DRAFT DATA REQUEST POLICY FOR INSTITUTIONAL RESEARCH A. Definition of Administrative Data North Central State College’s data base consists of information critical to the success of the institution as a whole. The institution data base is shared data, managed within a conceptual framework. It is likely that the institution data base will be distributed across processing units both within and outside the institution. Data may be digital text, graphics, images, sound, or video. The institution regards data that are maintained in support of a functional unit's operation as part of the institution's administrative data base if they meet any of the following criteria: 1. if at least two administrative operations of the institution use the data and consider the data essential; 2. if integration of related information requires the data; 3. if the institution must ensure the integrity of the data to comply with legal and administrative requirements for supporting statistical and historical information externally; 4. if a broad cross section of users refers to or maintains the data; or 5. if the institution needs the data to plan Some examples of administrative data include student course grades, employee salary information, and the institution's Fact Book. Administrative data does not include personal electronic mail, calendar information and similar material. In addition, the college has access to various external databases that can assist college staff in making decisions. B. Data Stewards and Custodians Data Stewards are senior institution officials who have planning and policy-level responsibility for data within their functional areas. Data Stewards as a group (the Committee of Data Stewards, co-chaired by the Director of Information Technology and the Director of Institutional Research or their designee) are responsible for recommending policies, procedures, and guidelines for institution-wide data administrative activities. The Data Stewards assign data elements to categories of administrative data and recommend sets of administrative data for digital "publication" through the college’. Data Custodians are those individuals directly responsible for creating, maintaining, and using data to support the institution's operation and its information needs. C. Request Procedures 1. This section governs requests to both the Institutional Research Department and the Information Technology Department in an attempt to better coordinate the response process. This new policy shall be publicized over various NC State communication channels, including announcements at departmental meetings and update announcements and training sessions at Fall Convocation. It is the intent of this section to improve the efficiency and effectiveness of responses to data requests. Document1 2. All requestors shall first be referred to the NC State IR website to review publicly available resources. It is possible a large percentage of the answers to questions may be found in these materials. The IR department will collaborate with other Data Stewards and Custodians to continuously build and maintain an online “datamart” that provides data snapshots that are captured from a fixed point in time. These snapshots, often presented in a longitudinal format, will represent the most commonly requested items. Data from external sources will also be made available on this site. 3. A comprehensive directory describing data from the IR website will be made available to all website users to ease their search. In addition, the IR department welcomes “quick” questions for those who need assistance with preparing a data request or navigating through the online resources. 4. If the requestor cannot find the required data from online resources, they can complete and submit an online data request form. In addition to telephone guidance, the IR Department will provide significant online guidance to help end users complete the form. The following is a potential guidance example of some of the most common requests for posting: Category Topic you would like information about. Data Available Summarize By Information available in a particular Ways in which the data can be organized category. and sorted. Enrollment duplicated headcount unduplicated headcount student credit hours term college campus course prefix full-time/part-time instructor instructor Faculty classes mailing address workload term college campus course prefix full-time/part-time instructor instructor Class schedule term college campus division course prefix full-time/part-time instructor instructor day/time room number Document1 Students sex declared program credit load graduate term college campus course prefix 5. With online and personal assistance, the requestor shall complete the form. The purpose of the form is to receive, monitor and track data requests. Requestors will be asked to provide as much detail as possible to ensure an accurate interpretation of the request. The more information provided, the more quickly the request will be completed and returned. Mandatory questions in the form include: a. b. c. d. e. f. g. h. i. j. k. l. Contact name E-mail Phone Fax Department (Checkbox by) i. President’s Office ii. Office of Vice President Learning iii. Business, Liberal Arts and Education iv. Health Science and Public Service v. Technology and Workforce Development vi. President’s Office vii. Learning Support/Retention Division viii. Institutional Advancement Division ix. Business Services Division x. College Foundation Vice President, Faculty, Staff or Other (Checkbox) Date of Request (if not automatically tabulated by system) Have you checked the IR website (Yes/No Checkbox) Have we provided this data to you in the past? Date service required Recurring request? (Yes/No Checkbox) If yes, put another checkbox for frequency (Monthly, Quarterly, Annual) Category of Request. Have a drop-down box. Choose one: ii. Achieving the Dream/Student Success iii. Accreditation iv. Student Outcomes Assessment v. Strategic Planning vi. Institutional Effectiveness vii. Program Evaluation viii. Instructional Analysis ix. Curriculum Development x. Enrollment Management and Retention xi. Resource Management xii. Admissions Recruitment Document1 xiii. xiv. xv. xvi. xvii. Fundraising Alumni Relations Grant Support Accountability and Performance Measure CCSSE/SENSE Student Surveys l. What research question will the information answer? (Narrative) m. Please provide a very detailed description of the data selection criteria (e.g, freshmen only), as well as time period (e.g., Fall 2008, Academic Year 03-04). Also describe the layout and grouping of data (e.g., sorted by ethnicity). Also, if you need our help in completing items from a form or survey, please provide a copy of the actual form or survey and any relevant instructions or definitions. (Narrative, allow for upload) n. Does your request require any extensive level of data collection, manipulation, disaggregation/separation, analysis/synthesis or report preparation? It may be possible to expedite simpler requests such as program rosters. (Checkbox Yes/No) o. How will this data impact decision-making at NC State? (Narrative) p. Intended use of data. (Checkbox for Internal Use, External Use, Both Internal and External, For Inclusion in Public Announcement) q. File format preferred (Checkbox for MS Excel, MS Word, PDF, SPSS, Other Please Specify) r. Presentation of data (Checkbox for Table, Bar Graph, Line Graph, Pie Chart, List, Text/Written Description, Other/Specify) s. Have you already been in contact with someone from Institutional Research or Information Technology regarding your data request? If so, please click on the name below (Checkbox for Tom, Sheila, Ted, Edmund, Bobby) t. Preferred delivery format (Checkbox for E-mail or Snail Mail) u. How will the confidentiality and security of the information be assured (Narrative) 6. The requestor shall receive an automated statement back acknowledging receipt and that an IR/IT staffer would follow up with them within two business days. Other language in the response may include: “Requests will be processed as soon as possible in accordance with the Data Request Response Policy. Depending on the complexity of the request, time of year, and the volume of requests being received it may take anywhere from 3 days to several weeks.” D. Response Procedures 1. Both the IR and IT departments have historically responded to data requests. Generally, the IT department limits its responses to requests for data out of the SIS system that require little manipulation, analysis, synthesis, etc. A prime example would be a request for a class roster or current list of majors. The IR and IT departments are attempting to eliminate the need for an intermediary to process such reports through eventually creating “end-user” reports straight out of the student SIS system through Report-Writer software. Until this extensive programming is completed, the IT department will continue to play a role in helping process Document1 these requests given the resource constraints in the IR office. For the short-term, IT will also facilitate submission of SIS data to the state HEI system, as well as ATD/JBL reporting. 2. The IR/IT Offices will support College decision-makers and constituent groups (as outlined in the table below) by providing necessary data, data analysis, and surveys for decisionmaking and/or informational purposes. The IR/IT will accurately and objectively report on point-in-time reflections of institutional performance and related trend analysis, especially those externally mandated. Another key dimension of IR/IT activity will be responses to ad hoc requests for information. Concurrent with regularly scheduled reports, IR/IT will generally adhere to the following priority basis of information generated for reports or ad hoc requests (based on client groups). Data requests from individuals/committees in the first row would be processed with the highest priority. Requests from groups and individuals in the second row who have been assigned medium priority would be processed according to the following considerations: the nature of the request. What real consequence might befall NC State if this request were not satisfied on the requestor deadline? the degree to which the request supports the Colleges’ Strategic Initiatives, the scope of the request, and the magnitude of demand/volume for services at the time the request is submitted. Constituent Group Priority Level High Priority Document1 College President Vice Presidents Accreditation/AQIP Planning Advisory Committee Academic Council Core Team/DEI Intervention Teams Program Review Committee Enrollment Development Committee Workforce Development Diversity/Poverty Committee Grants Support Medium Priority Lower Priority External Agencies in Support of Partnerships or Agreements (e.g., Ohio Skills Bank, SPARC P-16) Assessment Committee Curriculum Committee Semester Conversion Committees College Budget Committee Individual Program Directors Technology Learning Committee Faculty Caucus Manager’s Advisory Council Staff Caucus Kee Hall Plus Committee In-Service Planning Committee Facilities Committee Other Internal Ad Hoc Committees Other Government Departments or Agencies Individual employees or students External individuals or committees E. Delegation of Requests Amongst IR and IT 1. As noted before, all requests will come through the online system. The request data will be automatically downloaded into a log tracking database on a private page. The Director of Institutional Research will review the request against the priority criteria and assign the initial priority level, in consultation if necessary with the Vice President of Institutional Advancement, who herself may seek counsel of the President’s staff for a major request question. 2. Based on the complexity of the request, the IR Director may recommend that the IT Department handle certain requests and shall refer such request to the Director of IT or his delegate. The IT Department will respond on their ability to process such a request and the staff member assigned. The assigned lead staffer will be noted in the tracking database. 3. Once a determination has been made as to the responsible department/staffer, within two business days staffer shall review the request form and: acknowledge receipt of the request and determine if additional guidance is required from the requestor. Based upon this information, and the priority level of the request, the staffer will estimate the time necessary to complete the task and negotiate a deadline with the requestor. It is very likely this will require a follow-up communication. Document1 4. The assigned staffer will then update the online tracking database based on the communication with the requestor. To assist with recurring/future requests by IT or IR, the log should also be updated with the base information source, including where to find documented scripts/macros, if available, for future replication. 5. In addition to the online log, the basic project information will be added to a Project Log spreadsheet for purposes of day-to-day management tracking. IR staff will log their hours each day by project, which shall be tallied up at each month’s end and/or project completion. 6. The IR Department will review status requests on a weekly basis and provide feedback to requestors within a week of deadline of project status. If the deadline is not going to be met, the Director shall contact the requestor and request an extension. 7. Upon completion of the project, the completion date shall be noted in both the online and spreadsheet Project Log. The final report, assuming all confidential information has been omitted, shall be uploaded to the searchable database on the IR website. E. Denials of Requests 1. The IR Director must provide a written record of the reasons for denial of any access request. E-mail records are acceptable. Reasons for denial might include, but are not limited to: a. Request pertains to information on individual students, faculty or staff, especially concerning violations of the Family Educational Rights and Privacy Act b. The information is protected from dissemination by the College’s Collective Bargaining Agreement with the American Association of University Professors c. If the information is for publication, data on extremely small populations that may reveal student identity will not be released. Unique identifiers will be utilized to conceal student identity. d. The request seeks a summative judgment about a particular program, institutional process, or individual staff member e. Are outside the mandate of IR (e.g., financial statements) f. Would consume an inordinate level of available resources (e.g., major projects for which dedicated resources would normally be required) g. Are not of direct benefit to the planning processes of the institution h. Are from external individuals for their specific research (or other) purposes (e.g., graduate students) 2. Communication to the requestor in these instances will be from the Director of Institutional Research upon consultation with the requestor’s Vice President and if needed, the President’s Staff. Document1 H:\Request Policies And Procedures\Guiding Policy\NC State Draft Policy On Request Procedures.DocxH:\Request Policies And Procedures\Guiding Policy\NC State Draft Policy On Request Procedures.Docx F. Responsibilities of Users 1. Use of administrative data only in the conduct of institution business. The institution expressly forbids the disclosure of unpublished administrative data or the distribution of such data in any medium, except as required by an employee's job responsibilities and approved in advance by the Data Steward. In this context, disclosure means giving the data to persons not previously authorized to have access to it. The institution also forbids the access or use of any administrative data for one's own personal gain or profit, for the personal gain or profit of others, or to satisfy personal curiosity. 2. Maintenance of confidentiality and privacy. Users will respect the confidentiality and privacy of individuals whose records they access, observe any ethical restrictions that apply to data to which they have access, and abide by applicable laws and policies with respect to access, use, or disclosure of information. All data users having access to legally restricted or limited-access data will formally acknowledge (by signed statement or some other means) their understanding of the level of access provided and their responsibility to maintain the confidentiality of data they access. Each data user will be responsible for the consequences of any misuse. 3. Protection of data. Users will comply with all reasonable protection and control procedures for administrative data to which they have been granted access. 4. Accurate presentation of data. Users will be responsible for the accurate presentation of administrative data, and will be responsible for the consequences of any intentional misrepresentation of that data. Document1