nancy capell univ. of california, office of the president t. michael ford indiana university...

Nancy CapellUniv. of California, Office of the President

T. Michael FordIndiana University

Institutional Policy Development:Effective Practices and Solutions

Loyola University Chicago

Pat SpellacyUniversity of Minnesota

The Association of College &University Policy Administrators

MissionThe mission of the group is explore both the "policy process" on college and university campuses as well as to discuss specific policy issues. The mission will be fulfilled through periodic meetings, special events, outreach activities and electronic communications among the membership.

Members Auburn U The Catholic University of America Cornell U Central Missouri State University Georgetown U Indiana U Juanita College Johnson Technical Institute Loyola Univ. Chicago MIT Mississippi State U Natl. Assoc. of Colleges & Employers Penn State University Queensland Rail, Australia Temple University The Ohio State U U of Arkansas UCLA U of California System U of Cal. - Berkeley U of Iowa U of Maryland U of Mass. at Amherst U of Memphis U of Michigan U of Minnesota U of New Mexico U of Pittsburgh Virginia Commonwealth Yale

Web Site http://www.acupa.org

ACUPA Web Site

Policy: What It Really Means

• Higher ed policy vs. public policy/governmental relations

• Policy on campus

• Linkages of institutional policies and compliance issues

• Mandates translated into institutional policies

Policy: What It Really Means

• Read “A Framework for IT Policy Development” http://www.educause.edu/pub/er/erm04/erm0428.asp

• Hierarchy of Legal/Regulatory and Policy Authorityhttp://www.fpd.finop.umn.edu/groups/ppd/documents/appendix/policyhierarchy.cfm

• ACUPA Summer Policy Conference Call For Questions contact Nancy Capell nancy.capell@ucop.edu

Policy: What It Really Means

Institutional Perspective

University of CaliforniaOffice of the President

• Policy originators vary according to subject matter

• All Presidential policies go through similar review process

• Official System-wide Policy website:http://www.ucop.edu/ucophome/coordrev/process/

Loyola University Chicago• Private, Jesuit, Catholic, multicampus, urban

• Historically, policy formation focused on academic policies, silos for others

• In 1984, a new policy silo emerged – Technology• Technology silo gradually expanded. Included

other groups & became – Computing Ethics &

Security Awareness Committee (CEASe) http://www.luc.edu/is/cease/

• Role of CEASe evolved beyond policy to technical resource, issuing advisories, and consulting

• In 2003, a new University shared governance structure developed– Collaborative policy formation (faculty, staff,

students)– Recommendations to appropriate administrator– University Coordinating Committee (UCC) created– Seven University Policy Committees (UPC) formed

(academic, faculty, staff, student, strategic planning, budgeting & finance, research)

• CEASe directs issues, findings, and recommendations to the UCC for assignment to a UPC

Loyola University Chicago

• Policies can originate from a multitude of initiators

• VP & CFO Financial Policies Committee• Two tracks: “Fast Track” and Normal• Policy Review• VP & CFO Final Review and Approval• Official web site:

www.indiana.edu/~vpcfo/policies

Indiana University

• Policy office established September 1993• Have a Policy and a Process on Developing

Policy• Two standard templates (Regents and

Administrative)• Quarterly Policy Planning Committee meetings• Still have some “leaks”• Official web site:

www.fpd.finop.umn.edu/groups/ppd/documents/main/policyhome.cfm

University of Minnesota

Policy Development Process

“Best Practices”

An Overview

Best Practices

Best Practices - Predevelopment

1. Be proactive in issue identification

2. Identify an owner for each policy

3. Determine the best “Policy Path”

4. Assemble a team to develop policy

Best Practices

Best Practices - Development

5. Agree on common definitions and terms

6. Use a common format

7. Obtain approval at owner and senior levels

Best Practices - Development

8. Plan communication, publicity, and education

9. Put information online and accessible from one location

10. Provide search capability

Best Practices

Best Practices - Maintenance

11. Develop a plan for active maintenance and review

12. Encourage users to provide feedback

13. Archive changes and date new releases with and “Effective Date”

14. Measure outcomes by monitoring or testing

• Be proactive

• Assemble a team

• Lead the effort

• “Shepherd” through the maze

• Final approach, distribution and announcement

• Maintenance and review

Key Points of the ACUPA Policy Development Process

Successes and Benefits of Process

• "A New Business Architecture for the University of California" http://uc2010.ucsd.edu/about/index.htm

• Employee web portal for business transactions

• Streamlined processes using decision-based hierarchies and hyper linking

• "Blink" architecture at UC San Diego http://blink.ucsd.edu/

University of CaliforniaSuccesses & Benefits

• CEASe after 20 years– Seen as resource on policy formation in information

technology issues, including network and information

• UPC after 18 months– Every UPC has addressed at least one issue– Process still under development

• Within a UPC policy formation process differs• Administrators not responding quickly to UPC

recommendations, despite charter requirement

Loyola University Chicago:Successes & Benefits

• Got senior executive buy-in and invited all appropriate departments to “the party”

• Everyone knows how policy process works and where the “buck stops” in terms of policy development and issuance

• Fostered positive interaction between university (central) administration and campus staffs

Indiana University:Successes & Benefits

• With web site access, no longer any paper, postage or binder expenses—”paperless”!

• Serves as model for other policy efforts in institution

• Policies are taken very seriously because “everybody knows” where they are!

Indiana University:Successes & Benefits

• 75% of Non-Regents policies formatted• We can count our policies, forms &

contracts (258, 476, 123) • All policies have an owner• People use the Policy Library (10,000 “hits” a

month)

University of Minnesota:Successes & Benefits

• People see a managed policy development process

• Policy organization sets the stage for other improvements

• Financial One Stop website– A “How To” for Financial tasks with links to policy,

forms, contracts, tools, training, risks, audit results & more.http://process.umn.edu/groups/controller/documents/main/osf_home.cfm

University of Minnesota:Successes & Benefits

University of Minnesota:Financial One Stop

Demo Today

2:00 - 3:15Rm: 101A

Closing Thoughts

• Be supported/approved at senior levels

• Be online and accessible from ANY location (read only)

• Be presented in a common format

• Have common definitions and terms

• Allow for text searches

Policy Information Should:

• Have an assigned owner for each policy

• Have a plan for active maintenance

• Archive, date and notify constituencies of major changes

• Have contacts listed to answer questions

• Allow for user feedback

Policy Information Should:

Questions & Comments