2017 Budget Recommendation Ombudsman Toronto Sus usan E E. O Opl - - PowerPoint PPT Presentation

2017 Budget Recommendation Ombudsman Toronto

Sus usan E

• E. O

Opl pler, Ombud budsman Presented ed to Budget C Committee ee December 20, r 20, 2016 2016

1

Budget Recommendation: Overview

Operating

• Ombudsman Toronto recommends that its Operating Budget for 2017 be

set at $1,810.1 thousand.

• This represents a 1.3% reduction from its 2016 Operating Budget, and an

effective reduction of 3.8% from its 2017 pro forma Operating Budget. Capital

• Ombudsman Toronto recommends that its 2017 -2026 Capital Budget

and Plan at $1.070 million, with 2016 carry forward cash flows of $0.370 million in 2017 and $0.700 million in 2023, be approved.

2

Ombudsman’s Role

• Legal mandate: “to investigate any decision or recommendation made, or

any act done or not done, in administration of the City…” (City of Toronto Act, 2006, s.171), including all City divisions and almost all City agencies and corporations.

• Ombudsman Toronto helps the City administration to hold itself

accountable, and humanizes it for people whose dealings with it have left them feeling mistreated or alienated. Its work leads to improvements in how the City serves people, and enhances public confidence and trust in Toronto’s government.

• We reduce friction and even the playing field between people and the

City when things have gone wrong. Our work provides access to justice for people who deal with the City administration, and helps the City avoid expensive litigation.

3

What We Do:

4

Listening

• We receive about 1600 complaints per year on average, by phone, in

person, by email and on our website.

• We look into a complaint only after someone has exhausted complaint

avenues at the City (except in limited circumstances where they are unable to do so).

• We seek responses from City staff.
• We gather information and consider it in a way that is open minded and

impartial; our goal is for everyone we deal with to know they were heard.

• We remain completely impartial throughout.

5

Investigating

• Where we are unable to help (if the matter is outside our jurisdiction),

we refer the complainant to the appropriate place.

• We resolve every issue as quickly and as informally as possible through

information gathering, dispute resolution including mediation, and recommendations for service improvements (“enquiries”) .

• Where the issue is very complex or appears to reveal a systemic issue

that would benefit from a close look and recommendations, we may launch a more structured Investigation.

• Our Investigations result in formal recommendations for improved City

services.

6

Improving City Services

• The work of Ombudsman Toronto leads to improvements large and small

in City systems and services.

• This includes:
• New policies and procedures
• New by-laws
• Staff training
• New communication practices
• At its core, it’s about helping the City serve people better.

7

Improved City Services

• Since opening in 2009, Ombudsman Toronto has made over 340

recommendations to improve the way the City serves people.

• Examples of systemic changes in Toronto directly connected to our work

include:

• New option coming to dispute parking tickets online
• Earlier hearings before the Licensing Tribunal
• Stronger Human Rights Policy for TCHC tenants
• Better psychological support for paramedics
• Training for TCHC staff in working with vulnerable seniors
• Policy to better serve people with diminished capacity
• Fairer application of Wheel-Trans eligibility rules

8

• Clarified process to appeal child care subsidy denial
• Kosher meal options at City long-term care homes
• Enforcing responsible dog ownership
• Consistent process for dealing with tree bylaw infractions
• Water bill anomalies explained
• Enhanced TTC construction consultations
• Better information about City insurance claims
• Increased landlord accountability on health and safety issues
• Bylaw clearly sets out who pays for garbage bins
• Improved TCHC hiring policies
• Better training for City staff on conducting workplace

investigations

• Toronto Public Service Bylaw setting out the roles and

responsibilities of public servants

• Consistent and transparent process for banning someone from a

City building or park

• Simplified process to apply for a sign variance

9

Looking Forward: 2017

• Increased outreach to the community:
• Emphasis on neighbourhoods with historically low complaint numbers
• Proactive collaboration with City Councillors and community stakeholders
• Increased outreach to the City:
• Public service information sessions on Ombudsman Toronto, how we work,

and how to work effectively and collaboratively with us

• Consultation to City Divisions, agencies and corporations to help them

improve services

• Continue to solve individual problems raised by complaints, and

recommend systemic service improvements.

10

Spending on Ombudsman’s Offices per capita

$3.01 $2.64 $1.82 $1.58 $1.23 $1.20 $0.94 $0.78 $0.68 $0.62

Ombudsman Office

11

2017 Operating Budget Summary

(In $000s) Approved Budget 2017 Base 2017 Reduction 2017 New/Enh. 2017 Budget Request $ $ $ $ $ % Gross Expenditures 1,834.0 1,882.3 (72.2) * 0.0 1,810.1 (23.8) (1.3%) Revenue 0.0 0.0 0.0 0.0 0.0 0.0 0.0% Net Expenditures 1,834.0 1,882.3 (72.2) * 0.0 1810.1 (23.8) (1.3%) Approved Positions 12.0 12.0 0.0 0.0 12.0 0.0 0.0% *Reduction of 3.8% of the 2017 pro-forma operating budget 2016 2017 Operating Budget Request 2017 Request vs. 2016 Budget Changes

12

2017 Key Cost Drivers

$48.3k budget pressure is 2.6%

• f 2016 Budget

Total Base Changes (In $000s) $ Position Gross Expenditure Changes Prior Year Impacts Salary budget to actual adjustments (1.4) 0.0 Economic Factors Non-payroll 4.5 0.0 COLA and Progression Pay COLA & Progression Pay 40.4 0.0 Benefit adjustments 4.7 0.0 Total Gross Expenditure Changes 48.3 0.0 Revenue Changes (Increase) / Decrease Total Revenue Changes 0.0 0.0 Net Expenditure Changes 48.3 0.0

13

Proposed 2017 Operating Budget Reduction

• Reduction of $72.2k in non-payroll items:
• Legal services
• Investigative expenses
• Outreach-related expenses
• $72.2k = 3.9% of 2016 Operating Budget
• Reduction brings 2017 Budget request to 1.3% below the 2016

Operating Budget

• Represents a 3.8% reduction to 2017 pro forma Operating Budget

14

Budget Reduction Impact

• The proposed reduction represents a significant cut for Ombudsman

Toronto, a small office with substantial cost pressures in the form of staff progression pay and COLA.

• The need for our services is steady, and growing. It is many respects

unpredictable.

• This cut will present challenges for Ombudsman Toronto in ensuring

its continued ability to meet its mandate in a flexible, agile, timely and effective manner, but we are determined to meet those challenges.

15

2017-2026 Capital Plan Highlights

• The Ombudsman Toronto Case Management System, its key tool for

handling complaints and conducting enquiries and Investigations, needs to be upgraded to maintain it in a state of good repair.

• Cash flow requirements:
• 2017: $0.370 million in previously approved cash flow to be carried forward

from 2016

• 2023: $0.700 million in future year cash flow

16

Ombudsman Toronto

• Listening. Investigating. Improving City Services.

375 University Ave, Suite 203, Toronto ON Office Hours: Monday – Friday, 8:30 a.m. to 5:00 p.m. (or by arrangement) Phone: 416-392-7062 TTY: 416-392-7100 Fax: 416-392-7067 Email: ombudsman@toronto.ca Website: ombudsmantoronto.ca

17

REPORT FOR ACTION Ombudsman Toronto - 2017 Operating Budget

Date: December 2, 2016 To: Budget Committee From: Susan E. Opler, Ombudsman Wards: All

SUMMARY

This report provides detailed information about the 2017 operating budget for Ombudsman Toronto, including a recommended full-year 2017 operating budget of $1,810.1 thousand gross and net for approval by City Council.

RECOMMENDATIONS

The Ombudsman recommends that: Budget Committee recommend to the Executive Committee that City Council approve the 2017 full-year operating budget for Ombudsman Toronto of $1,810.1 thousand gross and net.

FINANCIAL IMPACT

Approval of the Ombudsman's 2017 operating budget request will result in $1,810.1 thousand being part of the City of Toronto's 2017 operating budget.

DECISION HISTORY

This report is submitted directly to Budget Committee for consideration and recommendation to Council. This is in accordance with the City of Toronto Act, 2006 and Chapter 3 of the Toronto Municipal Code, and reflects the fact that the Accountability Officers are independent of the City administration and directly accountable to Council.

Ombudsman Toronto - 2017 Operating Budget Page 1 of 4

COMMENTS

Ombudsman Toronto's Mandate Under the City of Toronto Act, 2006, the function of the Ombudsman is "to investigate any decision or recommendation made or any act done or omitted in the course of the administration of the City, and affecting any person or body of persons in his, her, or its personal capacity". Ombudsman Toronto's Work In fulfilling its legal mandate, Ombudsman Toronto receives complaints from members

• f the public who believe they have been unfairly treated by the City administration, and

who have exhausted all available complaint avenues at the relevant City division, agency or corporation. In addition to dealing with complaints from the public, Ombudsman Toronto investigates

• n its own initiative issues of broader concern, which may arise as a result of complaint

trends, public attention or systemic implications. Ombudsman Toronto engages in outreach and provides education to the public on its role and the services it provides. Also, it provides consultation to City divisions, agencies and corporations, to assist them in improving service to the public. This is known as "proactive Ombudsmanship". Ombudsman Toronto is independent of the City administration. Its complaint-based work enhances access to justice by levelling the playing field between the City administration and the people it serves. It also helps the City to avoid litigation, by helping it and individual complainants to resolve problems at the earliest opportunity and in the most informal way possible. Ombudsman Toronto's work - independently resolving complaints, investigating individual and systemic problems and recommending system improvements – enhances the public's confidence in Toronto's government. Since it opened to the public in 2009, Ombudsman Toronto has completed hundreds of informal enquiries and complaint resolutions. It has conducted 36 formal Investigations, 28 systemic in nature. Many enquiries and several Investigations are currently

• underway. Ombudsman Toronto has made and followed up on over 350 formal

recommendations, all of which have been accepted by the City administration and City

• Council. All of this has resulted in far reaching and significant improvements to City
• services. Recent examples are the upcoming changes to make it easier for the public

to dispute parking tickets, and enhanced supports and access to care for Toronto Paramedic Service employees dealing with occupational stress injuries.

Ombudsman Toronto - 2017 Operating Budget Page 2 of 4

Budget Considerations Ombudsman Toronto's current level of staffing is very low, considering the population of Toronto (almost 3 million) and the size of its government (with a budget of about $12 billion and a public service of over 50,000). On a per capita basis, Toronto's spending on its Ombudsman (at $0.66) falls well behind that of many other provincial and municipal governments. Fewer staff means less ability to flexibly respond to the need for enquiries and Investigations, and potentially compromises the office's ability to respond quickly to individual complaints. It also limits Ombudsman Toronto's ability to engage in public outreach and in proactive Ombudsmanship by consulting with City divisions, agencies and corporations on improving services. During times of fiscal restraint, demands on the office of an Ombudsman increase. Service cuts and reduced access to programs often lead to more complaints. The importance of ensuring that systems work for the people being served is heightened. One immediately apparent and stark deficiency in the current staffing of Ombudsman Toronto is that the Ombudsman's Administrative Assistant holds the only administrative position in the entire office, effectively providing administrative support for 11 full time employees. Budget Request Ombudsman Toronto is requesting that Budget Committee recommend to the Executive Committee that City Council approve the 2017 full-year operating budget for Ombudsman Toronto of $1,810.1 thousand gross and net. Rationale for the Current Budget Request The new Ombudsman took office on September 19, 2016, just over two months ago. Shortly before that in July, Council adopted EX16.37- 2017 Budget Process – Budget Directions and Schedule, which includes:  An across-the-board budget reduction target of -2.6% net below the 2016 Approved Net Operating Budgets for all City Programs, Agencies, Toronto Community Housing Corporation and Accountability Offices  That the operating and capital guidelines….be applied to the Accountability Offices for the 2017 Budget Process. With its current staffing, Ombudsman Toronto faces base budget pressures of $48.3 thousand for progression pay, Cost of Living Allowance (COLA) adjustment, benefit adjustment and economic factor adjustments for non-payroll budget, which represents an increase of 2.6% from the 2016 approved adjusted operating budget. The suggested

• 2.6% reduction from 2016 approved net operating budget would therefore amount to an

effective reduction of 5.1% from the 2017 pro forma operating budget.

Ombudsman Toronto - 2017 Operating Budget Page 3 of 4

As noted above, Ombudsman Toronto already faces significant budget constraints in its staffing model. A further effective reduction of 5.1% would severely compromise its ability to effectively fulfill its mandate and could put an intolerable strain on team morale. Taking into account the office's operational needs and also the City's fiscal situation and the Budget Committee's direction, Ombudsman Toronto is therefore proposing a one- time reduction of -1.3% of 2016 approved net operating budget. Taking into account the base budget pressures, this represents a total reduction of 3.9% from the 2017 pro forma operating budget and will be acutely felt in the context of Ombudsman Toronto's

• work. Besides cutting office expenses as much as possible, it means reducing the

funds reserved for investigative and legal expenses, both of which are essential to Ombudsman Toronto's ability to do its core work in a responsive, flexible and thorough manner. Over the course of the next year, Ombudsman Toronto will monitor the impact of the proposed operating budget reduction on its work, as well as its past requests for additional funding, with a view to making realistic and evidence based recommendations to Council on a long term resource plan for Ombudsman Toronto in the next budget cycle. A properly funded Ombudsman's office is essential to allow it to fulfill its mandate, which is so important to maintaining the public's trust and confidence in Toronto's government, efficiently and effectively.

CONTACT

Susan E. Opler Ombudsman susan.opler@toronto.ca 416-392-7061

SIGNATURE

(Original signed) _______________________________ Susan E. Opler Ombudsman

ATTACHMENTS

Accountability Officers: 2017 Operating Budget Overview

Ombudsman Toronto - 2017 Operating Budget Page 4 of 4

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2017 Operating Budget Accountability Officers

Budget Request Overview Budget Committee

(December 16, 19, 20 & 21, 2016)

PART I: 2017 OPERATING BUDGET Executive Summary ...................................................................................................................................................... 1 PART II: REPORTING RELATIONSHIPS OF THE ACCOUNTABILITY OFFICERS Organization Map........................................................................................................................................................... 6 PART III: 2017 BASE BUDGET SUMMARY 2017 Base Budget Summary – Auditor General's Office .............................................................................................. 7 2017 Base Budget Summary – Office of the Integrity Commissioner ............................................................................ 8 2017 Base Budget Summary – Office of the Lobbyist Registrar .................................................................................... 9 2017 Base Budget Summary –Ombudsman Toronto .................................................................................................. 10 2018 and 2019 Base Outlook: Net Incremental Impact................................................................................................ 11 PART IV: 2017 BUDGET REDUCTIONS 2017 Budget Reductions – Auditor General's Office ................................................................................................... 13 2017 Budget Reductions – Office of the Integrity Commissioner ................................................................................ 14 2017 Budget Reductions – Office of the Lobbyist Registrar ......................................................................................... 14 2017 Budget Reductions –Ombudsman Toronto ......................................................................................................... 15 PART V: 2017 NEW REQUESTS 2017 New/Enhancement Request – Auditor General's Office ..................................................................................... 16 2017 New/Enhancement Request – Office of the Integrity Commissioner ................................................................... 16 2017 New/Enhancement Request – Office of the Lobbyist Registrar .......................................................................... 16 2017 New/Enhancement Request –Ombudsman Toronto ........................................................................................... 16 Appendix A: 2016 Budget Variance Review ............................................................................................................... 17 2016 Budget Variance Review –Auditor General's Office ............................................................................................ 17 2016 Budget Variance Review – Office of the Integrity Commissioner ........................................................................ 17 2016 Budget Variance Review – Office of the Lobbyist Registrar ............................................................................... 18 2016 Budget Variance Review –Ombudsman Toronto ................................................................................................ 18 Impacts of the 2016 Operating Variance on the 2017 Budget Request....................................................................... 19 Appendix B1: 2017 Base Request vs. 2016 Approved Budget –Auditor General's Office .........................................20 Appendix B2: 2017 Base Request vs. 2016 Approved Budget – Office of the Integrity Commissioner .....................21 Appendix B3: 2017 Base Request vs. 2016 Approved Budget – Office of the Lobbyist Registrar .............................22 Appendix B4: 2017 Base Request vs. 2016 Approved Budget –Ombudsman Toronto .............................................23 Appendix C1: 2017 Budget Request Summary by Expenditure Category –Auditor General's Office .........................24 Appendix C2: 2017 Budget Request Summary by Expenditure Category – Office of the Integrity Commissioner .....25 Appendix C3: 2017 Budget Request Summary by Expenditure Category – Office of the Lobbyist Registrar ............26 Appendix C4: 2017 Budget Request Summary by Expenditure Category –Ombudsman Toronto .............................27 Appendix D: Inflows / Outflows to / from Reserves and Reserves Funds ...................................................................28

2017 Operating Budget Accountability Officers

Contacts: Beverly Romeo-Beehler Auditor General Tel: (416) 392-8461 Valerie Jepson Integrity Commissioner Tel: (416) 397-7770 Cristina De Caprio Lobbyist Registrar Tel: (416) 338-5858 Susan E. Opler Ombudsman Tel: (416) 392-7061

2017 Operating Budget Accountability Officers PART I: 2017 OPERATING BUDGET

Executive Summary

 This Budget Request Overview presents the requests of the four (4) Accountability Officers' 2017 Operating Budget and acts as a reference document to accompany the 2017 Operating Budget Request reports that are being submitted by the Offices

• f the Auditor General, Integrity Commissioner, Lobbyist Registrar and Ombudsman.

The Auditor General's request has been submitted to Audit Committee on October 28, 2016 and is being transmitted to Budget Committee by Audit Committee (http://app.toronto.ca/tmmis/viewAgendaItemHistory.do?item=2016.AU7.6). This Overview reflects the Auditor General's budget submission to the Audit Committee.  The Accountability Officers are independent from the City's Administration and are

• fficers of City Council.

 The Operating Budget Requests of the 4 Accountability Officers have been consolidated into one Budget for purposes of inclusion in the corporate Operating Budget summary for the City of Toronto.  Each Accountability Officer is accountable for their own budgets, separate from one another and pursuant to their legal mandates. The Accountability Offices’ 2017 Budget Requests is $8,443.1 thousand gross and net. Gross Net ($000s) ($000s) Auditor General's Office 4,902.4 4,902.4 Office of the Integrity Commissioner 576.6 576.6 Office of the Lobbyist Registrar 1,154.0 1,154.0 Ombudsman Toronto 1,810.1 1,810.1 Total 2017 Budget Request 8,443.1 8,443.1

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2017 Operating Budget Accountability Officers

 The Budget Requests incorporate budget reductions and new/enhanced requests, comprised of the following: The 2017 Base Budget Requests of $8,667.0 thousand gross and net: Gross Net ($000s) ($000s) Auditor General's Office 5,119.4 5,119.4 Office of the Integrity Commissioner 506.6 506.6 Office of the Lobbyist Registrar 1,168.7 1,168.7 Ombudsman Toronto 1,882.3 1,882.3 Total 2017 Base Budget 8,677.0 8,677.0 The 2017 Budget Reductions of $303.9 thousand gross and net: % of 2016 Gross Net Net ($000s) ($000s) Budget Office of the Auditor General (217.0) (217.0) (4.3%) Office of the Lobbyist Registrar (14.7) (14.7) (1.3%) Ombudsman Toronto (72.2) (72.2) (3.9%) Total 2017 Budget Reductions (303.9) (303.9) (3.6%) The 2017 New/Enhanced Request of $0.070 thousand gross and net: Gross Net ($000s) ($000s) Office of the Integrity Commissioner 70.0 70.0 Total 2017 New/Enhanced 70.0 70.0

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2017 Operating Budget Accountability Officers

Table 1: 2017 Budget Requests

Table 1: 2017 Budget Request

(In $000s) 2016 2017 Budget Change - 2017 Total Submission v. 2016

• Appvd. Budget

FYIncremental Outlook 2016

• Appvd. Adj.

Budget 2016 Projected Actual* 2017 Base Budget 2017 Budget Reduction 2017 New/ Enhanced 2017 Total Budget Request 2018 2019 $ $ $ $ $ $ $ % $ $ GROSS EXP. Auditor General's Office Office of the Integrity Commissioner Office of the Lobbyist Registrar Ombudsman Toronto REVENUE 5,033.3 5,033.3 484.8 469.8 1,156.3 1,066.3 1,834.0 1,824.0 5,119.4 (217.0) 0.0 4,902.4 506.6 0.0 70.0 576.6 1,168.7 (14.7) 0.0 1,154.0 1,882.3 (72.2) 0.0 1,810.1 (130.9) (2.6) 91.7 18.9 (2.3) (0.2) (23.8) (1.3) 150.5 16.9 48.7 129.9 130.4 15.4 29.8 45.8 8,508.3 8,393.3 8,677.0 (303.9) 70.0 8,443.1 (65.3) (0.8) 346.0 221.4 Auditor General's Office 0.0 0.0 0.0 0.0 0.0 0.0 0.0 NA 0.0 0.0 Office of the Integrity Commissioner 0.0 0.0 0.0 0.0 0.0 0.0 0.0 NA 0.0 0.0 Office of the Lobbyist Registrar 0.0 0.0 0.0 0.0 0.0 0.0 0.0 NA 0.0 0.0 Ombudsman Toronto NET EXP. 0.0 0.0 0.0 0.0 0.0 0.0 0.0 NA 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 NA 0.0 0.0 Auditor General's Office 5,033.3 5,033.3 5,119.4 (217.0) 0.0 4,902.4 (130.9) (2.6) 150.5 130.4 Office of the Integrity Commissioner 484.8 469.8 506.6 0.0 70.0 576.6 91.7 18.9 16.9 15.4 Office of the Lobbyist Registrar 1,156.3 1,066.3 1,168.7 (14.7) 0.0 1,154.0 (2.3) (0.2) 48.7 29.8 Ombudsman Toronto 1,834.0 1,824.0 1,882.3 (72.2) 0.0 1,810.1 (23.8) (1.3) 129.9 45.8 8,508.3 8,393.3 8,677.0 (303.9) 70.0 8,443.1 (65.3) (0.8) 346.0 221.4 Approved Positions Auditor General's Office Office of the Integrity Commissioner Office of the Lobbyist Registrar Ombudsman Toronto 31.5 30.0 3.0 3.0 8.3 8.0 12.0 15.0 31.5 0.5 0.0 32.0 3.0 0.0 0.0 3.0 8.3 0.0 0.0 8.3 12.0 0.0 0.0 12.0 0.5 1.6 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 54.8 56.0 54.8 0.5 0.0 55.3 0.5 0.9 0.0 0.0 * Based on Q3 Corporate Variance Report forecast figures.

 The 2017 Operating Budget Request for the four (4) Accountability Officers totalling $8,443.1 thousand net comprises a base budget request of $8,677.0 thousand net, budget reductions of $303.9 thousand net and a new/enhanced request of $70.0 thousand net.

• The Auditor General's Office 2017 budget request of $4,902.4 thousand net,

includes:

• Base budget pressures of $86.1 thousand including the annualization impact
• f two new audit positions approved in 2016, provision for progression pay

increases, cost-of-living adjustments (COLA) and benefit adjustments, and economic factor adjustments for non-payroll items. This is offset by budget to actual adjustments to salary approved in 2016.

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2017 Operating Budget Accountability Officers

• Budget reduction of $217.0 thousand net.

These result in a decrease of $130.9 thousand or -2.6% from the 2016 Approved Adjusted Operating Budget of $5,033.3 thousand net.

• The Office of the Integrity Commissioner 2017 budget request of $576.6 thousand

net, includes:

• Base budget pressures of $21.7 thousand net, which include:
• Budgetary provisions for progression pay increases, cost-of-living

adjustments (COLA) and benefit adjustments and economic factor adjustments for non-payroll items. This is partially offset by salary budget to actual adjustments.

• New/enhancement request of $70.0 thousand.

These result in an increase of $91.7 thousand or 18.9% from the 2016 Approved Operating Budget of $484.8 thousand net.

• The Office of the Lobbyist Registrar 2017 budget request of $1,154.0 thousand

net, includes:

• Base budget pressures of $12.4 thousand net, which include budgetary

provision for progression pay increases, cost-of-living adjustments (COLA) and benefit adjustments, and economic factor adjustments for non-payroll

• items. This is partially offset by salary budget to actual adjustments.
• Budget reduction of $14.7 thousand net.

These result in a decrease of $2.3 thousand or -0.2% from the 2016 Approved Operating budget of $1,156.3 thousand.

• The Ombudsman Toronto 2017 budget request of $1,810.1 thousand net,

includes:

• Base budget pressures of $48.3 thousand net, which include:
• Budgetary provisions for progression pay increases, cost-of-living

adjustments (COLA) and benefit adjustments, and economic factor adjustments for non-payroll items. These are partially offset by salary budget to actual adjustments.

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2017 Operating Budget Accountability Officers

• Budget reduction of $72.2 thousand net.

These result in a decrease of $23.8 thousand or -1.3% from the 2016 Approved Operating Budget of $1,834.0 thousand net.  If the Budget Committee adopts the 2017 budget requests for the Accountability Offices, the budget outlook will increase by $346.0 thousand net in 2018 and $221.4 thousand net in 2019 to maintain the requested 2017 service level. The outlook includes budgetary provision for progression pay increase and cost-of-living adjustments (COLA) in accordance with employment agreements and corporate policies for non-union staff and economic factor adjustments for non-payroll items.

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2017 Operating Budget Accountability Officers PART II: REPORTING RELATIONSHIPS OF THE ACCOUNTABILITY OFFICERS

 The Accountability Officers are independent from the City's Administration and are

• fficers of City Council.

 Each Accountability Officer is accountable for their own budgets, separate from one another and pursuant to their legal mandates.

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2017 Operating Budget Accountability Officers PART III: 2017 BASE BUDGET SUMMARY

Auditor General's Office

(In $000s) 2016 Appvd.

• Adj. Budget

2017 Base Budget Change - 2017 Base Budget vs. 2016 Appvd. Budget FYIncremental Base Outlook 2018 2019 $ $ $ % $ $ GROSS EXP. REVENUE 5,033.3 0.0 5,119.4 86.1 0.0 1.7 NA 144.0 124.2 NET EXP. 5,033.3 5,119.4 86.1 1.7 144.0 124.2 Approved Positions 31.5 31.5 0.0 0.0 31.5 31.5

The Auditor General’s Office 2017 base budget request of $5,119.4 thousand net represents an increase of $86.1 thousand or $1.7% from 2016 Approved Operating Budget of $5,033.3 thousand net. The major drivers for the base budget increases are:  Progression pay increases or re-earnable performance pay for staff who have reached the wage grade maximum, cost-of-living adjustment (COLA) and benefit adjustments for a total of $154.2 thousand.  Economic factor adjustments and cost pressures for non-payroll items for a total of $2.9 thousand.  Annualization impact of two new audit positions (Senior Audit Manager and Audit Manager) approved during the 2016 budget process for $59.2 thousand. The increases are partially offset by budget to actual adjustments to salary & benefits costs of $130.2 thousand. There is no change in approved positions as a result of the 2017 Base Budget.

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2017 Operating Budget Accountability Officers

Office of the Integrity Commissioner

(In $000s) 2016 Appvd.

• Adj. Budget

2017 Base Budget Change - 2017 Base Budget vs. 2016 Appvd. Budget FY Incremental Base Outlook 2018 2019 $ $ $ % $ $ GROSS EXP. REVENUE 484.8 0.0 506.6 0.0 21.7 0.0 4.5 NA 16.9 0.0 15.4 0.0 NET EXP. 484.8 506.6 21.7 4.5 16.9 15.4 Approved Positions 3.0 3.0 0.0 0.0 3.0 3.0

The Office of the Integrity Commissioner's 2017 base budget request of $506.6 thousand net represents an increase of $21.7 thousand or 4.5% from the 2016 Approved Operating Budget of $484.8 thousand net. The major drivers for the base budget increase are:  Progression pay increase, cost-of-living adjustment (COLA) and benefit adjustments

• f $27.6 thousand

 Economic factor adjustments for non-payroll items of $0.3 thousand The budget pressures are partially offset by budget to actual adjustments to salary & benefits costs of $6.2 thousand. There is no change in approved positions as a result of the 2017 Base Budget.

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2017 Operating Budget Accountability Officers

Office of the Lobbyist Registrar

(In $000s) 2016 Appvd.

• Adj. Budget

2017 Base Budget Change - 2017 Base Budget vs. 2016 Appvd. Budget FY Incremental Base Outlook 2018 2019 $ $ $ % $ $ GROSS EXP. REVENUE 1,156.3 0.0 1,168.7 0.0 12.4 0.0 1.1 NA 34.0 0.0 29.8 0.0 NET EXP. 1,156.3 1,168.7 12.4 1.1 34.0 29.8 Approved Positions 8.3 8.3 0.0 0.0 8.3 8.3

The Office of the Lobbyist Registrar's 2017 base budget request of $1,168.7 thousand net represents an increase of $12.4 thousand or 1.1% from the 2016 Approved Operating Budget of $1,156.3 thousand net. The major drivers for the base budget increase are:  Progression pay increase increases or re-earnable performance pay for staff who have reached the wage grade maximum, cost-of-living adjustment (COLA) and benefit adjustments for a total of $32.1 thousand  Economic factor adjustments of $1.5 thousand related to non-payroll items The budget pressures are partially offset by budget to actual adjustments to salary and benefits costs of $21.2 thousand. There is no change in approved positions as a result of the 2017 Base Budget.

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2017 Operating Budget Accountability Officers

Ombudsman Toronto

(In $000s) 2016 Appvd.

• Adj. Budget

2017 Base Budget Change - 2017 Base Budget vs. 2016 Appvd. Budget FYIncremental Base Outlook 2018 2019 $ $ $ % $ $ GROSS EXP. REVENUE 1,834.0 0.0 1,882.3 0.0 48.3 0.0 2.6 NA 57.7 0.0 45.8 0.0 NET EXP. 1,834.0 1,882.3 48.3 2.6 57.7 45.8 Approved Positions 12.0 12.0 0.0 0.0 12.0 12.0

Ombudsman Toronto's 2017 base budget request of $1,882.3 thousand net represents an increase of $48.3 thousand or 2.6% from the 2016 Approved Operating Budget of $1,834.0 thousand net. The major drivers for the base budget increase are:  Progression pay increase increases or re-earnable performance pay for staff who have reached the wage grade maximum, cost-of-living adjustment (COLA) and benefit adjustments for a total of $45.2 thousand  Economic factor adjustments and budget pressures for non-payroll items of $4.5 thousand These budget pressures are partially offset by budget to actual adjustments to salary & benefits costs of $1.4 thousand. There is no change in approved positions as a result of the 2017 Base Budget.

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2018 and 2019 Base Outlook: Net Incremental Impacts The Base Outlooks are projected based on the Accountability Offices' Base Budget

• Requests. The Outlooks in Table 1 reflects the total budget requests for the

Accountability Offices, including the impacts of budget reductions and new/enhanced request. Approval of the 2017 Base Budget Request for the Accountability Officers will result in incremental cost of $252.7 thousand net in 2018 and $215.2 thousand net in 2019. Details of the future year costs are as follows: Auditor General's Office 2018 Base Outlook totals $144.0 thousand net  Budgetary provisions of $141.1 thousand for benefit adjustments, cost-of-living adjustment (COLA) at 1.25% and an average 2.65% progression pay increase for eligible staff or re-earnable performance pay for staff who have reached the salary range maximum per Corporate guidelines  Economic factor adjustments of $3.0 thousand for non-payroll items 2019 Base Outlook totals $124.2 thousand net  Budgetary provisions of $120.8 thousand for benefit adjustments, cost-of-living adjustment (COLA) and progression increases/re-earnable performance pay for staff who have reached the salary range maximum  Economic factor adjustments of $3.4 thousand for non-payroll items. Office of the Integrity Commissioner 2018 Base Outlook totals $16.9 thousand net  Budgetary provisions of $16.6 thousand for benefit adjustments, cost-of-living adjustment (COLA) at 1.25% and an average 2.65% progression pay increase for eligible non-union staff per Corporate guidelines  Economic factor adjustments of $0.3 thousand related to non-payroll. 2019 Base Outlook totals $15.4 thousand net  Budgetary provisions of $15.0 thousand for benefit adjustment, cost-of-living adjustment (COLA) and an average 2.65% progression pay increase for eligible non- union staff  Economic factor adjustments of $0.4 thousand related to non-payroll

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2017 Operating Budget Accountability Officers

Office of the Lobbyist Registrar 2018 Base Outlook totals $34.0 thousand net  Budgetary provisions of $32.5 thousand for benefit adjustments, cost-of-living adjustment (COLA) at 1.25% and an average 2.65% progression pay increase for eligible non-union staff or re-earnable performance pay for staff who have reached the salary range maximum per Corporate guidelines.  Economic factor adjustments of $1.5 thousand for non-payroll items. 2019 Base Outlook totals $29.8 thousand net  Budgetary provisions of $28.0 thousand for benefit adjustments, cost-of-living adjustment (COLA) and an average 2.65% progression pay increase for eligible non- union staff or re-earnable performance pay for staff who have reached the salary range maximum per Corporate guidelines.  Economic factor adjustments of $1.8 thousand related to non-payroll items Ombudsman Toronto 2018 Base Outlook totals $57.7 thousand net  Budgetary provisions of $53.1 thousand for benefit adjustments, cost-of-living adjustment (COLA) at 1.25% and an average 2.65% progression pay increase for eligible non-union staff or re-earnable performance pay for staff who have reached the salary range maximum per Corporate guideline  Economic factor adjustments and cost pressures of $4.6 thousand for non-payroll items. 2019 Base Outlook totals $45.8 thousand net  Budgetary provisions of $40.4 thousand for benefit adjustments, cost-of-living adjustment (COLA) at 1.25% and an average 2.65% progression pay increase for eligible non-union staff or re-earnable performance pay for staff who have reached the salary range maximum per Corporate guidelines  Economic factor adjustments and cost pressures of $5.4 thousand for non-payroll items.

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2017 Operating Budget Accountability Officers PART IV: 2017 BUDGET REDUCTIONS

At its meeting on July 12 to 16, 2016, City Council adopted EX16.37- 2017 Budget Process – Budget Directions and Schedule which includes:  An across-the-board budget reduction target of -2.6% net below the 2016 Approved Net Operating Budgets for all City Programs, Agencies, Toronto Community Housing Corporation and Accountability Offices  That the operating and capital guidelines….be applied to the Accountability Offices for the 2017 Budget Process. Auditor General's Office Under the City of Toronto Act, the Auditor General is responsible for assisting City Council in holding itself and City administrators accountable for the quality of stewardship over public funds and for achievement of value for money in city

• perations. The Auditor General provides impactful audits and recommendations to

improve City operations and services. Under the Toronto Public Service Bylaw, Chapter 192 of the Municipal Code, effective December 2015, the Auditor General is now responsible for investigating reprisals against employees under the Disclosure of Wrongdoing and Reprisal Protection

• Provisions. Reprisal is defined in the By-law as any measure taken as a direct result of

disclosing or being suspected of disclosing an allegation of wrongdoing, and initiating or co-operating in an investigation into an alleged wrongdoing. Reprisal protection is very important to the effectiveness of the Fraud and Waste Hotline. Although many fraud and waste investigations are conducted by management with the

• versight of the Auditor General, certain investigations, such as those involving

allegations against senior management, require the Auditor General to take a leadership role to ensure independence and protect the integrity of the investigation. In 2016 the Auditor General's Office increased the number of major investigations it led. Given the expanded mandate and the need for more directly led investigations, and to meet the Council's 2017 directive to reduce operating budget, the Auditor General has undertaken steps to re-organize the staff resources to deliver her work within a reduced budget envelope. The Auditor General's budget submission reflects a $217.0 thousand decrease, or a 4.3% decrease from the 2016 Council Approved Budget, to meet the Council's 2017

• perating budget directive. Work targets will be met by using resources more efficiently

and re-organizing work. Changes include deleting a senior management position and converting senior management positions into junior positions on a permanent basis. These changes require an additional 0.5 full-time equivalent (FTE) increasing the total

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2017 Operating Budget Accountability Officers

staff complement from 31.5 positions in 2016 to 32.0 positions in 2017. The increase in staff complement can be achieved within the reduced 2017 budget. Office of the Integrity Commissioner The Office of the Integrity Commissioner submitted a budget reduction of $0.0 thousand

• net. While cognizant of Council's 2017 budget direction, the Office of the Integrity

Commissioner is unable to absorb its base budget pressures from its non-salary budget component available for spending to the Office. At current staffing levels (i.e. one Commissioner; one investigator; and, one intake and office assistant), the Office is challenged to fulfill its duties per the City of Toronto Act, 2006 and Chapter 3 of the Municipal Code in a timely manner. Further, staff reductions would reverse recent commitments by City Council to adequately staff the Office. In 2014, City Council approved the establishment of a full time Commissioner. In 2015, City Council approved the addition of a single investigator. These enhancements have improved the capacity of the Office and must be maintained. Finally, the Province has introduced legislation (Bill 68, "Modernizing Ontario's Municipal Legislation Act") that, if passed, will expand the scope of duties and

• bligations on the Integrity Commissioner. Preparing for the implementation of Bill 68,

as well as continuing to fulfill existing duties, requires that the current resources be

• maintained. Bill 68, if passed, will expand the role of the Integrity Commissioner in

several ways, including: receiving and dealing with Municipal Conflict of Interest Act complaints, bringing Municipal Conflict of Interest Act applications to Court, conducting investigations on the Commissioner's own motion into Code of Conduct or Municipal Conflict of Interest Act matters. Office of the Lobbyist Registrar Accommodating Council's 2017 operating budget direction and recognizing the City's fiscal constraints, the Office of the Lobbyist Registrar (OLR) submitted a budget reduction of $14.7 thousand net or 1.3% of the 2016 Approved Budget. The reduction is one-time, and comprises the gapping of a 0.25 temporary administrative position in 2017, as well as a reduction in office supplies, and outreach-related expenses. Registration, educational outreach, and enforcement continue to occupy much of the OLR's small team. The OLR provides training and support for registrants to achieve compliance, facilitates ongoing registrations, and undertakes enforcement measures, when required in the public interest. Ongoing enforcement activities include: summons to witness, summons of documents, investigations, and prosecutions under the Provincial Offences Act. The OLR's registrations have risen steadily over the years, and further increase in volume is anticipated. Two enhancements to the OLR's enforcement powers will have significant impact on the OLR's operations in 2017. These are: 1) In 2016, Council expanded the OLR's

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2017 Operating Budget Accountability Officers

enforcement powers to include imposing temporary bans against lobbyists and/or imposing conditions on lobbyist registrations where the OLR has found breaches of the bylaw; and, 2) Bill 68 "Modernizing Ontario's Municipal Legislation Act", tabled by the Province of Ontario, proposes extensions to the statutory limitation period for prosecutions and allows for the imposition of administrative penalties. Resources are required to investigate complaints and enforce compliance in order for the OLR to meet its mandate. Ombudsman Toronto In recognition of Council's 2017 budget direction and the City's fiscal pressures, but also

• f the need for adequate resources to fulfil Ombudsman Toronto's essential mandate

under the City of Toronto Act, 2006 and increasing demands on its services, Ombudsman Toronto submitted a budget reduction of $72.2 thousand net or 3.9% of the 2016 Approved Operating Budget. The budget reduction is one-time with decreases to non-payroll items including legal services, investigative expense and

• utreach-related expenses.

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2017 Operating Budget Accountability Officers PART V: 2017 NEW REQUESTS

 Auditor General's Office There are no new requests for the Auditor General's Office.  Office of the Integrity Commissioner. The Office of the Integrity Commissioner ("OIC") submitted an enhancement request of $70.0 thousand net for legal and investigative expenses. The Integrity Commissioner renews her 2016 request for external investigation and legal support but in recognition of the overall budget pressures faced by the City of Toronto and the 2017 budget direction, reduces the amounts requested and foregoes her request for an outreach coordinator. Establishing a budget for external support is necessary to protect the independence of the OIC and enable it to respond appropriately to high volumes or complex cases in a timely fashion. As described above, if Bill 68 is passed, external resources will also be required to prepare for the implementation of the Commissioner's new role. Approval of this enhancement request will not impact the total complement of the OIC.  Office of the Lobbyist Registrar There are no new requests for the Office of the Lobbyist Registrar.  Ombudsman Toronto There are no new requests for Ombudsman Toronto.

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utsrponigfedcaVRQCB

2017 Operating Budget Accountability Officers Appendix A – 2016 Budget Variance Review

 The Accountability Officers' 2016 Operating Variance as of September projects a surplus of $115.0 thousand at year-end from the total 2016 Approved Operating Budget of $8,508.3 thousand.  Auditor General's Office Auditor General's Office will be on budget from the 2016 Approved Adjusted Operating Budget of $5,033.3 thousand.

Auditor General's Office

2014 Actuals 2015 Actuals 2016 Approved

• Adj. Budget

2016 Projected Actuals* 2016 Appvd. Budget vs Projected Actuals Variance (In $000s) $ $ $ $ $ % Gross Expenditures Revenues 4,385.1 0.0 4,597.5 0.0 5,033.3 0.0 5,033.3 0.0 0.0 0.0 0.0 0.0 Net Expenditures 4,385.1 4,597.5 5,033.3 5,033.3 0.0 0.0 Approved Positions 29.0 29.5 31.5 30.0 (1.5) (4.8) * Based on Q3 Corporate Variance Report forecast figures.

 The Office of the Integrity Commissioner The Office of the Integrity Commissioner projects a 2016 year-end expenditure surplus of $15.0 thousand from the 2016 Approved Adjusted Operating Budget of $484.8 thousand, mainly due to lower salary and benefit costs.

Office of Integrity Commissioner

2014 Actuals 2015 Actuals 2016 Approved

• Adj. Budget

2016 Projected Actuals* 2016 Appvd. Budget vs Projected Actuals Variance (In $000s) $ $ $ $ $ % Gross Expenditures Revenues 347.9 0.0 364.7 0.0 484.8 0.0 469.8 0.0 (15.0) 0.0 (3.1) 0.0 Net Expenditures 347.9 364.7 484.8 469.8 (15.0) (3.1) Approved Positions 2.0 3.0 3.0 3.0 0.0 0.0 * Based on Q3 Corporate Variance Report forecast figures.

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2017 Operating Budget Accountability Officers

 The Office of the Lobbyist Registrar The Office of the Lobbyist Registrar projects a 2016 year-end expenditure surplus of $90.0 thousand from the 2016 Approved Adjusted Operating Budget of $1,156.3 thousand, mainly due to lower spending in salary and benefit costs as a result of staff vacancy during the year.

Office of the Lobbyist Registrar

2014 Actuals 2015 Actuals 2016 Approved

• Adj. Budget

2016 Projected Actuals* 2016 Appvd. Budget vs Projected Actuals Variance (In $000s) $ $ $ $ $ % Gross Expenditures Revenues 1,028.9 0.0 1,052.1 0.0 1,156.3 0.0 1,066.3 0.0 (90.0) 0.0 (7.8) 0.0 Net Expenditures 1,028.9 1,052.1 1,156.3 1,066.3 (90.0) (7.8) Approved Positions 8.3 8.3 8.3 8.0 (0.3) (3.0) * Based on Q3 Corporate Variance Report forecast figures.

Ombudsman Toronto Ombudsman Toronto projects a 2016 year-end expenditure surplus of $10.0 thousand from the 2016 Approved Adjusted Operating Budget of $1,834.0 thousand, mainly due to lower spending in services and rents as well as salaries and benefits.

Ombudsman Toronto

2014 Actuals 2015 Actuals 2016 Approved

• Adj. Budget

2016 Projected Actuals* 2016 Appvd. Budget vs Projected Actuals Variance (In $000s) $ $ $ $ $ % Gross Expenditures Revenues 1,642.6 (5.8) 1,737.9 (0.2) 1,834.0 0.0 1,824.0 0.0 (10.0) 0.0 (0.5) 0.0 Net Expenditures 1,636.8 1,737.8 1,834.0 1,824.0 (10.0) (0.5) Approved Positions 11.0 12.0 12.0 15.0 3.0 25.0 * Based on Q3 Corporate Variance Report forecast figures.

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2017 Operating Budget Accountability Officers

Impacts of the 2016 Operating Variance on the 2017 Budget Request The 2017 Budget Requests have been adjusted as a result of the 2016 experience as well as anticipated operational requirements. The Auditor General's Office has submitted a reduction option involving a reorganization

• f the Office to convert senior management positions into junior level positions on a

permanent basis. Temporary audit staff have been hired to manage workload pressures with funding from staff vacancies during the first nine months of the year. The Office of the Integrity Commissioner has submitted an enhancement request to enhance capacity to respond to high volumes or complex cases through outside legal and investigative services, which cannot be covered from the current budget. The Office of the Lobbyist Registrar has submitted a one-time reduction in office supplies and the gapping of the 0.25 temporary administrative position. Ombudsman Toronto has submitted a one-time reduction in non-payroll items including legal services, investigative expenses, and outreach-related expenses.

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ywvutsrponlihgfedcbaXWTSRPMIEDCBA 2017 Operating Budget Accountability Officers Appendix B1 – Auditor General's Office 2017 Base Request vs. 2016 Approved Budget

(In $000s) Summary of 2017 Base Budget Adjustments Net Incremental Outlook Approved Positions Gross Expenditures Revenues Net 2018 2019 $ $ $ $ $ 2016 Council Approved Operating Budget 31.5 4,973.6 4,973.6 2016 In-year COLA budget adjustment 59.7 59.7 2016 Approved Adjusted Operating Budget 31.5 5,033.3 5,033.3 Prior Year Impacts: Budget to Actual Adjustment Annualization of 2016 New Positions Salary & economic factor Increases: Salary Non Salary (130.2) 59.2 154.2 2.9 (130.2) 59.2 154.2 2.9 141.1 3.0 120.8 3.4 2017 Adjusted Base Budget 31.5 5,119.4 5,119.4 144.0 124.2 Base Expenditure Changes Base Revenue Changes 2017 Base Budget Request 31.5 5,119.4 5,119.4 144.0 124.2

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2017 Operating Budget Accountability Officers Appendix B2 – Office of the Integrity Commissioner 2017 Base Request vs. 2016 Approved Budget

(In $000s) Summary of 2017 Base Budget Adjustments Net Incremental Outlook Approved Positions Gross Expenditures Revenues Net 2018 2019 $ $ $ $ $ 2016 Council Approved Operating Budget 3.0 479.2 479.2 2016 In-Year COLA Adjustment 5.6 5.6 2016 Approved Adjusted Operating Budge 3.0 484.8 484.8 Prior Year Impacts: Budget to Actual Adjustment Salary & economic factor Increases: Salary Non Salary (6.2) 27.6 0.3 (6.2) 27.6 0.3 16.6 0.3 15.0 0.4 2017 Adjusted Base Budget 3.0 506.6 506.6 16.9 15.4 Base Expenditure Changes Base Revenue Changes 2017 Base Budget Request 3.0 506.6 506.6 16.9 15.4

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2017 Operating Budget Accountability Officers Appendix B3 – Office of the Lobbyist Registrar 2017 Base Request vs. 2016 Approved Budget

(In $000s) Summary of 2017 Base Budget Adjustments Net Incremental Outlook Approved Positions Gross Expenditures Revenues Net 2018 2019 $ $ $ $ $ 2016 Council Approved Operating Budget 8.3 1,143.1 1,143.1 2016 In-Year COLA Adjustment 13.2 13.2 2016 Approved Adjusted Operating Budget 8.3 1,156.3 1,156.3 Prior Year Impacts: Budget to Actual Adjustment Salary & economic factor Increases: Salary Non Salary (21.2) 32.1 1.5 (21.2) 32.1 1.5 32.5 1.5 28.0 1.8 2017 Adjusted Base Budget 8.3 1,168.7 1,168.7 34.0 29.8 Base Expenditure Changes Base Revenue Changes 0.0 0.0 2017 Base Budget Request 8.3 1,168.7 1,168.7 34.0 29.8

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2017 Operating Budget Accountability Officers Appendix B4 –Ombudsman Toronto 2017 Base Request vs. 2016 Approved Budget

(In $000s) Summary of 2017 Base Budget Adjustments Net Incremental Outlook Approved Positions Gross Expenditures Revenues Net 2018 2019 $ $ $ $ $ 2016 Council Approved Operating Budget 12.0 1,814.6 1,814.6 2016 In-year COLA Adjustment 19.4 19.4 2016 Approved Adjusted Operating Budget 12.0 1,834.0 1,834.0 Prior Year Impacts: Actual to Budget Adjustments Salary & economic factor Increases: Salary Non Salary (1.4) 45.2 4.5 (1.4) 45.2 4.5 53.1 4.6 40.4 5.4 2017 Adjusted Base Budget 12.0 1,882.3 1,882.3 57.7 45.8 Base Expenditure Changes Base Revenue Changes (0.0) (0.0) 2017 Base Budget Request 12.0 1,882.3 1,882.3 57.7 45.8

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2017 Operating Budget Accountability Officers Appendix C1 2017 Budget Request Summary by Expenditure Category Auditor General's Office

2016 2016 2017 2014 2015 Approved Projected Budget 2018 2019 Actuals Actuals

• Adj. Budget Actuals*

Request Outlook Outlook in $000s $ $ $ $ $ $ % $ $ Salaries and Benefits 4,297.0 4,440.4 4,843.2 4,788.7 4,709.4 (133.8) (2.8) 4,856.9 4,983.9 Materials and Supplies 6.1 6.3 11.0 11.0 11.1 0.1 1.1 11.3 11.4 Equipment 1.8 7.5 47.1 47.1 48.1 0.9 2.0 49.0 50.1 Services & Rents 49.4 115.0 102.0 156.5 103.9 1.9 1.8 105.8 108.0 Contributions to Capital 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contributions to Reserve/Res Funds 6.8 7.7 7.7 7.7 7.7 0.0 0.0 7.7 7.7 Other Expenditures 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Interdivisional Charges 24.0 20.6 22.3 22.3 22.3 0.0 0.0 22.3 22.3 TOTAL GROSS EXPENDITURES 4,385.1 4,597.5 5,033.3 5,033.3 4,902.4 (130.9) (2.6) 5,052.9 5,183.3 Interdivisional Recoveries 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Provincial Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Federal Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 User Fees & Donations 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Transfers from Capital Fund 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contribution from Reserve/Res Funds 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Revenues (0.0) (0.0) 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL REVENUE (0.0) (0.0) 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL NET EXPENDITURES 4,385.1 4,597.5 5,033.3 5,033.3 4,902.4 (130.9) (2.6) 5,052.9 5,183.3 APPROVED POSITIONS 29.0 29.5 31.5 30.0 32.0 0.5 0.0 32.0 32.0 Change from 2016 Approved Budget * Based on Q3 Corporate Variance Report forecast figures.

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2017 Operating Budget Accountability Officers Appendix C2 2017 Budget Request Summary by Expenditure Category Office of the Integrity Commissioner

2016 2016 2017 2014 2015 Approved Projected Budget 2018 2019 Actuals Actuals

• Adj. Budget Actuals*

Request Outlook Outlook in $000s $ $ $ $ $ $ % $ $ Salaries and Benefits 311.9 325.8 460.8 445.8 482.2 21.4 4.6 498.8 513.8 Materials and Supplies 0.4 0.3 1.6 1.6 1.6 0.0 1.2 1.6 1.6 Equipment 0.6 4.7 0.1 0.1 0.1 0.0 2.0 0.1 0.1 Services & Rents 30.6 29.5 17.6 17.6 87.9 70.3 399.1 88.3 88.6 Contributions to Capital 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contributions to Reserve/Res Funds 4.2 4.4 4.4 4.4 4.4 0.0 0.0 4.4 4.4 Other Expenditures 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Interdivisional Charges 0.1 0.0 0.4 0.4 0.4 0.0 0.0 0.4 0.4 TOTAL GROSS EXPENDITURES 347.9 364.7 484.8 469.8 576.6 91.7 18.9 593.5 608.9 Interdivisional Recoveries 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Provincial Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Federal Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 User Fees & Donations 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Transfers fromCapital Fund 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contribution fromReserve/Res Funds 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Revenues 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL REVENUE 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL NET EXPENDITURES 347.9 364.7 484.8 469.8 576.6 91.7 18.9 593.5 608.9 APPROVED POSITIONS 2.0 3.0 3.0 3.0 3.0 0.0 0.0 3.0 3.0 Change from 2016 ApprovedBudget * Based on Q3 Corporate Variance Report forecast figures.

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2017 Operating Budget Accountability Officers Appendix C3 2017 Budget Request Summary by Expenditure Category Office of the Lobbyist Registrar

2016 2016 2017 2014 2015 Approved Projected Budget 2018 2019 Actuals Actuals

• Adj. Budget Actuals*

Request Outlook Outlook in $000s $ $ $ $ $ $ % $ $ Salaries and Benefits 982.5 1,017.0 1,066.6 976.6 1,063.9 (2.7) (0.3) 1,109.9 1,137.9 Materials and Supplies 5.2 4.6 7.6 7.6 6.4 (1.2) (15.9) 7.3 7.3 Equipment 0.4 0.6 0.3 0.3 0.0 (0.3) (100.0) 0.0 0.0 Services & Rents 39.1 27.8 79.6 79.6 81.5 1.9 2.3 83.3 85.0 Contributions to Capital 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contributions to Reserve/Res Funds 1.4 1.6 1.6 1.6 1.6 0.0 0.0 1.6 1.6 Other Expenditures 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Interdivisional Charges 0.3 0.4 0.6 0.6 0.6 0.0 0.0 0.6 0.6 TOTAL GROSS EXPENDITURES 1,028.9 1,052.1 1,156.3 1,066.3 1,154.0 (2.3) (0.2) 1,202.7 1,232.5 Interdivisional Recoveries 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Provincial Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Federal Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 User Fees & Donations 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Transfers from Capital Fund 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contribution from Reserve/Res Funds 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Revenues 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL REVENUE 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL NET EXPENDITURES 1,028.9 1,052.1 1,156.3 1,066.3 1,154.0 (2.3) (0.2) 1,202.7 1,232.5 APPROVED POSITIONS 8.3 8.3 8.3 8.0 8.3 0.0 0.0 8.3 8.3 Change from 2016 Approved Budget * Based on Q3 Corporate Variance Report forecast figures.

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2017 Operating Budget Accountability Officers Appendix C4 2017 Budget Request Summary by Expenditure Category Ombudsman Toronto

2016 2016 2017 2014 2015 Approved Projected Budget 2018 2019 Actuals Actuals Budget Actuals* Request Outlook Outlook in $000s $ $ $ $ $ $ % $ $ Salaries and Benefits 1,352.2 1,435.3 1,573.1 1,573.1 1,616.9 43.8 2.8 1,670.0 1,710.4 Materials and Supplies 5.3 5.1 12.7 12.7 5.1 (7.6) (59.9) 5.2 5.2 Equipment 9.0 4.7 7.2 7.2 1.5 (5.8) (79.7) 4.3 4.4 Services & Rents 272.1 286.9 226.4 216.4 179.0 (47.4) (21.0) 247.8 253.0 Contributions to Capital 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contributions to Reserve/Res Funds 1.8 2.1 2.1 2.1 2.1 0.0 0.0 2.1 2.1 Other Expenditures 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Interdivisional Charges 2.1 3.9 12.4 12.4 5.6 (6.8) (54.8) 10.6 10.7 TOTAL GROSS EXPENDITURES 1,642.6 1,737.9 1,834.0 1,824.0 1,810.1 (23.8) (1.3) 1,940.0 1,985.8 Interdivisional Recoveries 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Provincial Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Federal Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Subsidies 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 User Fees & Donations 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Transfers from Capital Fund 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Contribution from Reserve/Res Funds 0.0 0.0 0.0 0.0 0.0 0.0 n/a 0.0 0.0 Other Revenues 5.8 0.2 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL REVENUE 5.8 0.2 0.0 0.0 0.0 0.0 n/a 0.0 0.0 TOTAL NET EXPENDITURES 1,636.8 1,737.8 1,834.0 1,824.0 1,810.1 (23.8) (1.3) 1,940.0 1,985.8 APPROVED POSITIONS 11.0 12.0 12.0 15.0 12.0 0.0 0.0 12.0 12.0 Change from 2016 Approved Budget * Based on Q3 Corporate Variance Report forecast figures.

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2017 Operating Budget Accountability Officers Appendix D Inflows/Outflows to/from Reserves & Reserve Funds

Reserve / Reserve Fund Name Reserve / Reserve Fund Number Proposed Withdrawals (-) / Contributions (+) 2017 2018 2019 (in 000s) $ $ $ Auditor General's Office Insurance Reserve XR1010 7.7 7.7 7.7 Office of the Integrity Commissioner Insurance Reserve XR1010 4.4 4.4 4.4 Office of the Lobbyist Registrar Insurance Reserve XR1010 1.6 1.6 1.6 Ombudsman Toronto Insurance Reserve XR1010 2.1 2.1 2.1

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REPORT FOR ACTION Ombudsman Toronto - 2017-2026 Capital Plan

Date: December 2, 2016 To: Budget Committee From: Susan E. Opler, Ombudsman Wards: All

SUMMARY

This report requests that Budget Committee recommend that City Council approve the 2017 - 2026 Capital Budget and Plan of Ombudsman Toronto. The plan includes a requirement of $1.070 million inclusive of 2016 carry forward cash flow over the 10-year period for state of good repair maintenance of the case management system.

RECOMMENDATIONS

The Ombudsman recommends that: Budget Committee recommend to Executive Committee that City Council approve the 2017-2026 Capital Budget and Plan for Ombudsman Toronto at $1.070 million as submitted with 2016 carry forward cash flows of $0.370 million in 2017 and $0.700 million in 2023.

FINANCIAL IMPACT

Approval of Ombudsman Toronto's budget request will result in the inclusion of $1.070 million with funding from debt in the City of Toronto’s 2017-2026 ten year Capital Plan.

DECISION HISTORY

City Council, at its meeting on March 9 and 10, 2015, approved the 2016-2025 Capital Budget and Plan for the Accountability Officers, which included $0.530 million in 2016 and $0.700 million in 2023 for Ombudsman Toronto.

COMMENTS

In fulfilling its mandate under the City of Toronto Act, 2006, Ombudsman Toronto

Ombudsman Toronto – 2017 – 2026 Capital Plan Page 1 of 2

investigates complaints from the public about the administration of City government, including its agencies and corporations. It also conducts enquiries and formal Investigations on its own motion of issues with broad systemic implications, and recommends improvements to City administration. The Case Management System (CMS) is Ombudsman Toronto's essential tool for managing its caseload, and for capturing and storing all complaints-related information, as well as information concerning own-motion enquiries and investigations. The information in the CMS is used to track complaints, enquiries and Investigations, to identify trends, to provide referral information to staff, to generate reports (e.g., time required to resolve complaints, method of resolution, divisions complained about, issues investigated, recommendations made, etc.), to assist with the investigation of systemic issues, and to assist with management of the day to day handling of complaints. The current system needs to be upgraded to ensure that the CMS is in a state of good repair, that it meets corporate and industry standards, and that it reflects new technology standards. Project implementation began in 2016 with project completion expected in 2017. There is no change to the project cost of $0.530 million. The CMS will need to be refreshed to meet the latest technology standards. This State

• f Good Repair project will have a project cost of $0.700 million and will start in 2023, to

be consistent with industry best practice of replacing applications every seven years. There is no change to the total project cost and cash flow in the 10 year capital plan. The attached Accountability Officers: 2017-2026 Capital Budget and Plan – Budget Overview provides further details.

CONTACT

Susan E. Opler Ombudsman susan.opler@toronto.ca 416-392-7061

SIGNATURE

(Original signed) _______________________________ Susan E. Opler, Ombudsman

ATTACHMENTS

Accountability Officers: 2017-2026 Capital Budget & Plan – Budget Overview

Ombudsman Toronto – 2017 – 2026 Capital Plan Page 2 of 2

2017 – 2026 Capital Plan Accountability Officers

Budget Overview

Budget Committee

(December 16, 19, 20 & 21, 2016)

Page

PART I: CAPITAL PROGRAM

Executive Summary………………………………………………………………………………….1 10-Year Capital Plan Overview……………………………………………………………………..3 Office of the Lobbyist Registrar ....................................................................................... 5 Ombudsman Toronto ...................................................................................................... 5 10-Year Capital Plan (2017 Budget, 2018 - 2026 Plan) Office of the Lobbyist Registrar ............................................................................. 6 and 7 Ombudsman Toronto ............................................................................................ 8 and 9 10-Year Capital Plan Details………………………………………………………………………10 Office of the Lobbyist Registrar ..................................................................................... 10 Ombudsman Toronto .................................................................................................... 12 10-Year Capital Plan – Incremental Operating Impact Summary Office of the Lobbyist Registrar ..................................................................................... 14 Ombudsman Toronto .................................................................................................... 14

PART II: ISSUES FOR DISCUSSION

10-Year Capital Plan (2017 - 2026) Issues .......................................................................... 15

APPENDICES

Appendix 1: 2016 Capital Variance Review Office of the Lobbyist Registrar ..................................................................................... 17 Ombudsman Toronto .................................................................................................... 17 Appendix 2: 2017 Capital Budget, 2018 to 2026 Capital Plan, Project Cost and Cash flows Office of the Lobbyist Registrar ..................................................................................... 19 Ombudsman Toronto .................................................................................................... 20

2017 – 2026 Capital Plan Accountability Officers

Contacts: Beverly Romeo-Beehler Auditor General Tel: (416) 392-8461 Valerie Jepson Integrity Commissioner Tel: (416) 397-7770 Cristina De Caprio Lobbyist Registrar Tel: (416) 338-5858 Susan E. Opler Ombudsman Tel: (416) 392-7061

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2017 – 2026 Capital Plan Accountability Officers

PART I: CAPITAL PROGRAM

Executive Summary

 The Accountability Officers for the City of Toronto are:

• The Auditor General's Office
• The Office of the Integrity Commissioner
• The Office of the Lobbyist Registrar and
• Ombudsman Toronto

 The Accountability Officers are independent from the City's Administration and are officers

• f City Council.

 The Accountability Officers’ 2017 – 2026 Capital Budget & Plan reflects the capital budget requirements for the Office of the Lobbyist Registrar and Ombudsman Toronto. There are no capital budget requirements for the Auditor General's Office and the Office of the Integrity Commissioner.  The Accountability Officers’ 2017 – 2026 Capital Budget & Plan has been consolidated into

• ne Budget for purposes of inclusion in the corporate Capital Budget Summary for the City
• f Toronto. Each Accountability Officer is accountable for its own budget, separate from
• ne another and pursuant to their legal mandates.

 This Note presents the requests of the two (2) Accountability Officers’ 2017 – 2026 Capital Budget & Plan and acts as a reference document to accompany the 2017 – 2026 Capital Budget & Plan reports that are being submitted by the Accountability Officers directly to the Budget Committee.  The Accountability Officers' 10-Year Capital Plan provides for the tools, systems and resources required to fulfill their statutory mandates as stipulated in the City of Toronto Act and Municipal Code Chapter 3. These projects are critical to the operations of the Offices to build public trust and confidence in government. The funding requests incorporate the Accountability Officers' State of Good Repair (SOGR) capital requirements.  The Accountability Officers' capital budget requirements prior to 2011 were part of City Clerk's Office's approved capital budget, with the exception of the Auditor General's Office.  The 10-Year Capital Plan totals $1.941 million:

• Office of the Lobbyist Registrar requires debt funding of $0.871 million over the 10-

year period for Lobbyist Registry State of Good Repair (SOGR). This includes a previously-approved cash flow of $0.171 million to be carried from 2016 to 2017.

• Ombudsman Toronto requires debt funding of $1.070 million over the 10-year period

to maintain State of Good Repair of its Case Management System. This includes a previously cash flow of $0.370 million to be carried forward from 2016 to 2017.  The 10-Year Capital Plan of $1.941 million comprised of State of Repair Projects:

• Office of the Lobbyist Registrar. $0.871 million or 100% is for State of Good Repair

Projects.

• Ombudsman Toronto. $1.070 million or 100% is for State of Good Repair Project.

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2017 – 2026 Capital Plan Accountability Officers

 There will be no operating impacts to sustain capital systems for the Office of the Lobbyist Registrar and Ombudsman Toronto.  Approval of the 2017-2026 Capital Plan will address the SOGR requirements of the Accountability Offices. Page 4

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2017 – 2026 Capital Plan Accountability Officers

10-Year Capital Plan Overview

Office of the Lobbyist Registrar  The main objective of the 10-Year Capital Plan is to provide funding for the systems and the tools to support the mandate of the Office of the Lobbyist Registrar, per the City of Toronto Act, 2006 and Municipal By-Law 140.  The 10-Year Capital Plan totals $0.871 million including previously-approved cash flow of $0.171 million to be carried forward from 2016 and is fully funded by debt.  The 10-Year Capital Plan of $0.871 million is 100% for a State of Good Repair project.  There is no State of Good Repair backlog.  The 10-Year Capital Plan will have no operating impact on the 2017 Operating Budget. Ombudsman Toronto  The main objective of the 10-Year Capital Plan is to provide funding for the case management system and the tools to support Ombudsman Toronto's mandate per the City

• f Toronto Act, 2006.

 The 10-Year Capital Plan totals $1.070 million to maintain the Case Management System in a State of Good Repair condition. This includes a previously-approved cash flow of $0.370 million to be carried forward from 2016 to 2017 and is fully funded by debt.  The 10-Year Capital Plan is fully funded by debt.  The 10-Year Capital Plan is 100% for a State of Good Repair project.  There is no State of Good Repair backlog.  The 10-Year Capital Plan will have no impact on future year Operating Budgets. Page 5

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2017 – 2026 Capital Plan Accountability Officers

10-Year Capital Plan 2017 Budget, 2018 - 2026 Plan

Office of the Lobbyist Registrar

`

2017 2018 2019 2020 2021 2017-2021 5-Year Total Percent Budget Projected Actual

Gross Expenditures:

2016 Capital Budget & Approved FY Commitments 559 388 0% Recommended Changes to Approved FY Commitments 0% 2017 New/Change in Scope and Future Year Commitments 0% 2018- 2021 Capital Plan Estimates 0% 1-Year Carry Forward to 2017 171 171 171 100% Total Gross Annual Expenditures & Plan 559 559 171 171 100%

Financing:

Requested Debt 559 171 171 100% Reserves/Reserve Funds 0% Development Charges 0% ISF 0% Provincial/Federal 0% Debt Recoverable 0% Other Revenue 0%

Total Financing

559 171 171 100%

By Category:

Health & Safety 0% Legislated 0% SOGR 559 171 171 100% Service Improvement 0% Growth Related 0%

Total By Category

559 171 171 100% Yearly SOGR Backlog Estimate (not addressed by current p lan) Accumulated Backlog Estimate (end of year) Operating Impact on Program Costs New Positions 2016

2017 Requested Budget and 2017-2021 Plan

250 500 750 1,000 2016 Budget 2016 Projected Actual 2017 Rec 2018 Plan 2019 Plan 2020 Plan 2021 Plan $ 000

Requested Debt Gross Expenditure 2016 Carry Forward (into 2017)

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2017 – 2026 Capital Plan Accountability Officers

250 500 750 1,000 2022 Plan 2023 Plan $ 000

Requested Debt

2024 Plan

`

2025 Plan 2026 Plan

Gross Expenditure

Gross Expenditures: 2016 Capital Budget & Approved FY Commitments Recommended Changes to Approved FY Commitments 2017 New/Change in Scope and Future Year Commitments 2022 - 2026 Capital Plan Estimates 1-Year Carry Forward to 2017

2022 - 2026 Capital Plan

2022 2023 2024 2025 2026 2017-2026 10-Year Total Percent 700 700 171 0% 0% 0% 80% 20% Total Gross Annual Expenditures & Plan 700 871 100% Financing: Requested Debt Reserves/Reserve Funds Development Charges ISF Provincial/Federal Recoverable Debt Other Revenue 700 871 100% 0% 0% 0% 0% 0% 0% Total Financing 700 871 100% By Category: Health & Safety Legislated SOGR Service Improvement Growth Related 700 871 0% 0% 100% 0% 0% Total By Category 700 871 100% Yearly SOGR Backlog Estimate (not addressed by current plan) Accumulated Backlog Estimate (end of year) Operating Impact on Program Costs New Positions

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2017 – 2026 Capital Plan Accountability Officers

Ombudsman Toronto

`

2017 2018 2019 2020 2021 2017-2021 5-Year Total Percent Budget Projected Actual

Gross Expenditures:

2016 Capital Budget & Approved FY Commitments 530 160 0% Recommended Changes to Approved FY Commitments 0% 2017 New/Change in Scope and Future Year Commitments 0% 2018- 2021 Capital Plan Estimates 0% 1-Year Carry Forward to 2017 370 370 370 100% Total Gross Annual Expenditures & Plan 530 530 370 370 100%

Financing:

Requested Debt 530 370 370 100% Reserves/Reserve Funds 0% Development Charges 0% ISF 0% Provincial/Federal 0% Debt Recoverable 0% Other Revenue 0%

Total Financing

530 370 370 100%

By Category:

Health & Safety 0% Legislated 0% SOGR 530 370 370 100% Service Improvement 0% Growth Related 0%

Total By Category

530 370 370 100% Yearly SOGR Backlog Estimate (not addressed by current p lan) Accumulated Backlog Estimate (end of year) Operating Impact on Program Costs New Positions 2016

2017 Requested Budget and 2017-2021 Plan

250 500 750 1,000 2016 Budget 2016 Projected Actual 2017 Rec 2018 Plan 2019 Plan 2020 Plan 2021 Plan $ 000

Requested Debt Gross Expenditure 2016 Carry Forward (into 2017)

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2017 – 2026 Capital Plan Accountability Officers

250 500 750 1,000 2022 Plan 2023 Plan $ 000

Requested Debt

2024 Plan

`

2025 Plan 2026 Plan

Gross Expenditure

Gross Expenditures: 2016 Capital Budget & Approved FY Commitments Recommended Changes to Approved FY Commitments 2017 New/Change in Scope and Future Year Commitments 2022 - 2026 Capital Plan Estimates 1-Year Carry Forward to 2016

2022 - 2026 Capital Plan

2022 2023 2024 2025 2026 2017-2026 10-Year Total Percent 700 700 370 0% 0% 0% 65% 35% Total Gross Annual Expenditures & Plan 700 1,070 100% Financing: Requested Debt Reserves/Reserve Funds Development Charges ISF Provincial/Federal Recoverable Debt Other Revenue 700 1,070 100% 0% 0% 0% 0% 0% 0% Total Financing 700 1,070 100% By Category: Health & Safety Legislated SOGR Service Improvement Growth Related 700 1,070 0% 0% 100% 0% 0% Total By Category 700 1,070 100% Yearly SOGR Backlog Estimate (not addressed by current plan) Accumulated Backlog Estimate (end of year) Operating Impact on Program Costs New Positions

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2017 – 2026 Capital Plan Accountability Officers

10-Year Capital Plan Details

Office of the Lobbyist Registrar Capital Project Highlights  Lobbyist Registry SOGR The Lobbyist Registrar is responsible for promoting and enhancing the transparency and integrity of City government decision making through public disclosure of lobbying activities and regulation of lobbyists' conduct. The City of Toronto Act, 2006 s 165 requires the City

• f Toronto to maintain a lobbyist registry which is available to the public.

The Lobbyist Registry System has three major purposes:

• Lobbyists use the system to document their interactions with City Officials.
• The information is available publicly through the OLR's website and is searchable
• The information is contained in an internal operating system (IOS) which is reviewed

and managed by OLR staff. State of Good Repair of the Lobbyist Registry is required to enable the registry to continue to function, comply with statutory obligations, meet requirements of users, as well as conform to City and industry technological standards. An updated search capacity will ensure that the public can access the information in the registry. To reflect the current technology prevalence of mobile device usage replacing office computers, a mobile interface is critical to ensure that the transparency and accuracy of the registry is maintained and prevent delays in registration and reporting. In addition, the Accessibility for Ontarians with Disabilities Act requires that all applications meet the WCAG 2.0 AA accessibility standard by 2021. This project will ensure that the Lobbyist Registry application meets this requirement. Project implementation is in progress with project completion expected in the first quarter of 2017. There is no change to the project cost of $0.660 million. This project will have a previously-approved cash flows of $0.171 million to be carried forward from 2016 to 2017.  Lobbyist Registry SOGR 2023 The Lobbyist Registry will need to be refreshed to enable the registry to continue to function, comply with statutory obligations, meet requirements of users, and conform to the City and industry technology standards. This project will have a project cost of $0.700 million and will start in 2023. Page 10

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2017 – 2026 Capital Plan Accountability Officers

(In $Thousands) 2017 Req. Budget 2018 Plan 2019 Plan 2020 Plan 2021 Plan 2022 Plan 2023 Plan 2024 Plan 2025 Plan 2026 Plan 2017 - 2026 Total IT Projects Lobbyist Registry SOGR Lobbyist Registry SOGR 2023 171 700 171 700 Total 171 700 871

Project Financing The 10-Year Capital Plan of $0.871 million is to be fully funded by debt. State of Good Repair (SOGR) Backlog There is no State of Good Repair Backlog. 2017 Capital Budget by Project Category The 2017 budget request of $0.871 million is 100% related to State of Good Repair. Page 11

2017 – 2026 Capital Plan Accountability Officers

Ombudsman Toronto Capital Project Highlights  Case Management System for Ombudsman In fulfilling its mandate under the City of Toronto Act, 2006, Ombudsman Toronto investigates complaints received from the public about the administration of City government, including its agencies and corporations. It also conducts enquiries and formal investigations on its own motion of issues with broad systemic implications, and recommends improvements to City administration. The Case Management System (CMS) is Ombudsman Toronto's essential tool for managing its caseload, and for capturing and storing all complaints-related information, as well as information concerning own-motion enquiries and investigations. The information in the CMS is used to track complaints, enquiries and investigations, to identify trends, to provide referral information to staff, to generate reports (e.g., time required to resolve complaints, method of resolution, divisions complained about, issues investigated, recommendations made, etc.), to assist with the investigation of systemic issues, and to assist with management of the day to day handling of complaints. The current system needs to be upgraded to ensure that the CMS is in a state of good repair, that it meets corporate and industry standards, and that it reflects new technology

• standards. Project implementation began in 2016 with project completion expected in

2017. There is no change to the project cost of $0.530 million. This project will have a previously-approved cash flows of $0.370 million to be carried forward from 2016 to 2017.  Case Management System SOGR The Case Management System will need to be refreshed to meet the latest technology

• standards. This project will have a project cost of $0.700 million and will start in 2023.

(In $Thousands) 2017 Req. Budget 2018 Plan 2019 Plan 2020 Plan 2021 Plan 2022 Plan 2023 Plan 2024 Plan 2025 Plan 2026 Plan 2017 - 2026 Total IT Projects Case Management System for Ombudsman Case Management System SOGR 370 700 370 700 Total 370 700 1,070

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2017 – 2026 Capital Plan Accountability Officers

Project Financing The 10-Year Capital Plan of $1.070 million is to be fully funded by debt. State of Good Repair (SOGR) Backlog There is no State of Good Repair Backlog. 2017 Capital Budget by Project Category The 2016 budget request of $1.070 million is 100% related to State of Good Repair. Page 13

2017 – 2026 Capital Plan Accountability Officers

10-Year Capital Plan Incremental Operating Impact Summary

Office of the Lobbyist Registrar The 10-Year Capital Plan is anticipated to have no impacts on future year Operating Budgets. Ombudsman Toronto The 10-Year Capital Plan is anticipated to have no impacts on future year Operating Budgets. Page 14

2017 – 2026 Capital Plan Accountability Officers

PART II: ISSUES FOR DISCUSSION

10-Year Capital Plan (2017-2026) Issues

Office of the Lobbyist Registrar Not applicable. Ombudsman Toronto Not applicable. Page 15

2017 – 2026 Capital Plan Accountability Officers

Appendix 1 2016 Capital Variance Review

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Office of the Lobbyist Registrar The Office of the Lobbyist Registrar has a Capital Budget of $0.559 million in 2016 for the state

• f good repair of the Lobbyist Registry system. The projected actual at year end is $0.338

million or 69.4%. Unspent cash flows of $0.171 million will be carried forward to 2017. The project is expected to be completed in 2017. Ombudsman Toronto The Office of the Ombudsman has Capital Budget of $0.530 million in 2016 for the state of good repair of the Case Management System. The projected actual at year-end is $0.160 million or 30.3%. Unspent cash flows of $0.370 million will be carried forward to 2017. The project is expected to be completed in 2017. Page 17

2017 – 2026 Capital Plan Accountability Officers

Appendix 2 2017 Capital Budget 2018 to 2026 Capital Plan - Project Cost and Cash flows

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2017 – 2026 Capital Plan Accountability Officers

2017 Capital Budget, 2018 to 2026 Capital Plan – Project Cost and Cash Flows (in $000s)

Office of the Lobbyist Registrar

2017 2017 2015 & Previously New 2017 Total 2017 Prior Year ApprovedCash Cash Total 2016 Cash Flow Total Carry Flow Flow Cash Carry (Incl 2016 Project Forwards Commitments Req FlowReq Forwards CFwd) 2018 2019 2020 2021 2022 2023 2024 2025 2026 Cost Expenditures Lobbyist Registry SOGR 171 171 171 Lobbyist Registry SOGR 2023 700 700 Total Expenditure 171 171 700 871 Financing Debt 171 171 700 871 Recoverable Debt Other Reserves/Res Funds Development Charges

Provincial/Federal

Total Financing 171 171 700 871 Debt Target 171 171 700 871 Over (Under) Debt Target

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2017 Capital Budget, 2018 to 2026 Capital Plan – Project Cost and Cash Flows (in $000s)

Ombudsman Toronto

2017 2017 2015 & Previously New 2017 Total 2017 Prior Year Approved Cash Cash Total 2016 Cash Flow Total Carry Flow Flow Cash Carry (Incl 2016 Project Forwards Commitments Req Flow Req Forwards CFwd) 2018 2019 2020 2021 2022 2023 2024 2025 2026 Cost Expenditures Case Management System for Ombudsman 370 370 370 Case Management System SOGR 700 700 Total Expenditure 370 370 700 1,070 Financing Debt 370 370 700 1,070 Recoverable Debt Other Reserves/Res Funds Development Charges

Provincial/Federal

Total Financing 370 370 700 1,070 Debt Target 370 370 700 1,070 Over (Under) Debt Target

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