POLICY CREATING AND REVIEWING UNIVERSITY POLICY Category: Approval: General President and Vice-Presidents Group (PVPs) Responsibility: General Counsel and University Secretary Date: Date initially approved: March, 2010 Date of last revision: Definitions: Approval Authority: The Approval Authority for a policy, if it is of University-wide application, is the President & Vice-Presidents Group and / or, with respect to matters within their respective jurisdiction under the Trent Act, the Board of Governors and /or the Senate. Policies of more local application may be approved by PVPs, the Provost s Planning Group (PPG), the President, a Vice-President, Dean, Associate Dean or Administrative Directors depending on the context. The University Policy Advisory Committee will provide advice regarding the appropriate Approval Authority in particular instances. Contact Officer: A contact officer is the person who should be contacted for any matters relating to the policy, procedure or guideline. Guidelines: Guidelines provide instructions that facilitate completion of a procedure or application of a policy in differing circumstances. Guidelines provide assistance when the use of judgment is required for the application of a policy. Often they will establish a best practice for applying a policy and can assist in interpreting policy. Policy: A policy is a document that establishes key principles and values that guide the operation of the University. It generally has institution-wide implications, although does not always have application across all University departments. Policies typically enhance the University s Mission Statement, manage institutional risk, are enduring in nature and are approved at the senior levels of the University. Some policies can stand alone, but most often will be accompanied by associated procedures and/or guidelines. Procedure: A procedure details the interrelated and sequential steps and/or actions that must be taken to implement a particular policy. They are mandatory and may be subject to routine changes based on operating practice. They are generally approved by the senior officer 1
responsible for a policy. Senior Administrative Officer: The senior administrative officer is responsible for ensuring the communication of the policy, development of associated procedures, interpretation and awareness of the policy, and for monitoring compliance. A senior administrative officer would normally be at the level of a president, vice-president, associate vice-president, dean, or director. Purpose/Reason for Policy: To define a coordinated and consistent process for identification, development, approval and administration of all University policies, consistent with governing principles on which the activities of the University are based. Scope of this Policy: This policy applies to all University staff and faculty who are responsible for developing, writing, approving and reviewing policies, procedures and guidelines on issues which have university-wide application. This policy does not apply to regulations that are or would be communicated in the Academic Calendar (academic regulations, degree requirements, and regulations about admissions, fees, and financial aid). This policy does not apply to management decisions made which provide local instruction and guidance to staff for matters that are limited to local operations only. Management decisions must not be inconsistent with approved University policies or procedures. If there is an inconsistency, the University policy and/or procedure will take precedence. Policy Statement: While policies may comprise elements of procedure, most policies should focus on principles and provide guidance and direction. Policies change infrequently, and changes to policy are subject to approval by the appropriate senior authority. Procedures are put into place under the direction of the policy's Senior Administrative Officer. Guidelines are more general in nature and may include additional documentation such as explanatory notes, forms and references. APPROVAL PROCESSES For a policy to become University Policy, it must be approved by the relevant senior authority(ies) e.g. PVPs, Board of Governors and/or Senate. 2
Procedures must be approved by the relevant authority e.g. President, Vice-President, Dean, Department/College Chairs & Directors. To ensure consistency, guidelines should be approved by the same authority as the procedure. DOCUMENTATION All policies, procedures and guidelines must be presented in the relevant approved template - attached to this Policy s Procedure titled Procedure for Creating and Reviewing University Policy. REVIEW CYCLE All policies and procedures are to be reviewed on a regular and scheduled cycle. Substantive changes to existing policies, procedures and guidelines are subject to the same requirements as for new policies, procedures and guidelines. REVOCATION A policy or procedure remains in force unless formally revoked by the relevant Approval Authority. The previous version of a policy or procedure is automatically revoked when a new version is approved by the relevant Approval Authority. Responsibilities Policy Advisory Committee Prior to submission to the Approval Authority for final approval, all policies and procedures must be submitted to the University Policy Advisory Committee. The Committee will review policies and procedures to: ensure all policies are coherent in nature and scope ensure policies have been checked for compliance with the relevant external legislation and internal policies and procedures, including Board of Governors special resolutions, by-laws, and existing collective agreements ensure terminology and format are consistent and readable ensure appropriate consultation has been undertaken provide a central facility to avoid duplication or overlap of policies and procedures The Terms of Reference for the Policy Advisory Committee are attached to this Policy as Appendix A. University Secretariat There will be one central resource incorporating all approved University policies, procedures and guidelines, managed by the University Secretariat. 3
Administration The President and Vice-Presidents are responsible for ensuring that, within their areas of responsibility, appropriate plans with respect to policy are developed, resourced, kept current, and implemented. The Associate Vice-Presidents, Deans, Associate Deans, Senior Directors, Directors, Registrar and University Librarian are responsible for: Ensuring adherence to University policy is integrated into all planning and decision-making within their portfolios; Ensuring programs are developed, resourced, implemented, evaluated, and maintained to implement University policies effectively. Managers and Principal Investigators are responsible for: Ensuring University policies are implemented in the Program or Department as applicable; University policies are integrated into all aspects of planning and decision-making within the Program or Department. Every employee (faculty or staff) is responsible for complying with University policies in the course of performing their duties. Contact Officer Manager, Records and Policy Date for Next Review March 2012 Related Policies, Procedures and Guidelines Procedure for Creating and Reviewing University Policy Policies Superseded by This Policy There was no University-wide policy/procedure approval process in place prior to this policy. This policy replaces any local department / faculty / office processes. 4
APPENDIX A POLICY ADVISORY COMMITTEE DRAFT TERMS OF REFERENCE Purpose: To ensure consistency and coordination in the development, approval and administration of all University policies. Suggested Membership: One representative from: Human Resources Risk Management Office of Research Executive Sponsor of the Policy program Manager, Policy & Records and 1 faculty member Consultants: 1 technical consultant 1 Senate consultant 1 External Relations & Advancement consultant 1 Trent-in-Oshawa consultant Role: 1. To receive assignments from PVPs, from members of the University community and to make recommendations on whether a new University policy is needed (or whether the purpose can be achieved by modifying or clarifying an existing policy, or through guidelines or procedures). 2. To advise proponents of policy and interested members of the community on policy approval process and requirements. 3. Where a new policy is being recommended for development, to provide a template, advise about consultation (including advice about the need for legal review), and identify the appropriate approval path. 4. To assist the President & Vice-Presidents Group, as required, in an evaluation of the implications of proposed policies, including potential risks, costs, and infrastructure requirements. 5. Once a draft policy is received, to review the process of consultation and the implementation and communication plan, and to make a recommendation to the appropriate body (PVPs, and/or Board, and/or Senate) for initial approval. 6. To undertake periodic reviews of existing policies, identifying anachronisms, gaps and overlaps, and monitoring the effectiveness of the institution s ongoing administration of its policies. Authority: The Policy Advisory Committee has an advisory and coordinating role rather than a decision-making role. It does not have the authority to approve a policy or allocate resources. 5
Contact Officer PROCEDURE CREATING AND REVIEWING UNIVERSITY POLICY Manager, Records & Policy Purpose To identify the procedures to be followed when creating University Policy and the format for University Policies, Procedures and Guidelines. Procedure Step 1 Identification of Need: Any member of the University community may suggest that a new University policy, or revision to an existing policy, is required. PROCEDURE Step 2 Approval of Concept: A proposal for a new policy, or revision to an existing policy, must first be made to the responsible Administrative Director or Vice-President/Dean. Following a determination of need, the proponent consults the Manager, Policy and Records, for advice on existing and related policies, and consultation of stakeholders (including advice about the need for legal review), and identify the appropriate approval path. Step 3 Drafting and Consultation: The Senior Administrative Officer will ensure the proper drafting of the policy, including: research to ensure best practices, consultation with appropriate stakeholders to gain, in principle, agreement on policy, provision for a communications plan and an implementation plan. The officer will also be responsible (where recommended by the Policy Advisory Committee) for seeking legal advice from General Counsel. When drafting a policy, and its associated procedure and guideline, use the templates appended to this document (Appendix A, B, C). Complete all sections, using clear, concise and unambiguous language. Mark each document clearly as DRAFT and date the document. Policies, procedures and guidelines should cross-reference each other to ensure coordination. Step 4 Draft Policy Review: Submit the draft policy to the Manager, Policy and Records, in an electronic format capable of manipulation and with the prescribed Coversheet. 6
The Manager will complete the first review and may send the draft back for additional input and/or clarification. The Policy Advisory Committee will review and comment on matters such as the format, the implementation and communication plan, the process of consultation, the appropriate approval path and the recommended review period and will return the draft policy to the sponsor. A knowledgeable individual may be requested to attend a meeting of the Policy Advisory Committee to provide background and context. The Committee may also assist the President/Vice-President Executive Committee (PVP) in an evaluation of the implications of the policy, including potential risks, costs, and infrastructure requirements. The Contact Officer will, throughout the approval process, amend the Coversheet to keep the information up-to-date. Step 5 Approval: Depending on the scope and implications of a policy, it may be approved by: The President The appropriate Vice-President The President/Vice President Executive Committee The Provost Planning Group Senate or The Board of Governors The drafter of the policy may be asked to attend meetings of the above groups. Step 6 Implementation of the New Policy: Once approved, introduction and communication of the policy will be the responsibility of the Senior Administrative Officer. The policy should be communicated to all relevant units and employees, and arrangements should be made by the senior officer for appropriate training, interpretation, and compliance monitoring. The Secretariat will provide a notice on the University s intranet, add it to the web-based Policy Library, and distribute the policy to the Extended Management, Managers Group, through Human Resources. Step 7 Maintenance of the Policy: The final approved policy will be deposited with the University Secretariat in an electronic format capable of manipulation for custodial and management purposes. Step 8 7
Policy Review: The date of the first review is to be determined at the time of original approval. At each subsequent review, a new review date is to be set. A policy, procedure or guideline may be reviewed prior to the scheduled date, where necessary. If for some reason there is no review date scheduled, the default is five years from the date of approval or the date of the last review, whichever is the later. A review may be initiated by any staff member, but must be undertaken through the Contact Officer or Approval Authority. Step 9 Procedures and Guidelines: Where procedures or guidelines are desirable for a new or revised policy, the sponsor will be responsible for preparing these documents in the forms attached as Appendix B and C, respectively. Final electronic versions of these documents will be referenced within the policy and will be filed with the Secretariat. Date Approved 2010, March 8 Approval Authority Date of Commencement 2010, March 26 Amendment Dates Date for Next Review 2013, March 8 Related Policies, Procedures and Guidelines President/Vice-President Executive Committee Creating and Reviewing University Policy 8
COVERSHEET FOR A NEW OR REVISED POLICY Please complete Sections 1-6 and send with the draft Policy/Procedure to policy@trentu.ca. A separate form is required for each Policy and Procedure. NAME OF POLICY 2. FILE # Secretariat Use Only SELECT ACTION: New Policy Replacement to existing policy Deletion of existing policy RATIONALE FOR SUGGESTING THE POLICY OR CHANGES TO THE POLICY: What developments, changes or circumstances indicate that a policy or change to a policy is needed? What are the implications of not having the policy? How would the University and/or its students, staff and faculty benefit from such a policy? SCOPE OF PROPOSED POLICY Indicate to which members of the University community the proposed policy would apply and reference other pertinent policies, legislation, regulations, collective agreements, etc. and explain their relationship to the policy. CONSULTATION Describe any consultation undertaken to date or proposed, including the dates and names of committees / staff / student meetings. APPROVAL PROCESS What is the recommended approval body(ies) and the steps required to achieve final approval of the proposed policy? 9
COMMUNICATION PLAN Indicate how the policy / procedure will be communicated to allow for implementation. Note that an intranet announcement and publishing on the central policy webpage by the Secretariat are assumed; information about additional communication strategies should be provided. RISK MANAGEMENT What type of losses (financial, legal, reputation, injury, property damage) could occur if this policy is not implemented. How like is it that they will occur and how significant might they be? Conversely, what opportunities might be missed if this policy is not enacted? Please consult with the Risk Management Office, if unsure. Indicate resources required to implement the policy (funding, staff time, space). Indicate how this policy will be implemented. Note that proactively implementing a policy is required to decrease liability. PROCEDURES List required Procedures and attach, if drafted. RESPONSIBLE OFFICER / COMMITTEE Officer / Committee: (Insert name and title of Senior Administrative Officer responsible for the policy) Signature: (For a Committee, the Chair is to sign) Date: Contact Officer: (Insert name and title of Contact Officer) 10
UNIVERSITY POLICY REVIEW COMMITTEE SIGN OFF Secretariat Use Only Reviewed by UPRC on: [DATE] Conforms to Requirements? YES / NO If NO: Next Steps: APPROVAL AUTHORITY DECISION Secretariat Use Only Name of Approval Authority: Approved? YES / NO If NO: Next Steps: If approved: Date of Approval: Date of Commencement: Date for Next Review: Contact Officer: Position: Submit this Form with a Word version of the final approved Policy/Procedure to: policy@trentu.ca. 11
POLICY TEMPLATE NAME OF POLICY Category: Approval: Responsibility: Date: Leave this blank; a category will be assigned The University Secretary, on the advice of the Policy Advisory Committee, will identify the appropriate approval body(ies), e.g. Board of Governors, Senate, PPG, PVPs. Indicate the senior administrative position responsible for the policy (the sponsor) Date initially approved: Date of last revision: Definitions: Include definitions for terms with discrete meaning within the policy. Purpose/Reason for Policy: State the overarching purpose of the policy. Scope of this Policy: Scope may include the groups (students, faculty, staff) to which the policy pertains, or other statements with respect to time periods, geographic locations (e.g. all campus buildings), funds (e.g. operating funds, research funds), etc. This section should also reference other pertinent policies, legislation, regulations, collective agreements, etc. and explain their relationship to the policy. Policy Statement: The statement of policy should be brief and direct. Responsibilities: Indicate what responsibilities are assigned, and to whom, under the policy. If there are different categories or levels of responsibility, this section can be used to delineate these. Contact Officer Date for Next Review Related Policies, Procedures and Guidelines Policies Superseded by This Policy 12 Year/Month/Day
APPENDIX B PROCEDURE TEMPLATE PROCEDURE FOR ESTABLISHING UNIVERSITY POLICY Contact Officer Provide the position title rather than the name of a person Purpose A clear and succinct statement of the reason for the procedure including the name of the policy (or policies) the procedure supports PROCEDURE Procedure Responsible Officer or Section Responsible Officer or Section Responsible Officer or Section Responsible Officer or Section The steps and/or actions that must be undertaken to implement a particular policy. Not all policies will require a procedure document, whilst others will require more than one. Each step to start with an action word / verb. Step 1 Step 2 Step 3 Step 4... Date Approved Approval Authority Date of Commencement Month Day Year PVPs, PPG, VP, Dean, Director, etc. Year Month Day Amendment Dates List the dates the policy has been amended (Year Month Day ) Date for Next Review Related Policies, Procedures and Guidelines Year Month Day Name and link to related policies, procedures and guidelines 13
APPENDIX C GUIDELINE TEMPLATE NAME OF GUIDELINE Contact Officer Provide the position title rather than the name of a person Purpose A statement about the purpose of the guideline. Guideline Actual guideline. Related Policies / Procedures Name and link to related policies, procedures and guidelines. Links Links to relevant documentation, forms, explanatory notes. Date Approved Approval Authority Year Month Day Board, Senate, PVPs, PPG, VP, Dean, Director, etc. 14