External Communications Policy

Transcription

1 External Communications Policy for California School Information Services Version 1.0 January 9, 2006 Copyright 2006 California School Information Services

2 Table of Contents 1. Program Documents Hierarchy, Intended Audience and Reading Suggestions Program Documents Hierarchy Intended Audience and Reading Suggestions Introduction Document Purpose Document Versioning Convention Versioning Conventions Document Hierarchy Conventions Document Organization Approval Authority and Review Schedule CSIS Stakeholders and Their Communications Needs Identification of CSIS External Stakeholders CSIS Stakeholders Communication Needs LEAs Needs State Board of Education California Department of Education s Needs California Student Information Systems Vendors Needs Postsecondary Institutions Needs Needs of the Fiscal Crisis and Management Assistance Team Board Independent Project Oversight Consultant Other Stakeholders Needs Summary of Stakeholder Communication Needs General Communications Policies Page 2 of 15

3 Revision History Name Date Reason For Changes Version Nancy Sullivan First publication of document 1.0 Approval History Approved By Title Version Approved Date Approved FCMAT Board Review Cycle Review Review Cycle Date Bi-annual March 2008 Reviewer Status Action Needed Page 3 of 15

4 1. Program Documents Hierarchy, Intended Audience and Reading Suggestions 1.1 Program Documents Hierarchy CSIS Program documents are organized into successive ranks in which all documents at one level are subordinate to the one above. The subject document is shaded in the drawing below. Program Charter for CSIS Policy Documents Strategic Plan for CSIS Plan and/or Procedure Documents State Reporting and Records Transfer System (SRRTS) External SRRTS Documents Program Office Change Management Policy Quality Policy and Management Plan Procurement Policy and Management Plan Issue Tracking Policy External Communications Policy Vendor Engagement Policy Page 4 of 15

5 1.2 Intended Audience and Reading Suggestions The primary audience for this document is the CSIS staff and the FCMAT Board, but may also be of interest to LEA staff, SIS vendors, and other stakeholders. Readers interested in an introduction to the CSIS Program should begin with the Program Charter for CSIS, which can be found at Readers may also benefit from reading the Strategic Plan for CSIS which also can be found on the CSIS web site. Page 5 of 15

6 2. Introduction 2.1 Document Purpose This document defines the policies for external communications for the California School Information Services (CSIS) Program. External communications governed by this policy include official CSIS documents created for external distribution, LISTSERV messages; correspondence or s to organizations or individuals; CSIS trainings and conference presentations; CSIS web postings; status reports or other program updates for external distribution; and telephone calls with CSIS stakeholders. Individual projects undertaken within the CSIS Program must conform to this External Communications Policy. This document is intended to promote communications that: 1. Facilitate understanding of the CSIS Program among its clients and stakeholders 2. Result in information exchanges that inform CSIS of constituent need 3. Facilitate understanding of CSIS data submission or records transfer requirements and processes 4. Advocate data management best practices and build local capacity to capture, maintain, exchange, and report accurate student or staff-level data 5. Facilitate data-informed decision making at the state and local level 6. Deepen understanding of the state and local benefits that result from good data management practices and use of CSIS services This policy is also intended to promote communications that meet the needs of specific stakeholders. CSIS recognizes that effective communication with one consumer may not be effective with another consumer. The goal is timely, accurate and pertinent information exchange, no matter who the client or partner may be. As a result, the policy is intended to ensure communications are effectively managed and responsive to the diverse information needs of CSIS stakeholders, including local education agencies 1 (LEAs), the California Department of Education (CDE), other state agencies, student information system (SIS) vendors, postsecondary institutions, and the Fiscal Crisis and Management Assistance Team (FCMAT) Board. 2.2 Document Versioning Convention Versioning Conventions 1 LEAs consist of public school districts, direct-funded charter schools, and county offices of education within California Page 6 of 15

7 The title page and header of this document should contain a version number in the form X.Y where: X is the version number in sequence 1 through N Y is the revision number in sequence.1 through.n The first approved version of the document will be numbered 1.0 Each new version represents substantial change to the document (for example, adding or deleting work products or processes) and will be serially numbered to the left of the decimal (for example 2.0, ) once it has been approved by CSIS management. Minor revisions (that is, format, spelling, or clarification) will retain the major version number and increment the revision number to the right of the decimal (for example 1.0, 1.1, 1.2 ) Document Hierarchy Conventions Section 1 of this document includes a CSIS Program Documents Hierarchy in which: Italicized text indicates the name of a specific document Regular text represents a grouping of documents 2.3 Document Organization This document begins with an introduction and a description of the CSIS stakeholders and their communication needs. It then defines the general communications policies for CSIS. 2.4 Approval Authority and Review Schedule Modifications to the External Communications Policy require formal review and approval by the CSIS Chief Operations Officer (COO) and the FCMAT Board. Subsequent to the initial approval, this document will be reviewed at least every three years and updated as necessary. Questions about this External Communications Policy should be directed to: L. Russ Brawn Chief Operations Officer California School Information Services 770 L Street, Suite 1120 Sacramento, CA (916) Page 7 of 15

8 3. CSIS Stakeholders and Their Communications Needs 3.1 Identification of CSIS External Stakeholders CSIS stakeholders include: 1. California Local Education Agencies (LEAs) 2. California Department of Education (CDE) 3. Vendors of Student Information Systems (SIS) in use within California 4. California Postsecondary Institutions 5. Fiscal Crisis and Management Assistance Team (FCMAT) Board 6. Independent Project Oversight Consultant 7. Other State Agencies of California, including Department of Finance (DOF) Legislative Analyst s Office (LAO) Office of the Secretary of Education (OSE) California State Assembly and California State Senate (State Legislature) 8. Other Stakeholders Professional Organizations Media 3.2 CSIS Stakeholders Communication Needs This section describes the information exchange needs of each of the CSIS stakeholders. The intent of this section is to provide the context for the communication policies included in Section 4, General Communications Policies LEAs Needs One of the cornerstones of CSIS is to provide LEAs with a high-quality, reliable service that facilitates electronic data exchange among LEAs and from an LEA to other state agencies, such as the CDE. The LEAs are CSIS primary client group, and the success of the program relies greatly upon the ability to communicate effectively with this diverse constituency. As with other external clients, the communication strategy must address both the need to disseminate and collect the right information at the right time, using the appropriate medium and staff. Page 8 of 15

9 Communications with LEAs is not unidirectional. CSIS must actively seek LEA feedback to understand their needs, issues and points of view. General LEAs needs are listed below: 1. LEAs need to be informed about data and technical requirements, and submission schedules in a manner that is understandable to them, including translating state or federal requirements into specific data elements that need to be maintained, primarily in the local student information system. 2. LEAs need reports that document the status of the data they have submitted. 3. LEAs require training and support to use CSIS services and to understand the appropriate actions to take when they receive status or error reports from CSIS. 4. LEAs need the opportunity to ask questions of and to dialogue with CSIS personnel and other LEA personnel with expertise in state reporting and records transfer activities. 5. LEAs under contract with CSIS need information related to CSIS funding and required deliverables. LEAs that choose to discontinue CSIS state reporting or to change their SIS, need help in understanding the steps they need to take to coordinate these actions with CSIS. 6. LEAs need a mechanism to provide regular feedback to CSIS about the services CSIS provides and the changes or enhancements that would make those services more useful to LEAs State Board of Education The State Board of Education annually approves the CSIS Data Dictionary. As a result, the Board needs communications to enable the timely review and approval of that document California Department of Education s Needs The relationship between CSIS and CDE has many dimensions. At times, each entity is a client of the other and at other times, CDE and CSIS are collaborative partners. Therefore, the communication strategies and processes must be carefully developed and monitored to meet each party s expectations. When CDE is a CSIS client, receiving data from CSIS on behalf of LEA participants, CDE must have an up-to-date knowledge of submission cycle readiness, schedules, and timelines. In this capacity, CSIS is generally an information provider, keeping CDE aware of any issues that may impact agreed upon deliverables and schedules. As collaborative partners, CSIS and CDE work as a team with common goals. They engage in joint project management, developing project plans, schedules, and milestones. CDE and CSIS jointly manage changes and risks. CDE is responsible for defining state accountability requirements in accordance with federal and state law under the direction of the State Board of Education. CSIS is responsible for determining how to implement that policy. CSIS and CDE work collaboratively to ensure that CDE data collections and other program specifications for data exchange are developed into accurate CSIS data and technical requirements to meet the data Page 9 of 15

10 needs of CDE. CDE participates as a major stakeholder in the CSIS Advisory Group (CAG) and other forums. CDE also plays an important role in facilitating understanding of and support for the CSIS mission among CDE staff. The back-and-forth nature of this work often means focused communications via work and management meetings, s, partnered presentations, as well as documentation drafts and reviews. CSIS is periodically a client of the CDE. Under its current program structure, CSIS relies on CDE to process yearly budget change proposals and financial grant documentation on behalf of CSIS. CDE and CSIS must work closely to ensure both adhere to a clear process for developing and submitting budget requests. Both CSIS and CDE need the ability to monitor the budget review process and CSIS needs to advocate the CSIS position with state stakeholders at the appropriate intervals California Student Information Systems Vendors Needs A unique partnership exists between vendors of systems that manage student and related information and the CSIS Program. The vendors and CSIS share the common goal of supporting California s public K-12 agencies in their mission critical management of local education data. Objectives common to the vendors and CSIS include providing the tools (systems), data management processes, training, and support necessary for LEAs to facilitate the electronic transfer of information to satisfy local needs and to meet state and federal requirements. These state and federal requirements are in constant flux, so the need for direct and deliberate communication of requirements and schedules is critical to the LEA s overall success. Specifically, SIS vendors need: 1. An understanding of what the CSIS Program is and how to engage with CSIS 2. An understanding of the purpose and parameters of each data submission (i.e. establishment/maintenance of identifiers, state reporting, Pre-ID and various records transfer activities) 3. An understanding of, and active part in, the overall requirements management process 4. Communications from CSIS that clarify which documents provide requirements specifications needed to direct vendor development and training for its product (i.e. data dictionary elements and code definitions, file formats, etc.) and how to access to these documents 5. Opportunities to dialogue with the appropriate CSIS staff to discuss issues, ask questions, and exchange information to ensure common understanding of CSIS requirements, as well as proper and timely implementation 6. Multiple venues for providing feedback on technical and program issues. (i.e. regular vendor meetings, separate support, individual vendor meetings) 7. Feedback on how the LEAs that use their product are doing with state reporting and records transfer activities Page 10 of 15

11 3.2.5 Postsecondary Institutions Needs Postsecondary institutions, including the California Community Colleges, the California State University, and the University of California, collaborate with CSIS on records transfer activities. These institutions need a clear understanding of the CSIS Program s mission, objectives, and priorities, as well as an understanding of LEA practices with respect to generating and sharing transcripts. As specific records transfer activities are developed, CSIS and the postsecondary institutions need to establish effective two-way communication so that they can work in partnership to define requirements for data exchange and develop the schedule for the activity. The postsecondary institutions need access to the resulting data and technical requirements documents as well as access to the information CSIS shares with LEAs about postsecondary records transfer Needs of the Fiscal Crisis and Management Assistance Team Board The FCMAT Board embraces and accepts governance responsibility for the CSIS Program consistent with its responsibilities related to the parent organization. Within their decisionmaking role, the FCMAT Board oversees CSIS operations and is responsible for approving CSIS policy document and the CSIS budget. The Board is engaged in CSIS activities and is kept informed of program progress via its quarterly meetings and through the timely submission of information and actions items included in the Board agendas Independent Project Oversight Consultant The independent project oversight consultant (IPOC) contractor for the CSIS Program needs information supporting its observation and reporting. Specifically, the IPOC needs information to determine the extent to which the CSIS Program implementation is: Well structured and well managed; Utilizing project management practices that conform to accepted industry standards; Compliant with legal and legislative requirements; Identifying and mitigating project risk; Progressing in accordance with project management plans; and Achieving defined success factors and expected objectives. This means that CSIS must provide the contractor with regular updates on the progress of its work, as well as with timely responses to the draft Independent Project Oversight Reports. CSIS must also be available to respond to questions and information requests from the IPOC Other Stakeholders Needs Page 11 of 15

12 Other State Agencies In addition to the CDE, other state agencies need information on CSIS data and technical requirements, policies and procedures to ensure security and confidentiality, and data exchange protocols. The Department of Finance requires the program and fiscal details necessary to process CSIS Budget Change Proposals and to resolve any questions DOF staff may have. The Office of the Secretary of Education, the Legislative Analyst s Office, and the State Legislature periodically need information on CSIS Program s mission and objectives, as well as progress toward these objectives Professional Organizations Professional organizations support their constituents by providing information and services their members need. Professional organizations can assist CSIS by helping their members understand CSIS requirements and deadlines. In that capacity, professional organizations need general information about the CSIS Program, information about specific submission requirements and deadlines, as well as details about the benefits that will be realized as a result of state reporting and records transfer Members of the Public Parents, teachers, and other members of the public occasionally are interested in CSIS activities. These individuals need general information about the CSIS Program s mission and objectives, as well as the benefits that will be realized as a result of state reporting and records transfer. These individuals may also want information about the Program s confidentiality and security policies Media Journalists play an important role with respect to education and educational data in the state; they provide the public with news and information about school accountability and they also report on the public's views and opinions of education. The media may require information on the CSIS Program s mission, objectives and current status Summary of Stakeholder Communication Needs Table 1 summarizes the communication needs of stakeholders with respect to CSIS information. Table 1: Communication Needs of CSIS Stakeholders Communications Need General information about the CSIS Program and its objectives CSIS data submission schedules and milestones External Stakeholders LEAs, SIS Vendors, CDE, other state agencies, postsecondary institutions, IPOC, professional organizations, members of the public, and the media LEAs, SIS Vendors, CDE, postsecondary institutions, IPOC, Page 12 of 15

13 Communications Need External Stakeholders professional organizations CSIS data submission training schedules, training venues, and support documentation Notification of new data and technical requirements for each data submission and reporting year, including changes from previous year s requirements Notification of operational events, such as opening for submission, temporary off-line events, major revisions to UI Calendar of pre-scheduled, standing meetings, such as CAG, Vendor meetings, etc. Notification for add-hoc meetings, such as focus groups, subgroups, Requirements Management meetings with external clients Continual access to published requirements documentation Policy and process for CSIS verification of SIS Vendor compliance to CSIS functionality Notification and dissemination of Program-level information that impacts client participation, performance, funding and/or status in relation to CSIS, such as key changes to legislation Periodic updates on CSIS Program milestones and future strategic objectives/timelines Opportunities to dialogue with CSIS staff about CSIS requirements for the purpose of clarification, notification and discussion of upcoming changes to CSIS functionality and submission requirements, as well as to provide CSIS with feedback concerning program objectives, impacts to local staff, recommendations for improvement, and CSIS-related issues and concerns Information related to CSIS funding and deliverables throughout a contract period Access to other LEA participants to discuss CSIS-related topics Involvement in the development and monitoring of joint projects, including project schedules, milestones, change management, and risk management LEAs, SIS Vendors, CDE, postsecondary institutions, IPOC, professional organizations LEAs, SIS Vendors, CDE, postsecondary institutions, IPOC LEAs, SIS Vendors, CDE LEAs, SIS Vendors, CDE, postsecondary institutions, IPOC, and state agencies working on specific projects LEAs, SIS Vendors, CDE, postsecondary institutions, and state agencies working on specific projects LEAs, SIS Vendors, CDE, IPOC SIS Vendors, IPOC LEAs, Vendors, CDE, IPOC LEAs, Vendors, CDE, postsecondary institutions, IPOC, and state agencies working on specific projects LEAs, Vendors, CDE, postsecondary institutions, and state agencies working on specific projects LEAs under contract for CSIS state reporting LEAs CDE Page 13 of 15

14 4. General Communications Policies This section describes the communications policies that guide all CSIS communications. Specifically, in its communications, CSIS will: 1. Provide accurate, clear, concise, objective and complete information about CSIS policies, requirements, operating procedures, and services. The information CSIS provides about its policies, procedures, and services is clear, relevant, objective, easy to understand and useful. To ensure clarity and consistency of information, plain language and proper grammar are used in all CSIS communications. 2. Provide timely information about CSIS policies and requirements. CSIS posts policy documents as well as data and technical requirements on its web site as quickly as possible and no later than one week after these items are approved. 3. Employ a variety of ways to communicate, including redundant delivery of essential information. Essential information and documents are posted on the CSIS website in a timely manner to ensure they are available to meet clients needs. In addition, CSIS makes information available via a variety of communication channels. All means of communication, including web postings, individual messages, web conferencing, LISTSERV messages, telephone calls, and letters are used to reach and communicate with CSIS stakeholders. Questions and answers are developed for each type of CSIS submission and posted on the web site. Important messages are sent multiple times using a variety of communication channels to increase the likelihood that the messages are received and understood by those who need the information. 4. Adopt and follow standard formats for program documents such as user s guides. A standard format to user s guides and other program documents can facilitate a reader s understanding of the material. Document standards will be developed and revised periodically based upon user feedback to increase the accessibility of CSIS documents. 5. Identify and address communication needs and issues routinely in the development, implementation and post-implementation analysis of services and policies. Communication requirements are identified and addressed when planning, managing or analyzing services and policies. Internal procedures ensure that lessons learned about communications in the post-implementation evaluation of one project contribute to improved communications throughout the CSIS Program. 6. Listen to and take account of stakeholders' interests and concerns when establishing priorities, developing policies, and planning services. CSIS is committed to listening to its stakeholders to develop a thorough understanding of their needs and expectations so that CSIS is better positioned to meet those needs. Ongoing opportunities are available for CSIS stakeholders to provide feedback on major policies, services and initiatives. That feedback is carefully considered in planning, as well as in post-implementation analysis to help make improvements. The dialogue between CSIS and its stakeholders is continuous, open, inclusive, relevant, clear, and reliable. Communication is a two-way process. Page 14 of 15

15 7. Deliver prompt, courteous, responsive, and consistent service. CSIS communications are client-focused. In all communications, CSIS treats clients with respect, fairness, and integrity while also ensuring the communication provided is responsive to their needs. CSIS has the internal communications procedures required to ensure consistent information is distributed to clients regardless of which CSIS department or staff person receives the request. 8. Safeguard confidentiality of the data. CSIS Privacy and Confidentiality Procedures define the process used to ensure privacy and confidentiality of the data. These procedures are honored at all times. In the event a breech of security does occur, CSIS shall follow the policies defined in the CSIS Business Resumption Plan. 9. Decline to endorse or promote specific products. CSIS is committed to working with all school districts in California. Given that these districts vary greatly in size, needs, and financial and human resources available to support data collection and management, the products districts use to meet their needs will vary. CSIS does not endorse or promote specific products. Page 15 of 15