1.1.4 Policy Development and Administration Protocols

Transcription

1 1.1.4 Policy Development and Administration Protocols Refer to Policy Development and Administration policy for guidelines and definitions related to this protocol. The information contained in these protocols is designed to assist those that are developing new policy, initiating policy revisions or initiating the rescinding of policy. Documents included are: 1. Policy Development Plan 2. Policy Development and Approval Workflow 3. Policy Submission Requirements 4. Policy Template 5. Board Briefing Note Template 6. Policy Development Flowchart 7. Supporting Document Implementation Plan 8. Supporting Document Communication Plan 9. Policy Tracking List (included separately as it is a living document)

2

3 Policy Development Plan Date: Policy Title: Policy Number: Approving Body/ies (ie CPC/Edco/Board): Author: Anticipated Date of Conclusion: Legislative or Collective Agreement References: (College and Institutes Act, CORFA, CUPE) Related Policies: Stakeholders for Consultation: Rationale for Development of Policy: Risks if we DO NOT have this policy in place: Approval Granted: Yes No Signature of Approver:

4

5 Policy Protocols Policy Development and Approval Process Flow # Task Assignment /Responsibility 1. Policy for development, revision or rescinding Author Checklist 2. Develop Rationale for policy development (revision or rescinding) Author 3. Submit policy rationale to PC member for decision/approval to proceed Author 4. Develop draft policy Author 5. Identify stake holders, solicit feedback Author (can be individual or SAP 6. Submit draft policy to EA to VP Academic for inclusion on CPC agenda Author 7. EA to VP Academic will advise and invite author to CPC when it is to be on the agenda EA to VP Academic 8. CPC reviews policy for approval or changes CPC 9. EA to VP Academic assigns policy numbers if necessary EA to VP Academic 10. EA to VP Academic assigns numbers and advises author EA to VP Academic 11. If approved: Author finalizes and submits to EdCo for inclusion on Agenda. If NOT approved: Author revises and resubmits to EA to VP Academic (back to step #6) Author 12. If CPC is final approver go to step #21 (Administrative and all other policies except for Academic & Student) Author to submit final document to EA to VP Academic in required format (see requirements) If CPC is not final approver submit to EdCo through the Chair 13. EdCo Chair advises and invites author when the policy is confirmed for the EdCo agenda Author EdCo Chair 14. EdCo will meet to approve or NOT approve. EdCo 15. If approved: If EdCo is final approval go to step #22 If NOT approved Author to revise and go back to step # If EdCo is final approval go to step #22 If EdCo is NOT final approver then it must then go to the Board Author Author

6 Policy Protocols 17. If going to the Board - Author submits DRAFT policy in prescribed format to EA to the Board (included in Protocols document) 18. EA to the Board submits the policy to the Chair of the Executive and Governance committee 19. Executive and Governance will meet to review the policy. If they approve then it will be added to the agenda for recommendation to approve at the earliest/next Board meeting from when they meet. If NOT approved the EA to the Board will advise the Author of any needed changes. Author would need to go back to step # If approved: EA to Board will advise the author and other affected parties of the approval (Author, Registrar, International, VP Finance, EA to VP Academic) 21. Author submits final copy to EA to VP Academic in required format (included in Protocols document) Author EA to Board Exec & Gov EA to Board Author 22. EA to VP Academic finalizes document and posts to SharePoint EA to VPA 23. EA to VP Academic updates Policy tracking spreadsheet EA to VPA 24. Policy is flagged for review on assigned due date (at least every 5 years) EA to VPA Communication and Implementation 1. Once the author is advised of the policy approval it is their responsibility to communicate this out to all stakeholders (both internal and external) supplying the SharePoint link to the final policy with implementation timelines and identify what changes were made and their impacts. 2. The author is responsible for the development of all organizational procedures and practises that relate to the policy.

7 Policy Protocols Policy Submission Requirements When Submitting a new policy, a policy for revision, or a policy for rescinding to CPC 1. All policies submitted to CPC for approval must: a. Be provided as a Word document on the approved template b. Have the footer information filled in (author, approving body if known) c. Have the formatting substantially complete 2. The author will be required to attend the meeting where the policy is being presented. 3. Author must keep track of changes needed and once made resubmit to CPC before any submission to EdCo can occur. 4. If CPC is the final approved a final copy to be provided to the EA VPAR for assignment of a number and uploading to Sharepoint 5. A number must be assisgned to any new policies before being submitted to EdCo When submitting a new policy, a policy for revision, or a policy for rescinding to EdCo 1. All policies being submitted to EdCo for approval must: a. Must have be approved at the CPC table b. Must have been assigned a number (by EA VPAR) c. Must be submitted to the EdCo Chair for inclusion in meeting agenda When submitting a new policy, a policy for revision, or a policy for rescinding to the Board 1. All policies being submitted to the Board for approval must: a. Have been approved by CPC and EdCo (as required) b. Must be in final draft format (number assigned, formatting complete, all changes made) c. Must be submitted in PDF or Word format to the EA to the Board. No markup but text highlighted where the changes occurred. d. Must be accompanied by a detailed Board Briefing note from the AUTHOR (template available from the EA)

8

9 College Policy & Procedures Manual Category Policy # [Category: Indicate one of the following categories: General, Student Affairs, Financial Legal, Human Resources, Facilities, Instruction and Support, Research, Information Technology, International. Policy #: Indicate the policy number (no title). If the policy is new and has not been numbered, suggest a number.] Policy # & Title of Policy [The Policy Title is the primary means of identifying, locating and referring to a policy. The title assigned to the policy should be clear and concise and accurately reflect the policy content. Avoid using College of the Rockies, College, Policy or acronyms in the title.] POLICY [The Policy statement should explain the College s stand on a subject and how the College intends to operate. A policy can range from a philosophy, standard or legislation to specific rules. It is designed to regulate organizational action and conduct by describing the rules of what will or will not be done. This should be brief and direct.] PURPOSE [A concise statement (one or two sentences) on why the policy exists and what it is designed to address. This statement should not contain background information or detailed explanations. This section can also reference legislation, Ministry directives or guidelines, or collective agreements, etc. which provide a broad framework for which this policy operates and with which the policy needs to comply.] SCOPE [State the people or groups of the College community to which the policy and or procedures applies. For example: This policy applies to all regular full time staff. If there are exceptions, it should be stated.] DEFINITIONS [Use this section to define terms that have specialized meanings in the policy. List terms alphabetically using the format below.] Example: Template: (Word to be defined in bold type) The official format for policies and supporting documents as maintained by the College to facilitate consistency, clarity and conciseness. (Definition) Authored by: Approved by: Current issue date: Scheduled Revision date: 1

10 GUIDELINES Guidelines consist of recommended, non-mandatory controls that help support standards or serve as a reference when no applicable standard is in place. Guidelines should be viewed as best practices that are not usually requirements, but are strongly recommended. They could consist of additional recommended controls that support a standard, or help fill in the gaps where no specific standard applies. For example, a standard may require passwords to be 8 characters or more and a supporting guideline may state that it is best practice to also ensure the password expires after 30 days. In another example, a standard may require specific technical controls for accessing the internet securely and a separate guideline may outline the best practices for using the internet and managing your online presence. A. HEADING [*optional*] OR A. Guideline [*without heading*] Text OR 1) Sub Hierarchical Bullet OR Non-Hierarchical Bullet A. 1 SUBHEADING [optional] OR A. 1 Subheading [without heading] Text 1) Sub Hierarchical Bullet OR Non-Hierarchical Bullet RESPONSIBILITY A SUB-SUBHEADING [optional] OR A Subheading [without heading] Text 1) Sub Hierarchical Bullet OR Non-Hierarchical Bullet [Identify the title of the person who has the authority to respond to policy content questions.] ADDITIONAL INFORMATION [Optional: Enter links to supporting forms, documents, websites, related policies] Authored by: Approved by: Current issue date: Scheduled Revision date: 2

11 [Footer Authored by: Include title of person who oversees the development of the policy Approved by: Include the approval body e.g. (College Policy Committee, Board of Governors, Education Council. Sometimes joint approval is required and more than one approving body will appear in this section.) Current issue date: Enter date policy was approved Scheduled revision date: Enter date the policy is to be reviewed/revised] Authored by: Approved by: Current issue date: Scheduled Revision date: 3

12 APPENDICES Appendix A: TITLE Authored by: Approved by: Current issue date: Scheduled Revision date: 4

13 Policy Protocols - Template Board Briefing Note Date: Prepared by: Program Name or Topic: Background: Action Required:

14

15 Phase Author Develop rationale for development, revision or rescinding of policy Submit rationale to PC member for approval to proceed If Approved Develop draft policy Identify stakeholders and solicit feedback Submit draft policy to EA to VPAR for inclusion on CPC agenda Make required changes Submit to EdCo through the EdCo Chair Make required changes Author submits DRAFT policy in prescribed format to EA to the Board Author submits final copy to EA to VPAR in required format EA to VPAR EA to VPAR will advise and invite author to CPC when it is to be on the agenda EA to VPAR assigns policy numbers as necessary EA to VPAR advises author of assigned number If NOT approved If APPROVED If CPC is NOT final approver EA to VPAR finalizes document and posts to SharePoint EA to VPAR updates Policy Tracking spreadsheet EA to VPAR flags policy for 5 year review If CPC IS final approver CPC CPC reviews policy for approval or changes EdCo EdCo Chair advises and invites author when the policy is confirmed for the EdCo agenda EdCo will meet to approve or NOT approve If the policy was NOT approved If the policy was APPROVED If EdCo is the Final Approver If EdCo is NOT the final approver Board of Govenors Executive and Governance will meet to review the policy If not approved changes will need to be made and resubmitted If approved recommendation will be made to the full Board Recommendation from Exec & Gov for Board approval Board Approval EA to Board EA to the Board submits the policy to the Chair of the Executive and Governance committee EA to Board will add to agenda for next Board Meeting EA to the Board will advise the author and other affected parties of the approval

16

17 Policy Supporting Document Policy Supporting Document (insert Policy #) Policy Holder (insert author name) IMPLEMENTATION PLAN Policy Name: Approved by: Final Approval Date: Action Taken Reason By Whom Planned Completion Date Date Complete Comments Highlights of Changes:

18 Policy Support Document Policy Supporting Document (insert Policy #) Policy Holder (insert author name) COMMUNICATION PLAN Policy Name: Approved by: Final Approval Date: Group Reason Method By Whom Planned Completion Date Date Complete Message Highlights: