3 Indiana UniversityPolicies can originate from a multitude of initiatorsVP & CFO Financial Policies CommitteeTwo tracks: “Fast Track” and NormalPolicy ReviewVP & CFO Final Review and ApprovalOfficial web site: - Financial Policies: - Other University Policies:
4 University of Minnesota Policy office established September 1993Have a Policy & a Process on Developing PolicyTwo policy templates (Regents & Administrative)Quarterly Policy Planning meetingsU-wide Libraries cited as a Past SuccessOfficial web site:
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.
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 interrelationshipsConcepts and tools to deal with changeCase studies showcasing initiatives taken
15 What Are the Elements of BOC? 1. Mission, Vision & Goals Fundamental purposes & major aspirations2. Governance Who makes decisions & exercises authority3. Structure Organizing and aligning people & activities4. Policies & Practices The formal & informal rules
16 What Are the Elements of BOC? 5. Processes The means used to realize goals6. Systems Supporting information to inform processes7. Infrastructure The human, physical, & financial support assets8. Culture The norms, values & beliefs
18 Where Does BOC Fit With Policy & ACUPA? Policy is one of the 8 elements of BOCWell written policies: - Enhances understanding - Improves controls - Reduces risk - Increases efficiency & effectiveness - Helps meet new demands for complianceBOC stresses the interrelationships of the 8 key elementsImproving Policy improves the other BOC elementsACUPA site has tools & information to improve polices
24 Best Practices: Development 5. Agree on common definitions and terms6. Use a common format7. Obtain approval at owner and senior levels8. Plan communication, publicity, and education9. Put information online and accessible from one location10. Provide search capability
26 Best Practices: Maintenance 11. Develop a plan for active maintenance and review12. Encourage users to provide feedback13. Archive changes and date new releases with an “Effective Date”14. Measure outcomes by monitoring or testing
33 Best Practice Examples Linked to the Policy Development Theory
34 Examples of Best Practices: Predevelopment 1. Be proactive in issue identification- Join ACUPA2. 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 Definitions6. 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, Berkeley8. 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 University10. Provide search capability - University of California, Davis - University of Tennessee https://san4.dii.utk.edu/servlet/page?_pageid=2648&_dad=portal30&_schema=POR TAL30
39 Examples of Best Practices: Maintenance 11. Develop a plan for active maintenance and review - University of Minnesota12. 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 Georgia14. Measure outcomes by monitoring or testing
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 issuanceFostered 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 institutionPolicies are taken very seriously because “everybody knows” where they are!
46 University of Minnesota: Successes and Benefits 75% of Non-Regents policies formattedWe can count our policies, forms & contracts (258, 476, 123)All policies have an ownerPeople use the Policy Library (10,000 “hits” a month)
47 University of Minnesota: Successes and Benefits People see a managed policy development processPolicy organization sets the stage for other improvementsFinancial One Stop website A “How To” for Financial tasks with links to policy, forms, contracts, tools, training, risks, audit results & more.