PK20 Data Standards Alignment: Perspectives from the US Dept of ED Holly Hyland, Federal Student Aid Ross Santy, U.S. De

1. PK20 Data Standards Alignment: Perspectives from the US Dept of ED Holly Hyland, Federal Student Aid Ross Santy, U.S. Department of Education

2. U.S. ED: K-12 Data Background • Information Requirements (both system and collection) have been developed along program office lines • Isolated development of IT systems, each to accomplish specific purpose • Information collections have been drafted by each individual program • EDFacts: U.S. Department of Education’s consolidated K-12 performance data collection and reporting systems • Goal: To build one collection tool, and one centralized repository for K-12 performance data • Goal: Reduce reporting confusion and duplication • Goal: Improve agency data governance to ensure efficient sharing of information across program offices and content areas • Put data at the core of policy decisions and program management across U.S. ED

3. U.S. ED: K-12 Data Background • Program offices have historically designed collections based upon what they need to know for the program • Little to no work was done to ensure states had a data model capable of answering the questions • No requirements to ensure that one program’s needs did not conflict with those of another program • EDFacts: Organized a first model of K-12 performance data for 2003-04 and 2004-05 school years • Modifications for each subsequent school year • Data model covering 2007-08 school year was cleared for 3 years • Goal: Root “plain English” definitions of data elements into the specifications of what districts are storing and transmitting • 2007 – Began work with Schools Interoperability Framework Association to map EDFacts File Specifications (and related data groups) to SIF Schema.

4. NCES OCR OSEP OELA OESE OESE (CSPR) OSEP (DANS) EDFacts (CSPR, IDEA, CCD, CRDC, T3BR…) NCES (CCD) OELA (T3BR) OCR (CRDC) Recent Development of USED K-12 Data Systems (ideal view) From States From States What we want What we had

5. OESE (CSPR) OSEP (DANS) EDFacts NCES (CCD) OELA (T3BR) OCR (CRDC) Recent Development of USED K-12 Data Systems (reality of 2008) Enables proper management of a central directory (master data) From SEAs/LEAs

6. OESE (CSPR) OSEP (DANS) NCES (CCD) OELA (T3BR) What’s the impact of EDFacts on state processes/cultures (what was) State Education Agencies Special Education Office Accountability Office Migrant Office English Language Acquisition Office Research/Statistics Office Title I Office

7. OESE (CSPR) OSEP (DANS) EDFacts NCES (CCD) OELA (T3BR) What’s the impact of EDFacts on state processes/cultures State Education Agencies Data and Information Office Special Education Office Accountability Office English Language Acquisition Office Migrant Office Title I Office Research/Statistics Office

8. OESE (CSPR) OSEP (DANS) EDFacts NCES (CCD) OELA (T3BR) What’s the impact of EDFacts on state processes/cultures Questions about program objectives and goals State Education Agencies Data and Information Office Special Education Office Accountability Office English Language Acquisition Office Migrant Office Title I Office Research/Statistics Office

9. OESE (CSPR) OSEP (DANS) EDFacts NCES (CCD) OELA (T3BR) What’s the impact of EDFacts on state processes/cultures Data Elements, Business Rules and Data Standards State Education Agencies Data and Information Office Special Education Office Accountability Office English Language Acquisition Office Migrant Office Title I Office Research/Statistics Office

10. OESE (CSPR) OSEP (DANS) EDFacts NCES (CCD) OELA (T3BR) What’s the impact of EDFacts on state processes/cultures GOAL: How can we utilize the clarity of electronic data standards, to strengthen these relationships, and ensure that business owners continue to get the information they need? State Education Agencies Data and Information Office Special Education Office Accountability Office English Language Acquisition Office Migrant Office Title I Office Research/Statistics Office

11. Challenges of EDFacts culture change • Definitional • 2 programs may have 2 definitions for common elements • Inadequate program input early can lead to inadequate definitions for data elements • One “universe” serving many purposes • Technical • Contractor Access (who’s the “go to” resource) • Data interoperability • Everything is now an “above radar” process • Cultural • Training and outreach • Building reliance on a new and incomplete system • “chicken or egg dilemma”

12. Examples of the challenge • AYP determinations and student performance data • IDEA and NCLB definitions around assessment for students with disabilities • Who’s building and submitting files and who’s responsible for the data? • New uses for school and district level data

13. Improving State Data Systems • Statewide data systems • Educational Technical Assistance Act, Section 208 • Administered through the Institute for Education Sciences • Competitive grants to State educational agencies (SEAs) to enable them to design, develop, and implement Statewide longitudinal data systems to efficiently and accurately manage, analyze, disaggregate, and use individual student data

14. Improving State Data Systems • Statewide data systems - Goals • Improve data quality • Promote linkages across States • Promote the generation and accurate and timely use of data for reporting and improving student achievement • Facilitate research to improve student achievement and close achievement gaps • Funds under the Statewide data systems program are intended to supplement, not supplant, other State or local funds used for developing State data systems.

15. Improving State Data Systems • Funding Levels • 2005...............................................$24,800,000 • 2006 ................................................24,552,000 • 2007.................................................24,552,000 • 2008.................................................48,293,000 • 2009 (requested) …………………100,000,000 • To develop and implement new pre-kindergarten through postsecondary (P-16) data systems or to expand existing pre-kindergarten through grade 12 (P-12) data systems to include postsecondary and workforce information, and to provide support for data coordinators at the State level

16. Improving State Data Systems • Goals of a P-16 or P-20 Focus • Accurate data on high school graduation rates • Increased emphasis on the importance of ensuring that all students graduate from high school prepared for higher education or the workplace • Expand P−12 data collection systems to include postsecondary and workforce information that will allow them to better determine what courses and supports are most effective in helping students make successful transitions to college and the workplace • The types of postsecondary information collected is likely to include courses taken and grades received, including whether students took remedial coursework; college major; degree completion; and time to degree completion

17. Improving State Data Systems • Examples of State P-20 Activities: • Florida, which received a 2006 grant, had developed a pre-kindergarten through grade 20 Education Data Warehouse that linked information on students, staff, adult and postsecondary education, and the workforce. Project funds are being used to expand this system and will link longitudinal information about student and teacher performance to information about expenditures and educational facilities. • Utah, which also received a 2007 grant, has a Statewide longitudinal data system and will use grant funds to automate the exchange of student records and transcripts, which will improve the accuracy of information on student transfers and dropouts. The State also will work with EDFacts staff to improve data submission.

18. FSA : Data Background • History of Information Requirements (both system and collection) being developed by “stovepipe systems.” • Isolated development of IT systems, each to accomplish specific purpose • Information collections have been drafted by each individual system • Target State Vision: Document describing high-level to-be state. Goal: Integrate and reengineer business processes to improve operational efficiency and effectiveness, and to provide a better experience for those who interact with Federal Student Aid. Goal:Improve data quality and integrity to provide enhanced analytics and reporting capabilities.Goal:Integrate and reengineer information systems to enable target business processes. Goal: Goal: Implement an integrated, standards-based technical infrastructure that emphasizes enterprise reusable shared assets.

19. FSA: Data Background Data Strategy Purpose • Get the Right Information • To the Right Person • At the Right Place and Time • At the Right Cost

20. Awareness Application Origination Disbursement Servicing Institution Servicing Aid Awareness & Application Delivery cycle Phase Life- Participation Application Origination & Disbursement Common Services for Borrowers Process Applicant/ Borrower Aid Education Submission Eligibility Repayment Consolidation Collections Student Aid on the Web Inbound Payment Processing Default Aversion Call Centers Application Processing - Electronic Processing - Paper Processing & Fulfillment Award Processing Consolidations Performance Mgmnt* School Payments (Pass-Through) - Student Based Pymnt Calcs - Payments & Tracking Loan Assignment Processing EAI Death, Disability & Bankruptcy Applicant/Recipient Eligibility - Electronic Processing - Paper Processing/Fulfillment Enterprise Delinquency Mgmnt Application Disbursement Processing Integration Accounting ITA Funding Level Management - Award Processing - Calc & Monitor Funding Chngs Integrated Collections Borrower Refund Processing Technical Architecture Performance Mgmnt* VDC Common Services for Borrowers Origination & Disbursement Virtual Data Center Award & Disbursement P-Note Processing School Aid Payments & FSA Service Recovery & Funding Level Mgmt Student Authentication & Access Mgmnt Processing Loans Resolution Student Authentication & Access Mgmnt Partner Management Partner Partner Eligibility Trading Partner Management Enrollment & Oversight Application for Participation Oversight - Closed School Processing - Ongoing Monitoring - Risk Management - Oversight Reviews/Actions - Accountability For Funds - Default Rate Calculations Partner Eligibility Enrollment/Access Mgmnt Funds & Internal Financial Management Controls Participation Management Performance Mgmnt* FSA Gateway Schools Portal Financial Partners Portal Help Desk Bulk Payment Calcs - ACA Payments to Schools Partner Payment Processing Payments & Tracking Partners & Lenders Servicers Trading Guaranty Agencies State Agencies Schools (Lender Servicers) ( School Servicers) Support Functions Other External Partners Enterprise Performance Management - Contract Management - Acquisition & Planning Strategy - Performance Analytics & Reporting To-Be Financial ED Department of Education Aid Life Cycle Financial Management - Accounting - External Financial Reporting - Funds Control - Budget - Internal Controls Business Process Awareness - Counseling - Awareness Portfolio Data Management - Aggregated Recipient Data - Program Analytics & Reporting Partner Application DRAFT Internal Transfer Partner Process Trading High-Level Business View Origination & Oversight Disbursement Eligibility Participation Oversight Monitoring Management FSA: BackgroundEvolution to the Target State Enterprise Analytics and Research Case Tracking Recommend Acquisition & Enterprise Performance Analytics (Ombudsman) Policy Changes Planning Strategy Management Audit Send/Receive from Matching Agencies Generate/Distribute ISIR/SAR Credit Check Transfer Monitoring Process Promissory Notes Servicing Reporting (FFEL & Campus Based) SSCR Enablers History Common Data Architecture NSLDS Functions Enterprise Shared Enterprise Shared Functions FMS Trading Students Warehouse/Data Marts Partners Transactions Distribute Eligibility Computation Edits - EFC RID Mappings Authentication & Access Management Partner Payment Calculation/PrePopulation CDR SSIM Logic Match Against CDA (FAH) Edit Checks Application Establish Consolidate Aid Aid Eligibility Person CSB Loans Awareness Determination Record Authentication & Access Tools Application Relationship Process Mgmt Business Intelligence Tools Payment Partner Payment State Agency Partner Payment Management Processing Admin Funding Ancillary Services Process External Financial GL AR Management Budgeting Payments Reporting Accounting FMSS GAPS Business Function External Transfer Integration Vision Framework Business Architecture Enterprise Target State Business Architecture Drives Technology Solution

21. Federal Student Aid Target State Vision e e Institution - s l e Aid Awareness & Application Servicing c a Aid Delivery f i y h Participation L c P r t e s n s a w e c o c i r l r o Aid Education Submission Eligibility Repayment Consolidation p o r p P B A / Student Portal Call Centers Authentication Access Tools Enterprise Analytics and Research Collections Enablers Financial Aid History Financial Aggregates & Reporting Data Marts Student Aid History Management ESB Enterprise Service Bus Business Intelligence Tools s Acquisition & Planning Strategy Budget Formulation Credit Report Ombudsman Case Research Recommend Policy Changes Distribute School Eligibility / Review Information Calculate EFC Enterprise Performance Management d n Distribute Student Eligibility Audit History Common Logic Edit Checks Run Credit Check Integrated School View Integrated Student View B Analytics e o E u r i t n s a c t i h e n CDA/ODS (NSLDS II) n S r Information Framework EDW u e p / s e F r i s s ITA Integrated Technical Architecture Ancillary Services Monitor Aid Eligibility Student Enrollment Reporting i s Default Rate Calculation s s F r e / p Person u Org e Analytical Data r S n n e Transactions h i c t s n a t i u r E o e B n d Generate / Distribute ISIR / SAR Data Manage Promissory Notes Aggregate Relevant Information / Determine Student Eligibility RID Legacy Identifier Crosswalk Send Receive from Matching Agencies SSIM Logic / s VDC Virtual Data Center Content Management Application Origination & Disbursement Common Services for Borrowers Metadata Repository Communications Campus-Based School Aid Payments & Funding Level Management Integrated Partner Management Aid Eligibility Determination Establish Person Record Aid Awareness Award & Disbursement Processing Service Debts Recovery & Resolution Consolidate Loans Press Releases Partner Payment and Reporting Management Application Publications Eligibility Funding Manage Partner Participation & Enrollment Financial Management Conference Planning Oversight Enterprise Access Management Lender Payment & Reporting Administration Guaranty Agency Payment & Reporting Administration State Agency Funding Federal Student Aid Gateway Receivables Management Payables Management Funds Management Financial Reporting Schools Portal Financial Partners Portal Help Desk State Agencies Schools (School Servicers) Lenders (School Servicers) Guaranty Agencies Other External Partners Target State Vision High-Level Business View of the Financial Aid Lifecycle Revised Sept 2005 Department of Education OIG OPE One Financial GAPS Partner Application Internal Transfer Business Function Origination & Disbursement External Transfer Oversight FSA: Background Target State Vision

22. Data Framework As-Is and Target State Data Flows Refine Target State Vision Data Quality Mad Dog Develop Quality Assurance Strategy Implement Data Quality Assurance Strategy XML Framework Develop XML ISIR Develop XML Registry / Repository Production Deployment of XML Registry / Repository Common Identification Standard Student Identification Method Routing ID Trading Partner Enrollment and Access Enrollment and Access Management Technical Strategies Data Storage, Web Services, Web Usage, and FSA Gateway Web Consolidation Options Enterprise Analytics Architecture CDA Operating Guidelines FSA: Background Data Strategy Initiatives Data Strategy evolved into the integration of five core initiatives:

23. FSA: Background Data Strategy Key Findings • Data should be organized by business process, not by system. • Providing data access to business experts is the key component of improving the enterprise’s ability to make informed business decisions. • Need to develop a single enterprise solution for all trading partner/person identification and access. • “As-Is” data flow discussions have facilitated a broader understanding of end-to-end business processes across all Federal Student Aid program areas. The Data Strategy team confirmed several key findings:

24. FSA: Background Information Exchange A single access point for online information and services for Federal Student Aid customers, partners, and the general public

25. FSA: Target State EDM

26. FSA: XML Registry and Repository for the Education Community

27. Escalation Path Enterprise Data Management Program Management, Quality Assurance Data Privacy & Security Data Standardization Data Quality Data Integration FSA: Data Governance Framework Data Governance Management Structure • Requires: • Collaboration • Commitment • Provides: • Data Consistency • Information Sharing Focus Areas As- Is Federal Student Aid Data (CPS, COD, IPM, NSLDS, Borrower Services, etc)

28. FSA: Major Milestone - ECDM

29. FSA: Business Development Efforts • Integrated Partner Management • Data Definition Standards • Ensure new efforts are added to the metadata repository • FFEL Redesign • COD Schema through to a PESC standard The EDM Team is working with the following development efforts to establish policies, promote enterprise standards, and provide technical support:

30. U.S. ED and FSA: Future Areas of Focus • Develop US Dept of ED Enterprise Conceptual Data Model – created from the business areas. • Form US Dept of ED Data Governance Workgroup. • Encourage PK12 and Postsecondary data alignment. • Encourage and contribute to PK 20 Data Standardization and Education Taxonomy.