Procedure Document Control - Lincolnshire County Councilparishes.lincolnshire.gov.uk/Files/Parish/87/PCD... · Procedure Document Control This Procedure is a document that sets out

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ProcedureDocument 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: PCD0001

Lead author(s):(enter job titles)

Cllr. Mike Passfield

Developed by: Cllr. Mike PassfieldMrs Carol Willingham – Parish Clerk

Approved by: Policy Administration CommitteeRatified/adopted by: Full Member Council

Approval date: 06/01/2016Ratified/adoption date: 11/01/2016Review date: 11/01/2019Version no: 1Version Control And Revisions:1 First published March 2009Version Page/Para No. Description of change Date

Whilst this document may be printed, the electronic version maintained on theBillinghay Parish Council website is the controlled copy. Any printed copies of thisdocument are not controlled.

© Billinghay Parish Council. Not to be reproduced without written permission.

2STANDARDS & LEGISLATION

Freedom of Information Act 2000 Section 46: Code of Practice for RecordsManagement

KEY RELATED DOCUMENTS

Records Management Policy

KEY WORD SEARCH

Document, control, procedure, policy, protocol, guidelines, strategy

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1.0 INTRODUCTION/PURPOSE

The purpose of this procedure is to aid employees and councillors in creating adocument that is fit for purpose and sets out the process for staff to follow in orderto choose the correct template, have it approved and published to the public facingwebsite 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 section3.0.

Is this a document which sets out the Parish approved and agreedpractices?

Is this a local set of instructions on how to perform a task or tasks?

Is this a document which explains how the Parish Council willimplement a specific piece of legislation?

WorkInstruction

Procedure

Protocol

NO

NO

NO

YES

YES

YES

PolicyIs this a high level mandatory document and if not followed, mayresult in disciplinary action? YES

NO

Is this a document that sets out the services plan for the future andhow end goals will be achieved?

StrategyYES

Is this a document that sets out the objectives of a Committee, SubCommittee or Working Group?

NO

Terms ofReferenceYES

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Step 2 – Once you have identified the document type, use the table below to select yourtemplate. Double-click on the icon to open. When the document opens in a new windowgo 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.docx

Protocol (PTL) Protocol_Template.docx

Policy (POL) Policy_Template.docx

Terms of Reference(ToR)

Template forToR.odt

Step 3 – You will need to complete the front page of your chosen template whereindicated. The grid below will guide you in what further information your document willrequire. The remaining sections of your template will be completed by the documentcontrol team.

PRO PTL POL STR ToRTable of Contents* X XIntroduction/Purpose

Objectives/Aim(s) O O XDuties, Roles & Responsibilities X XDefinitions (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 APPROVEDWILL BE AUTOMATICALLY PUBLISHED TO THE PARISH COUNCILS

EXTERNAL WEB PAGES AND THEREFORE NEED TO BE MINDFUL OFDOCUMENT CONTENT

Step 4 – Once you have completed your document it needs approval at a full councilmeeting or designated subcommittee. Approval needs to be recorded in the minutes andthe approval date added to the front section of your template and sent to the parish clerk.

5Step 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 frontpage, assigning an index number and checking that the format is in line with the council’scorporate style. This is a 2-way process and may involve the parish clerk contacting youto discuss any changes.

Step 6 – Once the document is finalised, it will be returned to you with all of the updatesand 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 youwish to make any amendments to it before its review date you will need to contact parishclerk. If these are minor changes such as a telephone number or contact name, you canmake these without having to go back through the approval process. If, however, theamendments alter the major processes of the document, you will need to re-submit to theauthorising committee for approval and recording in the minutes.

ALL DOCUMENTS HAVE A REVIEW DATE OF THREE YEARS UNLESSOTHERWISE STATED TO MEET STATUTORY OR LEGAL REQUIREMENTS

The parish clerk will contact you 3 months before your document review date. Youwill be required to make any changes and, even if there are no changes to yourdocument, you will still need to have it approved by full council or designated

subcommittee.

3.0 DEFINITIONS

DocumentType

Definition

Procedure A Procedure is a document that sets out the organisation’sapproved and agreed practices. Any deviation must be discussedwith the originating author.

WorkInstruction

A Work Instruction is a local set of directions on how to perform atask on a day to day basis and which must be followed in a regularorder. Any deviation must be discussed with the originating author.As these are local instructions they do not need to be available onthe parish council webpage

Protocol A Protocol is a mandatory document and sets out how the ParishCouncil will implement a particular piece of legislation.

Policy A Policy is a formal, strategic level document and provides a‘statement of intent’ about how the Parish Council will comply withthe legislation and directives of its subject matter. It is a mandatorydocument and does not allow for variation of practice. It is relevantto all employees and councillors, including volunteers and thirdparty contractors.

Strategy A Strategy sets out the parish Councils plan for the future and howend goals will be achieved.

64.0 GOVERNANCE

Responsibility for this document and the document control process sits with theparish clerks office. Document Control is reported to the full council as part of theInformation Governance Framework.

Only Policy documents require an equality impact assessment (Race RelationAmendment Act 2000) to be carried out and this should be completed by theauthor.

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ProcedureEnter title of document


DOCUMENT NO: This will be added by the Parish Office

Lead author(s): 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 addedRatified/Adoption date: Date to be addedReview date: Date to be added (3 years post approval date)Version no: 1Version Control And Revisions:1 First published Enter DateVersion Page/Para No. Description of change Date





KEY WORD SEARCH

9

StrategyTitle of Document












KEY WORD SEARCH

11

ProtocolInsert title of Document












KEY WORD SEARCH

13

PolicyInsert title of Document










14DOCUMENT CONTROL SHEET

Purpose ofdocument:

Dissemination:

Implementation:

Review:

Documents replacedor superseded bythis document:This documentsupports (enterStandards andLegislation:

Key relateddocuments:Equality & Diversity: An Equality and Diversity Impact Assessment has been

carried out.

FinancialImplications:

Key word search

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TABLE OF CONTENTS

Chapter Page no1.0 Introduction2.0 Objectives3.0 Duties

16POLICY 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 itssubject matter.

This is a mandatory document and does not allow for variation of practice. It isrelevant to all staff and council members including volunteers and third partycontractors. Non-compliance with this Policy may result in disciplinary action.

It provides a corporate framework and is supported by a number of Parish Councilprocedures and guidelines. It will be reviewed every 3 years unless there are changesin legislation, directive or agreed variation by full council.

A Rapid Equality and Diversity Impact Assessment has been carried out on thisdocument

17RAPID 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 No impactWomen and men No impact

People in religious/faith groups No impactDisabled people No impact

Older people No impactChildren and young people No impact

Lesbian, gay, bisexual and transgender people No impactMarriage and Civil Partnership status No impact

Maternity status No impactPeople of low income No impact

People with learning disabilities No impactPeople with mental health problems No impact

Homeless people No impactPeople involved in criminal justice system No impact

Staff No impactAny other groups No impact

Will the POLICY have any impact on the social environment? things that might beaffected include:

Social status No impactEmployment (paid or unpaid) No impact

Social family support No impactStress Positive

Income No impactAny other areas No impact

Will the POLICY have any impact on:Discrimination No impact

Equality of opportunity No impactRelations between groups No impact

Any other areas No impactWill the POLICY have an impact on the physical environment? for example, will therebe impacts on:

Living conditions No impactWorking conditions Positive

Pollution or climate change No impactAccidental injuries or public safety PositiveTransmission of infectious disease No impact

Any other areas No impact

18Will the POLICY affect access to and experience of services?

Health care No impactTransport No impact

Social services No impactHousing services No impact

Education No impactAny other areas No impact

Rapid Impact Assessment: Summary sheetNegative impacts: groups affected No impactAction Plan: Not requiredWill there be any negative impacts remaining after implementation of action plan? NoSummarize impact: No impactWhat is the likelihood of thisoccurring? (enter score from table)

0 What is the consequence of thisoccurring? (enter score from table)

0

RiskScore:

likelihood consequence0 X 0 = 0

For the full EDIA please refer to the Human Resources Department and the Single EqualityScheme document.

See RiskAssessment Policyfor definitions

LIKELIHOOD

CONSEQUENCESImpossib

le0

Rare1

Unlikely2

Moderate3

Likely4

Certain5

Negligible - 0 0 0 0 0 0 0Minor - 1 0 1 2 3 4 5Moderate - 2 0 2 4 6 8 10Serious - 3 0 3 6 9 12 15Major - 4 0 4 8 12 16 20Critical - 5 0 5 10 15 20 25

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Terms of ReferenceInsert Committee Name

This is a document that sets approved and agreed objectives and remit of the namedCommittee, Sub Committee or Work Party. Any deviation must be discussed with theoriginating author and authorised by Full Council.

DOCUMENT NO: This will be added by the parish office

Lead author(s):(enter job titles)

Insert name and title

Developed by: Insert name and title

Approved by:

Committee/Sub Committeeof:

Approval date: Date to be addedReview date: Date to be added (1 year post approval date)Version no: 1Version Control And Revisions:1 First published Enter dateVersion Page/Para No. Description of change Date

20INTRODUCTION.

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 xxCllr xxCllr xxCllr 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 andreview 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 whotake an interest in the work of the Committee and may, from time to time, contributeto particular pieces of work. These members will receive a copy of the minutes ofeach meeting. The Chair will review the corresponding members list on an annualbasis.

ACCOUNTABILITY

21The actions of the Committee are directly attributable to the Parish Council thereforeall members of the Committee have a general duty to act in the best interests of theParish 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 ParishCouncil as a whole. They should not do so in order to gain financial or other materialbenefits for themselves, their family, their friends or the organisation they come fromor represent.

Integrity

Committee members should not place themselves under any financial or otherobligation to outside individuals or organisations that might seek to influence them inthe performance of their role. They should avoid actual impropriety, and appearanceof improper behaviour and avoid accepting gifts and hospitality that might reasonablybe 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 madeSolely on merit.

Accountability

Committee members have a duty to comply with the law on all occasions inaccordance with the trust placed in them and in such a way as to preserve publicconfidence in the Parish Council. They are accountable for their decisions and actionto members, the public and funders. They must submit themselves to what scrutiny isappropriate to their role.

Openness

Committee members should ensure that confidential material, including material aboutindividuals, is handled in accordance with due care. They should be as open aspossible about their decisions and action that they take. They should give reasons fortheir 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 asa committee member and to take steps to resolve any conflicts that may arise. Whereprivate interests of a committee member conflict with their duties, he/she must resolvethis conflict in favour of the committee member role. They must make relevant

22declarations of interest in the different circumstances and roles they play both withinand outside of the Parish Council.

Leadership

Committee members should promote and support the principles of leadership byexample.