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

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 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?

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