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HomeMy WebLinkAboutADM 010 Standards for City Policies and ProceduresCly.;f PICKERING Policy Procedure Title: Standards for City Policies and Procedures Policy Number ADM 010 Reference Municipal Act, 2001 Resolution # 216/09 Date Originated (m/d/y) May 5, 1998 Date Revised (m/d/y) May 2006 January 23, 2009 September 1, 2017 Pages 17 Approval: Chief Ad i trative lcer 61);2',/, , Point of Contact: Deputy Clerk Policy Objective The City of Pickering (the "City") is committed to the systematic preparation, approval, distribution and maintenance of comprehensive policies, procedures and standard operating procedures, capable of supporting the daily decision-making process in all areas of operation in a timely and consistent manner. A policy, procedure and standard operating procedure is an authorized written document specifying organizational goals and expectations that in a given set of conditions, guide and determine decisions. These decisions are to facilitate the achievement of organizational standards, support organizational relations, provide for organizational planning and enhance consistency of the decision making process in the interpretation and application of policies, procedures and standard operating procedures. Index 01 Definitions 02 Roles and Responsibilities 03 General 04 Guidelines for Preparing City Policies, Procedures and Standard Operating Procedures 05 Hierarchy of Policy, Procedure and Standard Operating Procedure Development 06 Policy and Procedure Numbering and Indexing 07 City Policy and Procedure Form Preparation 08 Standard Operating Procedure Form Preparation 09 Policy, Procedure and Standard Operating Procedure Approval Process 10 Policy and Procedure Ownership and Responsibility 01 Definitions 01.01 City Policy — A general statement of the City's intentions or objectives in various administrative matters that provides a consistent organizational approach in dealing with such matters. It is narrow enough to give clear guidance, but broad enough to provide for discretion. 01.02 City Procedure - Instruction to all City officials and employees on how to carry out the intent of the City. It states clearly and precisely what must be done, who is to do it, how it is to be done, and when it is to be done. A City Procedure is applicable for more than one Department. 01.03 Standard Operating Procedure - Detailed instructions authorized by a Director and normally compiled into a Procedure manual, directed to employees in the Department. It states clearly and precisely what must be done, who is to do it, how it is to be done, and when it is to be done (job specific). 01.04 Policy Coordinator - The individual designated as responsible for the function of coordinating, maintaining and distributing City policies, procedures and standard operating procedures. 01.05 Policy Coordinating Committee - The designated staff members responsible for ensuring policies, procedures and standard operating procedures are developed, reviewed, distributed and revised according to established approved standards. 01.06 Policy Owner - The Department responsible for origination and maintenance/revisions to the policy, procedure and standard operating procedure. 02 Roles and Responsibilities All Members of Council and City staff are required to actively support and adhere to City Policies and Procedures. 02.01 Council to: a) Approve City Policies as required. 02.02 Chief Administrative Officer (CAO) to: a) Identify, determine and prioritize policy, procedure and standard operating procedure requirements for the City; b) Recommend new policies and procedures to Council, or amendments to existing policies and procedures to Council for approval when required; Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 2 of 12 c) Review, amend or approve policies, procedures and standard operating procedures when required; and d) Determine requirements for policy and procedure orientation. 02.03 Director to: a) Direct and support the development/preparation of draft policies, procedures and standard operating procedures, when the need is recognized or when directed by the CAO; b) Ensure appropriate reviews are carried out when revising or drafting policies, procedures and standard operating procedures specifically with: All affected Departments; ii. City Solicitor (when appropriate); and iii. Policy Coordinator. c) Incorporate recommendations of other areas, if appropriate; d) Review final draft policies, procedures and standard operating procedures created by the Department or which affect the Department; e) Recommend approval of proposed policies, procedures and standard operating procedures to the CAO or Council; f) Present to the CAO Management Committee all policies and procedures relating to the Department if required; g) Initiate policy, procedure and standard operating procedure orientation as deemed necessary or when directed by the CAO; and h) Annually review policies, procedures and standard operating procedures for which their Department is responsible and prepare amendments when the need is recognized. 02.04 Policy Coordinator to: a) Recommend and prioritize the development of policies, procedures and standard operating procedures to meet City requirements; b) Ensure that all policies, procedures and standard operating procedures are kept current by assigning a policy, procedure and standard operating procedure `owner' to each document and following up with these individuals on a routine basis to ensure that documents are being updated; c) Ensure that established guidelines are monitored and updated to meet current City requirements; Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 3 of 12 d) Advise appropriate staff of new policies, procedures and standard operating procedures, after they have been adopted or amended; and Provide assistance or advice to Departments in the development, amendment or updating of policies, procedures and standard operating procedures. 02.05 Policy Coordinating Committee to: a) The Committee will consist of one representative from the offices of the CAO, City Clerk, City Solicitor, Human Resources and one other Department; b) The Committee will meet on an as required basis to coordinate the development and maintenance to ensure format compliance of all policies, procedures and standard operating procedures; and c) The Committee will report to the CAO through its Chairperson, the Policy Coordinator. 02.06 User Department to: a) Ensure procedures and standard operating procedures are created for all job functions as required; and b) Ensure all policies, procedures and standard operating procedures are reviewed annually to keep current with job functions. 03 General 03.01 Policies, procedures and standard operating procedures shall be researched and drafted by the Department that will be responsible for the administration and interpretation of the policy, procedure or standard operating procedure. In some instances, cross -Departmental committees may be established for policies and procedures. 03.02 A policy, procedure or standard operating procedure should receive management input from all involved employee groups prior to approval. 03.03 It is the responsibility of the City Clerk to forward approved policies and procedures to the Policy Coordinator for word processing and distribution. 03.04 All staff should refer to policy, procedure and standard operating procedures for guidance in handling a variety of matters. Only when clear directionsdo not exist, should Departments seek guidance elsewhere. 03.05 All Directors and Division Heads are responsible for monitoring adherence to policies, procedures and standard operating procedures and should remedy any deviations or difficulties as they occur. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 4 of 12 03.06 Policies, procedures and standard operating procedures are set as follows: a) Council will approve broad legislated policies; b) The CAO will approve policies and procedures pursuant to the CAO's By- law and the limits of authority of his/her Office; c) Procedures in support of policies and procedures may be prepared by Departments, Task Forces and Committees for review and approval; and d) Standard operating procedures are written specifically by individual Departments for that particular Department and job function or task and are approved by the Director and CAO. 03.07 The following is a breakdown of the various sections of the policy, procedure and standard operating procedure manuals and what they contain: a) Administrative (ADM) — Records associated with subjects that reflect general office functions, Council and Legislative Services, including but not limited to, records management, reproduction services, mail services, telecommunications, computer systems, Customer Care, composition of Council, standing committees and boards. b) Culture & Recreation (CUL) — Records associated with all matters relating to recreation and culture services including facilities, special events, recreational programs, cultural opportunities and the Pickering Museum Village. c) Development (DEV) — Records associated with the planning and development of the Municipality and the building permit functions that accompany it. d) Financial (FIN) — Records associated with administration and management of municipal funds, expenditures and resources, including but not limited to, user fees, accounts payable, accounts receivable, assessment, taxation, payroll, insurance, and purchasing. e) Human Resources (HUR) - Records associated with hiring, discipline, discharge, wages, salary administration, job evaluation, performance evaluation, benefits, safety, conditions of employment, training and development and other related topics. f) Law (LEG) — Records associated with legal matters, including regulatory and legislative matters pertaining to the formulation and administration of by-laws, agreements, contracts and the administration of permits, licensing and by-law enforcement. g) Purchasing (PUR) — Records associated with any purchasing of goods and services on behalf of the City. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 5 of 12 h) Operations (OPE) — Records associated with the planning, design, development, engineering, construction and maintenance of local infrastructure, including streets, roads, water service, sewers, solid waste removal, environmental management, City owned facilities, parks, open spaces, and Emergency Services. 03.08 City procedures and standard operating procedures are an extension of City policies and are prepared if further detail is required. 03.09 No policy, procedure or standard operating procedure drafts, except those initiated by Council will be prepared without approval in principle from a Director or the CAO. 03.10 City policies, procedures and standard operating procedures, should be written using basic writing styles and standard forms. 04 Guidelines for Preparing City Policies, Procedures and Standard Operating Procedures (see Corporate Writing Guide) 04.01 Organization - Arrange details of the policy, procedure or standard operating procedure in a logical sequence that the reader will find clear and understandable the first time he/she reads it: a) Group the information into subjects; b) Use bold headings where appropriate; c) Use numbers and letters to itemize steps or show a progression; d) Avoid repeating the same information; and e) Use standard format at all times. 04.02 Simple Language and Sentences - Simplicity is the foundation of good policy, procedure and standard operating procedure writing. Always present information in the clearest possible way. Rather than using extensive vocabulary, creativity or originality, stress clarity, consistency and simplicity. 04.03 Brevity - Generally, shorter is better. Shorter sentences are often easier to read and are usually received more favourably by the reader. 04.04 Positive and Direct Form - Give instructions to the reader. Avoid vague, non- committal language. Choose precise words which exactly suit the purpose. 04.05 Readability - Test the finished product for flow and clarity by reading it aloud. If you have to backtrack to understand the statements or if the sentences or ideas do not flow smoothly, a rewrite is needed. If the writer has problems reading aloud, another person reading it for the first time will have difficulty both in reading and in comprehending. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 6 of 12 04.06 Format - Provide standard page headings and indexing in the same location on all forms. Use the same clear, easy -to -read font (Arial) for all material. Be consistent in margins, heading spacing, paragraph spacing, etc. 04.07 Punctuation/Spelling - Use of correct punctuation and spelling improves the appearance of the document and ensures clear communication. 04.08 Appendices - Appendices should be used to include samples of forms, exhibits, etc., referred to in the policy, procedure or standard operating procedure. 04.09 Forms - Any special forms to be used should be noted in the text with samples and instructions on how to complete them, including required signing authorities. 04.10 Timelines - Time limits, dates, specifications, measures, etc., should be spelled out in the procedures and should designate who is responsible for carrying them out, leaving no doubt whether more than one (1) Department or function could be involved at different stages. 05 Hierarchy of Policy, Procedure, and Standard Operating Procedure Development 05.01 Policies, procedures and standard operating procedures are developed according to an established framework or hierarchy that includes three (3) levels. a) Level One (1) — City Policies - This level contains all of the formal, Council approved policies that exist for the City. b) Level Two (2) - City Procedures - This level exists to provide additional detail, supporting procedures and documentation to policies developed and contained in Level One (1). Procedures are cross-referenced to the originating policy. c) Level Three (3) — Standard Operating Procedures — Standard Operating Procedures apply only in the Department in which they are developed (specific job function detail) and distribution is normally restricted to the specific Department involved (the Policy Coordinator also maintains a copy). 06 Policy and Procedure Numbering and Indexing 06.01 Numbering and indexing is a very important dimension of policies and procedures because it facilitates cross-referencing from policy to procedure. 06.02 The numbering and indexing of procedures is broken down into three (3) components: a) Classification — A three (3) character identifier that relates to a major business function of the City is assigned to policies (i.e. ADM, LEG, HUR, etc.). Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 7 of 12 b) Category — A three (3) digit number which represents the numeric block of the policy (i.e. 010, 020, 030, etc.). c) Sub Category — A two (2) digit number assigned to a City procedure to further breakdown the procedure in order to reference and index the number of procedures that relate to the main policy (i.e. 001, 002, 003, etc.). 06.03 The following is an example of how the main index should look: Protocol Policy — ADM 110 - Flag Raising Procedure — ADM 110-001. 07 City Policy and Procedure Form Preparation 07.01 Policy or Procedure Title - This is the name of the policy or procedure and will identify the document for indexing. It should be simple and should express the way the policy or procedure will be referred to or asked for in the future. 07.02 Policy or Procedure Number — The number of a new policy or procedure will be determined and assigned by the Policy Coordinator subsequent to it being approved. The numbering criteria will be as follows: a) Policies — will consist of Classification alpha letters (ADM) and Category numeric numbers (010) (i.e. Protocol Policy — ADM 110); and b) Procedures — will always be cross-referenced with a policy so the number would be the six (6) alpha/numeric policy numbers, plus the number that relates to how many procedures have been cross- referenced to this policy. Each number is assigned in sequence order (i.e. Flag Raising Protocol Procedure — ADM 110-001, Proclamation Procedure — ADM 110-002, etc.). 07.03 Reference - If the policy or procedure relates to an Act, By -Law, Resolution or motion, etc., reference is made to it. If a policy or procedure replaces a previous or cancelled policy or procedure, a reference is also made (i.e. Resolution # 120/06, By-law # 6232/06 or Municipal Act, etc.). 07.04 `Date Originated - This is the date that the policy or procedure is approved and will be provided by the City Clerk or the CAO. 07.05 Date Revised - This is the date the policy or procedure was revised by Council or the CAO and will be provided by the City Clerk or the CAO as appropriate. All revision dates should be listed in this box. 07.06 Approval — The CAO will sign all policies, procedures and standard operating procedures as the final approval. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 8 of 12 07.07 Point of Contact — The point of contact box is only found on policy and procedure forms. The Point of Contact is the "owner", and is provided if the reader requires further clarification on the policy or procedure. 07.08 Policy and Procedure Objective - This provides a brief explanation of why the policy or procedure is necessary and what it is intended to do. 07.09 Index — This provides a list of all subjects in the document. 07.10 Definitions — Any definition that is required to clarify the contents of the policy or procedure is listed in alphabetical order. 07.11 Responsibilities - This section will contain the detailed breakdown of responsibilities for all aspects of the policy or procedure. The responsibilities will be defined in order of organizational hierarchy in a top-down fashion. 07.12 Procedures - This section will contain specific procedure guidelines for the policy or procedure in general (i.e. how and what is to be done, who performs the actions in logical order, and provide either a broad description of the sequence and/or a flow chart of actions which must take place). 07.13 Appendix — Used for forms, samples, templates, flowcharts, checklists, etc. Presented in the same order as introduced in the body of the document (numbered 1, 2, and 3). 07.14 Page Numbering - Pages are numbered for ease of reference and placed at the bottom of the page and includes the Policy or Procedure name and number. 08 Standard Operating Procedure Form Preparation 08.01 Standard Operating Procedure Title — Contains the name of the standard operating procedure. The title should be simple and should express the way the document will be referred to or asked for in the future. All standard operating procedures should be filed in alphabetical order by title, in the applicable Department. 08.02 Department/Division — Applicable Department/Division (i.e. Corporate Services Department, Legislative Services Division). 08.03 Section — Applicable Section within the Department Division (i.e. By-law Enforcement Services Section). 08.04 Date Originated — The date the standard operating procedure was approved. 08.05 Approval — Standard operating procedures must be approved by the Director, the Division Head and final approval by the CAO. 08.06 Date Revised — When a revision is made to a standard operating procedure the revision date is listed in this box with all previous revision dates listed in date order. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 9 of 12 08.07 Reference — Applicable resolution number, by-law number, governing corporate policy or procedure. 08.08 Overview — This unnumbered section provides a brief summary of the document. 08.09 Required Competencies — This unnumbered section sets out the areas of competency required to perform the described procedure or task. It includes training, licensing, certification and/or trade/ professional requirements (i.e. Registration as a Professional Engineer). Each competency is listed in a bulleted list. 08.10 Definitions — Any definition required to clarify the contents of the standard operating procedure are listed in alphabetical order. 08.11 Procedures — This section sets out a detailed step-by-step description of a task or activity and indicates the position that is responsible for each step (i.e. instructions for task preparation, set up, execution, timelines, completion, clean up, etc.). 08.12 Appendix (unnumbered section) — Used for forms, samples, templates, flowcharts, checklists, etc. and are presented in the same order as introduced to in the body of the document. 08.13 Pages — Pages are numbered for ease of referencing and are located at the bottom of the page and includes the standard operating procedure title. 09 Policy, Procedure, and Standard Operating Procedure Approval Process 09.01 Policy, procedure and standard operating procedure drafts are often developed by individual Departments who are responsible for the actual "policing" of the policy, procedure and standard operating procedure and will be reviewed by affected areas prior to approval and implementation. 09.02 There may be times when it is necessary to have the City Solicitor review a document (where legal or human rights implications are involved). This procedure will be coordinated by the Policy Coordinator or CAO as required. 09.03 If required, the policy developer will attend a CAO Management Committee meeting and present their draft for their review. Once all changes have been submitted to the policy developer from the CAO Management Committee, the policy developer will incorporate the changes into the document and will then forward the final copy to the Policy Coordinator. 09.04 Once the policy or procedure has been developed and reviewed by all affected areas, it is then forwarded to the Policy Coordinator for review by the Policy Coordinating Committee. The Committee reviews for consistency, format and organization of contents. If the document requires any revisions, the document is returned to the originator for correction or change. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 10 of 12 09.05 The Policy Coordinator determines the classification of the document (i.e. ADM, DEV, etc.) and assigns a number to the document. 09.06 If the document requires Council approval, the Policy Coordinator will return the document to the developing Department to prepare a Report to Council. 09.07 Once finalized, the Policy Coordinator prepares and sends a covering memorandum advising whether the Policy/Procedure is revised or new, to the CAO for final approval. 09.08 The CAO approves the document and directs staff on whether the policy or procedure requires staff orientation through the Policy Coordinator. 09.09 If no action is required on the approved document, the Policy Coordinator registers the document in the Central Registry for policies and procedures and the approved copy is ready for circulation. 09.10 The Policy Coordinator provides an electronic copy (via email) of the new document to all staff and places the new document on the Intranet and Internet via the Laserfiche system. 09.11 The Policy Coordinator will create a historical file ("Master Copy") if one does not already exist and place the original document and any amendments to the document in it. These files are indexed by the assigned policy or procedure number. 09.12 Historical files are not created for Standard Operating Procedures. 10 Policy and Procedure Ownership and Responsibility 10.01 The value of the policy, procedure and standard operating procedure manuals can only be determined by their usage. Information must always remain current in order to be useful. 10.02 To ensure that information is kept current, each policy, procedure and standard operating procedure is assigned an owner Department. 10.03 It is the role of Directors to review the policies, procedures and standard operating procedures assigned to them on an annual basis and provide updates to the Policy Coordinator when required. 10.04 Routine updating that is not significant (i.e. not affecting meaning or intent) in impact does not require that the document go through the amendment process for approval (i.e. Department name changes, position title changes, etc.). 10.05 If the revisions are significant in impact (i.e. affecting meaning or intent), the revised document must go through the approval process again. 10.06 Owner Departments are responsible for arranging orientation processes with the Human Resources Division if deemed necessary by. the CAO. Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 11 of 12 Please refer to all associated Procedures and Standard Operating Procedures, if applicable, for detailed processes regarding this Policy. Appendices Appendix 1 Policy/Procedure Update Form Appendix 2 City Policy Template Appendix 3 City Procedure Template Appendix 4 Standard Operating Procedure Template Appendix 5 City Policy and Procedure Approval Process Chart Policy Title: Standards for City Policies and Procedures Policy Number: ADM 010 Page 12 of 12 6466? DICKERING Policy/Procedure Update Date Policy/Procedure Title: Policy/Procedure #: Date Originated: Status ❑ New ❑ Revised Date Revised: Date Revised: Date Revised: Date Revised: Date Revised: Highlights/Summary Policy Coordinator: Date Posted: Alternate formats available upon request at 905.683.7575. CSV 1503-03/10 Revised 16/08/16 Posting Removal Date:. DICKERING Policy Procedure Title: "(Click here, type Title Upper and Lower Case]" Policy Number X Reference "Click and type reference" Date Originated (mIdly) "Click and type date" Date Revised (m/d/y) "Click and type date" Pages X Approval: Chief Administrative Officer Point of Contact "Click and type contact's title" Policy Objective Click to type policy objective Index 01 Definitions 02 Procedures 03 Click to type item 3; press enter for more numbered items 01 Definitions 01.01 Click and type word(s) being defined - Click and type definition 02 Procedures 02.01 Click to type procedures, press enter for more numbered items 03 "Click to type next section name" 03.01 Click to type first item, press enter for more numbered items Please refer to all associated Procedures and Standard Operating Procedures, if applicable, for detailed processes regarding this Policy. Appendices Appendix 1 Click and type Appendix Title; press enter for next item DICKERING Procedure Procedure Title: "[Click here, type Title Upper and Lower Case]" Procedure Number X Reference "Click and type reference" Date Originated (m/d/y) "Click and type date" Date Revised (m/d/y) "Click and type date" Pages X Approval: Chief Administrative Officer Point of Contact "Click and type contact's title" Procedure Objective 2.25 logo and 24 Arial Index 01 Definitions 02 Procedures 03 Click to type item 3, then press enter for more numbered items. If there are no additional items, delete this list item. 01 Definitions 01.01 Click and type word(s) being defined - Click and type definition, then press enter for next item. 02 Procedures 02.01 Click to type procedures, then press enter for more numbered items. Appendices Appendix 1 Click to type Appendix Title, then press enter for more. CC' 602 DICKERING Standard Operating Procedure Procedure: "[Click here to type Title using Upper and Lower Case]" Department/Division "Click here to add text" Section "Click here to add text" Date Originated (m/d/y) "Click here to type date" Approval Approval Date Revised (m/d/y) "Click here to type date" Reference "Click here to include reference" Pages: Chief Administrative Officer Approval Index Section/. . Section/Subsection Title Subsection Overview Required Competencies 01 Definitions 02 Procedures Appendix 1 Click and type Appendix Title Overview Click and type overview Required Competencies Click and type required competencies 01 Definitions 01.01 Click and type word(s) being defined - Click and type definition 02 Procedures 02.01 Click to type procedures, then press enter for more numbered items Appendices The following form(s)/document(s) have been developed to support the various processes outlined in this Procedure: Appendix 1 Click and type Appendix Title; press enter for next item SOP Title: "click to type SOP Title" Page 2 of 2 City Policy and City Procedure Approval Process Step 1 Identify need for policy or procedure. Step 2 Present need to Chief Administrative Officer (CAO). Step 3 Initiating dept. drafts policy or procedure, and advises the Policy Coordinator of upcoming policy or procedure. Step 4 Initiating dept. convenes with "client review" for input. Step 5 Author considers client review input and revises policy and procedure as seen fit. Step 6 Draft sent to Policy Coordinator. Step 7 Policy Coordinator distributes draft to Policy Coordinating Committee for review. Step 8 Policy Coordinating Committee meets to discuss policy or procedure and identifies any necessary amendments. Step 9 Policy Coordinator meets with author to discuss any necessary amendments. CAO does not agree that policy or procedure is required. Appendix 5 End Step 10 Author revises draft as required and prepares Report to Council if document is a Policy. Step 11 Policy goes to Council for approval. Step 12 Policy Coordinator sends final copy to CAO for signature. Step 13 Policy Coordinator electronically distributes revised or new Policy/Procedure. End