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Staff Report
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Report To: General Government Committee
Date of Meeting: April 17, 2023
Submitted By: Rob Maciver, Deputy CAO/Solicitor
Reviewed By: Mary -Anne Dempster, CAO
Report Subject: Clarington Policy System
Recommendations:
Report Number: LGS-015-23
Resolution#: GG-087-23
1. That Report LGS-015-23, and any related delegations or communication items, be
received;
2. That the Policy System attached to Report LGS-015-23, as attachment 1, be
approved;
3. That the following policies or council directions be repealed;
a) Patron Code of Conduct, Approved in 2005"
b) Child Abuse Prevention Procedures Manual;
c) Community Event Sponsorship Program;
d) Jewellery Policy for Aquatic Facilities;
e) Refund Policy — Community Services Program;
f) Rental Fee for 132 Church Street;
g) Storage Policy;
h) B8 — Former Exceptional Compensation Policy;
i) C1 — Extended Health Benefits;
j) C7 — Unused Vacation Days;
k) D5 — Long Term Service;
1) Appointment to Veridian Board (Now Elexicon); and
Municipality of Clarington
Resort LGS-015-23
Page 2
4. That any interested parties listed in Report LGS-015-23, and any delegations, be
advised of Council's decision.
Municipality of Clarington
Report LGS-015-23
Report Overview
Page 3
Staff are proposing to implement a Policy System for the municipality. This new system aims
to define a Council Policy, Management Directive and Standard Operating Procedure, to
provide consistency across the municipality. Clarington already does this in an informal
manner and this Policy will formalize the process.
1. Background
1.1 Section 224 (b) and (d) of the Municipal Act, 2001, states:
"It is the role of Council,
(b) to develop and evaluate the policies and programs of the municipality;
(d) to ensure that administrative policies, practices and procedures and controllership
policies, practices and procedures are in place to implement the decisions of council."
1.2 A policy is a deliberate system of principles to guide decisions and achieve rational
outcomes and is a statement of intent. It ensures that Staff are accountable and
respond to matters in a timely manner.
1.3 The Municipality of Clarington does not currently have a document that describes the
different types of policies and how they are defined or handled. This policy aims to
rectify that, which will provide consistency across the municipality when staff are
preparing policies or procedures.
1.4 Clarington currently has a list of policies, some of which have been approved by
Council, some by staff and some are just a resolution of Council without an associated
policy document. This system will ensure that each are handled appropriately moving
forward.
2. Policy System
Council Policy
2.1 The new Policy System defines a Council Policy as a policy of the Municipality which
requires the approval of Council, for one or more of the following reasons:
• The subject matter / issue affects the members of Council in their role as elected
officials;
• The subject matter / issue has significant material financial implications;
Municipality of Clarington
Report LGS-015-23
Page 4
• There are significant aspects of Risk Management and / or public accountability;
• The subject matter relates to governance issues not specifically addressed
through the procedural by-law; or
• It is legislatively required.
Management Directive
2.2 A Management Directive is defined as a document that does not require the approval of
Council, usually covers multiple departments and that is issued by the CAO or
delegated individual. A management directive relates to the following:
• Defined authorities and accountabilities for staff;
• General operational guidelines which are deemed to be required to ensure a
consistent level of service and / or decision -making by staff within the context of
Council approved policies, budgets or defined services;
• General operational guidelines that set out a consistent set of rules for staff to
operate within to ensure consistent application for all staff; and / or
• Legislative policies mandated by another level of government where the program
has been approved by Council through the budget process or by way of an
agreement.
Standard Operating Procedure (SOP)
2.3 A SOP is defined as a document that requires the approval of the Director or Manager
of the relevant department / division and relates to the following:
Work instructions for staff to implement an approved program, service, Council
policy, legislative requirement, or management directive;
General operational procedures or guidelines which are deemed to be required to
ensure a consistent level of service and / or decision -making by staff within the
context of Council approved policies, budgets, or defined services.
Example
2.4 It should be noted that each document described above may inform each other or may
be a single document on a particular matter.
Municipality of Clarington Page 5
Report LGS-015-23
2.5 The annual budget process is a matter that could include all three levels of the new
Policy System. There is a Council Policy that outlines targets and processes for
transfers of certain funds. There may be a management directive from the Treasurer (or
CAO) that states that all departments must have their budget requests to the Financial
Services Department by a certain date. Then there may be a SOP that outlines the
step-by-step instruction for creating the annual budget, which may include the
applicable staff member that creates the new budget in the budget software and
specifically how to do that and instructions for other staff and how they will enter their
budget requests into the system. This is a very basic example, but it illustrates a matter
that may include all three parts of the new policy system. This is not to suggest that all
matters will require, or even need, all three parts. This will be determined on a case -be -
case basis.
Next Steps
2.6 A review of the current policies has begun. Those that are identified as no longer
applicable will be repealed. As policies and procedures are updated, they will be
transitioned into the new policy system.
3. Changes as a Result of New Policy System
Patron Code of Conduct
3.1 Clarington's Patron Code of Conduct was adopted arising out of Report CSD-08-05,
and is specific to persons attending community facilities or participating in recreation
programs. Staff recognize a need for a broader Public Code of Conduct, for all facilities.
Therefore, Staff recommend that Council rescind the Patron Code of Conduct, approved
in 2005 and Staff will create a Management Directive to create a Public Code of
Conduct.
Child Abuse Prevention Procedures Manual
3.2 This is covered by a departmental procedure and is therefore not required.
Community Event Sponsorship Program
3.3 This program was replaced by the Community Funding Program, as per CSD-009-20
(Resolution #C-436-20).
Jewellery Policy for Aquatic Facilities
3.4 This is not required as a Council Policy as it is covered by departmental best practices.
Municipality of Clarington
Report LGS-015-23
Refund Policy — Community Services Program
Page 6
3.5 Refund guidelines are covered by a departmental SOP, with cancellation fee charges
being part of the Fees by-law, therefore this policy is not required.
Rental Fee for 132 Church Street
3.6 This Council direction is not relevant because all space is allocated to community
organizations through lease agreements. Therefore, it can be repealed.
Storage Policy
3.7 A policy was never developed and is not currently needed.
B8 — Former Exceptional Compensation Policy
3.8 The information from this policy has been incorporated into Policy 131 — Compensation
and is therefore no longer required.
C1 — Extended Health Benefits
3.9 Under the new policy system, this document has been identified as a Management
Directive. Therefore, the Council Policy is recommended to be repealed and the
information will be re-established as a Management Directive.
C7 — Unused Vacation Days
3.10 The information within this policy is covered within Policy C5 — Vacation and is therefore
no longer required.
D5 — Long Term Service
3.11 Similar to Policy C1 above, this document has been identified as a Management
Directive, so the Council Policy is recommended to be repealed.
Appointment to Veridian Board (Now Elexicon)
3.12 This document is no longer applicable. As a result it is being recommended to be
repealed.
4. Financial Considerations
Not Applicable.
Municipality of Clarington
Report LGS-015-23
5. Concurrence
Page 7
This new Policy System has been reviewed by all the Directors who concur with the
new system.
6. Conclusion
It is respectfully recommended that Council adopt the new Policy System for the
Municipality of Clarington and repeal the policies that are no longer relevant or needed.
Staff Contact: John Paul Newman, Deputy Clerk, jnewman@clarington.net.
Attachments:
Attachment 1 — Policy System
Interested Parties:
There are no interested parties to be notified of Council's decision.
Attachment 1 to Report LGS-015-23
Council Policy Clar*wji
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Coordinator at 905-623-3379 ext. 2131
Number:
CP-001
Title:
Clarington Policy System
Type:
Administrative Activities
Sub -type:
Policy and Procedures
Owner:
Legislative Services Department,
Clerk's Division
Approved By:
Council
Approval Date:
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Effective Date:
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Revised Date:
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Applicable to:
Clarington Council and All Staff
1. Legislative or Administrative Authority:
This policy was developed in accordance with Section 224 (b) and (d) of the Municipal
Act, 2001, which states:
"It is the role of Council,
(b) to develop and evaluate the policies and programs of the municipality;
(d) to ensure that administrative policies, practices and procedures and
controllership policies, practices and procedures are in place to implement the
decisions of council"
2. Purpose:
To outline the requirements and differences of a Council Policy, Management Directive
and Standard Operating Procedure, which provide a framework for a consistent and
accountable approach to decision -making. Such formats also support a Risk
Management approach to decision -making while ensuring that decisions and actions of
staff are addressed in a timely manner.
Page 1 of 7
Attachment 1 to Report LGS-015-23
Council Policy Clar*wn
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Coordinator at 905-623-3379 ext. 2131
3. Scope:
This policy applies to all municipally developed policies, management directives and
standard operating procedures and is intended to be a minimum standard for the
Municipality.
4. Definitions:
4.1 Council Policy shall mean a policy of the Municipality which requires the
approval of Council, for one or more of the following reasons:
• The subject matter / issue affects the members of Council in their role as
elected officials;
• The subject matter / issue has significant material financial implications;
• There are significant aspects of Risk Management and / or public
accountability;
• The subject matter relates to governance issues not specifically
addressed through the procedural by-law; or
• It is legislatively required.
4.2 Management Directive shall mean a document that does not require the
approval of Council, usually covers multiple departments and that is issued
by the CAO or delegated individual. A management directive relates to the
following:
Defined authorities and accountabilities for staff;
General operational guidelines which are deemed to be required to
ensure a consistent level of service and / or decision -making by staff
within the context of Council approved policies, budgets or defined
services;
• General operational guidelines that set out a consistent set of rules for
staff to operate within to ensure consistent application for all staff; and /
or
Page 2 of 7
Attachment 1 to Report LGS-015-23
Council Policy Clar*wn
If this information is required in an alternate format, please contact the Accessibility
Coordinator at 905-623-3379 ext. 2131
• Legislative policies mandated by another level of government where the
program has been approved by Council through the budget process or by
way of an agreement.
4.3 Standard Operating Procedure (SOP) shall mean a document that requires
the approval of the Director or Manager of the relevant department/division
and relates to the following:
Work instructions for staff to implement an approved program, service,
Council policy, legislative requirement, or management directive;
General operational procedures or guidelines which are deemed to be
required to ensure a consistent level of service and / or decision -making
by staff within the context of Council approved policies, budgets, or
defined services.
5. Policy Requirements:
Council Policy
5.1. All Council Policies are established by a decision of Council through the
submission of a Report to Council.
5.2. Where there are significant modifications, or major rewrites, of Council
Policies, a further review is required with the key stakeholders and the senior
leadership team prior to submission to Council for approval. Minor editorial
revisions which do not change substantive content of the Council Policy, do
not require Council approval, and may be made at the discretion of the CAO.
An example where no approval is required would be if the only
change to the Council Policy is a position title change due to
organizational changes. In these cases, through the relevant
Director bringing the matter to their attention, the CAO has the
authority to make the revision to the Council Policy and advise the
applicable Staff, who will revise the Council Policy and re -circulate.
5.3. Approved Council Policies (new or revised) shall be posted to the employee
website and all Staff shall be notified. Any Staff without access to the
employee website shall be provided a copy.
Page 3 of 7
Attachment 1 to Report LGS-015-23
Council Policy Clar*wji
If this information is required in an alternate format, please contact the Accessibility
Coordinator at 905-623-3379 ext. 2131
5.4. All Council Policies shall be submitted for approval on the standard council
policy format.
5.5. The Council Policy should reference the legislation only and not include a
copy of the legislation, but hyperlinks to the legislation are permitted.
Management Directive
5.6. All management directives are established through standardized actions for
development, submission, approval, distribution, revision, implementation,
and archiving.
5.7. The CAO is responsible for final approval of all management directives
except where these have been delegated, or where legislative requirements
assign responsibility to a Director or Municipal Clerk or a specific titled
position.
5.8. Approved Management Directives shall be posted to the employee website
and all Staff shall be notified. Any affected Staff without access to the
employee website shall be provided a copy.
Standard Operating Procedures (SOPs)
5.9. All SOPs are established through standardized actions for development,
submission, approval, distribution, revision, implementation, and archiving
established by the Director or Manager.
5.10. Approved SOPs shall be circulated and available to all affected Staff.
6. Roles and Responsibilities:
6.1 Council is responsible for:
6.1.1 Final approval of all Council Policies for the Municipality of Clarington;
and
6.1.2 Complying with Clarington approved Council Policies.
Page 4 of 7
Attachment 1 to Report LGS-015-23
Council Policy Clar*wji
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Coordinator at 905-623-3379 ext. 2131
6.2 Chief Administrative Officer (CAO) is responsible for:
6.2.1 Final approval of all Management Directives, except where these
have been delegated, or where they can be defined as work
instructions, or where legislative requirements assign responsibility to
a Director or Municipal Clerk or a specific titled position;
6.2.2 Assigning and / or developing Council Policies and Management
Directives which cover more than one Department and / or have
corporate implications;
6.2.3 Re -confirming Council Policies and Management Directives at least
once during each term of Council; and
6.2.4 Delegating appropriate authority for approval of Management
Directives.
6.3 Directors / Managers are responsible for the following within their
scope of authority:
6.3.1 Ensuring their Departments and Divisions are in compliance with
Council Policies, Management Directives and SOPs;
6.3.2 Delegating appropriate authority for approval of Department SOPs;
6.3.3 Developing Council Policies, Management Directives and Department
sops-,
6.3.4 Ensuring that the creation and revision of Council Policies and
Management Directives is compliant with this policy;
6.3.5 Obtaining approval of Management Directives from the CAO prior to
implementation, except those where they may have legislative
responsibilities which supersede the CAO and / or as delegated by
the CAO;
6.3.6 Initiating and implementing new Council Policies and Management
Directives in a timely manner;
Page 5 of 7
Attachment 1 to Report LGS-015-23
Council Policy Clar*wji
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Coordinator at 905-623-3379 ext. 2131
6.3.7 Reviewing Council Policies, Management Directives and SOPs to
ensure information is current, timely and relevant.
6.3.8 Obtaining appropriate stakeholder input and sufficient consultation
when developing Council Policies or Management Directives;
6.3.9 Effective communication and training of staff who will be affected by
the new or revised Council Policies, Management Directives and
Department SOPs;
6.3.10 Recommending removal of obsolete Council Policies, Management
Directives and removing Department SOPs;
6.3.11 Retaining obsolete Department SOPs in accordance with the Records
Retention By-law; and
6.3.12 Checking applicable legislation and regulations to verify and reference
the most recent version.
6.4 All Staff members are responsible for:
6.4.1 Regularly reviewing Council Policies, Management Directives and
Department SOPs for their respective department or division;
6.4.2 Ensuring the use of the most current version of a Council Policy,
Management Directive or SOP;
6.4.3 Notifying the Director / Manager of obsolete Council Policies,
Management Directives and SOPs;
6.4.4 Reporting occurrences of non-compliance to practice standards to
their immediate supervisor; and
6.4.5 Complying with Clarington approved Council Policies, Management
Directives and SOPs.
7. Related Documents:
Not Applicable.
Page 6 of 7
Attachment 1 to Report LGS-015-23
Council Policy ClafiWOOJI
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Coordinator at 905-623-3379 ext. 2131
Inquiries:
Municipal Clerk
clerks clarington.net
8. Revision History:
Date Description of Changes Approved By
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