Phases of Policy Development Joshua Adams, Cornell University Nancy Capell, University of California...

Phases of Policy Development

Joshua Adams, Cornell UniversityNancy Capell, University of California

Patrice DeCoster, SUNY Empire State College

ACUPA

2012 Pre-Conference Workshop

Cornell University

• The Organization–Who We Are and How We Fit In

• Short History – 1989 to present–How We Started--Our Mission– Critical Mass–Where We Are Today

• Looking to the Future– Bridging the Gaps

ACUPA

2012 Pre-Conference Workshop

Cornell University

• Authority of the Policy Office– Top Down or Bottom Up?

• Who Owns Policies?– Responsible Executive– Responsible Office(s)– Compliance and Education– Communication– Answering Questions

ACUPA

2012 Pre-Conference Workshop

Cornell University

• Scope of the Policy Library– Eight Volumes– Administrative Only– Board of Trustees

• What a University Policy Is– Senior-Level Approval–Widespread Application– Compliance, Efficiency, and/or Risk– Procedures

ACUPA

2012 Pre-Conference Workshop

Cornell University

• The Policy Process– Idea– Impact Statement– Editorial Group– Policy Advisory Group– Executive Policy Review Group– Stakeholders

• No Surprises!

ACUPA

2012 Pre-Conference Workshop

The University of California

• Berkeley 1869• San Francisco 1873

(as the Medical Department of UC)

• Los Angeles 1919• Santa Barbara 1944• Riverside 1954• San Diego 1957• Davis 1959• Irvine 1965• Santa Cruz 1965• Merced 2005

ACUPA

2012 Pre-Conference Workshop

University of CaliforniaACUPA

2012 Pre-Conference Workshop

Where we were, circa mid-1930s…..

The UC Policy Office

▶ Supports the UC Policy Project Initiative

▶ Reviews all system-wide policies prior to President’s issuance

▶ Manages Presidential policies

▶ Manages Presidential delegations of authority

▶ Is the Official Archive & Office of Record for systemwide policies

University of California Today:

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ACUPA

2012 Pre-Conference Workshop

Administrative Policy at the University of California

• 2007 Sheryl Vacca appointed as Chief Ethics and Compliance Officer for UC System

• 2008 Ethics & Compliance Program Established – Increased emphasis on

policy as one of the seven elements of an effective compliance program

• In 2010, President Yudof called for a comprehensive review of policies to assure consistency and currency with UC mission goals and objectives

ACUPA

2012 Pre-Conference Workshop

University of California

Currently:• Almost 500 “policies”• Waves of restructuring and

retirements have evidenced the need for policy clarity for the workforce

• Technology has made documents easier to find – more a blessing than a curse!

ACUPA

2012 Pre-Conference Workshop

What we’ve been up to: Establishing a formal, high-level governance structure

for policy administration, including a “Policy on Policies,” a Policy Steering Committee and a Policy Advisory Committee

Assigning Responsible Officers for each policy Establishing a mandatory review period Training UC policy writers and disseminating

information about the Policy Project via formal and informal workshops and presentations

Using SharePoint, designing electronic tools for policy management and retrieval

Working on a more user-friendly and comprehensive Systemwide policy website

Continuing work with policy owners to ensure integration among and across policies

ACUPA

2012 Pre-Conference Workshop

Policy is Important!

The term policy paradox describes the discrepancy between the importance of institutional policy systems and the lack of attention and resources devoted to them.

Alleviating the Policy Paradox through Improved Institutional Policy Systems: A Case Study, Steven C. Clark, Rick A. Griffin and Cameron K. Martin, Innov High Educ (2012) 37:11–26.

ACUPA

2012 Pre-Conference Workshop

• Since 2010 policy authority at Empire State College resides in the Office of the President

• Policies are brought forward through appropriate Cabinet members for vetting

• I work with the president and our SUNY counsel to arbitrate policies as needed

ACUPA

2012 Pre-Conference Workshop

In the beginning….• We had a mishmash of policies, statements,

and old authoritative presidential letters guiding the college’s policies and procedures

• After doing much research, it was obvious that many of our policies were outdated and needed to be reviewed and updated before we could begin the process of porting them over.

ACUPA

2012 Pre-Conference Workshop

ACUPA

2012 Pre-Conference Workshop

I created a policy task force with stakeholders from each major area of the college.

ACUPA

2012 Pre-Conference Workshop

Each person was tasked to work with their respective department to review their policies and update, if needed, then vet through the appropriate governance committee before going through the President’s Cabinet.

ACUPA

2012 Pre-Conference Workshop

After being reviewed at the department level, policies were brought before the President’s Cabinet for final vetting and approval and posted on the college’s intranet for notification for 30 days.

But in the meantime….

ACUPA

2012 Pre-Conference Workshop

The college decided to convert all of its web pages to a new web content management system so everything came to a temporary halt!

Phases of Policy Development

QUESTIONS?

ACUPA

2012 Pre-Conference Workshop