Policy Name: Institutional Reporting
Responsibility for Maintenance: Office of Institutional Planning, Assessment and Research; Administration & Compliance
I. Policy Statement
This policy establishes appropriate controls and processes for the production and dissemination of institutional data and reports.
II. Reason for Policy
The College is responsible for ensuring the accuracy of institutional data and reports, for protecting the privacy of students and employees, and for complying with all regulations and guidelines regarding the collection and dissemination of institutional data.
The objectives of this policy are:
- To increase the College’s capacity to interpret data and draw inferences from data in order to inform planning, evaluation, decision-making, and resource allocation.
- To comply with applicable federal, state and local laws, as well as guidelines and regulations established by federal and state agencies regarding data reporting and privacy protection.
- To clarify responsibilities and procedures regarding the collection, analysis, and dissemination of institutional data.
- To ensure the accuracy of institutional data and reports.
- To ensure that limited institutional resources are invested in the production of high quality data and reports that meet external accreditation and reporting requirements and support institutional decision-making.
III.Applicability of the Policy
This policy is applicable to all employees of the College. Members of the College working with or using institutional data in any manner must comply with federal, state and local laws; all applicable College policies and procedures; and all applicable contracts and licenses. In particular, all users of institutional data must adhere to the federal Family Educational Rights and Privacy Act (FERPA) guidelines. This policy does not apply to New York State Freedom of Information Law (FOIL) requests.
This policy does not apply to dissemination or publication of general information about the activities of the College or responses to inquiries from the media, which are guided by the College’s Policy on Communications and Public Relations. For the purpose of this policy, the following roles are defined:
Executive Council members hold planning and policy-level responsibilities for data in their functional area. Executive Council, as a group, works collaboratively with IPAR/IT to establish overall policy and procedures for management and access to the institutional data of the College. Any request for data, or request for new or modifications to existing institutional reports, will be reviewed and approved by Executive Council.
Data Managers hold operational-level responsibility for data management activities related to the collection, maintenance and dissemination of student and employee data, and for the documentation of departmental procedures and internal controls to ensure the accuracy of data used for external and internal institutional reports.
| Subject || Office Name || Telephone Number || Email/URL |
| Institutional Reporting || Office of Institutional Planning, Assessment and Research || (315) 498-2500 ||firstname.lastname@example.org |
|Ensuring compliance||Office of Administration & Compliance ||(315) 498-2692 ||email@example.com |
| Term || Definition |
| Institutional Data || Institutional data is defined as all student and employee data created, collected, maintained, recorded or managed by the College. It includes data used for planning, managing, operating, controlling or auditing College functions. It also includes data used for institutional reporting and research data that contains personally-identifiable information. |
| External Institutional Reports || External Institutional Reports are the official College reports that fulfill government agency (local, state and federal), contractual, and accreditation reporting requirements. |
| Internal Institutional Reports || Internal Institutional Reports are the official College reports on admissions, enrollment, retention, graduation rates, degree completions and financial aid that are shared among campus constituencies. |
| Operational Reports || Operational Reports include data elements used internally at the department level to support routine operations. |
IPAR and the Information Technology Department will work with the Executive Council and Data Managers to produce institutional data and reports. This may include assistance with compiling and analyzing documentation regarding data collection, analysis, and reporting responsibilities of departments; identifying areas where responsibilities may require agreement between two or more departments; identifying potential data inconsistencies or inaccuracies; and institutional reporting recommendations.
Each division/department is responsible for developing and documenting departmental procedures and internal controls to ensure the accuracy of data used for external and internal institutional reports.
Division/departments must provide IPAR with the list of Data Managers responsible for reviewing the accuracy of data collected by the division/department and provided to IPAR for external and internal institutional reporting purposes.
External Institutional Reporting
- The Office of the President and the Office of Institutional Planning, Assessment, and Research (IPAR) are the only offices authorized to submit institutional data or reports to external entities. No other office may disseminate institutional data that is not publically available to an external entity.
- Each College division head is responsible for providing the Office of Administration & Compliance with an annual list of institutional data and reports required for compliance with federal, state, or local agencies.
- Each Division’s list of institutional reporting requirements for the subsequent academic year will be submitted to the Office of Administration & Compliance by July 30 each year.
- Each Division’s list will include the name and contact information for the requesting agency, report purpose, due dates, information required, location of document, and College contact.
- The Office of Administration & Compliance is responsible for maintaining a summary listing of all institutional reports submitted to external entities, for selectively reviewing such reports prepared by other departments, and providing recommendations that will ensure report timeliness, consistency, and accuracy.
- The Office of Administration & Compliance will compile and maintain a database of external institutional reports routinely required and post a calendar of annual report deadlines by August 31 for the subsequent academic year.
Internal Institutional Reporting
- IPAR is responsible for creating and maintaining a summary listing of all internal institutional reports prepared by IPAR/IT and other departments used for institutional decision-making.
- New internal institutional reports must be validated by IPAR and the Information Technology Department, and approved by Executive Council for College use. Each College division head is responsible for confirming the list of institutional reports annually.
Requests for Institutional Data, Reports and Studies
- All requests for new institutional data, reports and studies that are not included in the annual calendar of internal or external institutional reports must be submitted to the Office of Institutional Planning, Assessment, and Research, and will require review and approval by Executive Council.
VIII. Forms/Online Processes
- Institutional Data/Report/Survey Request Form
- Inventory/Calendar of Institutional Reports
Approved by the OCC Board of Trustees June 17, 2014