Policy Development: In Theory and Practice

1
Policy DevelopmentIn Theory and Practice

• T. Michael Ford Pat SpellacyIndiana
  University University of Minnesota

Tuesday, July 12 830 945
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/polici
  es

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/pp
  d/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 ProcessBest 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-
  UCLA http//www.adminvc.ucla.edu/appm/_Responsibl
  e_Dept.asp- University of California,
  System http//www.ucop.edu/ucophome/coordrev/da/

35
Examples of Best Practices Predevelopment

• 3. Determine the best Policy Path- Georgia
  Tech Policy Process http//www.oit.gatech.edu/in
  side_oit/directorates/PS/policy_dev_process.cfm-
  Cornell University Policy Process http//www.pol
  icy.cornell.edu/CM_Images/Uploads/POL/pol_processm
  ap.pdf? CFID447932CFTOKEN25227860
• 4. Assemble a team to develop policy

36
Examples of Best Practices Development

• 5. Agree on common definitions and terms-
  University of California, Berkeley http//campusp
  ol.chance.berkeley.edu/GlossaryofTerms.doc-
  University of Minnesota - Levels and
  Definitions http//www.fpd.finop.umn.edu/groups/p
  pd/documents/appendix/policyhierarchy.cfm
• 6. Use a common format- Arizona State
  University http//www.asu.edu/aad/manuals/cam/cam
  402-01.html- University of Vermont http//www.uv
  m.edu/7Euvmppg/ppg/format.rtf

37
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//campusp
  ol.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/do
  cuments/main/new.cfm

38
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/poli
  cysearch_vsearchform.cfm- University of
  Tennessee https//san4.dii.utk.edu/servlet/page?_
  pageid2648_dadportal30_schemaPOR TAL30

39
Examples of Best Practices Maintenance

• 11. Develop a plan for active maintenance and
  review- University of Minnesota http//process.u
  mn.edu/groups/controller/documents/main/libmaint_h
  ome.cfm
• 12. Encourage users to provide feedback- Arizona
  State University http//www.asu.edu/aad/manuals/f
  eedback.html- UCLA http//www.adminvc.ucla.edu/a
  ppm/appm_feedback.html

40
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.u
  ga.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 UniversitySuccesses 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 UniversitySuccesses 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 MinnesotaSuccesses 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 MinnesotaSuccesses 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/d
  ocuments/main/osf_home.cfm