Defining a set of operating principles can be an early step in
creating a more positive climate for working and learning. A number of departments
and administrative units on campus have identified their operating principles.
Operating principles articulate the values that define how things are done within
an organization. According to Spencer (1989), these include:
How the organization relates to [those it serves]
How it relates to its product or service
How members of the organization relate to each other
What is valued
What is discouraged (p. 128).
Senge (1990) uses the term “core values.” The question,
he says, is “How do we want to act, consistent with our mission [purpose],
along the path to achieving our vision [for the future].” Senge quotes
the leader of a large organization:
Core values are necessary to help people with day-to-day decision-making….People
need ‘guiding stars’ to navigate and make decisions day to day.
But core values are only helpful if they can be translated into concrete behaviors
(p. 225).
A common question that has been used on campus to help departments
and units identify operating principles is, “What values, beliefs, principle
do we share about: the work we do, how we conduct business, how we treat each
other and how we treat those we serve?”
Organizations and groups sometimes take action that is inconsistent
with their operating principles. Also, individuals may act in a way that is
not consistent with those principles. These situations offer the opportunity
to revisit the principles and either affirm them or decide if alternatives exist
that are more congruent. (Such discussions require a confident leader.)
For organizations interested in identifying operating principles
or core values, it may be helpful to know that the list of values that are truly
shared may be short. It is better to identify a few principles that have widespread
support than a long list of everyone’s favorites, but about which there
is little consensus.
Operating principles look very different from department to department
or office to office. Various terms are used synonymously to describe them such
as “guiding principles” or “principles of practices.”
Samples are shown in Figures 7-11. Following the examples are suggestions on
how to identify operating principles.
School of Human Ecology Values and Operating Principles
Our values and operating principles:
We are deeply committed to enhancing development of students.
We prepare graduates to assume leadership positions in their personal,
civic and professional lives.
We value the complementary relationship of professional and liberal
arts education.
We believe that teaching, research, creative innovation and outreach
are enhanced when they are integrated.
We recognize that all members of the School contribute to its mission.
We are committed to creating a supportive working and learning environment.
We value our long history as part of the land grant mission of this
university and the contribution of the home economics profession to
our current mission.
We are caretakers of unique university assets including care facilities
for children and a collection of historic textiles that directly contribute
to the implementation of our mission and are important to the community.
We value our many and diverse connections with other units, departments
and disciplines of the University in our programs, research and outreach.
We believe our endeavors must extend beyond the university into the
various public, private, for profit, not for profit and professional
communities to which we are related.
Figure 7. SoHE Values and Operating Principles, Strategic Plan,
2000-2005
The staff of the Wisconsin Union’s Central Reservations
Office (CRO) identified guiding principles
Central Reservations
Office (CRO) Guiding Principles
As staff of the Wisconsin Union Central Reservations Office,
we would like to work in an environment where:
Each individual is considerate, open minded and takes responsibility
for their own actions
The group values each individual’s talents and contributions.
Through these guiding principles:
Staff are friendly, professional and collaborative
We work together towards our well being as well as the customers’.
Figure 8. CRO guiding principles
Operating principles for the Office of Quality Improvement are
shown in Figure 9.
Office of Quality Improvement (OQI) Operating
Principles
Following is a list of operating principles that underlie
all aspects of how the Office of Quality Improvement conducts daily business.
There is consensus among all members of the OQI staff that these values
are critical for us to honor now and in the coming years.
Achieving the outcomes desired by those we serve is our paramount
concern. Processes are means to ends, not ends in themselves.
We listen to our clients and are committed to meeting and exceeding
their expectations.
We recognize the value of time and continually strive to learn and
use efficient planning and improvement approaches to save time.
To foster creative change, we guide our clients in challenging basic
assumptions, exploring alternatives, and taking risks.
Diversity of people, personalities, backgrounds, views, and talents
adds value to planning and improvement efforts and is sought, celebrated,
supported and promoted.
We recognize our responsibility to model best practices of a quality-driven
organization.
Each staff member is essential to the work of the whole and can add
value to every encounter. We achieve an effective balance between individual
excellence/specialization and collaboration within our office.
We work together, sharing ideas, successes, and failures so that
we also learn together and ultimately serve our customers more effectively.
As individuals, we continually challenge ourselves to grow and learn
new skills.
In documenting and sharing success stories, we protect the confidentiality
of departments, offices, and other clients with sensitive issues or
problems.
We highly value honesty, trust and mutual respect in our interactions
with each other and those we serve. Problems are solved through direct
and open communication between individuals.
Figure 9. OQI Operating Principles
Using a very different approach, Professor Warren Porter, while
serving as chair of the Department of Zoology, shared his own values with faculty
and staff and invited them to operate within those same principles. (Examples
included, “Promote honesty without fear, encourage risk taking, keep communication
real and open.”) Porter credited authors Arnold and Plas (1993) with helping
him crystallize and articulate these principles. When Jeff Nicholson assumed
the position of Director of the Physician Assistant Program in 2001, he presented
his own vision of the role or program director beginning with the interview
process. This statement reflects not only the roles and responsibilities, but
also underlying values about communication, consensus, work ethic, morale, and
the like. See Figure 10.
Vision of My Role As Director of the Physician
Assistant Program
Builds morale
Facilitates open communication
Emphasis on team approach—consensus-building
Takes pride in faculty—publicly acknowledges accomplishments
of faculty
Promotes the program publicly and privately
Promotes the profession, especially within our own institution
Encourages research and publication
Attempts to further own clinical, professional and leadership skills
Sets the example of work ethic
Is forthright
Expects to earn respect, not assume it
Does not abuse role/authority
Treat each faculty fairly and impartially
Promotes student morale, leadership development, participation in
professional organizations, and projects
Acquires resources so the faculty can meet their individual goals
as well as program goals
Figure 10. Director’s Vision of Role
Identifying Operating Principles
It can be helpful to have an outside facilitator assist the group
in clarifying its operating principles. However, any faculty or staff member
with skill in group facilitation could serve in the role of facilitator.
1. Convene department or office members. Explain purpose. 2.
Ask members to respond in writing to this question, “What values, beliefs,
principles do we share in this department/office about: the work we do, how
we conduct business, how we treat each other and how we treat those we serve?”
3. Have members break into groups of 3 or 4 and discuss their lists, and identify
no more than ten values, principles, beliefs that all members agree are important
for the department/office to honor. These are written on 5 x 8 cards. 4. All
cards are read by the facilitator and then grouped in clusters according to
similarity. 5. The final step is deciding together on a name, title or brief
statement for each cluster. A small group may take responsibility after the
meeting for polishing the language of each principle while retaining the essential
idea(s).
Office of Human Resource Development (OHRD) Principles
of Practice
The Office of Human Resource Development at UW-Madison
strives to advance these principles in our daily interactions with others.
Principle 1: Community through Respect and Civility
It is critical to promote respect and the practice of civility in the
workplace community.
Principle 2: Excellence through Diversity
Diversity of gender, ethnicity, disability, religion, sexual orientation,
culture, position, job function, and years of service are crucial components
in the pursuit of excellence.
Principle 3: Success through Learning
Continuous professional development is vital to individual and organizational
success.
Figure 11. OHRD principles of practice
Keeping Operating Principles In the Forefront
The fact that a group discusses and publicly identifies operating
principles usually creates a stronger sense of commitment to those values. In
addition, departments, offices, and groups on campus have taken these steps:
Included operating principles in strategic plans, on web sites, in program
brochures and public documents. (The Office of Human Resource Development
(OHRD) used its principles of practice shown in Figure 11 as one of the foundations
of its strategic planning.)
Shared them with new faculty and staff
Created posters displaying operating principles
Periodically evaluated how the department or office is doing in manifesting
its operating principles
Used operating principles as a guide in addressing conflict
As more new members join the department or office, it will be necessary to revisit
the operating principles and update them.
Arnold, William and Plas, Jeanne. (1993). The human touch. New
York: John Wiley & Sons, Inc. Senge, Peter. (1990). The fifth discipline.
New York: Doubleday. Spencer, Laura. (1989) Winning through participation. Dubuque:
Kendall-Hunt.
