Survey and Research Data: Approval and Collection

Policy 6.8

Related Policies

I. Reason for Policy

This policy establishes the institutional survey and data collection framework and approval procedures governing the collection, use, and release of research-based and survey data at Dakota State University. It ensures compliance with applicable federal regulations, state laws, and University policies related to data confidentiality, integrity, and responsible research practices. The policy supports coordinated administration of research surveys and data collection to reduce survey fatigue, avoid duplication, and protect the privacy and rights of students, employees, alumni, and external stakeholders.

II. Definitions

1. Data Request. Formal request to access institutional data or unit record (non-public) data for internal or external use.
2. Human Subjects Data. Any data involving living individuals where information is collected, used, or analyzed in a manner that meets the federal definition of human subject's research. All requests for human subjects data (survey or non-survey) require Institutional Review Board (IRB) review and approval prior to OIR processing. (See Section V. Related Documents.)
3. Institutional Survey and Data Collection Framework. The institutional system of policies, procedures, and approvals that governs how surveys and data collection activities are proposed, reviewed, and administered at Dakota State University. The framework ensures that institutional data are collected responsibly, managed securely, and used consistently across the University in compliance with applicable laws and ethical standards.
4. Non-Public Data. Data that contain personally identifiable information (PII) or sensitive institutional information not designated as directory or public data under FERPA or state law.
5. Public Data. Aggregate-level data that are collected and maintained by the Office of Institutional Research (OIR) and are located and available on the DSU intranet or other public websites such as IPEDS.
6. Research Data. Information collected for research purposes involving DSU students, employees, or affiliates, including both public and nonpublic institutional data.
7. Survey. An instrument designed to collect data from University students, employees, alumni, or other stakeholders for institutional or research purposes (e.g., online surveys, focus groups, interviews, and other data-gathering methods targeting university populations).
8. Survey Blackout. Specific dates during which survey administrations are restricted to prevent participant fatigue or conflict with official University survey administration (e.g., end-of-course survey, finals, and start-of-term registration).

III. Statement of Policy

1. Office of Institutional Research (OIR) Responsibilities. The OIR shall coordinate the following research-based and survey data collection involving DSU students, faculty, staff, or affiliates:
   1. Reviews research survey content to ensure compliance with state and/or federal regulations.
   2. Verifies that survey administration is not during survey blackout dates.
   3. Reviews survey research requests for compliance with data governance, confidentiality, and timing guidelines in consultation with the Institutional Review Board (IRB).
   4. Submits survey research requests to the Office of the Provost for final approval.
   5. Approves and grants access to non-public institutional data to authorized individuals or entities in collaboration with Information Technology Services (ITS).
2. Office of the Provost Responsibilities. The Office of the Provost shall have final approval of research surveys before they can be administered through the IRB.
3. Researcher Responsibilities. Researcher responsibilities shall include, but are not limited to, the following:
   
   1. Submits a formal request and obtains approval before data collection or contact with participants.
   2. Uses released data solely for the purpose stated in the Data Request Form.
   3. Obtains IRB approval for any research involving human subjects data, including non-survey data requests for research, before the Office of Institutional Research (OIR) will review or release institutional data.
4. Research Data Quality Standards. When the OIR releases non-survey data for research purpose, it shall follow the common data quality dimensions (from the Data Management Association (DAMA’s) Data Management Body of Knowledge):
   
   1. Accuracy: The degree that data correctly represents ‘real-life’ entities.
   2. Completeness: Whether all required data are present.
   3. Consistency: Ensuring that data values are consistently represented within a data set and between data sets and consistently associated across data sets.
   4. Timeliness: Includes how frequently data values change, whether the data are up-to-date, and the time between when the data was created and when it becomes available for use.
   5. Validity: Whether data values are consistent with a defined domain of values.
   6. Uniqueness: No entity exists more than once within the data set.
5. Privilege Management:
   1. The University shall implement a Role-based Access Control (RBAC) model to set minimum standards for access privileges, ensuring efficient management of user permissions. This model assigns access based on user roles, which are defined by job functions, and permissions that align with role responsibilities.
6. Violation of Survey and Research Data Collection and Approval. Failure to comply with this policy may result in suspension of data collection activities or removal of access to institutional data until compliance is achieved. The University may take additional actions in accordance with University policies and procedures.

Exclusions

1. Requests for data associated with job-related functions are approved through Information Technology Services (ITS) in conjunction with the Registrar and/or Director of Institutional Research and are not covered under this policy.
2. This policy does not apply to job-related, non-research surveys.

Exceptions

None

IV. Procedures (Major)

1. Survey and Research Request and Approval
   
   1. Step 1. The researcher obtains approval from IRB for human subjects research protection.
   2. Step 2. Upon IRB approval, the researcher submits the Request to Survey Form to the OIR for institutional administrative approval for survey administration (timeline, frequency, etc.).
   3. Step 3. The OIR reviews the request to ensure compliance with Section III.A. of this policy.
   4. Step 4. The OIR submits the request to the Office of the Provost.
   5. Step 5. The Office of the Provost approves or denies the survey administration request.
   6. Step 6. The OIR communicates survey administration approval or denial to the IRB within a three-week period.
   7. Step 7. The Research Office distributes survey invitations on behalf of the researcher only after both IRB and institutional approvals have been granted.
2. Non-Survey Research Data Request
   
   1. Step 1. The researcher submits the Data Request Form to the OIR.
   2. Step 2. The OIR reviews the request in collaboration with ITS to ensure compliance with Section III.A. of this policy.
   3. Step 3. The OIR releases the non-survey research data within a three-week period.

V. Related Documents, Forms, and Tools

Institutional Research Page

Data Request Form

Request to Survey Form

VI. Policy History

Adopted: 03/03/2009

Revised: 01/18/2019

Revised: 03/09/2026