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9. Policy on information systems & Governance

National College of Ireland (NCI) is committed to having information systems that support teaching and learning, the implementation of quality assurance policies and procedures, and effective and efficient decision making.  Information systems are selected and implemented in consultation with the wider user community using the NCI’s procurement process, a project management approach and are required to adhere to the principles of privacy by default and accessibility by design.

NCI’s information systems are centrally procured and managed by the IT department. Enterprise systems are procured on the basis that they are supported by a reputable vendor with sufficient support available to NCI. Where systems are cloud based, data must be held in the EU and the vendor must engage with NCI’s data protection and information security policies

This overarching policy statement is supported by key individual policies as outlined below.

9.1.             Data

In order to maintain good governance of data, data will be held only once where feasible. Procedures are in place to share common data effectively and efficiently across systems. Procedures are in place to ensure that data is recorded accurately and to assure the security of that data.  Figure 9.1 below is a graphic representation of the relationship between systems. The green-coded systems are those that are ‘origin’ or ‘single source of truth’ systems for course, module, staff and student biographical and curriculum data. Data originating from these must be updated/corrected at source.

Table 9‑1: Table of Critical Information Systems

9.2.             Training

Staff will be trained on information systems prior to their use. This training may be delivered face-to-face, through the distribution of user manuals or by blended or online learning. Procedures are in place for this training to be monitored via the staff induction and probationary period.

9.3.             Key Performance Indicators

As part of its internal and external reporting mechanisms, NCI uses a number of indicators as measures or as proxy measures for performance of learners, programmes and the institution.  In creating these indicators, NCI has paid regard to national and international definitions for the calculation of measures, such as the Higher Education Authority (HEA), Quality and Qualifications Ireland (QQI), U-Multirank and Australian Tertiary Education Quality and Standards Agency (TEQSA). 

Indicators may be presented at institutional, School, programme or modular level.  These indicators are used to highlight areas of good practice and also areas of risk. Indicators relating to programmes, students, and graduates are coded in alignment with the guidance provided by the HEA for its annual statistical returns. Indicators relating to staff and knowledge transfer are aligned to the measures published by HEA in its Higher Education System Performance, Institutional and Sectoral Profiles series.

Reports based on these indicators are considered at academic and executive governance committees and provided where relevant and programme level to programme committees.

NCI’s Key Performance Indicators are included in Appendix 1.

9.4.             Records Management Policy

National College of Ireland (NCI) is committed to achieving compliance with best practice and recognised international standards with regard to record keeping and records management. The aim of National College of Ireland’s records management procedures is the creation and maintenance of full and accurate records, reflecting the functions and activities of National College of Ireland.

9.4.1 Purpose

The purpose of this policy is to provide a clear statement of NCI’s commitment to effective records management as part of its overall efforts to ensure good governance, efficiency, accountability and compliance. It is also intended to set out the overall records management strategy by identifying some of the major elements of NCI’s records management programme and mandating the development and implementation of these and other elements.

The policy also recommends the establishment of suitable structures within NCI in order to facilitate the successful implementation of the records management programme; identifies the roles and responsibilities of NCI staff and management with regard to records management; and ensures the preservation of records of permanent value and establish archival criteria to maintain continued access to appropriate historical records. 

9.4.2 Scope

All information created or received by NCI staff (including faculty and support staff, permanent and non-permanent), contractors, consultants and other agents in the course of their duties on behalf of NCI, preserved in the form of records, is covered by this policy statement. For the purpose of this policy, the definition of ‘record’ in ISO 15489 applies, “information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business”.

This policy applies to all NCI records, regardless of format or location. For the purpose of this policy, locations as defined in the Freedom of Information Act 2014 will apply:

(a) a book or other written or printed material in any form (including in any electronic device or in machine readable form); (b) a map, plan or drawing; (c) a disc, tape or other mechanical or electronic device in which data other than visual images are embodied so as to be capable, with or without the aid of some other mechanical or electronic equipment, of being reproduced from the disc, tape or other device; (d) a film, disc, tape or other mechanical or electronic device in which visual images are embodied so as to be capable, with or without the aid of some other mechanical or electronic equipment, of being reproduced from the film, disc, tape or other device, and (e) a copy or part of any thing which falls within paragraph (a), (b), (c) or (d).

This statement is applicable to all parts of the NCI organisation and includes all departments, offices, units, and areas of work which form part of the organisation’s structure. It does not apply to non-records, which are defined as those used and kept for reference only, or personal documents which were not created or received in the transaction of NCI business.

Examples of non-records include: unsolicited advertising/promotional material; product brochures/catalogues; unsolicited emails; trade publications by companies or public bodies; personal emails (not relating to NCI activities). See the Records Management Procedural Manual for further details and guidance. 

9.4.3 Ownership of records

 All records created in the course of its official business constitute the official records of NCI. All records, irrespective of format (i.e. both textual and electronic) created or received by NCI staff or agents carrying out activities related to the business of NCI, are the property of NCI and subject to its overall control. Employees leaving NCI or changing positions with the organisation must leave all records available for their successors.

9.4.4 Structures and Responsibilities

The Director of Quality Assurance & Statistical Services (DQASS) will have overall responsibility for coordinating the implementation of this Records Management Policy.

The DQASS will convene a Records Management Group (RMG) in order to ensure that this policy and all associated procedures and guidelines are disseminated and implemented throughout NCI. The role of the RMG is to:

• Develop and approve policy for the creation, management and disposition of records
• Agree procedures for the creation, management and disposition of records
• Ensure that appropriate resources exist to support the policy and procedures and that all staff members are aware of the policy and comply with it.                                 

Specific duties of the RMG include:

• Ensuring that appropriate structures are in place to facilitate the successful implementation of the Records Management Policy and all associated guidelines and procedures; this may involve, where necessary, delegating specific tasks or responsibilities to relevant managers or staff members.
• Ensuring that appropriate resources are allocated in order to achieve successful implementation of and compliance with the Records Management Policy and all associated guidelines and procedures.
• Establishing procedures for facilitating awareness of records management amongst staff.
• Establishing procedures to ensure ongoing review and updating of the Records Management Policy in order to ensure continuing compliance with legislative and regulatory requirements.

Membership of the RMG will be occasionally reviewed.

9.4.5 Systems and Responsibility

NCI is committed to the use of trustworthy record-keeping systems and procedures which ensure the integrity and authenticity of records captured, maintained and retrieved. Such systems and procedures aim to:

1. ensure that adequate records of business activities are being created and maintained, and that these records are authentic and reliable;
2. ensure that appropriate access controls are in place to safeguard confidential or sensitive records;
3. enable records to be arranged effectively to facilitate efficient retrieval;
4. ensure that records required for legal, administrative and fiscal purposes are retained for as long as they are needed;
5. ensure that records no longer required are destroyed according to the agreed retention policy;
6. identify and protect vital records essential for the operations of NCI;
7. ensure that adequate storage is provided for the records in a safe and secure environment.

Record-keeping systems will be designed and implemented in the overall context of NCI’s ICT strategies and policies. The implementation of the Records Management Policy will be facilitated by the development of a set of detailed procedures and guidelines which will be put into operation by National College of Ireland.  These will include:

• Staff Records Management Manual, with detailed instructions and procedures for the naming, saving, maintenance and overall control of records within the organisation.
• Records Classification Scheme, to aid the consistent classification and registration of records within NCI, and the efficient retrieval of records by authorised officers of the NCI.
• Records Retention Schedule, to identify suitable retention periods for all records generated in the course of the business activities of NCI, to ensure compliance with legal minimum retention requirements, and to ensure the disposal of records in a controlled and managed manner.
• Such other procedures, guidelines or policies as NCI considers appropriate in the context of implementing effective records management within the organisation.

9.4.6 Responsibilities

It is the responsibility of the Governing Body and the senior executives to endorse records management policies and strategies and to ensure that the necessary management support is in place in order to facilitate implementation.

Each Head of School/Function/Department is required to ensure that the appropriate structures and resources are in place at the local level in order to ensure awareness of and compliance with this policy and the various procedures and guidelines that stem from it. Each School/Function/Department will have a Designated Records Officer, with responsibility for implementing this policy and the various procedures and guidelines within their respective team, and for providing feedback and comments as part of the review and ongoing monitoring process.

All staff, at every level, have a responsibility to observe and implement records management procedures, according to NCI policies and guidelines. This includes a requirement to be aware of and familiar with this policy and all associated procedures and guidelines. NCI recognises that the responsibility for the success of the records management programme is dependent on the commitment of all staff, including senior management and all permanent, temporary, part-time and contract staff.

9.5.             Data Protection Policy

Superseded by the Data Protection Policy and its supporting documents (Data Protection by Design and Default Policy, Data Protection Impact Assessment Threshold Policy, Data Subject Rights Procedure, and Guidance on Third Party Requests for Personal Data). This section no longer applies.

9.6.             Personal Data Breach Handling

Superseded by the Personal Data Breach Handling Procedure and the Data Breach Incident Procedure. This section no longer applies.
 

9.7.             Appendix 9-1: NCI Key Performance Indicators

As part of its internal and external benchmarking and reporting mechanisms, NCI uses a number of indicators as measures or as proxy measures for performance of learners, programmes or of the institution.  In creating these indicators, NCI has paid regard to national[1] and international definitions for the calculation of measures. Indicators may be presented at institutional, School, programme or modular level.  These indicators are used to highlight areas of good practice and also areas of risk.

Indicators relating to programmes, students, and graduates are coded in alignment with the guidance provided by the HEA for its annual statistical returns[2].

Indicators relating to staff and knowledge transfer are aligned to the measures published by HEA in its Higher Education System Performance, Institutional and Sectoral Profiles series

9.7.1 Admission & Registration KPIs

9.7.2 Learning, Teaching & Assessment KPIs

9.7.3 Student Engagement KPIs

9.7.4 Internationalisation KPIs

9.7.5 Widening Participation KPIs

9.7.6 Research and Knowledge Transfer KPIs

9.7.7 Staff KPIs

9.7.8 Financial KPIs

9.8.             Appendix 9-2: Data Retention Schedules

Superseded by the current retention schedules (Finance, Governance and Company, HR, Legal, Payroll, and Student Records Retention Schedules). This section no longer applies.

9.9.              Appendix 9-3: NCI Privacy Statement

The current NCI Privacy Statement is published on the NCI website. This appendix no longer applies.
 

[1] Higher Education Authority,; https://www.umultirank.org/about/methodology/indicators/; https://www.teqsa.gov.au/latest-news/publications/risk-assessment-framework

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