Phases of Policy Development

1. ACUPA 2012 Pre-Conference Workshop Phases of Policy Development Joshua Adams, Cornell University Nancy Capell, University of California Patrice DeCoster, SUNY Empire State College

2. 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

3. 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

4. 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

5. 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!

6. 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

7. ACUPA 2012 Pre-Conference Workshop University of California Where we were, circa mid-1930s…..

8. ACUPA 2012 Pre-Conference Workshop University of California Today: 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

9. 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

10. 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!

11. 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

12. 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.

13. 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

14. 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.

15. ACUPA 2012 Pre-Conference Workshop I created a policy task force with stakeholders from each major area of the college.

16. 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.

17. 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.

18. ACUPA 2012 Pre-Conference Workshop But in the meantime…. The college decided to convert all of its web pages to a new web content management system so everything came to a temporary halt!

19. ACUPA 2012 Pre-Conference Workshop Phases of Policy Development QUESTIONS?