Procedure Document Control

Transcription

1 Procedure Document Control This Procedure is a document that sets out the organisation s approved and agreed practices. Any deviation must be discussed with the originating author. DOCUMENT NO: Lead author(s): (enter job titles) Developed by: Approved by: Ratified/adopted by: PCD0001 Cllr. Mike Passfield Cllr. Mike Passfield Mrs Carol Willingham Parish Clerk Policy Administration Committee Full Member Council Approval date: 06/01/2016 Ratified/adoption date: 11/01/2016 Review date: 11/01/2019 Version no: 1 Version Control And Revisions: 1 First published March 2009 Version Page/Para No. Description of change Date Whilst this document may be printed, the electronic version maintained on the Billinghay Parish Council website is the controlled copy. Any printed copies of this document are not controlled. Billinghay Parish Council. Not to be reproduced without written permission. 1

2 STANDARDS & LEGISLATION Freedom of Information Act 2000 Section 46: Code of Practice for Records Management KEY RELATED DOCUMENTS Records Management Policy KEY WORD SEARCH Document, control, procedure, policy, protocol, guidelines, strategy 2

3 1.0 INTRODUCTION/PURPOSE The purpose of this procedure is to aid employees and councillors in creating a document that is fit for purpose and sets out the process for staff to follow in order to choose the correct template, have it approved and published to the public facing website where appropriate. 2.0 PROCESS (step-by-step) Step 1 Use the flowchart below to ascertain what type of document you require. For a more complete list of definition types please refer to section 3.0. Is this a local set of instructions on how to perform a task or tasks? NO Is this a document which sets out the Parish approved and agreed practices? NO Is this a document which explains how the Parish Council will implement a specific piece of legislation? NO YES YES YES Work Instruction Procedure Protocol Is this a high level mandatory document and if not followed, may result in disciplinary action? NO Is this a document that sets out the services plan for the future and how end goals will be achieved? NO Is this a document that sets out the objectives of a Committee, Sub Committee or Working Group? YES YES YES Policy Strategy Terms of Reference 3

4 Step 2 Once you have identified the document type, use the table below to select your template. Double-click on the icon to open. When the document opens in a new window go to File, Save As and save this to your computer. Document Name Template Document Name Template Procedure (PRO) Procedure_Template.docx Strategy (STR) Strategy_Template.d ocx Protocol (PTL) Protocol_Template.d ocx Policy (POL) Policy_Template.doc x Terms of Reference (ToR) Template for ToR.odt Step 3 You will need to complete the front page of your chosen template where indicated. The grid below will guide you in what further information your document will require. The remaining sections of your template will be completed by the document control team. PRO PTL POL STR ToR Table of Contents* X X Introduction/Purpose Objectives/Aim(s) O O X Duties, Roles & Responsibilities X X Definitions (abbreviations/terms used)** Monitoring (audit/committee) X X Equality Impact Assessment X X X X = Include O = Optional X = Not required AUTHORS SHOULD BE AWARE THAT THE DOCUMENT ONCE APPROVED WILL BE AUTOMATICALLY PUBLISHED TO THE PARISH COUNCILS EXTERNAL WEB PAGES AND THEREFORE NEED TO BE MINDFUL OF DOCUMENT CONTENT Step 4 Once you have completed your document it needs approval at a full council meeting or designated subcommittee. Approval needs to be recorded in the minutes and the approval date added to the front section of your template and sent to the parish clerk. 4

5 Step 5 The parish clerk will undertake format and scrutiny control on your document. This involves putting in all the correct logos and headers and footers, completing the front page, assigning an index number and checking that the format is in line with the council s corporate style. This is a 2-way process and may involve the parish clerk contacting you to discuss any changes. Step 6 Once the document is finalised, it will be returned to you with all of the updates and will be published to the parish council webpage and circulated to members. Step 7 Once the document has been published to the parish council webpage, if you wish to make any amendments to it before its review date you will need to contact parish clerk. If these are minor changes such as a telephone number or contact name, you can make these without having to go back through the approval process. If, however, the amendments alter the major processes of the document, you will need to re-submit to the authorising committee for approval and recording in the minutes. ALL DOCUMENTS HAVE A REVIEW DATE OF THREE YEARS UNLESS OTHERWISE STATED TO MEET STATUTORY OR LEGAL REQUIREMENTS The parish clerk will contact you 3 months before your document review date. You will be required to make any changes and, even if there are no changes to your document, you will still need to have it approved by full council or designated subcommittee. 3.0 DEFINITIONS Document Type Procedure Work Instruction Protocol Policy Strategy Definition A Procedure is a document that sets out the organisation s approved and agreed practices. Any deviation must be discussed with the originating author. A Work Instruction is a local set of directions on how to perform a task on a day to day basis and which must be followed in a regular order. Any deviation must be discussed with the originating author. As these are local instructions they do not need to be available on the parish council webpage A Protocol is a mandatory document and sets out how the Parish Council will implement a particular piece of legislation. A Policy is a formal, strategic level document and provides a statement of intent about how the Parish Council will comply with the legislation and directives of its subject matter. It is a mandatory document and does not allow for variation of practice. It is relevant to all employees and councillors, including volunteers and third party contractors. A Strategy sets out the parish Councils plan for the future and how end goals will be achieved. 5

6 4.0 GOVERNANCE Responsibility for this document and the document control process sits with the parish clerks office. Document Control is reported to the full council as part of the Information Governance Framework. Only Policy documents require an equality impact assessment (Race Relation Amendment Act 2000) to be carried out and this should be completed by the author. 6

7 Procedure Enter title of document This Procedure is a document that sets out the organisation s approved and agreed practices. Any deviation must be discussed with the originating author. DOCUMENT NO: Lead author(s): This will be added by the Parish Office Insert Name & job title Developed by: Insert Name & job title Approved by: Policy Administration Committee Ratified/Adopted by Full Member Council Approval date: Date to be added Ratified/Adoption date: Date to be added Review date: Date to be added (3 years post approval date) Version no: 1 Version Control And Revisions: 1 First published Enter Date Version Page/Para No. Description of change Date Whilst this document may be printed, the electronic version maintained on the Billinghay Parish Council website is the controlled copy. Any printed copies of this document are not controlled. Billinghay Parish Council. Not to be reproduced without written permission. 7

8 STANDARDS & LEGISLATION KEY RELATED DOCUMENTS KEY WORD SEARCH 8

9 Strategy Title of Document This Procedure is a document that sets out the organisation s approved and agreed practices. Any deviation must be discussed with the originating author. DOCUMENT NO: Lead author(s): This will be added by the Parish Office Insert Name & job title Developed by: Insert Name & job title Approved by: Policy Administration Committee Ratified/Adopted by Full Member Council Approval date: Date to be added Ratified/Adoption date: Date to be added Review date: Date to be added (3 years post approval date) Version no: 1 Version Control And Revisions: 1 First published Enter Date Version Page/Para No. Description of change Date Whilst this document may be printed, the electronic version maintained on the Billinghay Parish Council website is the controlled copy. Any printed copies of this document are not controlled. Billinghay Parish Council. Not to be reproduced without written permission. 9

10 STANDARDS & LEGISLATION KEY RELATED DOCUMENTS KEY WORD SEARCH 10

11 Protocol Insert title of Document This Procedure is a document that sets out the organisation s approved and agreed practices. Any deviation must be discussed with the originating author. DOCUMENT NO: Lead author(s): This will be added by the Parish Office Insert Name & job title Developed by: Insert Name & job title Approved by: Policy Administration Committee Ratified/Adopted by Full Member Council Approval date: Date to be added Ratified/Adoption date: Date to be added Review date: Date to be added (3 years post approval date) Version no: 1 Version Control And Revisions: 1 First published Enter Date Version Page/Para No. Description of change Date Whilst this document may be printed, the electronic version maintained on the Billinghay Parish Council website is the controlled copy. Any printed copies of this document are not controlled. Billinghay Parish Council. Not to be reproduced without written permission. 11

12 STANDARDS & LEGISLATION KEY RELATED DOCUMENTS KEY WORD SEARCH 12

13 Policy Insert title of Document This Procedure is a document that sets out the organisation s approved and agreed practices. Any deviation must be discussed with the originating author. DOCUMENT NO: Lead author(s): This will be added by the Parish Office Insert Name & job title Developed by: Insert Name & job title Approved by: Policy Administration Committee Ratified/Adopted by Full Member Council Approval date: Date to be added Ratified/Adoption date: Date to be added Review date: Date to be added (3 years post approval date) Version no: 1 Version Control And Revisions: 1 First published Enter Date Version Page/Para No. Description of change Date Whilst this document may be printed, the electronic version maintained on the Billinghay Parish Council website is the controlled copy. Any printed copies of this document are not controlled. Billinghay Parish Council. Not to be reproduced without written permission. 13

14 DOCUMENT CONTROL SHEET Purpose of document: Dissemination: Implementation: Review: Documents replaced or superseded by this document: This document supports (enter Standards and Legislation: Key related documents: Equality & Diversity: An Equality and Diversity Impact Assessment has been carried out. Financial Implications: Key word search 14

15 TABLE OF CONTENTS Chapter 1.0 Introduction 2.0 Objectives 3.0 Duties Page no 15

16 POLICY STATEMENT This Policy is a formal, strategic level document and provides a statement of intent about how the Parish Council will comply with the legislation and directives of its subject matter. This is a mandatory document and does not allow for variation of practice. It is relevant to all staff and council members including volunteers and third party contractors. Non-compliance with this Policy may result in disciplinary action. It provides a corporate framework and is supported by a number of Parish Council procedures and guidelines. It will be reviewed every 3 years unless there are changes in legislation, directive or agreed variation by full council. A Rapid Equality and Diversity Impact Assessment has been carried out on this document 16

17 RAPID EQUALITY AND DIVERSITY IMPACT ASSESSMENT In which areas are there concerns that the POLICY could have a different impact (either positive or negative) on different groups? Minority ethnic including Gypsy/travellers, refugees and asylum seekers Women and men People in religious/faith groups Disabled people Older people Children and young people Lesbian, gay, bisexual and transgender people Marriage and Civil Partnership status Maternity status People of low income People with learning disabilities People with mental health problems Homeless people People involved in criminal justice system Staff Any other groups Will the POLICY have any impact on the social environment? things that might be affected include: Will the POLICY have any impact on: Social status Employment (paid or unpaid) Social family support Stress Income Any other areas Discrimination Equality of opportunity Relations between groups Any other areas Positive Will the POLICY have an impact on the physical environment? for example, will there be impacts on: Living conditions Working conditions Pollution or climate change Accidental injuries or public safety Transmission of infectious disease Any other areas Positive Positive 17

18 Will the POLICY affect access to and experience of services? Health care Transport Social services Housing services Education Any other areas Rapid Impact Assessment: Summary sheet Negative impacts: groups affected Action Plan: Not required Will there be any negative impacts remaining after implementation of action plan? Summarize impact: What is the likelihood of this occurring? (enter score from table) Risk Score: likelihood consequence 0 X 0 = 0 0 What is the consequence of this occurring? (enter score from table) For the full EDIA please refer to the Human Resources Department and the Single Equality Scheme document. See Risk Assessment Policy for definitions CONSEQUENCES LIKELIHOOD Impossib le 0 Rare 1 Unlikel y 2 Moderate 3 Likely 4 No 0 Certain 5 Negligible Minor Moderate Serious Major Critical

19 Terms of Reference Insert Committee Name This is a document that sets approved and agreed objectives and remit of the named Committee, Sub Committee or Work Party. Any deviation must be discussed with the originating author and authorised by Full Council. DOCUMENT NO: Lead author(s): (enter job titles) Developed by: This will be added by the parish office Insert name and title Insert name and title Approved by: Committee/Sub Committee of: Approval date: Review date: Version no: 1 Version Control And Revisions: Date to be added Date to be added (1 year post approval date) 1 First published Enter date Version Page/Para No. Description of change Date 19

20 INTRODUCTION. TERMS OF REFERENCE DELEGATED AUTHORITY CHAIR The Full Council Committee will appoint a Chair and a Vice Chair. MEMBERSHIP The Committee will not exceed 5 members in total, including co-options. The Parish Clerk may attend and participate in the meeting but will not vote Cllr xx (Chair) Cllr xx Cllr xx Cllr xx Cllr xx QUORUM A meeting will be quorate when 3 members or more are present SUB-GROUPS Any sub group will include a member of the xx. The xx will establish the terms of reference for any groups formed and will monitor and review the progress of such groups at each of its meetings. CO-OPTIONS If required the xx may make co-options to the Committee to take forward its work. CORRESPONDING MEMBERS The Committee may identify a number of corresponding members of people who take an interest in the work of the Committee and may, from time to time, contribute to particular pieces of work. These members will receive a copy of the minutes of each meeting. The Chair will review the corresponding members list on an annual basis. ACCOUNTABILITY 20

21 The actions of the Committee are directly attributable to the Parish Council therefore all members of the Committee have a general duty to act in the best interests of the Parish Council and continue to ensure compliance with the principles of public life. Selflessness Committee members have a general duty to act in the best interests of the Parish Council as a whole. They should not do so in order to gain financial or other material benefits for themselves, their family, their friends or the organisation they come from or represent. Integrity Committee members should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their role. They should avoid actual impropriety, and appearance of improper behaviour and avoid accepting gifts and hospitality that might reasonably be thought to influence their judgement. Objectivity In carrying out their role, including making appointments, awarding contracts, recommending individuals for rewards and benefits or transacting other business, Institute committee members and trustees should ensure that decisions are made Solely on merit. Accountability Committee members have a duty to comply with the law on all occasions in accordance with the trust placed in them and in such a way as to preserve public confidence in the Parish Council. They are accountable for their decisions and action to members, the public and funders. They must submit themselves to what scrutiny is appropriate to their role. Openness Committee members should ensure that confidential material, including material about individuals, is handled in accordance with due care. They should be as open as possible about their decisions and action that they take. They should give reasons for their decisions and restrict information only when the wider interest clearly demands. Honesty Committee members should have duty to declare any interests relating to their role as a committee member and to take steps to resolve any conflicts that may arise. Where private interests of a committee member conflict with their duties, he/she must resolve this conflict in favour of the committee member role. They must make relevant 21

22 declarations of interest in the different circumstances and roles they play both within and outside of the Parish Council. Leadership Committee members should promote and support the principles of leadership by example. 22