to it by the Data Governance Committee. Attendance at these meetings may be in person or by telephonic or other electronic means and an alternate representative with the authority to make decision on behalf of the School Works Partner may be designated at all meetings.

5.1.2. Executive Council Decisions

In its decision-making process, each member of the Executive Council will have equal voting power in the form of a single vote and may delegate voting rights to an alternate.



A quorum is required for the Council to take action and a super majority vote of those in attendance constitutes approval of an action or policy.

5.1.3. Executive Council Authority, Roles, Responsibilities

The Authority, Roles and Responsibilities of the Executive Council with the support of the Data Governance Committee, are to:

a) Establish the overall mission and strategic goals of the NCSW and provide oversight, vision, and leadership to the Data Governance Committee

b) Serve as the authority on all issues and recommendations forwarded by the Data Governance Committee

c) Allocate appropriate resources, including human capital, are aligned to support the NCSW information system

d) Advocate for the NCSW information system to key stakeholders and any on-boarding partner

5.2. NCSW Data Governance Committee

The members of the NCSW Data Governance Committee will be key persons selected by heads of each School Works Partner. They are listed in Appendix A.2. Each will be empowered by the heads of their respective School Works Partner to represent their School Works Partner in all decisions within the authority of the Data Governance Committee. The Data Governance Committee will select its Chair and define its own operating schedule and procedures.

5.2.1. Data Governance Committee Meetings

The Data Governance Committee will meet as often as is necessary to resolve issues, evaluate recommendations, and respond to questions presented to it by the Work Groups. Attendance at these meetings may be in person or by telephonic or other electronic means and an alternate representative with the authority to make decisions on behalf of the School Works Partner may be designated at all meetings.

5.2.2. Data Governance Committee Decisions

In its decision-making process, each member of the Data Governance Committee will have equal voting power in the form of a single vote and may delegate voting rights to an alternate. A quorum is required for the Committee to take action and a super



majority vote of those in attendance constitutes approval of an action or policy. Any member of the Data Governance Committee can appeal a decision of the Committee to the Executive Council.

5.2.3. Data Governance Committee Authority, Roles, Responsibilities

The Authority, Roles and Responsibilities of the Data Governance Committee are to:

a) Address all issues and recommendations forwarded by the Work Groups

b) Provide oversight, vision, and leadership to the Work Groups

c) Develop, adopt and make changes to by-laws, policies and processes for NCSW data governance

d) Inform their respective School Works Partner about the decisions and activities of the Data Governance Committee

e) Access and address issues and concerns of the Partners concerning the NCSW information system

5.3. NCSW Work Groups

The members of each of the work groups will be designated by heads of each School Works Partner and will be empowered by the heads of their respective School Works Partner to represent them in all decisions of their work groups. Work Group Chairs will be selected by the Data Governance Committee which will also assign specific tasks to each Work Group.

5.3.1. Work Group Meetings

The Work Groups will meet as often as is necessary to resolve issues, evaluate recommendations, and respond to questions presented to it by the Data Governance Committee, School Works Partner staff, or data requestors. Attendance at these meetings may be in person or by telephonic or other electronic means and an alternate representative with the authority to make decisions on behalf of the School Works Partner may be designated at all meetings.

5.3.2. Work Group Decisions

In its decision-making process, each member of each Work Group will have equal voting power in the form of a single vote and may delegate voting rights to an alternate. A quorum is required for the Work Group to take action and a super majority vote of



those in attendance constitutes approval of an action or policy. Any member of any Work Group can appeal a decision of the Work Group to the Data Governance Committee.

5.3.3. Technology Work Group

The responsibility of the Technology Work Group is to provide oversight, vision, and leadership on all technology-related issues.

5.3.4. Research Work Group

The responsibility of the Research Work Group is to provide oversight, vision, and leadership on all research-related issues.

5.3.5. Communications Work Group

The responsibility of the Communications Work Group is to provide insight, vision, and leadership on all matters related to communications.

5.3.6. Operations Work Group

The responsibility of the Operations Work Group is to provide oversight, vision, and leadership on all operations-related issues.

5.3.7. Data Request Approval Work Group

5.3.8. Other Work Groups



Appendix A: School Works Partners(last updated by the Executive Council on XXX)

A-1 Executive Council June St. Clair Atkinson, State Superintendent, North Carolina Department of Public Instruction

John E. Skvarla III, Secretary, North Carolina Department of Commerce

Margaret Spellings, President, University of North Carolina

George Fouts, President, North Carolina Community College System

A. Hope Williams, President, North Carolina Independent Colleges and Universities, Inc.

ECIDS (not a member at this time)Lucy Roberts, Executive Director of the Early Childhood Advisory Council for the office of the Governor of North Carolina

A-2 Data Governance Committee

Karl Pond, Enterprise Data Manager, North Carolina Department of Public Instruction

Cecielia Holden, Chief of Staff, North Carolina Department of Commerce

Dan Cohen-Vogel, Associate Vice President for Institutional Research, University of North Carolina

Saundra Williams, Senior Vice President and Chief Information Resources and Technology, Data Reporting, Business Intelligence and Learning Technologies, North Carolina Community College System

Thomas West, Vice President for Government Relations and General Counsel, North Carolina Independent Colleges and Universities, Inc.



Appendix B: Applicable Laws, Regulations, and Policies

(last updated by the Sustainability Work Group on XXX)

B-1 Federal Laws and Regulations

42 U.S.C. 503 26 U.S.C. 3304 20 C.F.R. part 603 subpart B20 USC 123234 CFR 99.320 U.S.C. 1232g34 CFR 99.31(a)(6)42 USC 1758(b)(6)(A)(ii)(II) 34 CFR 99.31(a)(6)(iii)(C)20 USC 31 B-2 North Carolina State Laws and Regulations

NC Gen Stat 116E-1, et seq. NC Gen Stat 6-4 NC Gen Stat143B-7NC Gen Stat143B-10 NC Gen Stat143B-23 Article 5 of Chapter 143A of NC Gen StatArticle 1 of Chapter 116 of NC Gen StatChapter 115D of NC Gen StatNC Gen Stat 96-4(x)NC Gen Stat 116E-5(e)(1)NC Gen Stat 96-4(x)(3)NC Gen Stat 147-64.7NC Gen Stat 116E-5

B-3 Other Applicable Policies



Appendix C: Definitions of Key Terms(last updated by the Communications Work Group on XXX)

Data Governance – includes the organizational structure and processes that establish responsibility for data by organizing program staff to collaboratively and continuously improve data quality through the systemic creation and enforcement of policies, roles, responsibilities, and procedures.

Federated System – an information system that interacts with multiple data sources to merge data in a manner that it appears to be a single data source to the data users without creating the traditional “data warehouse” to store data records in a central location and allows management and control of the data to remain with the originating partner.

Personally Identifiable Information is any data that can be used to identify an individual and includes, but is not limited to: (a) The student's name; (b) The name of the student's parent or other family members; (c) The address of the student or student's family; (d) A personal identifier, such as the student's social security number, student number, or biometric record; (e) Other indirect identifiers, such as the student's date of birth, place of birth, and mother's maiden name; (f) Other information that, alone or in combination, is linked or linkable to a specific student that would allow a reasonable person in the school community, who does not have personal knowledge of the relevant circumstances, to identify the student with reasonable certainty; or (g) Information requested by a person who the educational agency or institution reasonably believes knows the identity of the student to whom the education record relates.

Quality Information – is complete, accurate, timely, and relevant to the reason for which the data has been acquired. Complete information is information which has no missing parts where all the parts are counted and present. If any parts of the information set are missing an explanation of why those parts are missing is required. Accurate information is information that clearly reflects what would be observed by a qualified witness if that witness were present at the collection of the information. Timely information is information that is available to the decision-makers before decisions have to be made and can be used in those decisions. Relevant information is information that is responsive to the question being asked or the issue being reviewed.

School Works Partner – an agency, organization, or entity that is collaborating with, and contributing data to, the NCSW information system

Super Majority – at least sixty percent (60%) of those voting



Workforce Data – is data relating to employment status, wage information, geographic location of employment, and employer information.



Appendix D: Requesting Data from NCSW(last updated by the Research Work Group on XXX)

D-1 Data Request Workflow Process

20 USC 31(b)(1)

An individual or organization requesting data from the NCSW information system must submit a request that

Identifies the organization which is conducting the studies Identifies the educational agency or institution on whose behalf they are

conducting the studies Identifies if the study will assist in

o developing, validating, or administering predictive tests, o administering student aid programs, or o improving instruction,

Identify which of the NCSW Education and Workforce Information Usage Goals (in section 3.4) the study will address

Certify that they will not permit the personal identification of students and their parents and

Certify that such information will be destroyed when no longer needed for the purpose for which it is conducted;

Data is only shared when all parties understand 1) who will be using the data, 2) how the data will be used, 3) how privacy will be protected and 4) if it is relevant and material

A Data Administration Work Team will be responsible for the day-to-day data administration activities

Types of Data Stewards include: Data Definition Stewards, Data Usage Stewards, Data Production Stewards, Data Technology Stewards, and Professional Development Stewards,

D-2 Data Request Form


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