2005 Audit Recommendations  -  Status Tracking
Document 4
Audit:  Emergency Management Program  (EMC Lead:  S. Kanellakos / Staff Lead:  J. Ash)
  Audit Recommendation Management Response Comments  Budget Implications
2007 or Beyond		 Related Council Motions Status Update
    Audit Management Response Action Required Based on DCM Implementation Plan          Management Timelines    (Q1- Q4) (Risks, issues regarding implementation, etc) ($$ if known)    
1 That the management of the EMU develop a mapping of EMP capital projects and Program activities to the standards defined by Emergency Mgmt Ontario and that the subsequent mapping be: 

a) annually reported to Council,

b) updated and reported to the Steering Cttee on a twice yearly basis.		 Management agrees with these recommendations.

Although the Audit Team determined that “the City is compliant with the requirements of the Emergency Management Act and associated regulations” as reported to Council at its meeting of December 15, 2004, the Audit Team recommended development of a process to map Emergency Management Program (EMP) capital projects and activities to the enhanced (year 2) and comprehensive (year 3) standards.

Because the City’s Five (5) Year, $7.1 Million EMP actually pre-dates the Emergency Management Act, tracking tailored to its requirements was not built into the original design.

Although the Province does not require it until 2007, the Office of Emergency Management is developing an annual planning cycle process as follows:

· annual project review including a legislative program mapping process for approval by the Steering Committee
· semi-annual reprioritization exercise to ensure legislative compliance will be achieved with an update provided to the Steering Committee for approval
· bi-monthly formal program status updates to the
Steering Committee to ensure financial
accountability, mitigate risks associated with
projects and ensure that information is shared
appropriately.

This process will be tabled at the Steering
Committee meeting in Q1 2006.		 Develop an annual planning cycle that includes:

· annual project review including a legislative program mapping process for approval by the Steering Committee.

· semi-annual reprioritization exercise to ensure legislative compliance with an update provided to the Steering Committee for approval.

· bi-monthly formal program status updates to the Steering Committee to ensure financial accountability, mitigate risks associated with projects and ensure that information is shared appropriately.		 This process will be tabled at the Steering Committee meeting in Q1 2006.     No As of February 2006, a legislative program mapping process has been established for all EMP projects and program activities. This process has been approved by the EMP Steering Committee. The OEM has received notification from Emergency Management Ontario that it is currently meeting legislative compliance.  N.B. Future legislative standards remain to be established. Status updates are provided to the EMP Steering Committee on a bi-monthly basis.
2 That the EMU develop the following key controls for approval by the Steering Cttee:

a) a detailed Terms of Reference for the Steering Cttee including a description of the Steering Cttee's program oversight roles and responsibilities and an approvals matrix for the Working Group, Steering Cttee, and EMU.   		Management agrees with these recommendations.

“The Audit Team observed that the Program has an adequate management control
framework. Specifically, formal and informal controls and processes were observed for all of the audit criteria supporting the control areas identified above. While it was observed that an adequate management control framework exists, three observations were made to reduce the risks facing the Program and to strengthen existing processes.”

As noted under Recommendation 1, the current Terms of Reference for the Emergency Management Program were developed in 2002, prior to passage of the Emergency Management Act, and focused primarily on the project structure. Now that the City is approaching the end of its first 5-year planning cycle, it is appropriate to review the current Terms of Reference and reorient them to support the ongoing governance structure and processes required to support the ongoing Emergency Management Program.

 Develop an updated Terms of Reference which will include:

· roles, responsibilities and approval processes

· an annual mapping/planning process

· a semi-annual self-assessment to ensure legislative compliance

· program objectives and develop performance measures to ensure that the program is meeting those objectives

· a strategic planning cycle for the Emergency Management Program.		 A Terms of Reference will be tabled for approval by the Steering Committee in Q1 of 2006.      No An updated Terms of Reference outlining the roles, responsibilities and approval processes has been drafted and was tabled for discussion on June 15th, 2006 at the EMP Steering Committee, scheduled for approval Sept 12th.
  b) a formal program planning framework, including strategic and annual program planning process for the Program.        
  c) a performance measurement framework for regular reporting to the Steering Cttee and Council including performance measures in the areas of legislative and regulatory compliance and Program goals and objectives.       A Performance Measurement Framework for EMP has been established as of April 12th, 2006.
    The updated Terms of Reference will identify roles, responsibilities and approval processes. It will include an annual mapping/planning process and semi-annual self-assessment to ensure legislative compliance. It will outline program objectives and develop performance measures to ensure that the program is meeting those objectives and it will outline a strategic planning cycle for the Emergency Management Program.

A Terms of Reference will be tabled for approval by the Steering Committee in Q1 of
2006.

The existing management control framework is being strengthened departmentally and within the branch, the reporting areas, nature of the reports and frequency have been documented and will be actively reviewed by individual managers and collectively by the Branch Management Team.		            
3 That the Steering Cttee place a priority upon the timely completion of capital project 511-19, Municipal Evacuation Plan, and regularly monitor the project's progress and adequacy of resources assigned to the Project. Management agrees with this recommendation.

Management recognized the Evacuation Plan as a priority and dedicated resources to support this initiative in October 2005. The project focuses on planning all elements of an evacuation, which requires multi-departmental coordination. The first phase was completed in December 2005, and described the coordination mechanisms and major procedures for all plan elements and detailed internal City of Ottawa responsibilities within the plan. The next phase, anticipated to be complete by June 2006, will address all major job aids, coordination mechanisms and responsibilities involving external partners.		 The first phase was completed in December 2005 and described the coordination mechanisms and major procedures for all plan elements and detailed internal City of Ottawa responsibilities within the plan.  The next phase, anticipated to be complete by June 2006, will address all major job aids, coordination mechanisms and responsibilities involving external partners. Plan to be presented to the Steering Committee in June 2006.     No A General Evacuation Plan was completed on December 23, 2005. Work on a Detailed Evacuation Plan was initiated on  January 19th, 2006 (includes  position checklists, major job aids, coordination mechanisms, and identification of external partners). The detailed Evacuation Plan will be presented to the EMP Steering Committee on Sept 12th, 2006.
4 That the EMU undertake a process to identify and document the anticipated operating and human resources costs for all EMP capital projects (pending, scoping, active, and completed) and that these costs be discussed and agreed to by the Steering Cttee. Management agrees with this recommendation.

In August 2005, a revised project approval process was formally established and approved by the EMP Steering Committee. Included in this process are the identification of human resources and their time allocation, and the potential operational impact of the project. Throughout a project’s development, the Steering Committee members will be kept apprised of the project’s progress and its integration operationally. Staff recently conducted a historical review of the human resources allocated to the projects as well as projected human resources required to complete the projects in 2006 and 2007. The results of this analysis were used for the annual project review for 2006 and will subsequently be used in 2007.		   Already implemented   Ongoing review of projects has identified an OEM 2007 pressure of 2 FTEs for the implementation and on going coordination of:  Exercise/Training and Business Continuity projects.

An OEM 2008 budget pressure of 1 FTE is identified for the ongoing coordination of multi departmental CBRNE USAR response teams.

Operational pressures external to OEM will be identified by specific Branch/Department. 		No In August 2005, a revised project approval process was formally established and approved by the EMP Steering Committee.  Included in this process are the identification of human resources and their time allocation, and the potential operational impact of the project.  Throughout a project’s development, the Steering Committee members will be kept apprised of the project’s progress and its integration operationally.  Staff recently conducted a historical review of the human resources allocated to the projects as well as projected human resources required to complete the projects in 2006 and 2007. The results of this analysis were used for the annual project review for 2006 and is being refreshed for the development of 2007 implementation plan to be presented to the EMP Steering Committee Sept. 12th.
5 That the EMU develop and document a process for the selection and approval of new Working Group members and ensure that the process:  documents the anticipated workload requirements of Working Group members; clearly outlines roles and responsibilities; and includes formal senior management approval of the department from which the resource belongs. Management agrees with the intent of this recommendation.

Further to recommendation 2, the new Terms of Reference will include a process to document requirements of Working Group membership, core competencies and a process for gaining formal approval at the Steering Committee level on Working Group membership. This formal approval will assist in ensuring workload balances are made with respect to Working Group members.

A detailed human resources impact analysis was presented to the Steering Committee
November 22, 2005. Subsequent to this, an implementation plan for 2006 & 2007 will be presented to the Steering Committee in Q1 of 2006. The implementation plan will identify the implementation of various projects and the financial and human resources required to successfully complete each project with in the identified timeline. Each future project will also follow the project start-up process approved by the Steering Committee in August 2005 (identified on page 44 of audit report).  The 2006 & 2007 implementation plans, the project start-up process and bi-monthly status reporting to the Steering Committee will ensure effective benefit sustainment.
The new Terms of Reference will also include:

 · a process to document requirements of Working Group membership

· core competencies 

· process for gaining formal approval at the Steering Committee level on Working Group membership.  		A Terms of Reference will be tabled for approval by the Steering Committee in Q1 of 2006.      No The updated Terms of Reference outlines the selection process, the delegated level of authority, and the core competencies expected of the Working Group membership. The Terms of Reference was tabled for review and discussion on June 15th, 2006 at the EMP Steering Committee, scheduled for  approval Sept 12th.
6 That the Steering Committee place a priority upon the timely completion of EMP capital project 511-07, Emergency Operations Centre (EOC) Design. The current location and design of the Emergency Operation Centre (EOC) is problematic.  The layout is not appropriate for the number and types of activities required by a single tier municipality of Ottawa’s size, is located downtown and therefore at higher risk from a vulnerability perspective, has no permanent audio visual equipment and computer workstations and lacks an effective form of controlled access.

Accordingly, a project has been identified for the design of a new Emergency Operations Centre. A Best Practices Review has been completed and an EOC Design Concept document was developed to aid in decision-making processes and the design phase. To date, the project team has also developed detailed operating procedures for the current EOC, which addresses notification procedures for mobilizing staff and procedural processes for the effective management of the EOC. The City of Ottawa is currently seeking partnership opportunities with the Federal Government – Public Safety and Emergency Preparedness Canada to co-locate Federal and Municipal- Emergency Operations Centers. Temporary modifications to
the existing EOC are also being evaluated to enhance efficiencies of space and
personnel.		 Continue seeking partnership opportunities with the Federal Government – Public Safety and Emergency Preparedness Canada to co-locate Federal and Municipal- Emergency Operations Centers. 

Evaluate and implement temporary modifications to the existing EOC to enhance efficiencies of space and personnel.		     Capital design and construction costs have been identified: Capital design cost (2007) 1,000,000 (includes land purchase cost if required), Capital construction costs (2008) 4,200,000 operational costs (2009) 60K. No A project has been identified for the design of a new Emergency Operations Centre.  A Best Practices Review has been completed and an EOC Design Concept document was developed to aid in decision-making processes and the design phase.  In consultation with RPAM, capital design and construction costs as well as operational costs have been identified for the establishment of a new EOC.  The selection of potential city-owned land is in process of being identified.  A Hazard and Threat Assessment will be conducted on potential locations.  To date, detailed operating procedures for the current EOC, notification procedures for mobilizing staff, and procedural processes for effective management of the EOC have been  developed and implemented.
7 That the management of the EMU document and implement a process to ensure the Steering Cttee review and where required, reprioritize/re-profile the EMP capital projects portfolio on a twice yearly basis. Management agrees with this recommendation.

The Audit Team “observed that the current EMP capital project portfolio of 29 capital projects is aligned to the stated goals and objectives of the Program and …that monitoring processes exist at the branch and departmental level but not at the Steering Committee level to track capital project schedule, costs and scope.”

A semi-annual process will ensure that projects are appropriately prioritized on an ongoing basis by the Steering Committee as well as to ensure provincial program compliance.

The Terms of Reference planned for Q1 of 2006 will include this requirement.
 The Terms of Reference will also include a semi-annual process which will ensure that projects are appropriately prioritized on an ongoing basis by the Steering Committee as well as to ensure provincial program compliance. A Terms of Reference will be tabled for approval by the Steering Committee in Q1 of 2006.      No The prioritization process/Implementation planning  was initiated on December 14th, 2005 and completed by February 3rd, 2006.  The next prioritization exercise is scheduled for initiation on August 10th, 2006.  Results of this exercise to be reported at the EMP Steering Committee meeting on September 12th, 2006.  The semi-annual reprioritization/review process is identified in the updated Terms of Reference. TOR  will be tabled for approval at the EMP Steering Committee meeting on September 12th.