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Date

Time

Policy Development:In Theory and Practice

T. Michael Ford Pat SpellacyIndiana University University of Minnesota

Tuesday, July 12

8:30 – 9:45

About Indiana & Minnesota

Indiana University• Policies can originate from a multitude of initiators• VP & CFO Financial Policies Committee• Two tracks: “Fast Track” and Normal• Policy Review• VP & CFO Final Review and Approval• Official web site:

- Financial Policies: www.indiana.edu/~vpcfo/policies - Other University Policies: www.indiana.edu/~vpcfo/policies

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

policyhome.cfm

Policy Excitement Clip

The Association of College &University Policy AdministratorsMissionThe mission of the group is explore both the "policy process" on college and university campuses as well as to discuss specific policy issues. The mission will be fulfilled through periodic meetings, special events, outreach activities and electronic communications among the membership.

MembersSee the Members Directory on the ACUPA web site.www.acupa.org

ACUPA Web Site

Policy: Is this it?

Policy: Is this it?

Policy: Is this it?

For Real - This is Policy• What is a policy?

- They state an institutional position. - They describe mandates, community beliefs and boundaries.- They should include why and who.

• What is a Procedure?- They tell us how.- They often include who, what, when and where.- They are the customary or standard practice way of handling situations.

For Real - This is Policy• Why Are Policies and Procedures Important?

- They establish responsibilities and accountability.- They help ensure compliance and reduce institutional risk.- They may be needed to establish and/or defend a legal basis for action.- They provide clarification and guidance to the community.

Policy Definition References• “A Framework for IT Policy Development” http://www.educause.

edu/pub/er/erm04/erm0428.asp

• Hierarchy of Legal/Regulatory and Policy Authorityhttp://www.fpd.finop.umn.edu/groups/ppd/documents/appendix/policyhierarchy.cfm

(These Links are on the ACUPA web site)

What is BOC?• A holistic way to look at an organization• Eight key elements of an organization & their

interrelationships • Concepts and tools to deal with change• Case studies showcasing initiatives taken

What Are the Elements of BOC?1. Mission, Vision & Goals

Fundamental purposes & major aspirations

2. GovernanceWho makes decisions & exercises authority

3. StructureOrganizing and aligning people & activities

4. Policies & PracticesThe formal & informal rules

What Are the Elements of BOC?5. Processes

The means used to realize goals

6. Systems Supporting information to inform processes

7. Infrastructure The human, physical, & financial support assets

8. Culture The norms, values & beliefs

Copyright 2004, NACUBO

BOC: What Does It Look Like?

Where Does BOC Fit With Policy & ACUPA?• Policy is one of the 8 elements of BOC• Well written policies:

- Enhances understanding- Improves controls- Reduces risk- Increases efficiency & effectiveness- Helps meet new demands for compliance

• BOC stresses the interrelationships of the 8 key elements

• Improving Policy improves the other BOC elements

• ACUPA site has tools & information to improve polices

Policy Development Process

“Best Practices”

An Overview

Best Practices

Best Practices: Predevelopment1. Be proactive in issue identification

2. Identify an owner for each policy

3. Determine the best “Policy Path”

4. Assemble a team to develop policy

Best Practices

Best Practices: Development 5. Agree on common definitions and terms

6. Use a common format

7. Obtain approval at owner and senior levels

8. Plan communication, publicity, and education

9. Put information online and accessible from one location

10. Provide search capability

Best Practices

Best Practices: Maintenance11. Develop a plan for active maintenance and review

12. Encourage users to provide feedback

13. Archive changes and date new releases with an “Effective Date”

14. Measure outcomes by monitoring or testing

Leaving the Theory Zone

New ACUPA Web Site

ACUPA Web Page Features• Case Studies• Tools for Policy Development

(Templates, web sites & contacts)

• Article on Policy Development • List of Those Willing to Advise• Other Resource Links

Case Studies

Those Willing to Help

Other Resources

Best Practice Examples Linked to the Policy Development Theory

1. Be proactive in issue identification - Join ACUPA

2. Identify an owner for each policy- UCLA

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

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

Examples of Best Practices: Predevelopment

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

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

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

4. Assemble a team to develop policy

Examples of Best Practices: Predevelopment

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

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

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

6. Use a common format- Arizona State University

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

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

Examples of Best Practices: Development

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

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

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

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

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

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

Examples of Best Practices: Development

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

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

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

10. Provide search capability- University of California, Davis

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

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

TAL30

Examples of Best Practices: Development

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

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

12. Encourage users to provide feedback- Arizona State University

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

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

Examples of Best Practices: Maintenance

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

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

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

14. Measure outcomes by monitoring or testing

Examples of Best Practices: Maintenance

Questions and Comments

Your To Do List• Join ACUPA• Complete the Survey

(Copies in room - add to survey results)

• Tell Your Story ( Templates in room for ACUPA web site)

Successes and Benefits of Process

Indiana University:Successes and Benefits

• Got senior executive buy-in and invited all appropriate departments to “the party”

• Everyone knows how policy process works and where the “buck stops” in terms of policy development and issuance

• Fostered positive interaction between university (central) administration and campus staffs

Indiana University:Successes and Benefits

• With web site access, no longer any paper, postage or binder expenses – “paperless”!

• Serves as model for other policy efforts in institution• Policies are taken very seriously because “everybody

knows” where they are!

University of Minnesota:Successes and Benefits

• 75% of Non-Regents policies formatted• We can count our policies, forms & contracts

(258, 476, 123)

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

(10,000 “hits” a month)

University of Minnesota:Successes and Benefits

• People see a managed policy development process• Policy organization sets the stage for other

improvements• Financial One Stop website

A “How To” for Financial tasks with links to policy, forms, contracts, tools, training, risks, audit results & more.http://process.umn.edu/groups/controller/documents/main/osf_home.cfm