TSPR Higher Education Protocols- Chapter 8

Chapter 8
Management Information Systems

Automation has enabled colleges and universities to enhance operational, instructional and business programs. Technological advances in hardware and software combined with affordable pricing allow institutions of all sizes to use information systems to perform vital functions.
An information technology system provides a number of benefits including:

More efficient operations through speed of processing and increased information
Integration of programs and systems
Telecommunication networks

This module assesses all aspects of information technology including:
Part 1
8.A. Organization
8.B. Budgeting for and Acquisition of Technology and Upgrades
8.C. Technical User Training
8.D. Technology Standards, Policies and Procedures
Part 2
8.E. Technology Planning
8.F. Network Infrastructure
8.G. Integration of Technology across the Institution
8.H. Technical Support
8.I. Contracting and Contract Management

PART 1
This chapter focuses on operations management, not on a technical analysis or review of existing systems.
8.A Organization
To achieve its technology-related goals, an institution must have an organizational structure that creates an environment for using and supporting new technologies.
Data Needs

Policies and procedures
Organizational structure of the information technology operation. For example, who handles instructional technology, who handles administrative technology?
IT Department salary schedule and technology budget
Department mission and goals
Information technology training plans for support staff, instructors and administrators
List training manuals
Memorandum of Understandings (MOU)

Possible People to Interview
System administrator with assigned responsibility
President
Vice President with assigned responsibility
All other Vice Presidents
Director of Information Technology Department
Information Resource Manager
Telecommunications Department
Activities to Perform

8.A.1. Examine the organization and staffing charts and job descriptions for technology and interview staff to determine reporting arrangements, determine whether the organizational structure depicted on the chart reflects the actual organization of the department and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and explain the reasons for changes. Note any contracted services or employees as well as any user committees and show to whom they report in the overall management structure.
8.A.2. Examine the staffing of technology and technology related functions and determine the ratio of total staff to staffing within the technology function. Compare the staffing levels to levels in peer institutions and to industry standards.
8.A.3. Examine the salaries of technology staff and compare the salaries to salaries in area peer institutions or industry standards. Note variances by position.

Questions to Ask
Are instructional and administrative technology support handled in one department or are the technical support functions separated in the overall institution's organizational structure? Is the structure working well or are there opportunities for improving the management of the functions? Does the current arrangement of technology promote communication? Does the current arrangement provide support to users?
Is the technology organization centralized or decentralized? Are there decentralized functions that could be done better in a centralized organization structure? Are there centralized functions that could be done better in a decentralized manner? Does upper management understand the technology function and/or have high expectations of the technology department as a result? Is the board or administration impartial when making contractual decisions for major contracts for technology?
Is there a chief information officer (CIO)? If so, where is the CIO positioned in the organization? How long has this position been in place? Is there in information resource manager (IRM)? How long has this position been in place? Has there been frequent turnover in either the CIO or IRM positions? If so, why? What is the reporting relationship of the IRM to the rest of the organization? Is the IRM properly trained? Who is the highest ranking member of the organization responsible for the information technology function?
Does the institution have an established system for determining information technology staffing requirements that is based upon enrollment, program needs, number of users to support and comparative institution data? Who heads the technology division? Are functions that relate to technology efficiently aligned within the overall institution organization? What is the staffing pattern of the technology division? What are the functions supported by the technology division? How are related functions coordinated within the institution? Does the institution have active user committees to assist in determining needs and establishing system priorities? Explain.
How does communication flow to upper management? Stakeholders? Lower-level employees? How does the board interact with the technology department? Formally? Informally? How does the administration interact with the technology? Formally? Informally? What is the relationship between purchasing and technology? Are there formal lines of communication that support the purchasing of technology? How does the technology department meet the curriculum and instructional needs of the institution?
What is the relationship between the information technology department and campus or departmental staff? How are the needs of individual departments or campuses met? Are there teams of site-based staff that support technology? What is their reporting relationship within the technology function? What is the communication link with technology?
Where does the Technology Advisory Committee fit into the overall institution organization? What advisory or decision-making authority does the committee have? Does the committee have adequate representation from various user groups? Explain. Does the committee meet on a regularly scheduled basis with a well-planned agenda and activities?
Has the institution developed a segregation of functions between the Information Technology department and user departments and internally within the information technology department as possible? Does the institution's central information technology staff function separately from technology staff in accounting, payroll and other departments? Why? Are the duties and responsibilities of the institution's information technology staff clearly separated to ensure checks and balances on input and output data? Why?
What is the turnover rate among technology staff? How is turnover of employees tracked? Do employees complete a survey when they leave the institution? How is leaver information used to improve employee satisfaction? Is institution compensation for technology employees competitive? Does the institution or department have a performance pay plan? How are employees recognized? Are retention bonuses given to employees who agree to stay past certain critical years or in certain critical functions?
8.B Budgeting for and Acquisition of Technology and Upgrades
Data Needs

Policies and procedures or published standards concerning technology acquisitions
Long-range technology plan concerning technology acquisitions
New facility plans (what is being acquired as facilities are built)
Technology related purchasing records
Technology budget, including budgets for individual schools or departments
Fee schedules for services, billing practices and information
Pertinent internal audit reports

Possible People to Interview
System administrator with assigned responsibility
Director of Information Technology
Director of Purchasing
Information Technology Project Leaders
Grant writers
VP of Finance
Technology Advisory Committee members
Internal auditor
Activities to Perform

8.B.1. Diagram the budgeting process for technology and show how, where and when the institutional planning documents, including the technology plan, are tied to the budget preparation process.
8.B.2. Examine the budgets of technology and technology related functions including hardware and software budgets for the last five years and compare the budget and staffing levels to levels in peer institutions and to industry standards. Also examine any notable variances between schools or departments.
8.B.3. Diagram the acquisition process for technology, including interactions with the purchasing and legal services functions as well as the user divisions.
8.B.4. Examine a sample of Qualified Information Systems Vendors (QISV) purchasing documents, data or files and determine the amount of the purchase, the funding source for the purchase, purchasing process used, compliance with state purchasing laws and, to the extent possible, whether prices were competitive.
8.B.5. Obtain documentation regarding the inventory control systems for hardware and software and compare the documented procedures with practices to determine the effectiveness of the controls.

Questions to Ask
Does a reasonable plan exist for the acquisition of technology? Are funding sources identified for each of the planned acquisitions? How are acquisitions prioritized? How is everyone in the pipeline made aware of the priorities? Who ensures that grants and other funding sources are identified and applied for in a timely manner?
What mechanism is in place to ensure that technology is regularly and systematically upgraded? How is obsolete technology disposed of?
When making a decision to buy technology does the institution first assess its current programs and systems? Are user divisions asked what they need and what they hope to achieve with the new technology? Does the institution or department develop a vision for the future that anticipates how the new technology will improve the way the institution does business? Does the institution quantify the improvements it expects to achieve with the purchase? Does the institution write specifications for meeting needs or have vendor products been allowed to dictate the institution's processes? How does the board monitor the benefits achieved through the purchase of technology to determine if the decisions to purchase where appropriate?
How does the institution acquire new technology? Does the institution obtain hardware or software through state or local purchasing cooperatives or catalog purchasing arrangements? Does the institution use purchasing cooperatives and/or the QISV program administered through the Texas Building and Procurement Commission? Are formal bids used to acquire technology? How is the purchasing department involved in the purchasing of technology?
How is the departmental budget tied to the institution's strategic plan? What is the process for assuring that departmental funds are budgeted in accordance with the institution's strategic plan?
How are expenditures controlled? How does the institution ensure that all technology purchases are made following state purchasing guidelines? Does the institution competitively bid technology purchases? What purchasing cooperatives or catalog purchasing arrangements does the institution use when purchasing technology? For each technology project, does the institution perform a feasibility study and cost benefit analysis that evaluates costs, risks and benefit of each project? What are the major challenges to overcome in performing feasibility studies in this institution?
Does the institution attempt to locate alternative funding sources such as grants, donations and the like to pay for or defray the costs of anticipated purchases? Does the institution use lease purchase arrangements to acquire technology? When making decisions to lease or purchase technology outright does the institution factor in the cost of implied interest? Do the terms and conditions of the lease purchase agreement allow the institution to upgrade technology at appropriate intervals?
Does the institution negotiate on purchases and software licenses? Does the institution have teams used to negotiate software licenses? Is software tested prior to purchase?
How does the institution ensure that all software on all computers is properly licensed? That copyrights are honored? How does the institution view "shareware?" When unauthorized software is found on a computer, how does the institution deal with the problem? Does the institution use site-licenses for software that is used on multiple machines? Who is responsible for maintaining the software inventories?
Does the technology department bill its services to other departments or sell services to third parties? What is the fee structure? Does the technology department bid for projects or are rates set based on flat fees? How often are fees and pricing assessed? Is the entire department on a cost recover set up or is there profit built into the fee structure? Are services marketed or just arranged on an as needed basis? How often is the fee structure reevaluated? How do fees factor into the departments overall technology budget? Is income forecasting accurate? How much department income comes from open records requests?
8.C. Technical User Training
Data Needs

Policies and procedures
List of technology-related staff development opportunities
Technology budget
Training manuals
Training inventories or training tracking system data on number of attendees, etc.

Possible People to Interview
System administrator with assigned responsibility
Vice president with assigned responsibility
Director of Information Technology Department
Staff development staff
User departments
Activities to Perform

8.C.1. Prepare a list of technology-related staff development opportunities and show the target audience; the provider, whether internal or external; the frequency of the training; the number of attendees; and the summary results any evaluations received concerning the training.
8.C.2. Examine the staff development budget for technology training for technology staff and for user departments or campuses. Determine what percent training is of the total technology budget for the institution and compare that percentage to industry standards.

Questions to Ask
What, if any, training is mandatory for staff, including instructors? Which training is routinely given to new staff regarding the information technology program and system? What is the basic structure of the institution training plan? Which training is routinely given to non-management staff? How often? Which training is routinely given to management staff? How often? Which training is routinely given to technical support staff? How often? Is the institution Web Page used as a source of training?
Is the IRM properly trained and does the IRM meet all state requirements?
Are users consulted about the needs of new training? How often? What are the training requirements for instructors? For technical support staff? How often are the training sessions evaluated?
What training does staff in the technology division receive to better understand current and emerging developments in technology? How does technology staff serve as resources to other institution administrators in technology matters? Are employees in the division cross-trained? To what extent does technology staff participate in workshops, conferences, seminars, read professional literature and interact with technology administrators in both public and private sectors to improve job performance?
8.D. Technology Standards, Policies and Procedures
Policies, procedures and standards are the bedrock of effective technological change. Institutions need clear policies and procedures for the purchase of technology, its acceptable use, the application of copyright laws and the control of software and hardware inventories.
Data Needs

Policies and procedures or published standards concerning technology acquisitions
Disaster recovery plan and business continuity plan
Long- and short-range technology plans
Institution business plan
New facility plans (what is being installed as facilities are built)
Strategic Plan
Institution review, analysis or evaluation report of current equipment and future hardware needs
Grants and external technology funding; list amounts of E-rate and/or TIF grant funds received/awarded within the last 5 years.
EDP audits
Quality Assurance reviews
Electronic Records Management policies and procedures
IT Project Quality Assurance plan
PC Replacement plan
PC standards and compliance guidelines
Security and Privacy policy
Network disaster recovery plan
Pertinent internal audit reports

Possible People to Interview
System administrator with assigned responsibility
Director of Information Technology
User departments
Board members
President or vice presidents with direct responsibility for technology
Security officer
Internal auditor
Activities to Perform

8.D.1. Compile and examine all policies and administrative procedures relating to technology including, but not limited to any board approved technology standards, internet or other technology use policies for students and/or staff and security policies to protect the privacy of student data.

Questions to Ask
Are information technology policies published and disseminated to appropriate staff and committee members and updated on a scheduled basis? Are technology procedures that implement board-approved policies published and disseminated to appropriate staff and committees?
Does the institution provide procedures for establishing user committees for system planning and feedback? Are accounting and other user department personnel actively involved in the design of new systems and selection of administrative software packages?
Does the institution provide standards for technology that promote acquisition of some technology while discouraging or preventing the purchase of other technology? Are these standards distributed to campuses? How does the institution ensure compliance with standards? Does the technology department support unauthorized hardware or software? Have standards improved the institution's ability to support the software or hardware purchased?
Does the institution have published guidelines (procedures) for application system development and acquisition and maintenance controls? Are there policies or procedures in place to ensure that information technology and user department personnel adequately test new application systems before they are acquired?
What procedures ensure that maintenance (updating and changing) of application programs is adequately controlled? What kind of standards are in place for system documentation? Who is responsible for ensuring that standards for documentation are followed? Which programs are fully documented? Does the institution fully use control features that are built into the hardware and operating system?
Does the institution have policies, procedures or processes in place to restrict access to data files, programs and documentation to authorized personnel? How is access restricted? Does the institution restrict access to hardware to authorized personnel? How?
Has the institution developed appropriate physical safeguards and backup provisions? What off-site storage is used? Has the institution developed a disaster recovery plan?
What input controls, ensure that only properly authorized and approved input data is accepted for processing? What significant codes are used to record data to be verified (e.g., employee numbers or vendor numbers)?
Does the institution practice electronic records management? Review policies and procedures for completeness compared to industry standards. Does the manager in charge of ERM understand the legal and regulatory issues relative to ERM? What system does the institution use (for example, imaging)? What records are maintained? Is there an entry backlog? What happens to the original records?

8.A.1.	Examine the organization and staffing charts and job descriptions for technology and interview staff to determine reporting arrangements, determine whether the organizational structure depicted on the chart reflects the actual organization of the department and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and explain the reasons for changes. Note any contracted services or employees as well as any user committees and show to whom they report in the overall management structure.
8.A.2.	Examine the staffing of technology and technology related functions and determine the ratio of total staff to staffing within the technology function. Compare the staffing levels to levels in peer institutions and to industry standards.
8.A.3.	Examine the salaries of technology staff and compare the salaries to salaries in area peer institutions or industry standards. Note variances by position.

8.B.1.	Diagram the budgeting process for technology and show how, where and when the institutional planning documents, including the technology plan, are tied to the budget preparation process.
8.B.2.	Examine the budgets of technology and technology related functions including hardware and software budgets for the last five years and compare the budget and staffing levels to levels in peer institutions and to industry standards. Also examine any notable variances between schools or departments.
8.B.3.	Diagram the acquisition process for technology, including interactions with the purchasing and legal services functions as well as the user divisions.
8.B.4.	Examine a sample of Qualified Information Systems Vendors (QISV) purchasing documents, data or files and determine the amount of the purchase, the funding source for the purchase, purchasing process used, compliance with state purchasing laws and, to the extent possible, whether prices were competitive.
8.B.5.	Obtain documentation regarding the inventory control systems for hardware and software and compare the documented procedures with practices to determine the effectiveness of the controls.

8.C.1.	Prepare a list of technology-related staff development opportunities and show the target audience; the provider, whether internal or external; the frequency of the training; the number of attendees; and the summary results any evaluations received concerning the training.
8.C.2.	Examine the staff development budget for technology training for technology staff and for user departments or campuses. Determine what percent training is of the total technology budget for the institution and compare that percentage to industry standards.