Directives and Operating Procedures 101 Speaker

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Minister’s Binding Policy Directives and
Operating Procedures 101
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Postsecondary Accountability Branch
October 2013
Purpose
Ministry of Training, Colleges & Universities
Postsecondary Education Division
The purpose for this presentation is to provide an overview of:
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•
The role of the Ministry of Training, Colleges, and Universities in
overseeing postsecondary institutions;
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The legislative framework that defines colleges’ roles and
responsibilities; and,
•
The Minister’s Binding Policy Directives and Operating Procedures
that set out the roles and responsibilities of colleges in more detail
than in the Act and regulation.
Role of the Ministry of Training, Colleges and
Universities
Ministry of Training, Colleges & Universities
Postsecondary Education Division
The Ministry of Training, Colleges and Universities’ role in postsecondary
education is to:
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•
Oversee the overall structure of the postsecondary system, including the
number and types of educational providers, their degree granting
authority and the governance structures under which they operate;
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Establish provincial objectives for the use of public funds and design
frameworks by which the objectives can be achieved and measured;
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Ensure high quality postsecondary education is accessible to all qualified
candidates, via tuition regulation, student assistance, targeted funding
and accountability mechanisms;
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Establish policy framework to guide the operations of the college system;
and,
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Provide operating and capital funding to publicly assisted colleges and
universities.
Colleges of Applied Arts and Technology –
Legislative Framework
Ministry of Training, Colleges & Universities
Postsecondary Education Division
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•
Colleges of Applied Arts and Technology are Crown Agencies reporting to
the Minister and are governed by the Ontario Colleges of Applied Arts and
Technology Act, 2002 (OCAATA).
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The OCAATA defines each college as a corporation without share capital
and with a board of governors; the Corporations Act governs the operation
of the college except where limited by the OCAATA, its regulations and the
Minister’s binding policy directives.
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Ontario Regulation 34/03, made under the authority of the OCAATA:
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lists the colleges;
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requires that a Board of Governors be established at each college and
outlines the Boards’ responsibilities;
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outlines the general admission criteria colleges are to use when
considering applicants for entrance to all college programs; and
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defines circumstances for the Minister’s intervention.
Colleges of Applied Arts and Technology –
Legislative Framework
Ministry of Training, Colleges & Universities
Postsecondary Education Division
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The colleges’ mandate, as set out in legislation, is to offer a comprehensive
program of career-oriented postsecondary education and training to assist
individuals in finding and keeping employment, to meet the needs of
employers and the changing work environment and to support the economic
and social needs of their local diverse communities.
•
In carrying out its mandate, a college may undertake a range of educational
and training related activities including, but not limited to:
- Entering into partnerships with business, industry and other educational
institutions;
- Offering courses in the French language where the college is
authorized to do so by regulation;
- Adult vocational education and training;
- Basic skills and literacy training;
- Apprenticeship in-school training; and,
- Applied research.
Colleges of Applied Arts and Technology –
Legislative Framework
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Colleges are also bound by other legislation applicable to public sector bodies,
including:
• Broader Public Service Accountability Act
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Financial Administration Act
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Establishes rules and accountability standards for designated broader public sector
(BPS) organizations, including colleges, around the use of external lobbyists,
consultants and expenses. The Act includes sections that provide authority to the
Management Board of Cabinet to issue directives to designated BPS organizations in
the areas of procurement and expenses.
The BPS Procurement Directive sets out procurement rules to ensure that publicly
funded goods and services are acquired by BPS organizations through a process
that is open, fair and transparent and that such processes are managed consistently
throughout the BPS.
The BPS Expenses Directive requires designated BPS organizations to establish
expense rules, and sets out requirements that must be included in each
organization’s expense rules.
The Perquisites Directive sets out requirements for designated BPS organizations to
establish rules on perquisites where these are provided through public funds.
Section 28 of the Financial Administration Act requires colleges to obtain Minister of
Finance approval before entering into any arrangement that would increase the
indebtedness or contingent liability of the province.
Freedom of Information and Protection of Privacy Act
Minister's Binding Policy Directives and
Operating Procedures
Ministry of Training, Colleges & Universities
Postsecondary Education Division
•
In support of the OCAATA and Regulation 34/03, the Ministry of Training,
Colleges and Universities has issued a set of policy framework documents that
consist of the following:
- 10 Minister's Binding Policy Directives that define the ministry's
expectations for the college system to comply with the Act and regulation.
- 13 Operating procedures that set out specific requirements and
procedures to comply with the Act, regulation and/or Minister's Binding
Policy Directives.
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These policy framework documents are focused on three areas:
1. governance and accountability
2. finance and administration
3. programs
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Minister's Binding Policy Directives and Operating
Procedures – Governance & Accountability
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Governance and Accountability Framework Minister's Binding Policy Directive
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This binding policy directive defines minimum expectations for governance and
accountability in colleges. The critical elements of the role of a college board of governors
are outlined along with a planning cycle and accountability framework.
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The Directive establishes the minimum responsibilities of a college board of governors as:
- Establishing governance structures to enable the achievement of expected institutional
outcomes with clear lines of communication and internal accountability;
- Setting the college vision, strategic directions, and overall goals and outcomes within
the context of the appropriate laws, government policy, and local need.
- Hiring the CEO (i.e., president), delegating to the CEO accountability for the operation
of the college and evaluating the CEO’s performance.
- Approving the college’s annual business plan, budget, and annual report.
- Assessing regularly the attainment by the CEO of corporate goals and outcomes, and
the effectiveness of the board with respect to governance.
- Taking appropriate corrective action, as necessary, where expected outcomes or
quality of performance are not achieved.
•
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Related Operating Procedures include the Strategic Plan Operating Procedure,
Business Plan Operating Procedure, Annual Report Operating Procedure and the
Audited Financial Statements Operating Procedure. These set out the minimum
requirements for the preparation of these documents.
Minister's Binding Policy Directives and Operating
Procedures – Governance & Accountability
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Conflict of Interest Minister's Binding Policy Directive
•
This binding policy directive is intended to protect the integrity and ethical standards of
college boards and, as importantly, protect the integrity of a board member who may face a
conflict of interest.
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The Directive sets out a process to be followed by boards for the disclosure of actual,
potential, or perceived conflicts of interest.
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The Directive also sets out what the board is to do if there has been a failure on the part of
a board member to comply with this binding policy directive.
Protocol for Board Nominations and Appointments
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This document sets out principles to guide board nominations and appointments as well as
the process for submitting nominees for Lieutenant Governor in Council appointments to
college boards.
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The Protocol establishes that the overriding principle for nominations and appointments is
that all board appointments are to be merit based and only qualified and experienced
individuals with the necessary skills and knowledge will be considered for nomination. With
merit as a precondition, other criteria such as diversity, probity, and transparency then come
into play.
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Minister's Binding Policy Directives and Operating
Procedures – Governance & Accountability
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Key Performance Indicators Operating Procedures
•
The Ministry and the colleges have defined five Key Performance Indicators (KPIs) to
measure, in a consistent manner across the college system, college performance against
ministry stated goals and objectives.
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The Graduate and Employer KPI Surveys Operating Procedure, the Student
Satisfaction KPI Survey Operating Procedure and the Graduation Rate KPI
Calculation and Reporting Operating Procedure set out the requirements for the
administration of the surveys used to collect the KPI data and the requirements for the
publication of the KPI data
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Minister's Binding Policy Directives and Operating
Procedures – Finance & Administration
Ministry of Training, Colleges & Universities
Postsecondary Education Division
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Banking, Investments and Borrowing Minister's Binding Policy Directive
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This binding policy directive establishes banking, investment and borrowing requirements
for all colleges. Requirements under this Directive include:
- Every college is to safeguard the funds it receives by exercising due diligence to
satisfy itself of the financial soundness of the institutions it utilizes for banking and
investment purposes.
- Colleges are to establish a competitive process to acquire banking services.
- The board of governors is to approve an investment policy to guide its investment
activities.
- A college may only invest college funds not immediately required to operate the
college, in a manner which complies with specific requirements set out in the Directive.
- A college making a loan request is to request an Ontario Financing Authority (OFA)
loan unless it is able to demonstrate to the satisfaction of the OFA that a loan from
another financial institution would provide a lower cost of borrowing.
- A college is solely responsible for the financial obligations created by taking out a loan,
mortgage or other debt or entering into any investments and financial agreements.
- A college is to provide the Ministry with an annual borrowing plan.
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The Banking, Investments and Borrowing Operating Procedure sets out the specific
details on the restrictions and conditions on college banking, investments and borrowing,
including the process for colleges requesting approvals under Section 28 of the Financial
Administration Act and for requesting long-term financing from the OFA.
Minister's Binding Policy Directives and
Operating Procedures – Finance & Administration
Ministry of Training, Colleges & Universities
Postsecondary Education Division
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Entrepreneurial Activities Minister's Binding Policy Directive
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This binding policy directive outlines the types of entrepreneurial and commercial activities
that colleges may undertake and establishes the conditions under which the activities may
occur. Requirements under this Directive include:
- Colleges undertaking entrepreneurial activities are to do so in a manner consistent
with their education and training mandate.
- In pursuing entrepreneurial activities, the core businesses and assets of the college
are to be protected and public funds utilized only to support grant-eligible activities.
- Colleges will charge a minimum of fair market value when providing commercial
services to the general public.
- Processes associated with entrepreneurial and commercial activities such as tendering
and purchasing are to be open and transparent.
- The college’s status as a tax-exempt and not-for-profit corporation must be maintained
and protected.
- Funds earned from entrepreneurial activities are to be returned to the college to
support its core businesses within the education and training mandate.
- Colleges may operate outside the province of Ontario consistent with the education
and training mandate of the Ontario college system.
- It is the responsibility of the board of governors to obtain appropriate legal or other
professional advice.
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The Directive also sets out parameters around the incorporation of a subsidiary corporation.
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The Ministry is currently undertaking a review of this Directive.
Minister's Binding Policy Directives and
Operating Procedures – Finance & Administration
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Funding of Part-time Activity Minister's Binding Policy Directive
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This binding policy directive establishes the eligibility criteria for funding of part-time activity
through the general purpose operating grant.
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Part-time activity eligible for funding through the general purpose operating grant is to be
vocational in intent and content (i.e., improve knowledge and skills related to the
employability of the student), and students must meet the admission requirements set out
for colleges in O. Reg. 34/03.
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The Directive also lists part-time activities which are not eligible for funding through the
general purpose operating grant, such as general interest, basic, or personal interest
courses, apprenticeship courses, practicum or field placement courses that are not part of a
postsecondary program of instruction eligible for funding through the general purpose
operating grant, and courses funded by a third party.
Enrolment and Graduate Reporting Operating Procedure
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This operating procedure sets out the requirements for preparing and reporting enrolment
and graduate data to the Ministry, and for conducting an audit of the data.
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Minister's Binding Policy Directives and
Operating Procedures – Finance & Administration
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Proceeds from Sale or Encumbrance of College Property Minister's Binding Policy
Directive
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This binding policy directive sets out the need for Minister’s approval for the use of
proceeds from the sale, encumbrance, or lease of college property acquired with provincial
support.
Tuition and Ancillary Fees Minister's Binding Policy Directive
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This binding policy directive sets out parameters for establishing tuition fees for activity
eligible and reported for funding through the college general purpose operating grant.
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In addition, the Directive addresses ancillary fees, tuition fee refunds, accountability and
reporting requirements, and the allocation of revenue from tuition fee increases to quality
improvements and student assistance.
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Non-compliance with this binding policy directive by a college could result in a deduction
from a college’s allocation from the general purpose operating grant.
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The Tuition and Ancillary Fees Operating Procedure provides details for implementing
policy regarding tuition, ancillary fees, tuition fee refunds, accountability and reporting
requirements, and the allocation of tuition fee revenue increases towards quality
improvements and student assistance.
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Minister's Binding Policy Directives and
Operating Procedures – Programs
Ministry of Training, Colleges & Universities
Postsecondary Education Division
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Framework for Programs of Instruction Minister's Binding Policy Directive
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This binding policy directive defines expectations for all programs of instruction offered by
colleges regardless of the funding source, except for ministry-funded apprenticeship training.
The Directive includes the Credentials Framework, which sets out the minimum provincial
requirement for credentials to be awarded.
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Requirements under this Directive include:
- The college is to ensure that an advisory committee for each program or cluster of
related programs offered at the college be established.
- Programs of instruction are to include, along with vocational outcomes, applicable
outcomes for generic employability skills and general education.
- Programs must meet the requirements of a program standard, where a standard exists.
- Colleges are to have protocols in place for students regarding grading, advancement,
and dispute resolution.
- Colleges are to establish mechanisms for the review of their programs of instruction to
ensure ongoing quality, relevancy, and currency.
- Prior learning assessment and recognition is to be made available for as many credit
courses as possible in programs in which enrolment is eligible for funding.
- If there is a requirement for graduates in a program to be certified or granted some
other form of official recognition by a regulatory authority, the college shall not offer the
program, unless the program has been accredited by the relevant regulatory authority.
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The Directive also sets out advertising and marketing requirements to be followed in
marketing college programs.
Minister's Binding Policy Directives and
Operating Procedures – Programs
Ministry of Training, Colleges & Universities
Postsecondary Education Division
Funding Approval of Programs of Instruction Minister's Binding Policy Directive
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This binding policy directive defines the framework within which the ministry will approve
programs of instruction for funding from the general purpose operating grant.
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The Funding Approval of Programs of Instruction Operating Procedure sets out the
process for colleges to request approval of postsecondary programs of instruction for
funding from the general purpose operating grant.
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The Program Suspension and Cancellation Operating Procedure describes the process
for colleges to inform the Ministry of changes to offerings of programs of instruction.
Admissions Criteria Minister's Binding Policy Directive
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The general admissions criteria that all colleges are to use when considering applicants for
entrance to all college programs of instruction are outlined in O. Reg. 34/03.
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This binding policy directive sets out the requirements to establish specific admission
criteria and procedures for all full-time or part-time postsecondary programs of instruction.
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The Directive sets out the steps the admission process is to follow, details around
residency-based priority and program-specific selection criteria.
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The Directive also requires that each college have a written admission review process that
is to specify both the means by which applicants who are refused admission can obtain the
specific reason for such refusal, and the means by which to request a review of the
admissions decision.
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For More Information
Ministry of Training, Colleges & Universities
Postsecondary Education Division
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The OCAATA, Ontario Regulation 34/03, the Binding Policy Directives,
Operating Procedures, and other college system information on a variety of
topics (such as funding, reporting data, college financial consolidation etc.) are
available at the following website:
http://caat.edu.gov.on.ca/
User name: caatsite
Password: 900Mowat
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Contact information for Ministry staff who can answer questions and provide
further information about each of the documents is also listed on this website.
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