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Governance

Operating Procedures for System-Wide Policies and System-Wide Standards

These procedures supplement the policy on Formulation and Issuance of Policies (V.C.1). Refer to the policy for contact information and applicable definitions.

Effective Date: April 1, 2014

  1. SYSTEM-WIDE POLICIES
    1. Development
      1. Any individual or unit may identify the need for a new or revised System-Wide Policy. At least one Responsible Executive must agree to sponsor it. The Responsible Executive appoints a Responsible Office(s) to develop and/or revise the policy, in consultation with the UPO, and to implement and administer the policy.
      2. The following principles-based questions serve as a guide throughout the policy’s development:
        • Consistency: Is the policy internally consistent? Is it consistent with other University policies and supporting documents?
        • Common Sense: Are the proposed criteria in the policy reasonable? Are they flexible enough to allow for some discretion in decision-making using a principles-based approach, with due regard for any legal or other externally imposed requirements to which the policy must adhere?
        • Core to the Mission: Is a System-Wide Policy necessary in a given case to (a) promote the University’s mission or its relationship with key stakeholders, (b) advance a University-wide risk management or operational efficiency objective, or (c) implement a legal or other externally imposed requirement? Would the proposed guidance be better served or made more effective through another type of document in the policy hierarchy set forth in Appendix A of the policy on Formulation and Issuance of Policies (V.C.1)?
      3. The Responsible Office provides the content for the policy, while the UPO provides editorial direction and ensures the draft is in the appropriate Template. Responsible Offices are encouraged to complete a Needs Assessment Form early in the development phase.
      4. At appropriate times during drafting of the policy, the document is shared with Stakeholders for their comment (input from the University Policy Committee may be sought at this point in the process). The Responsible Office, in consultation with the Responsible Executive, considers all feedback (solicited or otherwise) and determines whether and how to incorporate it.
      5. The UPO shares the System-Wide Policy draft with University Counsel (or his or her designee) to determine whether a legal review is necessary before moving forward.
    2. Approval
      1. With the Responsible Office’s approval, the UPO distributes the System-Wide Policy draft and a completed Needs Assessment Form to the University Policy Committee for comment. As with other Stakeholder input, feedback from the University Policy Committee must be considered by the Responsible Executive/Office.
      2. With the Responsible Executive’s approval, the UPO distributes the final draft of the System-Wide Policy and the completed Needs Assessment Form to the EPRG for review. The EPRG makes a determination on the policy.
      3. If presidential or Board approval of the policy is necessary, the VPEC will forward the policy document to the President.
    3. Communication and Training
      1. The UPO assists the Responsible Office, as needed, in developing a plan for communication and/or training of new or significantly revised System-Wide Policies. The Responsible Office carries out any planned communication and/or training and assists the Responsible Executive to establish any support systems necessary to achieve ongoing compliance.
      2. The UPO communicates, as appropriate, to designated contact persons for each campus and to members of the UPC the approval of a new or substantially revised System-Wide Policy. It also issues an announcement, as appropriate, of an approved new or substantially revised System-Wide Policy via the UPO website and/or Purdue Today.
      3. Regional campuses announce, as necessary, the approval of a new or significantly revised System-Wide Policy via their campus specific communication method.
    4. Updates and Revisions
      1. On an as-needed basis, the Responsible Office may request that the UPO make routine updates (such as new contact names, position titles and email or Web addresses) to an existing System-Wide Policy. The UPO notes the date of such changes in the document and archives the outdated document.
      2. Changes to a System-Wide Policy’s substance may require review by legal counsel and are subject to the approval and communication processes outlined in sections I.B and I.C of these procedures (except that the UPO may waive completion of the Needs Assessment Form). The UPO may request that the Responsible Office solicit feedback from Stakeholders on the revised policy.
      3. Upon approval of the revised policy, the UPO notes the date of all revisions in the document and archives the outdated document.
    5. Establishment of an Interim Policy
      1. When a System-Wide Policy is needed within a time period that does not allow for complete development of the policy document, the Responsible Office, with approval from the Responsible Executive, may submit a draft Interim Policy (using the policy Template) to the UPO. The EPRG must give explicit permission to issue an Interim Policy.
      2. Interim Policies are effective for six months to allow for development and approval of a System-Wide Policy or other appropriate supporting document to supersede the Interim Policy. Extensions beyond six months must be approved by the EPRG.
      3. Communication of an approved Interim Policy follows the process outlined in section I.C of these procedures.
    6. Withdrawal

      In some circumstances, a Responsible Executive may deem it appropriate to withdraw an existing System-Wide Policy. The EPRG must give explicit permission to withdraw a System-Wide Policy. If such permission is granted, announcement of the withdrawal follows the process for communication outlined in section I.C of these procedures, and the UPO archives the withdrawn policy document.
    7. Administrative Review

      A substantive review of a System-Wide Policy, including any associated System-Wide Standards, is conducted at least every five years by the Responsible Office. The UPO may require the completion of a form or other documentation as part of the review. The extent of any changes resulting from this administrative review determines the appropriate procedures from section I.D to be followed. The UPO tracks the date of completion of administrative reviews.
  2. SYSTEM-WIDE STANDARDS
    1. Development
      1. Any individual or unit may identify the need for a new or revised System-Wide Standard. At least one Responsible Executive must agree to sponsor it. The Responsible Executive appoints a Responsible Office(s) to develop and/or revise the standard (in consultation with the UPO) and to implement and administer the standard.
      2. The Responsible Office provides the content for the standard, while the UPO provides editorial direction and ensures the draft is in the appropriate Template.
      3. At appropriate times during drafting of the standard, the document is shared with Stakeholders for their comment (input from the University Policy Committee may be sought at this point in the process). The Responsible Office, in consultation with the Responsible Executive, considers all feedback (solicited or otherwise) and determines whether and how to incorporate it.
      4. The UPO shares the System-Wide Standard draft with University Counsel (or his or her designee) to determine whether a legal review is necessary before moving forward.
    2. Approval

      With the Responsible Executive’s approval, the UPO distributes the final draft of the System-Wide Standard to the VPEC for review. The VPEC makes a determination on the standard.
    3. Communication and Training
      1. The UPO assists the Responsible Office, as needed, in developing a plan for communication and/or training of new or significantly revised System-Wide Standards. The Responsible Office carries out any planned communication and/or training and assists the Responsible Executive to establish any support systems necessary to achieve ongoing compliance.
      2. The UPO communicates, as appropriate, to designated contact persons for each campus and to members of the UPC and EPRG the approval of a new or substantially revised System-Wide Standard. It also issues, as appropriate, an announcement of an approved new or substantially revised System-Wide Standard via the UPO website and/or Purdue Today.
      3. Regional campuses announce, as necessary, the approval of a new or significantly revised System-Wide Standard via their campus specific communication method.
    4. Updates and Revisions
      1. On an as-needed basis, the Responsible Office may request that the UPO make routine changes (such as new contact names, position titles and email or Web addresses) to an existing System-Wide Standard. The UPO notes the date of such changes in the document and archives the outdated document.
      2. Changes to a System-Wide Standard’s substance may require review by legal counsel and are subject to the approval and communication processes outlined in sections II.B and II.C of these Procedures. The UPO may recommend that the Responsible Office also solicit feedback from Stakeholders on the revised standard.
      3. Upon approval of the revised standard, the UPO notes the date of all revisions in the document and archives the outdated document.
    5. Withdrawal

      In some circumstances, a Responsible Executive may deem it appropriate to withdraw an existing System-Wide Standard. The VPEC must give explicit permission to withdraw a System-Wide Standard. If such permission is granted, announcement of the withdrawal follows the process for communication outlined in section II.C of these Procedures, and the UPO archives the withdrawn policy document.
  3. HISTORY AND UPDATES TO THESE PROCEDURES

    April 1, 2014: Procedures revised and separated from the related policy on Formulation and Issuance of Policies (V.C.1).