Transcript This is the sample title of a presentation at the NACUBO

Policy Development:
In Theory and Practice
T. Michael Ford
Indiana University
Please leave this area empty for
possible sponsorship
acknowledgement
Pat Spellacy
University of Minnesota
Tuesday, JulyDate
12
Time
8:30 – 9:45
About Indiana &
Minnesota
Indiana University
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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
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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 Administrators
Mission
The 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.
Members
See 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 Authority
http://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. Governance
Who makes decisions & exercises authority
3. Structure
Organizing and aligning people & activities
4. Policies & Practices
The 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
BOC: What Does It Look Like?
Copyright 2004, NACUBO
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: 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
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: 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
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
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/_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: Development
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: Maintenance
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
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