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A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001 October 29, 2001

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Page 1: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

A Model for IT Policy Development

Marilu Goodyear &

Beth Forrest Warner

University of Kansas

Educause 2001 October 29, 2001

Page 2: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Copyright Marilu Goodyear and Beth Forrest Warner, 2001.

This work is the intellectual property of the authors. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced materials and notice is given that the copying is by permission of the authors. To disseminate otherwise or to republish requires written permission from the authors.

Page 3: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

University Environment

Resistant to change Diffuse and collaborative decision-

making processes Differing levels of technology use and

understanding

Page 4: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

University Values and Mission

Core values: Teaching Research

Mission: Teaching students Contributing to the growth of knowledge

Means of accomplishing the mission? Constantly changing…

Page 5: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Key to Successful IT Policy

Consistent with University values and mission

Developed through consensus Explicit issues Informed participants

Page 6: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Where to Begin?

Lists of complaints and problems

vs.

A shared framework of values

Page 7: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Underlying Requirements

Articulated values of the university Informed participants in the policy

process

Page 8: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

The University of Kansas

Established 1866 Comprehensive educational & research

environment 27,800 students 2,000+ faculty Distributed campuses / facilities 14 major academic divisions Carnegie Research University I

Page 9: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Information Technology at KU

Central and distributed IT services Central services include:

Academic computing support Email University web services Supercomputing Enterprise systems (PeopleSoft) Network and telephone systems Datawarehouse development Library and Digital Library services Printing and mail services

Page 10: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

KU’s IT Policy Responsibilities

Vice Chancellor for Information Services Issues include:

Copyright infringement (DMCA) Email harassment Commercial services on the University

network And, lots more…

Page 11: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

KU’s Policy Framework

Access Freedom of expression Privacy Intellectual Property Security Effective use of resources Records management

Page 12: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Access: Open Flow of Information

The University maintains access to local, national, and international sources of information and communication mechanisms for the expressed purpose of supporting the teaching, research, and service mission of the University. Information resources will be used by members of the community with respect for the public trust through which they have been provided and in accordance with the law and policies established by the State of Kansas, the Board of Regents, and the University and its operating units.

Page 13: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Access

Access to systems, i.e. eligibility for services

Domain name use Remote access Solicitation

Page 14: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Freedom of Expression

Freedom of expression and an open environment to pursues scholarly inquiry and for sharing of information are encouraged, supported and protected at the University of Kansas. Censorship is not compatible with the goals of the University. The University will not limit access to any information based on its content, which meets the standard of legality.

Page 15: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Freedom of Expression

Freedom of speech Exceptions

Libel Slander Harassment Commercial & personal use of resources Advertising Obscenity

Page 16: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Privacy

The general right of privacy is extended to the extent possible to the electronic environment. The University and all electronic users should treat electronically stored information in individual files as confidential and private. Content should be examined or disclosed only when authorized by the owner, approved by an appropriate university official, or required by law.

Page 17: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Privacy

Exceptions for Open Records Effective administration Administrative review Legal search warrants

Page 18: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Intellectual Property

U.S. Constitution: “promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors exclusive Rights to their respective Writings and Discoveries.”

Rights of the creator vs. rights of users Current copyright controversy…

Page 19: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Intellectual Property

The University supports the production of intellectual property by faculty, staff and students for the benefit of the institution and society. All users of electronic information have a personal responsibility to recognize and honor the intellectual property of others.

Plus – concepts and responsibilities of Fair Use

Page 20: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Security

Academic and administrative information processing, telecommunications, and related technology are critical academic and business tools of the University of Kansas. Inappropriate exposures of confidential and/or sensitive information, loss of data, inappropriate uses of computer networks, and risks of physical damage can be minimized by compliance with reasonable standards, attention to the proper design and control of information systems, and sanctions for violations of security policy.

Page 21: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Security Practices

Passwords Virus protection Other measures…

Page 22: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Effective Use of Resources

The University provides information technology resources to the campus community for everyone’s use. These assets should be used equitably and responsibly. The University expects all users to be effective network citizens. The University attempts to maintain high performance of these resources for the benefit of all. Individual users or processes may be identified as using an inordinate amount of resource. Priority is always given to activities that support the University’s mission of instruction, research, and service. Non-academic student use will receive a lower priority.

Page 23: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Effective Use of Resources

Disruptive Network Traffic Limitations on:

Broadcast Messages Peer to peer software use Chain mail

Page 24: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Records Management

New information technologies have transformed the ways Universities create, use, disseminate, and store information. These new technologies offer a vastly enhanced means of collecting information for and about members of the University community, communicating with state government, and documenting the business of the University. It is the University’s obligation to manage and preserve its records to document our history and to provide access to the citizens of Kansas.

Page 25: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Records Management

Definition of public records Open Records process Records retention policies & processes Guidelines for electronic mail use and

retention

Page 26: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Policy Website Organization

Policy language

+

Background & contextual information

=

Informed participants

Page 27: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Policy Information Organization

Policy language University policy Board of Regents policy State laws and/or regulations Federal laws and/or regulations State and Federal court decisions Other relevant background information

Page 28: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Resources Referenced

THOMAS Legal Information Institute FindLaw U.S. Copyright Office UT System Intellectual Property website Local University and State websites

Page 29: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Delivery Mechanism

Easy access Easily updated Easy to include relevant background

information Feedback mechanisms

Page 30: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Policy Stakeholders

Page 31: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Development Process

Identify stakeholders Identify existing policy and relevant

background information Develop new policy language Invite review and feedback via website Revise as needed

http://www.ku.edu/~vcinfo/IT_policy/process.htm

Page 32: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Conclusions

Process works to: Create essential IT policy language Highlight gaps in non-IT policy language Initiate discussions of responsibilities Develops sense of shared ownership

Reinforces recognition that technology is a means to an end – not the end itself

Reinforces sense of shared values Results in consistent and enduring policies

Page 33: A Model for IT Policy Development Marilu Goodyear & Beth Forrest Warner University of Kansas Educause 2001October 29, 2001

Questions???

Marilu Goodyear

[email protected]

Beth Warner

[email protected]

University of Kansas, IT Policy Website

http://www.ku.edu/~vcinfo/IT_policy