1.1.4 Policy Development and Administration Protocols Protocols and... · Policy 1.1.4 - Protocols Policy Submission Requirements When Submitting a new policy, a policy for revision,

1.1.4 Policy Development and Administration – Protocols

Refer to 1.1.4 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)

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)

1. ____________________________________ 2. ____________________________________ 3. ____________________________________

Related Policies:

1. ____________________________________ 2. ____________________________________ 3. ____________________________________

Stakeholders for Consultation:

1. ____________________________________ 2. ____________________________________ 3. ____________________________________

Rationale for Development of Policy:

_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Risks if we DO NOT have this policy in place:

_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Approval Granted: ☐ Yes ☐ No Signature of Approver:

Policy 1.1.4 - Protocols

Policy Development and Approval

Process Flow

# Task Assignment /Responsibility

Checklist

1. Policy for development, revision or rescinding

Author

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

Author

13. EdCo Chair advises and invites author when the policy is confirmed for the EdCo agenda

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 #11

Author

16. If EdCo is final approval go to step #22 If EdCo is NOT final approver then it must then go to the Board

Author


17. If going to the Board - Author submits DRAFT policy in prescribed format to EA to the Board (included in Protocols document)

Author

18. EA to the Board submits the policy to the Chair of the Executive and Governance committee

EA to Board

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 #17.

Exec & Gov

20. 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)

EA to Board

21. Author submits final copy to EA to VP Academic in required format (included in Protocols document)

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.


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)

1

Authored by: Approved by: Current issue date: Scheduled Revision date:

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)

2


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 A. 1. 1 SUB-SUBHEADING [optional] | OR | A. 1. 1 Subheading [without heading]

Text 1) Sub Hierarchical Bullet | OR |

Non-Hierarchical Bullet

RESPONSIBILITY [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]

3


[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]

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APPENDICES Appendix A: TITLE

1. 2. 3. 4.

Policy 1.1.4 – Protocols - Template

Board Briefing Note

Date: Prepared by: Program Name or Topic: Background: Action Required:

Policy Development and Approval – Process Flow

Au

tho

rEA

to

VP

AR

CP

CEd

Co

Bo

ard

of

Go

ven

ors

EA t

o B

oar

d

Phase

Develop rationale for

development, revision or

rescinding of policy

Submit rationale to PC member for approval to

proceed

If Approved

Develop draft policy

If NOT approved

If approved recommendation will

be made to the full Board

Identify stakeholders

and solicit feedback

Submit draft policy to EA to

VPAR for inclusion on CPC

agenda

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

CPC reviews policy for

approval or changes

EdCo Chair advises and

invites author when the policy is confirmed for

the EdCo agenda

Submit to EdCo through the EdCo Chair

If APPROVED

Make required changes

EA to VPAR finalizes

document and posts to

SharePoint

Author submits final copy to EA to VPAR in required

format

EdCo will meet to approve or NOT approve

If the policy was APPROVED

If the policy was NOT approved

If CPC is NOT final approver

If CPC IS final approver

If not approved changes will need to

be made and resubmitted

If EdCo is NOT the final approver

If EdCo is the Final Approver

EA to VPAR updates Policy

Tracking spreadsheet

EA to VPAR flags policy for 5 year

review

Author submits DRAFT policy in

prescribed format to EA to the Board

EA to the Board submits the policy to the Chair of the

Executive and Governance committee

Board Approval

Executive and Governance will meet to review

the policy

EA to the Board will advise the

author and other affected parties of the

approval

Recommendation from Exec & Gov

for Board approval

EA to Board will add to agenda for next Board

Meeting

Make required changes

Policy 1.1.4 – 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:

______________________________________________________________________________________________________________________________

Policy 1.1.4 – 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:

______________________________________________________________________________________________________________________________