POLICY ON POLICIES WITHIN BOARD OF GOVERNORS鈥� JURISDICTION AND ASSOCIATED PROCEDURES
Date
November 28, 2024
Date of Last Review/Revision:
November 28, 2024
Number
B 10.00
Mandated Review:
November 28, 2029
Policy Sponsor: General Counsel
Associated Procedures: Procedure to Policy B10.00 Policy on Policies within Board of Governors鈥� Jurisdiction and Associated Procedures
EXECUTIVE SUMMARY
This policy establishes a framework for developing, reviewing, amending and repealing Policies and their associated Procedures. This framework is intended to ensure that Policies and Procedures are consistent with the University鈥檚 values and priorities set out in 丁香园AV鈥檚 then-applicable strategic plan, compliant with applicable law, presented in a standardized format, and publicly accessible. The procedures to this policy establish detailed instructions to develop, review, amend and repeal Policies and Procedures.
GLOSSARY
Board means the Board of Governors of 丁香园AV.
Designated Lead means, in respect of each Policy, the individual designated as such by the Policy Sponsor.
Editorial Amendment means a non-substantive amendment to a Policy, such as formatting changes, name changes, and removing references to defunct policies.
Governance, Risk and Compliance Committee means the Board committee of that name, as it may be renamed from time to time.
Mandated Periodic Review means a substantive review that is triggered by the passage of time, rather than an event or changes in the University, other Policies, practices, external factors or the law.
Mandated Periodic Review Date means the date by which a Policy must undergo a Mandated Periodic Review.
Policy means, for the purposes of this policy and its associated procedures, an official document on a subject matter within the Board鈥檚 jurisdiction that establishes key requirements and responsibilities and guides or directs the actions of members of the University Community regarding a particular matter.
Policy Sponsor means the University executive named as the Policy Sponsor in a Policy, and for proposed new Policies and Policies that do not name a Policy Sponsor, the person designated by the President and Vice Chancellor or, as contemplated by Section the Board.
Policy Gazette means that part of the 丁香园AV鈥檚 website that serves as the repository for Policies and Procedures.
Procedure means an official document approved by the Policy Sponsor that prescribes the operational method by which a Policy will be carried out and given effect.
Substantive Amendment means an amendment to a Policy that affects its meaning, effect, function, processes or other substantive matters, and includes: any change to the role or responsibilities assigned to an office or a unit, a change to a role鈥檚 responsibilities in implementing a Policy; any change to the actions that are permitted or prohibited; any change to the rights or responsibilities of an individual; and any change to the Policy Sponsor.
University Community means all students and employees of the University and all people who have a status at the University mandated by legislation or University policies, designations or appointments, including: research assistants, post-doctoral fellows, members of Senate and the Board of Governors, volunteers, visiting and emeritus faculty, and visiting researchers.
1.1 As set out in the University Act, the academic governance of the University is vested in the Senate, and the management, administration and control of the property, revenue, business and affairs of the university are vested in the Board.
1.2 In order to properly exercise its governance role on matters within its jurisdiction, the Board may adopt Policies, which assign roles and responsibilities, provide guidance for the actions of members of the University Community, contribute to openness and transparency, facilitate operational continuity and consistency of decision-making and reduce institutional risk. To be effective, Policies and their associated Procedures must comply with applicable law, be current, practical and useful and readily accessible.
2.1 The purpose of this policy is to:
2.1.1 establish a consistent approach to create new and amend existing Policies whose subject matter is within the jurisdiction of the Board and to establish a procedure to develop, review, approve, amend and repeal those Policies and associated Procedures in a consistent, collaborative and coordinated manner;
2.1.2 facilitate the writing of clear, coherent, accessible and effective Policies and Procedures; and
2.1.3 assign responsibility for developing and approving Policies and Procedures.
3.1 This policy applies to Policies and Procedures and to all members of the University Community who play a role in their development, approval, maintenance, review, amendment and repeal.
3.2 This policy does not apply to:
3.2.1 the Board鈥檚 power to make rules, policies, bylaws, terms of reference and manuals for the operation and functioning of the Board, including regarding meetings of the Board and its transactions, codes of conduct for Board members, Board communications and Board committees;
3.2.2 policies that are within the authority delegated by the Board to one of its standing Committees pursuant to that Committee鈥檚 terms of reference; and
3.2.3 for further clarity, policies whose subject matter is within the exclusive jurisdiction of the University鈥檚 Senate.
4.1 General
4.1.1 Policies will advance the University鈥檚 mission, fulfill its requirements in accordance with the University Act, be consistent with the University鈥檚 values and priorities and will promote good governance and management practices.
4.1.2 Policies must be developed, approved, amended, reviewed or repealed pursuant to the University Act and this policy and its associated procedures.
4.1.3 Policies must be kept current, compliant with applicable law and consistent with other related legal and policy authorities.
4.1.4 Policies are only one tool for governing the University Community, and should only be proposed and approved when a Policy is the most appropriate tool to achieve the stated purpose or need.
4.1.5 Policies are principle鈥恇ased documents and are normally mandatory.
4.1.6 Policies and Procedures must be presented in a common, standardized format using the approved Policy or Procedure Template and written with inclusive, plain language.
4.1.7 Policies and Procedures must be made publicly accessible in the Policy Gazette.
4.2 Consultations with the University Community
4.2.1 All proposals for a new Policy, an amendment to an existing Policy and the repeal of a Policy, benefit from meaningful consultation with the affected part(s) of the University Community. Consultation has the purpose of providing diverse perspectives and additional subject matter expertise.
4.2.2 The exact scope and timing of consultations must be appropriate to the subject matter and impact of the proposed new Policy, Policy amendment or repeal. Consultations must respect the time and expertise of the University Community and take into any consultation obligations set forth in applicable collective agreements. It is acknowledged that Editorial Amendments will generally require less time and investment from the University Community than Substantive Amendments, and policies and amendments that affect a part of the University Community or that merely affect administrative functions will benefit from a more focused consultation than policies that affect the whole University Community and central administrative functions.
4.3 Board and Senate Engagement
4.3.1 The Policy Sponsor will engage the Senate as directed by the Board.
4.3.2 Without limiting the consultations described in section 4.2 above, if:
(a) required by the University Act, the Senate鈥檚 approval must be sought, and Senate consulted, then the Policy Sponsor will seek such approval or undertake such consultation, as applicable; and
(b) the University Act does not require Senate approval or consultation, Senate will be notified as part of the consultation with the University Community.
4.3.3 Questions regarding Senate engagement on the development, amendment or repeal of any particular Policy should be resolved by the Board and the Senate in a collaborative and collegial manner, using the process(es) established by the Board and Senate from time to time.
4.4 New Policies and Substantive Amendments to Existing Policies
4.4.1 New Policies and all amendments to existing Policies must be formally approved by the Board. Normally, proposals for a new Policy and amendments to an existing Policy will be developed by the Policy Sponsor, then presented to the Governance, Risk and Compliance Committee, acting under delegated authority from the Board, for information and direction, and then be brought to a subsequent meeting of the Board for approval.
4.4.2 The Board may, on its own motion, propose a new Policy and shall, on the recommendation of the President and Vice Chancellor, designate a Policy Sponsor for such proposed new Policy. The Board may also propose an amendment to, or repeal, any existing Policy. Normally, the Board will then direct the President and Vice Chancellor to coordinate with the Policy Sponsor to proceed through the relevant process described in the procedures to this policy, but nothing in this policy limits the Board鈥檚 power to approve a new Policy, or amend or repeal an existing Policy following any process and procedure determined by the Board, provided that, at minimum, the requirements of the University Act are met, and the University Community is provided an opportunity to provide written comments to the Board regarding the new, amended or repealed Policy, which shall be summarized and presented by the Policy Sponsor at the next regularly scheduled Board meeting.
4.4.3 For any new Policy proposal arising from the University administration, the President and Vice Chancellor is responsible for designating a Policy Sponsor for the proposed new Policy, who will proceed through the relevant process described in this policy and in the procedures to this policy.
4.4.4 The Policy Sponsor of each Policy is responsible for ensuring that the Policy is periodically reviewed as necessary (and at least at its Mandatory Periodic Review Date) and any required amendments are brought forward for consideration by the Board through the relevant process described in this policy and in the procedures to this policy.
4.5 Editorial Amendments
4.5.1 Editorial Amendments to Policies must be formally approved by the Board. Normally, proposals for Editorial Amendments may be reviewed and approved by the Governance, Risk and Compliance Committee, acting under delegated authority from the Board.
4.5.2 The Governance, Risk and Compliance Committee may direct those consultations with the University Community be appropriately limited, given the non-substantive nature of Editorial Amendments. For greater certainty, the process for Editorial Amendments is not exempt from the University Act鈥檚 requirements for prior Senate consultation or approval (where applicable).
4.6 Repealing Policies
4.6.1 The repeal of a Policy must be formally approved by the Board. Normally, proposals for repealing a Policy will first be presented to the Governance, Risk and Compliance Committee for information and direction, and then be brought to a subsequent meeting of the Board for repeal.
4.6.2 For greater certainty, the process for repealing a Policy is not exempt from the University Act鈥檚 requirements for prior Senate consultation or approval (where applicable).
4.7 Development of Procedures related to Policies
4.7.1 Not every Policy requires Procedures. The Policy Sponsor determines whether Procedures are necessary in order to properly and efficiently carry out or give effect to the associated Policy.
4.7.2 Procedures are subordinate to their associated Policy and must not be inconsistent with the provisions of any Policy.
4.7.3 Procedures associated with a Policy may be developed, reviewed, revised and repealed in one of the following ways:
(a) in conjunction with the development, review, amendment or repeal of the associated Policy, and ultimately approved by the Board; or
(b) at any other time, by approval of the President and Vice Chancellor, on the recommendation of the Policy Sponsor, provided that a notice about the new, amended or repealed Procedure is provided to the Board for information at its next regularly scheduled meeting.
4.7.4 The Policy Sponsor will determine whether to consult and with whom on any Procedures.
4.8 Effective Date
4.8.1 A Policy takes effect on the date it is formally approved by the Board or at a later date specified by the Board.
4.8.2 Procedures take effect on the same date as the Policy with which they are associated. If the Procedures are subsequently reviewed and revised separately from the Policy with which they are associated, the revised Procedures take effect on the date the revised
4.8.3 Procedures are posted on the Policy Gazette or at a later date specified by the Policy Sponsor (which date should be stated in the Procedure).
4.8.4 A Policy approved by the Board prior to the effective date of this policy remains in effect until it is amended or repealed.
4.9 Mandated Periodic Review of Policies
4.9.1 Each Policy must have a Mandated Periodic Review Date, which will either:
(a) be established at the time when the Policy is approved by the Board; or,
(b) be established by the President and Vice Chancellor, if the Policy was approved without a Board-approved Mandated Periodic Review Date.
4.9.2 A Policy must normally undergo a substantive review at least once every five years to determine whether any changes are needed, but may be reviewed at any time at the motion of the Board, or at the discretion of the Policy Sponsor.
4.9.3 Procedures associated with a Policy must be reviewed whenever the Policy is reviewed, but may be reviewed separately, in addition, at any time.
4.10 Inconsistency of Procedures and other Policies
4.10.1 If there is any conflict between the provisions of a Policy and its associated Procedures, the Policy governs. Upon receiving notice of a conflict, the Policy Sponsor will initiate a review and advance amendments required to remove the conflict, as soon as practicable.
4.10.2 Faculties, other academic units, and administrative units may establish local policies and procedures for matters within their purview, but these are always subject to and must not contradict the relevant Policy(ies) and Procedure(s). Where there is a contradiction, the relevant Policy(ies) and Procedure(s) will prevail, and the unit will initiate a review and advance amendments required to remove the conflict, as soon as practicable.
4.11 Inconsistency of Policies
4.11.1 Where a Policy or Procedure directly contradicts a provision in a collective agreement between the University and a union, the collective agreement provision will prevail with respect to the members of the bargaining unit covered by that collective agreement.
4.11.2 Where the applicable laws or court, tribunal, or arbitral orders binding upon the University, regulatory requirements (such as Ministerial orders, public health orders, etc.) or critical external requirements, such as eligibility requirements of the Tri-Council), change and conflict with a Policy or Procedure, the applicable law, order, regulatory requirement and critical external requirements will prevail.
4.11.3 In the event of a perceived contradiction between two or more Policies, the matter will be referred to the Policy Sponsor of each Policy.
4.11.4 In any of the foregoing circumstances, the relevant Policy Sponsor(s) will review the matter as soon as practicable, and, if necessary, undertake the appropriate Policy process to address the conflict.
4.11.5 In addition to the foregoing, at the recommendation of the Policy Sponsor(s) and the General Counsel, and with the approval of the Chair of the Governance, Risk and Compliance Committee, the President and Vice Chancellor may issue a special policy statement that provides clarity and guidance to the University Community. The special policy statement must be presented to the Board for information at its next regularly scheduled meeting. The special policy statement will be effective until superseded, whether by the adoption of a new Policy, the amendment or repeal of any existing Policy or by a resolution of the Board.
5.1 The Policy Sponsor is responsible for initiating Policy development and review, for overseeing the drafting of proposed policies and amendments and for overseeing the development and approval of associated procedures. The Policy Sponsor is also responsible for initiating proposals to repeal Policies. The Policy Sponsor leads the presentations to the Governance, Risk and Compliance Committee and the Board.
5.2 The Governance, Risk and Compliance Committee is responsible for exercising authority delegated by the Board to review and direct the Policy Sponsor regarding proposals for new Policies, amendments to existing Policies and the repeal of existing Policies. The Governance, Risk and Compliance Committee also reviews and directs the Policy Sponsor in the Editorial Amendment process, and approves special policy statements.
5.3 The Board is responsible for approving new Policies, amendments to existing Policies and the repeal of Policies.
6. RELATED LEGAL, POLICY AUTHORITIES AND AGREEMENTS
6.1 The legal and other Policy authorities and agreements that may bear on the administration of this policy and may be consulted as needed include but are not limited to:
6.1.1
6.1.2 GP 30 Interpretation Policy
7. RETENTION AND DISPOSAL OF RECORDS
7.1 Information and records made and received to administer this policy are evidence of the University鈥檚 actions to manage the development, amendment, approval and repeal of Policies. Information and records must be retained and disposed of in accordance with a records retention schedule approved by the University Archivist.
8.1 The General Counsel will review this policy at least once every five years.
9.1 This policy is administered under the authority of the General Counsel.
10.1 Questions of interpretation or application of this policy or its procedures shall be referred to the President and Vice Chancellor, and the Chair of the Board of Governors, who will jointly make a decision which shall be final.
11.1 The procedure for this policy is:
12.1 The forms and templates that must be used for a Policy and Procedures are:
12.1.1 丁香园AV Policy Template
12.1.2 丁香园AV Procedure Template