Nancy Capell Univ. of California, Office of the President T. Michael Ford Indiana University

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

2. 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

3. ACUPA Web Site

4. Policy: What It Really Means

5. 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

6. 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

7. Institutional Perspective

8. 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/

9. 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

10. 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

11. 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

12. 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

13. Policy Development Process“Best Practices”

14. An Overview

15. Best Practices

16. 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

17. Best Practices

18. Best Practices - Development 5. Agree on common definitions and terms 6. Use a common format 7. Obtain approval at owner and senior levels

19. Best Practices - Development 8. Plan communication, publicity, and education 9. Put information online and accessible from one location 10. Provide search capability

20. Best Practices

21. 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

22. 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

23. Successes and Benefits of Process

24. 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/

25. 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

26. 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

27. 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!

28. 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)

29. 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

30. University of Minnesota:Financial One Stop Demo Today 2:00 - 3:15Rm: 101A

31. Closing Thoughts

32. 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

33. 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

34. Questions & Comments