Transcript WELCOME [acupa.org]

Institutional Policy Development:
Effective Practices and Solutions
Nancy Capell
Univ. of California,
Office of the President
T. Michael Ford
Indiana
University
Loyola University
Chicago
Pat Spellacy
University of
Minnesota
The Association of College &
University Policy Administrators
Mission
The 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
Cornell U
Georgetown U
Juanita College
Loyola Univ. Chicago
Mississippi State U
Penn State University
Temple University
U of Arkansas
U of California System
U of Iowa
U of Mass. at Amherst
U of Michigan
U of New Mexico
Virginia Commonwealth
Web Site
http://www.acupa.org
The Catholic University of America
Central Missouri State University
Indiana U
Johnson Technical Institute
MIT
Natl. Assoc. of Colleges & Employers
Queensland Rail, Australia
The Ohio State U
UCLA
U of Cal. - Berkeley
U of Maryland
U of Memphis
U of Minnesota
U of Pittsburgh
Yale
ACUPA Web Site
Policy: What It Really Means
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
Authority
http://www.fpd.finop.umn.edu/groups/ppd/documents/appendi
x/policyhierarchy.cfm
• ACUPA Summer Policy Conference Call
For Questions contact Nancy Capell [email protected]
Institutional Perspective
University of California
Office 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
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
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 site:
www.indiana.edu/~vpcfo/policies
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/ppd/documents/main/policyhome.cfm
Policy Development
Process
“Best Practices”
An Overview
Best Practices
Best Practices - Predevelopment
1.
2.
3.
4.
Be proactive in issue identification
Identify an owner for each policy
Determine the best “Policy Path”
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
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
Successes and Benefits
of Process
University of California
Successes & 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 decisionbased hierarchies and hyper linking
• "Blink" architecture at UC San Diego
http://blink.ucsd.edu/
Loyola University Chicago:
Successes & 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
Indiana University:
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!
University of Minnesota:
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:
Financial One Stop
Demo Today
2:00 - 3:15
Rm: 101A
Closing Thoughts
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
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
Questions & Comments