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Air University Survey Control

Thank you for reaching out to us prior to starting a survey.  The Air Force Survey Office (AFSO) has purview over attitude and opinion surveys directed to AF personnel only.  Prior to a survey being sent to AF personnel, a Survey Control Number (SCN) is required.  Air University has an exemption to conduct surveys related to its programs and institutional effectiveness.  To obtain this number, an official request (a copy of the survey formatted in MS Word or PDF (all other formats will be returned) must be submitted on the Air University SharePoint site:  AU Survey Control Number Request.

In both instances below, the determination of whether a survey will be approved is based on regulatory factors and on factors such as whether the survey duplicates one where the data are already available and whether the results from the survey questions are actionable and mission-related.  In addition, depending on the questions, an AF Institutional Review Board (IRB) may be required; Air University has an AFRL IRB Team Member who will determine if the survey should be sent for an Human Research Protection Office (HRPO)/IRB review/approval. 

In addition, contract employees (employees that are paid by a third party, not the Air Force) and family members may not be surveyed, with the exception that family members may be surveyed about benefits (example: Exceptional Family Member Program participation, health services). 

Finally, the supporting sponsor must have functional authority over every subject each survey question addresses. Questions within specific areas (deemed of a sensitive nature) may require Office of Management and Budget (OMB) and Office of People Analytics (OPA) review, and if so, the requester will be directed to obtain a waiver before we will complete our review. 

Please review the types of survey requests received and the approval process for each.  If you have any questions, please feel free to call or e-mail me and I’ll be happy to assist.

All Air University correspondence should be directed to the Air University Survey Control POC:  Dr. Jason M. Turner, jason.turner.32@us.af.mil.

Note: The approved AU-Enterprise survey tool that must be used when administering surveys to any AU population is AU Qualtrics enterprise (see AUI36-2602 para 12.5.2.3). All Air University correspondence regarding Qualtrics should be directed to:  Dr. Arden Gale, ithuriel.gale@au.af.edu.  

Air University has several policy documents that will be helpful to you in understanding survey development in our AU Environment:

  • DAFMAN 36-2664 provides guidance in Chapter 5 regarding survey development.
  • AUI 36-2602 provides additional guidance on surveys and research in Chapter 12.

Survey data collections at Air University (AU) are conducted under the guidance in Department of the Air Force Manual (DAFM) 36-2664, Personnel Assessment Program, dated 17 Jan 2025. This Manual is issued by the Air Force Personnel Center, Air Force Survey Office (AFPC/DSYS).  AFPC/DSYS is responsible for managing the Air Force Survey Program and acts as the approving and controlling authority for all attitude and opinion research conducted within the Air Force.  DAFM 36-2664 delegates to the AU Commander and President (AU/CC) authority to establish policies and processes for data collections for (a) scholarly research and (b) institutional program assessment and evaluation.  Survey data collections generally focus on one of these two areas. 

Survey data collections focus on respondents’ feelings, attitudes, opinions, and/or behaviors. Methods for survey data collections include questionnaires, focus groups, polls, and interviews, all of which may be conducted either in-person or through utilization of technology. 

Survey Data Collections for Scholarly Research 

Scholarly research involving survey data collections typically involves collecting data from respondents who are considered “human subjects.”  Surveys which are likely to include research involving human subjects must comply with criteria established by 32 CFR Part 219, Protection of Human Subjects, and DoDI 3216.02_DAFI 40-402. Research means a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge.  Any proposed research involving human subjects must be reviewed according to the Human Research Protection Program (HRPP).  No survey data collections for research can be approved at AU until the Human Research Protection Officer (HRPO) approves the research project.  The approval of survey data collections is separate from the HRPO review.  

Researchers requesting approvals for survey data collections should be aware that the AU/CC will only approve survey data collections from AU students, faculty and staff that support the AU mission.  The AU/CC is not authorized to approve survey data collections from persons outside of their span of control.  Any survey data collections for research purposes intending to gather data from AF personnel outside of the AU/CC span of control must be submitted to AFPC/DSYS. Researchers can contact the Air Force Survey Office (AFPC/DSYS) via email at afpc.dsys.af.surveyoffice@us.af.mil. 

Institutional Program Assessment and/or Evaluation 

Survey data collections at Air University (AU) for institutional program assessment and/or evaluation typically identify the respondents as either AU students, faculty, or staff.  These data collections do not seek to contribute to generalizable knowledge, rather they focus on the effectiveness of specific educational program endeavors.  These survey data collections typically include end-of-course, exit (upon program graduation), and alumni surveys.  

Obtaining an AU SCN for surveys focused on educational program improvement or effectiveness seeking responses from AU students, faculty, and/or staff.  

  1. Survey data collections must be administered using the AU online survey tool (AU OST), unless a specific exemption from AU/A7 is obtained.
  2. Throughout their period of data collection, all surveys must have a current survey control number (SCN) issued by the appropriate authority. 
  3. All schools/centers//programs should have an individual responsible for the conduct of surveys within a school/center/program, this is generally the person responsible for program assessment/institutional effectiveness and/or surveys.  This person is referred to as a Standard Administrative User or Division Head of the AU online survey tool (AU OST).  This is the individual responsible for reviewing surveys and submitting them for an AU SCN.  Please work through the Standard Administrative User to obtain an AU SNC. 
  4. POCs for survey administration at AU:

A. AU Internal Surveys

A survey conducted by Air University personnel and administered to its faculty, staff, and students for Air University’s Program Effectiveness:  (DAFMAN 36-2664, Personnel Assessment Program, Chapter 7, 7.1):

1) Surveys must be uploaded to the AU Survey Control Number site.

2) Surveys must meet all other requirements of DAFMAN 36-2664, Personnel Assessment Program, Chapter 5.

3)  Surveys must include and prominently display the required DODI 8910.01. 5.b. Privacy Act Statement or Privacy Act Advisory when applicable.

4)  Surveys will be approved for two-years effective 1 October 2020.

5)  Any changes made to a survey instrument or the population surveyed after an AUSCN has been granted must be resubmitted through the review process.


B. AU Population from Outside

An entity outside of Air University (Air Force, civilian higher education, or private) has requested Air University’s population serve as a research population on its behalf:

1) Refer the requestor to Air University’s HRPP POC (see Human Subjects Research Link) for extramural research consideration.
2) Additional steps may be required based on the request.


C. Survey of Broader Air Force

C:  A survey conducted by Air University personnel and administered to its faculty, staff, and students that is not for Air University’s Program Effectiveness and/or survey administration extends to Air Force Personnel beyond Air University:

The survey must be submitted to AFSO for review. AFSO has two categories survey administration fall under – Internal and External.

1)  Internal – the customer submits the official package and requests that AFSO administer/host the survey.  There is no cost for this service; however, it is dependent on AFSO’s workload at the time a request is received.  The AFSO Branch Chief will determine whether AFSO can commit to the additional workload within 5 business days of receiving an official request.

If AFSO is able to host the survey, the project is assigned to an Operations Research Analyst (ORA) and Personnel Research Psychologist (PRP).  This team will work closely with you the customer in the development of the survey instrument. 

The timeline to conduct an internal survey is anywhere from 2-4 months and is dependent on multiple factors, such as the complexity of the questions/population and how quickly the customer responds to requests from the AFSO team for additional information or action. 

 2)  External – the customer requests approval to conduct a survey of AF personnel and will obtain their own hosting site, such as Max.gov, SharePoint, Survey Monkey, Survey Gizmo, MilSuite, Surveyintellink.gov etc.  The customer is responsible for all costs.  When an official request is received, which includes the completed AF Form 4453 and a copy of the survey (formatted in MS Word), the project is assigned to a team who reviews the survey instrument and provides feedback.  The team has 20 business days to complete their review.  Their combined reviews are returned to the customer who then incorporates the findings and returns a final version to the AFSO workflow box.  Assuming the updates are approved, AFSO will then issue an approval letter with the SCN. 

All surveys require a sponsor before the AFSO will approve them.  The following information clarifies sponsorship:

The sponsor is that individual who has functional authority over both the population surveyed and every question asked on the survey and who is able to make, change or eliminate programs, policies, and/or procedures. All questions must be within the sponsor’s lane of authority.  There are those instances when more than one sponsor signature may be required.

The primary intent of a “three-letter” functional authority sponsorship is to ensure there is an appropriate level of authority for surveys conducted across organizational boundaries within the Air Force.  For example, the ACC Commander has no authority to survey crew chiefs assigned to AFMC.  SAF/HAF functional authorities, however, exercise oversight of programs governing all crew chiefs within the Air Force.  As a result, SAF/HAF functional authority signature is necessary to ensure an appropriate level of oversight.


D. Other DoD or Public

D:  A survey crosses branches of service, involves more than one government agency, or is going out to members of the public:

If a survey crosses branches of service, involves more than one government agency, or is going out to members of the public, which includes military family members and spouses of military members (unless the survey pertains to benefits) the approving authority is Washington Headquarters Services (WHS).  AFSO will refer you to this agency for approval of the request.  The link to their website is https://www.esd.whs.mil/Directives/collections_pub/ and their workflow box is whs.mc-alex.esd.mbx.dd-dod-information-collections@mail.mil.