2005 Audit Recommendations  -  Status Tracking
Document 3
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 Ongoing.

At its October 18, 2007 meeting, the CAWG and the Director, By-law and Regulatory Services agreed to define service standards and work with Information Technology Services to modify MAP.
 
    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.            
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 ITS has assisted in the documentation of technology priorities and planning.  Work has begun on the Lifecycle for the Lottery Licensing.  ITS will be incorporating By-law requirements for GPS in the vehicles with the departmental strategic planning to leverage technology initiatives.  The ICAs for the Supervisors and Managers include a requirement to develop performance measures and establish a monitoring process, to be completed by the end of 2007.
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  ITS has implemented SmartPhones for the By-law Managers to assist with mobility requirements and to help with assessing the technology for mobile inspections.   ITS will assist By-law Services staff with identifying business requirements for a complete incident management system and conduct a market review pending funding approval.   
4 The Director, By-Law and Regulatory Services Branch,  should ensure that surprise cash counts are implemented as part of the cash handling activities performed in the Licensing and Programs Division as recommended in the 2004 internal audit. Management agrees with this recommendation.

The Licensing and Programs Division operates a cash handling operation for the sale, renewal and transfer of taxi and other licenses. An internal audit of revenue collection procedures was conducted in 2004 that examined: segregation of duties and end-of-day procedures; timely processing and recording of receipts; custody of cash; secure storage; centralized receipt of cash; and, supervisor/manager oversight. The (current) 2005 audit found that all 2004 recommendations had been implemented with the exception of surprise cash counts.

Management has already begun the process to undertake an internal audit of its cash management practices and will ensure a formalized approach is in place by the end of Q1 in 2006.		 Management has already begun the process to undertake an internal audit of its cash management practices. COMPLETED     No A formalized approach is in place with surprise cash counts being done at least every two weeks, but audits will be on-going.  Completed.
5 The Director, By-Law and Regulatory Services Branch,  in conjunction with a counterpart in Corporate Services, should:  a) formally agree who has overall responsibility for ensuring that appropriate revenue cycle controls for all by-law revenues are in place, and are reviewed, reconciled and evaluated on a regular basis.

b) ensure a plan is established to identify and correct control weaknesses including an up-to-date universe of deputized organizations and reconciliation of issued parking tickets.  		Management agrees with these recommendations.

The Director, By-law Services Branch has met with the City Treasurer and City Clerk to clarify and confirm responsibility for revenue processes and controls. A number of changes through the ParkSmart program and ticketing administration processes have been implemented to improve accountability overall.

Management recognizes that additional improvements are required to ensure that adequate controls and processes are in place to ensure revenues are being maximized and reconciled. As a result, an interdepartmental committee has been established that will begin meeting regularly in 2006 to ensure appropriate controls are in place and finalized by Q4 of 2006.		 Strike an interdepartmental committee to meet regularly in 2006 to ensure appropriate controls are identified and in place.
COMPLETED     No The Director, By-law Services Branch has met with the City Treasurer and City Clerk to clarify and confirm responsibility for revenue processes and controls.  A number of changes through the ParkSmart program and ticketing administration processes have been implemented to improve accountability overall including an Officer Tracking Tool. Completed.
6 The Director, By-Law and Regulatory Services Branch,  should ensure that health and safety risk areas faced by enforcement and inspections officers are assessed annually including assessment of the effectiveness of the measures taken to address health and safety risks. Management agrees with this recommendation.

The 2005 audit found that By-law Services undertook “a good combination of proactive and reactive measures to ensure compliance and that health and safety concerns are effectively addressed” but indicated that it would be beneficial to annually assess the top 5-6 occupational hazards and ensure appropriate mitigation measures are in place.

Management will ensure that this annual review is completed by Q4 of 2006. To support this review, Management is in the process of establishing a joint Occupational Health and Safety Committee comprised of management and operational staff from each of the service areas that will address health and safety risks.

In addition, Management has recognized that enhanced training will reduce health and safety risks faced by officers on a regular basis. As a result, the deployment model has identified the establishment of a training officer and coordinator to ensure officers are properly trained and tested. The training office is expected to be in place by the fourth quarter of 2006.		 Ensure completion of an annual review of the top 5-6 occupational hazards and ensure appropriate mitigation measures are in place.

Establish a joint Occupational Health and Safety Committee comprised of management and operational staff from each of the service areas that will address health and safety risks.

Establish and staff a training officer and a coordinator positions to ensure officers are properly trained and tested. 
COMPLETED     No A Joint Occupational Health & Safety Committee has been established to deal expressly with issues and risks for staff deployed in the field. This Committee will be the mechanism (based on incident tracking) to identify the top 5-6 occupational hazards and recommendations to mitigate these. All Branch staff has completed training in Managing Aggression and Conflict (June 2006). Completed.
7 The Director, By-law 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 implementation of the new deployment model, which underwent adjustments earlier in 2007 when 17 FTEs were added by Council, is not yet complete and has been hindered by movement between positions within the Branch, and by loss of staff to external agencies, e.g. police.  It is anticipated that the deployment model can be fully implemented in 2008 and evaluated 12-18 months thereafter.
8 The Director, By-Law and Regulatory Services Branch,  should require that there be formal, timely, and periodic (quarterly) assessments of important project completion dates versus targets for remaining universe of by-laws to be harmonized, until such time as the project is successfully completed. Management agrees with the intent of this recommendation.

Management has established a separate Project Team that meets on a monthly basis and continually reviews project completion dates and priorities. This information is captured on a Project Team Radar chart, which is distributed to all team members and reviewed with the Senior Management Team, the Branch Management Team and reported to Council through regular updates and presentations to various committees such as EPS and ARAC.		 Continue support for the separate Project Team that meets on a monthly basis and continually reviews project completion dates and priorities.

Continue distribute of the Project Team Radar chart, to all team members and review with the Senior Management team, the Branch Management Team and reported to Council through regular updates and presentations to various committees such as EPS and ARAC.		 COMPLETED     No Management has established a separate Project Team that meets on a monthly basis and continually reviews project completion dates and priorities. This information is captured on a Project Team Radar chart, which is distributed to all team members and reviewed with the Senior Management team, the Branch Management Team and reported to Council through regular updates and presentations to various committees such as EPS and ARAC.  Completed.
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. Proposed new Municipal Act will provide new authority to regulate differently.  Act is scheduled to be approved in the Fall for implementation in January which will allow the harmonization of by-laws to be completed. 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.   No Proposed new Municipal Act will provide new authority to regulate differently.  Act is scheduled to be approved in the Fall for implementation in January which will allow the harmonization of by-laws to be completed. 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 Completed.  The Branch Process Review Final Report was received by CPS Committee on February 15th, 2007 and a number of initiatives that will mitigate risk were identified. These include; retendering of the Response Contract, training for 311 Contact Centre employees, review of the service standards, establishment of working groups with partner organizations etc. Some of these initiatives have already been implemented and other have been added to the 2007/2008 work program for implementation.
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 Work in this area has been undertaken over the course of 2007 and is expected to be on-going. 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 Completed.  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 programs to determine what changes can be made to determine completion standards and performance targets.
13 The Director, By-Law and Regulatory Services Branch, should incorporate a more structured approach to maturing and improving EID management practices through the use of a Management Control Framework and Logic Model. Management agrees with this recommendation.

Management will be completing a Branch Logic Model within Q1 of 2006. This will serve to illustrate the cause and effect relationships between activities, outputs and outcomes and assist management identification of critical evaluation questions and areas of emphasis. 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.		 Complete a Branch Logic Model .

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.		 Completed     No The Branch 2006 work plan and logic model have been completed.  Completed.
14 Ensure the EID management team uses the Management Control Framework to self-assess the effectiveness of management practices each year at planning time to determine priority areas for improvement in the coming year. Management agrees with this recommendation.

Further to Recommendation 13, the Branch will use the enhanced Management Control Framework to self-assess management effectiveness annually. The results of ongoing
monitoring and reporting at the activity level and periodically at the program level (e.g. the 2006 efficiency review), coupled with financial and human resource performance reporting will inform the annual planning exercise undertaken by the Branch.		 Use the enhanced Management Control Framework to self-assess management effectiveness annually which, coupled with financial and human resource performance reporting, will inform the annual planning exercise undertaken by the Branch. Completed     No The mechanism to facilitate this is currently in place. Annual planning is undertaken and key results are identified in the management teams annual contribution agreements. An annual performance review is completed against these key results areas.