Legal, Insurance and Risk Management Services

Transcription

1 Legal, Insurance and Risk Management Services 2015/16 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 Legal, Insurance and Risk Management 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 with litigation, prosecution, and solicitor services. Risk and Insurance Services is responsible for insurance claims brought against or made on behalf of HRM, risk management processes, and insurance coverage. Legal, Insurance and Risk Management Org Chart Director Legal, Insurance, and Risk Management Services Manager Risk and Insurance Team Lead Litigation Team Lead Solicitor Services Team Lead Prosecutions Funded Full Time Equivalents (FTEs) Legal Insurance & Risk Management Services 2014/15 Approved (Established) (Apr 1/14) 2014/15 Approved (Established) (Mar 31/15) 2015/16 Proposed Change (+/-) 2015/16 Approved Total Funded FTEs Includes full & part-time permanent positions The following FTE changes have occurred in Legal Insurance & Risk Management Services since approval of the 2014/15 Budget and Business Plan: 2 FTEs transferred from TPW 1 FTE converted to Solicitor I, 1 FTE eliminated O2

3 Legal, Insurance and Risk Management Operating Budget Overview Legal Summary of Expense & Revenue Types Expenditures 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % * Compensation and Benefits 3,050,800 3,173,100 3,147,900 3,745, , * Office 117,600 96,600 91,100 94,600 (2,000) (2) * External Services 508, , , ,200 13,100 3 * Supplies 4,000 4,000 2,700 2,500 (1,500) (38) * Materials * Building Costs * Equipment & Communications * Other Goods & Services 180, , , ,900 6,500 3 * Interdepartmental * Other Fiscal (470,900) (449,700) (449,700) (30,000) 419,700 (93) ** Total 3,390,500 3,399,500 3,307,600 4,408,000 1,008, Revenues 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % * Fee Revenues (211,500) (186,400) (183,400) (182,000) 4,400 (2) * Other Revenue (31,000) (31,000) (21,600) (40,000) (9,000) 29 ** Total (242,500) (217,400) (205,000) (222,000) (4,600) 2 Net Surplus/Deficit 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % Net Surplus/Deficit 3,148,000 3,182,100 3,102,600 4,186,000 1,003, Legal, Insurance and Risk Management Budget Overview by Service Area Legal Service Area Budget Overview Service Area 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % Insurance & Risk Management Summary of Expense & Revenue Types 439, ,900 (100) Legal Services Summary of Expense & Revenue Types 3,148,000 3,182,100 3,102,600 3,746, ,000 18% 3,148,000 3,182,100 3,102,600 4,186,000 1,003,900 32% O3

4 Legal, Insurance and Risk Management Key Metrics Key Metrics and Drivers 11/12 12/13 13/14 14/15 15/16 Actual Actual Actual Projection Target Compensation as a % of Total 94% 83% 82% 84% 84% Expenditures per dwelling (191,579) $14.57 $15.36 $19.13 $19.85 $23.17 Legal, Insurance and Risk Management Strategic Initiatives for 2015/16 Strategic Alignment LIRM 1.01 Economic Development Theme - Focus on the Regional Centre By-law Review Project (Year 2) LIRMS will continue its multi-year project to review all HRM By-laws. This includes drafting of new, as well as amending, repealing, and consolidating existing by-laws as necessary. LIRM 1.02 Risk Management Contract Review (Year 2) LIRMS will lead a multi-year initiative working with business units to identify, prioritize, and undertake a comprehensive review of HRM contracts, agreements, and leases, and develop standard templates where appropriate. LIRM 1.03 Service Excellence Continuous Improvement LIRMS Business Unit Efficiencies To more efficiently manage HRM legal files and documents and enhance reporting capabilities, LIRMS will undertake a multi-year initiative to implement improvements in technology, processes, physical and electronic file and case management, and categorization and management of physical legal files. LIRM 1.04 Governance and Communications LIRMS HRM Charter Review Support the CAO s office in facilitating the review of the municipal charter and determining the impact of the related changes. O4

5 2015/16 Legal, Insurance and Risk Management 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 O5

6 Legal Services Budget Overview Legal Services Summary of Expense & Revenue Types Expenditures 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % * Compensation and Benefits 2,679,600 2,786,400 2,744,200 3,350, , * Office 85,900 71,700 70,200 74,300 2,600 4 * External Services 466, , , ,200 25,200 7 * Materials * Building Costs * Equipment & Communications * Other Goods & Services 158, , , ,400 7,000 4 * Interdepartmental * Other Fiscal (30,000) (30,000) ** Total 3,390,500 3,399,500 3,307,200 3,968, , Revenues 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % * Fee Revenues (211,500) (186,400) (183,400) (182,000) 4,400 (2) * Other Revenue (31,000) (31,000) (21,200) (40,000) (9,000) 29 ** Total (242,500) (217,400) (204,600) (222,000) (4,600) 2 Net Surplus/Deficit 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % Net Surplus/Deficit 3,148,000 3,182,100 3,102,600 3,746, , Legal Services Key Metrics Key Service Area Metrics 12/13 13/14 14/15 Legal Files Opened Actual Actual Projection Number of Legal Files Opened Library HRWC Other Boards/Commissions 3 CAO C&RS Council External & Corp Affairs FICT Fire HR Legal/Risk & Insurance* Operations Support** Parks & Recreation** Planning & Development** P&I O6

7 Key Service Area Metrics Legal Files Opened 12/13 13/14 14/15 Actual Actual Projection Police Transit TPW Prosecution Files *Includes administrative and general files **New Business Units created during 2014 restructure 2015/16 Legal Services Key Deliverables Strategic Alignment Economic Development Theme - Focus on the Regional Centre Governance & Communication - ABCs Governance & Communication - Communications Governance & Communication - Communities of Interest Governance & Communication - Council and Committees Risk Management 15/16 Deliverables By-law Review Project Undertake Year 2 of the multi-year By-law review project - to carry out a complete review of HRM By-laws (new, amend or repeal existing, consolidate existing) Governance Review - (Library/HW) Support Support Finance and ICT to review and fully define governance structure, relationships, roles and responsibilities with respect to the Library and Halifax Water Charter Review - Support Communications Support the CAO's office and GREA in facilitating the review of the municipal charter and determining impact of related changes Boundary Overlap Responsibility MOUs - Establish Support the Business Units in establishing MOUs to define who is responsible when boundaries overlap (i.e., DNR, DND) on an as required basis Escalation of Disputed Council Reports - Lead Guideline Development Lead development of guidelines on how to break non-action by committee, i.e. how to escalate Contract Review Continuation of contract review working with business units to identify, prioritize, and catalogue HRM contracts, agreements, and leases, and develop standard templates where appropriate. Tax Sale Project Continue to work with HRM Revenue, PVSC, DNR and SNSMR to reduce number of "problem" tax sale files. Goal is to reduce "problem" files by approximately 50 and maintain ongoing tax sales so as not to increase the number of "problem" files. O7

8 Risk and Insurance Services: 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 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 Insurance & Risk Management Summary of Expense & Revenue Types Expenditures 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % * Compensation and Benefits 371, , , ,600 8,900 2 * Office 31,700 24,900 20,900 20,300 (4,600) (18) * External Services 42,000 12,100 2,800 (12,100) (100) * Supplies 4,000 4,000 2,700 2,500 (1,500) (38) * Equipment & Communications * Other Goods & Services 22,000 22,000 20,000 21,500 (500) (2) * Other Fiscal (470,900) (449,700) (449,700) 449,700 (100) ** Total , ,900 Revenues 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % * Other Revenue (400) ** Total (400) Net Surplus/Deficit 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % Net Surplus/Deficit 439, ,900 O8

9 Risk and Insurance Services Key Metrics 11/12 12/13 13/14 14/15 Key Metrics and Drivers Actual Actual Actual Projection Claims received by fiscal year /16 Risk and Insurance Services Key Deliverables Strategic Alignment Governance & Communication - ABCs Our People - Recruitment Strategy Service Excellence Continuous Improvement 15/16 Deliverables Review of ABCs Support Parks & Recreation to ensure all ABC's who operate HRM owned facilities under any type of agreement have consistent agreements and provide inclusion under group insurance; reviewing tasks arising from AG report and implement recommendations as required Volunteer Fire Association Program - develop and implement Finalize development and implementation of Volunteer Fire Association program Risk and Claims Policy and Procedures Manual - develop 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). Anticipate 25% completion during User Group Insurance Program - Implementation Complete 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. Operational Risk Review Risk staff will review the report generated by the Enterprise Risk Management Office to ensure that the risks identified are covered through the current insurance program and explore enhancements of cover as may be required. In addition, staff will work with the risk owner department to identify risk control measures as may be required. O9

10 Legal Summary of Net Expenditures by Business Unit Division Cost Centers/Groups 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % A101 Lock: Administration A110 Legal Services 3,148,000 3,182,100 3,102,600 3,746, , A303 Risk & Insurance Services 439, ,900 * Legal Services 3,148,000 3,182,100 3,102,600 4,186,000 1,003, ** Total 3,148,000 3,182,100 3,102,600 4,186,000 1,003, Legal Summary of Gross Expenditures Cost Centers/Groups 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % A101 Lock: Administration A110 Legal Services 3,390,500 3,399,500 3,307,200 3,968, , A303 Risk & Insurance Services , ,900 * Legal Services 3,390,500 3,399,500 3,307,600 4,408,000 1,008, ** Total 3,390,500 3,399,500 3,307,600 4,408,000 1,008, Legal Summary of Gross Revenue Cost Centers/Groups 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % A110 Legal Services (242,500) (217,400) (204,600) (222,000) (4,600) 2.1 A303 Risk & Insurance Services (400) * Legal Services (242,500) (217,400) (205,000) (222,000) (4,600) 2.1 ** Total (242,500) (217,400) (205,000) (222,000) (4,600) 2.1 O10

11 Legal Summary Details Expenditures 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % 6001 Salaries - Regular 2,595,400 2,652,400 3,043,300 3,110, , Salaries - Overtime 2,500 2,600 2,600 2, PDP & Union Con Incr (108,600) 6054 Vacation payout 6100 Benefits - Salaries 427, , , ,500 69, Vacancy Management (20,000) (20,400) (20,400) 6152 Retirement Incentives 15,200 16,300 16,300 18,500 2, Workers' Compensation 30,400 30,400 30,400 32,300 1, Comp & Ben InterDept (378,700) 40,700 40,700 * Compensation and Benefits 3,050,800 3,173,100 3,147,900 3,745, , Telephone 22,400 3,000 1,500 2,000 (1,000) (33) 6202 Courier/Postage 5,600 5,100 6,600 6,600 1, Office Furn/Equip 11,100 11,000 9,000 9,500 (1,500) (14) 6204 Computer S/W & Lic 54,000 54,200 54,200 55, Printing & Reprod 1, (200) (29) 6207 Office Supplies 23,000 22,600 18,600 21,000 (1,600) (7) 6299 Other Office Expenses 400 * Office 117,600 96,600 91,100 94,600 (2,000) (2) 6301 Professional Fees 60,500 27,100 29,800 45,000 17, Legal Fees 250, , , , Consulting Fees 6309 Litigation Disburse 27,000 15,000 15,000 12,000 (3,000) (20) 6314 Prosecution Services 163, , , , Contract Services 7,500 7,500 8,200 5,000 (2,500) (33) * External Services 508, , , ,200 13, Other Supplies 4,000 4,000 2,700 2,500 (1,500) (38) * Supplies 4,000 4,000 2,700 2,500 (1,500) (38) 6504 Hardware * Materials 6699 Other Building Cost * Building Costs 6704 Equipment Rental 6707 Plumbing & Heating * Equipment & Communications 6901 Membership Dues 80,200 82,000 66,000 93,700 11, Conferences/Workshop 5,000 5,000 5,000 5, Travel - Local 9,900 9,900 9,900 9, Travel - Out of Town 8,000 8,000 13,000 8, Training & Education 40,500 40,500 33,000 36,000 (4,500) (11) 6917 Books and Periodicals 35,000 41,000 51,500 41, Meals (200) (40) 6938 Rewarding Excellence 800 1,500 1,500 1, Other Goods/Services 1,000 1, (500) (50) * Other Goods & Services 180, , , ,900 6, Internal Trfr Other * Interdepartmental 8003 Insurance Pol/Prem 8008 Transf to/fr Reserve (470,900) (449,700) (449,700) (30,000) 419,700 (93) * Other Fiscal (470,900) (449,700) (449,700) (30,000) 419,700 (93) ** Total 3,390,500 3,399,500 3,307,600 4,408,000 1,008, Revenues 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % 5250 Sales of Svcs-Other (211,500) (186,400) (183,400) (182,000) 4,400 (2) * Fee Revenues (211,500) (186,400) (183,400) (182,000) 4,400 (2) 5508 Recov External Parti (31,000) (31,000) (21,600) (40,000) (9,000) 29 * Other Revenue (31,000) (31,000) (21,600) (40,000) (9,000) 29 ** Total (242,500) (217,400) (205,000) (222,000) (4,600) 2 Net Surplus/Deficit 2013 Budget 2014 Budget 2014 Proj Budget 2015 Bud Var. Var. % Net Surplus/Deficit 3,148,000 3,182,100 3,102,600 4,186,000 1,003, O11