HomeMy WebLinkAboutFCS-15-142 - Corporate Policy Review Staff Report
rTC.�r R finance and Corporate Services Department www.kitchener.ca
REPORT TO: Finance and Corporate Services Committee
DATE OF MEETING: November 2, 2015
SUBMITTED BY: Michael Goldrup, Director of Human Resources, 519-741-2200,
ext. 7117
Christine Tarling, Director of Legislated Services/City Clerk, 519-
741-2200, ext. 7809
PREPARED BY: Aleesha Allidina, Legislated Services Assistant (Co-Op Student)
WARD(S) INVOLVED: All
DATE OF REPORT: October 13, 2015
REPORT NO.: FCS-15-142
SUBJECT: Corporate Policy Review
RECOMMENDATION:
That the corporate policy review process and work plan be approved, as outlined
in staff report FCS-15-142; and further,
That the master policy attached to staff report FCS-15-142 be approved.
BACKGROUND:
The City of Kitchener has 297 Council-approved policies, some of which have not been
updated in many years. Best practice indicates that policies should be reviewed every
3-5 years to ensure they are up-to-date and still relevant.
Most corporate policies have been formulated or are "owned" by departments/divisions
to meet specific business needs. Along with these policies there are also fifty-two
Human Resources (HR) policies which are the subject of this review, having been
comprehensively evaluated last in 2011.
The purpose of this report is to outline a process and work plan for policy review and
seek Council approval of a master policy which formalizes an overarching policy
framework for the City.
***This information is available in accessible formats upon request. ***
Please call 519-741-2345 or TTY 1-866-969-9994 for assistance.
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REPORT:
Staff began the review process by sending each Director a list of policies relating to
their area (i.e., Department/Division-Owned) and asking them to categorize those
policies in one of four ways:
• Fine;
• Housekeeping edits required;
• Substantial edits required; or
• No longer required (i.e. should be repealed)
In tandem with that review process, Human Resources began a review of HR policies.
Given the extensive impact of HR policies, broad internal consultation was deemed to
be necessary prior to making any revisions to this subset.
Department/Division-Owned Policies
As part of the review process, each Director/DCAO has confirmed the categories as
noted above for their department/division-owned policies. For those policies deemed
"No longer required", each Director/DCAO has identified the reasons why those policies
should be repealed. Once Council has approved the process and work plan with
respect to this report, another report will be brought forward in January 2016 to repeal
those policies identified as "No longer required".
Policies requiring "housekeeping edits" consist of updating outdated titles and
descriptions only (e.g., changing GM to DCAO, or updating department/division names)
and will be done by Legislated Services staff without the requirement for formal Council
approval of the edits.
Policies which require "substantial edits" will be prioritized by each department/division
and will be extensively reviewed by the responsible Director/DCAO before being
brought before Council for approval as required.
Human Resources Policies
Human Resources conducted an internal consultation process corporate-wide to
determine which policies needed to be revisited. This process has been completed and
Human Resources is currently consolidating key themes and priorities as well as
identifying gaps and draft policy options for review by the corporate management team.
HR policies will be categorized the same as the department/division-owned policies.
Based on input from the corporate management team, final recommendations will be
brought to Corporate Leadership Team (CLT) and then to Council for final approval as
required.
Policy-Making — Traditional versus Complementary View
During the comprehensive review of the City's policies, it was noted some policies
originally tied to Council could possibly be considered to be more administrative in
nature. It also became apparent that many policies extend into administrative
procedures/guidelines.
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The traditional view of policy-making previously drew a hard line between the
responsibilities of council and those of staff; and as a result, such convention dictated
that all policies come before Council for approval.
The current political environment is dynamic with various challenges for policy-making.
It is increasingly beneficial to conceptualize the relationship between administration and
Council as complementary. Under the complementary view, Council and administration
continue to have distinct spheres, but there is a notion of shared roles, reciprocal
influence and mutual support. The following is a visual to help understand the
complementary view with respect to policy-making-
Council Sphere
Determine Advice (what
purpose, scope of municipality can
services, tax do), analyze
level, and MISSION conditions and
constitutional trends
issues
Pass ordinances, Make
approve new recommendations
projects and on all decisions,
programs, ratify P Y formulate budget,
budget and determine
service distribution
formulas
Make Establish practices
implementing and procedures,
decisions (e.g., D M I N I STRAT I O N and make decisions
Site selections, for implementing
handling policy
complaints, and
overseeing
administration
Suggest Control the human,
management material and
chap g es to MANAGEMENT informational
manager, review resources of the
organizational organization to
performance support policy and
administrative
functions
Administration Sphere
Svara, James H. "Dichotomy and Duality: Reconceptualizing the Relationship between Policy and Administration in Council-Manager Cities."Public
Administration Review 45.1 (1985): Corporate ResourceNet.Web.4 June 2015
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The line in the centre of the graphic will shift left or right depending on the culture of the
particular municipality but the overall objective of the new concept with respect to policy
development and implementation is to enable greater efficiency and timeliness for
creating and updating policies at the most appropriate level. It does not seek to
eliminate the role of council or administrative staff with respect to policy-making but
rather to establish criteria for when a policy should go to council.
It is with this in mind that staff recommends to distinguish whether a policy is considered
"council" or "administrative" in nature. The following are definitions for "council" and
"administrative" policies as well as "procedures" based on best practices:
A Council Policy is a guiding principle that sets direction for administrative staff and
establishes oversight control.
An Administrative Policy is a rule that directs staff in making consistent decisions and
explains the expected outcome.
A Procedure explains how a policy is implemented/administered, who is affected by the
policy, who is responsible for the administration and how to implement the policy. A
procedure may also contain operational or technical measures, standards and practices
as appropriate.
Criteria to Determine if Council or Administrative
The above definitions are the basis upon which the criteria to determine whether a
policy should be considered "council" or "administrative" was created.
Council policies include those that Council adopts to govern the actions of its members
and employees, ensure the financial integrity of the Corporation, and those required by
legislation to be adopted by Council. Council's approval is necessary when the policy
directly affects the public and Council's decision needs to be a part of the public record
in keeping with open and accountable government. The following types of policies that
should be approved by Council include:
The following types of policies that should be approved by Council include:
1) Policies affecting citizens such as policies that:
a) Handle how to spend government revenue (e.g., policies that provide funding or
no-charge services to members of the public);
b) Initiate a new program and establish standards for the delivery of services to the
public;
c) Establish fees, charges or payment terms for services and programs;
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d) Permit the use of City assets for the benefit of a third party for either a charge-
back or on a no-charge basis; and,
e) Deal with sensitive or controversial issues within all or a part of the community, or
require a judgement on "community values".
2) Policies specifically required by legislation to be adopted by Council.
3) Policies ensuring the financial integrity of the Corporation.
4) Policies providing compensation/benefits or reimbursement of expenses to
employees, elected officials, and citizen members of committees.
5) Policies governing the actions of or dealing with the conduct of City employees,
elected officials, and citizen members of committees.
6) Policies requiring Council's decision on a matter that needs to be part of the public
record in keeping with open and accountable government.
Policies which do not meet the above-noted criteria would generally be considered
"administrative" in nature and would not require Council's approval to be enacted but
would be approved by CLT. Council or the CAO, however, may direct that a policy
falling outside of the above criteria be presented to Council for approval. Examples of
administrative policies include: Policy 1-215 (Corporate Studies & Research Databases
— Tracking); 1-245 (Insurance Claim); 1-240 (Gas Contracts — Execution of); 1-205
(Corporate Archives Policy); 11-95 (Employee File — Official File); 11-145 (Employee ID
Cards); 11-225 (Specified Holidays); 11-65 (Dress Code); 1-507 (Automated Registration).
Policy Review and Revision
In order to ensure policies and procedures are up-to-date and still relevant, they should
be reviewed every 3-5 years or in accordance with any applicable legislation. Each
policy and procedure should have a review date identified on the document to
guarantee consistent revision of policies and to identify the currency of the document.
Procedure for Development and Review of Policies and Procedures
Alongside the new criteria, in order to organize policies more efficiently, staff
recommends updating the organizational framework of policies to ensure the
disentanglement of procedure and policy. Procedures will be related to the policy by
adding a three digit number after the policy number. Council or CLT will approve
policies and staff will update the procedures/guidelines when necessary.
In order to ensure all future policies and procedures adhere to the new process, staff
recommends the creation of a master policy using the proposed criteria to outline the
policies and procedure framework for Kitchener (attached as Appendix `A'). The policy
will ensure consistent application of the criteria and be a reference for any questions
about the categorization of future policies.
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Next Steps
1. Legislated Services will bring forward those policies which have been identified as
"No longer required" to be repealed by Council.
2. Legislated Services will work with Directors/DCAOs to categorize each policy as
either "administrative" or "council" and provide the list to Council for approval.
3. Council policies requiring "substantial edits" (both department/division-owned and
HR policies) will be revised and brought forward to Council for approval as they are
completed.
4. Human Resources will develop a communication/training plan for the revised HR
policies.
ALIGNMENT WITH CITY OF KITCHENER STRATEGIC PLAN:
The recommendation of this report supports the achievement of the city's strategic
vision through the delivery of core service.
FINANCIAL IMPLICATIONS:
None.
COMMUNITY ENGAGEMENT:
INFORM — This report has been posted to the City's website with the agenda in
advance of the council / committee meeting.
CONSULT — Various internal stakeholders have been consulted with respect to the
categorizing of policies.
CONCLUSION:
Policies are the foundation upon which decisions are made. They ensure consistent
direction and application of the rules so it is important they are up-to-date and relevant
in order to aid in good decision-making for both staff and members of council. To this
end, it is valuable to ensure policies are clear, concise, unencumbered by procedure
and regularly reviewed. The recommendations in this report seek to achieve all of these
things and to ensure the role of council is upheld with respect to policy-making.
ACKNOWLEDGED BY: Dan Chapman, Deputy CAO
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APPENDIX `A' — MASTER POLICY
POLICY NUMBER: I - XXX DATE: NOVEMBER 2, 2015
POLICY TYPE: COUNCIL
SUBJECT: CORPORATE POLICY DEVELOPMENT, REVIEW AND
MANAGEMENT
1. PURPOSE
To establish a consistent, well-defined and transparent process for developing and
reviewing corporate policies and procedures, and to set out the criteria by which policies
will be considered either"administrative" or "council".
2. DEFINITIONS
2.1 "Administrative Policy" is a rule that directs staff in making consistent
decisions and explains the expected outcome.
2.2 "Chief Administrative Officer (CAO)" means the Chief Administrative Officer
appointed by Kitchener City Council, or his/her designate.
2.3 "City Clerk" means the Clerk appointed by the City of Kitchener, or his/her
designate.
2.4 "Council Policy" is a guiding principle that sets direction for administrative staff
and establishes oversight control.
2.5 "Deputy CAO" means the Deputy Chief Administrative Officer of a department
appointed by the City of Kitchener, or his/her designate.
2.6 "Mayor" means the duly elected Mayor of the City of Kitchener, or the Acting
Mayor, as approved by by-law, in his/her absence.
2.7 "Policy Manual" is the organized electronic compilation of all administrative and
council policies.
2.8 "Procedure" explains how a policy is implemented/administered, who is affected
by the policy, who is responsible for the administration and how to implement the
policy. A procedure may also contain operational or technical measures,
standards and practices as appropriate.
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3. SCOPE
All City of Kitchener corporate policies and their related procedures are impacted by this
policy.
4. POLICY CONTENT
4.1 Criteria to Determine if Council or Administrative
4.1.1 The following types of policies that should be approved by Council include:
1) Policies affecting citizens such as policies that:
a) Handle how to spend government revenue (e.g., policies that provide
funding or no-charge services to members of the public);
b) Initiate a new program and establish standards for the delivery of services
to the public;
c) Establish fees, charges or payment terms for services and programs;
d) Permit the use of City assets for the benefit of a third party for either a
charge-back or on a no-charge basis;
e) Deal with sensitive or controversial issues within all or a part of the
community, or require a judgement on "community values".
2) Policies specifically required by legislation to be adopted by Council.
3) Policies ensuring the financial integrity of the Corporation.
4) Policies providing compensation/benefits or reimbursement of expenses to
employees, elected officials, and citizen members of committees.
5) Policies governing the actions of or dealing with the conduct of City
employees, elected officials, and citizen members of committees.
6) Policies requiring Council's decision on a matter that needs to be part of the
public record in keeping with open and accountable government.
4.1.2 Policies which do not meet the above-noted criteria would generally be
considered "administrative" in nature and would not require Council's approval to
be enacted but would be approved by the Corporate Leadership Team. Council
or the Chief Administrative Officer (CAO), however, may direct that a policy
falling outside of the above criteria be presented to Council for approval.
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4.2 Policy Development
4.2.1 General Considerations: When developing or reviewing policies and procedures,
consideration should be given to the following:
• whether the policy is "administrative" or "council" based on the criteria
presented herein;
• whether the document is a policy or a procedure;
• whether the policy/procedure is applicable to multiple departments/divisions;
• whether the proposed policy, or part of the policy, is duplicated in any other
policy existing in the City and whether the existing policy requires
modification;
• whether updates to related policies and procedures are required; and,
• the time frame to be established for the regular review of the policy after
adoption.
4.2.2 Consultation: Directors will ensure that prior to the drafting, submission, or
approval of new or amended policies and procedures, the policy author will
consult with all departments/divisions and other relevant stakeholders affected by
the policy or procedure in order to provide them with an opportunity to comment
and/or to provide the necessary technical advice and legal opinions. Policy
development and review shall:
a) Involve all parties who can contribute to or are affected by the proposed
policy.
b) Take into account the purpose of the consultation, such as:
• To provide a broader base for input;
• To clarify and promote a better understanding of the issues;
• To provide information and receive feedback;
• To identify alternative courses of action;
• To obtain expert/legal advice, where necessary;
• To build trust and mutual respect;
• To build positive relationships and consensus where possible; and,
• To develop ownership.
c) Use various consultation strategies for both internal and external
consultations in accordance with the City's community engagement toolkit as
appropriate.
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d) Ensure the draft policy and any other relevant information, as appropriate, is
provided to the consultation participants.
e) Inform the participants of the results of the consultation.
4.2.3 Titling/Organization of Policies: The policy author, in conjunction with any
affected departments/divisions, shall determine the specific title of the policy and
the section of the policy manual under which it should be located.
4.2.4 Writing Guidelines: Policies will be:
a) Clear and concise statements of expected behaviour, practices, or standards.
b) Written in a language that is easily understood by the intended audience,
avoiding jargon as much as possible.
c) Broad enough to allow flexibility in dealing with diverse situations at minimal
expense, while ensuring consistency across the organization.
d) Written to apply consistently throughout the City.
e) Written using the Policy Template as attached and include any related
policies and/or procedures.
4.2.5 Adoption: Policies shall come into full force and effect as follows:
a) Council policies —when approved by City Council.
b) Administrative policies —when approved by the Corporate Leadership Team.
4.3 Policy Review and Revision
4.3.1 Each policy should be reviewed every 3-5 years or in accordance with any
applicable legislation to ensure it continues to be relevant, current and supports
the achievement of desired objectives. Factors to take into consideration for the
timing of the review include:
• External drivers such as: legislation changes, court decisions, government
policies or strategies; and,
• Internal drivers such as: Council decisions, new strategies, identification of
issues by stakeholders or staff, new practices, new technologies.
4.3.2 Each policy and procedure must identify a review date to ensure its consistent
revision and to identify its currency.
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4.3.3 Where a review is undertaken and no changes were made, the policy author
department/division responsible for the review shall notify other affected
departments/divisions of the review and indicate on the policy the "Review Date"
and the fact "No Revisions" were made.
4.4 Policy Management and Organization
4.4.1 The Policy Manual will be available to Council and staff in electronic format only.
4.4.2 The City Clerk will ensure the electronic Policy Manual is updated as policies are
approved, amended and repealed.
4.4.3 Policies will be grouped in the Policy Manual according to categories and, in
some cases, according to sub-categories.
4.4.4 Categories or sub-categories will be added as necessary if such is deemed to
more easily enable access to the applicable policies.
4.5 Responsibility
4.5.1 The sole responsibility for adopting, revising or revoking all council policies for
the City of Kitchener shall be City Council.
4.5.2 The Corporate Leadership Team is responsible for adopting, revising or revoking
all administrative policies for the City of Kitchener as well as all
procedures/guidelines relating to any corporate policy.
4.5.3 The City Clerk will be responsible for ensuring all approved City policies and
related procedures/guidelines are posted in the electronic Policy Manual.
4.5.4 Legislated Services will be responsible for adding new categories or sub-
categories as requested by the Department/Division authoring the policy keeping
in mind enabling accessibility.
4.5.5 The responsibility for the initiation of a new or revised policy may occur through
any of the following:
a) A resolution of City Council.
b) An Advisory Committee or Local Board.
c) The Chief Administrative Officer, Deputy CAOs, or Directors.
4.5.6 The Chief Administrative Officer, Deputy CAOs, Directors and Managers will be
responsible for ensuring staff within their area of responsibility are provided
information related to all City policies as well as policy implementation.
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4.5.7 The Chief Administrative Officer and Deputy CAOs shall ensure that prior to the
drafting, submission or approval of new or amended policies and procedures,
that all departments/divisions affected by the policy or procedure shall be
circulated the proposed documentation for comment.
4.5.8 The Department/Division most responsible for the policy will be responsible for
formulating procedures/guidelines as appropriate, ensuring they initiate
consultations with relevant stakeholders, and if required, obtain the necessary
technical advice and legal opinion.
4.5.9 All staff will be responsible for ensuring their actions and behaviour are
consistent with all policies adopted.
4.5.10 In the case of a breach of a policy adopted by City Council, the Chief
Administrative Officer, Deputy CAOs, and Directors will be responsible for the
issuing of any disciplinary action, where appropriate.
4.6 Communication
4.6.1 Corporate policies and procedures shall be posted electronically on the City of
Kitchener intranet site in the Policy Manual once approved.
4.6.2 The policy author shall be responsible for any additional communication of
policies and related procedures/guidelines, if required.
4.6.3 Each director is encouraged to designate a staff member as the primary contact
for his/her division to coordinate all matters relating to that division's corporate
policies and related procedures/guidelines.
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5. POLICY TEMPLATE
To assist staff in writing policies, a new template has been developed with all the
necessary fields. The purpose of this template is to develop and maintain consistency in
how policies are presented, and to ensure each policy contains the necessary and
important elements.
Approval Date:
Iii°a`C1 U raga Effective Date:
If same as Approval Date indicate "Same".
Policy Number: Review by Date:
Choose 3 or 5 years from approval date or a date in
Policy Type: accordance with applicable legislation.
Policy Category: Review Date:
Indicate last date reviewed. If anew policy indicate
"New"
Policy Sub-Category:
Review Status:
Indicate No Revisions"OR`Amended"OR
"Repealed"OR`Repealed&Replaced"OR
Policy Title: "Replaces"as appropriate.
Replaced By:
If`Repealed&Replaced",indicate the Policy
Author: Number which has replaced it OR`None"
Insert DepartmenbDivision/Section as applicable
Replaces:
If this policy replaces another policy,indicate the
Policy Number which it replaces OR`None".
Related Policies/Procedures/Guidelines:
Provide links to the related document as appropriate
POLICY STATEMENT (Purpose/Objective):
DEFINITIONS: (As Applicable)
SCOPE:
POLICY CONTENT:
RESPONSIBILITIES:
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