Legal, Insurance and Risk Management Services

Transcription

1 Legal, Insurance and Risk Management Services 2014/15 Budget and Business Plan Mission: To provide Halifax Regional Municipality with quality, cost effective, timely and accessible legal, insurance and risk management services for all facets of its operations across the organization.

2 2014/15 Budget and Business Plan (Approved) Legal, Insurance and Risk Management Services Legal, Insurance and Risk Managem ment Services Overview This business unit has two sections Legal Services, and Risk and Insurance Services which together provide support to HRM initiatives and operations. Legal Services supports Regional Council, its boards, commissions, committees and the business units, by providing its services through three teams within the division: Litigation Solicitor Services Prosecutions Risk and Insurance Services is responsible for the management, investigation and resolution of any insurance claim brought against or made on behalf of HRM, the application of sound risk management processes to identify, analyze, mitigate, respond to or avoid exposures, claims or other risks to HRM and the public and are responsible for the acquisition and maintenance of insurance coverage for Mayor, Council, Municipal operations, property, assets, Boards, Commissions or others for whom HRM is contractually obligated to respond to or provide insurance for. Legal, Insurance and Risk Management Services Org Chart Director Legal, Insurance, and Risk Management t Services Manager Risk and Insurance Team Lead Civil Litigation Team Lead Solicitor Services Team Lead Prosecutions Funded Full Time Equivalents (FTE s) Legal, Insurance & Risk Management Services Funded FTEs Includes full & part time permanent positions 2013/2014 Approved (Established) FTE s (Apr 1/13) /2014 Approved (Established) FTE s (Mar 31/14) /2015 Approved/ Pending (Not Yet Established) /2015 Proposed (+/ ) /2015 Proposed Total FTE Count 34 M2

3 Legal, Insurance and Risk Management Services Operating Budget Overview Legal Summary of Expense & Revenue Types Expenditures Budget Budget Actual Budget Budget Var. Var as % * Compensation and Benefits 2,480,000 3,050,800 2,937,268 3,173, , * Office 68, , ,952 96,600 (21,000) (17.9) * External Services 360, , , ,100 (122,000) (24.0) * Supplies 4,000 3,190 4,000 * Materials 129 * Building Costs 694 * Equipment & Communications 877 * Other Goods & Services 110, , , ,400 8, * Interdepartmental 100 * Other Fiscal (372,000) (470,900) (459,886) (449,700) 21,200 (4.5) ** Total 2,647,400 3,390,500 3,107,430 3,399,500 9, Revenues Budget Budget Actual Budget Budget Var. Var as % * Fee Revenues (209,400) (211,500) (192,047) (186,400) 25,100 (11.9) * Other Revenue (31,000) (154,584) (31,000) ** Total (209,400) (242,500) (346,631) (217,400) 25,100 (10.4) Net Surplus/Deficit 2,438,000 3,148,000 2,760,799 3,182,100 34, Legal Service Area Budget Overview Service Area Budget Budget Actual Budget Budget Var. Var as % Legal Services Summary of Expense & Revenue Types 2,438,000 3,148,000 2,760,799 3,182,100 34, ,438,000 3,148,000 2,760,799 3,182,100 34, Legal, Insurance and Risk Management Services Key Metrics Key Metrics and Drivers Compensation as a % of Total Expenditures per Dwelling (189,518 dwellings) 10/11 11/12 12/13 13/14 14/15 Actual Actual Actual Projection Target 91% 94% 83% 92% 93% $13.93 $14.57 $15.36 $16.60 $18.02 M3

4 Legal, Insurance and Risk Management Services Strategic Initiatives for 2014/15 Strategic Alignment LIRM 1.1 Economic Development Regulatory and Service Culture Cooperatively work with business units to develop policy, agreements, and legal framework to assist in achieving Council mandated outcomes in focus areas. LIRM 1.2 Economic Development Regulatory and Service Culture By law review project to carry out a complete review of HRM By laws (new, amend or repeal existing, consolidate existing) This is a multi year project. LIRM 1.3 Economic Development Regulatory and Service Culture Work with Government Relations & External Affairs and other Business Units to perform a strategic review of the Municipal Charter and all MOUs. LIRM 1.4 Governance and Communications ABCs Work with C&RS with respect to ABCs to ensure that all ABCs who operate HRM owned facilities under any type of agreement (MOU, Partnership, Letter, etc.) are in alignment with HRM s Facility Lease Agreement (FLA) process and provide inclusion under group insurance program if Council approves continuation of the FLA process. LIRM 1.5 Financial Stewardship Fiscal Planning Roll out of Environmental Impairment Liability Coverage (multi year project beginning with HRWC) to ensure that HRM is adequately protected against claims arising from pollution events. LIRM 1.6 Organizational Capacity People Plan To develop an intern program with the hiring of an Articled Clerk (law school graduate) through the HRM Bridging Program to encourage interest in public service. LIRM 1.7 Service Excellence Continuous Improvement Tax Sales Implement project plan developed with Finance to reduce number of problem tax files. This will be a multi year project. LIRM 1.8 Service Excellence Continuous Improvement Contract Review review and/or standardization of contracts, leases, where appropriate. LIRM 1.9 Service Excellence Continuous Improvement Development and implementation of a user group insurance program for renters of HRM facilities to support community groups and ensure the protection of HRM should any participant be injured or there be damage to HRM owned facilities. LIRM 1.10 Service Excellence Continuous Improvement Create efficiencies within the Business Unit, administratively and collaboratively with input internally and from other business units (technology, processes, physical and electronic file/case management to more efficiently manage HRM legal files and documents and enhance reporting capabilities and to work with the Records Centre to develop a framework to categorize and manage physical legal files. M4

5 Summary of 2014/15 Legal, Insurance and Risk Management Services Changes Cost Reduction Initiatives Proposed Projected Projected 14/15 Savings 15/16 Savings 16/17 Savings Reduce requirement for contracting outside counsel $75,000 Unknown Unknown Reduction in ivos server costs and legal disbursements $47, /15 Legal, Insurance and Risk Management Services Service Area Plans Legal Services: Legal Services is comprised of three service teams: Litigation, Prosecution, and Solicitor Services. Services Delivered: Litigation Services advises on and represents HRM in proceedings involving the Municipality and its employees before the Supreme Court and administrative tribunals including arbitration panels, Labour Boards, Police Review Board, Human Rights Commission, National Energy Board, Nova Scotia Utility and Review Board and Canadian Transportation Agency Prosecution Services provides training to HRP and staff and prosecutes violations under the Motor Vehicle Act, Liquor Control Act, Fire Safety Act, Protection of Property Act, 911 Act, Off Highway Vehicle Act, Smoke Free Places Act, Building Code, Land use violations, Development Agreement violations, violations of municipal by laws, and various regulatory infractions as well as HRM issued parking tickets, including all related applications and appeals Solicitor Services provides legal advice to Council in respect of the conduct of the business of the municipality; provides advice to management and staff on a wide range of topics, including related research on a daily basis for the HRM. Works with business units to develop, amend, and consolidate By laws for the Municipality as well as working with business units to draft a wide array of legal agreements, leases, policies and MOU s and assist in negotiations where required. Further, Solicitor Services completes property transactions for land acquisitions and disposals, title investigations, reviews and approves documents regarding encroachments, easements, and rights of way, prepares conveyance documents for tax sales as well as provides ongoing advice to Real Estate on any number of issues M5

6 Legal Services Budget Overview Legal Services Summary of Expense & Revenue Types Expenditures Budget Budget Actual Budget Budget Var. Var as % * Compensation and Benefits 2,113,900 2,679,600 2,592,430 2,786, , * Office 63,000 85, ,664 71,700 (14,200) (16.5) * External Services 360, , , ,000 (92,100) (19.8) * Materials 129 * Building Costs 694 * Equipment & Communications 306 * Other Goods & Services 110, , , ,400 8, * Interdepartmental 100 ** Total 2,647,400 3,390,500 3,107,132 3,399,500 9, Revenues Budget Budget Actual Budget Budget Var. Var as % * Fee Revenues (209,400) (211,500) (192,047) (186,400) 25,100 (11.9) * Other Revenue (31,000) (154,584) (31,000) ** Total (209,400) (242,500) (346,631) (217,400) 25,100 (10.4) Net Surplus/Deficit 2,438,000 3,148,000 2,760,799 3,182,100 34, Key Service Area Metrics 11/12 12/13 13/14 Actual Actual Projected Number of Legal Files Opened Library 3 2 HRWC Other Boards/Commissions 3 CAO C&RS Council External & Corp Affairs Finance Fire HR Legal/Risk & Insurance P&I Police Transit TPW Prosecution Files M6

7 2014/15 Legal Services Key Deliverables BU # Strategic Alignment 14/15 Deliverables LIRM 2.1 Economic Development Regulatory and Service Culture Provide legal support and advice throughout the development and implementation of a number of Council priorities including, but not limited to, the RP+5 project, Nova Centre, Solid Waste Review, Governance project, Cogswell Interchange project, Administrative Orders, etc. LIRM 2.2 LIRM 2.3 LIRM 2.4 LIRM 2.5 LIRM 2.6 LIRM 2.7 Economic Development Regulatory and Service Culture Economic Development Regulatory and Service Culture Organizational Capacity People Plan Service Excellence Continuous Improvement Service Excellence Continuous Improvement Service Excellence Continuous Improvement Risk and Insurance Services: To partner with Government Relations & External Affairs, in consultation with HRM Business Units to perform a strategic review of the HRM Charter To prioritize for 2014/15, through consultation with Business Unit Directors and Regional Council, the top 5 By laws as well as an additional 10 that have been identified as requiring more immediate attention. To develop and maintain an intern program for a summer law student and an Articled Clerk (law school graduate) through the HRM Bridging Program to foster interest in Public Service Commence work with HRM Business Units to identify, prioritize, and undertake a comprehensive review of HRM contracts, agreements and leases, and develop standard templates where appropriate (multi year project) To identify and prioritize the top 50 outstanding tax sale files for legal review, in conjunction with HRM Finance, PVSC and the Province, to make final determinations on the collectability of the outstanding revenue To work with IT to implement an electronic file management system Risk and Insurance Services acts in conjunction with legal services to manage claims made against the HRM. This section manages the financing of HRM risk through insurance and a reserve. To reduce losses they seek to apply sound risk management processes to the identification, analysis, and mitigation of loss exposures to the HRM Services Delivered: Handles investigation, management, resolution and administration of all insurance claims made against or on behalf of HRM Market HRM to national and international insurance companies Design and management of self insurance program, reserve funds and insurance coverage to fit the needs of HRM operations M7

8 Ongoing review, procurement and maintenance of optimum insurance coverage suitable to the needs of HRM Ongoing review of contracts, agreements, leases and special events to address risk exposures Conduct site assessments and obtain building appraisals Provide risk management advice, training and monitoring, particularly in the area of loss control to internal and external clients Risk and Insurance Services Budget Overview Expenditures Budget Budget Actual Budget Budget Var. Var as % * Compensation and Benefits 366, , , ,700 15, * Office 5,900 31,700 24,288 24,900 (6,800) (21.5) * External Services 42,000 72,297 12,100 (29,900) (71.2) * Supplies 4,000 3,190 4,000 * Equipment & Communications 571 * Other Goods & Services 22,000 15,002 22,000 * Other Fiscal (372,000) (470,900) (459,886) (449,700) 21,200 (4.5) ** Total 298 Revenues Budget Budget Actual Budget Budget Var. Var as % * Other Revenue (298) ** Total (298) Net Surplus/Deficit Insurance & Risk Management Summary of Expense & Revenue Types 10/11 11/12 12/13 13/14 Key Service Area Metrics Actual Actual Actual Projected Claims received by fiscal year /15 Risk and Insurance Services Key Deliverables BU # Strategic Alignment 14/15 Deliverables LIRM 3.1 Governance and Communications ABCs In conjunction with C&RS, ensure that all ABCs who operate HRM owned facilities under any type of agreement align with HRM s Facility Lease Agreement (FLA) process and provide inclusion under group insurance program if approved by Council.*Dependent on C&RS MDF review and outcomes M8

9 LIRM 3.2 LIRM 3.3 LIRM 3.4 LIRM 3.5 LRIM 3.6 LRIM 3.7 Financial Stewardship Fiscal Plans Financial Stewardship Risk Management Financial Stewardship Risk Management Service Excellence Continuous Improvement Service Excellence Continuous Improvement Service Excellence Customer Service Culture Completion of submission of aggregate reimbursement to former insurer Commence of roll out of Environmental Impairment Liability Coverage beginning with Halifax Water *Dependent on cooperation of Halifax Regional Water Commission Commence development of Operational Risk Registry Development and implementation of a user group insurance program for renters of HRM facilities. Finalize development and implementation of Volunteer Fire Association program Commence development of Risk and Claims policy and procedure manual including identification of HRM Business Unit roles and responsibilities as well as standardization of forms (multi year project) M9

10 Legal Summary of Net Expenditures by Business Unit Division Cost Centers/Groups Budget Budget Actual Budget Budget Var. Var as % A110 Legal Services 2,438,000 3,148,000 2,760,799 3,182,100 34, * Legal Services 2,438,000 3,148,000 2,760,799 3,182,100 34, ** Total 2,438,000 3,148,000 2,760,799 3,182,100 34, Legal Summary of Gross Expenditures Cost Centers/Groups Budget Budget Actual Budget Budget Var. Var as % A110 Legal Services 2,647,400 3,390,500 3,107,132 3,399,500 9, A303 Risk & Insurance Services 298 * Legal Services 2,647,400 3,390,500 3,107,430 3,399,500 9, ** Total 2,647,400 3,390,500 3,107,430 3,399,500 9, Legal Summary of Gross Revenue Cost Centers/Groups Budget Budget Actual Budget Budget Var. Var as % A110 Legal Services (209,400) (242,500) (346,333) (217,400) 25,100 (10.4) A303 Risk & Insurance Services (298) * Legal Services (209,400) (242,500) (346,631) (217,400) 25,100 (10.4) ** Total (209,400) (242,500) (346,631) (217,400) 25,100 (10.4) M10

11 Legal Summary Details Expenditures Budget Budget Actual Budget Budget Var. Var as % 6001 Salaries Regular 2,150,400 2,595,400 2,492,551 2,652,400 57, Salaries Overtime 1,000 2, , PDP Increases (49,765) 6054 Vacation payout 2, Benefits Salaries 342, , , ,800 64, Vacancy Management (50,600) (20,000) (20,400) (400) Retirement Incentives 12,000 15,200 15,147 16,300 1, Workers' Compensation 25,200 30,400 31,102 30,400 * Compensation and Benefits 2,480,000 3,050,800 2,937,268 3,173, , Telephone 14,500 22,400 22,144 3,000 (19,400) (86.6) 6202 Courier/Postage 3,600 5,600 5,448 5,100 (500) (8.9) 6203 Office Furn/Equip 4,100 11,100 33,194 11,000 (100) (0.9) 6204 Computer S/W & Lic 28,800 54,000 44,624 54, Printing & Reproduction 3,500 1,500 1, (800) (53.3) 6207 Office Supplies 14,400 23,000 19,288 22,600 (400) (1.7) 6299 Other Office Expenses 828 * Office 68, , ,952 96,600 (21,000) (17.9) 6301 Professional Fees 60,500 44,373 27,100 (33,400) (55.2) 6302 Legal Fees 170, ,000 77, ,000 (75,000) (30.0) 6303 Consulting Fees 12, Litigation Disbursements 27,000 27,000 10,836 15,000 (12,000) (44.4) 6314 Prosecution Services 163, , , ,500 (1,600) (1.0) 6399 Contract Services 7,500 36,002 7,500 * External Services 360, , , ,100 (122,000) (24.0) 6499 Other Supplies 4,000 3,190 4,000 * Supplies 4,000 3,190 4, Hardware 129 * Materials Other Building Cost 694 * Building Costs Equipment Rental Plumbing & Heating 306 * Equipment & Communications Membership Dues 58,000 80,200 72,311 82,000 1, Conferences and Workshops 5,000 6,162 5, Travel Local 6,900 9,900 12,322 9, Travel Out of Town 6,000 8,000 7,368 8, Training & Education 9,200 40,500 26,393 40, Books and Periodicals 30,000 35,000 45,818 41,000 6, Meals Rewarding Excellence , Other Goods and Services 1, ,000 * Other Goods & Services 110, , , ,400 8, Internal Transfers Other 100 * Interdepartmental Insurance Pol/Prem Transfer to/from Reserves (372,000) (470,900) (459,994) (449,700) 21,200 (4.5) * Other Fiscal (372,000) (470,900) (459,886) (449,700) 21,200 (4.5) ** Total 2,647,400 3,390,500 3,107,430 3,399,500 9, Revenues Budget Budget Actual Budget Budget Var. Var as % 5250 Sales of Services Other (209,400) (211,500) (192,047) (186,400) 25,100 (11.9) * Fee Revenues (209,400) (211,500) (192,047) (186,400) 25,100 (11.9) 5508 Recov External Parti (31,000) (154,584) (31,000) * Other Revenue (31,000) (154,584) (31,000) ** Total (209,400) (242,500) (346,631) (217,400) 25,100 (10.4) Net Surplus/Deficit 2,438,000 3,148,000 2,760,799 3,182,100 34, M11

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