1. University Wide Policy Library
  2. Administration and Operations
  3. Creating, Reviewing and Administering University Policy

Creating, Reviewing and Administering University Policy

Final Approval Body: Senior Leadership Team
Senior Administrative Position with Responsibility for Policy: University Secretary
Date Initially Approved: 2013
Date of Last Revision: 2021, 2024

Purpose of Policy

This policy ensures transparency, governability, and accountability in the policy-making process. It defines a coordinated and consistent process for the development, approval, review and administration of all University Policies and Procedures, so the University community can draft clear policies to advance the University’s mission, vision, values, and strategic plan.

All University policies must comply with the law and Queen’s governing documents.  Policies must contribute to creating an equitable and inclusive community where diversity is appreciated and everyone feels valued and welcomed.

Definitions

Approval Authority: The Approval Authority for a University Policy is either the University’s Senior Leadership Team (SLT) or, if the policy relates to to matters within their respective jurisdictions under the Queen's Charter, the Board of Trustees and /or the Senate. Policies of more local application may be approved by the Principal, a Vice-Principal, AVP, Dean, Associate Dean or Administrative Directors depending on the context. The Approval Authority for a Procedure need not be the same as the Approval Authority of the Policy which supports the Procedure. The Policy Advisory Subcommittee will provide advice regarding the appropriate Approval Authority in particular instances.

Contact Officer: A contact officer is the person who should be contacted for any matters relating to a University Policy, Procedure or Guideline.

Guidelines: Guidelines provide instructions that facilitate completing a Procedure or application of a University Policy in differing circumstances. Guidelines assist when judgment is required to apply a University Policy. Often, they will establish a "best practice" for applying a University Policy and can assist in interpreting the Policy.

Policy: A policy guides the operation of the University and is informed by the University's key principles and values. Generally, policies are enduring in nature and are approved at the most senior levels of the University. Some policies can stand alone but most often will be accompanied by associated procedures and/or guidelines.

Policy Owner: The unit with direct responsibility for the policy and related procedures and guidelines. This unit is responsible for maintaining the policies and procedures, suggesting revisions, communicating the provisions of the policy and ensuring compliance.

Procedure: A procedure is operational and details the interrelated and sequential steps and/or actions that must be taken to implement a University Policy. They are mandatory and may be subject to routine changes based on operating practice. Although the Approval Authority may approve procedures for a University Policy, they are generally approved by the Senior Administrative Officer responsible for that Policy.

Senior Administrative Officer: The senior administrative officer is responsible for ensuring the communication of a University policy, development of associated Procedures, interpretation and awareness of the Policy, and for monitoring compliance. A senior administrative officer would normally be at the level of the Principal, the Provost, a Vice-Principal, Deputy Provost, AVP, Vice-Provost, Dean, University Librarian, Executive Director or Director.

University Policy: A Policy which has application across more than one Faculty, School, or Academic Department or across multiple administrative units not wholly contained within the portfolio of a single Senior administrative Officer and/ or applies to the University, as a whole.

 

Policy Statement

While University Policies may encompass elements of procedure, most University Policies should focus on providing guidance on the operation of the University based on the articulation of key principles and values. University Policies should strive to answer the questions of “why” and "what" and not "how", which is addressed in procedures and guidelines.

Policies outline expected conduct from University members or how the University conducts specific business or operations. They may also articulate a framework or governing principles for University actions.

University Policies change infrequently, and such changes are subject to approval by the Approval Authority for a University Policy.
Most University Procedures or Guidelines will be linked to an explicit University Policy, but it is not mandatory, and University Procedures may be approved without an express policy supporting them, if advisable in the view of the Approval Authority.

In the process of policy development, approval, review, and administration, the University’s values of Indigeneity, Equity, Diversity, Inclusion, Accessibility and Anti-Racism (I-EDIAA), and approaches to removing barriers and creating a decolonized, equitable, inclusive, accessible, and anti-racist campus environment, must be considered.

All University community members must familiarize themselves with the University policies, procedures, and guidelines.

All University Policies, Procedures and Guidelines can be accessed in the University-Wide Policy Library managed by the University Secretariat.

All University Policies, Procedures and Guidelines approved following the dispositions under this Policy have binding effects on all University members and are enforceable by the University.

Scope

Subject to the limitations set out below, this policy applies to all University staff and faculty who are responsible for developing, approving and administering University Policies and their associated Procedures and Guidelines.

This policy does not apply to regulations that are or will be communicated in the Academic Calendar(s) (academic regulations, degree requirements, and regulations about admissions, fees, and financial aid) and nor does it apply to University Policies, Procedures, Guidelines or regulations which originate within the Senate, the Board, Faculty Boards and Executive Councils of Schools or their respective committees.

Management decisions must not be inconsistent with approved University Policies or Procedures.

Approval Process

For a policy to become a University Policy, it must be approved by the relevant Authority. Procedures and Guidelines are generally developed and approved by the Senior Administrative Officer responsible for the University Policy.

Documentation

All University Policies, Procedures and Guidelines must be drafted and presented in a standard format using the following templates, which can be found on the Secretariat website:

  • PASC Coversheet (Required)
  • PASC Consultation Plan (Required)
  • PASC Policy Template (Required)
  • PASC Equity Impact Assessment (Required)
  • PASC Procedure (Optional)
  • PASC Guidelines (Optional)

Those writing or reviewing policies may wish to review the “Policy Development Guide” from the University Secretariat for policy development guidelines.

Consultation

An important phase of policy development is consultation with groups of interest.  Such consultation should take place in advance of policies and associated procedures being submitted to the Policy Advisory Subcommittee (PASC).

The goal of the consultation is to seek input from groups of interest and gather their feedback. The consultation process focuses on building relationships with groups of interest, and it involves active listening, appreciating, and valuing diverse experiences and perspectives.

Review the “Consultation Guidelines for Policy Development and Review” from the University Secretariat for further information about the consultation process.

Amendments and Reviews

Documentation regarding proposed amendments to existing policies and procedures must outline the reasons for the proposed changes.
Those reviewing policies and procedures should consult the “Policy Development Guide” from the University Secretariat.

Review Cycle

All University Policies, Procedures, and Guidelines are to be reviewed on a five year cyclical basis.  The University Secretariat will provide notifications to units with responsibility for policies due for review at the beginning of each academic year.  Substantive changes to existing University Policies, Procedures and Guidelines are subject to the same requirements as new University Policies, Procedures and Guidelines.

Revocation

Subject to legislative requirements or collective agreements, a University Policy or Procedure remains in force unless formally revoked by the Approval Authority. The previous version of a University Policy or Procedure is automatically revoked when a new version is approved by the relevant Approval Authority, whether the Approval Authority remains the same or has changed.

Interpretation of Policies

The Senior Administrative Office is responsible for communicating, interpreting, promoting awareness and monitoring University Policies compliance. In case of conflict between a policy and a governance document (for example, the University Act) or a policy and a collective agreement, the latter documents must prevail.

Responsibilities

Policy Advisory Subcommittee

Prior to submission to the Approval Authority for final approval, all University Policies and Procedures must be submitted to the University Policy Advisory Subcommittee. The Subcommittee will review such Policies and Procedures:

  • To ensure all Policies are coherent in nature and scope
  • To ensure Policies have been checked for compliance with relevant external legislation and internal Policies and Procedures, including Board of Trustees By-laws, special resolutions, and existing collective agreements
  • To ensure terminology and format are consistent and readable
  • To ensure appropriate consultation has been undertaken
  • To provide a central library to avoid duplication or overlap of Policies and Procedures
  • To review communications plan
  • To identify potential risks, costs, and infrastructure requirements
  • To review the policy was drafted taking I-EDIAA considerations into account according to the Equity Impact Assessment.

The Terms of Reference for the Policy Advisory Subcommittee are attached to this Policy as Appendix 'A'.

University Secretariat

The University Secretariat will manage a central library incorporating all approved University Policies, Procedures and Guidelines so they are publicly accessible. It will also make publicly available the list of revoked policies.

The Secretariat is authorized to amend policies in case of a typographical error, cross-references, and contact information or, more generally, clerical errors that do not alter the substantive content of the policy.

The University Secretariat and works with policy developers to ensure policies follow appropriate approval processes. Policy developers are encouraged to contact the University Secretariat in the early stages of policy development for assistance with the process.

The University Secretariat develops tools, such as templates and guides, to assist policy developers in writing and reviewing policies and procedures. In addition, the Secretariat is responsible for creating and implementing the university’s overall policy framework.

Administration

The Principal, the Provost and Vice-Principals are responsible for ensuring that, within their areas of responsibility, appropriate plans to ensure compliance with University Policies are developed, resourced, kept current, and implemented.

The Deputy Provost, Associate Vice-Principals, Vice-Provosts, Deans, Executive Directors, Directors and University Librarian are responsible for:

  • Ensuring adherence to University Policy is integrated into all planning and decision-making within their portfolios;
  • Ensuring programs are developed, resourced, implemented, evaluated, and maintained to implement University Policies effectively.
  • Ensuring that Policies or Procedures of application within one administrative unit, or across multiple administrative units which are wholly contained within the portfolio of a single Senior Administrative Officer, are consistent with broader University Policies of general application.

Employment Supervisors

Ensuring University Policies are implemented in their Program, Department or research project as applicable; University Policies are integrated into all aspects of planning and decision-making within the Program or Department.
Every employee (faculty or staff) is responsible for complying with University Policies in the course of performing their duties.

 

Related Policies, Procedures, Guidelines: N/A
Policies Superseded by this Policy: N/A
Responsible Officer: University Secretary
Contact: Governance Officer, Senate and University-wide Policy
Date for Next Review: 2029

 

Role

The Policy Advisory Subcommittee (PASC) is a subcommittee created by, and advisory to, SLT. PASC has an advisory and coordinating role regarding the development of administrative policies and procedures, but not a decision-making role. It does not have the authority to approve a policy, nor to allocate resources.     

Subject to this paragraph, all policies and procedures which have application across more than one Faculty, School or across multiple administrative units and/ or applies to the University, as a whole must be reviewed by PASC prior to submission for approval by the appropriate approval body.  Policies or procedures which originate with the standing or ad hoc committees of either the Board of Trustees, the University Senate, Faculty Boards, or Executive Councils of Schools are not required to be reviewed by PASC before approval.  Such bodies are, however, able to request PASC review if deemed useful in the view of that committee or its respective senior approval body.

Purpose
To ensure consistency and coordination in the development, approval and administration of all University Policies.

Membership

One representative from each of the following:

  • Advancement,
  • Financial Services,
  • Human Resources,
  • Labour Relations,
  • Faculty Relations,
  • Marketing and Communications,
  • Office of Indigenous Initiatives,
  • Human Rights and Equity Offices,
  • AMS delegate,
  • SGPS delegate,
  • University Counsel,
  • VP Research or delegate,
  • Provost or delegate,
  • Vice-Provost and Dean of Student Affairs or delegate,
  • Faculty member selected by the Provost after consultation with the Deans,
  • Ombudsperson,
  • University Secretary – Committee Chair,
  • Internal Audit to be advisory to the committee

Secretarial support to be provided by the University Secretariat office.

Mandate
To receive proposals for University Policy from SLT or from other members of the University community and to make recommendations to SLT on whether a new University policy is needed (or whether the purpose can be achieved by modifying or clarifying an existing policy, or through guidelines or procedures).  University Policy is defined as policy which has application across more than one Faculty, School or multiple administrative units and/ or applies to the University, as a whole.   Policies or procedures which have application only within one operational area do not fall within the purview of PASC.

To advise proponents of policy and interested members of the community on policy approval process and requirements. Where a new policy is being recommended for development, to provide a template, advice about consultation (including advice about the need for legal review), and identify the appropriate approval path.  In particular, implications of any policy for students, both undergraduate and graduate, should be carefully considered and the consultation process for each policy designed with this in mind.   The Provost/delegate will be primarily responsible for raising possible implications for students arising from any policy proposal and the Committee, as a whole, will be mindful of the possible impacts of any proposed policy on students.

To assist SLT, as required, in an evaluation of the implications of proposed policies, including potential risks, costs, and infrastructure requirements.

To assess polices under development and review in light of legislation, collective agreements and, in particular, the University's obligations under the Accessibility for Ontarians with Disabilities Act (AODA).

Once a draft policy is received, to review the process of consultation and the implementation and communication plan, and to make a recommendation to SLT for initial approval, either by SLT itself, or in the case of policies or procedures proposed by the administration, by the Board or the Senate as the subject matter relates to their respective jurisdictions.

To undertake periodic reviews of existing policies, identifying anachronisms, gaps and overlaps, and monitoring the effectiveness of the institution's ongoing administration of its policies.

Responsibilities
PASC will, as its first task, propose a policy to establish the overall policy approval process for the University, together with templates for policy writing, for the approval of SLT.

PASC shall be responsible for ensuring the establishment of a definitive repository of University Policy and will propose a process for overseeing a systematic review of University Policies.

All policies shall have an identified position which is responsible for the policy and which will conduct regular reviews of the policy.