2005 Audit Recommendations  -  Status Tracking
Audit:  By-Law Enforcement and Inspections  (EMC Lead:  S. Kanellakos / Staff Lead:  S. Jones)
  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 The Director, By-Law and Regulatory Services Branch,  should expand existing service standards to include completion standards and performance targets to improve upon staff utilization, monitoring and reporting for EID activities. Management agrees with this recommendation.

To date, Management has concentrated on setting and monitoring performance standards for the timely prioritization and dispatch of calls.

As set out in the audit findings, by-law requests-for-service (RFS) are categorized as priority 1, 2 or 3 calls in accordance with the urgency of the infraction: for priority 1 calls, complainants are contacted and calls actioned within 24 hours; for priority 2 calls, complainants are contacted and action commenced within 48 hours, and; for priority 3 calls, complainants are contacted within 48 hours and action commenced within 7 days.

Management will undertake to establish completion standards / performance targets and will work to improve staff utilization through a 2006 efficiency review. Given technology upgrades required for tracking purposes, it is expected that completion standards and performance targets will be completed and in place by the end of 2007.		 Establish completion standards and performance targets. 

Work to improve staff utilization through a 2006 efficiency review.  		Given technology upgrades required for tracking purposes, expected completion is the end of 2007. It should be noted that the longer timelines needed to establish those standards are due to the wide variability in the nature and sophistication of different requests for service.   For example, one dog bite call may be resolved within a day based on cooperation of the parties, reliability of information and other factors, while another dog bite call may take several months to close based on availability of witnesses, appeal processes and other factors. Estimated require $600K for consultant and hardware to move to system that can accurately capture activities and track same/$20K to integrate all licensing systems/$300K for on-board technology to capture data and create efficiencies - projected 2007 to 2010.  This has been identified as part of the Long-Range Financial Plan. No Work with Information Technology Services is currently underway to explore effective tracking tool applications.  Funding was not approved in the 2007 budget and will be proposed again in 2008.  As a result, staff has convened meetings with IT to look at existing processes and progams to determine what changes can be made to determine completion standards and performance targets.
    It should be noted that the longer timelines needed to establish those standards are due to the wide variability in the nature and sophistication of different requests for service. For example, one dog bite call may be resolved within a day based on coope            
2 The Director, By-Law and Regulatory Services Branch,  should ensure Coordinators and Supervisors expand their monitoring activities to include the monitoring of overall performance against established standards to keep a record of their monitoring findings and to report periodically as appropriate on these findings to include suggested actions to take to improve on overall performance achievement. Management agrees with this recommendation.

As noted in recommendation 1, Management will work to establish completion performance standards and agrees that they should be monitored and reported upon. Technology enhancements will be required to implement and track the standards electronically.		 Work to establish completion of performance standards that will be monitored and reported upon. Given technology upgrades required for tracking purposes, expected completion is the end of 2007 subject to funding being approved. Technology enhancements will be required to implement and track the standards electronically. See comments and numbers above. No Work with Information Technology Services is currently underway to explore effective tracking tool applications.
3 The Director, By-Law and Regulatory Services Branch, in concert with the I.T. Services Branch, should pursue opportunities to enhance operational efficiency through the use of available technology tools and ensure that technology opportunities are recorded and evaluated on a periodic basis. Management agrees with this recommendation.

The Information Technology Services (ITS) Branch has already initiated discussions with the By-law Services Branch with respect to reviewing technology requirements and related tools to assist the Branch in pursuing their operational efficiencies. It is anticipated that formal discussions and planning sessions will commence in Q1 of 2006 with a view to providing and defining technology opportunities, budget requirements and a go forward plan by the end of 2006.		 Continue discussions with Information Technology Services regarding technology opportunities. It is anticipated that formal discussions and planning sessions will commence in Q1 of 2006 with a view to providing and defining technology opportunities, budget requirements and a go forward plan by the end of 2006.   See comments and numbers above. No The Information Technology Services (ITS) Branch has already initiated discussions with the By-law Services Branch with respect to reviewing technology requirements and related tools to assist the Branch in pursuing their operational efficiencies. By-law Services staff is currently awaiting direction from ITS before this work can proceed any further.
7 The Director, By-Law and Regulatory Services Branch,  should schedule a formal review of the actual achievements of implementation of the new model against its original performance objectives within 12-18 months after project initiation and once major aspects are considered implemented. Management agrees with this recommendation. Management has already planned a post implementation review of the deployment that will be undertaken in the fourth quarter of 2007. Conduct a post-implementation review of the deployment.  Evaluation to be undertaken in the fourth quarter of 2007.     No The new deployment model is in the final stage of implementation pending the staffing of one final  integral position. Evaluation will proceed in Q4 of 2007 as per the Auditor General's recommendations.
9 The Director, By-Law and Regulatory Services Branch,  should systematically assess and monitor risk areas that could lead to further delays to the Harmonization project. Management agrees with this recommendation.

Further to the response to Recommendation 8, the Director currently meets, and will continue to meet, on a monthly basis with the project and Branch Management Team to monitor and assess risk areas in the harmonization of by-laws. The Branch is also waiting a response from the Province on the enactment of a new City of Ottawa Act, which will allow regulations to be enacted differently based on geography. As a result of the challenges related to the rural/urban diversification in terms of enacting new regulations, the Province has also extended the expiry date for the harmonization of the remaining licensing by-laws until the end of 2007. It is anticipated that all of the harmonization work will be completed by this date.		 Director will continue to meet on a monthly basis with the project and Branch Management team to monitor and assess risk areas in the harmonization of by-laws.     It is anticipated that all of the harmonization work will be completed by the end of 2008. The Branch is also awaiting a response from the Province on the enactment of a new City of Ottawa Act which will allow regulations to be enacted differently based on geography.  As a result of the challenges related to the rural/urban diversification in terms of enacting new regulations, the Province has also extended the expiry date for the harmonization of the remaining licensing by-laws until the end of 2007.   No  New Municipal Act came into effect for January 1, 2007.  Final By-law harmonization project work is now underway and is expected to be completed by the end of 2008.
10 The Director, By-Law and Regulatory Services Branch, should establish an initiative to identify key strategic, operational and project areas of higher risk where more systematic risk management techniques can be integrated. Management agrees with this recommendation.

Current management practices include risk management in the form of minimizing liability exposure and containment of negative risk in areas affecting both Branch staff and clients and the effective management of opportunity risk. It is recognized that presenting the right information to Branch Management is essential to enabling effective risk management decisions. It is anticipated that the 2006 efficiency review will help meet this objective and will be included as part of the By-law Services work plan.		 Continue current management practices including risk management in the form of minimizing liability exposure and containment of negative risk in areas affecting both Branch staff and clients and the effective management of opportunity risk. 

Complete the Branch Process Review.

To be included as part of the By-Law Services Work Plan.		  It is anticipated that the 2006 efficiency review will help meet this objective.     No The 2006 Branch Process Review is currently underway. This initiative should assist in the identification of where risk exists and where mitigation strategies are in place or required.
11 The Director, By-Law and Regulatory Services Branch,  should include risk management in EID training plans for managers and staff. Management agrees with this recommendation.

Further to the response to Recommendation 10, as part of the 2006 efficiency review, key operational risks will be identified that can be built into training plans for managers and staff.		 Identify key operational risks as part of the Branch Process Review.

Build these into training plans for managers and staff.		 Q4 2007     No This work will be completed in 2007. The focus of risk mitigation issues to date has been with respect to occupational health and safety issues for field staff.
12 The Director, By-Law and Regulatory Services Branch,  should ensure a more structured approach to delivering and accounting for EID operational and program performance results including periodic performance reports that compare actual versus planned performance and requires an assessment of significant variances with actions to address those variances. Management agrees with this recommendation.

The Corporate Performance Measurement Framework established OMBI measures as a priority area for performance measurement. The annual Branch Accountability Plan will be strengthened in 2006 to reflect strategic as well as operational and program performance results. Management has already implemented 17 enforcement OMBI performance measurements and 7 licensing performance measurements in 2005 and will be implementing an additional 22 enforcement and 10 inspection OMBI measures in Q1 of 2006. Monitoring and reporting will be occurring on a monthly basis within the Branch and among the Departmental Senior Management Team.		 Annual Branch Accountability Plan will be strengthened in 2006 to reflect strategic as well as operational and program performance results. 

Will be implementing an additional 22 enforcement and 10 inspection OMBI measures.

Monitoring and reporting will be occurring on a monthly basis within the Branch and among the Departmental Senior Management Team.		 Awaiting technological enhancements     No Management has already implemented 17 enforcement OMBI performance measurements and 7 licensing performance measurements in 2005.   Remaining OMBI measures cannot be implemented without technology enhancements, and further direction from ITS. Funding was not approved in the 2007 budget and will be proposed again in 2008.  As a result, staff has convened meetings with IT to look at existing processes and progams to determine what changes can be made to determine completion standards and performance targets.