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Governance

Formulation and Issuance of Policies (V.C.1)

Volume V: Governance
Chapter C: Policies
Responsible Executive: Vice President for Ethics and Compliance
Responsible Office: Office of the Vice President for Ethics and Compliance
Date Issued: October 30, 2009
Date Last Revised: April 1, 2014

TABLE OF CONTENTS

Contacts
Statement of Policy

Reason for this Policy
Individuals and Entities Affected by this Policy
Exclusions
Responsibilities
Definitions (defined terms are capitalized throughout the document)
Related Documents, Forms, and Tools
Web Site Address for this Policy
History and Updates

Appendix A

CONTACTS

Subject Contact Telephone E-mail/Web Address

Policy Clarification

University Policy Office

(765) 494-6373

policies@purdue.edu

General Information on Administrative Policy Development

University Policy Office

(765) 494-6373

policies@purdue.edu

STATEMENT OF POLICY

Purdue University maintains administrative policies and supporting documents in order to promote compliance and accountability and to provide the University community and the public with a clear explanation of how Purdue University conducts its business and affairs. These policies and supporting documents include: System-Wide Policies, System-Wide Standards, System-Wide Guidelines, Campus Policies and Operating Procedures (see Appendix A for the hierarchy of these documents). Individuals engaged in developing and/or maintaining any of these documents must adhere to the requirements outlined in this policy and its associated Operating Procedures for drafting, approving, revising, withdrawing and communicating such documents.

The following principles provide guidance to those who have responsibilities under this policy when they propose to take action on a University policy or supporting document:

  • Consistency: The policy or supporting document should be internally consistent and consistent with other University policies and supporting documents.
  • Common Sense: The proposed criteria in the policy or supporting document should be reasonable and flexible, allowing when possible 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 or supporting document must adhere. 
  • Core to the Mission: System-Wide Policies should be limited to those 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. Consideration should be given to whether the proposed guidance would be better served or made more effective through another type of document in the policy hierarchy set forth in Appendix A.

The University Policy Office (UPO) maintains all System-Wide Policies and System-Wide Standards in a central policy library accessible by all University community members. Campus Policies are maintained in a similar fashion by each campus. System-Wide Guidelines, Operating Procedures and Unit-Level Standards are maintained and made available to the University community by the applicable Responsible Office. These offices must keep the UPO informed of the location of their documents for reference in the central policy library, as applicable.

REASON FOR THIS POLICY

In order to ensure clarity, coherence and communication of Purdue University policies and supporting documents, this policy establishes the framework within which they are to be reviewed, maintained and made available to the Purdue University community.

INDIVIDUALS AND ENTITIES AFFECTED BY THIS POLICY

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

EXCLUSIONS

This policy does not apply to academic regulations.

RESPONSIBILITIES

Executive Policy Review Group (EPRG)

  • Apply an institutional perspective to the review and approval or withdrawal of System-Wide Policies.
  • Recommend action to the President regarding System-Wide Policies for which such action is required.

Responsible Executive

  • Designate a Responsible Office(s) to develop, revise and administer a policy or supporting document under his or her jurisdiction.
  • Consider Stakeholder comments on drafts of System-Wide Policies/Standards.
  • Approve final drafts of System-Wide Policies/Standards before they are presented for approval.
  • Endorse the withdrawal of an existing System-Wide Policy/Standard.
  • Adhere to the requirements of this policy when sponsoring/approving System-Wide Guidelines, Operating Procedures and Unit-Level Standards.

Responsible Office

  • Develop, revise and administer policies and supporting documents as directed by a Responsible Executive.
  • Provide content for new or significantly revised System-Wide Policy/Standard drafts with editorial assistance from the UPO.
  • In consultation with the Responsible Executive, consider incorporation of Stakeholder input.
  • Conduct administrative reviews of existing System-Wide Policies/Standards under its jurisdiction at least every five years.
  • Consult with the Responsible Executive while drafting so that the content continues to reflect the policy/standard’s purpose.
  • Consult with the UPO throughout the development of policies and supporting documents to ensure compliance with this policy.
  • Provide communication and training as necessary to assist in implementation of and/or compliance with policies and supporting documents.
  • Maintain and make available to the University community System-Wide Guidelines, Operating Procedures and Unit-Level Standards under its authority in accordance with this policy.

Stakeholders

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

University Counsel

  • Conduct a legal review of a new or significantly revised System-Wide Policy, System-Wide Standard or Campus Policy, or designate responsibility for such.
  • Upon request, provide legal review of supporting policy documents.

UPO

  • Design, implement and maintain applicable Templates and forms and Operating Procedures for developing, reviewing, issuing, storing, revising and archiving policies and supporting documents.
  • Generally guide the Responsible Executive and Responsible Office through the policy development process.
  • Provide the structure, formatting, expression and other editorial aspects of policies and supporting documents to ensure their clarity and coherence.
  • Consult with University Counsel (or his or her designee) to determine when a new or revised System-Wide Policy or Standard needs legal review.
  • Facilitate meetings of the University Policy Committee and distribution of documents to the EPRG.
  • Announce, as appropriate, the issuance, significant revision or withdrawal of a System-Wide Policy/Standard.
  • Initiate with Responsible Offices the administrative review process for System-Wide Policies/Standards.

University Policy Committee

  • Review and comment on proposed, new or significantly revised System-Wide Policies as requested by the UPO.
  • Communicate, upon notification by the UPO, the issuance of new or significantly revised System-Wide Policies/Standards to constituent areas.

VPEC

  • Apply an institutional perspective to the review and approval or withdrawal of System-Wide Standards.
  • Serve as Chairperson of the EPRG.
  • Serve as advisor to the University Policy Committee.

DEFINITIONS

All defined terms are capitalized throughout the document. Additional defined terms may be found in the central Policy Glossary.

Campus Policy
An official, defined principle or directive that mandates requirements of or provisions for members of a specific University campus. Campus Policies either address an issue not defined in a System-Wide Policy or System-Wide Standard or provide further articulation of a System-Wide Policy/Standard to the relevant campus. In the event of apparent conflict between a Campus Policy and a System-Wide Policy/Standard, the provision(s) of the System-Wide Policy/Standard prevail. Campus Policies must be reviewed by legal counsel, as determined by University Counsel (or his or her designee). West Lafayette Campus Policies must be approved by the EPRG. Prior to their approval by the Chancellor and issuance, Campus Policies for the Regional Campuses must be presented to the EPRG for information.

Executive Policy Review Group (EPRG)
A standing committee of University executives who provide institutional review of and approve or recommend action on System-Wide Policies. The committee members are appointed by the President and include the Provost, EVPT, Chancellors, VPEC, Vice President for Human Resources, chair of the University Senate and such other individuals as the President may appoint. The VPEC serves as chair.

Interim Policy
A provisional policy issued when a System-Wide Policy is needed within a time period too short to complete the steps as described in this policy’s Operating Procedures. While the provisions of such a policy may be revised in the final version, an Interim Policy has the full authority of a System-Wide Policy during its interim status.

Operating Procedure
An established method to be used as a consistent approach to achieve a result. Operating Procedures may evolve over time as new tools emerge, new processes are designed or the risks associated with a subject change, but in each published iteration they are considered the required steps to be followed.

An Operating Procedure may be instituted to fulfill a policy or standard or a specific provision of a policy or standard. In such cases, the steps involved may be tailored to the unique administrative requirements of a campus or unit. An Operating Procedure also may be instituted as a stand-alone document that prescribes a consistent process for mitigating risk or improving an operational efficiency. An Operating Procedure must have the approval of the Responsible Office.

An Operating Procedure, as referenced in this policy, does not include granular details of performing specific job tasks, such as operating a piece of machinery or utilizing a software program.

Responsible Executive
The President, a vice president, chancellor, vice chancellor, vice provost or dean who directs the creation and implementation of and gains compliance for a policy or supporting document that falls under his/her jurisdiction.

Responsible Office
An office or department designated by the Responsible Executive to develop and administer a policy or supporting document, communicate with and train the Purdue University community in its requirements, and execute its timely updating and revisions.

Stakeholder
An individual, group or organization whose University role or professional expertise relates to or may be impacted by the subject of a policy or standard.

System-Wide Policy
An official, defined University principle or directive that:

  • Mandates requirements of or provisions for members of the Purdue University community.
  • Implements or assures compliance with a law, regulation or Board of Trustees Code; advances a key aspect of the Purdue University mission or its relationship with its Stakeholders; mitigates institutional risk; and/or promotes operational efficiency.
  • Has broad application throughout the Purdue University system.
  • Is sponsored by at least one Responsible Executive with system-wide authority.
  • Is written in accordance with the policy Template.
  • Has been reviewed by legal counsel as determined by University Counsel (or his or her designee)
  • Has been reviewed and approved by the EPRG, and, in some cases, approved by the President.

Policies that predate the issuance of this policy remain official System-Wide Policies and, in time, are expected to complete the steps outlined in this policy’s Operating Procedures.

System-Wide Guideline
A non-mandatory expectation and/or best practice provided in support of a System-Wide Policy or Standard. A System-Wide Guideline must be sponsored by the Responsible Executive(s) of the policy or standard it supports and be referenced in the applicable policy or standard.

System-Wide Standard
A mandate that further articulates the provisions or requirements of one or more System-Wide Policies as they pertain to a specific topic or particular demographic of the University. A System-Wide Standard must be sponsored by at least one Responsible Executive(s) with system-wide authority and be referenced in the applicable policy. System-Wide Standards must be written in accordance with the standard Template, reviewed by legal counsel as determined by University Counsel (or his or her designee) and approved by the VPEC.

Template
The official format for policies and supporting documents as maintained by the UPO to facilitate consistency, clarity and conciseness.

Unit-Level Standard
An official, defined principle or directive that mandates requirements of or provisions for members or consumers of a specific unit. A Unit-Level Standard addresses an issue not defined in a System-Wide Policy, System-Wide Standard or Campus Policy, or provides further articulation of the provisions/requirements of one of the afore mentioned documents to the relevant unit. Unit-Level Standards do not have broad application (i.e., apply to a limited number of individuals) and are expected to be needed infrequently. In the event of apparent conflict between a Unit-Level Standard and a System-Wide Policy or Standard, the provision(s) of the System-Wide Policy/Standard prevail. Unit-Level Standards must be approved by a Responsible Executive.

University Policy Committee
A committee with membership from key Stakeholder units across the University, including but not limited to APSAC, CSSAC, faculty, human resources, business services, information technology and student affairs. Committee members are tasked with reviewing and commenting on proposed, new or significantly revised System-Wide Policies during their development. This feedback, at times, may require the committee member to solicit input from his or her constituent area. Members are further tasked with communicating the issuance of new or significantly revised System-Wide Policies and Standards to their constituent areas upon notification by the UPO. The UPO facilitates the committee’s meetings.

RELATED DOCUMENTS, FORMS, AND TOOLS

WEB SITE ADDRESS FOR THIS POLICY

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

HISTORY AND UPDATES

April 1, 2014: Revisions throughout the policy were made to align it with current practices, including the addition of the role of the University Policy Committee. Operating Procedures were removed to a separate document.

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.

APPENDIX A

Policy Hierarchy

I. Board of Trustees Code II. System-wide Policy II.A System-wide Standard II.B System-wide Guideline III. Campus Policy IV. Operating Procedures V. Unit-level Standard