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HomeMy WebLinkAboutCorporate Policy Development, Review and Management - GOV-COR-2041POLICY GOV-COR-2041 CORPORATE POLICY DEVELOPMENT, REVIEW AND MANAGEMENT Category GOV - Governance Sub-category COR - Corporate Approval Type COUNCIL Department/Division Legislated Services Author and Position Director of Legislated Services/City Clerk Date Approved November 2, 2015 Last Reviewed/Amended November 18, 2024 Next Review Date June 1, 2027 Related Policies or Procedures • Municipal Act, 2001 Policy 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". Definitions "Administrative Policy" is a rule that directs staff in making consistent decisions and explains the expected outcome. These policies are approved by the Corporate Leadership Team (CLT). "Chief Administrative Officer (CAO)" means the Chief Administrative Officer appointed by Kitchener City Council, or their designate. "City Clerk" means the Clerk appointed by the City of Kitchener, or their designate. “Corporate Leadership Team (CLT)” means all General Managers at the City. Administrative policies must be presented to and approved by this body at one of the regularly scheduled meetings. "Council Policy" is a guiding principle that sets direction for administrative staff and establishes oversight control. “Department Head” means the General Manager of a department appointed by the City of Kitchener, or their designate. “Housekeeping Edits” means minor edits required to be made to the policy with approval at the Director level. These edits do not substantially change the content or context of the policy and are made to ensure accuracy and relevance of information in the policy. "Mayor" means the duly elected Mayor of the City of Kitchener, or the Acting Mayor, as approved by by-law, in their absence. “No Edits Required” means a state determined by the approving Director and indicated that no changes are required, and therefore the policy is relevant and valid as is, the review dates can be updated accordingly.  "Policy Manual" means the organized electronic compilation of all administrative and council policies. Access to policy tracking lists containing identification information of all corporate policies in a list form, assigned to staff or departments identified as responsible for review and edits.  "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. “Substantial Edits” means a state where there are edits required that change the information in the policy. These edits require Council or CLT approval.  “Repeal/Replace” means when a policy is deemed irrelevant, or inapplicable, with Council or CLT approval can be removed and deemed no longer in use.  Policy Scope All City of Kitchener corporate policies and their related procedures are impacted by contents and guidelines outlined in this policy. All policy writing and collaborating staff must ensure compliance with the guidelines. Application ☐ Employees (Indicate below which categories apply: All employees, Permanent full-time, Temporary full-time, Continuous part- time, Casual, Probationary, Student, Management, Non-union) • Click or tap here to enter text. ☐ Unions (Indicate below which categories apply: All Unions, CUPE 68 Civic, CUPE 68 Mechanics, CUPE 791, IATSE, IBEW, KPFFA) • Click or tap here to enter text. ☐ Council ☐ Specified Positions: Click or tap here to enter text. ☐ Other: Local Boards and Advisory Committees Policy Content 1. Criteria to Determine if Council or Administrative All corporate policies must be classified under one of two categories - Council or Administrative. Most policies are approved by Council, and therefore, any housekeeping, substantial or repeal/replace edits must follow the Council approval procedure by way of report.   1.1 If any policies fall within any of the following criteria, Council approval is required: 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 the municipality (Council); 3) Policies ensuring the financial integrity of the Corporation; 4) Policies providing compensation/benefits or reimbursement of expenses to employees, elected officials, and 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. 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. The Chief Administrative Officer (CAO), however, may direct that a policy falling outside of the above criteria be presented to Council for approval. 2. Policy Development 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 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. 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. 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. 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. These can be determined by selecting the appropriate category and sub-category from the available drop-down menu on the policy template. 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. 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. 3. Policy Review and Revision 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. 3.2 Each policy and procedure must identify a review date to ensure its consistent revision and to identify its currency. 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 "Last Amended/Reviewed Date" and update the "New Review Date” accordingly with the new information, while updating the “Results of the Review” with “No Edits Required". The new version of the policy should then be uploaded to SharePoint in place of the old policy, where it can be accessed by the City Clerk’s office to finalize the review and publishing process. 3.4 Where a review is conducted and minor housekeeping edits are required to change position titles, departmental/divisional titles and/or inclusive language, the City Clerk shall be authorized to make such edits provided they do not amend the overall purpose or function of the policy. 4. Policy Management and Organization 4.1 The Policy Manual will be available to Council and staff in electronic format only. 4.2 The City Clerk will ensure the electronic Policy Manual is updated as policies are approved, amended and repealed. 4.3 Policies will be grouped in the Policy Manual according to categories and, in some cases, according to sub-categories. 4.4 Categories or sub-categories will be added as necessary if such is deemed to more easily enable access to the applicable policies. 5. Responsibility 5.1 The sole responsibility for adopting, revising or revoking all council policies for the City of Kitchener shall be City Council. 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. 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. 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. 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, General Managers, or Directors. 5.6 The Chief Administrative Officer, General Managers, 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. 5.7 The Chief Administrative Officer and General Managers 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. 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. 5.9 All staff will be responsible for ensuring their actions and behaviour are consistent with all policies adopted. 5.10 In the case of a breach of a policy adopted by City Council, the Chief Administrative Officer, General Managers, and Directors will be responsible for the issuing of any disciplinary action, where appropriate. 6. Communication 6.1 Corporate policies and procedures shall be posted electronically on the City of Kitchener intranet site in the Policy Manual once approved. 6.2 The policy author shall be responsible for any additional communication of policies and related procedures/guidelines, if required. 6.3 Each director is encouraged to designate a staff member as the primary contact for their division to coordinate all matters relating to that division's corporate policies and related procedures/guidelines. Policy Template 1. To assist staff in writing policies, a template has been developed with all the necessary fields, see Attachment A. 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. 2. To further assist staff when developing policies, a Master Policy Checklist has been developed to guide policy review, see Attachment B. Results of Review ☐ No Edits Required ☐ Housekeeping Edits ☐ Substantial Edits ☐ Repeal/Replace Policy History Administrative and Housekeeping Changes Date Nature of Change yyyy-mm-dd Departmental re-organization/Titling changes/ Standing Committee restructuring. Substantial Changes Date Council/CLT Directive 2024-11-18 As Per Council/CLT Directive - Report COR-2024-018 Attachment A Proposed New Policy Template POLICY CAT-SUB-#### [Policy Title] Category Choose an item. Sub-category Choose an item. Approval Type Choose an item. Department/Division Click here to enter text. Author and Position Click here to enter text. Date Approved Click here to enter a date. Last Reviewed/Amended Click here to enter a date. Next Review Date Click here to enter a date. Related Policies or Procedures • [Title with embedded link] Policy Purpose Concise, easy-to-understand statement, which explains the objective or philosophy underpinning the policy. [Start typing here] Definitions Concise, easy-to-understand statement, which explains the objective or philosophy underpinning the policy. [Start typing here] Policy Scope Statement as to whom the policy applies, as well as exceptions and the ramifications of non-compliance, if any and deemed appropriate to include. Application ☐ Employees Choose an item. ☐ Unions Choose an item. ☐ Council ☐ Specified Positions ☐ Other Choose an item. Policy Content Policy details, including specific roles and responsibilities relating to the policy. [Start typing here] Results of Review ☐ No Edits Required ☐ Housekeeping Edits ☐ Substantial Edits ☐ Repeal/Replace Policy History Administrative and Housekeeping Changes Date Nature of Change yyyy-mm-dd Departmental re-organization/Titling changes/ Standing Committee restructuring. Substantial Changes Date Council/CLT Directive yyyy-mm-dd As Per Council/CLT Directive - Report # Attachment B Master Policy Checklist Council Approval Required ☐ Policies affecting citizens such as policies that: ☐ Handle how to spend government revenue (e.g., policies that provide funding or no-charge services to members of the public); ☐ Initiate a new program and establish standards for the delivery of services to the public; ☐ Establish fees, charges or payment terms for services and programs; ☐ Permit the use of City assets for the benefit of a third party for either a charge-back or on a no-charge basis; ☐ Deal with sensitive or controversial issues within all or a part of the community, or require a judgement on "community values". ☐ Policies specifically required by legislation to be adopted by Council. ☐ Policies ensuring the financial integrity of the Corporation. ☐ Policies governing the actions of or dealing with the conduct of City employees, elected officials, and citizen members of committees. ☐ Policies requiring Council's decision on a matter that needs to be part of the public record in keeping with open and accountable government. Administration Approval ☐ Does not meet any of the listed criteria above for Council approval. ☐ Administrative in nature. ☐ Require the need to inform, consult with, collaborate with, or require a decision from administration. Director Approval ☐ Minor changes required to an existing policy which include: ☐ Updating names or titles; ☐ Removing irrelevant information; ☐ Updating terminology used in policy to conform with the City. ☐ Updating, adding, or removing definitions. ☐ Updating linked procedures relevant to the policy. ☐ Updating review dates. ☐ Confirming “No Edits Required” to a policy and assigning the next review date.