1. 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

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: - Other University 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:

5. Policy Excitement Clip

6. 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.

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”
Hierarchy of Legal/Regulatory and Policy Authority
(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 & 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

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 - UCLA - University of California, System

35. Examples of Best Practices: Predevelopment
3. Determine the best “Policy Path” - Georgia Tech: Policy Process - Cornell University: Policy Process CFID=447932&CFTOKEN=
4. Assemble a team to develop policy

36. Examples of Best Practices: Development
5. Agree on common definitions and terms - University of California, Berkeley - University of Minnesota - Levels and Definitions
6. Use a common format - Arizona State University - University of Vermont

37. Examples of Best Practices: Development
7. Obtain approval at owner and senior levels - Boston College - University of California, Berkeley
8. Plan communication, publicity, and education - University of California, Davis - University of Minnesota

38. Examples of Best Practices: Development
9. Put information online and accessible from one location - George Washington University - Indiana University
10. Provide search capability - University of California, Davis - University of Tennessee TAL30

39. Examples of Best Practices: Maintenance
11. Develop a plan for active maintenance and review - University of Minnesota
12. Encourage users to provide feedback - Arizona State University - UCLA

40. Examples of Best Practices: Maintenance
13. Archive changes and date new releases with an “Effective Date” - James Madison University - University of Georgia
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 website A “How To” for Financial tasks with links to policy, forms, contracts, tools, training, risks, audit results & more.