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Policy Development: In Theory and Practice

Policy Development: In Theory and Practice. T. Michael Ford Pat Spellacy Indiana 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

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Policy Development: In Theory and Practice

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  1. Policy Development:In Theory and Practice T. Michael Ford Pat SpellacyIndiana University University of Minnesota Tuesday, July 12 8:30 – 9:45 Time

  2. About Indiana & Minnesota

  3. 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

  4. 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

  5. Policy Excitement Clip

  6. The Association of College &University Policy Administrators MissionThe 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

  7. ACUPA Web Site

  8. Policy: Is this it?

  9. Policy: Is this it?

  10. Policy: Is this it?

  11. 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.

  12. 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.

  13. 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)

  14. 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

  15. What Are the Elements of BOC? 1. Mission, Vision & GoalsFundamental purposes & major aspirations 2. GovernanceWho makes decisions & exercises authority 3. StructureOrganizing and aligning people & activities 4. Policies & PracticesThe formal & informal rules

  16. 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

  17. BOC: What Does It Look Like?

  18. 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

  19. Policy Development Process“Best Practices”

  20. An Overview

  21. Best Practices

  22. Best Practices: Predevelopment 1. 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

  23. Best Practices

  24. 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

  25. Best Practices

  26. Best Practices: Maintenance 11. 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

  27. Leaving the Theory Zone

  28. New ACUPA Web Site

  29. 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

  30. Case Studies

  31. Those Willing to Help

  32. Other Resources

  33. Best Practice Examples Linked to the Policy Development Theory

  34. Examples of Best Practices: Predevelopment 1. Be proactive in issue identification - Join ACUPA 2. Identify an owner for each policy- UCLAhttp://www.adminvc.ucla.edu/appm/_Responsible_Dept.asp- University of California, Systemhttp://www.ucop.edu/ucophome/coordrev/da/

  35. Examples of Best Practices: Predevelopment 3. Determine the best “Policy Path”- Georgia Tech: Policy Processhttp://www.oit.gatech.edu/inside_oit/directorates/PS/policy_dev_process.cfm- Cornell University: Policy Processhttp://www.policy.cornell.edu/CM_Images/Uploads/POL/pol_processmap.pdf?CFID=447932&CFTOKEN=25227860 4. Assemble a team to develop policy

  36. Examples of Best Practices: Development 5. Agree on common definitions and terms- University of California, Berkeleyhttp://campuspol.chance.berkeley.edu/GlossaryofTerms.doc- University of Minnesota - Levels and Definitionshttp://www.fpd.finop.umn.edu/groups/ppd/documents/appendix/policyhierarchy.cfm 6. Use a common format- Arizona State Universityhttp://www.asu.edu/aad/manuals/cam/cam402-01.html- University of Vermonthttp://www.uvm.edu/%7Euvmppg/ppg/format.rtf

  37. Examples of Best Practices: Development 7. Obtain approval at owner and senior levels- Boston Collegehttp://www.bc.edu/offices/policies/meta-elements/doc/policies/I/1-125-001.shtml- University of California, Berkeleyhttp://campuspol.chance.berkeley.edu/CampusReview.htm 8. Plan communication, publicity, and education- University of California, Davishttp://manuals.ucdavis.edu/- University of Minnesotahttp://process.umn.edu/groups/ppd/documents/main/new.cfm

  38. Examples of Best Practices: Development 9. Put information online and accessible from one location- George Washington Universityhttp://my.gwu.edu/mod/upolicy/- Indiana University http://www.indiana.edu/~policies/ 10. Provide search capability- University of California, Davishttp://manuals.ucdavis.edu/policysearch_vsearchform.cfm- University of Tennesseehttps://san4.dii.utk.edu/servlet/page?_pageid=2648&_dad=portal30&_schema=PORTAL30

  39. Examples of Best Practices: Maintenance 11. Develop a plan for active maintenance and review- University of Minnesotahttp://process.umn.edu/groups/controller/documents/main/libmaint_home.cfm 12. Encourage users to provide feedback- Arizona State Universityhttp://www.asu.edu/aad/manuals/feedback.html- UCLAhttp://www.adminvc.ucla.edu/appm/appm_feedback.html

  40. Examples of Best Practices: Maintenance 13. Archive changes and date new releases with an “Effective Date”- James Madison Universityhttp://www.jmu.edu/JMUpolicy/datelist.shtml- University of Georgiahttp://www.busfin.uga.edu/manual/ 14. Measure outcomes by monitoring or testing

  41. Questions and Comments

  42. 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)

  43. Successes and Benefits of Process

  44. 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

  45. 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!

  46. 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)

  47. University of Minnesota:Successes and Benefits • People see a managed policy development process • Policy organization sets the stage for other improvements • Financial One Stop websiteA “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

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