1 tuesday, august 16, 2005 w e b c a s t august 16, 2005 policy development theory & practice:...

1Tuesday, August 16, 2005

W E B C A S T

August 16, 2005

Policy Development Theory & Practice: An Emphasis on IT

Pat SpellacyDirector of Policy & Process DevelopmentUniversity of [email protected]

Tuesday, August 16, 2005

2

University of Minnesota• Policy office established September 1993• Have a policy & a process on developing policy• Two policy templates (Regents & Administrative)• Quarterly policy planning meetings• U-wide Libraries cited as a past success• Official web site: www.fpd.finop.umn.edu/groups/ppd/documents/main/

policyhome.cfm


3

The Association of College &University Policy AdministratorsMissionThe 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.

MembersSee the Members Directory on the ACUPA web site.http://process.umn.edu/acupa/


4

ACUPA Web Site


5

Policy: Is this it?

Cartoon # 1– Just Guidelines?


6

Policy: Is this it?

Cartoon #2: Guidelines too wishy-washy?


7

Policy: Is this it?

Cartoon #3: Wally & Mordac


8

For Real - This is Policy• 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.


9

For Real - This is Policy• 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.


10

Policy Definition References• “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

(These Links are on the ACUPA web site)


11

Policy Development Process

“Best Practices”


12

An Overview


13

Best Practices


14

Best Practices


15

Best Practices


16

U of M Policy Hierarchy Federal Level (Constitution, Statutes, Regulations)

State Level (Charter for U of M (1851), Constitution (1857), Statute, Regulations)

Internal U Governance Regents Bylaws

Regents Policies

U-wide or Faculty Senate Policy

Procedures - Action steps that tell how things are done

Standard - A level of quality that is required to be followed (supports policy/procedure)

Guideline - Provides optional guidance for action (supports policy/procedure)

Campus-wide

College Constitutions

College/Administrative Unit Policy

Department Policy

URL - http://www.fpd.finop.umn.edu/groups/ppd/documents/appendix/policyhierarchy.cfm


17

U of M Policies Related to IT• Acceptable Use of Information Technology Resources • Accessibility of Information Technology • Administration & Oversight for Protection of Individual Health Information (HIPAA) • Creating and Revising U-Wide Forms • Financial Data and Systems Security • Including a Privacy Statement on U Web Pages • Internal Access to University Information • Participating in Discussions on the Portal • Protection of Individual Health Information • Protection of Individual Health Information by University Health Care Components (HIPAA) • Public Access to University Information • Publishing Information on the World Wide Web • Use & Disclosure of Individual Health Information for Research Purposes (HIPAA) • User Authentication for Access to University Computer Resources • Using Communications Technology to Improve University Processes • Using Email as Official Student Communication


18

U of M IT Standards & GuidelinesStandards (A standard is a level of quality that requires conformity)• Using Information Technology Resources Standards • Wireless Access Point Technical Standards 3-02

• Anti-Virus Standards 4-02

• Secure Data Deletion Standard 6-03

• Security Patch Application Standard 1-04

• University Network Standards for Network Security & Operational Continuity 4-04

• Information Technology Support Staffing Standard 4-04

• Securing Private Data Standard 10-04

Guidelines (A guideline is recommended but optional behavior.)• Critical Server Identification Guideline• Windows 2000/XP Basic Desktop Security Guidelines• University Network Management Guidelines 3-01

• Server Security Guidelines 12-03

• Information Technology Support Guidelines 4-04

• Securing Microsoft Domain Controller Guideline 10-04


19

OIT Comments About Standards & Guidelines

• Permits OIT to react quickly• Can use guidelines as a starting point that can change• As time passes and comments are received, it may become a standard• Avoids the longer policy development process• IT people like this approach• Faculty Senate Committee on IT very supportive of this method• For questions contact:

Ken HannaOffice of OIT SecurityU of [email protected]


20

End User Needs•Web Browser•Acrobat Reader

Structure of U-Wide Policy Library


21

IT Role in Policy Development• Own & maintain IT policies• Be a resource for policies impacted by IT• Help the institution develop/purchase/use software to

manage policies• See ACUPA article on Status of policy development

“Exploring the Campus Policy Process” http://process.umn.edu/acupa/


22

Entering the Reality Zone


23

New ACUPA Web Site


24

ACUPA Web Page Features• Case studies• Tools for policy development

(Templates, web sites & contacts)

• Article on policy development • List of those willing to advise• Other resource links


25

Case Studies


26

Those Willing to Help


27

Other Resources


28

Best Practice Examples Linked to the Policy Development Theory


29

1. Be proactive in issue identification - Join ACUPA

2. Identify an owner for each policy- UCLA

http://www.adminvc.ucla.edu/appm/_Responsible_Dept.asp- University of California, System

http://www.ucop.edu/ucophome/coordrev/da/

Examples of Best Practices: Predevelopment


30

3. Determine the best “Policy Path”- Georgia Tech: Policy Process

http://www.oit.gatech.edu/inside_oit/directorates/PS/policy_dev_process.cfm- Cornell University: Policy Process

http://www.policy.cornell.edu/CM_Images/Uploads/POL/pol_processmap.pdf? CFID=447932&CFTOKEN=25227860

4. Assemble a team to develop policy

Examples of Best Practices: Predevelopment


31

5. Agree on common definitions and terms- University of California, Berkeley

http://campuspol.chance.berkeley.edu/GlossaryofTerms.doc- University of Minnesota - Levels and Definitions

http://www.fpd.finop.umn.edu/groups/ppd/documents/appendix/policyhierarchy.cfm

6. Use a common format- Arizona State University

http://www.asu.edu/aad/manuals/cam/cam402-01.html- University of Vermont

http://www.uvm.edu/%7Euvmppg/ppg/format.rtf

Examples of Best Practices: Development


32

7. Obtain approval at owner and senior levels- Boston College

http://www.bc.edu/offices/policies/meta-elements/doc/policies/I/1-125-001.shtml- University of California, Berkeley

http://campuspol.chance.berkeley.edu/CampusReview.htm

8. Plan communication, publicity, and education- University of California, Davis

http://manuals.ucdavis.edu/- University of Minnesota

http://process.umn.edu/groups/ppd/documents/main/new.cfm



33

9. Put information online and accessible from one location- George Washington University

http://my.gwu.edu/mod/upolicy/- Indiana University

http://www.indiana.edu/~policies/

10. Provide search capability- University of California, Davis

http://manuals.ucdavis.edu/policysearch_vsearchform.cfm- University of Tennessee

https://san4.dii.utk.edu/servlet/page?_pageid=2648&_dad=portal30&_schema=POR TAL30



34

11. Develop a plan for active maintenance and review- University of Minnesota

http://process.umn.edu/groups/controller/documents/main/libmaint_home.cfm

12. Encourage users to provide feedback- Arizona State University

http://www.asu.edu/aad/manuals/feedback.html- UCLA

http://www.adminvc.ucla.edu/appm/appm_feedback.html

Examples of Best Practices: Maintenance


35

13. Archive changes and date new releases with an “Effective Date”- James Madison University

http://www.jmu.edu/JMUpolicy/datelist.shtml- University of Georgia

http://www.busfin.uga.edu/manual/

14. Measure outcomes by monitoring or testing

Examples of Best Practices: Maintenance


36

Successes and Benefits of Policy Process


37

University of Minnesota:Successes and Benefits

• 80% of Non-Regents policies formatted• We can count our policies, forms & contracts

(238, 476, 123)

• All policies have an owner• People use the Policy Library

(10,000 “hits” a month)


38

University of Minnesota:Successes and 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

1 tuesday, august 16, 2005 w e b c a s t august 16, 2005 policy development theory & practice:...

Documents

developing policy

policy development http

policy authority http

eduacupa slide

overview slide

policy definition references

specific policy issues

acupa web site slide