University Policy Management Program - Clear, Consistent, and Compliant Policies

1. University Policy UpdateAdmin ForumDecember 12, 2017Ken LiddleChief Compliance Officer

2. University Policy Management Program • Clear and well organized policies and procedures are an essential resource to guide behavior and decision making, as well as uphold accountability and meet legal obligations. • The goals of the Policy Management Program are to: • Provide an accurate, up-to-date, and useful resource to the campus community in one central location • Maintain consistency, transparency and inclusion in the policy creation and revision process • Help manage the necessary balance between risks and workload burdens

3. University Policy Management Program • Features • All policies are assigned a senior leader and a primary contact • All policies must be reviewed at least every five years (or sooner!) • As part of the drafting and vetting process, all new policies, revisions, and revocations are sent to: • Chief Compliance Officer • Relevant Committees • The Provost, Vice Provosts, Deans, and Vice Presidents • Speaker/Deputy of the Faculty Senate • Executive Compliance Committee for review and approval • General Counsel for legal review and approval • President • University Policies are currently available here: http://professor.rice.edu/professor/Policies.asp

4. University Policy Management ProgramNext Steps/Timeline • Phase 1 • Identify and assess current landscape (Spring 2016) • Phase 2 • Establish the program based on feedback and best practices (Spring 2016) • Revise Policy 101 University Policy Development and Management (May 2016) • Phase 3 (2017-2018) • Issue new policies in areas where they are needed • Review all existing policies. Revise policies that are not current or accurate • Development a more robust compliance and policy communication strategy • Phase 4 (Soon) • Policy Library Website (Early Spring 2017)

5. Policy Revisions in the Last Year • 314 Care and Humane Treatment of Animals Used in Research, Testing, Education and Training • 402 Access and Accommodation for Individuals with Disabilities • 405 Paid Time Off (formerly Benefit Time) • 808 Protection of University Data • 810 Signature and Approval Authority • 811 University Programs or Activities Involving Minors • 832 Appropriate Use of Information Technology Important Non-University Policy Updates • Rice University Standards of Ethical Conduct • University Compliance Matrix

6. Policy Revocations in the Last Year • 426 Service Awards • 429 Problem Solving • 602 Student Employment on Rice Funds

7. New Policies in the Last Year • 807 Partisan Political Activities • 841 Identity Theft Prevention Program • 842 Immigration and Visas • 843 Electronic Access and Key Policy • 844 Clery Act Compliance • 845 Security Camera Acceptable Use • 846 Distance and Online Education • 847 Use of Unmanned Aircraft Systems (including model aircraft, quadcopters, and drones)

8. What to Expect This Year • Policy Review – Ongoing • Clerical Changes- Early 2017 • A clerical change is an update to a link, legal citation, names, offices, and formatting (substantive changes and revocations must go through the formal approval process). • Policies will be uniform, and all presented in searchable, accessible pdf format • New Website – Early 2017 • The link will be policy.rice.edu • More Communication, and Better Communication

9. What to Expect I want to hear from you! • Where can we improve our communication? • Are there policies that are confusing? • Are we missing something that would be helpful? • Questions about this or anything else vaguely related to policies or compliance? Ken Liddle, Chief Compliance Officer kliddle@rice.eduor x2287 rucompliance.rice.edu