Technology is reshaping our educational and business operations. This session will introduce the Top 10 Policies most needing development or update because of technology and the Top 10 Best Practices for a process that keeps policies current and

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ACUPA
The Effects of Technology onPolicy Planning
Development
The Effects of Technology on Policy Planning
Development
AKA Better Than LettermanThe Top 10 Policy
Issues and Best Practices

• Technology is reshaping our educational and
  business operations. This session will introduce
  the Top 10 Policies most needing development or
  update because of technology and the Top 10 Best
  Practices for a process that keeps policies
  current and accessible as developed by the
  Association of College and University Policy
  Administrators (ACUPA).

Presented byT. Michael Ford, Indiana
UniversityVirginia Rezmierski, University of
MichiganPat Spellacy, University of Minnesota
CACUBO 2001 Annual MeetingTuesday, October 9,
2001145 - 300
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ACUPA
The Effects of Technology on Policy Planning
Development
Presenters
Presenters

• T. Michael FordT. Michael Ford is Special
  Assistant to the Vice President and Chief
  Financial Officer at Indiana University in
  University Administration. He has been with
  Indiana University since 1995 and prior to that
  was with the California State University, Office
  of the Chancellor from 1989 in the business and
  finance division. Before his career in higher
  education administration he worked in the Wall
  St. sector with Chase Manhattan Bank, N. A. and
  Data Resources, Inc.He received his Bachelors
  degree in business administration from Howard
  University and a Masters degree in general
  administration from the University of Maryland.
• Virginia E. Rezmierski, Ph.D.Dr. Rezmierski
  served for almost 20 years as Director of the
  Office of Policy Development and Education at the
  University of Michigan, where she led a team of
  policy analysts researching and analyzing
  information technology related policy issues.
  She has published numerous articles regarding
  information technology and ethics, privacy,
  security, and community building. She continues
  to speak nationally and locally on these issues
  as well and has led several national research
  projects to examine the costs associated with
  information technology related abuse
  incidentsVirginia completed a BA in Sociology
  and Political Science from the Maxwell School of
  Citizenship at Syracuse University and a MA in
  Psychopathology and Special Education from
  Syracuse University. She holds a Ph.D. in
  Educational Psychology from the University of
  Michigan, with a research specialization in
  non-verbal communication and aggression.In
  June, 2000, Virginia retired from her
  administrative responsibilities at the University
  of Michigan. She continues, however, to hold
  teaching appointments in three of the colleges at
  the University of Michigan. For the Ford School
  of Public Policy she provides a graduate course
  entitled "Technology, Emerging Law, and Applied
  Policy". For the School of Information she
  provides a graduate course entitled "Ethics and
  Values". She also holds an appointment at the
  School of Education. She is currently directing
  a National Science Foundation research project
  designed to examine the interface between systems
  logging and monitoring activities and student
  record privacy protections.
• Pat SpellacyPat Spellacy, CPA, is Director of
  Policy and Process Development at the University
  of Minnesota. He has been in that position since
  1993. He was Director of Audits at Minnesota for
  eleven years. Prior to coming to the University
  he was with the Minnesota Office of Legislative
  Auditor, last serving as the Deputy Legislative
  Auditor for Financial Audits. He is a graduate of
  St. John's University in Minnesota.

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ACUPA
The Effects of Technology on Policy Planning
Development
Welcome
Welcome

• Summary of Presentation
• Association of College and University Policy
  Administrators (ACUPA)
• Policy Procedure Definitions
• Top 10 Policy Development Best Practices
• Top 10 Policy Issues
• Who We Represent
• The Wisdom of ACUPA
• Our Institutional Perspective
• This Session Will Test...
• Your Knowledge of Minnesota
• How Normal You Are

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ACUPA
The Effects of Technology on Policy Planning
Development
Your Knowledge of Minnesota
Your Knowledge of Minnesota

• What is the state bird?A) CardinalB) Common
  LoonC) RobinD) Ring - Necked Pheasant
• What is the state flower?A) PeonyB) Apple
  BlossomC) Pink White Ladys SlipperD) Wild
  Prairie Rose
• Who is the state governor?
• A Visual Test...

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ACUPA
The Effects of Technology on Policy Planning
Development
The Association of College University Policy
Administrators
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
• Mississippi State U Massachusetts Institute of
  Technology
• The Ohio State U National Assoc. of Colleges
  Employers
• Penn State University Queensland Rail, Australia
• Temple University U of Arkansas
• UCLA U of California System
• U of Cal. - Berkley U of Iowa
• U of Maryland U of Mass. at Amhearst
• U of Memphis U of Michigan
• U of Minnesota U of New Mexico
• U of Pittsburgh Virginia Commonwealth U
• Yale
• Web Site
• http//www.inform.umd.edu/CampusInfo/Committees/As
  soc/ACUPA/

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ACUPA
The Effects of Technology on Policy Planning
Development
ACUPA Web Site
ACUPA Web Site
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ACUPA
The Effects of Technology on Policy Planning
Development
The Importance of Terminology
The Importance of Terminology
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ACUPA
The Effects of Technology on Policy Planning
Development
The Basics
The Basics

• What is a Policy?
• They state an institutional position.
• They describe mandates, community beliefs and
  boundaries.
• They should include why and who.
• What is a Procedure?
• They tell us how.
• They often include who, what, when and where.
• They are the customary or standard practice way
  of handling situations.
• Why Are Policies and Procedures Important?
• They establish responsibilities and
  accountability.
• They help ensure compliance and reduce
  institutional risk.
• They may be needed to establish and/or defend a
  legal basis for action.
• They provide clarification and guidance to the
  community.

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ACUPA
The Effects of Technology on Policy Planning
Development
Are You Normal?
Are You Normal?

• Another Test
• Policy and procedures are not clearly written,
  sometimes contradict each other, dont state the
  rationale, or whom to call for questions.
• People cannot always find policies when they need
  them.
• There are too many manuals and loose memosan
  information flood. People dont know whats
  important.
• The community is confused about what is and is
  not a University policy, and about who can issue
  policy.
• Those directly affected do not always receive new
  or revised policies and procedures while others
  receive multiple copies.
• Policies arent always kept up to date new
  policy is sometimes implemented before people are
  notified.
• People are uncertain of who owns policies and who
  to contact for changes.
• Policy users dont get prompt consistent,
  accurate answers when trying to resolve policy
  problems.
• Policy user and policy makers are confused about
  some aspects of the current policy formulation
  and approval process.
• People do not want more policies, they want
  clarity about who has authority to make decisions
  on specific topics.

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ACUPA
The Effects of Technology on Policy Planning
Development
The Top 10 Best Practices Just Got Better Now
There Are 14!
The Top 10 Best Practices Just Got Better Now
There Are 14!

• The 14 Best Practices
• Predevelopment (4)
• Development (6)
• Maintenance (4)
• Key Points on the Process Diagram
• Predevelopment (4)
• BEFORE You Start, Get Authorization and Support.
• Decision - Do We Have a Policy?
• Identify Owners.
• Development (6)
• Use Common format
• Maintenance (4)
• Plan Maintenance

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ACUPA
The Effects of Technology on Policy Planning
Development
An Overview
An Overview
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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices
Best Practices
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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices - Predevelopment
Best Practices - Predevelopment

• 1. Be Proactive in Issue Identification
• It is usually better to anticipate a problem than
  to be surprised. This may especially be true for
  policy development because the timeframe from the
  start to the finish can be long. The more you are
  able to identify issues that will affect your
  institution, the less time will be spent in
  emergency mode. This is especially true for
  important policies that are enterprise wide in
  scope, involve budget changes or training
  efforts. Perhaps joining ACUPA would help you
  stay on top of the current important policy
  issues!
• 2. Identify an Owner for Each Policy
• A specific individual needs to have
  responsibility for the content and accuracy of
  information within the policy. Different offices
  can own pieces of the policy or procedures, but
  one individual should be designated with the
  overall responsibility to create and maintain the
  information. The owner should push and track
  policy development. If disputes arise this
  individual is the one who ultimately decides the
  outcome or the process that will be used for
  resolution. Consider publishing the names and
  addresses of the policy owners in a table with
  their policies and procedures.
• 3. Determine the Best Policy Path
• Often, determining the owner of a policy will
  dictate the development path for the policy.
  However, that is not always the case.
  Institution-wide policies can be formulated by
  many different authorities including legislative
  bodies, trustees, senior officers, faculty or
  departments. Determining the best level can be
  more art than science. When choosing, consider
  topic significance, internal and external
  reactions, number of approvals necessary and
  ongoing maintenance.
• 4. Assemble a Team to Develop Policy
• Policies and procedures will often be used by a
  wide variety of groups. To develop accurate and
  complete documents, consider the expertise needed
  to develop a well informed policy. Depending on
  the issue, consider involving staff, faculty and
  students from human resources, financial,
  governance, auditor, information technology and
  legal officers. Including representatives from
  groups that will use the policy and be affected
  by it will greatly improve the quality and may
  assist with buy-in.

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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices
Best Practices
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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices - Development
Best Practices - Development

• 5. Agree on Common Definitions and Terms
• This seems simple but truly important. Not
  everyone will agree on what constitutes a policy
  or procedure. Throw in terms like rules,
  regulations, standards, guidelines, laws,
  recommendations and the picture gets even
  cloudier. This is not an easy task but it will
  provide a great deal of clarity during the policy
  process. These definitions should be readily
  available to those preparing policies.
• 6. Use a Common Format
• Coordination by those who manage and produce
  policies is needed to establish a common format.
  The payoff will be easier to find information for
  those accessing information but it will also help
  those creating policies be consistent. When
  developing policy the common format speeds
  development and will often force questions to be
  answered that might not ordinarily come to light.
  The format helps to break up policies into
  digestible chunks. Consider having a "Contacts"
  section for policy interpretation and or a FAQ to
  capture the answers.
• 7. Obtain Approval at Owner and Senior Levels
• Throughout the process there should be periodic
  reviews and agreement with the officers who must
  ultimately approve the new policy. Before the
  process begins there must be agreement on the
  overall purpose and the outcome of the work. A
  review of draft policy statements through the
  process can be critical to avoid
  misunderstandings about scope, timing,
  responsibilities and ownership. Consider periodic
  updates for stakeholders. A comment period may be
  appropriate in some circumstance. Finally, be
  sure all approvals are secured before
  publication.
• 8. Plan Communication, Publicity, and Education
• When policies are approved communicate results to
  those needing the information. This can vary
  widely. Determine various core interest groups
  and devise practical communication options.
  Include new and revised policy information in
  existing publications. Some issues may require
  special mailings and or training efforts.
  Establish a regular communication channel for all
  policies and institute special communication
  plans for those that are critical, complicated or
  time-sensitive. For critical issues, the
  importance of being proactive, cannot be
  overstated.

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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices - Development
Best Practices - Development

• 9. Put Information Online and Accessible From
  One Location
• Having information online is the most effective
  way to make the information available. Getting
  all policy information in one location may be
  more difficult. Different offices often own
  policies and procedures. Coordination between
  these different groups is necessary if the end
  users are to achieve easy access. Creating one
  unified site will also assure your community that
  the policy list is complete. Consider setting up
  information in a database to facilitate search
  and sort capabilities. Active server pages enable
  fast updating of data on the web site.
• 10. Provide Search Capability
• People look for information in different ways.
  Some will remember it is a Human Resources policy
  while others the title or number. Others still
  recall a key word or the form number associated
  with the policy. The search tools should provide
  as many options as possible. When your users can
  do a full text search on all polices and
  procedures, you will know you have arrived at the
  highest level of policy accessibility.

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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices
Best Practices
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ACUPA
The Effects of Technology on Policy Planning
Development
Best Practices - Maintenance
Best Practices - Maintenance

• 11. Develop a Plan for Active Maintenance and
  Review
• Owners of policy may not have the time or
  inclination to keep the information current. A
  methodology and training process needs to be in
  place to assist them. New developments in
  document management software can help in this
  area. Audits can often identify information that
  needs updating. There is no quicker way to lose
  the confidence of your users than to have
  information that is obsolete and no longer
  applicable.
• 12. Encourage Users to Provide Feedback
• The people who use the policies can help keep
  them accurate. Users are often the first to
  notice that information is outdated. Having an
  easy and visible way to invite feedback will
  assist in the maintenance process. User
  involvement will also help communicate the
  message to users that their help is welcomed and
  that they have an opportunity and perhaps even an
  obligation to keep information current. Users
  know what works and what doesn't. They can often
  offer suggestions for improvement.
• 13. Archive Changes and Date New Releases with an
  Effective Date
• Members of your community need to know what's
  new. However, there are times when it is
  important to know and be able to retrieve the
  "old information". For legal and administrative
  purposes it is critically important to provide
  access to a historical file of the texts of older
  policies that accurately reflects the dates when
  changes were made, the changes that were made to
  the wording, and who authorized the changes.
  Consider making policies "effective" at a future
  date if you are not ready for implementation.
• 14. Measure Outcomes by Monitoring or Testing
• Why have a policy that no one follows? There are
  many factors that encourage people use a policy
  such as proper training and it being easy to
  read, find and understand. Making sure policies
  are accurate and up-to-date will increase
  confidence and use. Consider developing a measure
  to quantify the usefulness of the policies, such
  as the number of hits on the web site or logging
  phone calls on questions or suggestions for
  improvement. For critical issues, an internal or
  external audit may provide feedback on the
  extent of compliance with the policy or
  procedures.

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ACUPA
The Effects of Technology on Policy Planning
Development
Top 10 Policy Issues
Top 10 Policy Issues

• What Are Your Policy Issues?
• The ACUPA Top Ten Policy Issues
• Financing Technology
• Electronic Audit Trails/Approvals
• Computer Disposal
• Outsourcing Technology
• Delegation of Authority
• E-Commerce Procurement of Goods Services
• Use of Fees for Technology
• Long Term Viability of Records/Preservation
• Students and Entrepreneur Activities Online
• Commercial Use of Institutional Web Sites
• RAP Sheets for Policy Issues
• Comments/Questions

• Topics Substituted at EDUCAUSE
• Security of Surveillance Information
• Online Privacy
• Intellectual Property
• Online Research, Fair Use Human Subjects

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POLICY MAKING

• A FULL BODY EXERCISE
• VIRGINIA REZMIERSKI, Ph.D.

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EAR TO THE WHATS HAPPENING

• LEARNING WHAT THE ISSUES ARE AND WHERE THE STAFF
  AND COMMUNITY ARE RESTLESS

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HEAD IN THE CROWD

• DETERMINING THE NEEDS AND VALUES OF THE COMMUNITY
• WHAT DO THESE MEAN FOR POLICY?

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HANDS ON THE PEN

• FIGURING OUT THE RIGHT WORDS AND THE RIGHT
  ENFORCEMENTS

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SEAT OF PANTS SUPPORTED

• ENSURING THAT YOU HAVE THE SUPPORT AND
  UNDERSTANDING OF EXECUTIVES AND ARE IN LINE WITH
  YOUR MISSION

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FEET RUNNING IN CIRCLES

• REVIEWING HOW THE POLICY IS WORKING AND IF IT IS
  ENDORSED AND UNDERSTOOD BY THE COMMUNITY

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POLICY MAKING

• A FULL BODY EXERCISE
• POLICY MAKERS ARE FUNNY LOOKING PEOPLE WITH FEET
  AND EARS CONNECTED GOING IN CIRCLES