The Unizersilyofc aJiEJmia Title: Authors: Date: Version: Campus Climate Project Requirements Meg Carter, Senior Analyst, Investigations Ierlena Griffin-Desta, Associate Director, Student Affairs Wednesday, June 16, 2010 v1.0 Campus Culture, Climate Inclusion Project Requirements Table of Contents Project Background Scope Delivery Schedule .. Preliminary Detailed June 10, 2010 on. a. I I nunpoao-o-uooroo-ugq L l+d unoJo-OF noun-nounna.4.nncuca.u--onqlecoco? New Report Form Web Portal Modi?cations Database Modifications . EthicsPoint?s ..7 University of California's Testing Test Test Plan Attached Report Form Graphical Design Issue Types Intake Questions orfv-loqull lorry-usury vol-cf'rloll 1 - uyayo-uo-gqa-ooq-q-u-uu IOlO-Irll lac-o-lqnlo Database Mapping for New Updated Fields ..9 Page 2 of 9 Campus Culture, Climate Inclusion Project Requirements June 10, 2010 Project Background As a result of several high pro?le bias-related incidents on various UC campuses during Spring 2010, the University began implementation of a system-wide reporting mechanism to capture such incidents. The solution will be available from system-wide website home page, via a hot button, as well as through a toll-free ?hotline' number. objective was deployment in time for the 2010- 2011 Academic Year, which begins mid-August for the Berkeley 8: Merced campuses mid-September for Davis, Irvine, Los Angeles, San Diego, San Francisco, Santa Barbara Santa Cruz. Scope While most campuses currently have a method for capturing bias-related incidents, there is no common scope or system-wide intake form, making analysis dif?cult. In the future, campuses may continue to deploy their own local systems, but will be minimally required to collect the data being proposed for the system-wide solution. In preparing the detailed requirements for this solution, the campus intake forms were reviewed to ensure a comprehensive set of intake questions. A gap analysis was also conducted to identify campuses whose local forms lacked a full set of required questions. Delivery Schedule Based on a preview of the University of California?s requirements for the new report form graphics intake questions, EthicsPoint?s development team estimated that a mock-up of the report form would be available for review approval by mid-July, with implementation targeted during the second week of September. Preliminary Requirements On April 30, 2010, UC provided Tim Faherty 8; John Killelea with a set of preliminary requirements. Tim presented an estimate of the cost 8; time involved on May 5, 2010. The high-level requirements description included the following elements. 1. Create a Report Form to capture incidents. - Primary purpose is not investigation, but statistical reporting. - Allow for capture of incidents reported through other channels via opening internal cases. 0 Use existing tier structure, so that reports which do rise to the level of violations of law are reviewed addressed along with other violations of law, regulation 8; policy. - Maps to tiers UC Berkeley, UC Davis, UC Irvine, UCLA, UC Merced, UC Riverside, UC San Diego, UCSF, UC Santa Barbara UC Santa Cruz. 0 Uses the locations database de?ned for each campus tier. Page 3 of 9 Campus Culture, Climate Inclusion Project Requirements .iune 10, 2010 Allows for both anonymous 8: identi?ed reporters. Allows reporter to specify if they wovld like an action to be taken, or whether they simply want to voice a concern around the issue. Maps to a unique Case Type (maybe Campus Climate, Culture 8: Inclusion). Accessible through a custom domain on universityofcalifornia.edu, with a re-direct to EP's server. Includes questions similar to those the University of Arizona/Eller College of Business used in their GoodCat report form. Has Report key/Password functionality for follow-ups. Allows reporters to attach ?les once the report is submitted. 2. Changes to existing Web Portal 8: Database. A new Issue Category de?nition. issue categories are displayed on the portai, but not stored on the database.) Several new Issue Types within this category, with de?nitions potentially also with Layers. Spanish translations for the above. 3. Two additional Concurrent Seat Licenses, to support 12 20 new users. We currently have 100 user accounts, with 69 active users, based on our statistical reporting 8: trending of usage. We have 18 Dedicated Seat Licenses 8: 5 Concurrent Seat Licenses, for a ratio of 1 Concurrent Seat License per 10 active Concurrent users; therefore 2 additional licenses should be suf?cient to accommodate the additional users for this project. Detailed Requirements With the exception of the requirement to use the existing campus tiers? locations databases, all of the preliminary requirements were carried forward to the detailed requirements de?nition phase. One additional tier was added to the list of those affected: Lawrence Berkeley Lab. The requirements include extensive data collection on protected characteristics of both the reporting party any identi?ed participants. New Report Form The new report form will include a graphical brand related to web portal, but with a more student-friendiy image. Please see the attached document named EP__SA_ReportForm.pub for speci?cations of the graphics 8: introductory narrative section. The new report form will include intake questions to capture the following data points: Incident location Page 4 of 9 Campus Culture, Climate Inclusion Project Requirements June 10, 2010 Incident date/time duration Issue Type, including Layer Bias Motivating Factor Reporter Role Relationship Presumed Responsible Party Relationship Reporter 8t Participant Contact Information Reporter Participant Demographics The majority of the questions on the intake form are optional. Explanations are provided for each category of question, so that the reporter clearly understands their intended use. in order to highlight the required responses, please preface them with a red star or diamond. When possible, please indent the optional questions responses. Please also hide the reporter contact information (but not demographics) when anonymity is chosen, as well as all of the participant information, unless the reporter speci?es that they know participant identity. Please see pages 2 - 17 of the attached document named CampusClimatelntake.docx for speci?cations of the intake questions their responses. Web Portal Modi?cations Modifications to the web portal include a new issue category (Campus Climate) to the existing list: Conflict of Interest/Commitment Discrimination/ Harassment Economic Waste/Misuse of Resources Fraud, Theft or Em bezzlement Privacy Violations/Computer Security Public/Environmental Health Safety Research/Academic Misconduct Retaliation Against Whistleblowers Workplace Misconduct Campus Climate Other Inquiry/Question Suggestion Concern Comment The de?nition for this new category, presented when the reporter selects the down arrow, is: he University's Principles of Community are grounded in our mission of instruction, research and public service. We value diversity, af?rm the inherent dignity of every person and uphold communities of justice. We strive for a campus and a world free of discrimination, intolerance and hate. We are equally committed to freedom of expression, critical inquiry, civil dialogue and mutual respect. Please use this category to report behavior that violates our Principles of Community.? Page 5 of 9 Campus Culture, Climate Inclusion Project Requirements June 10, 2010 When the reporter selects this category. the dropdown list of issues presented will be: Expression of Bias Hate Speech Graf?ti/Vandalism Intimidation, Bullying or Physical Violence Bias Incident Hostile Climate Other Campus Climate Issues Please see page 1 of the attached document named CampusClimatelntake.docx for the de?nitions of these issues. Both the English Spanish language web portals require modi?cations to include the new category issue types. Database Modi?cations In order to be able to access all of our new data points, we need them to be set up as custom ?elds, rather than custom questions. In several cases, the data we?re requesting maps to an existing question in EthicsPoint?s standard intake process. We would iike the report form to map those responses both to the question 8: to a new custom ?eld, in order for it to be present for analytics. All new custom ?elds, as well as new dropdown values for existing tiers, should be activated for the following tiers: UC Berkeley Lawrence Berkeley Lab UC Davis UC Irvine UCLA UC Merced UC Riverside UC San Diego UCSF UC Santa Barbara UC Santa Cruz When case managers open cases internally, they will have to access these ?elds through the Student Affairs section of the appropriate page. If reporters use the existing web portal or call center, their initial information will be limited to the standard intake form questions. Case managers can communicate with them to request demographic 8: other information. Please see the attached document named for speci?cations of the database modi?cations. Page 6 of 9 Campus Culture, Climate Inclusion Project Requirements June 10, 2010 EthicsPoint?s Activities EthicsPoint personnel direct the following activities. 9?s" Provision of periodic project status meetings. Development of the new report form. Modi?cations to the existing web portal, including English Spanish versions. Modi?cations to the existing database, including new custom ?elds 8: new dropdown values for existing standard custom ?elds. Set up of 2 additional concurrent seat licenses. Test the report form, web portal enhancements database expansion. Set up of a user acceptance testing environment within UC's existing database structure. University of California?s Activities University of California personnel will be responsible for the following activities. 1. 9. Consultation with EthicsPoint throughout the development 8: testing process, including attendance at status meetings any coordination of any necessary decisions regarding requirements implementation. Development of a User Acceptance Test Plan, Test Cases Test Scripts, as well as test execution. Set up of new custom ?elds 81 new dropdown values for existing standard 81 custom ?elds, if requested by EthicsPoint. Set up of a new Student Affairs Access Level new user accounts for the Student Affairs Representatives, including e-mail notification settings. Co?ordination with Locally Designated Of?cials 81 Whistleblower Coordinators on noti?cations responsibilities for the new issue types. Set up of Automatic Case Assignment for the new issue types to new existing users. Set up of custom reports for the UCOP Student Affairs department. Set up a custom domain for the new report form provide a button on the UCOP home page for it. Documentation of IEM procedures for use by the local Student Affairs Representatives. 10. Awareness training on the report form IEM for the Student Affairs departments. 11. User training on for the Student Affairs Representatives. 12. Ongoing system administration support for Student Affairs users. Testing Considerations Page 7 of 9 Campus Culture, Ciimate Inclusion Project Requirements June 10, 2010 Since the new issues will be added to existing production tiers, we would like to use actual historical incidents for our test cases. The information regarding these incidents will be gathered from our campuses. We propose establishing a special tier within the University of California's database for our testing. During the testing period, the report form will populate only this speci?ed tier. Once we're ready for production, we'll migrate these cases to the appropriate tiers, based on their actual locations, using EthicsPoint?s tier re-assignment function. The report form will also be re-directed to populate the appropriate tier, based on the location selected during intake. in addition to exercising the report form, internal cases will be set up in this special tier, through the Open Case feature, utilizing each of the new issue types. Data will be populated into each of the new Student Affairs custom ?elds. All of the new dropdown values for existing standard custom ?elds will be veri?ed, as well. Case number counters wili not be reset at the end of the testing period 8: no data will be deleted from the database. Test Strategy UC trusts that EthicsPoint will follow their standard testing strategy for new report forms, changes to existing web portals 8: database enhancements, including modeling or otherwise evaluating potential capacity 8; performance issues based on the additional external input mechanism the database expansion. Types of testing that may be included in this exercise include unit, system integration regression. This testing should take place outside production environment. When EthicsPoint turns over the production ready enhancements to UC for user acceptance testing, some con?guration support may be required. UC will execute its User Acceptance Test, in order to certify that the project is prod uction-ready. Since the User Acceptance Test will take place in the live production environment, an Implicit regression test will also occur. Although regression scripts will not be created, UC currently averages 5 - 8 hotline reports per week, with a similar voiume of internal cases opened. September is one of our lighter volume months, but we expect the full range of user activity will occur within the User Acceptance Test pe?od. Test Plan We plan to collect data from actual historical incidents in order to develop test cases scripts. This data should include at least 1 incident from every campus, including both rich and sparse sampies. We wili test the following features. 1. Using the report form to set up new cases a. With only the minimally required data points; b. With both required 8: optional data points; Page 8 of 9 Campus Culture, Climate Inclusion Project Requirements June 10, 2010 c. With required, optional conditional data points; cl. With participants identi?ed; e. With a full complement of demographic data speci?ed. Viewing an existing case as a reporter from the report form leaving a follow?up. Viewing an existing case as a case manager 8; changing original case details. Viewing an existing case as a case manager 8: adding details. Using the web portal to set up cases using the new issue types. Using IEM to set up cases using the new issue types. Using Custom Ad Hoc Query to report on all new custom ?elds. Using Custom Ad Hoc Query to report across tiers on Student Affairs Investigations cases, including all existing custom standard ?elds whose dropdown values were modi?ed. In addition, we will review certify the following attributes. E-mail noti?cations of cases opened through the report form the web portal. All user account pro?les 8: automatic case assignment settings. All dropdown values for all data points on the report form. All text 8: graphics on the report form. Issue category all issue type descriptions on the web portal. Existence of all new custom ?elds, as well as dropdown values. Dropdown values on all updated standard custom ?elds. Attached Documents Report Form Graphical Design The graphical design for the new report form is in EP_SA_ReportForm.pub Issue Types 8: Intake Questions The set of new Issue Types 8: intake questions for the new report form is in CampusClimatelntake.docx Database Mapping for New 8: Updated Fields The data mapping for new 8: updated database ?elds is in %g9d9