no data left behind:

1. No Data Left Behind: Federal Student Aid A Case History Holly Hyland, Federal Student Aid Lisa Elliott, Federal Student Aid

2. Agenda • Federal Student Aid Overview • Data Strategy Initiative • Enterprise Data Management Program • Description of the End Game • Lessons Learned • DAMA Impact • Questions

3. Who We Are… • The Higher Education Amendments of 1998 established Federal Student Aid as the federal government’s first Performance Based Organization (PBO) to modernize the delivery of the Department’s Title IV federal student aid programs. As specified in the authorizing legislation, the purposes of the PBO are to: • Increase accountability • Improve service to students and parents • Integrate business processes and information systems • Strengthen program integrity • Reduce costs

4. Who We Are… • As a PBO, Congress grants Federal Student Aid certain limited managerial flexibilities over its human capital management, budget and procurement activities • Our focus is on: • Delivering world-class customer service • Developing award-winning products and services that are of value to our customers • Effectively managing the programs to ensure fair, effective and appropriate oversight, and service delivery at the lowest cost without sacrificing service levels or quality

5. Our Mission… We oversee (directly and indirectly) the management of the $402B loan portfolio of 80M loans to more than 26M borrowers. 6,130 Schools 3,200 Lenders 36 Secondary Markets 35 Guaranty Agencies 45 3rd-Party\ Servicers Our federal grant and loan programs represent the largest sources of student aid in the United States, annually providing approximately $74B to more than 11M students/parents, including nearly $13B in Pell Grants to the most needy students. We provide this aid through and with the nearly 10,000 program participants.

6. Our Critical Functions… • Federal Student Aid is responsible for a range of critical functions that include, among others: • Processing millions of student financial aid applications • Disbursing billions of dollars in aid funds to students through schools • Enforcing financial aid rules and regulations • Partnering with schools, financial institutions and guaranty agencies to prevent fraud, waste and abuse • Educating students and families about the process of obtaining aid • Servicing millions of student loan accounts • Securing repayment from borrowers who have defaulted on their loans • Operating information technology systems and tools that manage billions in student aid dollars

7. Our Environment • FSA's technology environment is understandably complex: • 21 different information systems provide services. • 140 internal exchange points across FSA’s computing environment, and 175 external exchange points entering into our environment. • 60 million FAFSA’s processed a year – 97% on-line applications • Different identifiers are used to identify partners based upon particular system and type of business transaction. • Multiple procedures required to enroll and register for access to FSA systems. • FSA systems require different user credentials and enforce different policies using different User ID formats.

8. Our Integration Challenge • The Higher Education Act (HEA) legislation of 1998 specifically called on Federal Student Aid to integrate, and defined three principal goals with respect to integration of Federal Student Aid’s information systems: • To integrate the information systems supporting the Federal student financial assistance programs. • To implement an open, common, integrated system for the delivery of student financial assistance under Title IV. • To develop and maintain a student financial assistance system that contains complete, accurate, and timely data to ensure program integrity.

9. Enterprise Architecture Business Architecture Strategy & PRM Alignment BRM Shared Business Processes Information Architecture Data Architecture DRM Shared Data Technology Policies Standards And Products Guide Governance (CPIC and Business / Technology Alignment) Application Architecture Application Portfolio SRM Shared Services Technology Architecture Technology Inventories Shared Infrastructure TRM Security Architecture

10. FEA DRM Standardization Areas

11. The Target State Vision (Architecture)

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

13. Enterprise Development Support Services (EDSS) Model

14. Getting to the Data • 2000 Modernization Blueprint – “the wall” • 2003 Terry Shaw (former COO) – “the data is missing” • Representatives from all business areas “vision without constraint” to determine how things should work. • Bumblebee Chart (Integration Vision Framework) • Target State Vision (TSV) • 2004 Data Strategy • 2006 Enterprise Data Management

15. Evolution to the Target State 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 The Target State outlines the vision to achieve integration. 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

16. The Target State Vision Federal Student Aid Target State Vision e Institution e - s l e Aid Awareness & Application Servicing c Aid Delivery a f i y h Participation L c P r t e s n s a w e c o i c r l Aid Education Submission Eligibility Repayment Consolidation r o 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 n Distribute Student Eligibility d 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 CDA/ODS (NSLDS II) n n r S Information Framework EDW e u p / s e F r s i ITA Integrated Technical Architecture Ancillary Services s Monitor Aid Eligibility Student Enrollment Reporting s s Default Rate Calculation i F s e r / Person u p Org e Analytical Data S r n n e h Transactions i c t s n a t i u r o E 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 Aid Awareness Aid Eligibility Determination Establish Person Record Integrated Partner Management Award & Disbursement Processing Service Debts Recovery & Resolution Consolidate Loans Press Releases Partner Payment and Reporting Management Publications Application Funding Manage Eligibility 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

17. Data Strategy Purpose Develop an overall approach towards data to ensure that accurate and consistent data is available to and exchanged between Federal Student Aid and our customers, partners, and compliance and oversight organization. • Get the Right Information • To the Right Person • At the Right Place and Time • At the Right Cost

18. Data Strategy Initiatives 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 Data Strategy evolved into the integration of five core initiatives:

19. Data Strategy Key Findings The Data Strategy team confirmed several 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.

20. Benefits of the XML Framework to Data Quality Federal Student Aid will use XML, via a single set of enterprise and community standards, to simplify and streamline data exchange across postsecondary education. Benefits • Data Exchange Standard – Standardize FSA’s data exchange using XML as the data exchange technology standard. • Consistent Accurate Data – Define data standards, as XML Core Components, for data exchange to achieve consistent and accurate data. • Standard Data Tools and Processes – Establish standard data tools and processes to support consistently performed data/XML modeling. • Ease of Maintenance – Simplify future interface changes, and support new application and data exchange requirements, through standardized XML-based data modeling.

21. Enterprise Data Management • Formalized October, 2006 • Building off of the work that we’ve been doing informally for the last four years with PESC and adding formal discipline with the Data Management Body of Knowledge (DMBOK) • EDM is a service to the business with the following goals: • Support the improvement of enterprise analytics and • Decrease the cost of and improve the quality of new development projects • Focus on data as an enterprise asset.

22. Enterprise Data Management • Three year strategy: • Concentrate on fundamentals and foundation/communication materials. • Start an Enterprise Data Governance Workgroup and improve and expand Metadata Management. • Develop and implement Data Quality policies and procedures (started in year two).

23. Target State EDM

24. Data Policy and Strategic Planning Defines EDM strategic direction and promotes compliance with EDM policies, procedures and standards. • Drafted of an EDM Strategic Plan. • Developed an EDM Concept of Operations. • Drafted Enterprise Data Policies. • Developed EDM Language for inclusion into Contracts. • Maintained EDM Business Case. • Published Performance Metrics.

25. EDM Monthly Status Report

26. Data Governance Implements data governance processes to maintain standardized data definitions and associated metadata. • Started two years ago with a Data Governance Pilot tackling – Enterprise Address. • Developed Data Standardization Policies and Procedures. • Developed Data Dictionary Standards. • Developed Data Governance Plan. • Formed Enterprise Data Governance Workgroup. • Business people agreed to learn basic to intermediate data modeling concepts. • Joint development of data-related artifacts with business and technical staff.

27. Data Governance Framework Data Governance Management Structure Requires: • Collaboration • Commitment • Consistency Executive Council Escalation Path Enterprise Data Management Program Management, Quality Assurance Strategic Steering Committee Tactical Working Group

28. Target State

29. Metadata Management Uses metadata to guide, control and integrate data activities and products. • Donated metadata registry, the XML Registry and Repository for the Education Community, to the Education Community of Interest. • www.fsaxmlregistry.ed.gov • Published as Open Source on SourceForge. • http://sourceforge.net/projects/fsaxmlregistry/ • Classification scheme extends beyond that used by Federal Student Aid. • Promotes use of common standards across the Education Community of Interest.

30. XML Registry and Repository for the Education Community

31. Metadata Management Uses metadata to guide, control and integrate data activities and products. • Developed Enterprise Metadata Inventory. • Developing Master Data Management. • Purchased and testing IBM Information Server.

32. Data Architecture Promotes sharing of database assets, the use of an integrated architecture to support enterprise-wide data movement, access to common data, data transformation and migration. • Developed an Enterprise Conceptual Data Model (signed off by the business areas). • Developing Enterprise Logical Data Model. • Data Modeling Standards and Procedures. • Developed Naming Standards. • Developed Data Model Registration Policies and Procedures. • Developed Data Migration Roadmap: A Best Practice Summary. • Developed Data Synchronization Policies and Procedures. • Researched Data Integration Services Best Practices and Recommendation.

33. Data Quality Institutionalizes a set of repeatable processes to continuously monitor data and improve data accuracy, completeness, timeliness and relevance. • Developed Enterprise Data Quality Scorecard • Building upon previous work (Data Quality Assurance Strategy) to promote reuse • Developing Data Quality Policies and Procedures • Planning a Data Quality service for the for business areas (data profiling services, etc)

34. Future Areas of Focus • The US Department of Education • 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.

35. When We’ll Be Done • Federal Student Aid is a proactive organization with sophisticated enterprise analytics that are used to inform Congress and help determine new policy. • An Education Taxonomy is not a misunderstood word. • Enterprise Data Artifacts are complete, of high-quality and used by the business areas often. • Federal Student Aid “owns” its data and it’s organized by Business Capability Area, Business Function, and Data. This information is in the SOW for development projects and creates high-quality, lower cost development.

36. Lessons Learned • If it’s not in business (plain) language and/or it’s not clear how it supports the business – EDM doesn’t pay for it. • True change takes time. Period. • The technology is not the hard part – the people part is the hard part. Have someone who’s really, really good with the soft skills at the table. • Luck is not a good business strategy. • Little and often. • It really does help when you have consistency of staff. • Collaboration is so worth the time it takes. • Business areas and Technologists can work together and develop really, really good work.

37. DAMA Impact • Changed CONOPS after researching DMBOK. • Developed data definition standards after attending “The Dictionary: Heart of Data Quality.” • Felt better about EDM coming from a business area after attending “Mastering Master Data.” • Prioritized Data Quality work from year three to year two after attending “Introduction to Data Quality Tools and Technologies.” • Purchased “Data Modeling Made Simple” for members of Data Governance Workgroup. • Changed data models after attending “Make Your Data Model Diagram Really Communicate.”

38. Closing Remark • As you can gather from our presentation, Federal Student Aid’s data work did not begin as a mature Enterprise Data Management Program; in fact, it began in chaos. However, over time: • Opportunities were identified, • Huge goals were set, • Communities of interest were engaged • Purpose was communicated • Strategic decisions were made • Crazy ideas were tried and evaluated • Best practices were researched • Mistakes were made and course corrections were implemented • Baby steps were accomplished • Everyone was heard and valued

39. Questions We appreciate your feedback and comments. • Holly Hyland; Phone: 202-377-3710 Email: Holly.Hyland@ed.gov • Lisa Elliott; Phone: 202-377-4454 Email: Lisa.Elliott@ed.gov