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Institutional Policy: A Comprehensive Approach to Governance and Compliance

This workshop explores the importance of institutional policy in various domains such as law, language, and IT. It covers topics like national policy, responsible use, and preservation of institutional assets. Participants will learn about the three-part process for creating effective policies and the benefits of a layered governance approach.

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Institutional Policy: A Comprehensive Approach to Governance and Compliance

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Presentation Transcript

  1. Policy Tracy Mitrano NWACC Workshop

  2. Language Matters! • Law • Middle English • “to lay down” • The floor of expectations • Policy • Ancient Greek • “Polis” • Citizenship

  3. Three Types • National Policy • Broadband, Electronic surveillance • Institutional Policy • Responsible or Acceptable Use, Security • Operational • How many mail addresses on one server

  4. Institutional Policy • General Purposes • Compliance, consistency, harmonization, effectiveness and efficiency of operations • Preserve and protect institutional assets • Due process obligations, whether public or private • IT Policy • “IT Policy is IT personnel’s friend • Protect the network and institutional information • Get IT personnel out of the middle of technical access

  5. Layered Governance for Policy • Mission • Vision • Strategic Plan • Governance • Policy • Implementation • Training • Education and socialization • Audit • Enforcement

  6. What Qualifies for Institutional Policy? • Mapping need to rules • Policy is a rule, not a guidance or suggestion, requires compliance … • Wide Application • Departmental or unit distinction, for both rule and procedure • Rule and Procedure • Complementary • Benefits greatly outweigh the cost • Cost/benefit analysis

  7. Three Part Process Rule • Big Wigs • Senior table for impact statement • Rule, reason, to whom it applies, cost/benefit analysis • Process, including stakeholders • Middle Guys • Editorial Group • Middle Management • Back to the Big Wigs • Final review, approval and promulgation

  8. Policy on Policies http://www.dfa.cornell.edu/cms/treasurer/policyoffice/policies/volumes/governance/upload/vol4_1.pdf

  9. Data or Information ManagementPolicy http://www.dfa.cornell.edu/treasurer/policyoffice/policies/volumes/governance/data.cfm

  10. IT Policy Framework http://www.it.cornell.edu/policies/university/framework.cfm

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