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Transcript of 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 [email protected]
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