AGENDA

Audit & Accountability Committee

Tuesday, March 7, 2016

12 Noon Conference Room A

4th Floor, City Hall

1

AGENDA

AUDIT AND ACCOUNTABILITY COMMITTEE MEETING

March 7, 2016 – 12:00 p.m. – Conference Room A, 4th Floor, City Hall

1. Call to Order 2. Approval of the Agenda 3. Adoption of the Minutes

a. Minutes of October 19, 2016

4. Delegation

a. Manager Organization Performance & Strategy presenting the following:

Strategic Plan Annual Report 2016 and 2017 Priorities

Accountability Framework

Engage Evaluation

5. Business Arising

a. Follow-up Summary Report – Inspection Services

b. Follow-up Receiving Summary Report - Stores and Issuing

c. Follow-up Summary Report – Recreation

d. 2017-2019 – Audit Plan

6. New Business

7. Other Business

8. Date of Next Meeting 9. Adjournment

1

MINUTES

AUDIT AND ACCOUNTABILITY COMMITTEE MEETING

October 19, 2016 – 12:00 p.m. – Conference Room A, 4th Floor, City Hall

Present: Councillor B. Tilley, Chairperson Councillor A. Puddister Councillor D. Breen Councillor J. Galgay Kevin Breen, City Manager (arrived at 12:10 pm) Shelley Traverse, Supervisor - Financial Services (left at 12:30 pm)

Sean Janes, City Internal Auditor Boyd Chislett, Citizen Representative

Kathy Driscoll, Legislative Assistant Others: Kim Simm’s, Grant Thornton Barry Griffiths, Grant Thornton Gina Fudge, Grant Thornton Samantha Long, Media

ADOPTION OF AGENDA

The Agenda was adopted as presented with one addition:

Follow-up on Mayor’s weddings

CARRIED UNANIMOUSLY

ADOPTION OF MINUTES

The minutes of July 5, 2016 were adopted as presented.

CARRIED UNANIMOUSLY

DELEGATION

Grant Thornton Kim Simms updated the committee on the final Audit report for 2015. Derek Coffey spoke to the City’s draft consolidated Financial Statements of December 31, 2015. Conversations took place surrounding the Audit and financial statements. Grant Thornton representative’s retired from the meeting at 12:30 p.m.

2

Moved – Councillor Breen; Seconded – Councillor Puddister

The Committee recommends that Council approve the Audited Financial Statements as presented.

CARRIED UNANIMOULSY

BUSINESS ARISING Draft Report – Review of Retirement packages Sean Janes spoke to the above noted.

Moved – Councillor Breen; Seconded – Councillor Puddister The Committee recommends that Council approve the following: Policy and Procedures

Management should continue with their efforts to develop a comprehensive policy to address end of employment issues and present it to Council for approval as soon as practically possible. This will help to ensure that end of employment matters are dealt with in a consistent manner.

Annual Leave and Sick Leave Banks

Management should institute a procedure to ensure that for every Salary Differential for MGMT Employees from that is submitted a corresponding Leave Request form has been submitted for the employee being replaced.

Management should ensure that any agreements made with City employees regarding additional leave balances are documented and approved by Council. In addition, all leave earned and used should be recorded in the StarGarden payroll system.

CARRIED UNANIMOUSLY

OTHER BUSINESS

Mayor’s Weddings Councillor Puddister advised he anticipated an update on the Mayor’s weddings at this meeting. He was advised by staff that the Corporate Policy Committee would prepare something for draft which would be forwarded to the Senior Executive Committee and further to the Finance Committee for review and consideration. The intent is to have something ready by January 2017 or early February 2017.

3

Adjournment The meeting adjourned at 1:28 p.m. Coucillor Tilley Chairperson

 

 

City of St. John’s PO Box 908 St. John’s, NL Canada A1C 5M2 www.stjohns.ca

 

Title: Strategic Plan Annual Report 2016 and 2017 Priorities Date Prepared: February, 24, 2017 Report To: Audit and Accountability Standing Committee (March 7, 2017) Councillor and Role: Bruce Tilley, Chair, Audit and Accountability Standing Committee Ward: N/A Issue: To provide an update on accomplishments, adjustments and new priorities Discussion – Background and Current Status: On June 1, 2015 the City of St. John’s rolled out its Corporate Strategic Plan (CSP) for 2015-18. The subsequent implementation plan was released in winter 2016. The plan outlines five values to guide the City’s work, six strategic directions and a series of goals which deliver on these directions.

Strategic Directions Values Neighbourhoods build our City Continue to do things better

A culture of cooperation Be innovative

A city for all seasons Create a positive environment

Fiscally responsible Be respectful

Responsive and progressive Take ownership

Effective organization Formerly the Office of Strategy and Engagement (OSE) worked with a Corporate Strategic Plan Implementation Team to support the ongoing implementation and monitoring of the plan. With the dissolution of the OSE, responsibility for the planning process, including monitoring, now rests with Organizational Performance and Strategy (OPS), a division of Finance and Administration. Changes in staffing and department structure from Program Review also mean adjustments were required to the composition of the CSP Implementation Team. Monitoring As noted in July, 2016 during the CSP update at Audit and Accountability, following Program Review, the Strategic Plan would be reviewed and a refresh exercise undertaken to ensure that the goals, general directions and projects were still in line with the City’s needs and priorities. In January, 2017, OPS undertook a refresh process. This exercise required an update on deliverables planned for 2016, review of 2017 priorities in the current plan and determination of emerging or new priorities coming out of Program Rreview. As a result of this exercise, the following is worth noting:

Although 2016 was a year focused on program review for much of the City organization, 65% of the projects planned within the CSP for 2016 were completed, and a further

INFORMATION NOTE

 

 

City of St. John’s PO Box 908 St. John’s, NL Canada A1C 5M2 www.stjohns.ca

30% were started and are continuing although at a slower pace than planned. Of the total 127 projects originally planned for 2016, only 5% did not proceed.

There were 23 projects scheduled to be concluding in 2017. Of these, four have been removed or are being refocused due to changing priorities and direction and 24 new initiatives have been added, most as a result of an enhanced focus on organizational performance and the evolution of other projects.

Key Considerations/Implications:

1. Budget/Financial Implications

Budget and financial implications were considered as the monitoring of the plan was

carried out. Projects slated for 2017 should have been considered in the context of the

2017 budget process and projected 2018 budgets as approved by Council in December,

2016.

2. Partners or Other Stakeholders

External partners identified in a variety of deliverables of the plan.

3. Alignment with Strategic Directions/Adopted Plans

The Strategic Plan is the overarching City plan and connects with all other City plans.

4. Legal or Policy Implications

N/A

5. Engagement and Communications Considerations

Ongoing engagement and communication with staff and the larger community is

essential to the success of any strategic plan. The annual report for 2016 and the 2017

priorities will be communicated to internal and external stakeholders.

6. Human Resource Implications

Responsibility for the plan rests with the Division of Organizational Performance and

Strategy housed within Finance and Administration. This division will deliver on

monitoring. Implementation is the responsibility of the lead departments.

7. Procurement Implications

Various components of the plan have procurement implications. These would be

addressed through normal approval processes.

8. Information Technology Implications

Various components of the plan have information technology implications. These would

be addressed through normal approval and planning processes.

9. Other Implications

It is important that any decisions/announcements of projects reference how they support

the strategic plan.

 

 

City of St. John’s PO Box 908 St. John’s, NL Canada A1C 5M2 www.stjohns.ca

Conclusion/Next Steps: Develop communications strategy for 2016 report and 2017 priorities and update internally and externally. Prepared by: Victoria Etchegary, Manager, Organizational Performance and Strategy Approved by/Date/Signature: Derek Coffey, Deputy City Manager, Finance and Administration Attachments: Corporate Strategic Plan 2016 Report 

 

 

 

Co

rpo

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Str

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Pla

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2016 A

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eport

&

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Co

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epre

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ep

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Acco

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Co

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2016 A

nnual re

port

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yed d

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Pro

gre

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ep

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•R

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tatu

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f all

initia

tives u

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aken in 2

016

•C

om

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•C

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•N

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ation o

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he p

lan a

nd

identification o

f new

priorities e

merg

ing f

rom

Pro

gra

m

Revie

w

•Im

pacts

of P

rogra

m R

evie

w

–R

estr

uctu

ring o

f som

e d

epart

ments

–S

hift o

f re

sp

on

sib

ilitie

s

–R

eduction in F

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s

–Im

pact on s

om

e d

eliv

era

ble

s a

nd tim

elin

es

Ove

rall

Co

rpo

rate

Str

ateg

ic P

lan

res

ult

s fo

r 20

16

12

7 in

itia

tive

s p

lan

ne

d a

cro

ss 6

str

ate

gic

dire

ctio

ns

Neig

hbourh

oods B

uild

our

City

29 initiatives fo

r 201

6

Status of initia

tives by goal

Prom

ote a safe and

 secure city

20

0

Improve ne

ighb

ourhoo

d level services

21

0

Increase access to range/type

 of h

ousin

g5

11

Develop parks a

nd places for peo

ple

43

0

Create neighbo

urho

od‐fo

cused plans a

nd inform

ation

12

0

Deliver sa

tellite & alte

rnative metho

ds fo

r City

 services/ information

10

0

Maintain & position

 dow

ntow

n as a distinct neighbo

urho

od2

31

Completed or good progress•Sample of initiatives

•Ad

vance concep

t paper fo

r hou

sing 

catalyst fu

nd –fund

ing ap

proved

 for 2

017

•En

gage con

sulta

nt to

 develop

 supp

ortiv

e ho

using mod

els w

ith land

lords –

Housing 

First Intensiv

e Ca

se M

anag

ement p

rogram

 complete an

d im

plem

ented

•Sw

imming po

ol re

developm

ent B

owrin

g park –substantial com

pletion in Feb

 201

7

•Co

mplete Ph

ase 1 of Victoria

 Park 

revitalization –P

hase 1 anticipated

 to be 

substantially com

plete by early sp

ring 20

17

•Neighbo

urho

od inform

ation system

 –demog

raph

ic project com

pleted, sub

 city

 inform

ation available

•Co

mplete the Re

fresh Water Street study

 ‐Fina

l Draft of the

 Water Street R

efresh 

Stud

y read

y for p

resentation to Cou

ncil

Commenced, slow progress•Co

mplete ne

ighb

ourhoo

d profiles o

n all  

neighb

ourhoo

d grou

ps –working

 com

mittee in 

place, plan in develop

ment

•Ad

vance En

ergy Retrofit Project –work 

continues

•Ensure re

creatio

n and inclusion requ

iremen

ts 

are refle

cted

 in all plans –

work continues

•De

velop crite

ria to

 ensure recreatio

n and 

inclusion requ

iremen

ts are m

et/reflected

 –work continues

•De

velop po

licy arou

nd  app

ropriate use of 

public  spaces ‐

upda

ted po

licy to be referred

 to 

Corporate Po

licy Co

mmittee

•Iden

tify bo

undarie

s for new

 plann

ing areas ‐

tied to ado

ption of new

 Mun

icipal Plan an

d De

velopm

ent R

egsw

hich are und

er•Co

mpreh

ensiv

e Land

 Use Develop

men

t Plan  ‐

Fina

l Draft of East K

ilbrid

eCLU Plan read

y for 

Coun

cil. Kenm

ount

Hill (190m) Study to

 go to 

Coun

cil in Q2

•Ad

vance  do

wntow

n tourism

 actions as d

efined

 in Roadm

ap 2021 –tie

d to NEA

 Destin

ation Plan

•Prep

are a process to clarify

 dow

ntow

n bo

undarie

s –some work un

derw

ay as p

art o

f Do

wntow

n Ad

visory Com

mittee

•Co

mplete research to

 develop

 policy arou

nd 

vacant sp

aces, D

owntow

n up

per storeyrepo

rt ‐

Change back on

 vacancy allowance. To be

 considered

 with

in th

e context  a

nd 

respon

sibilitie

s of th

e City‐Business Ro

undtab

leNot commenced•

Initiate working

 group

 to develop

 St. John

's Ho

using Initiative Partne

rship ‐n

o fund

ing 

available to m

ove initiative forw

ard

•De

velop an

 awaren

ess/marketin

g plan

 for a

 distinct dow

ntow

n ‐significan

t piece of w

ork, 

will need to be considered

 in con

junctio

n with

 relevant stakeholders

Neig

hbourh

oods B

uild

our

City

A C

ultu

re o

f C

oo

pe

ratio

n

Status of initia

tives by goal

Improve multi‐level governm

ent relations

42

1

Develop im

proved

 inter‐region

al mun

icipal re

latio

ns5

00

Create effe

ctive City‐edu

catio

n collabo

ratio

ns3

20

Create effe

ctive City‐com

mun

ity collabo

ratio

ns1

30

Explore region

al emergency and continuity managem

ent strategy

10

0

22 initiatives fo

r 201

6

A C

ultu

re o

f C

oo

pe

ratio

n

Completed or good progress•Sample of initiatives

•Co

llabo

ratio

n with

 province and Gov't fund

ed 

bodies on tend

ering,  joint con

tracts ‐pa

rtnered 

with

 Province on

 office and

 stationa

ry sup

plies 

tend

er

•Im

prove collisio

n data sh

aring with

 RNC and 

Province to

 enable the creatio

n of a ro

ad sa

fety 

program –completed

•Co

mplete Ph

ase 1: Backgroun

d inform

ation 

gathering/de

velopm

ent o

f Transpo

rtation 

Master P

lan ‐developing

 survey with

  Province 

and working

 on coun

ter R

FP

•Co

mplete resid

entia

l survey working

 with

 MUN, O

ther m

unicipalities ‐survey com

pleted, 

data re

leased

•De

liver an annu

al Adviso

ry Com

mittee

 forum ‐

completed

 for 2

016

•De

velop crisis c

ommun

ications strategy fo

r em

ergency managem

ent p

lans ‐completed

Commenced, slow progress•Explore im

plem

entatio

n of  final offe

r selectio

n for F

irefighter Collective Ba

rgaining

‐disc

ussio

ns 

with

 Province on

going

•Maintain mem

bership in re

levant professional 

associations and

 other organiza

tions –

developing

 inventory of m

emberships

•Co

mplete gap and op

portun

ity analysis

 to 

iden

tify po

tential city

/post secon

dary and

 city/schoo

l collabo

ratio

ns ‐project a

ssigned, 

identifying

 existing conn

ectio

ns

•Participate in Com

mun

ity Use of 

Scho

ols/Scho

ol Use of C

ommun

ity Recreation 

Task Group

 ‐led by Rec NL., City

 participates

•Iden

tify commun

ity group

s for partnerships ‐

relatio

nships startin

g to develop

. More work 

requ

ired. Goo

d prog

ress on Sport T

ourism Event 

Partnership (STEP)

•Create a re

gion

al physic

al literacy alliance to

 bring agen

cies and

 sport togethe

r to increase 

physical literacy ‐Steerin

g Co

mmittee in place, 

Executive Alliance to be form

ed at Jun

e forum

•Partne

rship with

 RNC ‐Pe

tsafeKe

eping 

Program fo

r victim

s of intim

ate violen

ce –there 

have been delays; program

 shou

ld be runn

ing by 

June, 2017

Not commenced•Co

mplete city‐province program/service 

inventory and iden

tify op

portun

ities fo

r partne

ring/gaps –no

t a prio

rity at th

is tim

e given orga

nizatio

nal cha

nges at C

ity and

 Province

Effe

ctive

Org

an

iza

tio

n

17 initiatives fo

r 201

6

Status of initia

tives by goal

Cultivate a sa

fe, health

y and respectful enviro

nmen

t 3

40

Develop know

ledgeable and en

gaged workforce 

20

0

Advance bu

siness c

ontin

uity and

 material m

anagem

ent p

lans

30

0

Supp

ort corpo

rate‐w

ide inform

ation and know

ledge sharing

31

0

Supp

ort a

 learning

 culture

01

0

Effe

ctive

Org

an

iza

tio

nCompleted or good progress•

Sample of initiatives

•Co

nduct a

 Quality of W

ork Life Study

 and

 through task fo

rces add

ress key 

recommen

datio

ns –task fo

rces com

pleted

 fina

l repo

rt, review of T

ask Force recommenda

tions 

near fina

l

•Finalize and im

plem

ent A

lcoh

ol & Drug Po

licy 

and program –completed, ong

oing

 mon

itorin

g an

d man

agem

ent

•De

liver se

mi‐ann

ual M

anagers’ Forum

 –One

 forum held in Ju

ne 2016;  Dec. 2016  fo

rum 

postpo

ned as a re

sult of Program

 Review, new

 da

te M

arch 2017

•Investigate more efficient alte

rnatives to

 the 

tradition

al te

leph

one services –work un

derw

ay

•Im

plem

ent the

 app

roved recommen

datio

ns of 

the De

loitte Materials Managem

ent review ‐

completed

•Establish

 Corpo

rate Policy Co

mmittee

 and

 tools 

to su

pport it –

committee up an

d runn

ing

•Ro

llout of m

obile re

porting for inspe

ctions ‐

completed

Commenced, slow progress•De

velop an

 OHS

 Manual ‐no

t com

pleted, still 

work in progress

•Ad

vance the de

velopm

ent o

f the

 Risk

 Managem

ent p

rogram

 ‐prog

ress being

 mad

e. 

timelines extended, m

anua

ls in develop

ment

•Im

plem

entatio

n of a Fatigue

 Managem

ent 

Program –chan

ge of respo

nsibility 

•Risk M

anagem

ent a

nd Business C

ontin

uity 

Training

 Sessio

ns, creation of Acciden

t Review 

Committee

 Manual (2016), Risk M

anagem

ent 

Policy Manual (2017) ‐

work is in progress a

nd is 

integrated

 with

 the OHS

 Man

ual

•Enhanced

 techno

logy fo

r both the Foran Ro

om 

and Co

uncil Chambe

rs ‐researching op

tions

•Living

 the Va

lues re

cognition

 program

 ‐some 

prog

ress m

ade, has to

 be review

ed

Not commenced

A C

ity fo

r A

ll S

ea

so

ns Status of initia

tives by goal

Develop a Winter C

ity Strategy

10

1

Supp

ort year rou

nd active transportatio

n2

10

Explore op

tions fo

r year rou

nd active, leisu

re & re

creatio

n facilities 

and programs

41

0

Prom

ote activ

e and he

althy living

11

0

Supp

ort a

 weather re

silient city

31

0

Incorporate all w

eather plann

ing in City

 buildings and

 ope

n space 

developm

ent

20

0

Supp

ort year‐roun

d tourism

 and

 indu

stry activity

10

1

20 initiatives fo

r 201

6

A C

ity fo

r A

ll S

ea

so

ns

Completed or good progress•Sample of initiatives

•Re

view

 cycling ne

twork and de

fine ne

xt step

s ‐complete   

•De

sign and plan

 for P

aul Reyno

lds C

ommun

ity 

Centre ‐Expected

 opening

 Spring 2017

•Co

ntinue

 existing programs a

nd explore new

 op

portun

ities fo

r seasonal events ‐

establish

ed 

Chillfestbran

d

•Ensure re

siden

tial develop

men

ts are designe

d to allow effe

ctive snow

 clearing ‐sno

w storag

e calculations develop

ed and

 used when 

review

ing developm

ent a

pplications

•De

velop commun

ications program

s to prom

ote 

safety ‐website revisio

ns will includ

e “Safety” 

section high

lighting corporate strategies 

conn

ected to pub

lic sa

fety

•Co

mplete revisio

ns to

 stormwater re

tention 

policy ‐com

pleted

Commenced, slow progress •De

velop and im

plem

ent a

ctive transportatio

n ed

ucation program ‐on

going throug

h vario

us 

initiatives and

 partners e.g. iw

alk

•Site se

lection and concep

t plan stud

y for M

ews 

replacem

ent  ‐d

esign an

d constructio

n expected

 to  proceed

 in 2017

•Iden

tify op

portun

ities to

 tie activ

e/he

althy 

living to W

elcoming citie

s strategy fo

r ne

wcomers ‐

Local Immigratio

n Pa

rtnership 

continues to conn

ect n

ewcomer se

rvicing 

agencies with

 active living prog

ramming

•Use th

e en

gagemen

t framew

ork to iden

tify 

approp

riate engagem

ent level whe

re weather 

resiliency wou

ld be a consideration –as projects 

are identified

Not commenced •Establish

 com

mittee, terms o

f referen

ce fo

r Winter C

ity Strategy ‐delayed du

e to other 

commitm

ents and

 resource re

ductions

•Iden

tification and de

velopm

ent o

f strategic 

tourism

 initiatives as ide

ntified

 in Roadm

ap 2021 

–lim

ited prog

ress due

 to re

cent re

structuring an

d prog

ram re

view

. Northeast Avalon De

stination 

Developm

ent P

lan completed

 and

 next steps to

 be

 determined

Fis

ca

lly R

esp

on

sib

le

Develop approp

riate user fee

 policies

10

0

Explore complem

entary pub

lic/priv

ate partne

rships

12

0

Explore cost‐sharin

g programs/foun

datio

ns/m

odels

11

0

Advance ne

w City

‐NL governmen

t fisc

al fram

ework

01

0

Explore spon

sorship strategies

01

0

Deliver effe

ctive grant p

rogram

s and

 services

10

0

Develop multi‐year bud

getin

g fram

ework/alignm

ent w

ith strategic 

directions 

20

0

Status of initia

tives by goal

11 initiatives fo

r 201

6

Fis

ca

lly R

esp

on

sib

leCompleted or good progress•Sample of initiatives

•Planning

 for b

uilding of 20 ne

w affo

rdable 

housing un

its with

 Investmen

ts in Affo

rdable 

Housing Fund

ing ‐all existing fund

ing op

tions 

have been accessed, w

aitin

g for federal 

anno

uncements fo

r add

ition

al fu

nding

•Establish

 Victoria

 Park Foun

datio

n to 

implem

ent revita

lization plan

 ‐Foun

datio

n  

approved

 by Co

uncil

•Ensure bud

get rep

ortin

g and review

 aligns with

 corporate strategic plan

 ‐will con

tinue

 throug

hout 2017 with

 the developm

ent o

f a 

comprehensiv

e capital and

 debt forecast

•De

liver bud

get e

ngagem

ent p

rocess ‐2017

 enga

gement p

rocess com

pleted. B

udget 

enga

gement w

ill com

mence with

 the electio

n of 

new Cou

ncil for b

udget 2

018, and

 2019‐2021

Commenced, slow progress

•Re

view

 alte

rnative fund

ing op

tions fo

r RE

AL/CTJS programs, Adu

lt subsidy program ‐

Continuing

 to se

ek new

 partnerships to estab

lish 

additio

nal fun

ding

 resources

•Explore Co

ntractual O

ptions fo

r Winter 

Mainten

ance post K

PMG Review –Some 

contracts let, un

der con

tinua

l review, success to

 be

 evaluated

 in th

e coming mon

ths 

•Ide

ntify

 city

 and

 region

al se

rvices which m

ay 

offer  o

pportunitie

s for re

venu

e stream

s ‐on

going as opp

ortunitie

s arise like the NEA

R plan

 and

 redevelopm

ent o

f the

 Waterford River

•Iden

tify and de

velop op

tions to

 advance new

 fiscal arrangemen

ts with

 Province ‐there are 

quarterly

 meetin

gs with

 mem

bers of the

 provincial St. John

's Ca

ucus which have op

ened

 up

 inform

ation sharing on

 man

y matters 

includ

ing  fin

ancial

•Deliver a policy pape

r and

 recommen

datio

ns 

regarding spon

sorship op

tions to

 City

 Cou

ncil 

for a

pproval ‐research prepa

red, project 

assig

ned, anticipated

 com

pletion by Decem

ber 

2017

Not commenced

Re

sp

on

siv

e a

nd

Pro

gre

ssiv

e

Status of initia

tives by goal

Create a culture of e

ngagem

ent 

20

0

Become a welcoming and inclusive city 

22

0

Build

 social, enviro

nmen

tal and

 dem

ograph

ic factors in po

licy‐

making

31

0

Deliver com

preh

ensiv

e and respon

sive commun

ications produ

cts 

and services

21

1

Iden

tify/de

liver strategic projects, strategies a

nd program

s 12

20

28 initiatives fo

r 201

6

Re

sp

on

siv

e a

nd

Pro

gre

ssiv

e

Completed or good progress•Sample of initiatives

•Establish

 working

 group

 with

 recommen

datio

ns fo

r engagem

ent a

roun

d de

velopm

ent‐

working

 group

 has com

pleted

 its 

work, re

commenda

tions Q1 2017

•Bu

ild employee

 and

 com

mun

ity engagem

ent 

capacity ‐staff eng

agem

ent training delivered. 

City Adviso

ry Com

mittees u

sing enga

gement 

portal, staff trained in fa

cilitation metho

ds.

•Use th

e pe

rspe

ctive of th

e Inclusion Ad

visory 

Committee

 to help en

hance accessibility fo

r  pe

rson

s with

 disa

bilities ‐

inclusive hirin

g working

 group

 estab

lished, partnered

 on 2016

 Inclusion Summit, created

 inclusive special 

events working

 group

, creation of Safe an

d Inclusive City working

 group

, website revisio

ns 

will con

sider accessib

ility and

 inclusion

•Seek opp

ortunitie

s to host m

unicipal 

governmen

t related

 events ‐

bid mad

e for F

CM 

Sustaina

ble Co

mmun

ities Con

ference 2020

•Create  th

e he

ritage bylaw ‐draft b

ylaw

 with

 Lega

l for re

view

•Co

mplete Torbay

Road

 North Transpo

rtation 

Stud

y ‐draft report com

plete, fina

lizing 

recommenda

tions, need to con

sider im

pacts o

f Co

stco m

ove.

Commenced, slow progress•Iden

tify op

portun

ities to

 enh

ance th

e City's 

existing offerin

gs and

 develop

 new

 prod

ucts/services for new

comers to he

lp build a 

welcoming, inclusive city ‐throug

h Local 

Immigratio

n Pa

rtnership some identification of 

oppo

rtun

ities, City

 staff con

necting to Con

nector 

Prog

ram

•Diversity

 training

 across the

 organiza

tion ‐the

 Accessibility Inclusive Hirin

g Co

mmittee  and

 Inclusion Stan

ding

 Com

mittee has plan in place 

but this w

ould be in progress for 2017, 

recommend chan

ging

 the prog

ram initiative as 

the lead

 has cha

nged

 and

 the plan

 need to be 

adjusted

•Co

nsider so

cio‐econ

omic fa

ctors a

cross 

revenu

e sources ‐

will work throug

hout 2017 to 

develop a comprehensiv

e aw

areness a

nd 

understand

ing of th

e issue

•Explore wire

less te

chno

logy in

 the commun

ity ‐

drafted RFI how

ever, focus has been on

 provision

ing Wi‐Fi in City buildings, w

orking

 with

 PERS

 on pu

blic W

i‐Fi in Pa

ul Reyno

lds, will tu

rn 

attention ba

ck to

 RFI in Q1 2017

•Electricity

 Gen

eration at RHB

 usin

g Biogas ‐

consultatio

ns with

 NL Governm

ent 

•Mun

icipal Arts P

lan ‐w

ork on

going

Not commenced•De

velop crite

ria to

 ensure commun

ication 

prod

ucts and

 services are welcoming and 

inclusive –crite

ria not yet develop

ed

Init

iati

ves

for

2017

as

iden

tifi

ed in

CS

PNeighbo

urho

ods 

Build

 our City

A Cu

lture of 

Coop

eration

Effective 

Organ

ization

A City

for A

ll Season

sFiscally 

Respon

sible

Respon

sive and

 Progressive

Develop po

licy arou

nd  

approp

riate use of 

outdoo

r spaces e

.g. City

 parks

Develop Watershed

 Forestry M

anagem

ent 

Plan

Review

 the CSA 

Psycho

logically Safe 

Workplace Stand

ards fo

r adaptability to th

e City's 

Workplace

Develop Winter C

ity 

Strategy

Explore discussio

ns with

 Province on en

hancing 

equity in

 water 

consum

ption and water 

fees

Explore ne

ighb

ourhoo

d strategy as m

eans of 

engagemen

t

Deliver on constructio

n of 

Commun

ity M

arket

Prelim

inary de

sign for 

second

ary treatm

ent a

t Riverhead Wastewater 

Treatm

ent Facility

Develop and im

plem

ent  

managem

ent o

rientation 

program and

 Manager's 

Toolkit

Work with

 region

al 

partne

rs to

 develop

 De

stination and Prod

uct 

Developm

ent C

ommittee

 for S

t. John

's region

Deliver on constructio

n of 

20 affo

rdable hou

sing 

units

Iden

tify ne

eds a

cross the

 commun

ity and

 with

in th

e city organiza

tion for 

commun

ity ta

lent 

attractio

n

Strategy to

ward 

developm

ent o

f ne

ighb

ourhoo

d grou

ps

Advance Bu

siness &

 Arts 

St. Joh

n's initia

tive, 

includ

ing bu

ilding 

stakeh

olde

r relations, data 

collection, stakeho

lder 

even

t

Iden

tify key HR

 metrics 

and establish

 process fo

r tracking

 and

 sharing

Gap

 Analysis, develop

 pilot 

project m

etho

dology and

 evaluatio

n tools

Develop land

s inven

tory 

for  residen

tial and

 commun

ity purpo

ses

Research app

ropriate 

mod

el to

 fit R

egional 

Services fo

r Emergency 

Managem

ent (EM

) and

 Bu

siness C

ontin

uity 

Planning

 (BCP

) including; 

region

al plans, training 

and preven

tion mod

el

Explore project 

managem

ent too

ls

Iden

tify fram

ework for 

creatio

n of Urban

 Design 

Guide

lines

Research best p

ractices in 

othe

r mun

icipalities 

arou

nd employee

inno

vatio

n

Develop a do

wntow

n strategy, develop

 working

 de

finition

s for the

 do

wntow

n (bou

ndaries)

Develop pilot 

process/program fo

r em

ployee

 inno

vatio

n, 

evaluate

Build

 the fram

ework for 

Performance M

anagem

ent 

and Successio

n Planning

 with

in th

e organizatio

n

Initiative

Why

initiative is no longer a prio

rity in 2017

Neighbo

urho

ods Bu

ild 

our C

ityIncreasin

g programming and access at the

 QVV

 Plantation De

velopm

ent throu

gh EOI 

In process of d

evelop

ing a ne

w partnership app

roach with

 stakeh

olde

rs in QVV

P

Effective Organ

ization

Enhance Hu

man

 Resou

rces Service Cen

ter 

The HR

SC is up  and

 runn

ing and will con

tinue

 to be maintaine

d

Fiscally Respo

nsible

Complete a review

 of recreation fees and

 charges

Review

 was com

pleted

 in preparatio

n for 2

017 bu

dget/ 

Program Review.  Next review to

 occur fo

r 201

9 bu

dget 

Respon

sive and

 Progressive

Consider language se

rvices and

 transla

tion in City

 fron

tline

 services e.g. 

Access St. John

's, Inclusive Services, 

Visitor Inform

ation Ce

ntres

Scop

e of initiative has e

xpande

d into a re

view

 of full customer 

service practices and

 app

roach whe

re language se

rvice is on

e compo

nent. Review to

 be un

dertaken

 in 201

7

Init

iati

ves

rem

ove

d f

rom

CS

P 2

017

pri

ori

ty l

ist

24 in

itia

tive

s ad

ded

to

CS

P f

or

2017

-18

Neighbo

urho

ods 

Build

 our City

A Cu

lture of 

Coop

eration

Effective Organ

ization

Fiscally 

Respon

sible

Respon

sive and

 Progressive

Lead

 the creatio

n of a new

 Affordable Hou

sing 

Busin

ess P

lan

Prom

ote safe 

neighb

ourhoo

ds and

 safe 

transportatio

n through a 

collective im

pact app

roach 

to com

mun

ity safety 

beginn

ing with

 establish

ing a fram

ework 

and researching be

st 

practices

Research best p

ractices in 

accoun

tability and 

performance m

anagem

ent 

and ho

w to

 app

ly it to

 the 

City of St. John

's

Iden

tify and contract an 

external EAP

 provide

r en

hancing services to

 em

ployees and their 

families

Cond

uct a

nd re

view

 a 

Market study

 for 

Insurance providers to 

obtain th

e most cost 

effective and value adde

d be

nefit fo

r our employees

Establish

 citizen 

satisfaction survey

to 

inform

 con

tinuo

us 

improvem

ent

Develop Co

ordinated 

Access and

 Rapid 

Reho

using programs a

s part of E

nd Hom

elessness 

St. Joh

n's 

Develop a learning

 organizatio

n po

sition 

pape

r as a

 first step to

stream

lining learning

 and

 de

velopm

ent

Implem

ent u

pgrade

s on 

HRIS Softw

are for 

increasin

g efficiency of 

Pension Ad

ministratio

n

Explore op

tion of creating 

a citizen

 panel to

 use 

citizen

 perspectiv

e to 

inform

 decision

 making 

Cond

uct intersection 

safety status analysis

 as 

part of road safety 

program

Develop cultu

re of 

continuo

us im

provem

ent 

through worksho

ps and

 training

 

Develop andcommun

icate 

End of Employmen

t Policy

Und

ertake an evaluatio

n of th

e en

gagemen

t policy, 

portal and

 process

Prep

are plans, initiate 

constructio

n for K

enmou

ntTerrace Co

mmun

ity Park 

Iden

tify and prioritize

 en

terprise‐wide and 

departmen

tal spe

cific 

techno

logy solutions 

arising

 from

 program

 review

Configure and im

plem

ent 

an e‐recruitm

ent 

software(Njoyn) improving 

efficiency and increasin

g transparen

cy fo

r internal 

and external app

licants

Initiate tren

chless water 

main rene

wal in th

e Ra

bbittow

narea.

Develop an

 online 

managem

ent e

ngagem

ent 

hub 

Develop proced

ure to 

establish

 a prope

rty 

cadastral layer (G

IS)

Develop Ke

yPerformance 

Indicators (K

PIs) fo

r city

 programs 

Research and

 recommen

d a dashbo

ard solutio

n for 

public re

porting

Develop evaluatio

nmetho

dology 

Plan

for a

nd im

plem

ent 

automated

 garbage

Next S

teps

•U

pdate

to the c

om

munity a

nd inte

rnally

fro

m 2

016 r

eport

and 2

017 p

riorities

•C

ontinue t

o m

onitor

str

ate

gic

directions a

nd p

roje

cts

and

work

with im

ple

menta

tion t

eam

 

 

 

City of St. John’s PO Box 908 St. John’s, NL Canada A1C 5M2 www.stjohns.ca

 

Title: Accountability Framework

Date Prepared: February, 27, 2017

Report To: Audit and Accountability Standing Committee (March 7, 2017)

Councillor and Role: Bruce Tilley, Chair, Audit and Accountability

Ward: N/A

Decision/Direction Required: Approve the proposed direction/focus for the creation of an Accountability Framework for the City of St. John’s.

Discussion – Background and Current Status:

Organizations that are most effective understand the needs of their stakeholder groups, both internally and externally, and consider these in the planning and decision-making process. They demonstrate that they have a clear vision and strong leadership, their structure and plans support their desired goals and they have clearly articulated performance management for both the organization as a whole and the people who carry out the work. They continuously look at what they do and how they do it to ensure they are achieving their results in the most cost effective and efficient way possible.

In 2015 the City of St. John’s rolled out its first strategic plan. The plan outlined six strategic directions and five core values to guide the City in its work. Since that time, the City has undertaken a program review exercise which resulted in some organizational changes. Program review also noted the need to focus more on ongoing performance and evaluation work. The new division of Organizational Performance and Strategy, housed in the Department of Finance and Administration, was created to focus on supporting the organization in living its values of continuing to do things better and being innovative while constantly considering budget constraints and current and emerging needs in the community. Key deliverables of the division include:

• Organizational performance • Strategy and engagement • Employee and organizational development • Corporate consulting

OPS will work with the senior executive team to continue to enhance the city’s overall accountability

function and build a framework while building capacity within the organization for continuous

improvement, evaluation and overall performance management while continuing to deliver on strategic

planning, organizational development and engagement goals.

The presentation attached outlines the proposed future state for an accountability framework, the

current situation and how OPS will guide the process to achieve the future state.

DECISION/DIRECTION NOTE

Key Considerations/Implications:

1. Budget/Financial Implications Budget for Organizational Development (formerly in Human Resources)

Budget for engagement work maintained

No new budget added to this division.

2. Partners or Other Stakeholders Senior executive and management team

Employees at all levels

Residents/taxpayers

Stakeholder groups

Council

3. Alignment with Strategic Directions/Adopted Plans The 2015-18 Strategic plan has three strategic directions that support this work: Effective

Organization, Fiscally Responsible and Responsive and Progressive.

4. Legal or Policy Implications

Development of Key Performance Indicators and performance management processes may

result in changes to policy and procedure.

5. Engagement and Communications Considerations The Division of Organizational Performance and Strategy will work with Marketing and

Communications to ensure awareness and understanding of any changes. A detailed

engagement and change management plan will be developed to guide the work over the next

two to three years.

6. Human Resource Implications

Ops has a small team –one manager, three staff and an Information Technology resource –

who will lead the work. No additional resources are required at this time.

7. Procurement Implications

Various components of the work will have procurement implications and appropriate protocols

will be followed when procurement is being carried out.

8. Information Technology Implications There are information technology implications in the work to be carried out including undertaking

a more detailed review of existing technology tools and systems and making recommendations

on improvements/changes to achieve greater efficiency/effectiveness within the organization.

These would need to be considered as part of Budget 2018 and beyond.

9. Other Implications

In order to effectively implement an accountability framework it is important that a culture of

accountability and continuous improvement be adopted by the organization as outlined in its

core values: continue to do things better, take ownership and be innovative. If the City is to

position itself for Budget 2019-21 and beyond, accountability and continuous improvement must

be core to its operations.

Recommendation: Approve the creation of an accountability framework as outlined in the presentation.

Prepared by/Signature: Victoria Etchegary, Manager, Organizational Performance and Strategy

Approved by/Date/Signature: Derek Coffey, Deputy City Manager, Finance and Administration

Attachments:

Presentation: The future state: Creating an accountability framework for the City of St. John’s 

Th

e f

utu

re s

tate

: C

rea

tin

g a

n a

cco

un

tab

ility

fra

me

wo

rk f

or

the

City o

f S

t. J

oh

n’s

The r

ole

of O

rganiz

ational P

erf

orm

ance a

nd

Str

ate

gy in its

develo

pm

ent

VE1

Slid

e 1

VE1

Vi

ctor

ia E

tche

gary

, 201

7/01

/30

What

is a

ccounta

bili

ty?

•D

efin

itio

n o

f a

cco

un

tab

ility

(W

eb

ste

r’s D

ictio

na

ry)

–th

e q

ua

lity o

r sta

te o

f b

ein

g a

cco

un

tab

le; e

sp

ecia

lly: a

n o

blig

atio

n o

r w

illin

gn

ess t

o

acce

pt re

sp

on

sib

ility

or

to a

cco

un

t fo

r o

ne

's a

ctio

ns

•A

cco

un

tab

ility

at w

ork

–A

cco

un

tab

ility

in

th

e w

ork

pla

ce

is s

om

eth

ing

eve

ry o

rga

niz

atio

n s

triv

es fo

r a

nd

so

urc

es

sa

y it h

as a

cle

ar

link t

o h

igh

er

wo

rk p

erf

orm

an

ce

; it r

esu

lts in

im

pro

ve

d c

om

pe

ten

cy a

nd

co

mm

itm

en

t to

wo

rk, in

cre

ase

d e

mp

loye

e m

ora

le, a

nd

wo

rk s

atisfa

ctio

n (

So

urc

e: T

he

U

.S. O

ffic

e o

f P

ers

onnel M

anagem

ent)

. It

’s a

lso

kn

ow

n to

im

pro

ve

cre

ativity a

nd

in

no

va

tio

n b

eca

use

th

e e

mp

loye

e is m

ore

in

ve

ste

d in

th

e fu

ture

of th

e o

rga

niz

atio

n.

•C

ity V

alu

es

–T

ake

ow

ne

rsh

ip

–C

ontinue to d

o thin

gs b

etter

–B

e in

no

va

tive

Fis

cally

R

esp

on

sib

leR

esp

on

sive

an

d

pro

gre

ssiv

eE

ffec

tive

o

rgan

izat

ion

Str

ateg

ic D

irec

tio

ns

The e

nd s

tate

–w

here

we w

ant

to b

e

Str

ate

gic

pla

nnin

g

Perf

orm

ance

managem

ent

Report

ing

Co

mp

on

ents

o

f an

A

cco

un

tab

ility

F

ram

ewo

rk

Cu

rre

nt sta

te

What

is S

trate

gic

Pla

nnin

g?

•S

trat

egic

pla

nn

ing

is a

n o

rgan

izat

ion

al m

anag

emen

t ac

tivi

ty th

at is

use

d to

se

t pr

iorit

ies,

focu

s en

ergy

an

d re

sour

ces,

stre

ngth

en o

pera

tions

, e

nsu

re

tha

te

mp

loye

es a

nd

oth

er

sta

ke

ho

lde

rsa

re w

ork

ing

to

wa

rd c

omm

on g

oals

,

esta

blis

h a

gree

men

taro

un

din

ten

de

d o

utco

mes

/resu

lts, a

nd

ass

ess

and

adju

st

the

org

an

iza

tio

n's

dir

ectio

n in

re

sp

on

se

to

a c

ha

ng

ing

en

vir

on

me

nt.

•It is a

dis

cipl

ined

eff

ort

th

at p

rod

uce

s fu

nd

am

en

tal de

cisi

ons

an

d a

ctio

nsth

at sh

ape

an

d g

uide

wh

at a

n o

rga

niz

atio

n is

, who

it s

erve

s, w

hat i

t doe

s, a

nd w

hy it

doe

s it,

with

a fo

cus

on th

e fu

ture

. E

ffe

ctive

str

ate

gic

pla

nn

ing

art

icu

late

s n

ot o

nly

wh

ere

an

org

an

iza

tio

n is g

oin

g a

nd

th

e

actio

ns n

ee

de

d to

ma

ke

pro

gre

ss, b

ut a

lso

how

it w

ill k

now

if it

is s

ucce

ssfu

l.•

A s

trat

egic

pla

n is

a d

ocu

men

t u

se

d to

com

mun

ica

te w

ith

th

e o

rga

niz

atio

n th

e o

rga

niz

atio

n’s

go

als

, th

e a

ctio

ns n

ee

de

d to

ach

ieve

th

ose

go

als

an

d a

ll o

f th

e o

the

r critica

l e

lem

en

ts d

eve

lop

ed

du

rin

g th

e p

lan

nin

g e

xe

rcis

e.

•A

pla

n o

n its

ow

n is ju

st w

ord

s o

n p

ap

er

with

ou

t th

e to

ols

, ca

pa

city a

nd

re

so

urc

es (

hu

ma

n a

nd

financia

l) to im

ple

ment and e

valu

ate

.

The planning

 process

•A

rtic

ula

tes the v

isio

n –

what kin

d o

f city d

o w

e w

ant

to b

e in t

he f

utu

re

(needs to b

e longer

term

)

•N

eeds to b

e info

rmed b

y e

ngagem

ent –

both

inte

rnal and e

xte

rnal

–S

tart

ea

rly a

nd

be

bo

th b

roa

d a

nd

sp

ecific

–N

ee

d to

ols

to

be

tte

r e

ng

ag

e a

nd

in

vo

lve

mo

re p

eo

ple

–o

nlin

e a

nd

in

pe

rso

n

–N

ee

d to

co

nsid

er

de

cis

ion

po

ints

/pu

rpo

se o

f e

ng

ag

em

en

t –

it’s

no

t a

“w

ish

lis

t”

•P

lannin

g n

eeds to c

onsid

er

resid

ent/clie

nt satisfa

ction a

nd b

e

needs/s

erv

ice d

riven to a

lign w

ith a

reas o

f im

pro

vem

ent/change

•A

pla

n n

eeds to c

onsid

er

more

than g

oals

and s

trate

gic

directions–

to b

e

effective it als

o n

eeds to h

ave a

nnual busin

ess/im

ple

menta

tion p

lans,

identification o

f le

ad r

ole

s, be tie

d to b

udget, identify

measura

ble

s(w

hat

does s

uccess look lik

e)

and h

ave t

he t

ools

to m

easure

and r

eport

(a

ccounta

bili

ty)

Perf

orm

ance m

anagem

ent

guid

es t

he

pro

gre

ss o

f th

e p

lan

•P

erf

orm

an

ce

ma

na

ge

me

nt is

bo

th o

rga

niz

atio

na

l a

nd

in

div

idu

al*

•O

rga

niz

atio

na

l P

M is g

rou

nd

ed

in

me

asu

rem

en

t: If w

e a

re n

ot m

easuring w

hat w

e d

o a

nd

how

we d

o it, the “

pla

n”

has lim

ited v

alu

e. It b

eco

me

s a

pa

pe

r e

xe

rcis

e r

ath

er

tha

n a

wa

y o

f d

oin

g b

usin

ess a

nd

ch

an

ge

ca

n b

e m

inim

al, i.e

. p

roce

ss, cu

ltu

re

•P

erf

orm

an

ce

ma

na

ge

me

nt is

gro

un

de

d in

th

e p

rin

cip

les o

f co

nti

nu

ou

s im

pro

vem

ent,

ev

alu

atio

n,t

ran

spar

ency

, cr

edib

ility

an

d a

cco

un

tab

ility

an

d is a

bo

ut th

e o

rga

niz

atio

n a

s

a w

ho

le a

nd

th

e p

art

s –

un

its/d

ivis

ion

s, in

div

idu

als

.

•W

e h

ave

to

kn

ow

wh

at w

e w

an

t to

me

asu

re a

nd

ho

w w

e w

ill m

ea

su

re it?

–W

ha

t a

re o

ur

se

rvic

e m

ea

su

res?

Are

th

ey c

lea

r?

–W

hat K

ey p

erf

orm

ance Indic

ato

rs d

o w

e h

ave? n

eed?

–W

ha

t In

tern

al m

an

ag

em

en

t m

ea

su

res d

o w

e h

ave

an

d u

se

? –

i.e

., fin

an

cia

l, r

isk, a

ud

it

* in

div

idu

al p

erf

orm

an

ce

ma

na

ge

me

nt syste

m to

be

de

ve

lop

ed

by H

R

Report

ing (

the u

ltim

ate

accounta

bili

ty)

•T

o b

e t

ruly

acco

un

tab

le t

he

org

an

iza

tio

n h

as t

o r

ep

ort

on

wh

at

it is

doin

g (

again

st

its p

lan),

is it th

e r

ight

thin

g a

nd is it bein

g d

one in

the

mo

st

eff

ective

an

d e

ffic

ien

t m

an

ne

r –

for

this

yo

u n

ee

d m

etr

ics

•T

he

re n

ee

ds t

o b

e o

ng

oin

g e

va

lua

tio

n a

nd

ch

eck in

pro

ce

sse

s

•T

he

City n

ee

ds a

re

po

rt c

ard

(a

s o

utlin

ed

in

to

da

y’s

Str

ate

gic

Pla

n

update

) and r

egula

r re

port

ing p

eriods

•P

ub

lic D

ash

bo

ard

–tr

an

sp

are

ncy –

pu

blic

se

ein

g r

esu

lts in

re

al

tim

e

•B

en

ch

ma

rkin

g –

ag

ain

st

oth

ers

(w

he

re p

ossib

le)

an

d o

urs

elv

es

The a

ccounta

bili

ty c

ycle

Imp

lem

enta

tio

n

Eva

luat

ion

an

d

com

mu

nic

atio

n

Str

ateg

ic

pla

nn

ing

What

is c

ontinuous im

pro

vem

ent

and w

hy

we n

eed t

o c

onsid

er

it•

Continuous im

pro

vem

ent is

an o

ngoi

nge

ffo

rt t

o im

pro

ve

pro

du

cts

, se

rvic

es, o

r p

roce

sse

s. Pr

oces

ses

are

consta

ntly e

valu

ate

d a

nd

impro

ved in the lig

ht of th

eir e

ffic

iency, effectiveness a

nd fle

xib

ility

.

•F

eedback fro

m the p

rocess a

nd c

usto

mer

are

evalu

ate

d a

gain

st

org

aniz

ational goals

.

•C

ontinuous im

pro

vem

ent as a

gra

dual never-

endin

g c

hange w

hic

h is: '..

. fo

cused o

n incre

asin

g the e

ffectiveness a

nd/o

r effic

iency o

f an

org

aniz

ation to f

ulfil

its p

olic

y a

nd o

bje

ctives.

It is n

ot

limited t

o q

ualit

y

initia

tives. Im

pro

vem

ent in

busin

ess s

trate

gy, busin

ess r

esults, custo

mer,

em

plo

yee a

nd s

upplie

r re

lationship

s c

an b

e s

ubje

ct to

continual

impro

vem

ent. P

ut sim

ply

, it m

eans ‘gettin

g b

etter

all

the tim

e.”

Continuous im

pro

vem

ent

success facto

rsS

usta

ina

ble

co

ntin

uo

us im

pro

ve

me

nt (C

I) r

eq

uire

s th

e fo

llow

ing

th

inkin

g a

nd

actio

n:

•A

cce

pt co

ntin

uo

us im

pro

ve

me

nt a

s a

"V

AL

UE

" o

f th

e o

rga

niz

atio

n; ca

ptu

re it in

all

we

do

–co

ntin

ue to

do

thin

gs b

ette

r, ta

ke o

wne

rshi

p, in

nova

te (t

hese

are

cor

e va

lues

)•

CI is

an a

ttitude (

culture

and

en

ga

ge

me

nt)

; w

e c

an

sh

ap

e it b

y lin

kin

g it w

ith

re

wa

rds a

nd

re

co

gn

itio

n

•C

rea

te a

co

mm

itm

en

t a

cro

ss th

e o

rga

niz

atio

n fo

r C

I, s

o th

at e

mp

loye

es s

ee

th

em

se

lve

s in

it

an

d u

nd

ers

tan

d w

hy th

ey s

ho

uld

do

it.

(cu

ltu

re a

nd

en

ga

ge

me

nt)

•D

o it n

ot

thro

ug

h d

ire

ctio

n b

ut b

y e

mp

ow

erm

en

t/in

vo

lve

me

nt/

su

gg

estio

ns (

fro

nt lin

e

invo

lve

me

nt fo

r su

cce

ss)

•D

eve

lop

a s

ha

red

vis

ion

of th

e o

rga

niz

atio

n; a

nd

lin

k C

I w

ith

th

at vis

ion

(str

ate

gic

pla

n)

•Id

en

tify

tra

inin

g n

ee

ds, d

eliv

er

firs

t-ra

te tra

inin

g, a

nd

me

asu

re its

eff

ective

ne

ss. (a

cro

ss th

e

bo

ard

to

pro

vid

e s

kill

s f

or

CI)

•C

rea

te a

n e

nviro

nm

en

t o

f co

ntin

uo

us le

arn

ing

am

on

g a

ll e

mp

loye

es

•C

rea

te a

n a

tmo

sp

he

re w

he

re p

eo

ple

ca

re, th

ere

is p

ositiv

ity, in

sp

ira

tio

n, a

nd

fu

n (

ce

leb

rate

su

cce

ss)

Curr

ent

sta

te:

Where

are

we n

ow

•Just

finis

hed a

challe

ngin

g y

ear

with P

rogra

m R

evie

w

•T

wo t

hirds-w

ay t

hro

ugh c

urr

ent

str

ate

gic

pla

n (

2017 is s

econd last

year)

–and w

e c

ontinue t

o m

onitor

and r

eport

while

build

ing a

more

ro

bust

pla

nnin

g a

nd r

eport

ing s

yste

m f

or

the f

utu

re

•C

urr

ently h

ave s

om

e s

erv

ice s

tandard

but

min

imal (K

PIs

) and t

here

w

as lim

ited c

onnection b

etw

een t

he C

SP

and t

he b

udget

pro

cess

•O

wners

hip

of

the S

trate

gic

pla

n (

mostly a

t th

e e

xecutive level w

ith

sm

all

imple

menta

tion t

eam

)

•O

rganiz

ation a

s a

whole

is n

ot

as e

ngaged in t

he B

IG p

ictu

re b

ut

want

to b

e m

ore

involv

ed

How

does S

t. J

ohn’s

com

pare

?

Ele

men

ts o

f an

Acc

ou

nta

bili

tyF

ram

ewo

rkS

aska

too

nL

on

do

nK

itch

ener

Vau

gh

anS

t.

Joh

n’s

Str

ate

gic

pla

n

10

-ye

ar

4

-ye

ar

4

-ye

ar

1

2-y

ea

r

4

-ye

ar

Str

ate

gic

pla

n d

eve

lop

ed

with

co

mm

un

ity

en

ga

ge

me

nt

Deta

iled I

mple

menta

tion a

nd/o

r depart

menta

l

bu

sin

ess p

lan

s

Perf

orm

ance m

anagem

entin

clu

din

g K

PIs

Co

ntin

uo

us im

pro

ve

me

nt

Citiz

en

da

sh

bo

ard

an

d/o

r re

po

rt c

ard

Citiz

en

sa

tisfa

ctio

n s

urv

ey

On

go

ing

citiz

en

s p

an

el

London,

Onta

rio –

Citiz

en D

ashboard

Layin

g t

he f

oundation f

or

2019

•2

01

9 is th

e n

ext th

ree

-ye

ar

bu

dg

et a

nd

will

co

incid

e w

ith

ne

xt str

ate

gic

pla

nn

ing

cycle

–W

e w

ill n

ee

d to

un

de

rta

ke

a s

ign

ific

an

t p

ub

lic e

ng

ag

em

en

t e

ffo

rt to

co

nfirm

vis

ion

, str

ate

gic

dire

ctio

ns fo

r n

ext str

ate

gic

pla

n w

hic

h c

on

sid

ers

bu

dg

et,

se

rvic

e a

nd

in

form

s

the

20

19

-21

th

ree

-ye

ar

bu

dg

et

•W

e n

ee

d to

de

ve

lop

a c

ultu

re o

f co

ntin

uo

us im

pro

ve

me

nt a

nd

bu

ild c

ap

acity

(le

arn

ing

, to

ols

, p

roje

cts

,)

•W

e n

ee

d to

esta

blis

h a

citiz

en

sa

tisfa

ctio

n s

urv

ey a

s a

be

nch

ma

rkin

g to

ol a

nd

co

nsid

er

on

line

pa

ne

ls a

s p

art

of

ou

r re

gu

lar

pu

blic

en

ga

ge

me

nt ch

eck in

pro

ce

ss.

•W

e n

eed

to

bu

ild c

apac

ity

inte

rnal

ly f

or

chan

ge,

cre

ate

a ch

ang

e an

d v

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1  

City of St. John’s Engagement Evaluation  

Background  The Division of Organizational Performance and Strategy, Department of Finance & Administration has identified the need to undertake an evaluation of the engagement framework and platform as a key activity for 2017.   The City’s Engage! Policy 12‐01‐01 states that the (former) Office of Strategy and Engagement (OSE)  is responsible for developing the (engagement) framework and maintaining it through effective internal and external capacity building, evaluation and support.   The Policy also states that the Process to guide engagement will be informed by the internationally accepted International Association for Public participation (IAP2).  The City developed a Toolkit for Engagement as part of the process and further notes that OSE will review the Toolkit on an annual basis as a “check in” to see if adjustments are required.   The City rolled out its online engagement platform in May 2015. An Information Note to Council dated October 6, 2015 states that “An evaluation will be conducted at the end of its (engagestjohns.ca) first year of use to determine how it is working for both staff and users. With 2016 focused on program review, the evaluation was moved to 2017.  

Objectives of Evaluation The objectives of the evaluation are as follows: 

1.  Determine the extent to which the engagement activities and initiatives undertaken by the City since the adoption of the Engage! Policy in 2014 are meeting the goals of the policy. The goals of the policy are as follows: 

Improve/inform decision making and programming;   Create space for everyone to feel involved and listened to;   Share information effectively and welcome different points of view   Generate new ideas and solutions;  Build trust;  Understand the needs and priorities of the community. 

2.  Assess the effectiveness of the online Engage! St. John’s platform as an engagement tool and make a recommendation as to a contract extension or replacement for the current service provider; 

3.  Ascertain the effectiveness and make recommendations for improvements/enhancements to the City’s engagement framework, tools and activities.  

It is important to note that the City’s Engage! Policy is just two years olds. Since the adoption of the policy, considerable time and effort has been dedicated to building internal and external 

2  

capacity, and selecting and launching an appropriate online tool. The results of the evaluation must be interpreted with this in mind.  

 

Evaluation Process and tools An evaluation of the City’s engagement will focus on two areas: 1. Engagement activities and initiatives undertaken by the City since the Engage! Policy was 

approved by Council in October 2014; specifically the 17 public and 2 employee engagement initiatives completed during the period 2014 ‐ 2016.   

2. On‐line platform (engagestjohns.ca).  The evaluation will focus on the functionality and usability of the platform, how the platform helps the City deliver on its Engage! Policy, and how effectively the platform meets the needs of: 

o City staff who are leading engagement activities; o the general public participating in engagement activities; and o City staff who act as administrators of the site.  

 The City will extend its current contract with Engagement HQ, the service provider, until December 2017 to allow time for the evaluation. The evaluation will inform the decision to renew or replace the service provider beginning in 2018.  

 The evaluation will involve conversations with Council and city staff, as well as a public survey (see Table below). The tools chosen will adhere to the International Association for Public Participation (IAP2) principles.  

 Tools and techniques to be used in evaluation 

A jurisdictional scan of other organizations’ engagement evaluations  Review of engagestjohns.ca analytics (usage statistics) overall and by project  Focused conversations with Council members  Focused conversations with staff leads on engagement projects  Online survey of public  Meeting with Communications re: Engage! Communications plan and implementation  as 

well as their role in communicating engagement related work  Review of feedback forms from public engagement sessions   Review of relevant data from Advisory Committee check‐in completed in December 2016  Peer review of engagestjohns.ca by Engagement HQ, the platform provider  Survey of attendees of Engage 101 training sessions  Focused conversation with Engage! Task Force members  Review of Happy City analysis of budget engagement process for 2016‐18 and 2017  Review of issues documented by administrators related to engagestjohns.ca 

 The evaluation will not include analysis of the City’s website or social media channels. 

 

 

 

City of St. John’s PO Box 908 St. John’s, NL Canada A1C 5M2 www.stjohns.ca

 

Title: Engagement Evaluation Date Prepared: March 2, 2017 Report To: Ward: N/A Councillor and Role: Issue: To provide information on the upcoming evaluation of the City’s engagement activities and platform Discussion – Background and Current Status: The City adopted the Engage! Policy (12-01-01) in October 2014 that outlines a framework for public engagement. The City applies the Engage! Policy to all activities and opportunities where information is shared and/or input is sought. An online engagement platform (engagestjohns.ca) was rolled out in May 2015. The Engage! Policy states that the (former) Office of Strategy and Engagement is responsible for developing the engagement framework and maintaining it through effective internal and external capacity building, evaluation and support. Two years on from the adoption of the policy, an evaluation is appropriate. An Information Note to Council dated October 6, 2015 states that “An evaluation will be conducted at the end of the first year of use of the online platform (engagestjohns.ca) to determine how it is working for both staff and users.” With 2016 focused on program review, the evaluation was moved to 2017. The objectives of the engagement evaluation are as follows:

1. Determine the extent to which the engagement activities and initiatives undertaken by the City since the adoption of the Engage! Policy are meeting the goals of the policy.

2. Assess the effectiveness of the online Engage! St. John’s platform (engagestjohns.ca) as an engagement tool and make a recommendation as to a contract extension or replacement for the current service provider;

3. Ascertain the effectiveness and make recommendations for improvements/enhancements to the City’s engagement framework, tools and activities.

Key Considerations/Implications:

1. Budget/Financial Implications

The City is extending the current contract for its online engagement platform until

December 2017 to allow time for the evaluation. This is a budgeted cost. The evaluation

process may involve minimal costs for hosting focus groups or meetings.

INFORMATION NOTE

 

 

City of St. John’s PO Box 908 St. John’s, NL Canada A1C 5M2 www.stjohns.ca

2. Partners or Other Stakeholders

The general public will be consulted during the evaluation, including members of the

former Engage! St. John’s Task Force.

3. Alignment with Strategic Directions/Adopted Plans

Engagement aligns with the strategic direction Responsive and Progressive in the City’s

Corporate Strategic Plan and the goal of creating a culture of engagement. The

evaluation is consistent with the City’s new focus on continuous improvement.

4. Legal or Policy Implications

The City will extend its current contract with Engagement HQ, the service provider, until

December 2017. A contract renewal or replacement will be required beginning in 2018.

Any contract will be reviewed by the Legal Department.

The evaluation may identify the requirement to adjust or update the City’s Engage!

Policy and the engagement framework.

5. Engagement and Communications Considerations

The evaluation will require engagement with internal and external stakeholders including

the general public. A number of tools and techniques will be used to gather information

from stakeholders including surveys and focused conversations (see attachment).

6. Human Resource Implications

Responsibility for engagement and the evaluation process rests with the division of

Organizational Performance and Strategy housed within Finance and Administration.

7. Procurement Implications

If the evaluation indicates that the online platform is not effectively meeting the City’s

engagement requirements, the procurement process will be followed to identify a

replacement service provider.

8. Information Technology Implications

A change to the online platform could have IT implications for the City. A new service

provider would need to meet the IT requirements of the City and be compatible with City

systems.

9. Other Implications

N/A

Prepared by: Vicki Button, Organizational Performance and Strategy Reviewed By: Victoria Etchegary, Manager, Organizational Performance and Strategy Approved by/Date/Signature: Derek Coffey, Deputy City Manager, Finance and Administration Attachments: City of St. John’s Engagement Evaluation Outline

1  

City of St. John’s Engagement Evaluation  

Background  The Division of Organizational Performance and Strategy, Department of Finance & Administration has identified the need to undertake an evaluation of the engagement framework and platform as a key activity for 2017.   The City’s Engage! Policy 12‐01‐01 states that the (former) Office of Strategy and Engagement (OSE)  is responsible for developing the (engagement) framework and maintaining it through effective internal and external capacity building, evaluation and support.   The Policy also states that the Process to guide engagement will be informed by the internationally accepted International Association for Public participation (IAP2).  The City developed a Toolkit for Engagement as part of the process and further notes that OSE will review the Toolkit on an annual basis as a “check in” to see if adjustments are required.   The City rolled out its online engagement platform in May 2015. An Information Note to Council dated October 6, 2015 states that “An evaluation will be conducted at the end of its (engagestjohns.ca) first year of use to determine how it is working for both staff and users. With 2016 focused on program review, the evaluation was moved to 2017.  

Objectives of Evaluation The objectives of the evaluation are as follows: 

1.  Determine the extent to which the engagement activities and initiatives undertaken by the City since the adoption of the Engage! Policy in 2014 are meeting the goals of the policy. The goals of the policy are as follows: 

Improve/inform decision making and programming;   Create space for everyone to feel involved and listened to;   Share information effectively and welcome different points of view   Generate new ideas and solutions;  Build trust;  Understand the needs and priorities of the community. 

2.  Assess the effectiveness of the online Engage! St. John’s platform as an engagement tool and make a recommendation as to a contract extension or replacement for the current service provider; 

3.  Ascertain the effectiveness and make recommendations for improvements/enhancements to the City’s engagement framework, tools and activities.  

It is important to note that the City’s Engage! Policy is just two years olds. Since the adoption of the policy, considerable time and effort has been dedicated to building internal and external 

2  

capacity, and selecting and launching an appropriate online tool. The results of the evaluation must be interpreted with this in mind.  

 

Evaluation Process and tools An evaluation of the City’s engagement will focus on two areas: 1. Engagement activities and initiatives undertaken by the City since the Engage! Policy was 

approved by Council in October 2014; specifically the 17 public and 2 employee engagement initiatives completed during the period 2014 ‐ 2016.   

2. On‐line platform (engagestjohns.ca).  The evaluation will focus on the functionality and usability of the platform, how the platform helps the City deliver on its Engage! Policy, and how effectively the platform meets the needs of: 

o City staff who are leading engagement activities; o the general public participating in engagement activities; and o City staff who act as administrators of the site.  

 The City will extend its current contract with Engagement HQ, the service provider, until December 2017 to allow time for the evaluation. The evaluation will inform the decision to renew or replace the service provider beginning in 2018.  

 The evaluation will involve conversations with Council and city staff, as well as a public survey (see Table below). The tools chosen will adhere to the International Association for Public Participation (IAP2) principles.  

 Tools and techniques to be used in evaluation 

A jurisdictional scan of other organizations’ engagement evaluations  Review of engagestjohns.ca analytics (usage statistics) overall and by project  Focused conversations with Council members  Focused conversations with staff leads on engagement projects  Online survey of public  Meeting with Communications re: Engage! Communications plan and implementation  as 

well as their role in communicating engagement related work  Review of feedback forms from public engagement sessions   Review of relevant data from Advisory Committee check‐in completed in December 2016  Peer review of engagestjohns.ca by Engagement HQ, the platform provider  Survey of attendees of Engage 101 training sessions  Focused conversation with Engage! Task Force members  Review of Happy City analysis of budget engagement process for 2016‐18 and 2017  Review of issues documented by administrators related to engagestjohns.ca 

 The evaluation will not include analysis of the City’s website or social media channels. 

 

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 1

To: Chair & Committee Members, Audit & Accountability Committee

Date: March 7, 2017

Areas Responsible: Jason Sinyard, DCM – Planning, Engineering and Regulatory

Services

Sylvester Crocker, Manager – Technical Services

The table below summarizes the pending issues from the Internal Audit of Inspection

Services #12-04.

Recommendation Status Update Date

1.5 (i) Management should review

the departmental policies/procedures

and forward them to the appropriate

governance committee of council for

their information in line with best

practices for corporate governance.

Management indicated the process

of reviewing all the documents has

started and will be brought forward

to the Planning & Development

Committee.

The review was delayed based upon

outcome of program review. The

review will start now that program

review is over. Due to the

magnitude of the number of policies

involved, it will take another 8

months to finish.

Sep 2017

Previous

Date:

May 2014

Dec 2016

1.5 (ii) Management should include

reference in the policy/procedures of

a follow-up of expired permits and

conditional occupancy permits for

building, electrical and plumbing.

The reference to follow-up of

expired permits will be reflected in

the policy/procedures.

The permit expiry date has been

increased to two years. Management

has been doing an increased effort

in closing off files and Final

Inspections. When the full review is

completed on the policies and

procedures, this will be included.

Temporary occupancies have now

been reduced to 100 from over 800.

Staff have worked hard at this.

Sep 2017

Previous

Date:

Dec 2013

Dec 2016

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 2

Recommendation Status Update Date

2.1 Management should ensure that

the fee for repeat inspections is

charged on a consistent basis. In

order to make the repeat inspection

fee process work on a more

equitable basis for the contractor

and the Inspection Services

Division, management may want to

consider allowing for a number of

free repeat inspections before the

penalty fee is applied.

In addition, management should

monitor the number of repeat

inspections being performed on, at

least, a yearly basis.

Management noted that a monthly

program of monitoring the PIR's

was put in place in July 2014; and

this has shown that there may be

inconsistencies in how inspection

staff apply the fee. Therefore, it is

felt that a better approach would be

to establish what an appropriate

number of inspections would be for

permits issued (building, electrical,

plumbing) for New Construction,

Residential. Discussion will be held

with the NL Homebuilders, then

brought through the Planning

Committee and Council for

approval before that system is put in

place. This will require a re-write

on the policy, procedure and the By-

Law, so it will take time.

During program review,

management identified this issue

and implemented a set number of

inspections for Single Family

Dwellings. Council adopted the

new format which is now being

advertised; and it will be

implemented March 1/2017. Once

the new Govern system is

implemented tracking of these items

will be easier.

Mar 2017

Previous

Date:

Nov 2013

Dec 2016

2.2 In order to avoid confusion and

ensure consistent application of the

By-Law, Policy, etc., management

should review the By-Law, the

Policy, the Schedule of Fees and

Rates and the Plans Review Letter

and determine the appropriate

wording for the fees to ensure that

they are consistent with each other

and that they are not open to

interpretation.

Management advised that the Plans

Review Letter, By-Law and

Schedule are now consistent with

each other.

Next, the Policy will be reviewed

and updated.

Sep 2017

Previous

Date:

Feb 2014

Dec 2016

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 3

Recommendation Status Update Date

2.3 Management should review the

expiry dates provided for each type

of permit to determine if they

should be changed to reflect the

current construction environment in

the City and to ensure they are

equitable and consistent. If

required, section 30 of the St. John’s

Building By-Law and Internal

Policy A-3-06 should be updated to

reflect this change.

Management indicated the permit

expiry dates have been changed to 2

years which will reduce the number

of expired permits dramatically.

Next the Policy will be reviewed

and updated and the By-Law will be

reviewed and updated in

conjunction with the Legal

Department.

Further to the above, wording of

Building By-Law has been reviewed

and is acceptable. Policy A3-06

will be updated in the policies and

procedures section.

Sep 2017

Partially

Implemented

Previous

Date:

Apr 2014

Dec 2016

2.7 (i) Management should

determine the standard number of

inspections required for each

construction category. This should

be documented and added to the

Inspection Services Division

Internal Policy Manual.

During the review of all Policies,

the standard number of inspections

will be identified and the Policy will

be updated.

Further to the above, a set number

of inspections was setup for new

single family dwellings. The issue

was discussed with industry and will

start March 2017. If successful, it

can be looked at across the board for

commercial applications.

Mar 2017

Previous

Date:

Mar 2014

Dec 2016

2.7 (ii) Management should consult

with the Legal Department to

determine if the By-Law should be

revised to include the standard

number of inspections required for

each construction category.

Once the standard number of

allowable inspections per permit is

determined/approved by Council,

the Policy will be re-written and By-

Laws will be reviewed and updated

in conjunction with the Legal

Department.

Further to the above, a set number

of inspections was setup for new

single family dwellings. The issue

was discussed with industry and will

start March 2017. If successful, it

can be looked at across the board for

commercial applications.

Mar 2017

Previous

Date:

Mar 2014

Dec 2016

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 4

Recommendation Status Update Date

2.9 (i) Management should inform

the appropriate governance

committee of Council of the current

process of utilizing the Plans

Review Masterlist as a

compensating control instead of

supervisory review and approval of

the Certificates of Grade and Plans

Review Letter. The committee

should be informed of the risks to

the City of issuing incomplete and

inaccurate Letters so that the

Committee Members can decide if,

in their opinion, the risks are

adequately controlled.

Management advised Certificate of

Grades/Plans Review Masterlist

Process will be reviewed by SSC

and brought forward to the Planning

& Development Committee for

information purposes.

Due to program review, this issue

was deferred. It is recommended

that the legal department review the

process and provide an opinion on

the legality of the current system.

Once that opinion is received, it will

be reviewed and then forwarded to

the standing committee if deemed

necessary.

Mar 2017

Previous

Date:

Mar 2014

Jan 2016

3.1 (ii) (Electrical) Management

should review the By-Law, Policy

and actual inspection practices and

decide on the inspection

classifications (stages) to be used

and the number of inspections that

are required for each construction

category.

This is still under review and

consideration. Information is being

gathered from the Provincial

Inspection Division along with the

review of premature inspection fees

and the standard number of

inspections allowed per permit.

A set number of inspections will be

implemented March 2017 as

approved by council during PR.

The current number of inspections is

satisfactory. A pilot program is

being initiated to look at the issue of

self-inspection with results in March

2019.

Mar 2017

Previous

Date: Mar 2014

Dec 2016

3.1 (iii) Management should review

the By-Law, Policy and actual

inspection practices and depending

on the outcomes of i) and ii), decide

if amendments should be made to

the By-Law and Policy.

As per the above comments 3.1 (ii),

once a decision is made, the

appropriate sections, fees,

schedules, By-Laws and Policies

will be revised to reflect this.

Mar 2017

Previous

Date: Mar 2014

Dec 2016

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 5

Recommendation Status Update Date

3.2 (i) (Electrical) Management

should consistently charge permit

holders for repeat inspections in an

effort to deter builders/contractors

from repeatedly calling for an

inspection prior to ensuring their

work is up to code. The electrical

repeat inspection fee should be

applied using the same method that

is developed for the building repeat

inspection fee under Issue 2.1. An

alternative to charging the repeat

inspection fee during each

inspection stage is to charge the full

amount of the repeat inspection fees

during the Occupancy Certificate

stage.

Management determined that

premature inspection fees are being

charged inconsistently by staff so

another approach will be pursued to

determine how many inspections is

reasonable. Once an owner/

contractor has exceeded that

number, additional fees would be

charged. (Consultations will take

place with the Homebuilders, our

Committee, and Council before

implementation).

The Industry has been reminded

periodically during ongoing

meetings and this item will be

included in the annual advisory.

Further to the above, a set number

of inspections will be implemented

March 2017 as approved by council

during PR. The current number of

inspections is satisfactory. A pilot

program is being initiated to look at

self-inspection in March 2019.

Mar 2017

Previous

Date: Jan 2014

Dec 2016

3.2 (ii) (Electrical) Management

should revise the Division’s Policy

A-4-37 to reflect the same

terminology as the Electrical By-

Law.

This policy will be reviewed and if

necessary revised to reflect the same

wording as used in the By-Law

during the full review of all the

policies/by-laws for the Division.

Policy A-4-37 will be updated in

Sept 2017.

Sep 2017

Previous

Date:

Jan 2014

Dec 2016

4.1(iii) (Plumbing) Management

should review the By-Law and

Policy and depending on the

outcomes of other recommendations

made in the report, determine if

amendments should be made to the

By-Law and Policy.

As smaller revisions arise with

respect to the Plumbing and

Electrical By-Laws, they are

completed by Legal/Council.

However all of our By-Laws could

use a full review to ensure

consistency. This is a large

undertaking and will require staff

resources from the inspection

services division as well as legal

department.

Dec 2017

Previous

Date: Mar 2014

Dec 2016

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 6

Recommendation Status Update Date

4.2 (i) Management should

consistently charge permit holders

for repeat inspections in an effort to

make certain that the fee is effective

in deterring builders/contractors

from repeatedly calling for an

inspection prior to ensuring their

work is up to code. The plumbing

repeat inspection fee should be

applied using the same method that

is developed for the building repeat

inspection fee under Issue 2.1. An

alternative to charging the re-

inspection fee during each

inspection stage is to charge the full

amount of all re-inspection fees

during the Occupancy Certificate

stage.

A review by management has

determined that premature

inspection fees are being charged

inconsistently by staff. Another

approach will be pursued to

determine how many inspections are

reasonable per permit per discipline.

Once an owner/contractor has

exceeded that number, additional

fees would be charged.

(Consultations will take place with

the Homebuilders as well as our

Committee/Council before that

process is implemented.)

The plumbing inspectors have been

advised that as is the case with the

other divisions - electrical and

building, that they too must enforce

pre-mature inspection fees, where

necessary, and that management

will carry out random reviews to

ensure that it is being applied.

Further to the above, a set number

of inspections will be implemented

March 2017 as approved by council

during PR. A pilot program is being

initiated to look at issue of self-

inspection results in March 2019.

Mar 2017

Previous

Date:

Nov 2013

Dec 2016

4.2(ii) Management should

reference the $100 fee for plumbing

repeat inspections in the Inspection

Services Division’s Policy and

Procedures Manual.

Management monitored and

determined that premature

inspection fees are not consistently

applied. They will establish a

standard number of allowable

inspections per permit after which

extra fees will be applied.

Further to the above, this will be

completed when policies and

procedures are updated.

Sep 2017

Previous

Date: Mar 2014

Dec 2016

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 7

Recommendation Status Update Date

5.1(ii) Management should ensure

CSR’s check the permits for the

signature of the owner or authorized

agent before processing.

After discussions with the Legal

Department and Inspection

Services, the wording "payment of

the permit fee means the permit

holder and property owner agree to

be bound by the terms of this permit

and the City of St. John's

regulations and by-laws" will be

placed on the face of the new

permits that will be generated once

MS Govern Phase II - Building

Permits goes live.

Implementation of Govern Phase II

- Building Permits has been changed

to March 2017

Mar 2017

Previous

Date:

Dec 2013

Jan 2016

5.1(v) Access St. John’s

management should meet with

management of Inspection Services

to discuss the possibility of revising

the City’s Schedule of (Fees &)

Rates to include square feet for

calculating the building permit fee

as well as square meters. This will

provide more useful information to

those individuals still using square

feet and should also lower the risk

of miscalculating the permit fee as

the CSR’s will not have to convert

the measurements to square meters

from square feet.

Management advised the conversion

process will be rectified with

implementation of MS Govern

Phase II project as there will be a

program developed and built into

the system to address this.

Implementation of Govern Phase II

- Building Permits has been changed

to March 2017.

Mar 2017

Previous

Date:

Nov 2013

Jan 2016

The following table summarizes the current status of all issues identified in the Internal

Audit of Inspection Services #12-04.

Total Recommendations Closed Pending

56 39 (70%) 17 (30%)

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 8

The Table below summarizes the closed issues from the Internal Audit of Inspection

Services #12-04.

Recommendation Status Update Date

1.1(i) Management should develop a

checklist for the inspectors to

complete indicating all necessary

documentation is contained in the

file.

Completed Implemented

Closed

1.1 (ii) Management should ensure

that files are reviewed and approved

by a manager/supervisor. If a

review of all files is determined to

not be feasible, then management

should review a sample of files on a

regular basis to verify that the

information contained in them is

accurate and complete. The

outcome of the reviews should be

documented.

Management advised that with

8,000 files “closed” last year and

limited resources, they will review a

sample of files.

Partially

Implemented

Closed

1.2 (i) Management should

investigate the feasibility of

developing a program whereby

contractors/electricians/plumbers

could qualify to be approved to

certify their own work.

Management should contact the

provincial government to determine

how they instituted their program

for the certification of registered

contractors in regards to electrical

work and to discover if they are

having any problems. Management

should also contact the Canadian

Home Builder’s Association and

any other relevant industry

associations to determine if they

have any certification programs in

place to help ensure the quality of

the work of their members.

Information on these certification

programs may be helpful when

developing the City’s program.

Management indicated CHBANL is

developing a voluntary master

builder program; however, the

program is not fully developed and

the industry at present is not ready

for self-regulation for Building,

Electrical or Plumbing inspections.

Not

Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 9

Recommendation Status Update Date

1.2 (ii) Management should make

certain that the City’s self-

regulation program, if developed,

includes the right for the City to

perform inspections on a test basis

to help ensure compliance with the

program. In addition, management

should involve the City’s Legal

Department in the development of

the program to make certain that the

City’s interests are protected.

Management indicated CHBANL is

developing a voluntary master

builder program; however, the

program is not fully developed and

the industry at present is not ready

for self-regulation for Building,

Electrical or Plumbing inspections.

Not

Implemented

Closed

1.3 Management should determine

if it is feasible to have staff call the

building superintendents/contractors

on the day of the inspection to give

the builders the opportunity to have

a representative on site. However, it

should be made clear to the builders

that the purpose of this courtesy is

to have the inspector available to

answer any questions after the

inspection and not for the

representative to accompany the

inspector during the inspection.

Management advised for new

construction, if an inspector has a

homeowner or contractor standing

over his shoulder asking questions

while conducting the inspection, this

will slow down the process. There

is also an intimidation factor there

and the inspector may be asked to

wait around while the deficiencies

are corrected.

Not

Implemented

Closed

1.4 Management should review the

number of telephone calls and

inquiries handled by the Inspector

on Duty, along with the response

times, and decide if another position

is warranted at least during the

busier times of the construction

season.

Completed Implemented

Closed

2.4 (i) In order to ensure that the

expired permits/deficiencies are

followed up on a timely basis, that

renewal fees are collected and that

Conditional Occupancy Permits are

being cleared in a reasonable period

of time, management should

generate reports showing expired

permits where the files are still

active.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 10

Recommendation Status Update Date

2.4 (ii) In order to ensure that the

expired permits/deficiencies are

followed up on a timely basis, that

renewal fees are collected and that

Conditional Occupancy Permits are

being cleared in a reasonable period

of time, management should

generate reports from the AS400

computer system showing a list of

Conditional Occupancy Certificates

which are outstanding.

Senior management should review

the reports and ensure that the files

are followed up on a timely basis.

Completed Implemented

Closed

2.5 (i) In an effort to improve

consistency in inspection outcomes,

management should review, modify

(if required) and implement the

checklist for inspectors to complete

while conducting their inspections.

Management selected and

implemented a program called City

Reporter. The IT Department

provided I-Pads to the Inspection

Division staff.

Implemented

Closed

2.5 (ii) In an effort to improve

consistency in inspection outcomes,

management should monitor and

document all instances where a

repeat inspection has found

deficiencies that were not noted

during the original inspection in an

effort to determine the cause and

frequency of occurrence.

Completed Implemented

Closed

2.6 (i) Management should revise

the Schedule of Fees and Rates to

include the estimated construction

value of $650 per square meter for

garages on one and two family

dwellings.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 11

Recommendation Status Update Date

2.6 (ii) Management should revise

the Schedule of Fees and Rates to

include clarification that electrical

and plumbing permit fees will be

charged in addition to building fees.

Consideration should also be given

to charging one fee to cover the

building, electrical and plumbing

permits. This will eliminate the

appearance of double billing for

these items and may also help to

speed up the permitting process for

both the applicant and the City.

Management advised the Schedule

of Fees and Rates has been updated

to include the recommended

statements.

Implemented

Closed

2.6 (iii) Management should revise

the Schedule of Fees and Rates to

include guidance on what costs

(design fees, HST, bonding, etc.) are

to be included in the estimated value

of the project that is required to be

entered on the building permit by

the applicant to help ensure

consistency.

Completed Implemented

Closed

2.6 (iv) Management should revise

the Schedule of Fees and Rates to

include a statement that permit fees

will be adjusted and charged if the

actual cost of the project differs

from the estimated cost supplied by

the applicant on the permit

application.

Completed Implemented

Closed

2.6 (v) Management should revise

the Schedule of Fees and Rates to

include a statement that applicants

for commercial building permits

must provide an estimated cost in

writing signed-off by the contractor.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 12

Recommendation Status Update Date

2.8 Management should re-visit the

stock plans submission process to

determine if it can be utilized.

After consultation, management

determined that the industry was not

utilizing the Stock Plan Submission

process; therefore, it was

discontinued and Inspection

Services started sorting and

assigning like plans to a smaller

group of inspectors/plans

examiners. Also, the larger

residential builders were asked to

note on their new applications the

locations where they have already

built a similar plan.

Implemented

Closed

(process

reviewed)

2.9 (ii) Management should ensure

the copy of the Certificate of Grade

that is kept on file is signed by the

Senior Building Inspector.

Completed Implemented

Closed

2.10 (i) Management should advise

inspectors to identify the inspection

stage on the Field Notices and

initial and date all deficiencies noted

in the previous inspection that were

corrected.

Completed

Implemented

Closed

2.10 (ii) Management should advise

inspectors when they do an

inspection based on an existing

Field Notice to prepare a new Field

Notice indicating 1) what items are

outstanding from the previous

notice and 2) if they found any

additional deficiencies. Also, if all

the deficiencies are corrected, then a

Field Notice should be given to the

builder indicating so.

All divisions are now on City

reporter and this issue seems to be

resolved. No complaints from

industry in the past year.

Implemented

Closed

3.1(i) (Electrical) Management

should decide if electrical permits

should be given for a specific time

period to ensure consistency and

fairness for all applicants.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 13

Recommendation Status Update Date

3.3(i) Management should ensure

that applications for electrical

permits are attached to the copy of

the permit forwarded to the

Inspection Services Division.

Completed Implemented

Closed

3.3(ii) Management should instruct

staff to place permits in the “open”

file in numerical sequence (civic

number) by street name for ease of

accessibility.

Completed Implemented

Closed

3.3(iii) Management should instruct

Electrical Inspectors to give the

original of the Field Alteration

Notices to the contractor /

homeowner, attach the copy to the

permit and place it in the “closed”

file when the project has been

completed. This is similar to the

building inspections process.

Completed Implemented

Closed

3.3(iv) Management should ensure

electrical permits relating to

building files are placed in the

“Building File” so that there is one

file that contains all permits and

inspections. (Note: management

should review the filing system once

the reorganization has taken place to

determine if one file for building,

electrical and plumbing would be

practical.)

Completed Implemented

Closed

3.3(v) Management should ensure

that the letters sent to electrical

contractors for follow-up of expired

permits are signed.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 14

Recommendation Status Update Date

4.1(i) (Plumbing) Management

should decide if plumbing permits

should be given a specific expiry

date in the case of new buildings;

and if so:

a) generate a report of expired

plumbing permits on a regular basis;

and

b) ensure that expired permits are

followed-up and that the applicants

are charged a permit renewal fee, if

appropriate.

Completed Implemented

Closed

4.1(ii) Management should decide

on the number of plumbing

inspection stages that are required.

Completed

Implemented

Closed

4.3(i) Management should ensure

that applications for plumbing

permits are attached to the copy of

the permit forwarded to the

Inspections Services Division.

Completed Implemented

Closed

4.3(ii) Management should re-

design the plumbing inspection

forms to be similar to the Field

Notices for building inspections and

have specific sections clearly

identified for each stage of

inspection.

Completed Implemented

Closed

4.3(iii) Management should ensure

that the plumbing inspectors sign

and date each inspection.

Completed Implemented

Closed

4.3(iv) Management should ensure

plumbing inspection deficiencies are

in writing with a copy given to the

contractor and a copy retained by

the inspector.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 15

Recommendation Status Update Date

4.3(v) Management should ensure

plumbing permits related to building

files are placed in the “Building

File” so that there is one file that

contains all permits and inspections.

(Note: management should review

the filing system once the

reorganization has taken place to

determine if one file for building,

electrical and plumbing would be

practical.)

Completed Implemented

Closed

4.3(vi) Management should ensure

all requests for plumbing

inspections are recorded in the

Active Citizen Request system.

Completed Implemented

Closed

5.1(i) Management should ensure

CSR’s sign and date all applications

for building permits in the space

provided.

Completed Implemented

Closed

5.1(iii) Management should review

section 5 of the City-1003 Building

Permit & Development Application

Forms and determine if it should be

deleted or modified.

Completed

Implemented

Closed

5.1 (iv) In an effort to address these

deficiencies, management at Access

St. John’s should ensure the permit

fee calculation is verified for

accuracy by a second employee.

Completed Implemented

Closed

5.1(vi) Management should deposit

cheques upon receiving them at

Access St. John’s and if required,

issue a refund at a later date.

Completed Implemented

Closed

5.2(i) Management should ensure

staff record reasons as to why

building permits are issued for no

fees in the AS400 computer system.

Completed Implemented

Closed

Follow-up Summary Report: Inspection Services Assignment # F17-01

Office of the City Internal Auditor Page 16

Recommendation Status Update Date

5.2(ii) Management (Access St.

John’s) should have a manager or

supervisor review and approve all

zero fee building permits issued

each day. The copy of the permit

forwarded to Inspection Services

should be signed and dated by the

manager or supervisor in Access St.

John’s to indicate approval of the no

fee permit.

Completed Implemented

Closed

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 1

To: Chair & Committee Members, Audit & Accountability Committee

Date: March 7, 2017

Areas Responsible: Derek Coffey, DCM – Financial Management

Richard Squires, Manager - Materials

The Table below summarizes the pending issues from the Internal Audit of Receiving,

Stores and Issuing # 13-02.

Recommendation Status Update Date

1.1 Management should prepare a

policy and procedures manual for

receiving, stores and issuing. The

policy and procedures should be

forwarded to the appropriate

governance committee of Council

for their review and approval.

A Supply Chain review was

performed by an external company

that provided recommendations

regarding a policy and procedures

manual. Management advised that

the policy manual is about 70%

complete and they are in the process

of creating a procedures manual.

Management advised that the policy

and procedures manual is currently

in the review stage with Human

Resources and Legal.

Previous Implementation Dates:

December 2016

Mar 2017

3.1 (ix) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should consider installing security

cameras in the delivery/issuing area.

Management informed that this will

be accomplished after renovations

are complete. Expected renovation

completion date is now May/June

2016 for the Stockroom with camera

installation expected by August

2016.

Management advised they spoke

with the Manager - Emergency

Preparedness/BC and he expects to

have the cameras installed by June

2017.

Previous Implementation Dates:

August 2016

June 2017

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 2

The following table summarizes the current status of all issues identified in the Internal

Audit of Receiving, Stores and Issuing # 13-02.

Total Recommendations Closed Pending

28 26 (89%) 2 (11%)

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 3

The Table below summarizes the closed issues from the Internal Audit of Receiving,

Stores and Issuing - assignment 13-02.

Recommendation Status Update Date

2.1 (i) In order to improve the

receiving process, management

should ensure that the Stockroom

Clerks date stamp all Packing Slips

when goods are received.

Completed Implemented

Closed

2.1(ii) In order to improve the

receiving process, management

should have the requisitioner record

the date the goods are obtained on

the Packing Slip at the same time

the signature is recorded.

Completed Implemented

Closed

2.1(iii) In order to improve the

receiving process, management

should ensure the “Central Stores

Transfer Record” is properly

completed.

Completed Implemented

Closed

2.2 Management should advise

Stockroom Clerks to ensure that

they sign their full name to all

Receiving Reports.

Completed Implemented

Closed

2.3 (i) Internal Audit recommends

that management of the Stockroom

consult with management of the

Regional Water Supply (RWS) and

any other departments where similar

issues are noted during the receipt

of goods to determine if these

departments can have any or all

goods delivered directly to them and

complete the receiving process.

Management indicated that the

Buyer decides with input from the

user department for each order as to

where the goods should be delivered

and who prepares the receiving

report. July 2014

Implemented

Closed

2.3 (ii) Internal Audit recommends

that any exceptions to normal

receiving procedures should be

documented on the Purchase

Order/Receiving Report and in the

Dynamics GP system.

Completed Implemented

Closed

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 4

Recommendation Status Update Date

2.4 Internal Audit recommends that

corresponding Packing Slips,

Receiving Reports and Purchase

Orders be attached and filed

together.

Completed Implemented

Closed

3.1 (i) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should instruct supplier delivery

personnel that they are to remain in

the designated area.

Completed Implemented

Closed

3.1 (ii) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should ensure that purchasing staff

do not have unrestricted access to

the Stockroom. If purchasing staff

require access to the Stockroom,

they should be accompanied by a

Stockroom employee.

Management advised it has been

determined that 3 of the 4 buyers

will not have access to the

Stockroom. In order to ensure

efficient operations and timely

delivery of emergency repair parts

for fleet vehicles it is necessary for

the Garage buyer to continue to

have access. February 2017

Partially

Implemented

3.1 (iii) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should provide a washroom for

purchasing employees that is

separate from the Stockroom.

Completed Implemented

Closed

3.1 (iv) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should remind employees in the

Fleet Division that they are to

follow the procedures of requesting

parts from the Stockroom

employees and that they are not to

enter the Stockroom unless

accompanied by a Stockroom

employee.

Management advised in the interim,

a plexiglass barricade was installed

which was later removed on

2015/03/06 once confirmation that

tool box talks had taken place.

Implemented

Closed

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 5

Recommendation Status Update Date

3.1 (v) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should advise Stockroom Clerks to

request the assistance of another

Stockroom Clerk to retrieve items

that are heavy or difficult to lift. If

another Stockroom Clerk is not

available, then the Clerk should ask

the employee requesting the item for

assistance provided he/she wears the

appropriate safety equipment and is

accompanied by a Stockroom

employee at all times.

Management indicated that the

recommended process was the

current practice but they will send a

reminder to staff.

Implemented

Closed

3.1 (vi) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should ensure that the Inventory

Control Clerk does not have access

to the Stockroom.

The Inventory Control Clerk

position has been made redundant.

Implemented

Closed

3.1 (vii) In order to increase controls

over the Stockroom and potentially

reduce the number of variances in

the inventory count, management

should ensure Stockroom Clerks do

not have access to the Inventory

Control Clerk’s office and receiving

documents.

Completed Implemented

Closed

3.1 (viii) In order to increase

controls over the Stockroom and

potentially reduce the number of

variances in the inventory count,

management should consider having

all employees with access to the

Stockroom exit through one area

that is monitored by management.

Originally, management advised

they would review this by

December 2014 to determine

feasibility. In April 2015, they

advised it was not feasible and the

recommendation will not be

implemented.

Closed

Not

Implemented.

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 6

Recommendation Status Update Date

3.2 (i) Management should improve

the layout and labeling system for

the inventory when renovations are

made to the building and meet with

the Manager of Fleet Services to

discuss any concerns and

suggestions. Consideration should

be given to hiring a consultant to

review the inventory system.

Completed Implemented

Closed

3.2 (ii) Management should explore

the possibility of having:

a) the mechanic request the

equipment part from the Parts Clerk

and return to the garage.

b) the Parts Clerk prepare the Pick

List and print a copy inside the

Stockroom counter or send it as an

e-mail attachment to the Stockroom

Clerk.

c) the Stockroom Clerk advise the

mechanic when the part is ready.

This would increase the productivity

of the mechanics as they would not

have to wait around for parts. This

process should be monitored for a

few weeks/months to see if any

improvements can be made.

The new Manager of Fleet Services

noted that Technicians currently

order parts and return to work if it

will take time to obtain the parts.

He is currently assessing alternate

means of contacting the Technicians

when the parts are ready.

Implemented

Closed

3.3 (i) To ensure (inventory) counts

are performed completely and

accurately and reviewed by the

Supervisor, Stores and Manager,

Materials, management should

instruct the employees preparing

count sheets and verifying count

sheets to sign and date all Stock

Count Forms.

Completed Implemented

Closed

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 7

Recommendation Status Update Date

3.3 (ii) To ensure (inventory) counts

are performed completely and

accurately and reviewed by the

Supervisor, Stores and Manager,

Materials, management should

advise the Supervisor and Manager

to review, sign and date the list of

variances.

Completed Implemented

Closed

3.4 In order to strengthen internal

control, (inventory) adjustments

such as the above (non-stock items

changed to stock items) should be

reviewed and approved by the

Manager, Materials on a periodic

basis.

Completed Implemented

Closed

3.5 To ensure that the appropriate

inventory items are identified for

deletion from inventory, the

Operations Assistant – Fleet

Services should review the list

confirmed by the Senior Fleet Parts

Clerk and return it to the Supervisor,

Stores by e-mail or in paper form

with the Clerk’s and Operations

Assistant’s signature and date

recorded on it.

Completed Implemented

Closed

3.6 In order to ensure that the

appropriate inventory items are

deleted from the inventory system

and are properly approved, the

Supervisor, Stores should key the

list of items in the system and the

Manager, Materials should review

and approve them.

Completed Implemented

Closed

Follow-up Summary Report: Receiving, Stores and Issuing Assignment # 17-02

Office of the City Internal Auditor Page 8

Recommendation Status Update Date

3.7 Management should instruct the

Stockroom Clerk and the Inventory

Control Clerk to record the

measurements directly on the

“Depot Tank Dip Reading” form

and sign and date the form. Also,

the Supervisor, Stores should sign

and date the form after review and

approval.

Completed Implemented

Closed

4.1 In order to strengthen internal

control, management should ensure

that the Pick List sections

“Approved By” and “Issued To” are

signed by different employees.

Completed Implemented

Closed

4.2 Management should ensure that

all issuing documents (Pick Lists

and Stock Issue forms) are signed

properly and that proper procedures

are included in the policy and

procedures to cover the signing of

these documents.

Completed Implemented

Closed

4.3 The Supervisor, Stores should

investigate the reasons for the

differences between the amounts

indicated in the Smartlist and the

“Sales Transactions Inquiry Zoom”

screen and ensure the problem is

resolved.

Management contacted Information

Services which investigated the

problem and found that the negative

amounts are not posted anywhere;

and, therefore, there is no effect to

our information or reports.

Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 1

To: Chair & Committee Members, Audit & Accountability Committee

Date: March 7, 2017

Areas Responsible: Tanya Haywood, Deputy City Manager – Community Services

Carla Squires, Manager Facilities Division

The Table below summarizes the pending issues from the Review of H.G.R. Mews

Community Centre and Wedgewood Park Recreation Centre (Cash Handling, Petty Cash,

Sales and Attendance Reporting) - # 14-01.

Recommendation Status Update Date

1.1 Management should develop a

city-wide Cash Handling Policy.

While different departments

may have varied requirements

for the handling of cash, the

city-wide policy should specify

that adequate segregation of

duties must exist at all times in

the cash handling function.

Other considerations for the

policy can be viewed in the

report.

Management indicated they have

managed to obtain some examples

of policies from other jurisdictions;

however, as a result of staff

retirements, training of new staff,

H.S.T. audits, etc. the preparation of

the policy will be re-scheduled.

Current - The first priority is

working with the external auditors

to complete the financial statements.

Previous Implementation Dates:

December 2014

September 2015

July 2017

1.2 Management should develop a

city-wide Petty Cash Policy.

While different departments

may have varied requirements

for Petty Cash, the city-wide

policy should aim to ensure that

all Petty Cash funds are properly

secured and accounted for at all

times. Other considerations for

the policy can be viewed in the

report.

Management indicated they have

managed to obtain some examples

of policies from other jurisdictions;

however, as a result of staff

retirements, training of new staff,

H.S.T. audits, etc. the preparation of

the policy will be re-scheduled.

Previous Implementation Dates:

December 2014

September 2015

July 2017

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 2

Recommendation Status Update Date

1.3 (ii) In order to improve the

Recreation Division’s Policies

and Procedures, management

should:

reword Section 7 - General

Program Procedures, subsection

B to make it consistent and

understandable. In addition,

examples of expenses which are

acceptable and unacceptable

should be included.

Management advised this will be

updated after the city-wide Petty

Cash Policy and Procedures from

Finance are written.

Previous Implementation Dates:

December 2014

October 2015

Aug 2017

1.3 (iii) In order to improve the

Recreation Division’s Policies

and Procedures, management

should:

state the position titles of the

employees who are authorized

to sign the Petty Cash Voucher

Forms.

Management advised this will be

updated after the city-wide Petty

Cash Policy and Procedures from

Finance are written.

Previous Implementation Date:

December 2014

October 2015

Aug 2017

1.4 (i) In order to improve controls

over the Petty Cash Advance

Vouchers, management should:

re-design the form to have the

appropriate title indicated

instead of “Supervisor”. The

appropriate title should be an

employee who has signing

authority on the account. Also,

the section “Cash Given To”

should be changed to

“Requested By”. Management

should confer with the

Department of Financial

Management prior to re-

designing the form to ensure that

it meets their requirements

under the city-wide Petty Cash

Policy proposed in issue 1.2.

Management indicated that forms

are developed by the Finance

Department and they are waiting for

their direction.

Previous Implementation Date:

December 2014

October 2015

Aug 2017

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 3

Recommendation Status Update Date

1.5 In order to improve controls

over the Petty Cash Voucher

forms, management should re-

design the form to include the

following sections:

i) “Requested By”

ii) “Approved By” (management

employee who has signing

authority)

iii) “Cash Given By”.

Management should confer with

the Department of Financial

Management prior to re-

designing the form to ensure that

it meets their requirements

under the city-wide Petty Cash

Policy proposed in issue 1.2.

Management indicated that forms

are developed by the Finance

Department and they are waiting for

their direction.

Previous Implementation Date:

December 2014

October 2015

Aug 2017

2.2 (i) In order to improve the

accuracy of the Petty Cash

Vouchers and ensure that all

expenses incurred are

appropriate, management

should:

provide all Petty Cash

Custodians with direction on

how to properly complete the

vouchers.

Management indicated policies and

procedures are to be developed by

the Finance Department and they

are waiting for their direction.

Previous Implementation Date:

October 2014

October 2015

Aug 2017

2.2 (ii) In order to improve the

accuracy of the Petty Cash

Vouchers and ensure that all

expenses incurred are

appropriate, management

should:

review the vouchers when

approving the Petty Cash

Reconciliation form and the

Cheque Requisition for Petty

Cash reimbursement to ensure

that the vouchers are properly

completed and signed.

Management indicated policies and

procedures are to be developed by

the Finance Department and they

are waiting for their direction.

Previous Implementation Date:

October 2014

October 2015

Aug 2017

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 4

Recommendation Status Update Date

2.2 (iii) In order to improve the

accuracy of the Petty Cash

Vouchers and ensure that all

expenses incurred are

appropriate, management

should:

ensure a manager with

appropriate signing authority

reviews and signs all Petty Cash

Vouchers when the employee is

being reimbursed for the

expenditure.

Management indicated policies and

procedures are to be developed by

the Finance Department and they

are waiting for their direction.

Previous Implementation Date:

October 2014

October 2015

Aug 2017

3.4 (iii) To strengthen internal

control over the deposit

preparation process,

management should:

keep the deposit bag in the safe

at the Wedgewood Park

Recreation Centre location until

it is picked up by Brinks.

Management advised that deposits

are brought to the front desk by 12

noon each day, but only there for a

maximum of 2 hours before Brinks

picks them up. Internal Audit

recommended that the deposits be

held upstairs until Brinks arrive.

Management agreed.

WPRC Building is closed, new

procedures to follow when PRCC

opens.

Previous Implementation Date:

October 2014

Aug 2015

June 2017

3.6 It is recommended that

management consider installing

security cameras in the

Wedgewood Park Recreation

Centre to discourage theft of the

City’s assets and to help protect

the employees. In addition,

since the Wedgewood Park

Recreation Centre will soon be

replaced by the Paul Reynold’s

Community Centre it is

recommended that management

consider installing security

cameras in the new building.

Management advised this was

reviewed by the Recreation Facility

Manager and the Manager of

Emergency Preparedness/ BC and

determined that installation of

cameras in the current facility is not

feasible. Security cameras will be

installed in new Paul Reynolds

Community Centre.

Previous Implementation Date:

December 2014

January 2017

June 2017

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 5

Recommendation Status Update Date

4.2 (i) In an effort to improve

internal controls over this

process (Daily Cash Balance

Report), management should:

determine if the Class computer

system can produce a report

showing sales and pass usage by

category for each shift. This

report should capture all sales,

including racquetball and

facility rental sales, for the shift

and can replace the sales now

being manually recorded on the

Daily Cash Balance report.

Management should also

develop a new manual form for

the FSW’s to use to capture the

wrist band numbers issued

during their shift and for

reconciling revenue received to

the revenue recorded on the

Daily Cash Balance Report –

Detailed.

Management indicated the

Recreation Division implemented a

new software package (Active Net)

on May 9, 2015. A report to track

sales and pass usage by category for

each shift will be implemented.

Software is able to track number of

passes sold, rentals, etc. Once the

swipe card system is implemented,

management may be able to track

the information better. Swipe card

will be piloted in 2-3 weeks.

Previous Implementation Date:

October 2014

December 2015

March 2017

4.9 (ii) Management should develop

written procedures outlining the

process for reviewing accounts

receivable balances on a regular

basis. Items that should be

included in the procedures can

be found in the report.

Management advised that

procedures will be developed in

consultation with Finance Dept.

Previous Implementation Date:

December 2014

Aug 2017

The following table summarizes the current status of all issues identified in the Review of

H.G.R. Mews Community Centre and Wedgewood Park Recreation Centre (Cash

Handling, Petty Cash, Sales and Attendance Reporting) - # 14-01.

Total Recommendations Closed Pending

65 52 (80%) 13 (20%)

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 6

The Table below summarizes the closed issues from the Review of H.G.R. Mews

Community Centre and Wedgewood Park Recreation Centre (Cash Handling, Petty Cash,

Sales and Attendance Reporting) - # 14-01.

Recommendation Status Update Date

1.3 (i) In order to improve the

Recreation Division’s Policies

and Procedures, management

should:

include copies of forms in the

“Recreation Division Facilities –

Facility Service Workers and

Overnight Janitor Policies,

Procedures and General

Information” manual and any

other manual that makes

reference to specific forms. If

this is not feasible then

management should include a

reference in the manual to where

the forms can be found.

Completed Implemented

Closed

1.3 (iv) In order to improve the

Recreation Division’s Policies

and Procedures, management

should:

include the title of the “Petty

Cash Transaction Record” on

top of the form and include

sections for the preparer and

reviewer/approver to sign and

date it.

Completed Implemented

Closed

1.3 (v) In order to improve the

Recreation Division’s Policies

and Procedures, management

should:

change the title of “The Petty

Cash Reconciliation Form” in

the procedures to the “Daily

Petty Cash Reconciliation” form

and identify the management

position(s) that are authorized to

verify and approve the Form.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 7

Recommendation Status Update Date

1.3 (vi) In order to improve the

Recreation Division’s Policies

and Procedures, management

should:

provide guidelines for the

Account Representatives to

follow in terms of processing the

refund application.

Completed Implemented

Closed

1.4 (ii) In order to improve controls

over the Petty Cash Advance

Vouchers, management should:

ensure that copies of the Petty

Cash Advance Voucher are

retained on file.

Completed Implemented

Closed

1.4 (iii) In order to improve

controls over the Petty Cash

Advance Vouchers,

management should:

ensure that all Advance Voucher

forms are properly signed before

the funds are disbursed.

Completed Implemented

Closed

2.1 (i) In order to improve

accountability over and access

to the Petty Cash funds,

management should ensure:

that access to the Petty Cash

fund is limited to the custodian.

Completed Implemented

Closed

2.1 (ii) In order to improve

accountability over and access

to the Petty Cash funds,

management should ensure:

ii) that the Petty Cash box is

appropriately secured overnight

and on weekends, preferably in

a safe or locked cabinet with

limited access.

Completed Implemented

Closed

2.3 Management should consider

the use of an excel spreadsheet

to record the information for the

Petty Cash Transaction Record

in an effort to reduce preparation

time and help ensure accuracy.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 8

Recommendation Status Update Date

2.4 (i) In an effort to streamline the

Petty Cash reconciliation

process management should:

consider preparing the

reconciliation less frequently,

(e.g., weekly) and prior to

requesting reimbursement of the

Petty Cash funds or whenever

the custodian is anticipated to be

on leave and/or the funds are to

be handed to another individual.

Completed Implemented

Closed

2.4 (ii) In an effort to streamline the

Petty Cash reconciliation

process and ensure appropriate

management review of the

reconciliations management

should:

have the reconciliation reviewed

and approved by the Program

Supervisor, Facilities.

Completed Implemented

Closed

2.5 Management should request to

have the Program Supervisor,

Facilities, Wedgewood Park,

included on the signing

authority list.

Completed Implemented

Closed

3.1 (i) In order to improve the

accountability over the cash

floats and the security of the

cash Internal Audit recommends

that management:

limit access to the safes at both

locations as much as feasibly

possible. In addition, the

combination to the safes should

be changed whenever an

individual who knows the

combination no longer requires

access to the safe.

Combination to the safes has been

reviewed and access limited as

much as feasibly possible.

Combinations have been changed

since the review and are changed

whenever staff leave the City as an

employer and during the semi-

annual shutdown. Combinations are

not changed every time a staff

member changes jobs within the

City because many times it is of a

temporary nature.

Partially

Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 9

Recommendation Status Update Date

3.1 (ii) In order to improve the

accountability over the cash

floats and the security of the

cash management should:

keep the change floats in the

limited access deposit section of

the safes until needed.

Management, along with a

second individual, should count

the change float at the beginning

and end of management’s work

day, record the count on a form

and sign and date the form. If

the float is required during the

day management and another

individual should retrieve the

float, provide the change

required and place the float back

in the safe.

Change floats cannot be kept in the

limited access section of the safe

because the floats are required at

times when management is not

available to open this section of the

safe.

The Accounts Representative

checks the change float twice a

week and the Manager/Program

Supervisor checks it periodically.

Partially

Implemented

Closed

3.1 (iii) In order to improve the

accountability over the cash

floats and the security of the

cash Internal Audit recommends

that management:

ensure that the drawer balance

report is prepared and that the

cash is checked for accuracy at

all lunch/dinner breaks.

Completed Implemented

Closed

3.2 Internal Audit recommends that

the Facility Service Workers

count their floats at the

beginning and end of each shift.

These counts should be verified

by another individual and both

employees should sign the

Master Float Record to indicate

that the count was performed.

The Master Float Record should

be re-designed to accommodate

the second verification

signature.

Management advised that due to

staff schedules and hours of

operation, Recreation facilities open

early in the morning with one staff

person. Therefore the opening cash

count cannot be verified. However,

all other cash counts are now being

performed and documented on the

Master Float Record. Change in

staffing hours will be considered for

all new recreation facilities as part

of the internal control structure.

Partially

Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 10

Recommendation Status Update Date

3.3 (i) To help improve the security

of and accountability over the

cash deposit and sales float

management should:

have the FSW’s sign the deposit

envelope instead of initial it to

help improve the audit trail over

the cash deposit.

Completed Implemented

Closed

3.3 (ii) To help improve the security

of and accountability over the

cash deposit and sales float

management should:

require the FSW who recounts

and verifies the cash sales to

also recount and verify the sales

float.

Completed Implemented

Closed

3.3 (iii) To help improve the

security of and accountability

over the cash deposit and sales

float management should:

require the FSW who recounts

and verifies the cash sales to

also witness the drop of the cash

in the safe. This FSW should

sign the “Deposits” log sheet to

indicate they witnessed the cash

drop.

Completed Implemented

Closed

3.3 (iv) To help improve the

security of and accountability

over the cash deposit and sales

float management should:

adjust the “Deposits” log sheet

to add a column to capture the

signature of the FSW’s who

witness the cash drop.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 11

Recommendation Status Update Date

3.4 (i) To strengthen internal control

over the deposit preparation

process, management should:

have a second employee

accompany the Accounts

Representative when opening

the safe, agreeing the deposit

envelopes to the “Deposits” log

sheet and preparing the deposit.

In addition, the cash in the

deposit envelopes should be

counted and verified to the

amount documented on the

envelope at this time.

Completed Implemented

Closed

3.4 (ii) To strengthen internal

control over the deposit

preparation process,

management should:

retain the top strip of the deposit

bag and keep it with the deposit

documentation.

Completed Implemented

Closed

3.5 (i) Internal Audit recommends

that management:

purchase a sorter/roller machine

for use in counting and rolling

the 25 cent coins.

Completed Implemented

Closed

3.5 (ii) Internal Audit recommends

that management:

revise the Locker Revenue Log

to include a signature column

for the 2 employees who collect

and count the coins to sign.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 12

Recommendation Status Update Date

4.1 Management should determine

if the Class computer system can

be set up to track pass use. If so,

the type of pass use should be

entered into the system.

Management should print a

monthly report of pass usage

and compare it to pass sales to

determine reasonableness. The

usage of complimentary and

attendant’s passes should also be

reviewed for reasonableness.

Management should sign and

date the reports to indicate they

have been reviewed.

If the Class system cannot be

configured to track pass usage

then management should record

them on a spreadsheet and

conduct the same reasonableness

tests mentioned above.

Completed Implemented

Closed

4.2 (ii) In an effort to improve

internal controls over this

process (Daily Cash Balance

Report), management should:

ensure the Account

Representative signs and dates

the Daily Cash Balance Report –

Detailed and the manual Daily

Cash Balance report or the new

report indicated above, if

implemented, to indicate review

and approval.

Completed Implemented

Closed

4.2 (iii) In an effort to improve

internal controls over this

process (Daily Cash Balance

Report), management should:

ensure that all Complimentary

passes and other sales records

are maintained with the sales

documentation for a period of, at

least, the current year plus 7

years in compliance with the

City’s Records and Information

Management Policy.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 13

Recommendation Status Update Date

4.2 (iv) In an effort to improve

internal controls over this

process (Daily Cash Balance

Report), management should:

instruct the Facility Services

Worker to identify the original

transaction being refunded on

the Daily Cash Balance Report –

Detailed when a refund is

processed for a transaction made

during the same shift.

Completed

Implemented

Closed

4.2 (v) In an effort to improve

internal controls over this

process (Daily Cash Balance

Report), management should:

ensure the Summary of Sales

Report is both signed and dated

by the preparer and the

reviewer.

Completed Implemented

Closed

4.3 Management should consider

ordering pre-numbered passes

for all passes used at the

Recreation Division.

Completed Implemented

Closed

4.4 Management should ensure that

the cabinet where the unissued

passes are stored is locked when

not in use. This will increase

the security and accountability

of the passes.

Completed Implemented

Closed

4.5 Management should re-design

the Log Sheets to include an

area at the bottom of each sheet

for management to sign and date

to indicate review and approval.

In addition, passes should be

sold in sequence whenever

possible. If for some reason the

passes are sold out of sequence

an explanation should be

provided on the sheet.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 14

Recommendation Status Update Date

4.6 (i) In order to improve controls

over refunds, management

should:

revise the application form to

include an area for the

applicant’s signature and date.

Completed Implemented

Closed

4.6 (ii) In order to improve controls

over refunds, management

should:

revise section 5 of the

Application to include a space

for the Accounts Representative

to sign his/her name.

Completed Implemented

Closed

4.6 (iii) In order to improve controls

over refunds, management

should:

ensure that the Refund

Confirmation is reviewed and

approved by a

supervisor/manager.

Completed Implemented

Closed

4.7 (i) In order to strengthen internal

controls over refunds,

management should ensure:

that section 5 of the Application

for Refund, Credit, etc. is

completed by the Accounts

Representative.

Completed Implemented

Closed

4.7 (ii) In order to strengthen

internal controls over refunds,

management should ensure:

that the Refund Confirmations

have the sections – “Received

By” and “Date Processed”

completed.

Completed Implemented

Closed

4.7 (iii) In order to strengthen

internal controls over refunds,

management should ensure:

that the confirmation of

registration and receipt from the

Class system are attached to all

Applications for Refund, etc.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 15

Recommendation Status Update Date

4.7 (iv) In order to strengthen

internal controls over refunds,

management should ensure:

that the refund amount is

recorded in section 6 of the

Application and a copy of the

credit/debit slip showing the

refund is attached.

Completed Implemented

Closed

4.7 (v) In order to strengthen

internal controls over refunds,

management should ensure:

current Application for Refund,

etc., forms are used for all

refunds.

Completed Implemented

Closed

4.7 (vi) In order to strengthen

internal controls over refunds,

management should ensure:

a copy of any original

documents are attached to

Applications for Refund, etc.,

when changes are made to the

request (i.e., changes from credit

to account to a refund).

Completed Implemented

Closed

4.8 Management should obtain a

report of all refunds processed

during a specified period (e.g.

monthly) from the Class

computer system and review it

for reasonableness. This report

should be reviewed by a

manager with no ability to issue

refunds in the Class computer

system. The report should be

signed and dated to indicate

review and should be

maintained on file.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 16

Recommendation Status Update Date

4.9 (i) Management should ensure

that the overdue accounts are

reviewed in an effort to collect

the outstanding amounts and/or

resolve the outstanding credits.

All collection activity during

this review should be

documented and maintained on

file.

Completed Implemented

Closed

5.1 (i) In an effort to alleviate these

issues (attendance and payroll),

management should:

review the attendance/payroll

forms to determine if there can

be one sign in sheet and one

payroll form for all three areas -

aquatics, fitness and Facility

Service Workers.

Management completed a review of

the attendance/payroll forms and

decided the information could not

be included all on one form due to

variances in classifications, pay

rates, etc.

Not

Implemented

Closed

5.1 (ii) In an effort to alleviate these

issues (attendance and payroll),

management should:

date stamp the payroll

documents when they are

received.

Completed Implemented

Closed

5.2 Internal Audit recommends that

the Accounts Representative

initial/sign and date the Time

Ticket Report and a manager

review, initial/sign and date the

report to indicate review and

responsibility for these

procedures. This will also

create an audit trail that will

help in the event that these

documents are required for

review at a future date.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 17

Recommendation Status Update Date

5.3 (i) In an effort to improve

internal control over Aquatics

attendance reporting

management should ensure that:

explanations are recorded on the

Aquatic Staff Payroll Form

when actual hours differ from

the scheduled hours. Although

explanations are recorded in a

separate book that is available

for management to review,

having the explanations

recorded directly on the form

would make it easier for

management to review the

payroll and help ensure that the

information is readily available

in the future if required.

Completed Implemented

Closed

5.3 (ii) In an effort to improve

internal control over Aquatics

attendance reporting

management should ensure that:

all Aquatic Staff Payroll Forms

submitted for approval are

original documents and that they

are signed and dated by the

Timekeeper.

Completed Implemented

Closed

5.3 (iii) In an effort to improve

internal control over Aquatics

attendance reporting

management should ensure that:

employees properly complete

the Aquatics Sign-in Sheet by

recording the Time In and Time

Out for each shift, including am

and pm.

Completed Implemented

Closed

5.3 (iv) In an effort to improve

internal control over Aquatics

attendance reporting

management should ensure that:

shift differentials are recorded

properly.

Completed Implemented

Closed

Follow-up Summary Report: Recreation Division Assignment # F17-03

Office of the City Internal Auditor Page 18

Recommendation Status Update Date

5.4 (i) In order to improve controls

over Fitness staff and Facility

Service Workers

attendance/payroll records,

management should ensure:

the Time Keeper signs and dates

the Casual Staff Payroll Reports

and the Program Supervisor

records the date after approving

the form.

Completed Implemented

Closed

5.4 (ii) In order to improve controls

over Fitness staff and Facility

Service Workers

attendance/payroll records,

management should ensure:

actual hours worked agree with

the work schedule. If changes

are made then explanations

should be recorded on the

payroll forms.

Completed Implemented

Closed

Date: March 7, 2017

To: Audit Committee Chair and Members

From: Sean Janes, CPA, CMA, CIA, CFE

City Internal Auditor

Re: Three year audit plan (2017 -2019)

Audit Objectives

In accordance with audit standards prescribed by the Institute of Internal Auditors, each full program

review conducted by the Office of the City Internal Auditor will have three main objectives:

1. To ensure services are managed with due regard to significant risks that could possibly have a

negative impact on the ability of the division or department to meet its objectives.

2. To ensure services are delivered in accordance with prescribed policies, procedures and Council

or Board directives.

3. To ensure that processes are implemented to inform, direct, manage and monitor activities that

are intended to facilitate the achievement of the City’s strategic goals.

In addition to program reviews, follow-up reviews and reporting will be conducted in accordance with

generally accepted internal auditing standards on areas that were the subject of a prior program review to

evaluate the effectiveness of changes made in response to the recommendations of the initial report.

Selection of Areas for Review

The three year audit plan has been developed using a combination of the previous three year audit plan

that was approved by council, discussions with Senior Management, observation and professional

judgment. The audit plan is attached for your review.

I respectfully submit the three-year audit plan for 2017-2019 for your approval. I would be happy to

discuss any issues or concerns you may have.

Sean Janes, CPA, CMA, CIA, CFE

City Internal Auditor

Encl. – 3 year audit plan (2017-2019)

Year 1 (2017) Year 2 (2018) Year 3 (2019)

Program Reviews: Program Reviews: Program Reviews:

- Depot Asset/Inventory Security (Public Works

and Finance & Admin.)

- Purchasing - other than E-Tendering (Finance

& Admin.)- Assessments (Finance & Admin.)

- Review of Robin Hood Bay Scale House

Operations (Public Works)- Metrobus - Cash Handling

- Citizen's Service Centre - other than Cash

Handling (Community Services)

- Purchasing E-Tendering (Finance & Admin.)- Maintenance of Water Distribution (Public

Works)

Consultations/Investigations: Consultations/Investigations: Consultations/Investigations:Management/Committee Requests Management/Committee Requests Management/Committee Requests

- Citizen's Service Centre - Cash Handling

Review (Community Services)- Upon Request - Upon Request

- Upon Request

Follow-up Reviews: Follow-up Reviews: Follow-up Reviews:- All Recommendations due from previous

Program Reviews

- All Recommendations due from previous

Program Reviews

- All Recommendations due from previous

Program Reviews

The City of St. John'sOffice of the City Internal Auditor

Three Year Audit Plan