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STUDENT INFORMATION SYSTEM AND DATA

WAREHOUSE PROJECT REPORT

Prepared by Deborah Lauriano


November 20, 2002
SIS DATA WAREHOUSE PROJECT REPORT

Executive Summary

Purpose

The purpose of this project was to investigate queries processed against the SIS/Banner
System, the Campus Data Warehouse, and the Student Extract, with these general goals:

• categorize the queries according to business functions


• analyze which each system is used for query purposes
• analyze the effect of third-party queries processed against the Banner System
• explain the uses of the Payroll ID in Banner
• if the findings indicate, propose a technical architecture which is a coordinated
approach to fulfilling query requirements that provides a uniform and consistent
view of the data.

Primary Recommendations

Many account holders of each of these systems were contacted by phone, email, and in
person to discuss how data is used, and to identify the systems chosen for query purposes.
Campus units have invested significant resources to develop many unique queries over
the last ten years. These queries and the common queries were found to use significant
resources in the Banner System. A primary recommendation in the following report is
establish a mirrored instance of the Banner System, and to direct third party query users
to this system. This would protect the Banner transaction processing system from
resource intensive queries, would preserve the investment made by campus units, and
could be used to also provide a minimal disaster recovery system.

There are quite a few common uses of the data, the largest of which is course enrollment
totals, and specific student enrollment. Major, GPA, and level data comprise the second
most common data request. All systems are used to gather this data, but the Student
Extract and the Campus Data Warehouse are the favored sources of these data requests.
These common uses, and others such as Undergraduate Admissions data, minimum
progress, progress toward degree, filing to graduate, and commencement, are performed
by each deans office using locally developed queries, extracts, and databases. A primary
recommendation in the following report is to present information supporting these
processes in a uniform and consistent manner through an SIS Data Warehouse. Graduate
Admissions data should be included in this warehouse. The existing Oracle database in
the Campus Data Warehouse should be used as the basis for this development.

These recommendations are not dependent on each other. However, the recommended
approach is to establish a mirrored system first, and the SIS Data Warehouse second. At
some point it could become possible to direct all query users to the SIS Data Warehouse,
allowing direct access for unique usages, and a common web interface for similar
requests.

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SIS DATA WAREHOUSE PROJECT REPORT

1.0 Background

The Banner Student Information System was implemented in the early 1990’s, and was
delivered with virtually no reports and no coordinated mechanism to fulfill the report
requirements of Student Affairs or academic departments. In order to fill this gap,
several uncoordinated activities took place. The Office of the Registrar took on the
burden of attempting to fulfill reporting needs of units that contacted them directly.
Deans’ offices and some academic units added technical staff, in part, to fulfill reporting
requirements. A Student Extract was developed to provide very basic enrollment and
undergraduate admissions data. The Campus Data Warehouse was developed by the
Data Administration unit, and contains general student, undergraduate admissions,
enrollment, and payroll data. Historically, there has been no coordinated effort to direct
query users of student information to the most appropriate of these alternatives.

In an effort to understand how these systems are being used, to reduce duplication of
effort, and to discuss models of how student data could be provided in a coordinated
fashion, a charge was developed by Vice Provost Bruno and Associate Vice Chancellor
Franks to investigate and report on third-party query users of Banner, users of the Student
Extract, and users of the Campus Data Warehouse.

2.0 Summary of Approach

The third-party queries to Banner are defined to be those reports or data extracts that are
generated outside of the Banner application forms and menus. These include data
requests from web-services, such as MyUCDavis and Grad Track$, and local reports
generated using SQL or other tools such as Access, Brio, and Crystal Reports. One goal
of this project was to categorize all third-party queries to Banner and all uses of the
Campus Data Warehouse. Given the time limitation of this project, this was deemed
impossible to achieve given that an informal survey revealed that the Registrar’s Office
maintains over 1600 queries, the Graduate Division over 400, and Letters and Science
over 200. It became necessary to take a more conservative approach to this project.

Users of the three systems were contacted, and information was gathered via in person
interviews, email, and phone. This current exploration of the query usage of Banner, the
Campus Data Warehouse, and the Student Extract (referred to as Antares, and more
currently as Aedes) focuses on these areas:

• Functional needs of query users and choice of source systems


• Use of employment data
• Impact of third-party query users on the Banner System
• Proposed future query architecture.

3.0 Summary of functional needs of query users and choice of source systems.

The following campus units were contacted in order to gather information regarding the
query usages of SIS Banner and the Campus Data Warehouse:

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SIS DATA WAREHOUSE PROJECT REPORT

• College of Letters and Science


• Division of Biological Sciences
• College of Engineering
• School of Law
• School of Veterinary Medicine
• College of Agriculture and Environmental Sciences
• Languages and Literature
• Graduate School of Management
• Graduate Studies
• Undergraduate Admissions
• Office of the Registrar
• Financial Aid Office
• Student Affairs Research and Information
• Electrical Engineering and Computer Science
• Physics
• Chemical Engineering and Material Science
• Math Department
• Subject A.

Staff members in these units were asked to categorize the types of queries and reports
that are generated from the Banner transaction processing system, the Campus Data
Warehouse, and the Student Extract. Their answers demonstrate that their usage of the
data falls into a number of similar and unique categories.

3.1 Similar usages

The deans offices, the Office of the Registrar, and some departments, have several similar
functional needs that are assisted by queries to Banner, the Campus Data Warehouse, and
the Student Extract:

• Course enrollment data through enrollment and drop/add periods


• Probation
• Minimum Progress
• Progress towards degree
• Commencement
• General information regarding majors, class standing, and level
• Historical information regarding majors, GPA, and demographic data
• Admissions profiles
• Email addresses for students and staff
• Facilitation of authorization to local web services.

Current course enrollment data represents the highest volume of similar usage among the
units. This represents course enrollment totals by section, and course enrollment data by
student. Graduate Studies, College of Engineering, Languages and Literature, Division of
Biological Sciences, use the Campus Data Warehouse to produce the course enrollment

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SIS DATA WAREHOUSE PROJECT REPORT

data, while the Registrar’s Office, Graduate School of Management, School of Veterinary
Medicine, and the College of Letters and Science use Banner.1

Graduate Studies and other academic departments have expressed the need to access
Graduate admissions data in a simplified form, similar to the undergraduate admission
data that is available from the Student Extract or Campus Data Warehouse.

There are enough similar uses of data by these departments to strongly suggest that a
common rather than a distributed approach to providing this data would be beneficial.

3.2 Unique usages

The Admissions Office uses the Banner system to assist the admissions decision cycle.
Admissions reports are produced representing different admission criteria for the
different colleges and programs. It is an iterative process by which groups or individuals
are selected for admission to the university. Approximately fifty parameterized reports
are generated reflecting applicants from feeder schools, applicants from specific
geographic regions, advanced standing students, re-entry students, high achieving
students, international and non-immigrant students, athletes, music students, EAOP
students, etc.

The Early Academic Outreach Program in the Admissions office uses the Campus Data
Warehouse, and specifically the Hyperion Analyzer tool, to understand the application
yield, and acceptance rates from specific populations. These reports use historical
information to inform program managers how to focus the activities of the EAOP
program. The Director of Admissions describes this information as critical to the unit’s
planning process.

The Financial Aid Office produces reports to assist with the Financial Aid applicant and
award cycles. Much of the interaction with students has moved to the web, and an
increased number of reports have been necessary to make this process effective. Reports
are used to identify populations that are ready for processing, and to move applicants to
the next phase of processing. If anomalies are found with one student, reports are
generated to identify others who may have the same data issues. Reports are also
generated to monitor fund balances and fund usage.

The College of Engineering uses the Campus Data Warehouse to assist in reporting to
outside agencies, some of which affect the rating of the graduate program. These include
U.S. News and Report, the Engineering Workforce Commission, and the American
Society of Engineering Educators.

1
Degree Navigator does not produce reports that can be used for probation, minimum progress, progress
towards degree, or commencement, according to the Registrar’s Office, which is why units are dependent
on Banner and the Data Warehouse for these reports.

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SIS DATA WAREHOUSE PROJECT REPORT

The Graduate Studies and the College of Engineering have similar requirements to track
graduate fellowship, block grant funding, work-study eligibility and appointments, and
aggregate loan amounts on each student. This requires access to student data on Banner
(this is not available on the Campus Data Warehouse) and payroll data that are gathered
from the Campus Data Warehouse. There is interest from these units to put the
appropriate Financial Aid information on the Campus Data Warehouse to make this
process more effective. The current process is described in more detail in the section 3.0.

Graduate Studies has a web application, Grad Track$, that produces on-demand reports.
The reports are parameterized to allow different selection criteria, and is focused on
providing information on fund balances, and populations of students who are receiving
awards, selected by term, major, and fund.

Graduate Studies has used the Campus Data Warehouse to identify students who are late
paying registration fees. Departments are contacted to follow up with students to
determine if they need assistance.

The Office of the Registrar maintains a large inventory of reports. The office produces
reports for ad hoc requests from departments, and produces a large volume of mailing
labels for honor societies, academic departments, and other requestors. The office
provides reports to the colleges for the graduation certification process as well as
commencement.

The Law School extracts data for the currently enrolled student body, importing into their
own local student database to aid their processing for grades, class scheduling, and
graduation. Resulting data are uploaded to Banner to keep the systems synchronized.

Student Affairs Research and Information merges demographic data from the Campus
Data Warehouse with survey results that the unit conducts.

The Physics Department uses the Student Extract for recruiting purposes.

The Electrical Engineering and Computer Sciences department uses the Student Extract
for populating a local database of undergraduates. The database is used for setting up
computer accounts, establishing files for advising, producing email notifications, and
tracking for graduate admissions and enrollment.

Chemical Engineering and Material Science uses the Student Extract to populate a local
database so that advisors can track and keep notes on students.

Subject A tracks all students who have to fulfill the Subject A requirement. They use the
Student Extract for this purpose.

The Department of International Studies uses the Campus Data Warehouse to generate
new faculty position requests.

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SIS DATA WAREHOUSE PROJECT REPORT

3.3 Source systems and methods of delivery

UNIT SOURCE SYSTEM METHOD OF DELIVERY


Admissions Office – Banner and Campus Data SQL and Crystal Reports,
admissions cycle Warehouse Hyperion Analyzer.
Admissions Office - EAOP Campus Data Warehouse Hyperion Analyzer, and
multi-dimensional cubes
Office of the Registrar Banner SQL and Oracle reports
Financial Aid Office Banner SQL and Crystal Reports
Graduate Studies Banner and Campus Data SQL. Provides extracts to
Warehouse Access databases for further
refinement.
College of Letters and Banner and Campus Data SQL. Provides extracts to
Science Warehouse Access databases for further
refinement. Hyperion
Analyzer.
College of Agriculture and Banner SQL. Provides extracts to
Environmental Sciences local database. May develop
web-interface for users.
Division of Biological Campus Data Warehouse Hyperion analyzer. SQL.
Sciences Oracle database and Banner
College of Engineering Banner, Campus Data SQL. Provides extracts to
Warehouse Oracle database, local database for further
and Student Extract refinement.
Graduate School of Banner and Campus Data SQL. Provides local web
Management Warehouse Oracle database interface to data.
School of Veterinary Banner SQL
Medicine
School of Law Banner SQL. Provides extract to
populate local SIS database.
Student Affairs Campus Data Warehouse Hyperion Analyzer
Student Affairs Research Banner, Campus Data SQL. Provides extract to
and Information Warehouse Oracle database populate local databases.
Hyperion Analyzer.
Office of Resource Campus Data Warehouse Hyperion Analyzer.
Management and Planning
Language and Literature Campus Data Warehouse SQL. Provides local web
interface to data. Hyperion
Analyzer.
International Studies Campus Data Warehouse Hyperion analyzer. SQL
Oracle database
Physics Student Extract Brio.
Electrical Engineering and Student Extract Brio. Provides extracts to
Computer Science local database.
Chemical Engineering and Student Extract Provides extract to local
Material Science database.

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Mathematics Department Student Extract and SQL. Hyperion Analyzer


Campus Data Warehouse
History Campus Data Warehouse Hyperion Analyzer
Subject A Student Extract SQL (query no extract).

4.0 Use of Employment Data

The Payroll/Personnel ID has been loaded into the Banner system for the last two years.
It is primarily used to provide a method to reconcile payroll data for Graduate students
with fellowships and block grants. Students are awarded fellowships and block grants
through the Financial Aid module in Banner but are paid through the Payroll System. A
data feed of payment amounts is generated from the Payroll System and is matched,
through the Payroll ID, to the student so that paid-to-date amounts associated with the
award can be updated. Graduate Studies also uses the Campus Data Warehouse to assist
in this process for individual students. The Payroll/Personnel ID feed to Banner results in
the creation of a suspense record when an individual cannot be matched to a student with
confidence2. Graduate Studies uses the Campus Data Warehouse, which supplies a cross-
reference between student and people on the Payroll System, to research the suspense
records so that students can be definitively matched to Payroll feed records.

In addition to the managing the suspense process, Graduate Studies runs bi-weekly jobs
to extract data from Banner and payroll data on the Campus Data Warehouse to identify
fellowship and block grant funding payment reconciliation problems. The extracted data
are loaded to local databases to produce the comparison reports. On average, there are
about one dozen students who have payment recording issues that have to be resolved
every pay period.

Graduate Studies also extracts payroll data from the Campus Data Warehouse and student
data from Banner to check employment eligibility. Graduate students are required to
advance to candidacy after nine quarters of employment. If they do not advance, they lose
employment. Graduate Students cannot hold student titles for more than 12 quarters.
Graduate Studies currently builds a local database with this employment history, as the
Campus Data Warehouse does not currently store enough historical information to assist
in this process.

Banner also uses the Payroll ID to help in setting up the authorization schema for
employees who use Banner. Users of Banner are required to have a corresponding entry
in the table that holds information about people. The Payroll feed, and by implication,
the Payroll ID, is used to keep this table current.

2
The size of the suspense file has grown to the degree that managing it has become a challenge. This
summer the Banner team met with the affected units to provide training in the mechanics of reducing the
suspense file. The implementation of a Person Directory will have a positive affect on the campuses ability
to manage this process because the matching algorithms will be managed outside the Banner system with
clearer ownership and management processes. Until the Person Registry is established, there does not
appear to be a method that improves on the current one of reconciling student and payroll data.

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The School of Veterinary Medicine uses enrollment data to enable the student/instructor
evaluation process.

The College of Letters and Science uses the Campus Data Warehouse for graduate
students in the payroll system. They retrieve the number of units to determine the correct
FICA and retirement codes for these students.

The Language and Literature Department uses payroll data to track faculty merits and
promotions, and in the hiring process, to report on titles, steps, employment history, and
department.

The Office of Resource Management and Planning uses employee data in the Campus
Data Warehouse for LRDP analysis. An example of this is analyzing where staff reside
and salary ranges by job title and organization. It also uses the data to analyze age groups
of ladder-rank faculty in order to plan for retirement and recruitment.

Several units use the Campus Data Warehouse personnel data to secure email address for
departmental staff.

5.0 Impact of Third-Party Query Users on the Banner System

In order to understand the third-party query usage on Banner, querying activity and CPU
usage was monitored over a three-day period coinciding with the day before Fall 2002
classes started, and the first, second, and third day of classes. These are days that
typically reflect the highest usage of Banner from all perspectives. These two measures
give the clearest picture of system resource usage.

The following shows the percentage of third-party tool users to all query activities for
each day:

• 1 day before classes started – 22% of query usage due to third party tool users.
• 1st day of classes – 24% of query usage due to third party tool users.
• 2nd day of classes – 23% of query usage due to third party tool users.
• 3rd day of classes – 37% of query usage due to third party tool users.

The CPU usage of third-party tool users consistently ranged from 5% to 10% during this
period.3

While the query activity and CPU usage of third-party tools is not critically high, the
Banner technical team feels that usage of this sort is rising, as especially evidenced by the
increased data requests from web services. The Banner technical team does not
proactively review the third-party queries for efficiency or effectiveness. The volume of
unique requests makes such a review prohibitive. The queries are reviewed only when

3
There were two users that consistently ranked high in each category, the data requests from the Campus
Events room scheduling web-server, and the Financial Aid award process.

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SIS DATA WAREHOUSE PROJECT REPORT

their resource usage becomes excessive, which occasionally happens. Consideration of


the trend of growing query usage, the goals of managing query usage, and isolating the
transaction processing system from resource intensive queries, suggests that it would be
beneficial to separate query users from the transaction processing system.

6.0 Proposed Future Query Architecture

6.1 Findings and Recommendations

Finding
There is no comprehensive mechanism that optimizes the performance of third party
queries processing against the Banner system. Occasionally there are individual queries
that negatively impact performance of the transaction processing system. This is
especially critical during peak usage, the start of classes, course enrollment, the add/drop
periods, admissions processing, and aid processing. The collection of third party queries
against the Banner system, while not a critical factor in system performance, use
significant resources. Directing query users to another system offers the highest degree
of protection of the Banner transaction processing system against rogue queries, and
would return a significant amount of system resources to the transaction processing
system.

Many of the query users require real time information, such as admit status of applicants,
course enrollment counts, financial aid processing status, student class schedules, course
enrollment, etc. This suggests that a separate system for query users should mirror the
data on the Banner system in real time.

Many of the third-party query users have invested ten years of effort developing queries
against the Banner system. A significant number of these queries are unique. In order to
leverage this investment, these users should have access to an environment that is a
replica of the Banner database.

Recommendation
Provide an exact replica of the Banner transaction processing system to query users on a
separate server. Use Oracle 9i to provide a mirror of the Banner database, which is
updated in real time. Consider using this server to implement another instance of the
database for limited disaster recovery purposes.

Finding
The deans’ offices and academic departments have a number of similar information
requirements as previously noted. Extracts and reports of this information have been
developed independently by units who have the resources to do so, and do not provide a
unified view of the data.4

4
Many units go to the Office of the Registrar to provide these reports. There is one staff member in the
Office of the Registrar who is primarily responsible for developing and providing this information. His role
is critical to the delivery of information to campus units. To provide this function in his absence could pose
a challenge.

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SIS DATA WAREHOUSE PROJECT REPORT

There are only a few users of the Student Extract. This data could easily be provided in
another venue.

Recommendation
Provide a data warehouse environment for commonly required information. Develop a
portfolio of web-based parameterized queries, which target a rationalized database
developed for this purpose, and provide a unified view of the data. Include payroll data
to facilitate graduate student block grant, fellowship, and employment eligibility
processes. Consider using the Oracle back-end database that feeds the Campus Data
Warehouse as a basis for this implementation. Consider retiring the Student Extract and
providing the information through the SIS Data Warehouse. Establish a warehouse users
group comprised of the query users/developers from Student Affairs and the deans offices
to develop the requirements of these commonly used reports and to guide the overall
development of this component.5

See the figure below for a pictorial representation of the proposed architecture. As
depicted, the Banner transaction processing system would feed the mirrored system. The
SIS Data Warehouse system would be fed by the mirrored system and the
Payroll/Personnel system. If both a mirrored system and a SIS Data Warehouse are
established, it is logical that a mirrored system be implemented before the SIS Data
Warehouse.

5
This approach allows a centralized approach to administering security, which should be considered an
advantage of this model. The current model delegates control to departments, and is not centrally
monitored.

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PROPOSED SIS/DATA WAREHOUSE QUERY ARCHITECTURE

PROPOSED:
CURRENTLY IN MIRRORED SYSTEM PROPOSED: SIS DATA WAREHOUSE
PLACE Mirrored systems for query SIS Data Warehouse for optimized queries
SIS Transaction Processor and disaster recovery. serving common uses, including cross-
Real time update . reference to payroll data.
Enrollment data updated hourly, other data
updated nightly.

Access granted to Banner


Application Forms, Access granted to 3rd party Access through web-
SISWEB, RSVP. query tools, MyUCDavis, enabled pre-defined
Grad Track$, read-only reports, and possibly
web applications. direct access
through 3rd party
query tools

Payroll /
Personnel

6.2 Estimated Resources and dependencies

6.2.1 Mirrored System

The establishment of a mirrored system, including a database for disaster recovery, could
be accomplished by leveraging existing database administration, system administration,
and programming staff. A separate Oracle license, and hardware would be required for
the mirrored database. Ongoing costs include operations support, database administration,
system administration, Oracle licensing, and equipment replacement. On-going
maintenance should be minimal. Set-up and testing could take as little as 2-3 months.
Communication to the third-party tool users, and assistance in redirection of their queries

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to the mirrored database will take several months to be effective. A transition period
where both the transaction processor and the mirrored database are available to query
users is advisable.

6.2.2 SIS Data Warehouse

Although recommended, the establishment of a SIS Data Warehouse is not dependent on


the existence of a mirrored system. The SIS Data Warehouse could draw data directly
from the SIS Transaction Processing System. However, this would negate the mitigation
of performance risk to the SIS Transaction Processing System that comes as a result of
redirecting many third-party tool users to a mirrored system.

The SIS Data Warehouse will require hardware for the database and web-server, an
Oracle license, and a web presentation tool license (for example Cold Fusion). A full
time data analyst and a minimum of two programmers will be required for a minimum of
one year. This staff could be incrementally reduced or shared with other efforts after the
initial development. Ongoing costs will include operational support, database
administration, system administration, Oracle licensing, web-tool licensing, and
equipment replacement. The existing Campus Data Warehouse Oracle back-end database
should be used as a starting point for the SIS Data Warehouse. It collects much of the
data that is commonly required and also integrates payroll data.

As previously recommended, the direction and focus of the SIS Data Warehouse should
defined by an oversight committee comprised of key staff from Student Affairs and the
deans offices.

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Appendix I
Units and Employees Who Provided Information for this report

Chemical Engineering and Material Science Christopher Derr


College of Agricultural and Environmental Science Michael Ranson
Andy Richmond
College of Engineering Donna Davies
Suzy Wolf
College of Letters and Science Andy Richmond
Dan Trask
Randi Thompson
Everett Wilson
Division of Biological Sciences Dax Prather
Ellen Tani
Electrical and Computer Engineering Karen Gurley
Financial Aid Office Paul Drobny
Liz Webb
Trina Wilson
Graduate School of Management Bradford Luten
Graduate Studies Barbara Breeden
History Rose Mary Miller
Informational and Educational Technology Hebert Diaz-Flores
Cortney Midla
Patrick Kelly
Ann Leamon
Debi Lorraine
Jamila Sahakian
Dave Squire
Todd Van Zandt
International Studies Valerie Vaughn
Languages and Literatures John Alden
Katherine Perrone
Jeremy Smith
Mathematics Nancy Davis
Zach Johnson
Tracy Ligtengerg
Office of the Registrar Don Barclift
Keitha Hunter
Chris Redder
Office of Resource Management and Planning Bob Agee
Julie Saylor
Physics Joe Kiskis
School of Law Anthony Stewart
Daniel Yang
School of Medicine Lauren Snow

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SIS DATA WAREHOUSE PROJECT REPORT

School of Veterinary Medicine Ray Thai


Student Affairs Bill Cooper
Nancy Flagg
Student Affairs Research and Information Gillian Butler
Antionette Davis
Subject A Office Carol Beck
Undergraduate Admissions Michael Dang
Paul Doty
Darlene Hunter
Dona Owfook
Karen Rendig
Gary Tudor

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APPENDIX II
SURVEY OF ALL KNOWN HYPERION ANALYZER USERS, FREQUENCY,
AND USE6

Division of Biological Frequently in Fall, once per Admissions numbers - by


Sciences quarter thereafter division and by major;
Student numbers – by
division and by major;
student credit hours
College of Engineering Quarterly Undergraduate Admissions
data
International Studies Once or twice a year To compare student
enrollments within
departments and generate
new faculty position
requests
College of Letters and Once a month to several Deans need centralized,
Science times a week consistent and easily
accessible student-related
data to answer many ad hoc
questions
Languages and Literature Several times a month To determine future course
enrollments based on
historical data
Student Affairs Research Several times a month To develop undergraduate
and Information applicant survey samples
based on demographics
Office of Resource Several times a month Student and faculty
Management and Planning headcounts by different
brackets, including age;
various employee statistics
for budget planning
History 2-3 times a month Student and course
enrollment numbers
Student Affairs Once a month Admissions, student and
employee data
Undergraduate Admissions Infrequently Admissions statistics for
transfer students

6
All known users were contacted. All but two provided information. Hyperion analyzer allows users to
access the Essbase “cubes” through an intuitive front end tool.

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