POLICIES AND PROCEDURES

Transcription

1 POLICIES AND PROCEDURES April, 2006

2 I. Strategic Plan Table of Contents II. Administrative and Operational Policies & Procedures New Student Orientation Academic Calendar Academic Grievance Procedures) Computer seminars at UIC Crime Statistics for UIC campus CUPPA Administrative Reminders and Due Dates CUPPA Computer Lab (Rm. 251) Reservation Schedule CUPPA Computer quality standards CUPPA Graduate Research Assistant FAQ CUPPA Building Emergency Procedures Computer lab (UIC campus) reservation - classroom/seminar Computer systems status for CUPPA, UIC Data about the Chicago, IL region and other useful items Facilities Management Problems, to report Graduate College Calendar Great Cities Logo, digitized copy Human Resources Forms UIC IRB forms Laptop (UPP) how to set up for presentations Listserv instructions Moving Procedure for New Employees Multimedia classroom (UIC campus) reservation How to avoid Parking Tickets when using 412 S. Peoria loading dock Phone numbers to connect a computer to UIC from home Policies--UIC Principal Investigator resources Promotion and Tenure Policies and Procedures Putting announcements to the UIC Announcement system Reimbursement rates, "per diem," for travel, meals, lodging Relocation information from UIC for new faculty, staff "Shopping bot" as an aid to purchasing due diligence Stationery, UIC-CUPPA,WordPerfect version Time to NIST standards Vending Machine Refunds & Repairs Videotape/video conference your class or event Viruses and Hoaxes Web pages

3 Grants and Contracts Administration Guidelines for requesting the Anticipation Accounts for Grants Guidelines for Budget Transfers Records Retentions & Storage Glossary Research Terms III. Fiscal Policies & Procedures Summary of Daily Transactional Procedures Accounts Payable Accounts Receivable Transaction Log Parking Sticker Log Purchase Card Transactions Employee Travel Accounting for Active Funds (Projects) Monthly Financial Report Procedures Accounting for Inactive Funds (Projects) Billing Procedures for Sponsored Projects Annual Operating Budget Accounting for Capital Assets Cost Sharing & Match Accounting & Reporting IV. Human Resources Policies & Procedures Introduction to Banner and Related Applications New Employee Benefit Materials New Employee Checklist Hiring Proc. for New Grad. Res. Asst. & Grad. Asst. Non-Res. Aliens Hiring for New Grad. Res. Asst. & Grad. Asst. Graduate Assistantship Salary Minima Hiring of Acad. & Acad. Professional Employees Hiring of Civil Service Employees Hiring of Student Employees Hiring of Other Employees Reappointments Unit s Responsibilities Academic Notices of Non-reappointments/Terminal Contracts Employee Exit Checklist Employee Attendance Employee Time Reporting Unit s Reporting of Academic Vacation & Sick Leave Other Types of Time off & Leaves Ethics Training Sexual Harassment

4 Occupational Injury or Illness Report Employee Training & Development Payroll Adjustments V. Information Technology Policies and Procedures Operations and Maintenance Acceptable Use Policy Password Policy Information Sensitivity Policy Server Security Policy Physical Security Policy Use Policy Guidelines on Anti-Virus Process VI. Gifts Gift Acceptance

5 Overview A Policy is any stated principle that requires, guides, or restricts action to achieve the CUPPA s stated objectives. Policies MUST: Be clearly stated in writing and properly approved by CUPPA s management. Confirm with applicable state and federal laws and regulations, and consistent with the CUPPA s objectives. Be designed to promote the conduct of authorized activities in an effective, efficient, and economical manner and provide a satisfactory degree of assurance that the resources of the University are safeguarded. Be systematically communicated to all officials and employees of CUPPA. Procedures will be the methods employed by CUPPA to carry out its activities in conformity with prescribed policies and their principles. These specify how recurring tasks will be executed and enumerate both the steps and sequence to be followed. Procedures may not be overlapping, expensive, repetitive, and duplicative and coordinated in a way that one employee s work is automatically checked by another who is independently performing separate prescribed duties. This reduces the possibilities of fraud or error. If Policies and Procedures at CUPPA are not clear and comprehensive, and effectively communicated to users, the decisions made and actions taken might not be in accordance with University of Illinois/CUPPA s policies and procedures, state and/or federal laws etc. CUPPA s policies and procedures are therefore written specifically for CUPPA s operations. These policies and procedures will provide general guidelines for problem-solving and decision-making to CUPPA s management and employees and will ensure that CUPPA s operations are consistent, conform to applicable legislation, regulations, plans, technical/professional and/or ethical standards, and promote achievement of the CUPPA s mission, goals, and objectives. In cases where CUPPA s does not have a policy/procedure, the one set forth by the University will be followed. Please refer to the following websites for the University s and CUPPA s policies and procedures: CUPPA: University:

6 CUPPA s Policies & Procedures Manual is divided into six sections: Strategic Plan Administrative and Operational Fiscal Human Resources Information Technology Gifts The policies & procedure manual should be reviewed and updated at least once per year. For suggestions/comments please contact Suresh Sharma, Business and Financial Systems Specialist, College of Urban Planning and Public Affairs (CUPPA), University of Illinois at Chicago, 412 S. Peoria, Rm. 119, M/C 350, Chicago, IL Voice (312) , Fax (312) [email protected]

7 CUPPA Strategic Plan

8 Welcome to CUPPA 2010 You hold in your hands a copy of the CUPPA 2010 Strategic Plan. This document is the fruit of 18 months intensive work by the faculty, staff and students of the College of Urban Planning and Public Affairs (CUPPA) at the University of Illinois at Chicago (UIC). The plan is informed by a thorough understanding of the history of this remarkable college together with an analysis of the alternative future scenarios that are likely to shape higher education in the US in general as well as UIC in particular. By working together and by listening to each other - we have created a new mission for the College: To provide innovative urban planning and public management education that puts engaged research to purposeful use at home and abroad More than that the CUPPA 2010 Strategic Plan shows how, by building on our key strengths and by articulating and adhering to our core values, we intend to shift the College from respected leader to national prominence and, ultimately, to global recognition. The plan is sensitive to the difficult budget environment that has constrained innovation at UIC in recent years but the plan is not dominated by short-term considerations. Rather, it examines the performance of the College since 1995, articulates a vision for what the College should aspire to be like in 2010 and maps out a practical strategy for delivering this bold vision. The preparation of this plan has been a collective effort. Over 100 people have worked on it. I am most grateful to everyone involved for putting so much energy, insight and sheer hard work into this very important deliberative approach to shaping the future direction of this exceptional college. A successful Strategic Plan is not a static document. In the years ahead we will conduct an annual assessment of the progress we have made and of the new challenges that are opening up, not just for CUPPA but for US higher education as a whole. We look forward to discussing and developing our forward thinking not just with our many colleagues elsewhere in UIC, but also with our partners in this great city and further afield. Robin Hambleton Dean May 2004

9 Acknowledgements It is impossible to list all those who have contributed to this new vision and strategy for the College. However, a number of faculty, staff and students have carried specific responsibilities in relation to this work and I would like to acknowledge them. The Directors of the various Units in CUPPA have been involved throughout and I am most grateful to them for their continuous inputs and support: Phil Bowman, Tim Johnson, Charlie Hoch, Sue McNeil, Mike Pagano, David Perry, Laxmi Ramasubramanian, Brent Ryan, Nik Theodore, Curt Winkle, and Pat Wright. At the beginning of the process a Strategic Planning Committee shouldered responsibility for preparing for and following up on our first Awayday and I would like to thank the members of the committee for getting our strategic planning process off to a great start: Lauri Alpern, Veronica Anderberg, Angela Ebreo, Doug Gills, Allyson Holbrook, Kazuya Kawamura, Julia Melkers, Al Schorsch, Jodi White and Pat Wright. Some 55 people participated in the first Awayday and I would like, in particular to thank the students who joined in Michael Anderson, Karl Nollenberger, Kathleen O Dell, Juan Fernando Ortega, and Jill Ronco and Ellen Cull, our excellent facilitator. Nine Task Groups carried out research and analysis during 2002/03 and these groups were led by: 1) Jodi White, 2) Julia Melkers, 3) Laurie Alpern, 4) Al Schorsch, 5) Eric Welch, 6) Charlie Hoch and Mike Pagano, 7) Allyson Holbrook, 8) Doug Gills, 9) Joanne Sims and Curt Winkle. Their Task Group Reports are impressive and remain a valuable resource as we move into the implementation stage of the CUPPA 2010 Strategic Plan. An important CUPPA seminar on engaged research was held in September 2003 as part of our CUPPA Expo. I would like to thank the presenters who helped clarify and take forward our thinking: Phil Bowman, Sharon Mastracci, Vonu Thakuriah and Rachel Weber. In the Fall of 2003 a Strategic Thinking Group was charged with reviewing all the work and pulling the first drafts of the strategy together. I am most grateful to: Loretta Foote Casey, Charlie Hoch, Allyson Holbrook, Al Schorsch and Rachel Weber. Finally, behind the scenes, the Dean s Office has carried out a great deal of important administrative work to support this process and I want to thank: Veronica Anderberg, Michael Clark, Loretta Foote Casey, Jim Marek, Al Schorsch, Cathy Sanders, Joanne Sims, Jodi White and our two hard working Graduate Assistants Sarah Fleming and Jennifer Martin. Robin Hambleton Dean May 2004

10 Contents Page CUPPA 2010 Strategic Plan Executive Summary 4 1) Introduction: the College 5 2) The CUPPA 2010 Strategic Plan 5 3) The CUPPA track record An Overview 6 4) CUPPA mission and values 7 The UIC Great Cities Commitment The CUPPA mission statement Core values The distinctive contribution 5) CUPPA Goals for External Goals Internal Goals 6) CUPPA Strategy for delivery 11 Enhancing established centers of excellence 11 Initiatives 13 1) Undergraduate Degree in Urban and Public Affairs 2) CUPPA International 3) Municipal Finance Center (MFC) Innovations 14 Teaching programs CUPPA students Academic publications and policy advice Research funding and College advancement International activities Organizational culture 7) The budget context 22 Annex 1: A Guide to CUPPA 23 Annex 2: The CUPPA Strategic Planning Process 35 Annex 3: The CUPPA track record 40

11 CUPPA 2010 Strategic Plan - Executive Summary The vision. Although the College of Urban Planning and Public Affairs (CUPPA) at the University of Illinois (UIC) is less than ten years old it has already established itself as a respected leader in its field. CUPPA is widely recognized for its unique combination of education, research and community engagement in support of cities and metropolitan areas. CUPPA will continue to make significant contributions to public policy and practice in the Chicago metropolitan region and Illinois as a whole. By building on the achievements of the past the new CUPPA 2010 Strategic Plan aims to shift the College from respected leader to national prominence and, ultimately, to global recognition. College strengths. This ambitious aim is credible for three main reasons. First, the College has a dynamic track record it has a creative and entrepreneurial culture and has demonstrated that it can expand its activities and improve quality year after year. Second, the faculty is very well respected in the field of urban planning and public affairs. The rising academic reputation of the College stems from faculty contributions to: scholarship and the advancement of knowledge; public policy and practice; and student learning. In particular, a caring concern for students and their learning experience has led to continuing improvements in teaching quality which, in turn, have led to exceptionally positive support from College alumni. Third, faculty and staff have a shared view not just of what the College stands for and should aspire to in 2010, but also of how to deliver this new vision of a world-class college valued at home and abroad. Track record. Created in 1995 as part of the UIC Great Cities Initiative, the College brought together several successful units. By pursuing a bold, outgoing strategy and an active approach to research bidding, the College has expanded at a remarkable rate. Graduate student numbers have grown by 52% (from 210 in 1995 to 320 in 2003). The Urban Planning and Policy (UPP) program is now one of the largest graduate planning programs in the USA and the Public Administration (PA) program is the fastest growing PA program in Illinois. Research activity has mushroomed resulting in a tripling of College non-state income from $3.4 million in 1995 to $10.1 million in The CUPPA 2010 Strategic Plan. Our plans for the future build on this dynamic track record. Following an eighteen-month period of intensive strategic planning an inclusive process involving all faculty and staff as well as students and alumni the College has developed a sophisticated forward plan. The new mission of the College is: To provide innovative urban planning and public management education that puts engaged research to purposeful use at home and abroad. Three commitments to innovative education, to engaged research and to making an influential contribution to policy and practice - will remain at the heart of the CUPPA mission. The key challenge is to ensure that these three commitments reinforce each other in the coming period. By strengthening our existing centers of excellence, increasing collaboration between units, identifying a number of key college-wide initiatives, and offering new incentives, the CUPPA 2010 Strategic Plan provides a practical set of proposals for moving towards our aim of creating a world-class college at UIC valued at home and abroad.

12 1) Introduction: the College The College of Urban Planning and Public Affairs (CUPPA) was established in 1995 as a key element of the University of Illinois at Chicago s (UIC) Great Cities Initiative (now Commitment). Recognized nationally as an innovator in education, research and engagement in support of the nation s cities and metropolitan areas the College comprises: Two graduate programs offering Masters degrees and Doctor of Philosophy degrees through the Public Administration (PA) program and the Urban Planning and Policy (UPP) program plus certificate programs in urban development, non-profit management and related topics Over 300 enrolled students studying for higher degrees and over 1,200 alumni Two research institutes serving faculty and students across the whole of UIC the Great Cities Institute (GCI) and the Institute for Research on Race and Public Policy (IRRPP) Five CUPPA research units carrying out a wide range of research activities for as many as 100 clients at any given time the Survey Research Laboratory (SRL), the Urban Transportation Center (UTC), the Center for Urban Economic Development (CUED), the Nathalie P. Voorhees Center for Neighborhood and Community Improvement and the Great Cities Urban Data Visualization Laboratory (GCUDVL). In addition, the college collaborates closely with the College of Architecture and the Arts in the work of the City Design Center (CDC) Active partnerships with more than fifty public service organizations and private companies in the Chicago area, with many offering internships and employment opportunities for CUPPA students Extensive international links with urban planning and public administration research institutions in Europe, China, Latin America and elsewhere Annex 1 provides a brief guide to the College and its various units. 2) The CUPPA 2010 Strategic Plan In September 2002, at a retreat involving over fifty faculty, staff and student representatives, newly appointed Dean Robin Hambleton launched a college-wide Strategic Planning Process. The retreat agreed the following aims for this process: To develop a shared understanding of the dynamic environment in which the college operates To create a consensus on a strategic direction for the college in the context of that environment

13 To bring about increased interaction and synergy among the units of the college so they can more effectively pursue this strategic direction This major review exercise has now been completed and this document the CUPPA 2010 Strategic Plan articulates a new vision for the College. It will serve as a coherent guide for the development of CUPPA through the next five years or so. The proposals in this plan stem from a process that has involved all stakeholders in the College. The details of this inclusive Strategic Planning Process are presented in Annex 2. The CUPPA 2010 Strategic Plan is not dominated by short-term considerations. Rather the plan examines the performance of the College in recent years, articulates a vision for what the College should aspire to be like in 2010 and maps out a practical strategy for delivering this bold vision. 3) The CUPPA track record An Overview The evidence from a range of sources shows that the College is on a rising trajectory. Although the College is relatively small compared to other UIC colleges, it plays a vital role in delivering the UIC Great Cities Commitment. Annex 3 provides a factual account of College progress in the period from 1995 using the following headings: Teaching programs CUPPA students Academic publications and policy advice Research funding and College advancement International activities Organizational culture This account shows that the College has grown at a remarkable rate in relation to both student numbers and external fund raising. Both the Urban Planning and Policy (UPP) and the Public Administration (PA) programs can report impressive growth in student numbers in recent years and an even steeper growth in student demand. Both the graduate programs are held in high esteem in academic circles. The UPP program is one of the largest urban planning programs in the country. In a recent, independent study of the scholarship produced by US planning schools in the period of the UPP program was ranked 5 th in the country ( Faculty quality at US planning schools: an NRC style study by Professor Bruce Stiftel, July 2003). The PA program is also highly regarded. The 2004 US News and World Report on America s Best Graduate Schools ranks the Graduate Program in Public Administration as 6 th in the country for city management and urban policy. In addition to the two graduate programs, CUPPA offers a small number of undergraduate courses as well as a growing range of On-line and Post-experience courses. These are both area earmarked for expansion in the plan. Regarding external research income, it is clear that the research institutes and research centers in the College have been extremely successful in generating funds to support a wide range of research and scholarly activities. Non-state income to the college has grown from $3.4 million in

14 1995 (itself a high figure for a small college) to $10.1 million in This represents a dramatic increase and is particularly impressive given the increase in competition for grant support both locally and nationally. The record shows that in recent years every state dollar invested in the College has generated a further 2.3 in non-state dollars of activity. CUPPA s research centers engage in dozens of long-term strategic partnerships with communitybased, civic and governmental organizations at both the local and national levels. The rising academic reputation of the College stems from faculty contributions to: scholarship and the advancement of knowledge; public policy and practice; and to student learning. As explained more fully in Annex 3 CUPPA has excelled in all three areas. 4) CUPPA mission and values The UIC Great Cities Commitment. Chancellor Manning has expressed the Great Cities Commitment in the following way: The Great Cities Commitment transforms the traditional university concept of public service into a vital engagement with UICs community, its city, and greater metropolis, dedicated to bringing the campus s wealth of research capacity and human creativity to bear upon the challenges of Chicago and other great cities of the nation and world. Great Cities underlies UIC s commitment to set uncompromising standards of academic performance for all of its students and to provide for their education faculty with the highest levels of achievement in their fields. The CUPPA mission statement To provide innovative urban planning and public management education that puts engaged research to purposeful use at home and abroad.

15 Core values We share a commitment to: Striving for academic excellence and providing inspirational learning experiences for our students Making a contribution beyond the university that informs and empowers citizens, clients and communities in the neighborhood, city, region, state, nation and across the globe Respect for the unique individual contributions of faculty to scholarship, students to learning, and staff to service with a concern for each member s intellectual and professional development Encouraging cultural diversity in the composition of faculty, staff and students given the importance of multi-cultural understanding for effective governance of a rapidly urbanizing world Collaboration that crosses disciplines, programs and other institutional divides to generate more successful inquiry, learning, and service outcomes than insulated approaches Innovation in the pursuit of new resources and responsibility in the stewardship of existing ones Learning that anticipates future needs and crafts sustainable solutions The distinctive contribution The College pursues its mission by weaving together three commitments: to innovative education, to engaged research, and to making an influential contribution to policy and practice. The intertwining of these three strands of multi-disciplinary scholarship is special. Day in and day out CUPPA strives to interweave the discovery of new knowledge with the education of students and the application of research findings to pressing public problems. Figure 1: The intertwining of three commitments

16 CUPPA faculty, students and staff design and implement multi-disciplinary scholarship using knowledge, tools, resources and talents drawn from the domains of education, research and service. The collaboration adds value to more routine activities within each domain. For example, classroom learning is enlivened by new research and practical case studies, research reports are informed by relevant policy concerns, and collaboration with partners gives access to excellence for those outside the university. By offering innovative courses attracting talented students and professionals, by working closely with colleagues in other UIC colleges to enhance urban scholarship, by attracting funds from external organizations and individuals, and by providing informed advice to city leaders, public service professionals and urban communities, CUPPA aims to show how UIC can make a difference locally, nationally and internationally to the discourse about urban planning and public affairs as well as the practice of city planning and public management. The CUPPA 2010 Strategic Plan aims to build on the achievements of the past and, by intertwining three commitments aims to shift the College from respected leader to national prominence and, ultimately, global recognition. 5) CUPPA Goals for 2010 In order to pursue the mission set out above the College has agreed to the following goals for the next five to ten years. These respond to emerging thinking relating to the university-wide vision of UIC in 2010 and, in particular, contribute to the UIC Great Cities Commitment. We have divided these into external and internal goals. By external goals we refer to the way CUPPA seeks to interact with its external environment. By internal goals we refer to the way CUPPA seeks to improve performance within the organization. Naturally these two sets of goals are inextricably linked, but we gain coherence by setting them out separately. External goals Goal 1: Intellectual contributions. Make significant contributions to theoretical and applied knowledge about urban and public affairs that are valued locally, nationally and abroad Goal 2: Preparing students. Combine research, teaching and public service to 1) prepare students to be effective professionals working mainly in the public sector (federal, state, city and local governments, nonprofits etc) and 2) prepare students to be leading scholars in the field of urban planning and public affairs Goal 3: External quality of life. Demonstrate understanding of the global forces impacting cities and city regions and conduct research and public service projects that improve the quality of life in urban areas at home and abroad Goal 4: Inclusiveness. Attract people from groups who have traditionally been excluded from the opportunities provided by higher education

17 Goal 5: Professional applications. Contribute to the advancement of professional practice by building closer links with the professions by sharing knowledge, research, and solutions generated in CUPPA Goal 6: External partnerships. Strengthen partnerships with external stakeholders who identify with the CUPPA mission Goal 7: Policy contributions. Make an influential contribution to the policy discourse about urban and public affairs by attending to and disseminating information to a range of partners and media organizations Internal goals Goal 8: UIC mission. Make a valued contribution to the central mission of UIC, particularly the Great Cities Commitment Goal 9: Intellectual debate. Increase the opportunities for intellectual debate in the College and lift the quality and visibility of CUPPA programs, particularly the PhD programs Goal 10: Entrepreneurial and development activity. Increase the level of entrepreneurial and development activity within CUPPA leading to an expansion of funding from a range of sources Goal 11: Efficient allocation of current resources. Manage state resources creatively to maintain progress on the plan Goal 12: Diversity. Achieve greater diversity in the composition of faculty, staff and students in CUPPA Goal 13: Technology. Develop and maintain a technological infrastructure to support innovative education, engaged research, and influential contributions. Goal 14: Faculty and staff development. Grow and develop all faculty and staff through improved approaches to personnel development at the level of the individual, the academic unit, and the College as a whole Goal 15: Internal quality of life. Improve the quality of the working environment and computing and other facilities in CUPPA Hall to the benefit of faculty, staff and students 6) CUPPA Strategy for delivery In order to achieve the goals set out above the College has devised a practical strategy for delivery involving action at the level of the individual, the unit and the College as a whole. The

18 strategy takes account of the budget context that is discussed further in Section 7 below. Three kinds of actions are proposed: Enhancing established excellence. As described in Annex 1 the College comprises two graduate programs and a cluster of research units. The plan seeks to enhance these established centers of excellence Initiatives. These are significant new initiatives CUPPA plans to take to shift the College forward in this next period Innovations. These measures form part of our continuing campaign to improve the quality of College activities in line with our mission statement and core values Enhancing established centers of excellence The College contains many respected and well-established units: Graduate Program in Public Administration Graduate Program in Urban Planning and Policy Great Cities Institute Great Cities Urban Data Visualization Laboratory Institute for Research on Race and Public Policy Natalie P. Voorhees Center for Neighborhood and Community Improvement Survey Research Laboratory Urban Transportation Center Center for Urban Economic Development City Design Center (a joint center with the UIC College of Architecture and the Arts) It is vital that the quality of the work carried out by all the existing units is sustained in the years ahead. This presents challenges during a period when state funds have been cut back, but a focused approach to planning and continuous improvement of each unit represents a positive response to these challenges. The CUPPA Annual Report on 2002/03, published in September 2003, represented a step forward in purposeful planning in the College. Each Unit produced a short statement using the following headings: Introduction and highlights Aims overall Main activities in 2002/03 (examining how successfully goals were achieved) Goals for 2003/04 These statements were brought together in a single volume, which includes a section on the overall performance of the College prepared by the Dean. This new process provides the first step in our move towards mission-driven annual planning. This new approach gives explicit and forward-looking attention to the work of each unit. It enables the units to be inventive in pursuing their own specific goals while also contributing in a more organized and systematic way to the achievement of College-wide goals.

19 The CUPPA 2010 Strategic Plan depends for its success on having both a well-written document setting out a clear vision and strong arrangements for delivering shifts in culture and practice within all the units to move the College towards the vision. It is critical for the College to strengthen its approach to goal setting, monitoring progress towards goals and regularly revising and reshaping goals in the light of experience. The College will introduce mission-driven annual planning to strengthen accountability within the organization and ensure that our energies and investments focus on College priorities. A learning organization learns effectively about its environment and adapts accordingly. In CUPPA we intend to institutionalize this learning process at three levels: At the individual level, introduce Faculty Development Plans (FDPs) At the Unit level, each Unit will, building on the CUPPA Annual Report on 2002/03, report in a systematic way on the previous academic year and set out clear measurable targets for the coming two academic years At the College level there will be similar assessment of the previous year with clear target setting for the next two years. There will, of course, be strong interplay between these three levels. Individual plans will influence Unit plans and vice versa. Unit plans will influence College plans and vice versa. By introducing this purposeful approach across the whole College we will be able to monitor our progress towards the 2010 vision. A key challenge for all units concerns recovering from the drastic expenditure reductions in state funding the College has experienced in the period since FY02. The growth in student numbers documented in Annex 3 has been achieved against a decline in the number of faculty lines. A consequence has been higher teaching loads for faculty, which is a concern. The state support to the College, which is crucial for both the academic programs and the research centers, has been reduced to a point where quality and performance are threatened. It is vital for the achievement of the College mission that, over a period, the level of state funding is increased. Specific budget requests supported by clear evidence will be brought forward by College Units as part of the new mission-driven annual planning process. All Unit plans will build on the entrepreneurial approach that the College has adopted over the years. By leveraging additional non-state funding at a rate of at least 2.3 non-state dollars to every state dollar received the College will continue to provide good returns on investment to UIC. To support the work of the various units the College will: Continue to improve communication and collaboration between the units of the College Actively promote the work of the units within the university, within the city region, and further afield Assist the units in managing the tensions between short term, responsive activities and longer term expansion requiring more space and improved facilities Take steps to improve state funding to units Assist the units with the development of faculty and staff to take on new challenges

20 Work with the units to recruit new faculty to support strategic growth of the College. The local and national standing of the College has been built on the existing units of the of the College and our strategy for the period to 2010 is to deepen and strengthen the work of these units. Initiatives The College will pursue three new Initiatives in this next period as follows: 1) Undergraduate Degree in Urban and Public Affairs (UPA) As a key part of the CUPPA contribution to the UIC Great Cities Commitment the College will launch a completely new Undergraduate Degree in Urban and Public Affairs (UPA). This new, broad based degree is designed to expand UIC s undergraduate offerings in a way that takes special account of the extraordinary ethnic and cultural diversity of the Chicago metropolitan area. It will make a particularly important contribution to UIC s diversity agenda as active steps will be taken to appeal to and to recruit future urban leaders from a range of ethnic backgrounds. Special attention will be given to undergraduate advising. The proposal is also designed to strengthen CUPPA s PhD programs by offering teaching opportunities in the College for PhD students. State support is needed to make this significant step forward in the work of the College. 2) CUPPA International The impact of global forces on cities and regions is transforming the nature of urban planning and public management in all countries. CUPPA has made a significant academic contribution to understanding the nature of these changes and the CUPPA International initiative is designed to give more visibility to this ongoing work and to grow cross-national comparative research College-wide. This growth in our commitment to making an influential contribution to global debates is signaled by the City Futures international conference the College is organizing on behalf of UIC in July Backed by Mayor Daley and a string of sponsors the City Futures conference will bring together some 200 leading urban scholars and policy makers from 40 countries to share research findings on urban issues and examine future urban scenarios. CUPPA International will build on the City Futures conference and involve the creation of strategic partnerships with a number of leading universities in other countries initially in Europe, China and Latin America. External funds will be sought to support faculty and student exchanges and to carry out cross-national comparative research. The Dean s International Lectures, bringing leading figures from around the world to UIC, will continue. And the College will introduce CUPPA International Fellowships bringing the best scholars in the world for short visits to meet with faculty and students (with Fellows funding themselves). 3) Municipal Finance Center (MFC) The College plans to create, in partnership with the National League of Cities (NLC), a new Municipal Finance Center that will aim to become the go to center in the country for

21 understanding and analysis of urban finance. External funds will be sought to underpin this initiative. The new center will aim to shape and inform policy and scholarly discourse and debate on government and public finance by planning and executing research and providing periodic reports, informed analysis, and venues for discussion of fiscal and governmental issues. The partnership brings together the Great Cities Institute, colleagues in both the Public Administration Program and the Urban Planning and Policy Program as well as experts in NLC who have links to some 26,000 US cities. As well as serving a national agenda the center will, over time, develop special capacities in relation to: municipal finance in the Chicago metropolitan area, advance cross-national dialogue and exchange in relation to urban finance, and alternative approaches to local taxation. This initiative will form part of a broader effort to develop the research capacity of UIC to study and contribute to the development of urban and regional governance. Innovations In addition to the three Initiatives outlined above, the College plans a significant number of additional measures. These are described as Innovations as they involve departures from past practice. Some of these are fairly significant actions in themselves. All involve the taking of concrete actions and, as described earlier, College progress on delivering these actions will be monitored through the new mission-driven annual planning process. The sub headings below follow the format used in Annex 3 to describe the CUPPA track record to date: - Teaching programs - CUPPA students - Academic output and policy advice - Research funding and College advancement - International activities - Organizational culture However, it should be stressed that these various initiatives are highly inter-connected. At every stage our proposals strive to link the three academic strands articulated in Figure 1 innovative education, engaged research, and influencing policy and practice. Teaching programs The teaching programs will remain the core business of CUPPA. It is essential that the College maintains and enhances the existing high quality educational programs in Urban Planning and Policy (UPP) and in Public Administration (PA). Given changes in the external environment both programs will need to continue to innovate in course development particularly picking up on international trends - to ensure that courses are competitive and attractive. More specific teaching program priorities are as follows: Action 1: Work to create a more direct connection between the work of our research units and the teaching programs delivered to students.

22 Action 2: The existing PhD programs have increased the quality and quantity of PhD scholarship activity at CUPPA and we build on this. The aim should be to create an environment that attracts the best PhD candidates in the world to come and study at CUPPA. This has implications for the PhD student experience in the College as well as the marketing of higher degree opportunities at CUPPA and funding support for PhD students. The CUPPA Scholarship fund needs to be expanded to support up to six new doctoral students each academic year starting in 2007 Action 3: Ensure continuing recognition of both the Urban Planning and Policy (UPP) and Public Administration (PA) masters programs by the relevant accrediting bodies and lift the visibility of these programs in academic and professional circles. To enhance student learning and improve cost effectiveness, increase the level of collaboration between the teams teaching the MUPP and MPA degrees and, as a first step, design and introduce a common graduate level research design and methods course across the PA and UPP criteria Action 4: Introduce, in collaboration with the College of Business Administration, a new Masters Degree in Real Estate (proposal approved in 2003) Action 5: As part of a strategy to internationalize our teaching programs consider introducing an accredited MPA program for Chinese government officials Action 6: By drawing on the high level of expertise in the CUPPA Survey Research Laboratory (SRL) enhance UIC offerings relating to Survey Methodology in two ways: 1) in collaboration with colleagues in other UIC colleges offer a new graduate concentration in Survey Methodology and 2) once the graduate concentration is established offer a non-degree Certificate in Survey Methodology to attract new students to CUPPA Action 7: The College will carry out a scoping study to examine the opportunities for expanding CUPPA offerings to support the professional development of mid-career and senior officials in urban planning, public administration and related fields. This initiative, known as the Professional Advancement Initiative, will involve establishing closer dialogue with colleagues in the professions the American Planning Association (APA) and the American Society of Public Administration (ASPA) and other partners, including College Alumni. Possibilities to explore as part of this initiative include: revitalizing the Urban Developers Program for non-degree students, expanding the current portfolio of On-line courses for public service professionals, introducing an Executive MPA program for high level executives, and introducing refresher courses for those in leadership roles in city planning departments. If this investigation demonstrates a clear set of needs and market viability, the College will create a new CUPPA Office for Professional Advancement (OPA) to orchestrate this initiative in close collaboration with College academic programs and research units and the UIC Office of Continuing Education. CUPPA students

23 The proposals relating to teaching programs set out above have implications for CUPPA students. The College continues to have multiple responsibilities to its students: to provide high quality, up-to-date instruction that prepares graduates for both professional and academic careers; to maintain a flexible learning community that recognizes the diverse needs and expectations of all its members; to stimulate outstanding scholarship by CUPPA students, particularly our PhD students; to provide meaningful professional development experiences during the program and linkages to employment opportunities; and to provide, in close collaboration with the CUPPA Alumni Association, on-going professional development opportunities after graduation. In addition to these commitments the CUPPA 2010 Strategic Plan envisions expanding our provision of educational opportunities undergraduates via the introduction of the new Undergraduate Degree in Urban and Public Affairs (Initiative 1). To achieve the goals outlined earlier the College will: Action 8: Continue to enhance the College technological infrastructure that supports student learning Action 9: Consult further with existing students and the Alumni Association on ways of improving the student experience at CUPPA and institute annual postgraduate focus group assessment of recent graduates to assess educational satisfaction Action 10: Continue to offer and, ideally, expand research assistantship opportunities in College research and academic units as a way of supporting graduate students as well as the research efforts of CUPPA Action 11: With the introduction of the Undergraduate Degree in Urban and Public Affairs create several teaching assistantship opportunities for CUPPA PhD students Action 12: Improve the marketing of CUPPA courses via improved recruitment materials, enhanced use of the World Wide Web, and the development of more sophisticated student support services Action 13: Embark on an effort to secure new forms of financial support for students, including considering a Graduate Public Service Internship Program Action 14: Consult with the Alumni Association and local partners about the proposal to create an Office for Professional Advancement (see Action 7) and, if seen as attractive, enlist their direct involvement and support Academic publications and policy advice In Section 3 reference was made to the growth in College contributions to scholarship in urban planning and public affairs as well as to CUPPA policy contributions to the urban challenges facing the Chicago metropolitan area and other towns and cities in Illinois and the country as a whole. The CUPPA 2010 Strategic Plan requires faculty in the College to continue to create outstanding scholarship that is valued at home and abroad. For a college aspiring to global

24 recognition there can be no substitute for delivering high quality published outputs valued and recognized by academic peers in our field. This is one of the reasons why the College is committed to introducing Faculty Development Plans (FDPs) Given our desire to blend multi-disciplinary scholarship with the provision of practical advice to city leaders, public service professionals and local communities on urban issues, faculty need to continue to make an influential contribution to the discourse about urban planning and public affairs as well as the practice of city planning and public management. To support faculty in managing the creative tension between traditional scholarship and the application of academic understanding to specific urban problems the College will: Action 15: Create regular opportunities for intellectual debate about alternative approaches to engaged, urban research. The successful CUPPA Expo, held in September 2003, provides one possible model it created not only a seminar setting for exchange of views, but also an opportunity for more informal sharing of ideas linked to displays of research outputs prepared by all CUPPA units using a marketplace format (see also Action 19) Action 16: The College plans to explore whether there would be value in creating a handbook of case studies designed to illustrate a range of ethical dilemmas that arise in urban planning and public affairs. Faculty, staff, students and alumni will be encouraged to participate in this enterprise if considered attractive

25 Research funding and College advancement The importance of growing the research capacity of the College, by increasing external funding to CUPPA, is critical to our strategy of lifting the College from respected leader to national prominence and global recognition for two reasons. First, it is only by carrying out pathbreaking research that CUPPA can generate the quality of scholarship needed to win respect from academic peers and provide the sound evidence base to underpin advice to policy makers and practitioners. Second, as discussed further in Section 7, the funding outlook for US higher education in general and for UIC in particular, is such that ambitious academic plans must show that they can attract funding from a variety of sources. As noted in Annex 3 the College has been extremely successful in generating external funds and this trajectory needs to be maintained. Future research expansion will largely be built around the forward plans of the existing research units. The College research institutes and centers have built up their own successful track records and these units need to be valued and supported in their efforts. Colleagues who have less experience of research bidding need to be encouraged. To strengthen research funding and College advancement the College will: Action 17: Submit a full proposal for the permanent state funding of the Institute for Research on Race and Public Policy (IRRPP). This UIC-wide research institute, founded formally in 2000, has established sound collaborative links with colleagues in a range of UIC colleges. The institute is pursuing a successful strategy involving cutting edge research on race and ethnic issues, providing effective support to graduate and undergraduate students with a minority backgrounds from across UIC, and fruitful partnering with ethnic minority interests in Chicago and further afield Action 18: To support research bidding activity the College will redeploy an existing member of staff within the Dean s Office to support faculty in grant getting. Working closely with the Assistant Dean for Advancement this member of staff will work with colleagues in CUPPA to: seek support in the form of grants from corporations, private foundations, and government agencies; develop, maintain and expand relationships with appropriate funding bodies; and develop the capacity of the College to engage in strategic monitoring and analysis of grant getting activity Action 19: Recognise the valued contribution of Research Faculty not just in generating research funds and scholarly activity but also in contributing to the intellectual life of the College. Ensure their collaborations in seminars, etc (see Action 15). Action 20: Continue to improve the presentation of the College in published materials and on the World Wide Web. New College style and identity guidance, consistent with UIC policy, will be introduced to achieve a unified house style and the new CUPPA mission statement will be incorporated in promotional and marketing materials Action 21: Work to support College technology infrastructure through systematic inclusion of technology components in grants and contract.

26 As a result of these and other measures noted above the College seeks to increase the level of external research and contract support received as well as the level of support generated from other methods of fund raising (see Section 7 for more on the budget context). Fund-raising priorities will include developing long-term strategies for establishing endowed chairs and professors and student support. International activities The College already has a strong international dimension largely due to the international diversity of our faculty. The CUPPA 2010 Strategic Plan builds on this strength and seeks to enhance cross-national, comparative work leading to a step change in the international profile of UIC and CUPPA. Members of faculty in CUPPA have written several books on the impact of global forces on cities and urban management. The evidence from this and other research suggests that global trends are likely to have increasing significance for the future of cities and, as a consequence, for those concerned with the planning and management of cities. Powerful international, economic, political and social forces are reshaping the context within which local decision makers operate in all countries. This was true even before the terrorist attacks of September 2001 heightened social tensions and spurred ethno-religious conflicts not just in US cities but also across the world. Students of urban planning and public affairs need to acquire an understanding of the dynamics of these global forces and to develop an awareness of the benefits of learning about experience with city planning and public administration in other countries. Initiative 2 speaks to this CUPPA International agenda. In addition, the College will: Action 22: Continue to contribute to the UIC Great Cities London Program, which has a significant urban planning and public affairs dimension. Action 23: Explore seeking funding from the Federal Government and the European Commission to establish formal partnerships with three European universities to facilitate faculty and student exchanges and create cross-national comparative research projects Action 24: Launch the CUPPA International Fellowships program. This new program aims to create a steady stream of visiting scholars from other countries that will become scholars in residence. The scholars will visit CUPPA for periods of from four weeks to six months and will contribute to the intellectual development of the College by giving seminars, interacting with faculty and students etc. The financing needs further consideration but one model would involve the scholars financing themselves and the College providing an academic home and basic services (e.g., an office with computer and access to the library). The CUPPA International Fellows program will be used to build strategic alliances with particular universities in other countries and forms part of the CUPPA International initiative Action 25: Explore the development of a special relationship with China. The College has longstanding good relations with colleagues in urban and public affairs in China and, given our shared interests, it would be desirable to consider firming up links with selected institutions to facilitate fruitful dialogue and exchange

27 Organizational culture Reference is made in Annex 3 to the supportive organizational culture that has been fostered in the College over a long period of time. The culture of CUPPA is hard working but friendly, ambitious but collegial. Students and employees are treated with consideration. Faculty and staff have a problem-solving attitude. Messengers are encouraged, not killed. Doors are open, not closed. It is not surprising that visitors and short-term employees often make favorable comments about the inter-personal atmosphere at CUPPA. The faculty and staff who work at CUPPA care about their work, care about the impact they are making and care about each other. These are remarkable advantages for any organization and the CUPPA 2010 Strategic Plan seeks to retain and enhance this supportive organizational culture. This means paying attention to the needs of those already involved in CUPPA whether as faculty, staff, students or alumni. It also means paying attention to thoughtful succession planning over the longer term so that, with changes in personnel, college values are nurtured and sustained. To sustain and improve the quality of working life at CUPPA the College will: Action 26: Introduce Faculty Development Plans (FDPs). These personal plans will take stock of achievements in the previous year and set out proposals for academic endeavor in the next three-year period. The plans will take account of the CUPPA mission and core values and will, in particular, include proposals for inter-unit collaboration within CUPPA and proposals for raising external funds. The College recognizes that the creative energies of faculty are absolutely critical to the success of the College. The FDP approach will enable us to organize around enthusiasms. Incentives will be offered to stimulate bold action in line with the CUPPA mission. Action 27: Offer incentives to faculty (whether as individuals or small groups) to put forward new proposals designed to improve the effectiveness of the College in achieving its mission. Known as CUPPA Innovation Grants (CIGs) the awards will be made on the basis of clear criteria related to the CUPPA mission and core values

28 Action 28: The College will strive to delegate responsibility and authority as much as possible so that unit teams and individuals can work creatively and independently, while sustaining commitment to the CUPPA mission and the achievement of agreed upon common goals. As part of this the College will work to simplify and streamline procedures wherever possible. Action 29: Alongside the new Faculty Development Plans (FDPs) (see Action 26), the College will continue to make full use of the UIC Employee Development Plan (EDP) instrument on an annual basis. The importance of enhancing the skills of staff, especially in relation to technological change, is particularly important. Action 30: Consult CUPPA Research Faculty on whether they would value a mentoring program tailored to their needs and, if considered desirable, introduce such a program Action 31: Revise and update the College By-Laws to take account of changing needs and circumstances, including improving the status of research faculty. Action 32: Continue the consultative style of decision-making that has grown up in the College and update the CUPPA constitution relating to the various decision-making and advisory groups as necessary Action 33: Colleagues working in practice make an invaluable contribution to both the Public Administration program and the Urban Planning and Policy program as well as to the work of our research centers. The same is probably true of many other UIC colleges. In consultation with other parties the College would like to explore inventing a new UIC formula for engaging with practice involving Practitioner Professors. In essence, the scheme would give skilled and knowledgeable practitioners proper recognition for the services they provide to UIC and would enhance the teaching capacity of the College. This new role would demonstrate the value UIC places on the contribution reflective practitioners can make to pedagogy in modern higher education and also help build new partnerships with organizations designing and implementing public policy in the Chicago metropolitan region. The criteria for appointment as a Practitioner Professor would need to be examined and the nature of an appropriate contract would also need to be explored.

29 7) The budget context Like all colleges and administrative units at UIC the College has faced major budget challenges in recent years. State funding to the College has been cut substantially over the last three years. A budget rescission in FY02 involved a budget reduction of 2.5% during the financial year. This was followed by an 8.5% cut in FY03 and a further 11.1% cut in FY04. A cut of $1,029,595 (or 22%) in three years is a major reduction in state support and has worked against the achievement of College objectives. Further reductions in state funding will make it impossible to achieve the CUPPA 2010 aim of creating a world-class UIC college. The CUPPA 2010 Strategic Plan is not, however, dependent on a massive injection of state funds to the College. On the contrary the strategy is to be financed by a combination of state funding and external funding. Annex 3 documents the CUPPA track record in grant getting and fund raising. This shows that external funding has increased from $3.4 million in 1995 to $10.1 million in Indeed, the flair shown by faculty and staff in attracting external funding has meant that the overall spending of the College has grown even during the period of severe cutbacks in state funding. Total spending in 2003 was $14.5 million a record-breaking year. This achievement demonstrates an impressive leverage ratio. In 2003 each state dollar invested in CUPPA generated a further $2.3 dollars of academic activity. As part of our work on the CUPPA 2010 Strategic Plan we have examined financial trends and this analysis suggests that a mixed approach to funding the plan is needed. The vision of creating a world-class college here at UIC can be financed by: Adjusting tuition fees for students while taking account of our core values Lifting the level of entrepreneurial activity in CUPPA as a whole to generate more income from research, continuing education, individual giving, and fund raising Fostering a culture of investing in success, with the aim of improving the leverage ratio achieved by scarce state dollars Making modest increases in state funding to the College in the coming period to support identified strategic initiatives, which are aligned with statewide goals, clearly propelling the College to world-class status In conclusion, it should be stressed that the CUPPA 2010 Strategic Plan is not dominated by short-term considerations. Rather the plan recognizes the difficult budget environment facing the whole of UIC but refuses to allow short-term setbacks to deflect us from creating a worldclass college at UIC valued at home and abroad.

30 Annex 1: A Guide to CUPPA The CUPPA mission The College of Urban Planning and Public Affairs (CUPPA) at the University of Illinois at Chicago (UIC) has the following mission: To provide innovative urban planning and public management education that puts engaged research to purposeful use at home and abroad. The College pursues this mission by weaving together three commitments: to innovative education; to engaged research; and to making influential contributions to policy and practice. The intertwining of these three strands of engaged scholarship lie at the heart of how we organize and shape our activities. Figure 1: The intertwining of three commitments. The organization of CUPPA The College comprises: Two graduate programs offering Masters degrees and Doctor of Philosophy degrees the Public Administration program (PA) and the Urban Planning and Policy program plus certificate programs in urban development, information technology, budgeting and financial management, management of public organizations and related topics. Two research institutes serving faculty and students across the whole of UIC the Great Cities Institute (GCI) and the Institute for Research on Race and Public Policy (IRRPP)

31 Five CUPPA research units carrying out a wide range of research activities for as many as 100 clients at any given time the Survey Research Laboratory (SRL), the Urban Transportation Center (UTC), the Center for Urban Economic Development (CUED), the Nathalie P. Voorhees Center for Neighborhood and Community Improvement and the Great Cities Urban Data Visualization Laboratory (GCUDVL). In addition, the college collaborates closely with the College of Architecture and the Arts in the work of the City Design Center (CDC) The following diagram shows how these different parts fit together in the organization of CUPPA. This is followed by a short statement about the main goals and activities of each unit in the College. Figure 2: The organization of the College Public Administration program Goals of the Unit The Graduate Program in Public Administration strives for academic excellence in the interdisciplinary field of public management.

32 To be placed among the best public administration programs in the nation, to strive for global recognition by making a distinctive and influential contribution to public management, and to improve the human condition at home and abroad, the faculty and staff are dedicated to providing a modern curriculum to our students, to remaining active and engaged scholars in our profession and communities, and to inspiring the next generation of public and non-profit leaders and of academic researchers. Profile and Activities The Graduate Program in Public Administration is the only Masters in Public Administration program in Chicago that is certified by the National Association of Schools of Public Affairs and Administration. The program also offers three Certification programs in Information Technology, Budgeting and Financial Management, and Management of Public Organizations. Faculty and students work alongside colleagues in Urban Planning and Policy as well as in the college s seven research centers. Faculty also collaborate with government and non-profit agencies in the Chicago region and nationally, including the State of Illinois, US Internal Revenue Service, City of Chicago, Government Finance Officers Association, Federal Executive Board, National League of Cities, and the Coalition for the Homeless. The Public Administration program has identified four core competencies within the curriculum, reflecting the critical research areas of the faculty. The four are: Management of Public Organizations; Financial Management; Information Technology and Science and Technology Policy; and Survey Research Methods. Faculty research areas include cross-cultural survey research, environmental regulatory policy, transformation of the IRS, performance management, science and technology assessment, urban fiscal stress, workforce diversity, explaining nonresponses to surveys, infrastructure management, municipal finance, and quality management. Faculty have published in the discipline s premier journals, including Public Administration Review, the Journal of Public Administration and Theory, Administration and Society, Journal of Policy Analysis and Management, American Review of Public Administration, Public Opinion Quarterly, Public Productivity and Management Review, State and Local Government Review, Public Budgeting & Finance, Evaluation Review, Policy Studies Journal, Urban Affairs Review, Policy Sciences, Journal of Urban Affairs, Policy, and Politics, as well as top presses, including Johns Hopkins University Press, M.E. Sharpe, Inc., Georgetown University Press, and Jossey- Bass. Faculty have secured external grants from IBM Center for the Business of Government, the Brookings Institution, and the Government Performance Project of the Pew Charitable Trusts. Due to their professional reputations, PA faculty are frequently invited to speak on their areas of expertise in the United States, Canada, Japan, England, Mexico, Italy and elsewhere. Faculty have received national awards, including the prestigious Mosher Award twice (best article in Public Administration Review), the Kaufman Award (best paper presented at the American Political Science Association s annual meeting), and best article in Review of Public Personnel Administration. The program is committed to a diverse faculty and student body. The student body has grown by more than 50% in 3 years and counts among its 113 students 40% minority students and 6% foreign students. The undergraduate grade point average for the entering MPA class has been steadily increasing, reaching 3.38 in All of our pre-service graduates are placed in

33 appropriate positions at all levels of government and in the non-profit sector, including City of Chicago, NASA, U.S. EPA, Cook County, United Way, City of Dallas, Museum of Contemporary Art, and the Illinois Council against Handgun Violence. Urban Planning and Policy program Mission of the Unit The Urban Planning and Policy Program fosters scholarship about cities, educates people to plan for cities and offers advice to city makers and users. Profile and Activities The Urban Planning and Policy Program (UPP) offers graduate professional education for people who want to engage in city planning, study urban policy, and create innovative improvements for human settlements in the region, the nation and abroad. It is one of the largest graduate planning programs in the country, training approximately 200 students per year. It is the only accredited planning Master of Urban Planning and Policy Degree program in the Chicago region. Its Ph.D. in Urban Planning and Policy trains future educators and researchers. Specialized training is provided in five areas: community development, economic development, international development, physical planning and urban transportation. The Program offers several undergraduate courses and, with the Great Cities Institute, a training program for developers of low and moderate income housing. In addition, UPP contributes to courses for students in the Master of Urban Real-estate Program of the College of Business. Almost half of UPP s graduate students are supported though research work in the College during their studies. The program has over 1000 graduates who work in government, nonprofit and for-profit agencies including the City of Chicago Department of Planning, the U.S. Department of Transportation, The Chicago Community Trust, the Near West Side Community Development Corporation, and The Habitat Company. The Program creates, disseminates, and applies multi-disciplinary knowledge about urban and public affairs. The Urban Planning and Policy Program faculty rank number five in number of refereed journal articles published among planning faculties nationally and have published 13 books in the past four years. Faculty conduct research in a range of areas including housing policy, planning theory, globalization, gentrification, community organizing, data visualization technology, water planning, tax increment financing, human services, freight transportation, social capital, comparative urbanization, brown fields development, day labor, and the interaction of transportation and labor markets. Research is conducted in collaboration with the seven CUPPA research centers, with community partners and independently. Work is published in a range of respected venues including Social Forces, Journal of Planning Education and Research, Journal of the American Planning Association, Housing Studies, Journal of Environmental Planning and Management, Law & Zoning Digest, Transportation Research Record, Journal of Digital Creativity, Journal of Public Works Management and Policy, Planning Theory, Journal of Urban Design, Environment and Planning B: Planning and Design, Journal of Health & Social Policy, Housing Policy Debate, Urban Studies, Economic

34 Geography, Economic Development Quarterly, Urban Affairs Review, Journal of Urban Affairs, Urban Studies, and Policy and Politics. The Program also conducts educational, research and public service activities that improve human settlement, especially in metropolitan regions. Recently, a team of faculty and students completed a business district plan for the City of Oak Park, Illinois. Another team of students are currently working to develop a plan for the City of Lisle and another on a cultural heritage museum in North Lawndale community of Chicago. Faculty work with research centers and independently on a range of service-oriented projects such as those designed to improve accessibility to food pantries and to understanding the gaps between rental housing and incomes in the Chicago area. Great Cities Institute (GCI) Goals of the Unit The Great Cities Institute serves as the focal point for UIC s Great Cities Initiative. GCI is a research unit committed to engaged research i.e., research that ideally, from the protocol forward,(i) is built on partnerships between traditional and non-traditional sites of knowledge and (ii) is interdisciplinary (iii) has an impact on both the construction of our knowledge of the urban and the on the quality of life in the great cities of the world, of which Chicago is one. Profile and Activities The University has housed GCI in the College of Urban Planning and Public Affairs (CUPPA). The work of GCI is carried out in a transdisciplinary environment by Scholars, Fellows, academic professionals, graduate students and staff representing all facets of university scholarship and coming from every college on campus. The core programs of the Institute combine with GCI s affiliate centers to produce the following: Great Cities Faculty Scholars: In the past seven years, over 80 Scholars from 30disiciplines and all eleven colleges of UIC have been selected through a competitive peer review process that brings them to the Institute for time periods ranging from six months to several years. Great Cities Faculty Seed Grants: An equally interdisciplinary number of seed grants have been awarded, generating an all but unprecedented rate of funded research at UIC to award dollars of 14:1. UICNI: Through an annual average of more than 40 partnerships in community development, education and health, UICNI works with literally hundreds of participants in the neighborhoods proximate to UIC and with leaders in Chicago s schools, health centers and community-based organizations on funded projects of clinical and research engagement. At present, major funders include the U.S. Department of Agriculture, the Ford Foundation and State of Illinois. The UICNI serves as the prime site for initiating and evaluating the quality of research, outreach and partnership at GCI. Fellows: The core research programs of the Institute are carried out by up to 11 resident and offsite research fellows in the areas of metropolitan sustainability, contested cities, ethno-religious

35 urbanism, workforce development, governance and finance and the university and the city and community development. These programs generate an average of over $1 million of direct funding to the Institute, up from a total of just over $300 thousand in 1996 to a total of over $11 million by the end of Professional Education: The heuristic mission of the engaged research institute is engaged learning, and here we consider mid-career training and post-professional certification through on line technologies and innovative cohort models key. At present GCI has been a central partner in the nationally recognized Urban Developers Program and the award-winning (i.e. grants) Certificate in Non-Profit Management Program, which as of last semester had increased its enrollees to well over 1200 total.. Affiliate Centers: We advance the study of communities especially in the areas of housing and economic development through the work of our affiliate centers, CUED and Voorhees, through sharing of staff resources and the co-development of proposals with local, national and state partners. One good example this last year is the major IWA project generated at GCI and carried out through Principal Investigation at CUED. Similar collaboration is going on in the area of housing and community development between UICNI, Voorhees and UPP. Great Cities Urban Data Visualization Laboratory (GCUDV) Goal of the Unit The Urban Data Visualization Program and Lab seeks to inform urban planning and policy discourse at a variety of scales (ranging from neighborhood to the city/region scale) through the innovative use and application of digital spatial multimedia. Profile and Activities The lab develops customized spatial analyses, evaluations, and planning support solutions to serve the needs of researchers, practitioners and policymakers and provides pertinent policy advice for public and private agencies engaged in the use of emerging digital technologies. The lab also contributes to the development of a sustainable national and regional spatial data infrastructure. Since its creation in 1998, the Urban Data Visualization Program and Lab has continued to grow and establish an independent identity, despite severe reductions in state funding and internal administrative changes. Research: Lab faculty and research assistants have been actively engaged in advising the Village of Oak Park, Illinois on the development and use of customized collaborative planning applications that can used to engage citizens in small stakeholder meetings as well as through the Internet. The Oak Park project exemplifies research undertaken by the Lab ( The lab is involved in several large-scale research projects in collaboration with the Urban Transportation Center and multi-year projects generate external funding and research publications

36 Education and Curriculum Development: Faculty affiliated with the lab teach in the Department of Urban Planning and Policy. Lab faculty are also invited to teach specialized short courses on advanced visualization and multimedia technologies both within and outside UIC. The Lab generates external funding and research grants to hire approximately six graduate students each semester. Students typically come from the Masters in Urban Planning and Policy program, the Department of Architecture and the Department of Computer Science. Outreach: Lab faculty serve on professional committees, serve on journal editorial boards, organize national conferences in the area of advanced technologies and are invited to speak on the topic of digital technologies at national and international events. The lab works closely with the Great Cities Institute and the Natalie Voorhees Center for Neighborhood Improvement provide technical support for nonprofit organizations and provide support for UIC campus initiatives. Institute for Research on Race and Public Policy (IRRPP) Mission The mission of the Institute for Research on Race and Public Policy (IRRPP) at the University of Illinois at Chicago (UIC) is to promote, coordinate, and conduct innovative research on the intersection of race, ethnicity and public policy. Profile of Activities Based in the College of Urban Planning and Public Affairs, IRRPP focuses on historically underrepresented people of color as they are affected by, and as they seek to affect, public policy. A central aim is to increase the quantity, quality and relevance of research on racial and ethnic groups that face persistent inequities, inequalities and disparities. To promote greater access and diversity, a primary agenda is to improve both the understanding and conditions of underrepresented racial and ethnic groups that continue to experience major difficulties within contemporary urban settings. Toward this end, IRRPP is a central locus for policy-relevant studies and related activities to address pressing race-related problems in areas such as urban poverty, health disparities, achievement gaps, affirmative action, criminal justice, workforce diversity, and community development. The Institute for Research on Race and Public Policy is organized around a unique research model, three major goals, and a set of strategic priorities. The IRRPP integrative research model combines: (a) policy-relevant scholarship on racial, ethnic, and cultural diversity issues within the social sciences and humanities; with (b) engaged policy research to address pressing diversity issues within professional fields and community-based best practices. Guided by this integrative model, the three major IRRPP goals are to bridge innovative research (basic and applied) with related education and service activities through collaboration with a wide range of relevant campus units and external partners: Goal 1 -Basic and Applied Research: At the core of its mission, IRRPP is primarily committed to promoting, coordinating and conducting basic and applied research on a critical set of racial, ethnic and public policy issues. The integrative research focus is on both policy-relevant studies

37 in basic social science and humanistic disciplines as well as more engaged studies relevant to professional fields such as urban planning, education, public health, social work, criminal justice, business, and public administration. In collaboration with internal and external partners, IRRPP seeks to play a central role in the university s efforts to address growing racial/ethnic disparities in urban settings through three related research objectives. Goal 2 - Education and Training: To complement core research activities, IRRPP is also committed to related education and training innovation. This goal focuses on both: (a) building collaborative partnerships with UIC instructional programs interested in improving research capacity as well as curricula offerings on racial, ethnic, and public policy issues; and (b) developing more specialized training and development activities to increase the quantity, quality, and policy-relevance of research on racial and ethnic diversity issues. Goal 3 - Service and Outreach: The institute is committed to a range of service and outreach activities to further increase the educational and policy relevance of research on race and public policy issues. Through both campus and external networks, such activities promote community empowerment, economic development and innovative public policies to reduce disparities and to improve the quality of life among under-represented racial/ethnic groups. Nathalie P. Voorhees Center for Neighborhood and Community Improvement Mission The Nathalie P. Voorhees Center for Neighborhood and Community Improvement is a technical assistance and applied research center at the University of Illinois at Chicago. Its mission is to improve the quality of life for all residents of the metropolitan area through assisting community organizations and local government in its efforts to revitalize the many and varied communities in the city of Chicago and surrounding area. Profile of Activities The Voorhees Neighborhood Center (VNC) has been in operation since Over this 25-year period, the Voorhees Center has assisted over 100 organizations on community planning and development projects. In any one-year, the Voorhees Center staff, faculty and students work on 12 major projects. The Voorhees Center provides a place for CUPPA graduate students to receive practical experience in research and policy analysis as they study in the two graduate programs. Also, in keeping with the Great Cities mission, the Voorhees Center works towards creating new knowledge and solutions to the major problems facing urban areas. The Voorhees Center is committed to the creation of new knowledge and problem solving within a context, which is participatory, and in partnership with the many community groups, residents and other organizations in the city and region Survey Research Laboratory (SRL)

38 Goals of the Unit The Survey Research Laboratory (SRL) has several goals, all of which are consistent with our original Mission Statement. Specifically, SRL seeks: To maintain its national reputation as a leader in the field of survey research methodology. To develop a national reputation as the leader in the emerging field of urban survey research methodology. To continue to offer high-quality survey research services to both on-campus and offcampus audiences. To maintain and expand its educational outreach to both on-campus and off-campus audiences. Profile of Activities The Survey Research Laboratory engages in a diverse set of activities that collectively support its goals and mission. Examples include: Approximately 60 survey-related projects are undertaken by SRL each year. These projects support the research needs of University faculty in Chicago and Urbana- Champaign, as well as governmental agencies, not-for-profit organizations and other community groups. Summaries of these projects are available in our annual reports at: SRL provides educational outreach to both on-campus and off-campus audiences via several mechanisms. On-campus, SRL annually offers a popular series of methodological workshops (see: to faculty, staff and students on both the Chicago and Urbana-Champaign campuses. On the Urbana-Champaign campus, SRL also administers the Seymour Sudman and Robert Ferber Dissertation Awards, which are given annually to graduate students who employ survey methods in completing their dissertations. Externally, SRL also serves the wider academic survey research community by publishing the Survey Research newsletter ( SRL s staff are also actively engaged in a variety of scholarly activities. During FY , staff authored a total of 18 peer-reviewed articles and 11 research reports. Staff additionally made 27 presentations at professional research conferences during SRL is currently collaborating with the Public Administration, Community Health Sciences, Biostatistics, Statistics, Sociology and Political Science programs in developing an interdisciplinary specialization in survey research methodology. This proposal will hopefully be approved during the Spring 2004 semester and become available to students later this year.

39 Urban Transportation Center (UTC) Goals of the Unit The Urban Transportation Center (UTC) at the University of Illinois at Chicago seeks to understand and improve surface mobility through the creation, application and dissemination of transportation knowledge while also making use of the Chicago metropolitan area. The Urban Transportation Center will be an internationally recognized center for research, education, and training in planning, analyzing and modeling surface mobility. With a stable funding base and a stimulating collaborative interdisciplinary environment, the center is a focal point for researchers in various disciplines interested in intellectually challenging transportation issues and problems. Profile and Activities Research: Research projects include long term projects funded by the Federal Transit Administration and the Illinois Department of Transportation (IDOT) as well as some seed projects funded through the IDOT supported Metropolitan Transportation Support Initiative (METSI) that either address specific issues of concern to IDOT for example, a project to look at the National Environment Planning Agency (NEPA) and the statewide planning process, or new areas for example, the economic impact of freight improvements. These projects are generating externally funded projects and publications. Education: The faculty affiliated with UTC teach the Urban Planning and Policy transportation courses. One of the courses (Infrastructure Management) is also jointly listed with Civil Engineering. UTC also conducts some training activities for CTA and professional development. In conjunction with the Association for Commuter Transportation (ACT), UTC has sponsored professional development activities including several workshops and net conferences. Most importantly, UTC provides research assistantships for over 35 masters and PhD students in urban planning and policy, public administration, business and civil engineering. For these students UTC provides the hands-on application of the skills and knowledge they acquire in the classroom. Outreach: UTC faculty and staff have continued to play an active role on professional committees, providing technical support for community based organizations, working with local agencies, and interacting with other campus organizations with peripheral interests in transportation, for example, the Green Campus Council and the Institute for Environmental Science and Policy

40 Center for Urban Economic Development (CUED) Mission The mission of the Center for Urban Economic Development (CUED) is to analyze the unevenness of the urban economy and its implications for low-income and minority communities. Profile and Activities CUED works in partnership with low-income and minority communities to devise strategies of job-centered development. Such strategies require research on access to jobs, quality of jobs, business strategies and outcomes, the role of public policy, and the impact of development on neighborhoods. In addition, through specially constructed models of technical assistance to community organizations, labor unions, employers, and government, CUED enters into longterm partnerships to conduct implementation research, to evaluate community development programs and strategies, and to translate lessons from practice into public policy. CUED s current priority research areas include: (a) alternative employment arrangements and their impact on low-wage workers and neighborhoods; (b) street corner day labor in U.S. cities and community-based alternatives to day labor spot markets; (c) the changing structure of the Chicago economy; and (d) immigration and urban labor markets. Key technical assistance activities include: (a) devising models of place-based economic, community and workforce development; (b) conducting formative evaluations of economic, workforce and community development initiatives; and (c) participating neighborhood-level strategic planning for economic development. City Design Center (CDC) The City Design Center (CDC), founded in 1995, is a joint center bridging the College of Architecture and the Arts and CUPPA. Mission The Center's mission is the study and practice of design in the public interest, particularly targeting those populations underserved by the design professions. The Center develops and advocates for effective design research and practices by providing information to improve the quality of design decisions. Profile and Activities The Center s work is accomplished through cross-disciplinary collaborations among faculty and students in architecture and urban design, urban planning, history and culture of cities, public and community art, environmental graphic design, industrial design, historic preservation, and other relevant design disciplines and professions. The Center aims to provide opportunities for

41 students to learn and gain hands-on experience through work on actual projects with community clients. The Center emphasizes research and educational programs, and develops prototypic and demonstration projects exploring design innovation in support of its social agenda. To meet this challenge, the Center carries out the following activities: Multi-disciplinary research projects initiated by faculty or in response to solicitations by foundations, government agencies, and non-profit organizations. Technical assistance through partnerships with community groups in response to requests by community development corporations and other non-profit organizations, most often by low-income communities where such design services typically are not available. Public education on design issues through lectures, workshops, symposia, and Internet websites addressed to local, national, and international audiences of academics, professionals, governmental officials, and concerned citizens.

42 Annex 2: The CUPPA Strategic Planning Process Introduction On the advice of the new Dean, Robin Hambleton, the College embarked on a major Strategic Planning Process in the fall of The goals of this effort were agreed at an Awayday involving 55 people (all Faculty plus representatives of Staff and Students) held on September 26, 2002 are as follows: Develop a shared understanding of the dynamic environment in which the College operates Create a consensus on a strategic direction for the College in the context of that environment Bring about increased interaction and synergy among the units of the College so they can more effectively pursue this strategic direction It was further agreed that the process should be as inclusive as possible and that it should move through four phases: 1) Diagnosis, 2) Future context explored, 3) Synthesis and 4) Strategy for delivery. 1) Diagnosis The purpose of the first phase was to take stock of the position the College had reached since it was created in 1995 and to identify the Critical issues now facing the College. This diagnosis was carried out very quickly. The Dean, who took up his position in July 2002, produced a paper, Understanding our history, examining the trajectory of the College, and the Unit Heads prepared concise Briefing Papers reviewing how far their Unit had progressed in relation to the goals set in the first College Strategic Plan prepared in These papers were brought together in CUPPA Strategic Plan - Briefing Papers (September 2002) and were the focus of attention at the September Awayday. A Strategic Planning Committee orchestrated the preparation for the Awayday and the follow up. Aided by an outside facilitator, Ellen Cull, the Awayday succeeded in: examining College progress since 1997; identifying the eleven most critical issues facing the College (from a much longer list); identifying the nine major driving forces in the environment likely to shape the future direction of the College (again from a much longer list); and building new patterns of communication between College units. All the discussion was captured on flip charts and reproduced in CUPPA Strategic Plan Awayday Record of the Day (October 2002).

43 2) Future context explored Nine Task Groups were created to examine the nine driving forces in more depth. They were asked to work quickly and prepare their finished reports by January The nine Task Groups were: Funding and Budget led by Jodi White State Government led by Julia Melkers UIC and the engaged university led by Lauri Alpern Information Technology led by Al Schorsch Globalization and the future of cities led by Eric Welch The educational agenda led by Charlie Hoch and Mike Pagano Chicago and the metropolitan area led by Allyson Holbrook Diversity and demographic change led by Douglas Gills Personnel development led by Joanne Sims and Curt Winkle The work of the Task Groups was very productive. They consulted widely and gathered data from numerous sources. A total of 74 people (a mix of Faculty, Staff and Students) served on the Task Groups and a much larger number were consulted through various surveys, interviews and focus groups. The findings summarized in CUPPA Strategic Plan - Task Group Reports (January 2003) were the main input to a second Awayday facilitated by Ellen Cull on January This event brought together members of the CUPPA Strategic Planning Committee and College Unit Heads to explore alternative scenarios for the future. Our approach was influenced by the literature on scenario building, although we developed our own distinctive method see references. By drawing on the Task Group reports the group worked to identify alternative scenario logics. This involves constructing propositions about a possible future and then writing a story about how the College might fair if that particular logic came to pass. From a list of 39 categories of driving force the group identified three logics that were considered to be both very important and rather uncertain: Higher education could become more democratic with a high value placed on public universities or higher education could become more elitist with a diminished role for public universities Society could become more committed to public purpose involving a stronger role for government or there could be a growing rejection of public purpose implying a much more limited role for government Social and ethno-religious relations could improve leading to greater social cohesion in society or social and ethno-religious tensions could grow leading social unease and conflict

44 Different logics were combined together to generate four scenarios for the future. These were deliberately designed to generate very divergent future scenarios. Teams developed the four following scenarios for the College covering the next twenty years: Pollyanna Higher education more democratic, increased support for public purpose and government, improvement in social cohesion Self-actualized collectivism Higher education more democratic, rejection of public purpose and government, improvement in social cohesion Island in a stormy sea Higher education more elitist, increased support for public purpose and government, increase in social tension Class of 2023: UI DuPage Higher education more elitist, rejection of public purpose and government, increase in social tension The group explored at the event and in subsequent meetings what the implications of each scenario could be for each of the eleven critical issues facing the College. This extensive scenario-building work gave the College a very good sense of alternative futures and this information was shared with all Faculty and Staff by circulating the report CUPPA Strategic Plan Scenario Building (March 2003). This work was helpful in providing a context for the preparation of the CUPPA FY04 Budget in the Spring of ) Synthesis In the Summer of 2003 we focused our attention on the preparation of a comprehensive report on the performance of the College during the 2002/03 academic year, and the specification of our goals for the coming 2003/04 academic year taking account of the difficult budget environment facing UIC. This new report CUPPA Annual Report on 2002/03 - improves dramatically the quality of information available to the College leadership about the College as a whole. It also indicates how we are taking steps to fast-track some of the strategic proposals for the College that came out as desirable under all four scenarios notably the importance of developing an Undergraduate Degree in Urban and Public Affairs. In August 2003, at a leadership retreat for over 200 campus leaders the Chancellor and the Provost set out their proposals for developing a strategic conversation about the future of UIC. Known as UIC 2010 the approach envisages a wide-ranging examination of the future direction of the University as a whole steered by the 2010 Strategic Thinking Committee. The College is contributing to this work and, to fit with the emerging agenda, we have named our strategic plan CUPPA In the Fall of 2003 the Dean created a new group known as the Strategic Thinking Group to examine the evidence from the first two phases of our strategic planning work. The group was asked to: examine afresh the CUPPA Mission Statement written in 1997; review the work of the Task Groups; and identify key initiatives the College should take in this next period. This draft CUPPA 2010 Strategic Plan builds directly on the ideas developed by this group. In writing this

45 draft plan we have, in addition to reviewing the various strategic planning documents referred to above, revisited the 1997 Strategic Plan. 4) Strategy for delivery It will be clear from all the above that the CUPPA 2010 Strategic Plan depends for its success on having both a well written document and a recognition that cultural change is the key way in which we will achieve our objectives. The College has many great strengths and it intends to move to national prominence and, ultimately, to global recognition by playing to its strengths. In modern conditions of uncertainty an effective Strategy for Delivery of the new CUPPA vision does not involve drafting a detailed set of actions that will lead to particular outcomes several years ahead. Rather it involves modifying the culture of the organization in ways which clarify our heartland concerns, enhance performance of the college across the board, release new energies through personal self-development of all who work at CUPPA and, through open government and fair procedures, update our sense of direction on a regular and inclusive basis. There are five main features of our Strategy for Delivery and these are referred to at some length in the plan: The process of updating and sharpening the CUPPA Mission Statement is the vital first step. It provides an identity statement and a sense of direction. By giving a sense of purpose and not spelling out what people should do it fosters creativity in the organization. And by linking the Mission Statement to a fresh statement of core values the College has provided itself with a set of guiding principles for all of its activities. The process of goal setting, monitoring progress towards our goals and regularly revising and reshaping our goals is critical. It is the distinguishing feature of the learning organization an organization that learns effectively about the environment in which it operates and adapts accordingly. Significant steps in this direction have been made in the last eighteen months. The CUPPA 2010 Strategic Plan is clear on priorities and targets. The goals setting/learning process is to be institutionalized in CUPPA through missiondriven annual planning at three levels: personal development planning for all Faculty and Staff; Unit plans rolled forward (in line with budget requirements) on an annual basis; and College-wide plans also rolled forward on an annual basis (and also in line with budget requirements). These plans will be evaluated on an annual basis and this will strengthen accountability in the College.

46 Incentives will be offered to those who reshape their activities in order to contribute more effectively to CUPPA goals. These incentives will take various forms but will include provision for rewarding innovation and entrepreneurial behavior. Community building activities will remain vital to the achievement of College aspirations. Bringing about more effective synergy between different parts of the College depends on good collegial relations. The culture of team work built up over the years is a formidable asset and an important foundation for the CUPPA 2010 Strategic Plan References Ringland, G. (1998) Scenario Planning: Managing for the Future. New York: John Wiley Schwarz, P. (1991) The Art of the Long View. Planning for the Future in an Uncertain World. New York: Doubleday

47 Annex 3: The CUPPA track record ( ) Introduction This Annex provides a factual account of the performance of the College since it was created in 1995 using the following headings: Teaching programs CUPPA students Academic publications and policy advice Research funding and College advancement International activities Organizational culture 1) Teaching programs Instructional activity is almost all at the graduate level. Both the Urban Planning and Policy (UPP) and Public Administration (PA) programs can report impressive growth in student numbers in recent years and an even steeper growth in student demand: The UPP program increased its student enrollment from 153 in 1995 to 209 in 2003 (a 37% increase). The Master of Urban Planning and Policy Program is now the largest graduate Planning program in the U.S., attracting students not just from Illinois (77% in 2003), but also from elsewhere in the country (14%) and from abroad (9%). The PA program increased its student enrollment from 57 in 1995 to 111 in 2003 (a 95% increase). The PA program is now the fastest growing public administration program in Illinois and is responding to the needs of both part-time (79% in 2003) and full-time (21%) students. As well as being a record year for enrollment 2003 also saw the College award more degrees than in any previous year 76 master s degrees and 3 doctorates. The demand for places exceeds supply with the result that the quality of students entering the College has improved over the years While completion rates are difficult to calculate because of the high number of part-time students (who tend to deliberately spread their studies over a period of several years) approximately 86% in a given cohort of students graduate within three years.

48 Key facts relating to graduate student enrollment at CUPPA are shown in Figure 1. Figure 1: Growth in student numbers (CUPPA) # students CUPPA Total UPP Total PA Total In addition to the two graduate programs, CUPPA offers a small number of undergraduate courses two courses were provided in 2003, generating an FTE figure of These offerings have been well received. The College has played a leading role in recent years in developing the provision of On-line and Post-experience education at UIC. Working closely with the UIC Office of Continuing Education and other partners, the College now offers a range of courses tailored to the needs of particular professional groups and quasi-professional groups for example, a Certificate in Non- Profit Management (CNM) and a Certified Course for Planning Commissioners. On-line registrations for courses in these two areas reached 435 in 2003, bringing the number of registrations since the program began to 963. CNM has reached students from across the US (32 states) and internationally (China, Thailand, Japan, Germany, Italy, Venezuela, Mexico, and Honduras). In addition, 22 students participated in conventional course offerings through the Urban Developers Program, a partnership between CUPPA and the Chicago Rehab Network. Our discussions with practitioners suggest that there is a significant unmet need for mid-career and senior level courses in aspects of city planning and public management and, as explained later, the College has proposals for strengthening professional advancement offerings.

49 2) CUPPA students As a major institution of higher education in the nation s third largest city, UIC provides a very attractive location for many potential pre-service and in-service students of urban planning and public administration. CUPPA has a good reputation within professional circles in general and a particularly good reputation in the Chicago community and the Chicago metropolis as a whole. Many of our graduates leave CUPPA to serve in public, non-profit and private sector organizations in Illinois, which reflects well on UIC. The College is proud of its good relations with students. We have very active student associations (in both UPP and PA) participating in course design and forward thinking. We also have a very active Alumni Association that runs numerous events each year, including a well-attended Life-Long Learning Day and an annual speaker series designed to meet the professional development needs expressed by our alumni. Approximately 13 percent of CUPPA alumni belong to the college s alumni association. As explained further in Section 4, the College is very active in generating external funding for research. This enables the research units in the College to provide numerous, stimulating research assistant opportunities for CUPPA students, as well as other UIC students. In 2003 CUPPA provided 68 research assistantships to CUPPA students and 40 assistantships to students from six other colleges at UIC. 3) Academic publications and policy advice The academic output rate of CUPPA has grown over the years and is now substantial. For example, a recent comparative study of academic output from urban planning schools in the period ranked the UPP program as fifth in the USA for scholarly outputs in learned journals, etc ( Faculty quality in US planning schools: an NRC style study by Professor Bruce Stiftel, July 2003). The PA program also has an impressive level of scholarly outputs. The 2004 US News and World Report on America s Best Graduate Schools ranks the Graduate Program in Public Administration as number six in the country for city management and urban policy. It is important to stress, however, that faculty in CUPPA, in addition to writing influential books and learned journal articles, also make significant published contributions to professional practice and public discourse - through short articles, policy papers, briefing papers, appearances in the media, and the like. 4) Research funding and College advancement The research institutes and research centers in the College have been extremely successful in generating funds to support a very wide range of research and scholarly activities within the College. One measure of this success is provided by external income. Non-state income to the College has grown from $3.4 million in 1995 (itself quite a high figure for a small college) to $10.1 million in This represents a dramatic increase and is particularly impressive given the increase in competition for grant support both locally and nationally. Figure 2: Sources of funding: The Trends

50 Total Non-State 10.1 $(Millions) State As Figure 2 shows the College has sustained a trajectory of growth in external funding from the moment it was created. Moreover, the record shows that in recent years every state dollar invested in the College has generated a further 2.3 in non-state dollars of activity. This leverage ratio is very important for the College, not least because it points the way forward. The entrepreneurial culture that has led to such impressive grant getting in the wider world is a great strength of the College. This culture must be nurtured, supported and spread throughout CUPPA if the College is to achieve its goals. CUPPA has a very active Alumni Association and the active support alumni give to the College is much appreciated. This support takes many forms from organizing activities to build links between alumni and the College to helping place student interns in organizations in the Chicago metropolitan area. Alumni and others also give financial support and, in the years since the College was created, there has been a steady increase in giving with over 200 people making gifts in 2003 alone. The College has a first class CUPPA magazine. Launched in 2000, the magazine, which is published twice a year, has vital role in College advancement. It provides up-to-date and readable information about the College in an attractive format and it enables messages about the work of CUPPA to be communicated to a wide audience. 5) International activities The College has faculty from many different countries for example, from Australia, China, Colombia, India, Italy, Japan, Nepal, Syria, The Netherlands and the United Kingdom and most of the faculty are engaged in cross-national research activities. The diversity of our faculty plus the breadth of CUPPA research on, for example, the impact of global forces on cities and public management, brings a very strong international dimension to our research, teaching, and public service activities. In addition, the College has a good number of students from other countries and has also hosted visiting academics from abroad for several years for example,

51 Visiting Fulbright Scholars spending time in one of our research units. The foreign students and guests make a valuable contribution to the intellectual life of the College. In 2002, Dean Hambleton launched the Dean s International Lecture Series, the aim being to bring the very best scholars in urban planning and public affairs in the world as well as leading public policy professionals from other countries to address faculty, students, alumni and invited guests. So far, leading academics from Italy and the UK have addressed the College. In March 2004 Wendy Thomson, who works directly to UK Prime Minister Tony Blair as Head of the Office of Public Service Reform, will give the first 2004 CUPPA International Public Lecture. 6) Organizational culture The College is fortunate in having talented and hard working faculty and staff who work well together. More than that, the College has a positive, supportive and pluralistic culture that recognizes faculty and staff as the College s greatest resource. We have people from every continent working in the College and this diversity is an enormous asset. Six aspects of the organizational culture should be highlighted: The general working atmosphere can be described not only as hard-working and demanding but also friendly and supportive. Relations between faculty, staff and students are particularly good. The culture couples high expectations with team working. As we plan ahead we wish to retain a culture that welcomes ambition but retains good, collegial relations. We also wish to retain and grow the talent of the people working in the College and this has implications for faculty and staff development. The College is a complex organization with a rich interplay of activities between the two academic programs and the seven research units. When the College was created some units were relatively new to each other and, while the collegial atmosphere is very positive, it is clear that there is room for strengthening the links between various units to enhance the overall performance of CUPPA. To increase administrative efficiency it should be possible to devolve more functions to the unit level. The challenges now facing higher education in the USA and elsewhere require colleges to combine academic excellence with entrepreneurial behavior. As explained earlier CUPPA has combined these two strengths from the outset. A key organizational challenge for the future is to spread the entrepreneurial, outgoing spirit across the whole college.

52 Faculty and staff in CUPPA are fully behind the UIC Great Cities Commitment a claim that can be supported by an examination of the portfolio of CUPPA activities. There is a very high level of involvement with local communities in the Chicago metropolitan area and a real enthusiasm for addressing the challenges now facing urban areas not just in North America but in cities in other continents as well. The governing arrangements for the College are satisfactory. Information is shared and the College has a tradition of consultation on key decisions affecting the College. Systems of reporting have been improved - individuals and units report formally on their activities on an annual basis and the College now produces an annual report summarizing achievements and performance against quantifiable targets. The work on the CUPPA 2010 Strategic Plan has suggested that it should be possible to further improve arrangements for the governance of the College so that decision-making is both more businesslike and transparent. The College is located in a six-story building - a converted factory originally built in 1890 at the northeast corner of the UIC campus at 412 South Peoria Street. This is a good location for the College as it provides an urban, on-the-street position for UIC s urban college. More than that, it is an excellent example of the reuse of a fine building and it brings all the units of the College together in a single structure. This clustering of academic programs and research units in one location is absolutely critical to the effective collegial working of the College. An old building does, however, need to be properly maintained and future plans need to include measures to sustain a good working environment for faculty, staff and students.

53 Administrative and Operational Policies & Procedures

54 II. Administrative and Operational Policies & Procedures Objective(s) To manage operational risk in an explicit manner Risk(s) In absence of adequate internal processes CUPPA may not achieve its mission effectively and may suffer loss and negative publicity. Responsible party CUPPA/Units Management. The lines of authority and responsibilities for administration of the CUPPA/Units is established and clearly communicated by way of organizational charts. Policy/Procedure Refer to the website developed by Albert Schorsch III, Associate Dean, College of Urban Planning and Public Affairs. The details of the procedures to be followed for the various internal operational processes are as below: New Student Orientation ( Academic Calendar ( Academic Grievance Procedures ( Computer seminars at UIC ( Crime Statistics for UIC campus ( CUPPA Administrative Reminders and Due Dates ( CUPPA Computer Lab (Rm. 251) Reservation Schedule CUPPA Computer quality standards ( CUPPA Graduate Research Assistant FAQ ( CUPPA Building Emergency Procedures ( Computer lab (UIC campus) reservation for classroom/seminar use ( Computer systems status for CUPPA, UIC ( Data about the Chicago, IL region and other useful items ( Facilities Management Problems, to report ( Graduate College Calendar!!! ( Great Cities Logo, digitized copy ( Human Resources Forms UIC (

55 IRB forms ( Laptop (UPP) how to set up for presentations ( Listserv instructions ( Moving Procedure for New Employees ( Multimedia classroom (UIC campus) reservation ( How to avoid Parking Tickets when using 412 S. Peoria loading dock ( Phone numbers to connect a computer to UIC from home ( Policies--UIC and CUPPA ( Principal Investigator resources ( Promotion and Tenure Policies and Procedures ( Putting announcements to the UIC Announcement system ( Reimbursement rates, "per diem," for travel, meals, lodging Relocation information from UIC for new faculty, staff ( "Shopping bot" as an aid to purchasing due diligence ( Stationery, UIC-CUPPA,WordPerfect version ( Time to NIST standards Vending Machine Refunds & Repairs ( Videotape/video conference your class or event ( Viruses and Hoaxes Web pages (

56 Grants and Contracts 1.00 Grants and Contracts Administration Objective(s) 1. To assemble and prepare proposal packets (Proposal Approval Form, scope of work, budget, and disclosure form) and monitor their progress through the appropriate College and University offices. 2. To ensure completeness and accuracy of all proposal packet information. 3. To act as liaison between University offices, project sponsors and principal investigators throughout the proposal and project stages. 4. To maintain an up-to-date Grants Log detailing all active proposals and projects in an MS Excel file that is on the shared drive in the CUPPA server. 5. To keep principal investigators and others informed of potential sources of revenue for CUPPA. 6. To maintain an archive of all past CUPPA proposals and projects. Risk(s) 1. Lack of close monitoring may result in missed deadlines or forgotten and misplaced paperwork. 2. Incomplete or inaccurate paperwork may lead to delays in processing time. 3. Multiple points of contact may be confusing to the Office of Research Services and Grants & Contracts, resulting in missed communications which may lead to delays in processing times. 4. If management is not kept abreast of possible funding, CUPPA Fiscal picture may not be accurately presented. 5. Principal Investigators may miss out on potential funding sources if they are not aware of them. 6. Information on past projects may be required from project sponsors or CUPPA staff at some point in the future. The lack of an appropriate archive system may violate sponsor contract stipulations. Staff Responsible Within Each Unit Assistant Director for Research Programs (ADRP) or as designated by the unit. Policy/Procedure 1. ADRP works with PI to prepare scope of work and Proposal Approval Form (PAF). PI works with Account Manager to prepare budget. 2. ADRP prepares/assembles a proposal packet (PAF, scope of work, budget, and disclosure form). 3. ADRP enters all proposal information into the Grants Log.

57 4. ADRP ensures all required signatures are obtained from all appropriate CUPPA, College, and University staff. An electronic copy of the completed and signed document is maintained on the ADRP s computer as well as in the Dean s Office. 5. ADRP delivers the original proposal packet and two copies to the Office of Research Services (ORS). 6. ADRP acts as the CUPPA contact person for ORS, the PI, and the sponsoring agency throughout the contract negotiation process. 7. ADRP continually updates the Grants Log. 8. If possible, an anticipation account request is submitted to ORS. 9. At least once a month, sponsors and ORS are contacted for status updates on pending proposals. ADRP attempts to resolve any problems that will slow down the contracting process. 10. ADRP helps to secure matching funds if necessary. 11. Once contract is executed, follow through contracting process until a Notice of Award (NOA) and/or Banner fund number is issued. 12. Prepare or acquire a one-pager for the project for posting on CUPPA website. 13. Update the Grants Log with post-award information. 14. Periodically review project end dates to determine if extensions or other actions are required. 15. Acquire final reports for all projects for CUPPA archives. On a continual basis, the ADRP is responsible for researching new funding opportunities, which may come from calls for proposals, the grants.gov website, the Community of Science website, private grants and foundations resources, and/or other sources. The ADRP will report potential funding opportunities to all private investigators via the monthly CUPPA staff meeting. Guidelines for requesting the Anticipation Accounts for Grants: When approval has been given by the funding source for an award, the unit is encouraged to establish an anticipation account. If the approval has been confirmed with the principal investigator verbally, and no documentation has been received by the unit, an anticipation account can be established. This will facilitate the processing of new hires into the payroll system avoiding paycheck delays..

58 Guidelines for Budget Transfers: All Budget Transfer forms must be submitted to the College before submitting to the University Budget Office Records Retentions & Storage Objective(s) To comply with the Sponsors and the University s requirements for retention of records. Risk(s) If CUPPA does not maintain required records, it will be subject to adverse outcomes from an audit or other types of reviews and negative publicity to CUPPA. Staff Responsible Within Each Unit Every staff is responsible for retaining records relating to his/her job. Policy/Procedure Each CUPPA unit will be responsible for the retention of auditable fiscal and other records as per the University/CUPPA s policy. For Fiscal records relating to grants, refer to the contract for how long records need to be maintained. For non-fiscal records, refer to the University and CUPPA s policies. The University s policies can be found at CUPPA s policies can be found at A designated physical location should be used to store outdated records.

59 Fiscal Policies & Procedures

60 III. Fiscal Policies & Procedures 1.00 Summary of Daily Transactional Procedures On a daily basis, CUPPA processes non-payroll transactions that relate to accounts payable (the payment of invoices), accounts receivable (collection of payments), purchases from the use of the Purchase Card and employee reimbursements for travel and small purchases. In all transactions, CUPPA is to follow the policies set forth by the University and CUPPA where applicable. For all transactions, before non-recurring expenditures are actually incurred, the Account Manager is to be consulted to ensure that funds are available. Once approval is given to incur the expense, the Account Manager or designee encumbers the funds in the appropriate ledger Accounts Payable Objective(s) To pay CUPPA obligations on a timely basis Risk(s) If obligations are not paid on time, CUPPA subjects itself to interest & penalties, which would result in additional costs as well as unnecessary accumulation of debt. The inability to pay the obligation due to lapsed funding. Staff Responsible Within Each Unit Program Coordinator for Business or designee Policy/Procedure All vendors and employees must have a Banner Vendor Number in order to receive payment. If a vendor does not have a Banner Vendor Number, complete the Request for Vendor Number form from the OBFS website. Within three days of receiving invoice or receipts from purchases for employee reimbursement, prepare an Invoice Voucher or Expense Reimbursement form respectively. Download form from the OBFS website to ensure latest form is used.

61 Consult with Account Manager on the correct C-FOAP to use. Account Manager or designee is to encumber the funds in the appropriate ledger. Encumbrance is to be logged in the Transaction log. Electronic copy of the completed form is to be stored on the hard drive in appropriate folder. Review receipts and invoices for accuracy then tape original receipts to blank sheet of paper or paperclip invoice to form. For employee reimbursements, have employee review and sign the completed form. Completed form is to be approved by Account Manager if signature authority permits. Reimbursements for the CUPPA Director are to be approved by the Associate Dean of CUPPA. Once approved, originals are sent to OBFS University Payables (809 S Marshfield 4 th fl.) for processing and copies are filed in the encumbrance folder. After the transaction shows up in the Banner system as expended, the copies are then filed with the monthly Fiscal report for the month it was expended. For payment, OBFS makes a deposit into employee s bank account Accounts Receivable Objective(s) To collect monies due to CUPPA. Example includes overpayments on employee payroll deposits and charges to attend an CUPPA event such as the symposium, and refunds from vendors. Risk(s) 1. If CUPPA does not collect payments due, it runs the risk of overpaying an employee or not offsetting expenditures for special events. 2. It also runs the risk of incurring a deficit. Staff Responsible Within Each Unit Program Coordinator for Business or designee

62 Policy/Procedure When a payroll adjustment is submitted for an overpayment, Payroll generates a letter to the employee, or former employee, informing them of the money owed. If after a certain amount of time the employee does not respond, Payroll send an to the Unit stating that it tried unsuccessfully to get a response, and now it will be up to the Unit to collect from the employee. The Unit then sends a letter to the employee to try to collect the overpayment. If the Unit is unsuccessful, it turns the matter over to UIC Collections department. In the case of collecting a fee, submit an invoice to the payee. Within 1 day after receipt of payment, fill out the UIC Report of Cash Receipts form # Checks are to be deposited to the Revolving fund, if one is in existence. Give copy of the check and completed form to Account Manager for signature. Send original completed form, along with check to OBFS Cashier s Office. Hold a copy of the form and check in the encumbrance folder. Once receipt has posted in Banner, file the copy of the check & form in the Revolving fund s ledger folder. The Cashier s office will issue a receipt for the deposit Transaction Log Objective(s) The Transaction log is to serve as a reference for all of CUPPA expenditures by fiscal year. It is maintained electronically. A hard copy should be printed quarterly. Risk(s) If a transaction is not recorded in the log, there is a possibility that it will be left unpaid, resulting in an overdue bill for the center.

63 Staff Responsible Within Each Unit Program Coordinator for Business or designee Policy/Procedure Follow the procedures for 2.00, and then record the pertinent information in the Transaction log Parking Sticker Log Objective(s) The Parking Sticker log is to keep inventory and maintain accountability of the parking stickers issued by CUPPA Risk(s) If the Parking Sticker log is not maintained, CUPPA will undergo financial loss and will lose control over the inventory of parking stickers. Staff Responsible Within Each Unit Program Coordinator for Business or designee Policy/Procedure Parking stickers are to be kept in a secure place. The primary purpose for issuance is to accommodate official visitors to CUPPA and for CUPPA staff to use in the University s parking lots when visiting other buildings. They are distributed at the discretion of the senior staff. They are not to be issued to UIC employees on a regular basis but can be issued to accommodate unusual circumstances. After a sticker is issued, record the pertinent information in the Parking Sticker log. A physical inventory is to be taken twice a year by the Account Manager or designee. This is to verify accuracy of the inventory balance Purchase Card Transactions Objective(s) 1. To ensure that CUPPA follows reasonable practices in all aspects of the purchase of goods and services.

64 2. The Purchase card (P-card) is to be used whenever possible to purchase small miscellaneous items because it involves less time and paperwork than preparing an invoice voucher. Risk(s) If CUPPA does not follow sound purchasing practices, it may violate the University rules and regulations. Staff Responsible Within Each Unit Program Coordinator for Business & Account Manager or designee(s) Policy/Procedure CUPPA follows OBFS rules and regulations regarding the use and record keeping for all P-card transactions. The use of the P-card is restricted to cardholders. Pre-approval for purchases is required from the Account Manager Account Manager encumbers the funds for P-Card purchases An original receipt is required to substantiate all purchases. Coordinator follows the University s P-card policy and reconciles the transaction in the P-card system within specified time limits. Account Manager reviews and approves the P-card purchases in the P- card system CUPPA reserves the right to cancel the P-Card of any CUPPA P-Card user in substantial non-compliance with CUPPA and University Policies and Procedures for P-Cards. Substantial non-compliance includes failing to provide P-Card receipts, documentation, and/or to provide for P-Card software transaction entry on a timely basis to or with unit staff more than two times in a given fiscal year. The outer acceptable limit of a "timely basis" for P-Card documentation would be within 3 days of the purchase, or within 3 days of return from travel. P-Cards can only be used for air or rail travel while in travel status.

65 7.00 Employee Travel Objective(s) 1. To ensure that there are adequate funds to cover necessary employee travel. 2. To ensure that employees get reimbursed for out-of-pocket travel expenses in a timely manner. Risk(s) 1. If employee does not fill out a travel request prior to travel, he or she cannot be assured that funding will be available to cover the travel expenses. 2. If employees are not reimbursed within 60 days of travel, the reimbursement becomes taxable income per University policy. Staff Responsible Within Each Unit Account Manager & Program Coordinator for Business or designee(s) Policy/Procedure A minimum of ten days prior to travel, employee is to fill out a Travel Request form that is to be requested to the CUPPA s units Assistant Director of Operations Account Manager is to encumber the amount indicated on the Travel Request form in the appropriate fund. Within five days after travel, employee is to fill out a Travel Reimbursement form. One can be found from the OBFS website: - iv For air, train, or bus travel, employee is to turn in a boarding pass, passenger receipt, or other proof that travel actually took place. This form, along with original receipts is to be reviewed for accuracy and approval by the Program Coordinator for Business or designee. The same procedures for are to be followed for processing.

66 8.00 Accounting for Active Funds (Projects) Objective(s) 1. To that CUPPA verifies the accuracy of the Banner generated reports and discrepancies between the ledgers and the Banner reports are detected and corrected to accurately reflect the fiscal condition of CUPPA. 2. To provide Principal Investigators with monthly fiscal information for the funds for which they are responsible. 3. To comply with the Sponsors and the University s policies on fiscal record-keeping. Risk(s) 1. If errors are made in the Banner Fiscal reports and go undetected, CUPPA could be exposed to fiscal loss, legal liability, and fiscal mismanagement. Additionally, CUPPA may over/ under expend grants and/or expend them incorrectly etc. 2. Neither Principal investigators nor management will have the Fiscal information necessary to make decisions. 3. If Fiscal records are not kept according to the Sponsors policies, CUPPA risks the possibility of future funding. Staff Responsible Within Each Unit Account Manager or designee(s) Policy/Procedure An electronic ledger should be set up for each fund and be maintained in Excel, Access or similar software. For sponsored projects, the ledger should contain work sheets for the following: 1. Summary of Budget and Expenditures 2. Detail Ledger with Running Totals for Budget Balances 3. Reconciliation of Ledger to Banner Statement 4. Match Reporting/Cost Sharing 5. Notes/Action Items for the Principal Investigator For non-sponsored projects, the ledgers should contain worksheets, which are most suitable for the fund s monitoring. The State fund is to be maintained and reported according to the Dean s office policy. Four hard copies of the State report and one electronic

67 version are to be given to the Business & Financial Systems Specialist (Finance) in the Dean s office by the 20 th of each month. Transactions are to be recorded to the ledger as they occur (see 2.00) After period close each month (usually on the 6 th of the month, each unit must download from Banner and copy to the appropriate drive the following Banner Reports for CUPPA: 1. Detail Operating Ledger Report (for non-sponsored funds) 2. Detail Operating Ledger Report Inception to Date (ITD) 3. Labor Distribution Report-MN 4. Personnel Encumbrance Statement 5. Operating Ledger Transaction Statement By the 20 th of each month, the Detail Operating Ledger Report ITD report to the Principal Investigators. By the 25 th of each month, the ledger for each fund is to be reconciled to the Banner statement for the current period close. Reconciling items are to be listed on the Accountant s reconciliation sheet for correction. Rogue C-FOAPALS and any other adjustments are to be made before the next accounting period begins. The entire ledger and all worksheets are to be ed to the P.I. by the end of the current month. A hard copy of the ledger for the current period, along with the Banner reports and supporting documentation, are to be filed in the corresponding folder for the fund.

68 9.00 MONTHLY FINANCIAL REPORT PROCEDURES Items Needed: 1. Log for account to be reconciled (Every accounting document must be entered in the log.) 2. In transit paperwork (forms, vouchers processed but not listed on Banner/EDDIE Ledger reports: Detail Operating Ledger Statement (AMO90 IN OLD UFAS SYSTEM) Operating Ledger Transaction Statement (AMO91 IN OLD UFAS SYSTEM) 3. Ledger(s) for month of report 4. Detail Operating Ledger Statement Generated from EDDIE ( 5. Operating Ledger Transaction Statement Generated from EDDIE ( 6. Payroll Labor Distribution (Month End) Generated from Document Direct ( 7. Payroll Encumbrance Statement Generated from Document Direct ( 8. Previous month s financial report. Reconcile the log and in-transit paperwork against the Detail Operating Ledger Statement and Operating Ledger Transaction Statement generated from EDDIE. Use log dates from beginning of the month to date financial report is started e.g. January 1 through February 9, Check log and in transit documents indicating which are paid and which are still in transit. Payroll distribution and obligation reports should be checked against the change of status forms to make sure the pay rates and pay dates are correct. Reconcile the previous month s financial report against the Detail Operating Ledger Statement and Operating Ledger Transaction Statement generated from EDDIE, and the payroll ledgers to check off obligations that have been paid. List payroll obligation reductions (month s payments)

69 List amounts paid from Detail Operating Ledger Statement and Operating Ledger Transaction Statement generated from EDDIE on the previous month s financial reports. List new Banner obligations. REPORT A. Spreadsheet Information for Banner Columns will come from the Detail Operating Ledger Statement and Operating Ledger Transaction Statement. Information for the other spreadsheet columns will come from the detail sheets. Please ensure that all line totals listed on the detail sheets are entered on the spreadsheet. B. Detail Sheets 1. Banner Obligations Delete paid obligations amounts listed on the Detail Operating Ledger Statement and Operating Ledger Transaction Statement generated from EDDIE FROM the PREVIOUS MONTH s financial report and add all new obligations. This should be done by using payroll Encumbrance Statement and Detail Operating Ledger Statement and Operating Ledger Transaction Statement obligation listings. 2. Obligations in transit Delete paid obligations in transit per the Detail Operating Ledger Statement and Operating Ledger Transaction Statement generated from EDDIE FROM the previous month s financial report. Keep all obligations in transit that have not been paid, and from the log, LIST all new obligations in transit on the current financial report. 3. Obligation thru 6/30 Delete obligations thru 6/30 that have moved to obligations in transit or Banner obligations. Add any item that you anticipate processing before the end of the Fiscal Year 6/30 4. Enter all sub-totals for 1-3 on the spreadsheet in the appropriate line items.

70 10.00 Accounting for Inactive Funds (Projects) Objective(s) To closeout Inactive funds on a timely basis. Risk(s) 1. Leaving inactive funds open poses the risk of additional charges being posted to the fund. 2. Leads to inefficiency as additional manpower has to be used review the funds for accuracy and to correct the postings. 3. Leads to waste of resources as Banner statements will continue to print inactive funds until they are officially closed Staff Responsible Within Each Unit Account Managers or designee(s) Policy/Procedure The authorized personnel will perform the following actions: 1. Confirm in writing from the P.I. that the work for the project has been completed. 2. Make all necessary adjustments to the fund. Eliminate deficits, if any. 3. Confirm balance of fund using Banner form FZIGITD 4. Confirm all funds from Sponsor have been billed and received - use Banner form 5. Request and complete the Report of Expenditures (ROE) from the accountant in the Grants dept. 6. Grants dept. is to request and complete a closeout package from the Sponsor Billing Procedures for Sponsored Projects Objective(s) To ensure that CUPPA gets reimbursed for all monies expended from Sponsored projects.

71 Risk(s) Not billing Sponsors for monies expended imposes the risk that CUPPA will not be reimbursed for monies related to work on projects. This will lead to deficit spending. Staff Responsible Within Each Unit Account Manager or designee(s) Policy/Procedure 1. The UIC Grants department is responsible for billing and has a system to automatically bill Sponsors on a monthly basis. However, some Sponsors have specialized forms and require certain documentation and/or billing procedures that only CUPPA can assist with. 2. Follow the billing procedure specified in the contract. If one is not specified, consult the Sponsor and the Grant s accountant to get an understanding of how reimbursements will be made. 3. If no specialized forms, documentation or procedures are required, on a monthly basis review the FZIBDET report from Banner to confirm what has been billed and received. Record this data on the summary sheet in the fund s ledger. 4. If specialized forms, documentation or procedures are required, bill Sponsor accordingly. Send copy of documentation to the Grant s accountant and keep a copy in the fund s file. Follow same procedure as # Annual Operating Budget Objective(s) To present an annual fiscal plan of projected revenues and expenditures that will assist management in making decisions on adjusting staffing levels, making purchases, and incurring other expenditures. Risk(s) Without an annual budget, management will not know if a potential operating deficit will occur. The budget will help management deal with potential Fiscal problems before they come into existence.

72 Staff Responsible Within Each Unit Account Manager or designee(s) and the Unit Director Policy/Procedure CUPPA adopts the fiscal year of July 1st through June 30 th consistent with the University s fiscal year. to be In May of each year, the Account Manager prepares a draft budget in Budget development based on historical, current and future fiscal information. CUPPA s management reviews budget and makes adjustments as necessary. Guidelines for Budget Transfers: All Budget Transfer forms must be submitted to the College before submitting to the University Budget Office Accounting for Capital Assets Objective(s) To account for assets according to the University s policies and procedures Risk(s) Without accurate accounting for assets, the University assets will be incorrectly stated Staff Responsible Within Each Unit Account Manager or designee(s) Policy/Procedure Property at the University is controlled under the provisions of the State of Illinois Property Control Act. Under this Act, all property, regardless of funding source, to which the University acquires title is subject to the regulations of the Department of Central Management Services as "Stateowned property." The private use of University property is not permitted. No one connected with the University in any capacity may use any University property of whatever description for any personal purposes. Follow the University s policy located at

73 14.00 Cost Sharing & Match Accounting & Reporting Objective(s) 1. To comply with Sponsors requirements to account for, and document the match to sponsored grants 2. To report cost sharing (the State dollars used to support sponsored grants) in the ARS system. Risk(s) 1. Without accurate accounting for match, the University will be subject to losing funding from Sponsors due to non-compliance with grant requirements. 2. Without reporting the cost share in the ARS system, the University will not have an accurate accounting of the amount of State dollars used to support sponsored projects. Staff Responsible Within Each Unit Account Manager or designee(s). Policy/Procedure The accounting for the match should be maintained in the ledger of the fund that the match is related to. See the procedures for in 09 accounting for Active Funds. The cost sharing is to be reported in the ARS in August of every year. Follow the instructions on the website Cash Handling Procedures Objective(s) To ensure that CUPPA Unit s properly collects, deposits, and records all University of Illinois s cash in Banner. Risk(s) Cash is susceptible to loss if not properly controlled. Invoicing by unauthorized individuals can result in loss of receipts if not prohibited. CUPPA unit s may not realize that open invoices at year - end must be recorded on the Units and University of Illinois financial records. Policy/Procedure Cash represents one of the University's most sensitive assets. Due to its nature, there should be clear accountability for cash--in its receipt for

74 deposit and custodianship. Each unit approved by the University to handle cash/checks should have written procedures for cash collection. A copy of the unit s written procedires should be on file in the Dean s Office. Minimally, to achieve the separation of cash receiving and accounting functions, unit s will need: An individual to collect cash/checks and prepare prenumbered receipts and/or enter each collection in a daily log. Another individual to endorse and copy checks, and prepare Report of Cash Receipts Form, keeping copies of all in unit file. Still another individual, preferably the unit Account Manager, to reconcile the checks to the Report of Cash Receipts Form and the monthly banner financial statements. University of Illinois Cash Handling Procedures can be accessed at:

75 Human Resources Policies & Procedures

76 IV. Human Resources Policies & Procedures Introduction to Banner and Related Applications: The Banner system is a modulated system at the University of Illinois combining student data, finance data, Human Resource and payroll data all in one system. In an attempt to allow the University to have position control, the Banner system utilizes position numbers, which can be either single or pooled. Units will be primarily using an electronic report called the Personnel Information Transaction Report (PITR) to submit the hire information and subsequent employment transactions. Electronic Personnel Action Form (EPAF) for changes in labor distribution & time entry method for student employees. FOAPAL The FOAPAL is the account string. Most units use only Fund, Org., Acct, & Program codes. Fund (Represents the funding source). It represents both the Income Statement (SL) and Balance Sheet (GL). Funds that have similar characteristics are combined into FUND TYPES, which are two digit alphanumeric codes and represent summary totals on a report. The Fund Type represents the source of funding: State, ICR, Self- Supporting, etc. Organization code is used to track financial activities by functional reporting unit such as campus, college, school, department, division, and cost center. The six digit for Dean s Office is The three digit Department Organization code is used in other segments of the C-FOAPAL string to identify codes created for specific departments. Program codes, Activity codes, and Index codes begin with the 3-digit Department Organization code (except for most grant and some gift programs). Account The Account codes are used to classify and record accounting events, assets, liabilities, and fund balances. Account codes must be established in Banner before they can be used. Program The Program code designates the NACUBO functional classifications such as instruction, research, public service, and subclassifications. Codes used to identify departmental programs begin with the three-digit department number / Organization code, followed by unstructured numbers assigned by OBFS (except for grant and some gift programs). Position: A budgeted slot approved by the unit, for which an employee can be recruited or hired. Positions can be filled or vacant. A position must exist within the unit's budget before an employee can be appointed

77 to a job in Banner. The position budget is linked to the Finance portion of the system based on COA information. Position Number are six (6) character alphanumeric codes. The first character is the Campus (C-Chicago). Characters 2-6 are assigned on a University-wide basis in numeric descending order beginning with all nines. Position Class The third level in the Banner hierarchy, is defined as a position title or classification that groups similar positions together. The Position Class allows common data to positions such as the Employee Class and salary guidelines to default allowing less data entry. Employee Class Or the E-Class Department Accessible Region for Transactions (DART) Dart is the interface for completing department level Human Resource transactions. To submit transactions within DART, one must have the appropriate Banner security level. The Personnel Information Transmittal Report (PITR) PITR was created by the University to allow units to forward transactions for hiring & current employee maintenance to the appropriate HR area. The PITR is an EXCEL spreadsheet, downloaded from a secure web site that units complete to process certain employee data changes. The form is then routed internally (within the dept. or college) for approval; & submitted to Central HR unit to be entered into Banner. Protected Attachment Repository (PEAR) The Protected Attachment Repository is web based system used for transmitting the PITR and is a is a secure means of sending & receiving PITRs. Only authorized personnel have access to the PEAR system. UIC is requiring PITR s to be channeled through the PEAR application rather than . Since PEAR is a secured environment, any PITR forwarded to another person by mistake will require the person to log in first; whereas conventional will allow the PITR, containing confidential information, to be opened and viewed. Job Aids and Other Training Materials Job aids are in a format that once printed can be cut to fit the FlipCard System plastic holder that attaches to the side of your computer monitor.

78 1.00 New Employee Benefit Materials Objective(s) To familiarize new employees with the benefits that the University provides. Risk(s) If employees are not familiar with the benefits, they will risk incurring unnecessary expense or take unnecessary unpaid time off. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure It is the responsibility of the Unit to provide benefits materials to prospective and recently hired employees. At the following University of Illinois Human Resources web site the unit will find a Departmental Benefits Orientation Resource Manual. The hiring unit can download information to be given to prospective and recently hired employees New Employee Checklist Objective(s) To ensure that new employees have the necessary access to computer systems, physical facilities, office supplies etc. to perform their job. Risk(s) If employees do not have the necessary access, they may not be able to perform their duties or even access their job. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Follow the checklist provided by the University Hiring Proc. for New Grad. Res. Asst. & Grad. Asst. Non-Res. Aliens A non-resident alien is someone who is not a permanent resident or a U.S. citizen. A non-resident alien is in the U.S. on a Visa. Objectives 1. To hire new graduate research assistants and graduate assistants, non-resident alien status, in a timely manner.

79 2. To verify evidence of identity and employment eligibility of individuals. Risk(s) 1. If this process is not followed, the employee's job will not be established and the employee will not be paid on the scheduled pay date. 2. Failure to comply with the Immigration Reform and Control Act of 1986 could subject CUPPA and/or the University of Illinois at Chicago to civil or criminal penalties. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring Process for New Graduate Research (GRA) and Graduate Assistants (GA)--Non-Resident Aliens 1. A letter of offer for a graduate research assistantship is mailed and/or ed to student giving a deadline to accept offer. 2. Once the signed letter is received by CUPPA the hiring process can begin. 3. CUPPA s hiring unit establishes a position, a position budget and a job in HR Banner system. Positions for Graduate Research and Graduate Assistants in Banner are pooled positions. If a position has been established, the position number for GRA can be used for all GRAs hired and the position number for GA can be used for all GAs hired. 4. Students report to the Office of International Services (OIS) within the first few days of their arrival bringing their passport and other visa documents to the office. 5. The following forms need to be completed in person: a. Employee Clearance and Departmental Work Authorization. These forms are completed by HR representative and taken by employee to OIS for approval and start date. Follow instructions set by OIS, click on link and to download the Departmental Work Authorization form go to b. I-9 - Employment Eligibility Verification, OIS gives this form to student when student brings forms in 5.a. To download form go to c. U of I Statement of a Drug-Free Workplace (form given by HR representative). To download form go to f

80 d. UIC Assistantship Waiver Acceptance (form given by HR representative). To download form go to 6. A Temporary Control Number (TCN) is given to students by the UIC Admissions when they are admitted to a program. When they report to OIS they are given a University Identification Number (UIN). OIS also gives them a letter to apply for a Social Security Number (SSN). Students should wait 10 days after their arrival to apply for the SSN. OIS will give this and other information to them. Once the student receives the SSN card a Name and Social Security Number (SSN) Change Form needs to be completed by HR representative or designee 7. A UIN search is performed in Departmental Accessible Region for Transactions (DART) which interfaces for completing departmental level HR transactions with Banner security level with UIC HR. This is important in order to prevent duplicate records of an employee. Enter the student s UIN from his/her current i-card. Students are not required to provide their Social Security Numbers (SSN) before becoming employees. 8. A new hire logon is created in DART. Go to link and follow instructions. 9. Once item 7 is submitted, student receives logon information, directly by or from HR representative; they can use the logon ID and password to access their new hire forms in NESSIE New Hire. 10. Employee fills out all required information in NESSIE New Hire, including emergency contact information, dates for degrees received, etc. and submits information. 11. CUPPA HR representative or designee (who submits information in 7) receives informing that the New Hire information was submitted by employee. 12. PI or designee fills out a) UIC RA and TA Appointment (to download forms go to or b) UIC Graduate Assistant (GA) Appointment (to download form goes to Completed form is kept in CUPPA s file. 13. After student brings approved I-9 and Employee Clearance forms to the HR representative or designee the job information submittal process can begin. 14. HR representative or authorized designee requests a Personnel Information Transmittal Report (PITR) from the UI Enterprise Human Resources Applications

81 15. Follow instructions on how to fill out a PITR print a copy of the PITR for CUPPA s file. 16. The PITR is submitted via the Protective Attachment Repository (PEAR) (click on link in step 14) to the College for approval. College submits PITR to Central HR office for approval and entering information in Banner. 17. I-9 and Employee Clearance original forms are sent to Academic HR Records along with a Banner Transaction Attachment Transmittal Sheet (to download sheet go to hment%20transmittal%20sheet.pdf, copies are kept in CUPPA personnel file. 18. Review new hire information in NZIESUM (Banner) to ensure process is completed and information is correct. 19. If the process is not completed prior to the end of the pay period and the payroll calculation date of that pay period, the employee will not be paid on the scheduled pay date. A payroll adjustment will have to be submitted. (See Payroll Adjustments policy for information.) 4.00 Hiring for New Grad. Res. Asst. & Grad. Asst. Objective(s) 1. To hire new graduate research assistant and graduate assistants in a timely manner. 2. To verify evidence of identity and employment eligibility of individuals. Risk(s) 1. If this process is not followed, the employee's job will not be established and the employee will not be paid on the scheduled pay date. 2. Failure to comply with the Immigration Reform and Control Act of 1986, could subject CUPPA and/or the University of Illinois at Chicago to civil or criminal penalties. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring Process for New Graduate Research and Graduate Assistants 1. A letter of offer for a graduate research assistantship is mailed and/or ed to student giving a deadline to accept offer.

82 2. Once the signed letter is received by CUPPA the hiring process can begin. 3. CUPPA establishes a position, a position budget and a job in HR Banner system. Positions for Graduate Research and Graduate Assistants in Banner are pooled positions. If a position has been established, the position number for GRA can be used for all GRAs hired and the position number for GA can be used for all GAs hired. 4. The following forms need to be completed in person (form given by HR representative or designee): a. I-9 - Employment Eligibility Verification. To download form go to b. U of I Statement of a Drug-Free Workplace. To download form go to f c. UIC Assistantship Waiver Acceptance. To download form go to 5. A UIN search is performed in DART. This is important in order to prevent duplicate records of an employee. Enter the student s UIN from his/her current i-card. Students are not required to provide their Social Security Numbers (SSN) before becoming employees. 6. A new hire logon is created in DART. Go to link and follow instructions. 7. Once step 6 is submitted, student receives logon information, directly by or from HR representative; they can use the logon ID and password to access their new hire forms in NESSIE New Hire. 8. Employee fills out all required information in NESSIE New Hire, including emergency contact information, dates for degrees received, etc. and submits information. 9. CUPPA HR representative or designee (who submits information in 6) receives informing that the New Hire information was submitted by employee. 10. PI or designee fills out a) UIC RA and TA Appointment (to download forms go to or b) UIC Graduate Assistant (GA) Appointment (to download form go to Completed form is kept in CUPPA s file. 11. The job information submittal process can begins by HR representative or authorized designee requesting a Personnel Information Transmittal Report (PITR) from the UI Enterprise

83 Human Resources Applications Follow instructions on how to fill out a PITR print a copy of the PITR for CUPPA s file. 13. The PITR is submitted via the Protective Attachment Repository (PEAR) (click on link in step 14) to the College for approval. College submits PITR to Central HR office for approval and entering information in Banner. 14. Original I-9 form is sent to Academic HR Records along with a Banner Transaction Attachment Transmittal Sheet (to download sheet go to hment%20transmittal%20sheet.pdf, copies are kept in CUPPA personnel file. 15. Review new hire information in NZIESUM (in Banner) to ensure process is completed and information is correct. 16. If the process is not completed prior to the end of the pay period and the payroll calculation date of that pay period, the employee will not be paid on the scheduled pay date. A payroll adjustment will have to be submitted. (See Payroll Adjustments policy for information.) 5.00 Graduate Assistantship Salary Minima Objective(s) To assure that CUPPA s salary rates for graduate appointments meet the Chicago campus stipend minima. Risk(s) If this process is not followed, CUPPA will not be in compliance with University s policies and will not be competitive with other hiring units. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Graduate Assistantship Salary Minima The University of Illinois Chicago Campus Salary Minima for Graduate Appointments is in

84 6.00 Hiring of Acad. & Acad. Professional Employees Objective(s) To follow search procedures set forth by the University of Illinois, the Office of Access and Equity and CUPPA to hire Academic and Academic Professional employees. Risk(s) Employees not hired under the proper procedures, may be subject to termination. CUPPA could be subjected to legal actions if the EEO is not complied with, resulting in both monetary loss in fines and adverse publicity. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure The Academic Search Coordinator for CUPPA serves as a liaison between the Office of Academic Human Resources, Access and Equity and academic departments or administrative units that seek to fill faculty and academic staff positions. The Academic Search Coordinator s signature is needed on all Access and Equity forms. A letter of offer to the selected academic and academic professional employee is mailed and/or ed giving a deadline to accept offer. Thereafter, CUPPA follows policy set by the University of Illinois, the Office of Access and Equity and CUPPA on hiring faculty, academic and academic professional employees. See UIC Office for Access and Equity Academic Search Manual ( for search process. New Academic Professional Employee. This course outlines unit processes for hiring an Academic Professional employee through campus specific procedures, DART, and Banner. New Faculty or Other Academic Employee. This course outlines unit processes for hiring a Faculty or Other Academic employee through campus specific procedures, DART, and Banner. Faculty positions are defined as tenure-track, tenured, or "Q" appointments. Other academic positions are defined as non-tenure track instructional, clinical, or research. These include Clinical and Research Faculty, Visiting Faculty, Lecturers, and Post-doctoral Research Associates.

85 7.00 Hiring of Civil Service Employees Objective(s) To follow search procedures set by the University of Illinois, the Office of Access and Equity and CUPPA to hire Civil Service employees. Risk(s) Employees not hired under the proper procedures, may be subject to termination. CUPPA could be subjected to legal actions if the EEO is not complied with, resulting in both monetary loss in fines and adverse publicity. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure A letter of offer to the selected civil service employee is mailed and/or ed giving a deadline to accept offer. Thereafter,CUPPA follows policy set by the University of Illinois, the Office of Access and Equity and CUPPA on hiring Civil Service employees. Unit processes for hiring a Civil Service employee through campus specific procedures, DART, and Banner. HR Banner Employment Civil Service New Hire Process OWCHART3-New%20Hire.pdf 8.00 Hiring of Student Employees Objective(s) 1. To ensure CUPPA follows proper procedures when hiring student employees, which include the Federal Work Study program and Regular Student Employment program. 2. To ensure that the departments pay only 25% of the student's earnings for FWS students while the Federal government pays the remaining 75%. 3. To submit all the paperwork required by the Student Employment Office correctly and in a timely manner. Risk(s) If this process is not followed the hiring process could be delayed. Also, for the payments of earnings to a FWS student, CUPPA will undergo financial loss by loosing the 75% share borne by Federal

86 Government and will have to pay 100% of the student earnings instead of 25%. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring of Student Employees CUPPA follows procedures set by the UIC Student Employment for hiring student employees, see web site /Departments/ Student Employment is located at 2200 SSB (mc 335), (312) , Fax: Steps on how to hire and separate a student employee: Hiring of Other Employees Objective(s) To ensure CUPPA follows proper procedures when hiring employees. Risk(s) Employees not hired under the proper procedures, may be subject to termination. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring Other Employees (Post Docs, Academic Hourly, Graduate Hourly, Graduate Assistants, Academic Unpaid, and Extra Help Non- Clerical) CUPPA follows UIC and CUPPA policy and procedures for hiring other employees. Steps on how to hire other employees: Reappointments Unit s Responsibilities Objective(s) To ensure that there is no unnecessary break in employee s service.

87 Risk(s) If employees are not reappointed in a timely manner, they may not get paid on time and an unnecessary break in service can occur that may affect other benefits such as insurance. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Reappointments-Unit s Responsibilities 1. A letter of reappointment is extended to employee giving a deadline to accept offer. 2. Once the signed letter is received by CUPPA the hiring process can begin. 3. When there are adequate funds Academic and Academic Professional employees are reappointed through Salary Planner by authorized designee (for instructions see if their positions are budgeted, or by submitting a PITR if their positions are not budgeted. Contract beginning date is August If funds are insufficient, employee will be reappointed if necessary as funds become available by submitting a PITR. 5. Research Assistants (RAs) or Grad Assistants (GAs) are reappointed by semester (Aug 16-Dec 31 or Jan 1-May 15) or by academic year (Aug 16-May 15). 6. RAs and GAs reappointment may be processed on NOAEPAF in Banner or PITR. 7. All 9-month or 10-month employees being appointed in the summer for more than 2 months are required to fill out a Request for Exception to the Limit on Summer Appointment form. 8. After five days of submitting, check daily in NZIESUM to make sure appointment is in the system. Review to ensure information is correct. 9. If the process is not completed prior to the end of the pay period and the payroll calculation date of that pay period, the employee will not be paid on the scheduled pay date. A payroll adjustment will have to be submitted. (See Payroll Adjustments policy for information.).

88 11.00 Academic Notices of Non-reappointments/Terminal Contracts Objective(s) To ensure CUPPA issues non-reappointments according to the University s policies and by the deadlines set by the Board of Trustees Office. Risk(s) If non-reappointment policies are not followed in a timely manner, CUPPA risks to pay employees beyond the availability of funding which may result in deficit spending. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Academic Notices of Non-reappointment/Terminal Contracts CUPPA follows the policies and procedures set by the University of Illinois and CUPPA. Any questions regarding notice of nonreappointment or terminal contracts may be directed to Business & Financial Systems Specialist for HR in CUPPA Dean s office. Notices of Non-reappointment for Academic Professional Employees (UIC site for policy is being updated) Notice of Non-reappointment /Terminal Contract for Tenure-Track and Non-tenured Faculty (UIC site for policy is being updated) Academic Notices of Non-Reappointment Memo (February 2, 2006) Employee Exit Checklist Objective(s) To ensure that: 1) The termination of an employee is valid (authorized) 2) The employee s final paycheck is issued accurately. 3) The reason for separating from the University is accurately documented.

89 4) The reason for the employee s termination is not properly documented and added to the employee s personal file. Risk(s) 1) Unauthorized individuals will initiate a termination. 2) A termination will be initiated and approved by the same individual. 3) A terminated employee is not entered into the Banner HR system as being terminated and paychecks continue to be issued for the employee. Former employees may continue to have unauthorized access to computer systems and physical facilities. 4) An employee s final paycheck is incorrect. University/CUPPA/ CUPPA property held by the terminated employee is not deducted from the employee s final paycheck. 5) An employee s vacation payout is incorrect. 6) An employee s direct deposit status will remain active. 7) An employee s final paycheck is not issued during the first subsequent pay period date. (Biweekly/monthly) 8) An employee s liabilities to the university are not correctly deducted from the employee s final paycheck. Former employees may continue to possess University and Unit s property such as the I-card, P-Card, computer and office keys. 10) The University does not properly notify the employee of their COBRA benefits. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Follow the University s policy, which can be found at In addition, follow the CUPPA Graduate Research Assistant Exit Checklist Be sure to collect items of importance such as computers and keys and cancel access to computer system and the building.

90 13.00 Employee Attendance Objective(s) To ensure CUPPA establishes policies for attendance so that Center operates at maximum capacity with existing manpower. Risk(s) If policy on attendance is not followed it will adversely affect production and performance. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Daily Attendance Employees are expected to work 8 hours a day starting at 9 a.m., unless other scheduled time is pre-approved by the Director of the CUPPA s individual units. Employees must inform supervisor if arriving later than expected start time. If unable to report to work, inform supervisor 30 minutes before starting time and specify the type of time taking (sick, vacation, or floating holiday). Inform supervisor via or telephone. If supervisor is not available, then send to CUPPA listserv. Employees must also notify supervisor if leaving before scheduled time and specify the type of time taking. Working from Home In order to work from home, an employee has to have pre-approval from the Center Director and his/her supervisor. On a day the employee wants to work from home, he/she needs to notify the supervisor before his/her start time preferably via . Taking Classes During Office Hours Employees taking classes during working hours need pre-approval of Director of the CUPPA s individual units and his/her supervisor. Employee should submit a plan of make-up time for those hours away from work or take vacation time. Research assistants taking time off beyond scheduled holidays, must obtain written approval from supervisor and present a schedule of make-up time or submit a written request for a reduction in pay Employee Time Reporting Objective(s) To ensure employees follow the University and CUPPA s policy on recording vacation, sick, holiday, and other time off.

91 Risk(s) If this process is not followed, employee vacation and sick time balances will be inaccurate and the University may be subject to paying out a higher vacation balance when employee leaves. Employees may take more vacation or sick time that they are entitled to. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s) for collecting the timesheet. Every employee is responsible for filling out a timesheet with the exception of faculty. Policy/Procedure CUPPA policy is that all employees, excluding faculty, who are paid on a monthly basis, submit a timesheet/report to their supervisor for approval by the 16 th of every month. The HR representative or designee should receive the signed and approved time report by the 20 th. For bi-weekly employees, including civil service and student employees, time and attendance is processed through Web Time Entry. Employees enter their own time and attendance for that pay period via a self-service web application. The form is routed to a designated departmental approver who then forwards it to Payroll for processing. Employees can access the web application at go to Employee Self-Service link. To ensure that bi-weekly employees are paid on the scheduled pay date, time entry originators (employees for Web time entry and department originators for department time entry) must submit timesheets on the day of the bi-weekly payroll calculation for approvers to meet the Tuesday noon payroll approval deadline (5:00 p.m. deadline on Tuesday for superusers). Student employee timesheet CUPPA uses this form as a way for student employees to sign in and out and keep track of their hours Unit s Reporting of Academic Vacation & Sick Leave Objective(s) Payroll information for all employees (hours, leave etc) at CUPPA is accurately entered and updated into Banner HR each pay period in accordance with the University policy Risk(s)

92 Improper compensation could result from inaccurate vacation/sick leave record keeping, which may be immaterial individually but material for CUPPA as a whole. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Unit s Reporting of Vacation and Sick Leave to the University The units reporting of academic vacation and sick leave occurs twice a year-- in May and August, to the Human Resources office by the unit HR representative or designee. The data to report is taken from the timesheets that employees complete as explained in Policy/Procedure #12. For additional information, visit the following websites. Vacation leave For specific information go to: Sick leave For specific information go to: Other Types of Time off & Leaves Objective(s) To ensure CUPPA employees are familiar with the other types of time off such as FMLA, VESSA, etc. Risk(s) Employee could be subject to termination for being absent without being on an appropriate leave. Employee may use vacation or sick time instead of appropriate leave time. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Other Types of Time Off and Leave All these leave should be reported in the timesheet as described in Policy/Procedure # CUPPA follows the University of Illinois and CUPPA policies and procedures on the following leaves: 1. Family and Medical Leave

93 The Family and Medical Leave Act (FMLA), enacted in 1993, is designed to help employees balance the demands of the workplace with the needs of families and to promote stability and economic security of families. It gives employees the right to a 12-week paid or unpaid leave for each consecutive 12-month period for which eligibility criteria have been met for the following events: Birth or placement of a child for adoption or foster care. Serious health condition of an employee. Serious health condition of a spouse, child or parent. For specific information on the family and medical leave go to: 2. Victims Economic Security and Safety Leave The Victims Economic Security and Safety Act (VESSA), enacted in 2003, is designed to promote the State's interest in reducing domestic violence, dating violence, sexual assault, and stalking by enabling victims of domestic or sexual violence to maintain the Fiscal independence necessary to leave abusive situations, achieve safety, and minimize the physical and emotional injuries from domestic or sexual violence, and to reduce the devastating economic consequences of domestic or sexual violence to employees. It gives employees the right to a 12- week paid or unpaid leave for each consecutive 12-month period for which eligibility criteria have been met. For specific information on the victims economic security and safety leave go to: 3. Parental Leave Parental leave grants eligible employees up to two weeks of paid leave following the birth of a child, or upon the initial placement or legal adoption of a child under age 18. For specific information on parental leave go to: 4. Maternity Leave Pregnancy leave may be granted for the purpose of maternity unless there is sufficient justification to deny the request, and is based upon disability or incompatibility between an employee's maternity state and the regularly required duties of her position. For specific information on maternity leave go to:

94 5. Disability Leave Disability leave is used for employees who have been absent because of an occupationally incurred disability, or who have been on leave for illness, injury, or disability including pregnancy using accumulated sick leave, family and medical leave, or State Universities Retirement System disability payments. For specific information on disability leave go to: 6. Holidays The Board of Trustees determines that the University recognize holidays and delegates authority to the President of the University to determine other such days to be as designated holidays. The President shall determine or may delegate to the campus Chancellors the authority to determine the facilities to be open for the University recognized holidays. For specific information on holidays go to: 7. Military Leave A leave of absence shall be granted to an eligible employee who is a member of any reserve component of the United States Armed Forces or of any reserve component of the Illinois State Militia for any period actively spent in military service, in accordance with State and Federal law. For specific information on military leave go to: 8. Special Leave Special leaves may be granted for the purpose of continuing employment for individuals whose performance warrants it and who request such leave for sufficient cause. For specific information on special leave go to: 9. Shared Benefits A pool has been established which will provide eligible employees who have exhausted all accumulated sick leave and, if applicable, vacation

95 leave with the opportunity to receive additional leave days when a disability claim is pending before the State Universities Retirement System (SURS) or when experiencing a catastrophic injury or illness, depending on the type of employee. Employees must donate to the pool to receive leave from the pool. For specific information on shared benefits go to: Jury Duty Employees are granted leave with pay to satisfy jury duty obligations within their civic jurisdiction. For specific information on jury duty go to: CUPPA requires that employees bring a copy of the jury summons and a copy of jury payment check should be attached to the time report. 11. Funeral Leave Funeral leave grants employees paid time to attend the funeral and for travel and bereavement time, upon the death of an employee's immediate family or certain other relatives For specific information on funeral leave go to: Attendance at Approved Events Ethics Training Objective(s) To ensure CUPPA employees follow the University of Illinois policy regarding proper professional conduct when representing it. Risk(s) Employees that do not complete the annual ethics training are subject to a fine of up to $5,000. The Ethics Office also will report those who fail to do their training to the respective chancellors, provosts and vice presidents to take into account during annual evaluations and for consideration of University disciplinary action.

96 Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s) keeps track of employees that have completed the training and reporting ones who have not complied. All employees are responsible for completing the training on their own. Policy/Procedure As determined by state law all University of Illinois employees must be trained annually, based on the calendar year. UNIVERSITY ETHICS OFFICE ETHICS QUESTIONS & OFFLINE TRANING: The University Ethics Office should be contacted with any questions related to the content of the training or to schedule offline training for individuals who cannot use or do not have access to a computer. Toll-free Help Line: [email protected] Website: *PLEASE BOOKMARK OUR WEBSITE IN YOUR FAVORITES University Ethics Office Public Affairs Center, Room 590 One University Plaza, PAC 591 Springfield, IL

97 18.00 Sexual Harassment Objective(s) To ensure CUPPA employees know that the University of Illinois will not tolerate sexual harassment of students or employees and will take action to provide remedies when such harassment is discovered. The University/CUPPA s environment must be free of sexual harassment in work and study. Risk(s) Sexual Harassment Creates a hostile working environment. May impose fines and penalties for federal violations. Causes adverse publicity Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure CUPPA follows University of Illinois policy and procedures on sexual harassment. For policy go to Occupational Injury or Illness Report Objective(s) To ensure CUPPA reports injuries and illnesses as required by the University. Risk(s) If this process is not followed, the University may be subject to fines from governmental agencies and lawsuits. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure CUPPA follows UIC s policy and procedures to report an on-the-job accident. As soon as possible after a on-the-job accident occurs, the employee must complete a University of Illinois Employee's Injury Report. Employees should fill out the accident report form as completely as possible, sign the form at the bottom and give the form to their supervisor to complete and sign. To report work-related incidents the employee should: 1. Immediately contact his/her supervisor to report the incident 2. Complete a University of Illinois Employee s Injury Report Form

98 3. Promptly seek medical care if appropriate. You can find more information and procedures on reporting an injury on the Office of Claims Management Workers' Compensation web site Employee Training & Development Objective(s) To ensure CUPPA employees stay abreast of the latest policies, updated software, the University s Banner system, etc. Risk(s) Employees will not be able to perform their duties efficiently and effectively. Staff Responsible Within Each Unit All employees Policy/Procedure The Employee Development Program (EDP) supports the continued development of UIC s academic professional and support staff employees. Through the collaborative efforts of employees and their supervisors, EDP provides an annual opportunity to assess the employee s previous year s performance while establishing mutual expectations and goals for the upcoming year. Unit s are required to adheres to the University s EDP policy. Academic professional and support staff position descriptions should be reviewed and updated at this time. Unit s may subscribe to the OBFS News Services ing list for upcoming events, classes and training sessions. Go to to subscribe and to g1 for information on training, job aides and course registration. The UIC Office of Human Resources Development (HRD) offers training workshops and development program to faculty, staff, students, alumni and the public. For more information go to The Research and Development Services offers campus-wide workshops on the various aspects of grant development. For more information go to

99 22.00 Payroll Adjustments Objective(s) To ensure CUPPA follows procedures on processing payroll adjustments, i.e. overpayments or underpayments. Risk(s) In case of an underpayment, payment that is due to employee will be delayed more. In case of an overpayment, CUPPA will have to wait longer to get the money that the employee owes. Staff Responsible Within Each Unit Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Payroll Adjustments CUPPA follows University of Illinois and Office of Business and Fiscal Services policy and procedures for payroll transactional processing. Employees of the University are paid either on a bi-weekly or a monthly basis. Monthly employees are paid based on jobs information. Bi-weekly employees are paid via time entry. University Payroll publishes a payroll schedule to help units meet important deadlines to ensure timely payment to employees. If job record or time entry information is incorrect at the time of payroll calculation, an overpayment or underpayment may occur. For instructions on how to process an adjustment go to And for more information on payroll transaction processing go to ction Payroll adjustments need to be submitted and approved through Workflow by noon on Tuesday in order for the payment to occur on the Friday of same week. For processing, follow the link: Adjustments that comply with University policy and are submitted by Tuesday at noon will be paid that Friday. However, when a large volume of adjustments is received by the University s Payroll Office, some adjustments may be processed for payment on the following Wednesday.

100 Section IT Information Technology Policies & Procedures

101 V. Information Technology Policies & Procedures Acceptable Use Policy 1.0 Overview The College of Urban Planning and Public Affairs ( CUPPA) intentions for publishing an Acceptable Use Policy is not to impose restrictions that are contrary to University of Illinois s established culture of openness, trust and integrity. CUPPA is committed to protecting all employees, partners and the University of Illinois from illegal or damaging actions by individuals, either knowingly or unknowingly. Internet/Intranet/Extranet-related systems, including but not limited to computer equipment, software, operating systems, storage media, network accounts providing electronic mail, WWW browsing, and FTP, are the property of University of Illinois at Chicago. These systems are to be used for business purposes in serving the interests of the college/university in the course of normal operations. Effective security is a team effort involving the participation and support of every CUPPA employee and affiliate who deals with information and/or information systems. It is the responsibility of every computer user to know these guidelines, and to conduct their activities accordingly. 2.0 Purpose The purpose of this policy is to outline the acceptable use of computer equipment at CUPPA. These rules are in place to protect the employee and CUPPA. Inappropriate use exposes CUPPA to risks including virus attacks, compromise of network systems and services, and legal issues. 3.0 Scope This policy applies to employees, contractors, consultants, temporaries, and other workers at CUPPA, including all personnel affiliated with third parties. This policy applies to all equipment that is owned or leased by CUPPA. 4.0 Policy 4.1 General Use and Ownership 1. While CUPPA s network administration desires to provide a reasonable level of privacy, users should be aware that the data they create on the CUPPA s systems regarding College/University s work remains the property of CUPPA /UIC. Because of the need to protect CUPPA s network, management cannot guarantee the confidentiality of information stored on any network device belonging to CUPPA.

102 2. Employees are responsible for exercising good judgment regarding the reasonableness of personal use. Individual departments are responsible for creating guidelines concerning personal use of Internet/Intranet/Extranet systems. In the absence of such policies, employees should be guided by departmental policies on personal use, and if there is any uncertainty, employees should consult their supervisor or manager. 3. CUPPA reserves the right to audit networks and systems on a periodic basis to ensure compliance with this policy. 4.2 Security and Proprietary Information 1. The user interface for information contained on Internet/Intranet/Extranet-related systems should be classified as either confidential or not confidential. Examples of confidential information include but are not limited to CUPPA s strategies, university business secrets, specifications, student lists, research data etc. Employees should take all necessary steps to prevent unauthorized access to this information. 2. Keep passwords secure and do not share accounts. Authorized users are responsible for the security of their passwords and accounts. System level passwords MAY be changed quarterly; user level passwords should be changed every six months. 3. Because information contained on portable computers is especially vulnerable, special care should be exercised to protect the information. 4. Postings by employees from university s address to newsgroups should contain a disclaimer stating that the opinions expressed are strictly their own and not necessarily those of CUPPA s or University of Illinois at Chicago s, unless posting is in the course of university business duties. 5. All hosts used by the employee that are connected to the CUPPA /University s Internet/Intranet/Extranet, whether owned by the employee or CUPPA, shall be continually executing University of Illinois s approved virus-scanning software with a current virus database Unacceptable Use Under no circumstances is an employee of CUPPA authorized to engage in any activity that is illegal under local, state, federal or international law while utilizing CUPPA owned resources. The lists below are by no means exhaustive, but attempt to provide a framework for activities, which fall into the category of unacceptable use.

103 System and Network Activities The following activities are strictly prohibited, with no exceptions: 1. Violations of the rights of any person or CUPPA /UIC protected by copyright, college/university business secrets, patent or other intellectual property, or similar laws or regulations, including, but not limited to, the installation or distribution of "pirated" or other software products that are not appropriately licensed for use by CUPPA. 2. Exporting software, technical information, encryption software or technology, in violation of international or regional export control laws, is illegal. The appropriate management should be consulted prior to export of any material that is in question. 3. Introduction of malicious programs into the network or server (e.g., viruses, worms, Trojan horses, bombs, etc.). 4. Revealing your account password to others or allowing use of your account by others. This includes family and other household members when work is being done at home. 5. Using an CUPPA s computing asset to actively engage in procuring or transmitting material that is in violation of sexual harassment or hostile workplace laws in the user's local jurisdiction. 6. Making fraudulent offers of services originating from any CUPPA s account. 7. Effecting security breaches or disruptions of network communication. Security breaches include, but are not limited to, accessing data of which the employee is not an intended recipient or logging into a server or account that the employee is not expressly authorized to access, unless these duties are within the scope of regular duties. 8. Executing any form of network monitoring which will intercept data not intended for the employee s host, unless this activity is a part of the employee's normal job/duty. 9. Circumventing user authentication or security of any host, network or account. 10. Providing information about or lists of CUPPA employees to parties outside CUPPA. and Communications Activities 1. Sending unsolicited messages, including the sending of "junk mail" or other advertising material to individuals who did not specifically request such material ( spam). 2. Any form of harassment via , telephone or paging, whether through language, frequency, or size of messages. 3. Unauthorized use, or forging, of header information.

104 4. Solicitation of for any other address, other than that of the poster's account, with the intent to harass or to collect replies. 5. Use of unsolicited originating from within CUPPA 's networks of other Internet/Intranet/Extranet service providers on behalf of, or to advertise, any service hosted by CUPPA or connected via CUPPA 's network. 6. Posting the same or similar non-college/university business related messages to large numbers of Usenet newsgroups (newsgroup spam). 5.0 Enforcement Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

105 Password Policy

106 1.0 Overview Passwords are an important aspect of computer security. They are the front line of protection for user accounts. A poorly chosen password may result in the compromise of Institute for Research on Race and Public Policy (CUPPA) entire network. As such, all CUPPA employees are responsible for taking the appropriate steps, as outlined below, to select and secure their passwords. 2.0 Purpose The purpose of this policy is to establish a standard for creation of strong passwords, the protection of those passwords, and the frequency of change. 3.0 Scope The scope of this policy includes all personnel who have or are responsible for an account (or any form of access that supports or requires a password) on any system that resides at any CUPPA facility, has access to the CUPPA /UIC network, or stores any non-public CUPPA /UIC information. 4.0 Policy 4.1 General All system-level passwords (e.g., application administration accounts etc.) may be changed on at least a quarterly basis. All user-level passwords (e.g., , web, desktop computer, etc.) may be changed at least every 90 days. Passwords must not be inserted into messages or other forms of electronic communication. All user-level and system-level passwords should conform to the guidelines described below. 4.2 Guidelines A. General Password Construction Guidelines Passwords are used for various purposes at CUPPA /UIC. Some of the more common uses include: user level accounts, web accounts, and accounts. Poor, weak passwords have the following characteristics: The password contains less than eight characters The password is a word found in a dictionary (English or foreign) The password is a common usage word such as: Names of family, pets, friends, co-workers, fantasy characters, etc. Computer terms and names, commands, sites, companies, hardware, software.

107 Birthdays and other personal information such as addresses and phone numbers. Word or number patterns like aaabbb, zyxwvuts, , etc. Any of the above spelled backwards. Any of the above preceded or followed by a digit (e.g., secret1, 1secret) Strong passwords have the following characteristics: Contain both upper and lower case characters (e.g., a-z, A-Z) Have digits and punctuation characters as well as letters e.g., %^&*()_+ ~-=\`{}[]:" <>? /) Are at least eight alphanumeric characters long. Is not a word in any language etc. Are not based on personal information, names of family, etc. Passwords should never be written down or stored on-line. Try to create passwords that can be easily remembered. One way to do this is create a password based on a song title, affirmation, or other phrase. For example, the phrase might be: "This May Be One Way to Remember" and the password could be: "TmB1w2R!" or "Tmb1W>r~" or some other variation. NOTE: PLEASE do not use either of these examples as passwords! B. Password Protection Standards Do not use the same password for CUPPA accounts as for other non- CUPPA access (e.g., personal ISP account, etc.). Where possible, don't use the same password for various CUPPA access needs. Do not share CUPPA /UIC passwords with anyone, including administrative assistants or secretaries. All passwords are to be treated as sensitive, Confidential CUPPA/UIC information. Here is a list of "don ts": Don't reveal a password over the phone to ANYONE Don't reveal a password in an message Don't reveal a password to the supervisor. Don't talk about a password in front of others Don't hint at the format of a password (e.g., "my family name") Don't reveal a password on questionnaires or security forms Don't share a password with family members Don't reveal a password to co-workers while on vacation

108 If someone demands a password, refer them to this document or have them call someone in the Information Security Department. Do not use the "Remember Password" feature of applications (e.g., Eudora, Outlook, etc.) Again, do not write passwords down and store them anywhere in your office. Do not store passwords in a file on ANY computer system without encryption. Change passwords at least once every six months (except systemlevel passwords which must be changed quarterly). The recommended change interval is every four months. If an account or password is suspected to have been compromised, report the incident to Director of CUPPA tech and change all passwords. 5.0 Enforcement Any employee found to have violated this policy might be subject to disciplinary action, up to and including termination of employment.

109 Information Sensitivity Policy

110 1.0 Purpose The Information Sensitivity Policy at the Institute for Research on Race and Public Policy (CUPPA), University of Illinois at Chicago (UIC) is intended to help employees determine what information can be disclosed to non-employees, as well as the relative sensitivity of information that should not be disclosed outside of CUPPA without proper authorization. The information covered in these guidelines includes, but is not limited to, information that is either stored or shared via any means. This includes: electronic information, information on paper, and information shared orally or visually (such as telephone and video conferencing). All employees should familiarize themselves with the information labeling and handling guidelines that follow this introduction. It should be noted that the sensitivity level definitions were created as guidelines and to emphasize common sense steps that you can take to protect CUPPA s confidential information (e.g., confidential information should not be left unattended in conference rooms). 2.0 Scope All CUPPA information is categorized into two main classifications: CUPPA Public CUPPA Confidential CUPPA Public information is information that has been declared public knowledge by someone with the authority to do so, and can freely be given to anyone without any possible damage to CUPPA. CUPPA Confidential contains all other information. It is a continuum, in that it is understood that some information is more sensitive than other information, and should be protected in a more secure manner. Included are information that should be protected very closely, such as CUPPA secrets, development programs, grants and contracts, and other information integral to the success of CUPPA. Also included in CUPPA s Confidential is information that is less critical, such as telephone directories, general college information, personnel information, etc., which does not require as stringent a degree of protection. A subset of CUPPA Confidential information is CUPPA Third Party Confidential information. This is confidential information belonging or pertaining to another organization, which has been entrusted to CUPPA by that organization under non-disclosure agreements and other contracts.

111 CUPPA personnel are encouraged to use common sense judgment in securing CUPPA Confidential information to the proper extent. If an employee is uncertain of the sensitivity of a particular piece of information, he/she should contact their supervisor. 3.0 Policy The Sensitivity Guidelines below provides details on how to protect information at varying sensitivity levels. Use these guidelines as a reference only, as CUPPA Confidential information in each column may necessitate more or less stringent measures of protection depending upon the circumstances and the nature of the CUPPA Confidential information in question. 3.1 Minimal Sensitivity: General college information; some personnel and technical information Marking guidelines for information in hardcopy or electronic form. Note: any of these markings may be used with the additional annotation of "3rd Party Confidential". Marking is at the discretion of the owner or custodian of the information. If marking is desired, the words CUPPA Confidential may be written or designated in a conspicuous place on or in the information in question. Other labels that may be used include CUPPA Proprietary or similar labels at the discretion of each individual department. Even if no marking is present, CUPPA information is presumed to be CUPPA Confidential unless expressly determined to be CUPPA Public information by an CUPPA employee with authority to do so. Access: CUPPA employees, contractors, people with a University/College business need to know. Distribution within CUPPA: Standard interoffice mail approved electronic mail and electronic file transmission methods. Distribution outside of CUPPA internal mail: U.S. mail and other public or private carriers approved electronic mail and electronic file transmission methods. Electronic distribution: No restrictions except that it is sent to only approved recipients. Storage: Keep from view of unauthorized people; erase whiteboards, do not leave in view on tabletop. Machines should be administered with security in mind. Protect from loss; electronic information should have individual access controls where possible and appropriate.

112 Disposal/Destruction: Deposit outdated paper information in specially marked disposal bins on CUPPA premises; electronic data should be expunged/cleared. Reliably erase or physically destroy media. Penalty for deliberate or inadvertent disclosure: Up to and including termination, possible civil and/or criminal prosecution to the full extent of the law. 3.2 More Sensitive: Business, financial, technical, and most personnel information Marking guidelines for information in hardcopy or electronic form: Access: CUPPA employees and non-employees with signed nondisclosure agreements who have a University/College business need to know. Distribution within CUPPA: Standard interoffice mail approved electronic mail and electronic file transmission methods. Distribution outside of CUPPA internal mail: Sent via U.S. mail or approved private carriers. Electronic distribution: No restrictions to approved recipients within CUPPA, but should be encrypted or sent via a private link to approved recipients outside of CUPPA premises. Storage: Individual access controls are highly recommended for electronic information. Disposal/Destruction: In specially marked disposal bins on CUPPA premises; electronic data should be expunged/cleared. Reliably erase or physically destroy media. Penalty for deliberate or inadvertent disclosure: Up to and including termination, possible civil and/or criminal prosecution to the full extent of the law. 3.3 Most Sensitive: University/College business secrets & marketing, operational, personnel, financial, and technical information integral to the success of CUPPA. Marking guidelines for information in hardcopy or electronic form:

113 Access: Only those individuals CUPPA (employees and nonemployees) designated with approved access and signed nondisclosure agreements. Distribution within CUPPA: Delivered direct - signature required, envelopes stamped confidential, or approved electronic file transmission methods. Distribution outside of CUPPA internal mail: signature required; approved private carriers. Delivered direct; Electronic distribution: No restriction to approved recipients within CUPPA, but it is highly recommended that all information be strongly encrypted. Storage: Individual access controls are very highly recommended for electronic information. Physical security is generally used, and information should be stored in a physically secured computer. Disposal/Destruction: Strongly Encouraged: In specially marked disposal bins on CUPPA premises; electronic data should be expunged/cleared. Reliably erase or physically destroy media. Penalty for deliberate or inadvertent disclosure: Up to and including termination, possible civil and/or criminal prosecution to the full extent of the law. 4.0 Enforcement Any employee found to have violated this policy might be subject to disciplinary action, up to and including termination of employment.

114 Server Security Policy

115 1.0 Purpose The purpose of this policy is to establish standards for the base configuration of internal server equipment that is owned and/or operated by the Institute for Research on Race and Public Policy (CUPPA), University of Illinois at Chicago (UIC). Effective implementation of this policy will minimize unauthorized access to CUPPA /UIC proprietary information and technology. 2.0 Scope This policy is specifically for equipment on the internal CUPPA network. This policy applies to server equipment owned and/or operated by CUPPA /UIC, and to servers registered under any CUPPA /UIC owned internal network domain. 3.0 Policy 3.1 Ownership and Responsibilities All internal servers deployed at CUPPA must be owned by CUPPA tech that is responsible for system administration. Approved server configuration guides must be established and maintained by CUPPA tech, based on the college/department business needs and approved by CUPPA management. CUPPA tech should monitor configuration compliance and implement an exception policy tailored to their environment. Servers must be registered within the University s enterprise management system. At a minimum, the following information is required to positively identify the point of contact: Server contact(s) and location, and a backup contact Hardware and Operating System/Version Main functions and applications, if applicable Information in the University s enterprise management system must be kept up-to-date. Configuration changes for production servers must follow the appropriate change management procedures. 3.2 General Configuration Guidelines Operating System configuration should be in accordance with approved University of Illinois guidelines. Services and applications that will not be used must be disabled where practical. Access to services should be logged and/or protected through access-control methods. The most recent security patches must be installed on the system as soon as practical, the only exception being when immediate application would interfere with CUPPA s business requirements.

116 Servers should be physically located in an access-controlled environment. Servers are specifically prohibited from operating from uncontrolled cubicle areas. 3.3 Monitoring All security-related events on critical or sensitive systems must be logged and audit trails saved. All security related logs might be kept online for a minimum of 1 week. 4.0 Enforcement Any employee found to have violated this policy might be subject to disciplinary action, up to and including termination of employment. 5.0 Definitions Term Definition Server For purposes of this policy, a Server is defined as an internal CUPPA s Server. Desktop machines and Lab equipment are not relevant to the scope of this policy.

117 Physical Security Policy

118 1.0 Overview Physical security refers to the protection of building sites and equipment (and all other information and software contained therein) from theft, vandalism, natural disaster, manmade catastrophes, and accidental damage (e.g., from electrical surges, extreme temperatures, and spilled coffee). It requires solid building construction, suitable emergency preparedness, reliable power supplies, adequate climate control, and appropriate protection from intruders. The Institute for Research on Race and Public Policy (CUPPA) intentions for publishing physical security policy is to ensure that the security concerned with physical measures is designed to safeguard personnel; to prevent unauthorized access to equipment and information, installations, material, and documents; and to safeguard against espionage, sabotage, damage, and theft. 2.0 Purpose The purpose of this policy is to ensure that: Security measures are commensurate with the criticality of the data, as well as the risk of loss of confidentiality, access or integrity of the data. Environmental safeguards are in place to protect the integrity of all primary source of information assets, and Make all people associated with CUPPA (employees, contractors, consultants, student workers, other temporaries etc) aware that physical security is an essential part of a security plan and that it forms the basis for all other security efforts, including data security. 3.0 Scope This policy applies to employees, contractors, consultants, temporaries, and other workers at CUPPA, including all personnel affiliated with third parties. This policy applies to all equipment that is owned or leased by CUPPA. Physical safeguards are measures, policies, and procedures to physically protect the Information Systems, other equipments, related buildings and people at CUPPA that contain college and university information about natural and environmental hazards and unauthorized intrusion. Contingency Plan sets out a course of action that is maintained for emergency response, backup operations, and post-disaster recovery. The purpose of the plan is to ensure availability of critical resources and facilitate the continuity of CUPPA s operations in an emergency.

119 The plan includes procedures for performing backups, preparing critical facilities that can be used to facilitate continuity of critical operations in the event of an emergency and recovering from a disaster. Disaster Recovery Plan is the part of a Contingency Plan that documents the process to restore any loss of data and to recover computer systems if a disaster occurs (i.e., fire, vandalism, natural disaster, or system failure). The document defines the resources, actions, tasks and data required to manage the CUPPA s business recovery process in the event of an interruption. The plan is designed to assist in restoring the business process to attain the stated disaster recovery goals. 4.0 Policy This policy will include: Physical safeguards: Appropriate physical safeguards must be implemented to ensure the confidentiality of all data regardless of physical location. Physical safeguards must be implemented for portable computing devices i.e. laptops etc. and media storage devices i.e., USB mini-drive, CD, diskette etc. Technical Safeguards System Owners responsible for applications and devices are responsible for ensuring that appropriate technical safeguards consistent with University of Illinois and CUPPA policies are implemented. The adequacy of technical safeguards shall be reviewed regularly in accordance with University of Illinois s and CUPPA s policies and procedures. Technical safeguards include, for example, use of antivirus software or activating logintracking procedures where appropriate. Administrative Safeguards System Owners have in place the CUPPA administration s approved administrative safeguards for such systems including: (1) A Contingency Plan; (2) An Emergency mode operation plan; and (3) A Disaster Recovery Plan. Recommended safeguards: 4.1 Building and Environmental Safeguards: Minimize use of location signs: Don't arouse unnecessary interest in secure areas Maximize structural protection: Secured rooms may have full height walls and fireproof ceilings

120 4.1.3 Minimize external access: Secure rooms should only have one or two solid, fireproof, and lockable doors. The doors should be observable by authorized staff. Doors to secure areas should never be left open. Windows should have locks Maintain appropriate locks: Keep doors locked when room is not in use. Maintain secure system for keys and combinations. If there is a breach, each compromised lock should be changed Alternative physical security strategies: When appropriate, consider the use of window bars, anti-theft cabling (with alarm when cable is disconnected from system), magnetic key cards etc Be prepared for fire emergencies with appropriate automatic non water fire fighting equipment, and provide appropriate staff training in its use Maintain reasonable (recommended) climate control in secured rooms Minimize nonessential materials that could jeopardize a secure room. Examples of nonessential items include: coffee, food, cigarettes, curtains, reams of paper, and other flammables Dispose of confidential waste carefully to maintain confidentiality Label confidential information appropriately and ensure suitable security procedures from common carriers when shipping or receiving confidential information. 4.2 Equipment Security and Data Security Safeguards The primary purpose for using the equipment is CUPPA work Keep critical systems separate from general systems Lock laptops in secure cabinet when not in use Provide and use laptop cover locks Store computer equipment in places that cannot be seen or reached from windows and doors, and away from radiators, heating vents, air conditioners, or other work Protect cabling, plugs, and other wires from foot traffic.

121 4.2.7 Keep a secure inventory of equipment and peripheral equipment, with up-to-date logs of manufacturers, models, and serial numbers. Consider videotaping the equipment for insurance purposes Electronic storage devices (diskettes, CDs, zip drives, external drives, video/audio tapes, USB drives, etc) should be kept in secure locations when not in use. Locked cabinets, closets and offices can provide this protection Establish procedures for laptop sharing. Each user should have a separate password Password protected screen savers should be used to minimize unauthorized access from non-authenticated personnel Designated Anti-virus Programs will be used at all times. Programs will be enabled at all times and virus lists will be updated on a designated schedule. 4.3 Equipment Maintenance Safeguards Consider the use of maintenance contracts. Keep equipment information, contact and technical support numbers readily available at the computers When computers containing sensitive information are being maintained or repaired be sure that sensitive data is properly pass worded, encrypted, or removed from the computer before maintenance or repair Establish a schedule for regular computer maintenance and establish a mechanism to contact CUPPA tech for maintenance Provide spare equipment for use when computers are being repaired or maintained. 4.4 Equipment labeling Safeguards Identify all equipment in overt and covert ways to make unauthorized tampering or use difficult. 4.5 System Backup Safeguards Establish a procedure and schedule of system backup Establish overall system backup responsibilities and assign them Individuals who use the computers should also have backup responsibilities.

122 4.5.4 Use a rotation of media (using different disks at each backup and rotating every X days or weeks) Both onsite and offsite backup storage should be considered and used. 4.6 Power Supplies Safeguards Prepare for electrical power fluctuations by using surge suppressors or electrical power filters and using uninterruptible power sources to serve as auxiliary electrical supplies as backup to critical systems Design electrical systems to better withstand fires, floods, and other disasters Ensure distributed use of outlets by all equipment Use anti-static carpeting and pads, and use anti-static sprays whenever possible. 4.7 Safeguards for adding of New Users to the System When new users are added to the system, they may receive and acknowledge receipt of CUPPA policies related to the use of equipment and accompanying software. 5.0 Enforcement Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

123 Use Policy

124 1.0 Purpose To prevent tarnishing the public image of Institute for Research on Race and Public Policy (CUPPA), University of Illinois at Chicago (UIC): When goes out from CUPPA /UIC the general public will tend to view that message as an official policy statement from CUPPA, UIC 2.0 Scope This policy covers appropriate use of any sent from CUPPA /UIC address and applies to all employees, and agents operating on behalf of CUPPA /UIC. 3.0 Policy 3.1 Prohibited Use. The CUPPA /UIC system shall not to be used for the creation or distribution of any disruptive or offensive messages, including offensive comments about race, gender, hair color, disabilities, age, sexual orientation, pornography, religious beliefs and practice, political beliefs, or national origin. Employees who receive any s with this content from any CUPPA /UIC employee should report the matter to their supervisor immediately. 3.2 Personal Use. Using a reasonable amount of CUPPA /UIC resources for personal s is acceptable, but non-work related should be saved in a separate folder from work related . Sending chain letters or joke s from an CUPPA /UIC account is prohibited. 4.0 Enforcement Any employee found to have violated this policy might be subject to disciplinary action, up to and including termination of employment.

125 Guidelines on Anti-Virus Process

126 Recommended processes to prevent virus problems: Always run the University of Illinois at Chicago s standard, supported anti-virus software available from the University s download site. Download and run the current version; download and install anti-virus software updates as they become available. Delete spam, chain, and other junk without forwarding, in accordance with CUPPA s Acceptable Use Policy. Never download files from unknown or suspicious sources. Avoid direct disk sharing with read/write access unless there is absolutely a university business requirement to do so. Back-up critical data and system configurations on a regular basis and store the data in a safe place..

127 UIC CUPPA Computer Incident Handling Procedure 1. Purpose The purpose of this Procedure is to ensure consistency in the handling of security incidents that occur on computing resources, to help to contain the incident, and to preclude the inadvertent destruction of forensic data evidence. 2. Scope This procedure is intended to be used by anyone who uses computing equipment owned by CUPPA units and/or anyone who uses computing equipment that contains or processes sensitive data stewarded by CUPPA units. This process covers the necessary activities that must occur from the time that an incident is first suspected/discovered to the time that the machine can be safely returned to Production status. 3. Definitions Computer Incident: A computer incident is defined as a compromise of a computer or other electronic system by malicious or unintended activity. Included in this definition is the unintentional disclosure of data to an unauthorized party. This could be a result of physical theft, deliberate attack, or accidental disclosure through system management errors. Examples of an incident include: Exposure of Social Security Numbers and home addresses Replacement or defacement of a departmental web site with obscenities Infection of a computer by a worm that then attempts to spread itself to other computers Sharing of copyrighted music without permission from the copyright holder Taking advantage of operating system vulnerabilities or careless system management in order to access a host without authorization (often termed hacking) Accidentally ing a file with Personally Identifiable Information (PII) to the wrong person due to an auto-complete error. Sensitive Data: Sensitive data is an ever growing list of personal identifiers. Essentially, any data object (word, code, ID number, etc.) that can be used to identify a person or access any secure accounts, can be considered sensitive data. Social Security - 1 -

128 UIC CUPPA Computer Incident Handling Procedure numbers, credit card numbers, passwords, University ID numbers (UINs), and mother s maiden names are typical examples of sensitive data. A more complete list of types of sensitive data can be found at: High risk data as defined by NIH Privacy Rule, which can be found here: NIH subject to the Privacy Rule: Names. All geographic subdivisions smaller than a state, including street address, city, county, precinct, ZIP Code, and their equivalent geographical codes, except for the initial three digits of a ZIP Code if, according to the current publicly available data from the Bureau of the Census: a. The geographic unit formed by combining all ZIP Codes with the same three initial digits contains more than 20,000 people. b. The initial three digits of a ZIP Code for all such geographic units containing 20,000 or fewer people are changed to All elements of dates (except year) for dates directly related to an individual, including birth date, admission date, discharge date, date of death; and all ages over 89 and all elements of dates (including year) indicative of such age, except that such ages and elements may be aggregated into a single category of age 90 or older. 4. Telephone numbers. 5. Facsimile numbers. 6. Electronic mail addresses. 7. Social security numbers. 8. Medical record numbers. 9. Health plan beneficiary numbers. 10. Account numbers. 11. Certificate/license numbers. 12. Vehicle identifiers and serial numbers, including license plate numbers. 13. Device identifiers and serial numbers. 14. Web universal resource locators (URLs). 15. Internet protocol (IP) address numbers. 16. Biometric identifiers, including fingerprints and voiceprints. 17. Full-face photographic images and any comparable images. 18. Any other unique identifying number, characteristic, or code, unless otherwise permitted by the Privacy Rule for re-identification

129 UIC CUPPA Computer Incident Handling Procedure For more information, please see Departmentally Addressable Incidents: Incidents of this type meet ALL of the following criteria: * There is no sensitive data on the compromised machine 1 * The primary user(s) of the compromised machine do not have access to sensitive information 1 * The compromised machine is not acting as a server 2 1 Please see and to determine the relative sensitivity of the data contained on the compromised machine. 2 For example, a workstation can act as a server when it is used to host a web site that is accessible from the internet. Workstations hosting niche services, like an IRC that is only used by 5 people, are also acting as servers. Campus Security Incidents: All incidents that are not Departmentally Addressable Incidents are Campus Security Incidents. IT Professional: CUPPA employs the following individuals to manage its IT resources: Name Marcin Hiolski (All CUPPA network support) George Yanos (UTC research programming) Cedric Williams (CUED/Voorhees research programming) Jie Chen (SRL research programming) On-Campus Phone Cell Phone UIC [email protected] [email protected] [email protected] [email protected] - 3 -

130 UIC CUPPA Computer Incident Handling Procedure 4. Actions A. Initial Recognition of Incident: STEPS 1. Notify IT Professional who manages our computers. 2. Verify the symptoms of the incident RESPONSIBLE PERSON The person who identifies or suspects a computer security incident. CUPPATECH team DESCRIPTION Call M-F, 9 5 Call or any other time Corroborate the behaviors identified by the person who discovered the incident 3. Contain the incident CUPPATECH team Remove the network cable from the affected machine(s) 4. Document incident details 5. Contact the Office of Privacy and Information Assurance CUPPATECH team CUPPATECH team Collect: - IP Address(es) - URL (if applicable) - Server function (web server, file server, server, etc) - OS & version/patch level - Known data types housed on machine - Description of problem Call and/or send an to [email protected] 6. Identify incident type OPIA Security Officer Classify incident as a Campus Security Incident or a Departmentally Addressable Incident 7. Next Steps CUPPATECH team Proceed to 4.B for Departmentally Addressable Incidents or 4.C for Campus Security Incidents B. Departmentally Addressable Incidents: - 4 -

131 UIC CUPPA Computer Incident Handling Procedure STEPS 1. Notify users 2. Re-image machine 3. Set IP address 4. Restore network connectivity 5. Update operating system 6. Harden server 7. Install Anti-Malware software 8. Install applications 9. Install TSM client RESPONSIBLE PERSON CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team DESCRIPTION Send explaining outage to CUPPA listservs include expected duration of outage. Re-install the operating system from media Set IP address to an unused address in the department s Fully Closed firewall group subnet Plug in network cable and verify connectivity Download and apply latest patches for the operating system Secure the operating system using instructions from Download and install latest version of antivirus software from WebStore Download and install the latest versions of any installed applications/libraries/run time environments Download and install the latest version of the ADSM client from ACCC website. 10. Restore files 11. Scan machine 12. Re-IP machine 13. Notify OPIA CUPPATECH team CUPPATECH team CUPPATECH team CUPPATECH team Restore files from ADSM. Run a full anti-virus scan to ensure no malware was restored via ADSM recovered files Configure permanent IP address and hostname Send a notification to [email protected] indicating these procedures and the restoration of the server to Production Send to CUPPA listservs indicating the restoration of the service 14. Notify users CUPPATECH team 15. Schedule CUPPATECH If the incident revealed an user education - 5 -

132 UIC CUPPA Computer Incident Handling Procedure Orientation team opportunity, Contact ACCC Security to arrange a Security Orientation for relevant members of CUPPA units. C. Campus Security Incidents: STEPS RESPONSIBLE PERSON DESCRIPTION 1. Notify users CUPPATECH team Send explaining outage to CUPPA listservs include expected duration of outage. 2. Physical Security CUPPATECH team Ensure that the physical security of the affected server(s) is preserved. 3. Assist the Security Officers CUPPATECH team Provide the necessary accesses and resources for the Security Officers to investigate the incident 4. Rebuild computer(s) CUPPATECH team Once the Security Officers give the approval, follow the Departmentally Addressable Incident Handling procedure (4.B in this document) 5. Responsibilities The person who occupies the Director of Computing and Continuity Services role within CUPPA units is responsible for maintaining the referenced contact information, addresses, phone numbers, and hyperlinks that are referenced within this document. The Director of Computing and Continuity Services or other designee so assigned by CUPPA shall have administrator, virtual, and physical access to all computing equipment in CUPPA in order to implement all University and CUPPA policies, procedures, and practices pertaining to information technology, business continuity, emergencies, and property maintenance, and shall have authority to take necessary action to implement such policies, procedures, and practices, taking precedence over any conflicting action by CUPPA units. Related responsibilities for carrying out procedures are listed in Section

133 UIC CUPPA Computer Incident Handling Procedure 6. Associated Documents ACCC Security Wiki: 7. Implementation This procedure is included in CUPPA s online policies and procedures, the link for which is given to all new faculty and staff. This procedure is discussed as part of the New Faculty, New Employee Orientation Class that is mandatory for all personnel who utilize IT resources within CUPPA units. Revised 7/1/11-7 -

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135 Office of the Dean (MC 350) 412 South Peoria Street, Suite 115 College of Urban Planning and Public Affairs University of Illinois at Chicago Chicago, Illinois June 2015 From: To: RE: Michael Pagano, Dean CUPPA CUPPA Unit Heads Unit Information Security Officer Assigned for CUPPA; Key Norms of Computer Management in CUPPA Over the past few years, the University has been establishing rigorous policies for data and IT security and management, to list just some of the UIC policies: CUPPA as well has longstanding IT policies and procedures on pages of: After fully complying with a University IT audit in , CUPPA added a number of IT policies to the above 2006 CUPPA Policies and Procedures. But the data classification reports that CUPPA units have prepared in recent years are only the tip of the iceberg in terms of University data and IT compliance coming down the road. The University has asked each college to designate a Unit Information Security Officer (UISO). The UISO s role is the daily management of the new University Information Technology Security Program in their college by ensuring its implementation, management and maintenance. I have assigned this responsibility to Marcin Hiolski, CUPPA Director of Computing and Continuity Services. Over the past several years, with College approval Marcin Hiolski has implemented a very effective endpoint software management system that allows for remote services and updates, inventory management, security and theft protection, antivirus, ACCC backups, etc. This endpoint management system not only helps us to comply with a highlyregulated University computing environment, but also allows for only one full time person and two part time graduate students to remotely manage and service hundreds of computers in CUPPA, and has allowed most CUPPA units to dispense with hiring their own network support GAs. CUPPA Promoting just, resilient and livable communities

136 For this endpoint management system to work properly, administrator access on each CUPPA computer must be limited to the CUPPATECH team or their designate. Participation in the CUPPA endpoint management software system and limitation of administrator access to the CUPPATECH team or their designated computing professionals in CUPPA is the strict norm for CUPPA. The SRL network, which maintains a standalone system, will also be asked to implement the CUPPA endpoint management system within their network during FY16. This implementation should enhance and not disrupt SRL s high standard of network computing under Jie Chen. Unit computer purchases should therefore be promptly reported to the CUPPATECH team, so each and every University-owned computer in CUPPA can be managed through the endpoint management method with administrator access limited to the CUPPATECH team or their professional designate. Since there is a very high likelihood that University-owned computers in CUPPA that are not connected to the endpoint management system are out of compliance with complicated University IT and security policies, purchasing privileges will be revoked if necessary to strictly enforce this norm. We do not intend to be subject to another timeconsuming IT audit. It is true that by giving up administrator privileges, one gives up a measure of instant convenience. But usually, the CUPPATECH team can reply to most service requests within a few hours. By ceding network and administrator control of the computers to the professionals in our midst, we can continue to maintain much more stable and policycompliant computing. All would agree that CUPPA s robust computing environment is substantially due to the work Marcin Hiolski, Jie Chen, George Yanos, previously Cedric Williams, and their student colleagues have done over the years to build CUPPA s IT infrastructure. By keeping to the norms described above, we give our computing professionals the tools that they need to help us succeed. Thank you very much for your understanding and cooperation. Mike CUPPA Promoting just, resilient and livable communities

137 Office of the Dean (MC 350) 412 South Peoria Street, Suite 115 Chicago, Illinois To: CUPPAFaculty,Staff,andStudents From: AlbertSchorsch,III,AssociateDean,CUPPA RE: CUPPAPolicyonAppropriateUseofCUPPAFacilities Date: 11/3/11 InkeepingwiththestatutorymissionsoftheUniversityofIllinoistoteach,toresearch,toconductUniversity sponsoredpublicservice,andtopromoteeconomicdevelopment,facilitiesofcuppaarededicatedtothese statedpurposes.postedonalluniversitypropertyisthenotice: Anyoneotherthanstudents,University personnel,orinvitedguestsistrespassingonstateproperty. FollowingapplicableIllinoisandUniversityethicspoliciesandprocedures,personaluseofUniversitypropertyto conductbusinessotherthanuniversitybusiness,toengageinpoliticalcampaignactivity,ortoconvert Universityspaceandresourcestoexclusivepersonalusearenotallowed. "24/7"accesstoCUPPAfacilitiesisaprivilege,notaright,andissubjecttoapprovalandchangebyCUPPA administration.becauseoftheteaching,research,publicservice,andeconomicdevelopmentactivities particulartocuppa'smissionthatoccurtwentyfourhours,sevendaysaweekwithincuppahallandwithin otherspacesassignedtocuppaoncampus,becauseoffireregulations,andoutofrespectforthoseauthorized students,faculty,andresearcherswhomayneedtostudyandworkundisturbedonprojects"24/7"inkeeping withtheuniversityandcuppamissions,cuppaspacecannotbeusedforhousingindividualsorgroups overnight,orasadormitory. Fromtimetotime,CUPPAmayalsopostnoticesinthebuildingremindingstudents,faculty,andstaffabout limitstotheuseofcertainspaces,suchasnofoodordrinkinthecuppacomputerlabs.cuppaalsofollowsthe ACCCAcceptableUsePolicy,theUICStudentDisciplinaryPolicy,andotherapplicableUniversitypolicies. CUPPAthereforereservestherighttoterminateCUPPAbuildingandCUPPAcomputeraccessforand/ortoask UniversityPolicetoremoveindividualswhoviolateUniversityandCUPPApoliciesandnoticesonthe appropriateuseofcuppafacilitiesand/orwhootherwisedisturbthepeace. Yoursuggestionsandquestionsfortheimprovement,usefulness,andfairnessoftheabovepolicyarewelcome. Phone (312) Fax (312)

138 Gifts Policies & Procedures

139 VI. Gifts 1.00 Gift Acceptance and Accounting Objective(s) To assure that all private, and non - sponsored foundation funds pertaining to CUPPA are properly accepted and administered. To accurately record the gift/donation amount and date within 24 hours of receipt into the University s Foundation a/c. To assure that the gifts receipting process at CUPPA protects the interests of both the institution and its donors. To assure that adequate documentation is in place for all gifts accepted by CUPPA. To accurately post the gift/donation deposits in UIF/Banner Finance. Risk(s) Donations will not be accurately accounted for in UIF system leading to inaccurate financial reporting/position of the University. Contributions are not acknowledged contemporaneously after the gifts are entered in UIF System. If gifts valuations are done inaccurately, University's assets may be overstated/understated. Inadequate documentation leads to inadequate record of ownership of assets as well as no aid in recovery from theft, litigation, insurance settlements etc. All gift/donation transactions do not post accurately to Banner Finance. Policy/Procedure (1) Gift solicitations determined by the CUPPA Dean and Departmental Directors must be approved in writing by the designated CUPPA/UIC authority to assure that these support the University's campaign priorities. (2) Promptly acknowledge the gifts after they are entered in Banner development module in the appropriate gift account established by the OBFS for recording gifts to depict proper stewardship responsibilities to donors. The Director of Advancement at CUPPA may verify that the documentation and the date in which gifts are received (noted from the preserved postmarked envelope in which gifts received by mail are delivered) match with the kind of gift (real property, stocks etc) and the gift date recorded in Banner system and with the acknowledgement date of the gift mailed to the donor. (3) Obtain valuations only from IRS certified valuers. (4) The Director of Advancement at CUPPA may train employees to accept gifts that are only contributions made to the University for which the provider receives no direct benefit and requires nothing in exchange beyond a general assurance that the intent of the contribution will be honored in compliance with University's published policies and procedures. Entry other than a deposit should be put on a separate spreadsheet to ensure the month end reconciliation balances. (5) The Director of Advancement at CUPPA verifies that all deposits posted on UIF/Banner Finance are reconciled to development accounts and contacts the concerned department about any discrepancies the same day.

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