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 2
8.E. Technology Planning
Data Needs

Policies and procedures
Technology-related planning instruments
Institution business plan
New facility plans (what is being installed as facilities are built)
Strategic Plan
List of technology-related grants and other external funding
Opinion survey responses
Pertinent internal audit reports

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

8.E.1. Compile copies of all plans that relate to technology including but not limited to the institution's long-range technology plan, IR strategic plan, biennial operating plan (BOP) disaster recovery and business continuity plans, campus and institution improvement plans as they relate to technology and the institution's budget and any other relevant plans called for by state regulatory agencies. Prepare a list of the plans, briefly describe the scope of the plan, the individuals or groups involved in creating the plan, the dates covered by the plan, the frequency of the plan's update, who is responsible for monitoring progress and state whether the goals and objectives of the plan are linked to other plans and the budget. Note any inconsistencies between the plans.
8.E.2. Prepare a list of all grants and other external funding obtained by the institution for technology. Determine whether the funding is or is not directly related to implementing the technology plans of the institution.
8.E.3. Examine opinion survey results (as available) to determine the perceived effectiveness of technology in the institution and where users believe that additional work is needed.

Questions to Ask
Does the technology department have a mission statement or have an understanding about how their department fits into the overall institution mission and goal? How does the department monitor and measure success? How does the department know they are meeting their customer's needs? Who are their customers? How is quality of services ensured?
How often do user groups attend regular review and planning sessions? How often the management personnel attend regular review and planning sessions? How is technology staff involved in user division planning that relates to technology?
Does the institution conduct scheduled reviews, analysis and evaluation of information technology software hardware? Do these scheduled reviews consider changing user requirements? Are any user committees involved in conducting reviews, analysis and evaluation of information technology software? Explain. Does the institution regularly review current equipment and future hardware needs on an annual basis? Explain.
Has the board adopted an annual spending plan for information technology with use of operating funds and bond funds as appropriate? Are spending plans tied into technology plans? Do technology plans have detailed implementation schedules and timelines? Is information on progress reported to the board?
Has the board approved multi-year spending plan to provide hardware, software and all peripheral requirements? Funding for use of outside consultants to assist regular staff with system planning, requirement definition, or system implementation if the need exists?
How aggressively has the institution sought grant funding (especially Telecommunications Infrastructure Fund grants) to support the technology plans of the institution? Who is responsible for grant writing? What goals, objectives or strategies are being met through grant funding or other external funding sources? How is this funding strategy reflected in the institution's plans?
For disaster recovery center usage, does the institution have appropriate and updated waivers if the university is not using the DROC for recovery purposes?
Does the institution provide a system for determining accounting, instructional, student records, curriculum, budgeting and other departmental information needs? Does the institution provide a formal prioritization process for analyzing institution-wide needs?
Does the institution's long-range technology planning process include input from representatives of the institution administration, campus-based personnel and support personnel? Are the institution's current and future technology requirements considered when planning for system upgrades or replacements?
How is institution security of hardware evaluated? Of software? How is institution security of information access evaluated? How is disaster and recovery planned? Evaluated? Tested?
Is data regularly stored offsite in light of the recent increase in disasters involving flood, tornado and fire?
Review any existing EDP audits. Have the items identified been corrected? How often are audits conducted? Is there an audit plan? Who performs the audits? What is the reporting arrangement between the auditor and the technology department? Is the EDP auditor able to furnish an independent report?
Does the institution have an IT Project Quality Assurance plan? Does the institution have security policies and procedures in place? Are there projects that are currently under QAT review and what is the status of each project? Does the institution have a comprehensive business contingency plan?
8.F. Network Infrastructure
While infrastructure provides the connections that permit communications, the hardware provides the capability to retrieve, process and disseminate information, software makes these tools truly powerful resources.
Data Needs

Description of the system architecture of the institution (platforms, documentation on WANs, LANs, operating systems, etc)
List of technical services currently supported by the private sector
Inventory of students computers (other hardware) by campus and location
Inventory of staff computers (other hardware) by campus and location
Inventory of specialized administrative software being used in the institution and highlights of instructional programs being used by the institution. (For example, the institution might use Edulog in transportation or Bon Appetit in food services, etc. For instructional programs, there are probably some major efforts that are going on. Just hit the high points. We certainly don't want a list saying, Excel, Lotus, Word, etc.)
Staffing chart showing all of the levels of technical support provided within the institution
Work orders and completion statistics reports
Diagram of the troubleshooting process
Diagram of the data collection, compilation and reporting process
List of operational manual and reports
Network security plans, policies and procedures
Network availability reports
Mainframe availability reports (target availability versus actual availability)

Possible People to Interview
System administrator with assigned responsibility
Director of Information Technology
Information Technology Management
Purchasing staff
User departments
Help desk supervisor and staff
Webmaster
Activities to Perform

8.F.1. Prepare a list or diagram the institution's telecommunications infrastructure including routers, servers, the mainframe, WANs, LANs as well as the wiring (such as T-1 lines) that connect the sites showing the type and capacity of each and the location (where applicable). Also show any external providers that contribute to the infrastructure. Note any areas where the infrastructure is lacking and determine if the institution's plans are addressing these issues.
8.F.2. Obtain a list of computers for all schools and/or programs by facility, type and capacity of computer and location (whether classroom, lab, office, etc.). Establish a student to computer ratio by campus and program based upon computers that can support course-appropriate programs and Internet access (exclude unusable equipment). Establish a staff to computer ratio for administrative computers.

Questions to Ask
Is the network infrastructure of the institution appropriately documented? What are the points of greatest strength and greatest weakness within the infrastructure? What can be done to strengthen the infrastructure and improve services to end-users? Has the institution had a third party review of network vulnerabilities? Have problems identified been remediated?
Are all facilities in the institution connected to the internet? Are the connections in every classroom, or are connections only to certain computers or certain locations within the campus? Are the campus offices connected to the business office? Does the current level of technology allow from electronic communication between campuses and among campuses and the central administration?
Does the university have a current network diagram? How is the infrastructure setup-are there local area networks connected through a wide area network? Does a mainframe or minicomputer operate as a server? How many servers does the wide area network include and what functions are they set up to perform, e.g., data server; e-mail server; print server; intranet server; firewall; etc.
Does the institution own its own network or does it lease network infrastructure from a third party, such as a private business or state or federal government? Who maintains the infrastructure? What routine and preventative maintenance is performed on the infrastructure? Can end-users add to the infrastructure or is adding to the infrastructure centrally controlled?
Are servers and wiring closets secure? What security guards the network? Is there a firewall between the network and external users or threats? Has the firewall been tested and how has it been tested? What types of attempted breeches have occurred and how has the institution dealt with these incidents? How old is the infrastructure and how does the university determine when to upgrade the infrastructure? How many PCs have access to the network and how is data sent securely? What components and how many of them make up the infrastructure: servers, by type; PCs, by number and type; fiber optic lines; coax cable; T-1s; T-3s; DSU/CDU; DS-3; OC-3; ATM; routers; hubs; Ethernet; Token Ring; etc.?
Is the infrastructure maintained by internal staff, contractors or third party companies or a combination? In the event of a network problem, how long does it take to diagnose the problem and effectively repair it? How many problems and what types of problems occur on the network? Does the institution alter support activities in order to prevent similar problems in the future?
Are network administrators and support staff adequately trained to perform their functions? Are end-users given adequate notice when network changes are to be made to insure data is not lost or corrupted? What types of network management tools does the university use? How current are these tools? Are the tools modified to fit the network? Is the network redundant and can data traffic be rerouted in the event of an outage? Is the network both voice and data or just data?
Are required reports submitted by the posted due dates to all appropriate state regulatory agencies? If not, what are the associated reporting problems?
8.G. Integration of Technology across the Institution
Data Needs

Policies and procedures
List of specialized administrative software and major instructional programs being used by the institution
Pertinent internal audit reports

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

8.G.1. Compile a list of specialized administrative software and major instructional programs being used by the institution. (Don't list Excel, Lotus, Word, etc. - only major specialized programs.) Determine when these systems were installed and/or upgraded, whether they are standalone or integrated with other systems, whether the institutions or departments are experiencing any major problems with the system and if any are scheduled for replacement or upgrade in the near future?

Questions to Ask
Are administrative systems integrated to allow for exchange of information? Is the exchange of information immediate, or does information update periodically, such as over night? What processes are not integrated? How does this lack of integration contribute to redundant data entry? To errors or omissions?
How is student information collected and transmitted to the central office? Can instructors enter data directly into the system from the classroom? Are clerks used to enter data that instructors pass to them manually? Is manual data collected at the campus level and entered at the central office? How is the accuracy of manually compiled data ensured? What improvements would be possible if these systems were better integrated or connected?
What form of communication exists between the classrooms and the main offices? Between campuses and the central office? How can an instructor call for help? Are there phones in every classroom? Are there opportunities for using existing lines to improve communication?
Can data be easily integrated into larger statewide reporting systems? What systems or departments have the greatest amount of difficulty in complying with the statewide reporting processes? What transitions or translations are needed to enter data into the statewide systems?
What is the institution's relationship to external entities as it relates to technology? Are there opportunities to expand the current capabilities of the institution through an improved relationship with external entities? Are there external entities such as businesses or other colleges or universities that could, through a partnership arrangement, help the institution to expand its current capabilities?
8.H. Technical Support
Data Needs

Policies and procedures
Staffing charts and job descriptions
Warranty and maintenance contracts
Sample work orders
Information regarding HELP Desk operations and other troubleshooting activities

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

8.H.1. Prepare a staffing chart showing all of the levels of technical support provided within the institutions including support provided by campuses-based personnel, central office personnel, external entities including service contracts, maintenance agreements, warranty services and the like. Define the number of employees within each group, the role of each group, the type of technology that is supported such as MACs, PCs, software, etc. and attempt to the extent possible to determine the ratio of technician to users or the ratio of technicians to computers. Compare to industry or peer institution standards.
8.H.2. Review work orders and completion statistics for a period of time and determine whether responses meet customer expectations and needs. Compare the statistics to industry standards and note areas where improvements might be needed.
8.H.3. Diagram the troubleshooting process, including the help desk operations and determine if the levels of technical support are appropriate and effective.

Questions to Ask
Do customers feel that they are getting the level of technical support they need to get their jobs done? Are there times when the productivity of staff is impaired due to major breakdowns? What activities has the institution performed to reduce productivity losses?
Are the information technology operations performed in a controlled, orderly manner that provides good customer service? Who is responsible for prioritizing requests and scheduling of work assigned to designated staff?
Are campus and administrative user staff that have an interest in technology used effectively to train and troubleshoot for fellow employees?
Has an information technology peer review been conducted? If so, what was found and were the problems remediated?
8.I. Contracting and Contract Management
Technology equipment and support services could be purchased or contracted for through private companies or interlocal agreements with neighboring institutions or other governmental entities. It is important to regularly evaluate whether there are goods or services that can be obtained from the private sector at a lower cost, higher quality or both. It is equally important to continually evaluate existing contracts to determine if the institution is getting the best value possible through the contracting arrangement. This evaluation process is discussed in great detail in the Purchasing Chapter.

8.E.1.	Compile copies of all plans that relate to technology including but not limited to the institution's long-range technology plan, IR strategic plan, biennial operating plan (BOP) disaster recovery and business continuity plans, campus and institution improvement plans as they relate to technology and the institution's budget and any other relevant plans called for by state regulatory agencies. Prepare a list of the plans, briefly describe the scope of the plan, the individuals or groups involved in creating the plan, the dates covered by the plan, the frequency of the plan's update, who is responsible for monitoring progress and state whether the goals and objectives of the plan are linked to other plans and the budget. Note any inconsistencies between the plans.
8.E.2.	Prepare a list of all grants and other external funding obtained by the institution for technology. Determine whether the funding is or is not directly related to implementing the technology plans of the institution.
8.E.3.	Examine opinion survey results (as available) to determine the perceived effectiveness of technology in the institution and where users believe that additional work is needed.

8.H.1.	Prepare a staffing chart showing all of the levels of technical support provided within the institutions including support provided by campuses-based personnel, central office personnel, external entities including service contracts, maintenance agreements, warranty services and the like. Define the number of employees within each group, the role of each group, the type of technology that is supported such as MACs, PCs, software, etc. and attempt to the extent possible to determine the ratio of technician to users or the ratio of technicians to computers. Compare to industry or peer institution standards.
8.H.2.	Review work orders and completion statistics for a period of time and determine whether responses meet customer expectations and needs. Compare the statistics to industry standards and note areas where improvements might be needed.
8.H.3.	Diagram the troubleshooting process, including the help desk operations and determine if the levels of technical support are appropriate and effective.