Presentation on theme: "Please leave this area empty for possible sponsorship acknowledgement Date Time Policy Development: In Theory and Practice T. Michael FordPat Spellacy."— Presentation transcript:
Please leave this area empty for possible sponsorship acknowledgement Date Time Policy Development: In Theory and Practice T. Michael FordPat Spellacy Indiana UniversityUniversity 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 Two tracks: Fast Track and Normal Policy Review VP & CFO Final Review and Approval Official web site: - Financial Policies: - Other University 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:
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.
ACUPA Web Site
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 Hierarchy of Legal/Regulatory and Policy Authority (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
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: 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: 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
Those Willing to Help
Best Practice Examples Linked to the Policy Development Theory
1. Be proactive in issue identification - Join ACUPA 2. Identify an owner for each policy - UCLA - University of California, System Examples of Best Practices: Predevelopment
3. Determine the best Policy Path - Georgia Tech: Policy Process - Cornell University: Policy Process CFID=447932&CFTOKEN= CFID=447932&CFTOKEN= Assemble a team to develop policy Examples of Best Practices: Predevelopment
5. Agree on common definitions and terms - University of California, Berkeley - University of Minnesota - Levels and Definitions Use a common format - Arizona State University - University of Vermont Examples of Best Practices: Development
7. Obtain approval at owner and senior levels - Boston College - University of California, Berkeley Plan communication, publicity, and education - University of California, Davis - University of Minnesota Examples of Best Practices: Development
9. Put information online and accessible from one location - George Washington University - Indiana University Provide search capability - University of California, Davis - University of Tennessee https://san4.dii.utk.edu/servlet/page?_pageid=2648&_dad=portal30&_schema=POR TAL30 https://san4.dii.utk.edu/servlet/page?_pageid=2648&_dad=portal30&_schema=POR TAL30 Examples of Best Practices: Development
11. Develop a plan for active maintenance and review - University of Minnesota Encourage users to provide feedback - Arizona State University - UCLA Examples of Best Practices: Maintenance
13. Archive changes and date new releases with an Effective Date - James Madison University - University of Georgia Measure outcomes by monitoring or testing Examples of Best Practices: Maintenance
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.