University Policy Update Admin Forum December 12, 2017 Ken Liddle Chief Compliance Officer

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

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

University Policy Management Program Next 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)

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

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

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)

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

Ken Liddle, Chief Compliance Officer 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.edu or x2287 rucompliance.rice.edu