CLERK-009 - Policy Instruments Framework_2016TABLE OF CONTENTS
SAINTIOo
Title: Policy Instruments Framework
Subject: Writing, Issuing, Maintaining Policy
Category: Policy
Instruments
Framework No.: COS-CC-009
M&C Report No.: 2016-206
Effective Date: August 8, 2016
Next Review Date: (3 years)
Area(s) this framework applies to: Common Council and
Office responsible for review of the framework:
all staff
Corporate Services
Related Instruments:
Sponsors: Neil Jacobsen, Deputy City Manager
Jonathan Taylor, Common Clerk
Document Pages: This document consists of 15 pages.
Revision History:
Date Created:
Common Council Approval
Date:
Contact:
July 28, 2016
August 8t", 2016
City Manager
TABLE OF CONTENTS
1.
PURPOSE STATEMENT ----------------------------------------'Z
2.
SCOPE ....................................................................................................................................................
3
g.
FRAMEWORK STRUCTURE --------------------------------------.4
POLICY STATEMENT ------------------------------------------4
POLICY...................................................................................................................................................
4
{DIRECTIVES ............................................................................................................................................
S
STANDARDS .----------------------------------------------S
PROCEDURES........................................................................................................................................
5
GUIDELINES...........................................................................................................................................
S
BEST PRACTICES I ANDBOOKS -------------------------------------
4L
LEGISLATION AND STANDARDS -----------------------------------'S
5.
ROLES AND RESPONSIBILITIES ------------------------------------.6
6.
MONITOR AND REVIEW ---------------------------------------'6
7.
IMPLEMENTATION ------------------------------------------.6
8.
AUTHORIZATION -------------------------------------------.6
§L
RESOURCES ...........................................................................................................................................
6
10.
PROCEDURES ---------------------------------------------7
11.
GLOSSARY ----------------------------------------------'7
12.�
.----------------------------------------------'7
13.
APPENDICIES ---------------------------------------------''
APPENDIX
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APPENDIX
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PROCEDURE - POLICY DEVELOPMENT PROCESS -------------
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APPENDIX
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GLOSSARY ...................................................................................................
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APPENDIX
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1. PURPOSE STATEMENT
Formal Statement that provides context and broad guidance with respect to policy themes or clusters.
Also provides the supporting structure within which specific City policy and other instruments can be
understood in strategic terms.
2. SCOPE
Policies are the tools used by the City Manager to achieve the mandates of Council expressed by
resolution in a Policy Statement.
A wide array of policy is available to achieve Council objectives which in turn influences The City's long-
term well-being and achieves a better quality of life for everyone.
The scope of The City's policy covers a range of municipal or program -related functions. The headings
under which most policy instruments have been grouped reflect how the scope of municipal activities
has evolved, changes in management practice, and increasing expectations of the public. The City adapts
its policies to the priorities of Common Council and to the strategic directions of Advance SJ. Most policy
instruments fall under one of these functional headings, consistent with the City's Service Alignment:
1. Growth and Community Development
2. Protective Services
3. Transportation and Environment Services
4. Saint John Water
5. Finance and Administration
6. Corporate Services
The development of this substantial range of policy instruments raises important design questions.
What criteria should be used in choosing among the instruments?
The City has adopted with minor modification, the standard developed by the Treasury Board, referred
to as The Foundation Framework. The Framework provides flexibility in selecting policy instruments
from the diagram below appropriate to the task at hand (Pyramid View).
icy Statement
Directives
Guidelines
Pyramid View - Framework of Policy Instruments
Frameworks contain clusters of policy instruments relating to a theme. The instruments of the
Framework can be selected and used as the ingredients to help distill the best solution for achieving
objectives.
3. FRAMEWORK STRUCTURE
POLICY STATEMENT
A Policy Statement is a high level strategic statement that dictates what position the organization has
taken on specific issues. Policy statements are created by resolution of Common Council. Policy
Statements are referred to the City Manager to enact through Policy Instruments.
POLICY
Policy is a tool for strengthening and championing our culture. The strong ethical foundation of our
policies influences the perceptions of employees, shapes behaviour, and sends a powerful message
externally that Saint John is a Community of Choice and that The City of Saint John is an Employer of
Choice.
Policy documents provide a distinct path of action that clarifies and elaborates the intent of Council's
Policy Statement, describes more fully the nature of the organizational change contemplated, and give
direction to the organization.
Policy has three key elements: a problem definition, goals to be achieved and the policy instruments to
address the problem and achieve the goals.
DIRECTIVES
Directives provide specific direction to the organization and derive their authority from Policy
Statements. A directive is a statement that has been approved by the City Manager, focuses on the
internal workings of the City, and primarily impacts city employees and contractors.
STANDARDS
Standards are requirements that support individual policies and directives and dictate uniform ways of
operating. WorkSafe NB defines standards as 'desired and achievable levels of performance against
which actual performance can be measured'. Standards can be viewed as an acceptable benchmark with
reference to any task or activity, and can be either qualitative or quantitative in nature.
PROCEDURES
Procedures, also known as standard operating procedures (SOPS) are detailed step-by-step, task -level
descriptions of actions required to help implement a policy. The procedure answers the "how" question
and is generally used in an operating environment. Procedures provide the vehicles for implementing
policies.
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Guidelines represent recommended actions, general approaches and operational behaviors.
BEST PRACTICES / HANDBOOKS
A best practice is a technique or methodology that, through experience and research, has proven to reliably lead
to a desired result.
A handbook is a complete and detailed work on a particular topic for practitioners, structured for quick reference
and often as a supplement to a text book. The term is commonly interchanged with manual.
4. LEGISLATION AND STANDARDS
The City must not exceed its policy making authority as determined by the Municipalities Act.
The Treasury Board Standard Framework for Assessing, Selecting and Implementing Instruments for
Government Action is to be followed.
5. ROLES AND RESPONSIBILITIES
Common Council approves Policy Statements by way of resolution. The City Manager operationalizes
the Policy Statement by selecting the appropriate Policy Instrument.
A Member of Common Council may identify a policy issue and initiate the creation of a new policy or
changes in an existing policy by submitting to the Council Agenda.
A Commissioner may identify a policy issue and initiate the creation of a new policy or changes in an
existing policy using a Report to Mayor and Council (M&C).
There will be a designated "Sponsor" for every policy, i.e., a senior administrator with overall
responsibility for the development of policy content, and its periodic review.
There will be a designated "Responsible Unit" for every related procedure, which is responsible for
administration oversight.
To promote Open Government and Open Information the Clerk will maintain and publish all policies in
The City's Electronic Records Management System (ERMS), Laserfiche, for Council, staff and public
access.
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E. MONITOR AND REVIEW
Policy instruments will be reviewed every 3 years.
7. IMPLEMENTATION
Council Policy Statements will be referred to the City Manager by resolution of Council. The City
Manager is directed by resolution to develop and implement the appropriate policy instrument.
S. AUTHORIZATION
Policy Statements are authorized by Common Council.
The City Manager is authorized by Policy Statement to develop policy instruments.
9. RESOURCES
City staff should be collaborative and consultative when drafting policy instruments. External review and
validation should be a part of the policy development process.
10. PROCEDURES
It is recognized that the creation and implementation of effective policy is very challenging and complex.
The process involves gathering evidence and data, undertaking financial and policy analysis, building a
business case to convince council and the community and building a network of support. To help with
this complex task, a recommended policy development mechanism is required.
A policy development process is outlined in Appendix "B".
11. GLOSSARY
For an explanation of terms please see attached Appendix "C
12. INQUIRIES
For more information on the Framework, please contact the City Manager.
13. APPENDICES
Appendix A Standard - Policy Template
Appendix B Procedure - Policy Development Process
Appendix C Glossary
Appendix D References
APPENDIX "A"
POLICY TEMPLATE
A standard policy template ensures clarity and consistency. Although not all policies will contain all of
the template elements, City policies will be written and maintained following the format described in
the Sample Template below. All elements and sections in the template are mandatory.
To access to the Template in e -City use the following link: (link to be provided)
1. Policy Statement: A clear and unambiguous statement of the commitment of the organization
to the values and course of action that the Policy serves, i.e. the nature of the organizational
change intended.
2. Scope: Defines constraints in terms of the subject matter contained in policy as well as the
extent of organizational application and influence in terms of service areas and workforces
affected.
3. Legislation and Standards: Specifies the restraints and requirements to be achieved in a Policy
document.
4. Roles and Responsibilities: Describes the role of staff at all levels to ensure successful
implementation of Policy.
5. Monitor and Review: Specifies the control process by which Policies are kept current and valid.
6. Implementation: The process to apply Policy throughout the organization.
7. Authorization: Policy is authorized by resolution of Common Council.
8. Resources: The human, informational, financial and material resources required to develop and
implement policy.
9. Procedures: Step by step instructions required to carry out policy.
10. Glossary: Clarification of terminology used in Policy.
11. Inquiries: Service Area, sponsor or individual responsible for the Policy.
12. Appendices: Supporting templates, documents and tools designed to promote standardization
and corporate branding.
Title:
Subject:
Category:
Policy No.:
M&C Report No.:
Effective Date:
Next Review Date: (3 years)
Area(s) this policy applies to:
Office Responsible for review of this Policy:
Related Instruments:
Policy Sponsor:
Document Pages: This document consists of XX
pages.
Revision History:
Common Clerk's Annotation for Official Record
I certify that the
—Insert Title-Policy Statement was adopted by resolution of
Common Council on Month-Day-Year.
I certify that the
—Insert Title -Policy was approved by the City Manager on
Month-day-Year
Common Clerk Date
Contact:
Telephone:
Email:
TABLE OF CONTENTS
1. PO LI CY STATE M E NT .....................................................................................................................P
2. SCOPE........................................................................................................................................... P
3. LEGISLATION AND STANDARDS................................................................................................... P
4. ROLES AND RESPONSIBILITIES..................................................................................................... P
5. MONITOR AND REVIEW............................................................................................................... P
6. IMPLEMENTATION....................................................................................................................... P
7. AUTHORIZATION.......................................................................................................................... P
8. RESOURCES.................................................................................................................................. P
9. PROCEDURES................................................................................................................................ P
10. GLOSSARY................................................................................................................................... P
11. INQUIRIES...................................................................................................................................P
12. APPENDICIES............................................................................................................................................P
m
City of Saint John Policy Instruments Framework
APPENDIX "B"
PROCEDURE - POLICY DEVELOPMENT PROCESS
The policy development process is presented below (adapted from The Treasury Board Framework for
Assessing, Selecting and Implementing Instruments for Government Action). The process is to be
assessed for relevance for each policy development project. Deviations from the process must be
documented. This should result in better policy advice that is both credible and reliable.
1. A Policy Statement may be submitted for consideration as follows:
• A Member of Council submits the Policy Statement to the Council Agenda process.
• A Commissioner submits the Policy Statement to the City Manager in a Council Report.
• A Commissioner may submit for Council's consideration multiple related Policy Statements
in a Service Area Policy Framework.
• Council may by resolution adopt a Policy Statement or Statements and refer the Policy
development process to the City Manager.
• If the City Manager is referred a Policy Statement(s) for development he/she will assign a
policy Sponsor.
2. For Policies affecting external stakeholders ie. the public, community organizations, etc. the
policy Sponsor the following process is recommended:
• Collaborates with the Council / Board / Senior Leadership Team, the City's business
units, and the public to refine a policy approach using:
o Workshops with staff and Council
o Public focus groups, including stakeholders
o Discussion with local governments, to consider standardization of definitions,
wording and procedures
3. The Policy Sponsor assembles relevant enabling legislation and regulations as follows:
• Check for the most recent versions
• Review what is enabled and the limits to the local government authority
• Seek legal interpretation of legislation and court decisions
4. The Policy Sponsor identifies the purpose and context as follows:
• Identify changes necessary to other local government policies
• Clarify relationships with other agencies, business units
5. The Policy Sponsor determines the Policy structure as follows:
• Different combinations of policies and policy instruments are possible
• Follow the policy templates provided
City of Saint John Policy Instruments Framework
6. The Policy Sponsor writes key clauses of the policy in draft as follows:
• Confirm with the enabling legislation
• Cross reference with other policies as appropriate
• Refine and discuss with other staff, committees and stakeholders
(If creating a bylaw, follow steps 6 and 7, if not, continue on to Step 9)
7. The Policy Sponsor writes bylaw enforcement provisions, as follows
• Check the Provincial Offences Procedure Act
• Check enforcement provisions of the Municipalities Act, Community Planning Act and
regulations
• Review with enforcement staff - there must be a commitment to making bylaws work
through enforcement
8. The Policy Sponsor writes bylaw filter and exception clauses, taking the following into consideration:
• What cases might be excused from the bylaw?
• At what threshold should certain actions occur?
9. The policy Sponsor writes glossary definitions taking the following into consideration:
• Glossary definitions need only be added for what is not already defined in enabling
legislation, or when there is some vagueness of meaning
• Check the Municipalities Act interpretation section
• Check the Interpretation Act
• Check the dictionary for vague meanings
• Review the policy for simplicity and plain English - try to eliminate jargon or unnecessary
complexity
10. The policy Sponsor reviews the draft with staff, committees, stakeholders, external sources,
legal counsel and refines
11. For Policies that are administrative in nature ie. affect or impact City employees and City Service
areas only, the Policy Sponsor may manage the development process with Senior Leadership Team
as follows:
• The City Manager may appoint a Policy Review Committee from among the Senior
Leadership Team.
• Draft policy instruments are submitted to the City Manager for approval.
12. Approved policies are submitted to the Common Clerk. The Common Clerk:
• Publishes the Policy in The City's Electronic Records Management System (ERMS), Laserfiche.
• Ensures policy is maintained current in the Laserfiche Policy Library, by updating revisions
and removing rescinded policy.
• Ensures the WORD format is maintained in eCity (SharePoint) to enable revisions to the
document.
APPENDIX "C"
Glossary
Instrument Description Usual Audience Application
Policy Formal statement adopted by Commissioners, Architectural
Statement Resolution of Common Council that Managers
provides context and broad guidance
with respect to policy themes.
Policy Formal direction developed by the City Council, Mandatory
Instruments Manager that imposes the Policy Commissioners,
Statement in a document. Managers
Directive Formal instruction that obliges Managers, functional Mandatory
departments / service area to take (or specialists
avoid) specific action.
Standard / A set of operational or technical Managers, functional Mandatory
Procedure measures, procedures or practices for specialists
city-wide use.
Guideline A document providing guidance, advice Mangers, functional Voluntary
or explanation to managers or specialists
functional area specialists
Best Practices A best practice is a technique or
/Handbooks methodology that, through experience
and research, has proven to reliably
lead to a desired result. A handbook is a
complete and detailed work on a
particular topic for practitioners,
structured for quick reference and often
as a supplement to a text book. The
term is commonly interchanged with
manual.
Managers, functional Voluntary
specialists
* The City is organized in 6 functional areas. Functional specialists work in their respective functional
area.
1. Growth and Community Development
2. Protective Services
3. Transportation and Environment Services
4. Saint John Water
5. Finance and Administration
6. Corporate Services
APPENDIX "D"
REFERENCES
1. Some Better Practice Principles for Developing Policy Advice, Australian National Audit Office, 2001.
2. A Design Framework for Environmental Policy Instruments, Professor Kenneth Richards, Musim Mas
Visiting Professor of Sustainability, National University of Singapore Business School, 2013
3. Integrated Community Energy Solutions (ICES) Municipal Policy Toolkit, Appendix A - How to Select
Policy Instruments, September 2010
4. Framework for Assessing, Selecting and Implementing Instruments for Government Action, Treasury
Board of Canada