Nancy Capell Univ' of California, Office of the President

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Institutional Policy DevelopmentEffective
Practices and Solutions
Loyola University Chicago Pat
SpellacyUniversity of Minnesota
Nancy CapellUniv. of California, Office of the
President T. Michael FordIndiana University
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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

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ACUPA Web Site
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Policy What It Really Means
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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

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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_at_ucop.edu

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Institutional Perspective
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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 websitehttp//www.uc
  op.edu/ucophome/coordrev/process/

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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

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Loyola University Chicago

• 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

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Indiana University

• 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 sitewww.indiana.edu/vpcfo/policies
  

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University of Minnesota

• 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/pp
  d/documents/main/policyhome.cfm

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Policy Development ProcessBest Practices
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An Overview
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Best Practices
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Best Practices - Predevelopment

• Be proactive in issue identification
• Identify an owner for each policy
• Determine the best Policy Path
• Assemble a team to develop policy

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Best Practices
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Best Practices - Development

• 5. Agree on common definitions and terms
• 6. Use a common format
• 7. Obtain approval at owner and senior levels

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Best Practices - Development

• 8. Plan communication, publicity, and education
• 9. Put information online and accessible from one
  location
• 10. Provide search capability

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Best Practices
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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

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Key Points of the ACUPA Policy Development Process

• Be proactive
• Assemble a team
• Lead the effort
• Shepherd through the maze
• Final approach, distribution and announcement
• Maintenance and review

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Successes and Benefits of Process
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University of CaliforniaSuccesses Benefits

• "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/

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Loyola University ChicagoSuccesses 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

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Indiana UniversitySuccesses 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

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Indiana UniversitySuccesses Benefits

• With web site access, no longer any paper,
  postage or binder expensespaperless!
• Serves as model for other policy efforts in
  institution
• Policies are taken very seriously because
  everybody knows where they are!

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University of MinnesotaSuccesses 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)

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University of MinnesotaSuccesses 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.ed
  u/groups/controller/documents/main/osf_home.cfm

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University of MinnesotaFinancial One Stop
Demo Today 200 - 315Rm 101A
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Closing Thoughts
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Policy Information Should

• 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

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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

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Questions Comments