Governance Process ENDS. Board- President Relationship. Executive Limitations

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2 Monitoring Schedule Limitation Policies Policy Method Frequency EL-1 General Constraints Internal Report Annually, Oct EL-2 Board Duties and the Internal Report Annually, Sep EL-3 Staff Treatment Internal Report Annually, Oct EL-4 Planning Internal Report Annually, Jan EL-5 EL-6 Budget/Financial Forecasting Financial Condition Internal Report Internal Report External Audit Quarterly, Bi-annually Annually EL-7 Communication & Counsel to the Board Internal Report Annually, Mar EL-8 Asset Protection Internal Report External Audit Annually, Dec Annually EL-9 Compensation & Benefits Internal Report Annually, Mar EL-10 Emergency Succession Internal Report Annually, Mar EL-11 Treatment of Students Internal Report Annually, Apr EL-12 Public Image Internal Report Annually, May EL-13 Partnerships Internal Report Annually, Apr

3 EL-1 GENERAL EXECUTIVE CONSTRAINTS GENERAL EXECUTIVE CONSTRAINT EL-1 Approved: October 19, 2012 April 20, 2012 Revised: October 16, 2012 The /CEO will not cause or allow any practice, activity, decision or organizational circumstance which is either illegal, imprudent or in violation of generally accepted business and professional ethics. Monitoring: Internal Report annually; Direct Board Inspection through the presidential evaluation instrument.

4 EL- 2 BOARD DUTIES & THE PRESIDENT Board Duties and the EL - 2 Approved: April 19, 2013 Reviewed: March 22, 2013 The Board of Governors is responsible for governing and the will manage the affairs of NWCC. The will faithfully implement the policies and directions provided by the Board of Governors. Further, without limiting the scope of the above statement the shall not fail to: 1. Assist in determining the mission, vision and values of NWCC. 2. Conduct staff recruitment and selection procedures consistent with the Ends policies of the NWCC Board of Governors and the Institutional Code of Ethics. 3. Determine the administrative and academic organization of NWCC. 4. Exercise internal disciplinary jurisdiction over the non-academic conduct of students, including the power to expel or suspend for cause. 5. Enter into agreements to further NWCC s purposes, including agreements to develop and deliver joint programs (as per the College & Institute Act). MONITORING: Internal, Annual in September.

5 EL-3 STAFF TREATMENT Staff Treatment EL-3 Approved: October 19, 2012 April 20, 2012 Revised: October 19, 2012 The /CEO will not deal inappropriately with staff, volunteers and the community. The /CEO will not: 1. Operate without personnel procedures which clarify personnel rules, provide for effective handling of grievances and protect against wrongful conditions; 2. Discriminate against anyone for expressing an ethical dissent; 3. Prevent staff from appealing to the Board when it is alleged that internal policies and appeal procedures have not been followed; 4. Fail to institute processes to acquaint staff to a reasonable extent with their responsibilities and rights; 5. Fail to operate within the Values and Operating Principles of NWCC; MONITORING: Internal report annually satisfaction survey, report of grievances.

6 EL-4 PLANNING PLANNING EL-4 Approved: April 20, 2012 Reviewed: April 10, 2012 The /CEO may not impede the vision or prohibit the achievement of the Ends Statements of the College. The /CEO may not develop plans which: 1. Do not take into consideration the opinions of the Education Council and other relevant internal planning committees. 2. Do not take into consideration regional demographic, economic and social trends. 3. Do not take into consideration the views and opinions of employees, students, employers and advisory committees. MONITORING: Internal, Annual in January.

7 EL- 5 BUDGET/FINANCIAL FORECASTING BUDGET/FINANCIAL FORECASTING EL- 5 Approved: April 20, 2012 Reviewed: December 9, 2011 April 10, 2012 Budgeting for any fiscal year or the remaining part of any fiscal year shall ensure the fiscal integrity of the college and protect against fiscal jeopardy while materially supporting the multiyear plan and board Ends priorities. Accordingly, the may not cause or allow budgeting which: 1. Fail to include credible projection of revenues and expenses, separation of capital and operational items, cash flow, and disclosure of planning assumptions. 1.1 Fail to include provision for replacement and repair of capital assets, based on long term administrative planning. 2. Plan the expenditure in any fiscal year of more funds than are conservatively projected to be received in that period including funds to cover debt servicing; 3. Does not provide the annual operating funds for board prerogatives, such as costs of fiscal and internal audit, Board development, Board and Committee meetings, and board professional fees; 4. Endanger the fiscal soundness of future years or ignore the building of organizational capability sufficient to achieve ends in future years. 5. Fail to bring the budget for the following year to the Board of Governors for approval. MONITORING: Internal Quarterly and Annual Budget vs. Actual Expense Reports; annual Audit Report.

8 EL- 6 FINANCIAL CONDITION FINANCIAL CONDITION EL- 6 Approved: April 20, 2012 Reviewed: April 10, 2012 December 9, 2011 With respect to the organization s financial health, the shall ensure the fiscal integrity of the College and protect against deviation of actual expenditures form Board priorities established in Ends policies. Accordingly, the shall not: 1. Fail to ensure that the College operates within the parameters established by the Board approved operating budget; applying such internal control and monitoring practices and directing such operational corrections as may be required to observe that budget. 2. Use any long-term reserves except as directed by the Board. 3. Fail to ensure appropriate segregation of operating, capital, endowment and trust funds, and ensure that all are applied to their intended purposes. 4. Allow tax payments or other government ordered payments or filings to be overdue or inaccurately filed. 5. Fail to advise the Board when the sum of all cash and investments falls below the equivalent of the monthly financial commitments (payroll, utilities, leases, etc.) of the College. 6. Use the College s funds to support other agencies or organizations unless in the direct interests of the College. 7. Issue tax receipts for donations acceptable to the College that do not reflect the fair market value of the gift. MONITORING: External Annual Auditor s Report Internal Finance & Audit Committee/ Committee

9 EL- 7 COMMUNICATION & COUNSEL TO THE BOARD COMMUNICATION AND COUNSEL TO THE BOARD EL- 7 Approved: April 20, 2012 Reviewed: April 10, 2012 The /CEO will not provide information and advice to the Board that is untimely, incomplete or inaccurate. The /CEO may not: 1. Neglect to submit monitoring data required by the Board. 2. Neglect to inform the Board of anticipated adverse media coverage, actual or anticipated legal actions or changes in the assumptions on which a Board policy was established. 3. Fail to advise the Board of concerns that the Board or Board members are not in compliance with Board policies on and Staff MONITORING: Internal report direct board inspection through ial Evaluation.

10 EL- 8 ASSET PROTECTION ASSET PROTECTION EL- 8 Approved: April 20, 2012 Reviewed: December 9, 2011 April 10, 2012 The /CEO may not fail to maintain or protect the financial and physical assets of the institution. Accordingly, the shall not: 1. Fail to insure board members, staff or the College itself against theft, casualty and liability losses, in amounts consistent with the comparable organizations; 2. Fail to protect plant and equipment from misuse and inadequate maintenance; 3. Fail to maintain appropriate policies and take all reasonable actions to protect the organization, its board or staff from claims of liability; 4. Fail to maintain appropriate policies and take all reasonable actions to protect the organization, its board or staff from claims of liability; 5. Fail to establish controls to ensure that the receipt, processing and disbursement of funds is sufficient to meet our fiduciary requirements and the standards of the Office of the Auditor General; 6. Acquire, encumber or dispose of land or buildings. MONITORING: Internal report annually by Vice of Education & Student Services; External report Auditor annually

11 EL- 9 COMPENSATION & BENEFITS COMPENSATION AND BENEFITS EL- 9 Approved: April 20, 2012 Reviewed: April 10, 2012 The /CEO will not provide for compensation and benefits for employees that deviate materially from market. The /CEO may not: 1. Change his or her compensation or benefits. 2. Establish current compensation and benefits for employees which: 2.1. Deviate substantially from the geographic or employment market for the skills employed Deviate from the guidelines most recently provided by the Post Secondary Employers Association Compensate any employee beyond the terms of his/her individual contract or collective agreement by way of perquisites or special arrangements (personal loans, non-college travel and entertainment, gifting of college supplies and equipment). MONITORING: Internal report annually, on or before June 30.

12 EL- 10 EMERGENCY EXECUTIVE SUCCESSION EMERGENCY EXECUTIVE SUCCESSION EL- 10 Approved: April 20, 2012 Reviewed: December 9, 2011 April 10, In order to protect the Board from sudden loss of Chief Services, the may not have fewer than two (2) senior administrators familiar with Board and ial issues and processes. 2. In the case of an Emergency Succession, the will have provided the Committee with a recommended successor. The Committee has the final approval on succession. 3. In the absence of the, the Committee of the Board shall name an Acting with seven (7) days. 4. In the event of a long term absences by the, the Committee will address the interim succession. MONITORING: Internal, Annual in March.

13 EL- 11 TREATMENT OF STUDENTS Treatment of Students EL- 11 Approved: April 19, 2013 Reviewed: March 22, 2013 With respect to the treatment of students or potential students, the shall not cause nor allow conditions, procedures, or decisions which are unsafe, inhumane, unfair, disrespectful, in violation of human rights, or that fail to provide appropriate confidentiality and privacy, or appropriate access to education. Further, without limiting the scope of the above statement, the shall not: 1. Discriminate against anyone for respectfully expressing an ethical dissent. 2. Prevent students from grieving to the Board of Governors when internal grievance procedures have been exhausted, and the student alleges either: 2.1 That Board policy has been violated to his or her detriment, or 2.2 That Board policy does not adequately protect his or her human rights. 3. Fail to acquaint students with their rights and responsibilities. 4. Operate without clear written guidelines for the handling of student complaints. MONITORING: Internal Annual Report, April

14 EL- 12 PUBLIC IMAGE Public Image EL- 12 Approved: April 19, 2013 Reviewed: March 22, 2013 The shall not fail to ensure that NWCC has a positive, high profile in the public. Further, without limiting the scope of the above statement, the shall not: 1. Fail to establish an effective corporate communications and public relations strategy. 2. Harm NWCC s public image or credibility. 3. Fail to make information regarding Board decisions available and easily accessible to the public. MONITORING: Internal report, Annually in May

15 EL- 13 PARTNERSHIPS Partnerships EL- 13 Approved: April 19, 2013 Reviewed: March 22, 2013 The shall not fail to develop partnerships to achieve the Board of Governors Ends to maximize efficiency and effectiveness in the use of resources. Further, without limiting the scope of the above statement, the shall not: 1. Fail to take the initiative in developing appropriate partnerships to achieve the Board s Ends. 2. Fail to obtain appropriate input from stakeholders to achieve the Board s Ends. 3. Develop or continue collaborative relationships with organizations whose principles or practices are incompatible with achievement of the Board s Ends. MONITORING: Internal Annual Report, April