2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal, Insurance and Risk
Management Services
2015/16
Budget and Business Plan
Mission:
To provide Halifax Regional Municipality with quality, cost effective, timely,
and accessible legal, insurance and risk management services for all facets
of its operations across the organization.
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal, Insurance and Risk Management Services Overview
This business unit has two sections - Legal Services, and Risk and Insurance Services which together provide
support to HRM initiatives and operations.
Legal Services supports Regional Council, its boards, commissions, committees and the business units with
litigation, prosecution, and solicitor services.
Risk and Insurance Services is responsible for insurance claims brought against or made on behalf of HRM, risk
management processes, and insurance coverage.
Legal, Insurance and Risk Management Org Chart
Director
Legal, Insurance, and
Risk Management
Services
Manager
Team Lead
Team Lead
Team Lead
Risk and Insurance
Litigation
Solicitor Services
Prosecutions
Funded Full Time Equivalents (FTEs)
Legal Insurance & Risk
Management Services
2014/15
Approved
2015/16
Proposed
Change (+/-)
2015/16
Approved
Total
(Apr 1/14)
2014/15
Approved
(Established)
(Mar 31/15)
34
35
1
36
(Established)
Funded FTEs
Includes full & part-time
permanent positions
The following FTE changes have occurred in Legal Insurance & Risk Management Services since approval of the 2014/15
Budget and Business Plan:

2 FTEs transferred from TPW – 1 FTE converted to Solicitor I, 1 FTE eliminated
O2
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal, Insurance and Risk Management
Operating Budget Overview
Legal Summary of Expense & Revenue Types
Expenditures
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
* Compensation and Benefits
3,050,800
3,173,100 3,147,900
3,745,800
572,700
18
* Office
117,600
96,600
91,100
94,600
(2,000)
(2)
* External Services
508,100
386,100
334,500
399,200
13,100
3
* Supplies
4,000
4,000
2,700
2,500
(1,500)
(38)
* Materials
* Building Costs
* Equipment & Communications
* Other Goods & Services
180,900
189,400
181,100
195,900
6,500
3
* Interdepartmental
* Other Fiscal
(470,900)
(449,700) (449,700)
(30,000)
419,700
(93)
** Total
3,390,500
Revenues
* Fee Revenues
* Other Revenue
** Total
(242,500)
Net Surplus/Deficit
3,399,500
3,307,600
4,408,000
1,008,500
30
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
(211,500)
(186,400) (183,400)
(182,000)
4,400
(2)
(31,000)
(31,000)
(21,600)
(40,000)
(9,000)
29
(217,400)
(205,000)
(222,000)
(4,600)
2
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
Net Surplus/Deficit
3,148,000
3,182,100
3,102,600
4,186,000
1,003,900
32
Legal, Insurance and Risk Management Budget Overview by Service Area
Legal Service Area Budget Overview
Service Area
Insurance & Risk Management Summary of
Expense & Revenue Types
Legal Services Summary of Expense &
Revenue Types
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
439,900
439,900
(100)
3,148,000
3,182,100
3,102,600
3,746,100
564,000
18%
3,148,000
3,182,100
3,102,600
4,186,000
1,003,900
32%
O3
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal, Insurance and Risk Management Key Metrics
Key Metrics and Drivers
Compensation as a % of Total
Expenditures per dwelling (191,579)
11/12
12/13
13/14
14/15
15/16
Actual
Actual
Actual
Projection
Target
94%
83%
82%
84%
84%
$14.57
$15.36
$19.13
$19.85
$23.17
Legal, Insurance and Risk Management Strategic Initiatives for 2015/16
Strategic Alignment
LIRM 1.01
Economic Development Theme - Focus on the Regional Centre
By-law Review Project (Year 2)
LIRMS will continue its multi-year project to review all HRM By-laws. This includes drafting of new, as well as
amending, repealing, and consolidating existing by-laws as necessary.
LIRM 1.02
Risk Management
Contract Review (Year 2)
LIRMS will lead a multi-year initiative working with business units to identify, prioritize, and undertake a
comprehensive review of HRM contracts, agreements, and leases, and develop standard templates where
appropriate.
LIRM 1.03
Service Excellence – Continuous Improvement
LIRMS Business Unit Efficiencies
To more efficiently manage HRM legal files and documents and enhance reporting capabilities, LIRMS will
undertake a multi-year initiative to implement improvements in technology, processes, physical and electronic
file and case management, and categorization and management of physical legal files.
LIRM 1.04
Governance and Communications
LIRMS HRM Charter Review
Support the CAO’s office in facilitating the review of the municipal charter and determining the impact of the
related changes.
O4
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
2015/16 Legal, Insurance and Risk Management Service Area Plans
Legal Services:
Legal Services is comprised of three service teams: Litigation, Prosecution, and Solicitor Services.
Services Delivered:

Litigation Services – advises on and represents HRM in proceedings involving the Municipality
and its employees before the Supreme Court and administrative tribunals including arbitration
panels, Labour Boards, Police Review Board, Human Rights Commission, National Energy Board,
Nova Scotia Utility and Review Board and Canadian Transportation Agency

Prosecution Services – provides training to HRP and staff and prosecutes violations under the
Motor Vehicle Act, Liquor Control Act, Fire Safety Act, Protection of Property Act, 911 Act, Off
Highway Vehicle Act, Smoke Free Places Act, Building Code, Land use violations, Development
Agreement violations, violations of municipal by-laws, and various regulatory infractions as well
as HRM-issued parking tickets, including all related applications and appeals

Solicitor Services - provides legal advice to Council in respect of the conduct of the business of
the municipality; provides advice to management and staff on a wide range of topics, including
related research on a daily basis for the HRM. Works with business units to develop, amend, and
consolidate By-laws for the Municipality as well as working with business units to draft a wide
array of legal agreements, leases, policies and MOU’s and assist in negotiations where required.
Further, Solicitor Services completes property transactions for land acquisitions and disposals,
title investigations, reviews and approves documents regarding encroachments, easements, and
rights-of way, prepares conveyance documents for tax sales as well as provides ongoing advice
to Real Estate on any number of issues
O5
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal Services Budget Overview
Legal Services Summary of Expense & Revenue Types
Expenditures
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
* Compensation and Benefits
2,679,600
2,786,400 2,744,200
3,350,200
563,800
20
* Office
85,900
71,700
70,200
74,300
2,600
4
* External Services
466,100
374,000
331,700
399,200
25,200
7
* Materials
* Building Costs
* Equipment & Communications
* Other Goods & Services
158,900
167,400
161,100
174,400
7,000
4
* Interdepartmental
* Other Fiscal
(30,000)
(30,000)
** Total
Revenues
* Fee Revenues
* Other Revenue
3,390,500
3,307,200
3,968,100
568,600
17
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
(211,500)
(186,400) (183,400)
(182,000)
4,400
(2)
(31,000)
(31,000)
(21,200)
(40,000)
(9,000)
29
** Total
Net Surplus/Deficit
3,399,500
(242,500)
(217,400)
(204,600)
(222,000)
(4,600)
2
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
Net Surplus/Deficit
3,148,000
3,182,100
3,102,600
3,746,100
564,000
18
Legal Services Key Metrics
Key Service Area Metrics
Legal Files Opened
Number of Legal Files Opened
Library
HRWC
Other Boards/Commissions
CAO
C&RS
Council
External & Corp Affairs
FICT
Fire
HR
Legal/Risk & Insurance*
Operations Support**
Parks & Recreation**
Planning & Development**
P&I
12/13
13/14
14/15
Actual
Actual
Projection
817
3
7
3
43
118
14
4
147
17
9
191
824
2
3
800
2
3
36
117
11
7
112
7
21
212
44
16
36
75
35
0
10
6
115
8
18
195
100
75
100
0
116
O6
2015/16 Budget and Business Plan (Proposed)
Key Service Area Metrics
Legal Files Opened
Police
Transit
TPW
Prosecution Files
Legal, Insurance and Risk Management Services
12/13
13/14
14/15
Actual
Actual
Projection
32
44
69
168
49
32
44
140
50
35
48
150
*Includes administrative and general files
**New Business Units created during 2014 restructure
2015/16 Legal Services Key Deliverables
Strategic Alignment
Economic Development Theme - Focus
on the Regional Centre
15/16 Deliverables
By-law Review Project
Undertake Year 2 of the multi-year By-law review project - to carry out
a complete review of HRM By-laws (new, amend or repeal existing,
consolidate existing)
Governance & Communication - ABCs
Governance Review - (Library/HW) Support
Support Finance and ICT to review and fully define governance
structure, relationships, roles and responsibilities with respect to the
Library and Halifax Water
Governance & Communication Communications
Charter Review - Support Communications
Support the CAO's office and GREA in facilitating the review of the
municipal charter and determining impact of related changes
Governance & Communication Communities of Interest
Boundary Overlap Responsibility MOUs - Establish
Support the Business Units in establishing MOUs to define who is
responsible when boundaries overlap (i.e., DNR, DND) on an as
required basis
Escalation of Disputed Council Reports - Lead Guideline Development
Lead development of guidelines on how to break non-action by
committee, i.e. how to escalate
Governance & Communication Council and Committees
Risk Management
Contract Review
Continuation of contract review working with business units to identify,
prioritize, and catalogue HRM contracts, agreements, and leases, and
develop standard templates where appropriate.
Tax Sale Project
Continue to work with HRM Revenue, PVSC, DNR and SNSMR to reduce
number of "problem" tax sale files. Goal is to reduce "problem" files by
approximately 50 and maintain ongoing tax sales so as not to increase
the number of "problem" files.
O7
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Risk and Insurance Services:
Risk and Insurance Services acts in conjunction with legal services to manage claims made against the
HRM. This section manages the financing of HRM risk through insurance and a reserve. To reduce
losses they seek to apply sound risk management processes to the identification, analysis, and
mitigation of loss exposures to the HRM.
Services Delivered:

Handles investigation, management, resolution and administration of all insurance claims made against or
on behalf of HRM

Market HRM to national and international insurance companies

Design and management of self-insurance program, reserve funds and insurance coverage to fit the needs
of HRM operations

Ongoing review, procurement and maintenance of optimum insurance coverage suitable to the needs of
HRM

Ongoing review of contracts, agreements, leases and special events to address risk exposures

Conduct site assessments and obtain building appraisals

Provide risk management advice, training and monitoring, particularly in the area of loss control to
internal and external clients
Risk and Insurance Services Budget Overview
Insurance & Risk Management Summary of Expense & Revenue
Types
Expenditures
* Compensation and Benefits
* Office
* External Services
* Supplies
* Equipment & Communications
* Other Goods & Services
* Other Fiscal
** Total
Revenues
* Other Revenue
** Total
Net Surplus/Deficit
Net Surplus/Deficit
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
371,200
386,700
403,700
395,600
8,900
2
31,700
24,900
20,900
20,300
(4,600)
(18)
42,000
12,100
2,800
(12,100)
(100)
4,000
4,000
2,700
2,500
(1,500)
(38)
22,000
(470,900)
22,000
(449,700)
20,000
(449,700)
21,500
(500)
449,700
400
439,900
439,900
(2)
(100)
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
(400)
(400)
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
439,900
439,900
O8
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Risk and Insurance Services Key Metrics
Key Metrics and Drivers
Claims received by fiscal year
11/12
12/13
13/14
14/15
Actual
Actual
Actual
Projection
959
956
1319
1285
2015/16 Risk and Insurance Services Key Deliverables
Strategic Alignment
Governance & Communication - ABCs
Our People - Recruitment Strategy
Service Excellence – Continuous
Improvement
15/16 Deliverables
Review of ABCs
Support Parks & Recreation to ensure all ABC's who operate HRM
owned facilities under any type of agreement have consistent
agreements and provide inclusion under group insurance; reviewing
tasks arising from AG report and implement recommendations as
required
Volunteer Fire Association Program - develop and implement
Finalize development and implementation of Volunteer Fire Association
program
Risk and Claims Policy and Procedures Manual - develop
Commence development of Risk and Claims policy and procedure
manual including identification of HRM Business Unit roles and
responsibilities as well as standardization of forms. (Multi-year
project). Anticipate 25% completion during 2015-16.
User Group Insurance Program - Implementation
Complete implementation of a "user group" insurance program for
renters of HRM facilities to support community groups and ensure the
protection of HRM should any participant be injured or there be
damage to HRM owned facilities.
Operational Risk Review
Risk staff will review the report generated by the Enterprise Risk
Management Office to ensure that the risks identified are covered
through the current insurance program and explore enhancements of
cover as may be required. In addition, staff will work with the risk
owner department to identify risk control measures as may be
required.
O9
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal Summary of Net Expenditures by Business Unit Division
Cost Centers/Groups
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
A101 Lock: Administration
A110 Legal Services
3,148,000
3,182,100 3,102,600
3,746,100
564,000
17.7
A303 Risk & Insurance Services
439,900
439,900
* Legal Services
3,148,000
3,182,100 3,102,600
4,186,000
1,003,900
31.5
** Total
3,148,000
3,182,100
3,102,600
4,186,000
1,003,900
31.5
Legal Summary of Gross Expenditures
Cost Centers/Groups
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
A101 Lock: Administration
A110 Legal Services
3,390,500
3,399,500 3,307,200
3,968,100
568,600
16.7
A303 Risk & Insurance Services
400
439,900
439,900
* Legal Services
3,390,500
3,399,500 3,307,600
4,408,000
1,008,500
29.7
** Total
3,390,500
3,399,500
3,307,600
4,408,000
1,008,500
29.7
Legal Summary of Gross Revenue
Cost Centers/Groups
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
A110 Legal Services
(242,500)
(217,400) (204,600)
(222,000)
(4,600)
2.1
A303 Risk & Insurance Services
(400)
* Legal Services
(242,500)
(217,400) (205,000)
(222,000)
(4,600)
2.1
** Total
(242,500)
(217,400)
(205,000)
(222,000)
(4,600)
2.1
O10
2015/16 Budget and Business Plan (Proposed)
Legal, Insurance and Risk Management Services
Legal Summary Details
Expenditures
6001 Salaries - Regular
6002 Salaries - Overtime
6005 PDP & Union Con Incr
6054 Vacation payout
6100 Benefits - Salaries
6110 Vacancy Management
6152 Retirement Incentives
6154 Workers' Compensation
6199 Comp & Ben InterDept
* Compensation and Benefits
6201 Telephone
6202 Courier/Postage
6203 Office Furn/Equip
6204 Computer S/W & Lic
6205 Printing & Reprod
6207 Office Supplies
6299 Other Office Expenses
* Office
6301 Professional Fees
6302 Legal Fees
6303 Consulting Fees
6309 Litigation Disburse
6314 Prosecution Services
6399 Contract Services
* External Services
6499 Other Supplies
* Supplies
6504 Hardware
* Materials
6699 Other Building Cost
* Building Costs
6704 Equipment Rental
6707 Plumbing & Heating
* Equipment & Communications
6901 Membership Dues
6902 Conferences/Workshop
6903 Travel - Local
6904 Travel - Out of Town
6905 Training & Education
6917 Books and Periodicals
6918 Meals
6938 Rewarding Excellence
6999 Other Goods/Services
* Other Goods & Services
7009 Internal Trfr Other
* Interdepartmental
8003 Insurance Pol/Prem
8008 Transf to/fr Reserve
* Other Fiscal
** Total
Revenues
5250 Sales of Svcs-Other
* Fee Revenues
5508 Recov External Parti
* Other Revenue
** Total
Net Surplus/Deficit
Net Surplus/Deficit
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
2,595,400
2,652,400
3,043,300
3,110,600
458,200
17
2,500
2,600
2,600
2,600
(108,600)
427,300
(20,000)
15,200
30,400
491,800
(20,400)
16,300
30,400
542,600
16,300
30,400
(378,700)
3,147,900
1,500
6,600
9,000
54,200
800
18,600
400
91,100
29,800
120,000
561,500
(20,400)
18,500
32,300
40,700
3,745,800
2,000
6,600
9,500
55,000
500
21,000
69,700
14
2,200
1,900
40,700
572,700
(1,000)
1,500
(1,500)
800
(200)
(1,600)
13
6
18
(33)
29
(14)
1
(29)
(7)
94,600
45,000
175,000
(2,000)
17,900
(2)
66
3,050,800
22,400
5,600
11,100
54,000
1,500
23,000
3,173,100
3,000
5,100
11,000
54,200
700
22,600
117,600
60,500
250,000
96,600
27,100
175,000
27,000
163,100
7,500
508,100
4,000
4,000
15,000
161,500
7,500
386,100
4,000
4,000
15,000
161,500
8,200
334,500
2,700
2,700
12,000
162,200
5,000
399,200
2,500
2,500
(3,000)
700
(2,500)
13,100
(1,500)
(1,500)
(20)
0
(33)
3
(38)
(38)
80,200
5,000
9,900
8,000
40,500
35,000
500
800
1,000
180,900
82,000
5,000
9,900
8,000
40,500
41,000
500
1,500
1,000
189,400
66,000
5,000
9,900
13,000
33,000
51,500
500
1,500
700
181,100
93,700
5,000
9,900
8,000
36,000
41,000
300
1,500
500
195,900
11,700
14
(4,500)
(11)
(200)
(40)
(500)
6,500
(50)
3
(470,900)
(470,900)
(449,700)
(449,700)
(449,700)
(449,700)
(30,000)
(30,000)
3,390,500
3,399,500
3,307,600
4,408,000
419,700
419,700
1,008,500
(93)
(93)
30
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
(211,500)
(186,400)
(183,400)
(182,000)
4,400
(2)
(211,500)
(186,400)
(183,400)
(182,000)
4,400
(2)
(31,000)
(31,000)
(21,600)
(40,000)
(9,000)
29
(31,000)
(31,000)
(21,600)
(40,000)
(9,000)
29
(242,500)
(217,400)
(205,000)
(222,000)
(4,600)
2
2013 Budget 2014 Budget 2014 Proj. 2015 Budget 2015 Bud Var. Var. %
3,148,000
3,182,100
3,102,600
4,186,000
1,003,900
32
O11