1. Nancy Capell Univ. of California, Office of the President T. Michael Ford Indiana University Institutional Policy Development: Effective Practices and Solutions Loyola University Chicago Pat Spellacy University of Minnesota

2. 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 UThe Catholic University of America Cornell UCentral Missouri State University Georgetown UIndiana U Juanita College Johnson Technical Institute Loyola Univ. ChicagoMIT Mississippi State U Natl. Assoc. of Colleges & Employers Penn State UniversityQueensland Rail, Australia Temple UniversityThe 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 CommonwealthYale Web Site http://www.acupa.org

3. ACUPA Web Site

4. Policy: What It Really Means

5. 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

6. Read A Framework for IT Policy Development http://www.educause.edu/pub/er/erm04/erm0428.asp 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 http://www.fpd.finop.umn.edu/groups/ppd/documents/appendi x/policyhierarchy.cfm ACUPA Summer Policy Conference Call For Questions contact Nancy Capell nancy.capell@ucop.edu Policy: What It Really Means

7. Institutional Perspective

8. 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/ 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/ http://www.luc.edu/is/cease/ Role of CEASe evolved beyond policy to technical resource, issuing advisories, and consulting

10. 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

11. 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 www.indiana.edu/~vpcfo/policies Indiana University

12. 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 www.fpd.finop.umn.edu/groups/ppd/ documents/main /policyhome.cfm University of Minnesota

13. Policy Development Process Best Practices

14. An Overview

15. Best Practices

16. 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

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. 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

23. Successes and Benefits of Process

24. "A New Business Architecture for the University of California" http://uc2010.ucsd.edu/about/index.htm 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/ http://blink.ucsd.edu/ University of California Successes & Benefits

25. 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

26. 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

27. 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

28. 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

29. 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 http://process.umn.edu/groups/controller/documents/main/ osf_home.cfm University of Minnesota: Successes & Benefits

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

31. Closing Thoughts

32. 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:

33. 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:

34. Questions & Comments