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Purdue University Policies
 

Governance

Formulation and Issuance of Purdue University System-Wide Policies (V.C.1)

Volume V: Governance
Chapter C: Policies
Responsible Executive: Vice President for Ethics and Compliance
Responsible Office: Vice President for Ethics and Compliance
Date Issued: October 30, 2009
Date Last Revised: November 18, 2011

TABLE OF CONTENTS

Statement of Policy
Reason for this Policy
Individuals and Entities Affected by this Policy
Who Should Know this Policy
Exclusions
Web Site Address for this Policy
Contacts
Definitions
Responsibilities
Procedures: Development, Issuance, and Review of Policies

Related Documents, Forms, and Tools
History and Updates
Appendices

STATEMENT OF POLICY

Purdue University formally approves, issues, and maintains in a consistent format, official Purdue University System-Wide Policies in a central policy library. Purdue University requires individuals engaged in developing and maintaining Purdue University System-Wide Policies to follow the requirements outlined in this document for drafting, approving, revising, and withdrawing Purdue University System-Wide Policies.

REASON FOR THIS POLICY

Purdue University policies must be reviewed, maintained, and made available to the Purdue University community to promote compliance and accountability and to provide the Purdue University community and the public with a clear explanation of how Purdue University conducts its business and affairs.

INDIVIDUALS AND ENTITIES AFFECTED BY THIS POLICY

All units, students, faculty, and staff of Purdue University are governed by this policy.

WHO SHOULD KNOW THIS POLICY

Unit heads and administrators

Individuals considering issuing, revising, or assisting the drafting of a Purdue University System-Wide Policy

EXCLUSIONS

This policy does not apply to academic regulations.

WEB SITE ADDRESS FOR THIS POLICY

www.purdue.edu/policies/governance/vc1.html

CONTACTS

Direct any general questions about University Policy V.C.1 Formulation and Issuance of Purdue University System-Wide Policies to the following office(s):

Subject Contact Telephone E-mail/Web Address

Policy Clarification

University Policy Office

(765) 494-6373

policies@purdue.edu

General Information on Policy-Making at Purdue

University Policy Office

(765) 494-6373

policies@purdue.edu

DEFINITIONS

Campus Policy
A policy of a campus that does not meet all of the characteristics of a Purdue University System-Wide Policy. Such policy shall use the Policy Template and be presented to the Executive Policy Review Group (EPRG) for information prior to promulgation.  In the event of apparent conflict between a Campus Policy and a Purdue University System-Wide Policy, the provision(s) of the Purdue University System-Wide Policy will prevail. The University Policy Office (UPO) is not staffed to provide Campus Policy support.

Executive Policy Review Group (EPRG)
Standing committee of Purdue University executives who provide institutional review, approval, or recommendation of approval of Purdue University System-Wide Policies. The committee members are appointed by the president and include the chancellors of Indiana University-Purdue University Fort Wayne, Purdue University Calumet, and Purdue University North Central; the provost; the executive vice president for business and finance and treasurer; the vice president for ethics and compliance; and such other individuals as the president shall appoint. The vice president for ethics and compliance will chair the meetings, which typically occur on a monthly basis or as needed.

Interim Policy
Provisional policy issued when a Purdue University System-Wide Policy is needed within a time period too short to complete the process described herein. Such policy is in effect for at least six months with possible extensions of two-month increments, up to a maximum of twelve months.

Policy Procedures
Actions that apply across the Purdue University community to fulfill the policy. Where the EPRG deems appropriate, these actions may be tailored to the unique administrative requirements of a campus or unit. Policy Procedures will generally not include details such as the responsible office’s protocol, nor actions that are optional or only desirable. 

Policy Proposal
Brief document that proposes a new policy or major revisions to an existing policy. The document describes the background, justification, and the likely impact of the new or revised policy. It is submitted on the Policy Proposal Template by the Responsible Executive to the EPRG.

Promulgation
Official declaration that a policy is in effect.

Purdue University
Any campus, unit, program, association, or entity of Purdue University, including but not limited to Indiana University-Purdue University Fort Wayne, Purdue University Calumet, Purdue University North Central, Purdue University West Lafayette, Purdue Cooperative Extension Service, and Purdue University Statewide Technology.

Purdue University System-Wide Policy
Official Purdue University directive that:

  • Mandates requirements of or provisions for members of the Purdue University community and provides procedures for fulfillment of such.
  • Has broad application throughout the Purdue University system.
  • Enhances the Purdue University mission, reduces institutional risk, and/or promotes operational efficiency.
  • Has been reviewed and approved by the Executive Policy Review Group (EPRG).
  • Is sponsored by at least one Responsible Executive.
  • Helps achieve compliance with any applicable laws or regulations.

Purdue University System-Wide Policy Document
The official record of a Purdue University policy that is presented in a standard format or "template" to facilitate consistency, clarity, and conciseness.

Reason for Policy
Statement that encapsulates why the policy exists. Identifies the institutional risk, Purdue University mission or value, or any legal or regulatory requirements the policy addresses.

Responsible Executive
The president, a chancellor, the provost, a vice president, vice chancellor, or vice provost that creates, implements, and gains compliance for, or "sponsors," a Purdue University System-Wide Policy that falls under his/her jurisdiction. Depending on the scope of its subject matter, a policy may have more than one Responsible Executive.

Responsible Office(s)
Office(s) designated by the Responsible Executive(s) to develop and administer a policy, communicate with and train the Purdue University community in its requirements, and execute its timely updating and revisions.

Stakeholder
Individual, function, or organization identified in the Policy Proposal for a proposed policy, whose university role or professional expertise relates to the subject of the policy, and who may be consulted for comment on its draft and/or related Policy Procedures.

Statement of Policy
Statement that encapsulates the policy’s core provisions or requirements.

Unit-Level Policy
Policy of a college, school, department, or operating unit that does not meet all of the characteristics of a Purdue University System-Wide Policy or a Campus Policy. In the event of apparent conflict between a Unit-Level Policy and a Purdue University System-Wide Policy, the provision(s) of the Purdue University System-Wide Policy will prevail. The UPO is not staffed to provide Unit-Level Policy support.

University Policy Office (UPO)
Purdue University office charged with stewardship of the policy development process and of the official policy template, guiding policies through the development process, and maintaining a central repository and archive of Purdue University System-Wide Policies.

RESPONSIBILITIES

Executive Policy Review Group (EPRG)

Apply an institutional perspective to the review and approval of Policy Proposals and, upon the recommendation of a Responsible Executive, review and approve or recommend for approval both new and substantially revised policies.

Approve Interim Policies.

Consult with the president of Purdue University, other senior executives of Purdue University, and/or representatives of faculty, staff, and students.

Recommend to the president and/or the Board of Trustees the adoption of policies for which such approval is required.

Responsible Executive

Be accountable for the substance of policy documents, namely the provisions and requirements of, and compliance with University policies under his/her jurisdiction. As such, the Responsible Executive will:

  • Identify the need for and purpose of a policy in relation to a subject that falls under his/her jurisdiction.
  • Designate (a) Responsible Office(s) to develop and administer the policy.
  • Determine how stakeholder comments on drafts of the policy should be incorporated.
  • Approve final drafts of all Policy Proposals and policy documents before they are presented to the EPRG, stakeholders, and the University community for review, comment, approval, promulgation, or compliance.
  • Present policy documents and Policy Proposals to the EPRG.
  • Conduct reviews of existing policies under his/her jurisdiction at least every five years.
  • Where appropriate, advise EPRG of intent to withdraw an existing policy or to consolidate one or more policies.

Responsible Office

When requested by the Responsible Executive, form an editorial committee to develop a policy. As such, the Responsible Office will:

  • Draft the Policy Proposal, assisted by the UPO.
  • Upon approval of the Policy Proposal, provide the content for policy drafts, assisted by the editorial input of the UPO.
  • Work with UPO in putting policy drafts through the standard policy review cycle and making the resulting changes to the document.
  • At appropriate times in the policy-drafting process, in consultation with the Responsible Executive, seek and consider incorporation of stakeholders' input.
  • Consult with the Responsible Executive while drafting a policy so that the content continues to reflect the policy’s original purpose.
  • Lead the establishment of any new support systems needed to achieve Purdue University community compliance with new or substantially revised policies.
  • Provide training as necessary to assist in implementation and/or compliance with the policy.

Consult with the Responsible Executive to update existing policies on a timely basis.

Stakeholder

When invited by the Responsible Executive or Responsible Office, comment on a draft policy in relation to its likely impact on members of the Purdue University community.

University Policy Office (UPO)

Design, implement, and review a policy template and a process and system for developing, reviewing, issuing, storing, and revising Purdue University System-Wide Policies.

Generally guide the Responsible Executive and Responsible Office through the policy development process.

Provide the structure, formatting, expression, and other editorial aspects of documents to assure their clarity and coherence.

Consult with the Responsible Executive and Responsible Office to determine when revisions to an existing policy should be presented to legal counsel for Purdue University and the EPRG for review and/or approval.

Issue a Purdue University system-wide announcement regarding the promulgation or, where appropriate, revision or withdrawal of a Purdue University System-Wide Policy.

Initiate review of policies whose requirements and/or provisions have been in effect for five years or longer.

Maintain an online repository and archive of all Purdue University System-Wide Policies, including control of all official versions.

PROCEDURES: DEVELOPMENT, ISSUANCE, AND REVIEW OF POLICIES

Determining Need for New Policy
Any individual or unit may identify the need for a new policy that meets the following policy criteria:

  • Mandates requirements of or provisions for members of the Purdue University community, and provides procedures for implementation.
  • Has broad application throughout the Purdue University system.
  • Embraces the mission of Purdue University, reduces institutional risk, and/or promotes operational efficiency.
  • Helps achieve compliance with any applicable laws or regulations.

However, at least one Responsible Executive must agree to sponsor its development and be accountable for the content of its principles and procedures. The Responsible Executive(s) will appoint (a) Responsible Office(s) to consult with the University Policy Office (UPO) in developing a new policy.

Developing a Policy Proposal
The Responsible Office(s) will develop a Policy Proposal on behalf of the Responsible Executive, assisted by the UPO. Key stakeholders, who will be consulted during the policy drafting process, will be listed in this Policy Proposal. As with all policy documents, the Responsible Office will provide the content, while the UPO will be responsible for the editorial aspects of the Policy Proposal. The Responsible Executive will approve the final draft of the Policy Proposal before it is distributed to members of the Executive Policy Review Group (EPRG) for review and approval.

The Policy Proposal, which proposes the establishment of a new policy or major revision to an existing one, will be submitted by the Responsible Executive to the EPRG for review and approval. To provide the EPRG with information on which to base this approval, the Policy Proposal will include the justification for this proposed new or revised policy, a list of stakeholders who will be consulted during drafting, and the anticipated impact on Purdue University.

Developing a Policy
The EPRG-approved Policy Proposal is used to guide the drafting of the policy, which is accomplished by the Responsible Office, assisted by the UPO. The Responsible Office controls the content of the policy document, while the UPO provides the editorial aspects and converts the draft into the standard policy template.

When the Responsible Executive has approved this draft, he or she will share the document with those stakeholders identified in the impact statement for their comment. This feedback must be considered by the Responsible Office who, along with the Responsible Executive, will determine whether and how these responses will be incorporated. The UPO may also request feedback through its website. Typically, such feedback will include comment from representatives of the faculty, staff, and student body (i.e. CSSAC, APSAC, the Purdue University Senate, PSG, and PGSG, and similar groups at regional campuses).

Reviewing and Approving a Policy
With the Responsible Executive’s approval, the UPO will distribute the final draft of the policy to members of the EPRG in advance of the EPRG meeting. The UPO and the Responsible Office will make changes as directed by the EPRG.

Once the Responsible Executive and the EPRG have approved the policy, the UPO will note on the document the date the policy will be in effect as the “Date Issued."

Updating a Policy
On an as-needed basis, the Responsible Office will request that the UPO make routine changes (such as new contact names, position titles and e-mail or Web addresses) to an existing policy document. The UPO will note the date of such changes in the policy "History and Updates" section of the policy document.

Revising a Policy
Changes to the policy’s substance, must be approved by the EPRG, based on the submission of a new Policy Proposal, and may be announced, or “promulgated," to the Purdue University community as outlined below. Review of the entire policy will be conducted at least every five years by the Responsible Executive, as prompted by the UPO. The extent of any changes resulting from this review will determine the review process. The UPO will note the date of all revisions in the policy "History and Updates" section of the policy document.

Revised policy documents will be presented to the EPRG showing changes, unless these changes are so substantial as to make this impractical. In this event, the existing policy document and the document with the proposed revisions will be provided to the EPRG at the time of review.

Communicating, Promulgating, and Training
The UPO will issue an announcement of a new or substantially revised policy via one or more of the following as appropriate: the UPO Web site, Purdue Today, and Inside Purdue. The UPO will assist the Responsible Office as needed in developing a plan for additional communication. The Responsible Office will carry out any additional communication and/or training and will assist the Responsible Executive to establish any support systems necessary to achieve ongoing compliance.

Establishing an Interim Policy
When a policy is needed within a time period that does not allow for complete drafting and review of the policy document as outlined in this appendix, the Responsible Executive may submit a draft interim policy and request approval from the EPRG to allow promulgation of that policy on an interim basis. The EPRG must give explicit permission to issue a policy as interim.

Interim Policies are effective for six months. Extensions beyond this period must be approved by the EPRG. This date may be extended in two-month increments, up to a maximum of twelve months. To derive the benefits of a standard policy document and the full review cycle, the interim policy must complete the process outlined in this appendix within one year of the issuance of the Interim Policy.

Withdrawing a Policy
In special circumstances, a Responsible Executive may deem it appropriate to withdraw an existing policy or consolidate with another policy and will inform the EPRG of this intent. The UPO will issue an announcement of a withdrawn policy. The Responsible Office will deliver any additional communication.

Applying Policies to Unique Administrative Arrangements
Purdue University System-Wide Policies apply across the Purdue University system; however, if the EPRG agrees, the Policy Procedures that support those policies may be tailored to the special administrative arrangement of a campus or unit. For example, a policy’s Policy Procedures for Purdue University Calumet may differ from those for Purdue University North Central.

  • Note: Policies that predate this Policy remain official Purdue University System-Wide Policies and, in time, are expected to complete these procedures.

RELATED DOCUMENTS, FORMS, AND TOOLS

Policy Proposal Form (Word)

Policy Template (Word)

HISTORY AND UPDATES

November 18, 2011: Policy number changed to V.C.1 (formerly III.1.1) and website address updated.

October 30, 2009: This is the first policy to address this issue.

APPENDICES

There are no appendices to this policy.