Copyright © 2017 by The Segal Group, Inc. All rights reserved.

POLICY TRANSFORMATION TEAM

Kickoff Meeting August 24, 2017

Colorado School of Mines

By Easal22 - Own work, CC BY-SA 3.0, https://commons.wikimedia.org/w/index.php?curid=18644720

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Colorado School of Mines has been proactively assessing its current environment to ensure that it is delivering the highest quality education and services to its students, and that its operations are efficient and financially sound • Sibson Consulting was engaged to conduct an assessment of administrative functions across

the campus

• The review was conducted to ensure organizational and operational efficiency in functions across campus to support the University’s overarching mission

• The scope of the review included all functions across campus that impact student, staff, and faculty success

The review was conducted in March and April 2017 and involved the following: • An examination of various documents, organizational charts, policies, previous process

improvement initiatives, and other related materials

• 149 one-on-one and focus group interviews with identified stakeholders, including faculty, staff, and students

• Four town hall events in which 407 responses were gathered by individuals across campus

Background and Context

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Our Methodology

The organization’s structures, people, policies, rewards,

measures, capacity and culture

The cost to deliver and support services, programs,

processes and systems

The tools and technologies used to support functions and

services

The alignment of practices, services, structures, processes, and policies with the institution’s

strategic vision and goals

The processes by which services, programs, and transactions are

developed and delivered

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Based upon the findings, Sibson recommended that Colorado School of Mines complete the following:

High Level Recommendations

Establish a shared services function to combine transactional processes for

Human Resources, Finance, Institutional Research and Procurement

Complete a detailed assessment and redesign of the Registrar to

ensure proper staffing levels, process efficiencies, and policy

effectiveness

Complete a detailed assessment and redesign of Research

Administration to reduce barriers to efficiency for research faculty

Kickoff a Culture of Excellence Initiative to

assess and address cultural challenges on

campus

Conduct a complete policy assessment and redesign

to be consistent with federal/state laws and

cultural priorities

Assess current technology environment at Mines and

develop a strategic technology roadmap for the

future

Complete a Human Resources Strategic Planning Initiative to

create enhanced strategic and consultative HR

services

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The Teams will be guided by an organized leadership structure so that the effort is comprehensive and efficient

Leadership Structure

President

Shared Services Team

Leader

Team

Sibson

Registrar Team Leader

Team

Sibson

CCIT Team Leader

Team

Sibson

HR Team Leader

Team

Sibson

Culture Team Leader

Team

Sibson

Research Team Leader

Team

Sibson

Policy Team Leader

Team

Sibson

Project Sponsors

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Project Sponsor(s)

Project Team Leaders

Project Team Members

• Provide thought leadership and vision • Establish and communicate project goals and objectives • Remove barriers to team progress • Monitor progress • Create excitement for change

• Support project goals and objectives • Provide formal and informal leadership • Build consensus and buy-in • Communicate progress to Sponsor

• Develop plans and strategies that will allow the unit to realize its vision

• Participate in team meetings • Provide ideas and suggestions for addressing critical

issues

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Project Management

Each team will be managed through the following structure:

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Provide thought leadership throughout the process

Ensure that the Team, its activities, and its designs are aligned to the University’s mission

Work with other Team Leaders to surface and coordinate cross-team issues and opportunities

Communicate frequently to other Team Members and Project Sponsors about the Team’s progress and direction

Participate as a member of the Team

Encourage innovation and creative approaches to the organization’s challenges

Foster collaboration and teamwork within the Team

Coordinate communications with other Team Leaders and the Project Sponsors

Team Leader Role

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Understand the goals, objectives and structure of the initiative

Be open, honest, candid and collaborative

Assess the current environment

Create recommendations for a future state

Identify organizational risks and challenges associated with implementing recommended changes

Support development of the implementation plan

Build on the ideas, thoughts, and suggestions of others

Participate fully

Team Member Role

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Storming • Resistance, change in attitude • Arguing between members, establishing unrealistic goals, disunity

Forming • Excitement, anticipation, and optimism • Defining tasks, determining acceptable group behavior

Storming • Resistance, change in attitude • Arguing between members, establishing unrealistic goals, disunity

Norming • Ability to criticize constructively, acceptance of members • More friendliness, team cohesion, establishing &

maintaining team goals

Performing • Satisfaction with team progress • Close attachment to the team

The Evolution of Teams

Effective Teaming

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• Highly visible project involving roles and jobs

• Organizational curiosity on how the project will impact individuals

• Lack of information breeds insecurity, uninformed speculation and rumors

Balancing Communications and Confidentiality

The Demand for Information The Demand for Confidentiality • Content is sensitive and communications

need to be accurate • Designs are evolutionary and premature

communication is irresponsible • Teams are developing

recommendations – not making final decisions

Communications

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Policy Team Members

Team Sponsors: Kirsten Volpi, Exec. VP & COO, CFO, Treasurer Tom Boyd, Interim Provost Peter Han, Chief of Staff Dan Fox, VP Student Life Team Leader: Shannon Sinclair, Director, Internal Audit Team Members: Jennie Kenney, Dir. Academic Affairs Ops. Karin Ranta Curran, Exec. Dir. Inst. Compliance/Equity,Title IX Derek Morgan, Dean of Students Michelle Merz-Hutchinson, Deputy General Counsel Melanie Barnhart, College Administrator, CERSE

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Project Definition: Create an inventory of existing policies and review them to ensure compliance with federal and state laws, consistency of application across campus, consistency with desired Mines’ culture, clear definition of policy vs procedure and provide recommendations for improvement

Project Scope: Relevant administrative, business, and employment policies; excludes academic and departmental policies that are not contradictory to campus-wide policies

Goals/Objectives: Enhance the quality, awareness, accessibility and governance structure of Mines’ policies and ensure compliance with federal and state laws and consistency with Mines’ culture

Policy Project Definition, Scope, and Goals

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Project Deliverables: 1. Policy inventory that includes policy owners across campus, current

policies, potentially missing policies, contradictory policies, and policies that may be extraneous or irrelevant

2. Governance structure that ensures effective policy design, implementation, awareness/accessibility, and communication

3. Improvement to the policy environment that can includes recommendations for revision, addition, or elimination of key policies that may pose a risk to the institution or have a significant impact on the institution's culture

4. Recommendations for policy training and education Success Metrics: • Understanding of policies that are spread across the institution • More effective and accessible policies • A highly transparent and organized governance structure for proposing,

revising, or implementing policies • Policies that are relevant, consistent with the desired Mines culture, and

legally compliant

Policy Project Deliverables and Success Metrics

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Identify Policy Scope and Strategy

•Relevant administrative, business, and employment policies; excludes academic and departmental policies that are not contradictory to campus-wide policies

•Identify strategic imperatives of policy review

Identify Potential Policy “Owners”

•Small working group to identify individuals/departments across campus that could have “ownership” of HR policies •Interview key stakeholders if needed

Establish Policy Governance

Structure

•Identify Policy Committee •Identify HR Policy Owner (main contact with Sibson, ongoing “project manager”)

Establish Communication

Plans

•Develop a plan for recommending changes/updates to policies •Form a plan for communicating policy changes for comment by HR/stakeholders •Identify best methods for communicating changes to cabinet and business leaders •Establish strategy for external communication about any policy changes to campus (using customer/stakeholder input)

Approach and Methodology

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Identify Key Policies

• Identify key/necessary policies (either mandated by law or necessary for Mines environment) to be included in policy handbook • Identify policies that are currently missing from handbook that may pose a risk to the institution

Data Gathering

• Gather policies from policy owners across campus, capturing most updated policies, identifying duplicates/inconsistent application of policies • Identify policies/practices/guidelines that are extraneous to key/necessary policies and determine relevance • Identify and evaluate common, undocumented practices that should become formal policies or be discontinued

Policy Gaps and Revisions

• Work with the governance committee (policy committee) to assess the quality and effectiveness of current policies against best practices • Identify inconsistencies and gaps in policy enforcement and compliance • Identify policies and practices in need of revision and updating • Conduct a risk assessment in collaboration with Legal Counsel to identify areas where policies and practices are not compliant with required laws, rules, and regulations

• Provide recommendations associated with revisions and modifications to the employee handbook and to policies

Implementation Assistance

• Assess effectiveness of current training and education relative to policies and procedures and identify future training needs • Identify any and all other internal and external factors impacting effective administration and enforcement of policies

Approach and Methodology

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Project Timeline

Identify policy owners and

develop governance

structure

Establish communication

plans and identify key

policies

Conduct data gathering phase

Identify policy gaps and conduct risk assessment;

provide recommendations

for revisions

Provide implementation

assistance, including

training needs

By 9-1-17 By 10-1-17 By 11-1-17 By 1-31-18 By 1-31-18

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Policy Data Request Status Data Items

Received links to policies

• Documented Administrative, Business, or Employment Policies

Received link • Current Employment Handbook Received Policy Library (may not

include some departmental

policies)

• Research Policies

• Governance Documents • Historical context that may impact the policy environment • Miscellaneous (i.e., any other data or information relevant to help assess the

quality and or efficiency of the unit, department or function)

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Describe the current state of the Mines Policy Environment • Is there any important historical context that we should be aware of? • Who is the keeper of policies today? • Are policies accessible to all? • Are policies compliant with federal and state laws? • Are policies consistent with desired Mines’ culture?

Outline Strengths, Weaknesses, Opportunities, and Threats • Strengths identify the key internal strengths. An indication of the practices, processes, efforts, structures,

organizations, cultures, facilities, capabilities, competencies, individuals, leaders, outcomes, results, etc. that perform effectively, efficiently and at high levels. May be considered among the best things within or about the Mines Policy Environment

• Identifies the key internal weaknesses. An indication of the practices, processes, efforts, structures, organizations, cultures, facilities, capabilities, competencies, individuals, leaders, outcomes, results, etc. that are in need of improvement or that are not performing effectively, efficiently, or at a high level. May be considered among the worst things within or about the Mines Policy Environment

• Identifies the best external opportunities. An indication of the opportunities to improve the quality, size, or scope of the Mines Policy Environment

• Identifies the biggest external threats. An indication of market forces, economics, regulatory, competitive issues, etc. that pose the most daunting threat to the success of the Mines Policy Environment

Describe the Current State

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Thursday, August 24, 2017 10:00 AM-12:00 PM

Thursday, September 7, 2017 10:00 AM-12:00 PM

Thursday, September 21, 2017 10:00 AM-12:00 PM

Thursday, October 5, 2017 10:00 AM-12:00 PM

Thursday, October 19, 2017 10:00 AM-12:00 PM

Thursday, November 2, 2017 10:00 AM-12:00 PM

Thursday, November 16, 2017 10:00 AM-12:00 PM

Thursday, November 30, 2017 10:00 AM-12:00 PM

Thursday, December 14, 2017 10:00 AM-12:00 PM

Meeting Schedule

Can’t make a meeting? Email cesmith@sibson.com and jyeager@mines.edu

While the remainder of the project teams will be convening on the below dates, much of the work for the Policy team will be conducted offline by Sibson Consulting, and thus meetings will be scheduled on an as needed basis. Sibson estimates 2-4 meetings will be necessary, and will notify the team in advance.