4 Report to/rapport au :

Transcription

1 4 Report to/rapport au : OTTAWA PUBLIC LIBRARY BOARD CONSEIL D ADMINISTRATION DE LA BIBLIOTHÈQUE Submitted by/soumis par : Danielle McDonald Chief Executive Officer / Directrice générale Contact Person / Personne ressource: Elaine Condos (613) x 32180, Elaine.Condos@BiblioOttawaLibrary.ca SUBJECT: Board Governance Policy Review and Development Ref N : OPLB OBJET : Le point sur l examen et l élaboration d une politique du C.A. REPORT RECOMMENDATION That the Ottawa Public Library Board approve the proposed Delegation of Authority Policy Reporting Framework; and That the Ottawa Public Library Board approve Trustees Amelita Armit, Jim Bennett, and Patrick Gauch to serve as an ad-hoc group to review the draft revised Board By-laws. RECOMMANDATION DU RAPPORT Que le C.A. de la Bibliothèque publique d Ottawa approuve le cadre de reddition de comptes visant la politique de délégation de pouvoir proposée; et Que le C.A. de la Bibliothèque publique d Ottawa approuve la constitution d un groupe ad hoc, formé de les administrateurs/administratrices Amelita Armit, Jim Bennett et Patrick Gauch, chargé d examiner les règlements provisoires révisés du C.A.

2 2 CONSEIL DE LA BIBLIOTHÈQUE BACKGROUND On November 19, 2012, the Board received the results of a governance review including a nine-point action plan. The purpose of this report is to provide an update on actions occurring in response to the action plan with a focus on Board governance policy review and development. The Governance Action Plan including status updates is provided as Appendix 1. DISCUSSION 1. Delegation of Authority Policy Reporting Framework On July 8, 2013, the Board approved a new Delegation of Authority Policy which clearly defines the decisions that are reserved by the Board and those that the CEO may make. The recommended reporting methods will be through existing quarterly financial reports and a new annual CEO s report on delegation of authority. The recommended Delegation of Authority Reporting Framework is provided as Appendix 2. In summary, decisions that will be reported through the quarterly financial reports include: Approval of general competitive and non-competitive expenditures less than $150,000; Status report on the purchase of library materials; and Approval of additional expenditures of less than 10% for amendments to previously approved projects. Decisions that will be reported through the CEO s annual report to the Board on delegation of authority include: Application for grants and other funding; Approval, amendment, extension and execution of agreements with the federal and provincial governments; and Approval, amendment, extension and execution of service agreements, contribution agreements and grant agreements.

3 3 CONSEIL DE LA BIBLIOTHÈQUE Reporting on other delegated decisions will be by exception as required. 2. Fraud and Waste Reporting Policy OPL s lack of a fraud and waste, or whistleblower, reporting mechanism was identified in the 2012 Board governance review. In consultation with the City of Ottawa s Office of the Auditor General, and the City Solicitor, a Fraud and Waste Reporting administrative policy has been developed and approved. The policy will take effect on January 1, Several actions will occur prior to implementation including staff training, internal and external communications, and development of internal procedures. The Ottawa Public Library s fraud and waste reporting mechanism will be through the City s Fraud and Waste Hotline. This linkage will be formalized in a Memorandum of Understanding between the Office of the Auditor General and OPL. 3. Revision of Board By-laws A major revision of the Board By-laws is currently under development. This review was accelerated due to identified gaps and inconsistencies in the existing by-laws. Trustees Amelita Armit, Jim Bennett, and Patrick Gauch have volunteered to serve as an ad-hoc group to review the draft Board By-laws and to provide input that will inform development of the draft procedural by-laws for Board review and approval. It is estimated that the work of the ad-hoc group can be done electronically. One meeting may be required which could be attended in-person or by teleconference. The timeframe for the work of the ad-hoc group is September - November CONSULTATION Delegation of Authority Policy Reporting Framework: The recommended framework has been reviewed with the President and CEO, Transform Management Consulting Inc., and the Library Senior Management Team.

4 4 CONSEIL DE LA BIBLIOTHÈQUE Fraud and Waste Reporting Policy: The policy was reviewed with the Deputy Auditor General, the City Solicitor, the City Manager s Office, and the Library Senior Management Team. Revision of Board By-laws: Utilization of an ad-hoc group to provide input on the revision of the Board By-laws has been discussed with the Board Chair, the President and CEO, Transform Management Consulting Inc., and the Library Senior Management Team. LEGAL IMPLICATIONS There are no legal implications to the recommendations of this report. RISK MANAGEMENT IMPLICATIONS There are no risk management implications. ACCESSIBILITY IMPACTS There are no accessibility impacts. TECHNOLOGY IMPACTS There are no technology impacts. FINANCIAL IMPLICATIONS There are no financial implications.

5 5 CONSEIL DE LA BIBLIOTHÈQUE BOARD PRIORITIES The subjects of this report are in alignment with Board-approved strategic direction Excellence in Governance, Accountability and Financial Sustainability. Requirements for a Delegation of Authority policy, Fraud and Waste Reporting policy, and revision of Board by-laws were identified as key Board initiatives for SUPPORTING DOCUMENTATION 1. Board Governance Review, November 19, Board Governance Policy Review and Development Update, May 13, Board Delegation of Authority Policy, July 8, 2013 DISPOSITION Upon approval by the Board of the ad-hoc group to review the draft revised Board Bylaws, members will be contacted by staff to assist with the review process beginning in September. The revised Board By-laws are planned to come forward for the Board s consideration at its December 2013 meeting.

6 6 CONSEIL DE LA BIBLIOTHÈQUE Appendix 1: Ottawa Public Library Board Governance Action Plan: Status Update Completed items are in italics. Ref. Action Item Status 1 Prepare a motion for the Board to consider disbanding the current committees and subsequently utilize ad-hoc groups as required. 2 Prepare a motion for the Board to consider recommending that the size of the Board be reduced to 9 members with 5 citizen representatives and 4 Councillors for Council s consideration and implementation. 3 Develop and implement a process to revise the Strategic Plan, with Board input as appropriate, that ensures the library remains relevant in the future, establishes longer term objectives, and provides a financial assessment of the resources required and the means to obtain them, for Board review and approval. 4 Develop a comprehensive Delegation of Authority policy, with Board input as appropriate, that clearly defines the decisions that are reserved by the Board and those that the CEO/Staff may make, for Board review and approval. 5 Develop, with Board input as appropriate, improved indicators of organizational performance, including objectives and metrics that focus on output, outcomes and results, and incorporate these into a monitoring process, for Board review and approval. Motion approved November 19, 2012 Motion approved November 19, 2012 Library of the Future public campaign completed; data analysis in progress Preliminary report scheduled for October 15, 2013 Board meeting; final report scheduled for December 9, 2013 Board meeting Results of Library of the Future campaign will feed into 2014 strategic planning process Delegation of Authority Policy approved July 8, 2013 Performance measurement framework approved March 18, 2013 Key performance indicators approved May 13, 2013

7 7 CONSEIL DE LA BIBLIOTHÈQUE Ref. Action Item Status 6 Review and modify, with Board input as appropriate, information provided for Board meetings to support a strategic focus. E-Agenda New Board agenda and minutes templates implemented Board e-agenda implementation estimated for Q4 7 Develop, with Board input as appropriate, a comprehensive risk management process that identifies and monitors important enterprise risks and ensures appropriate mitigation and monitoring measures are in place, for Board review and approval. 8 Develop a senior staff succession plan and continue to enhance the development of individuals. Policy Review and Development Fraud and Waste Reporting Policy has been finalized as an administrative policy; effective date is January 1, 2014 By-law Review is in progress; revised by-laws drafted; ad-hoc group to be set up to review Policy Review in 2013 work plan; action plan to be ready in Q for implementation in 2014 City of Ottawa Commemorative Naming Policy for Municipal Parks, Streets and Facilities approved for OPL use August 19, project In development Key positions have been identified. Templates to assess and identify high-performing individuals are drafted and will be finalized pending outcome/changes of the management strategic organizational review. Assessments will then be completed, with development programs established to ensure succession.

8 8 CONSEIL DE LA BIBLIOTHÈQUE Ref. Action Item Status 9 Continue to improve the ongoing development of Trustees by providing additional information and training on issues identified by the Trustees and/or Staff. Board refreshers and educational guides prepared on regular basis E-Agenda training update August 2013 Hamilton site visit planned for September 19-21, 2013

9 9 CONSEIL DE LA BIBLIOTHÈQUE Appendix 2: Delegation of Authority Reporting Framework The following table provides a summary of the proposed reporting framework for decisions delegated to the CEO. Quarterly reporting is through existing financial reports; annual reporting is through a new CEO Delegated Authority annual report. Reporting on exceptions will be done as required. Approval / Decision Board CEO 1 Reporting Frequency Purchasing and Finance 1. Transfer budget funds to, or from, the City of Ottawa. 2. Set new or modify purchasing and contracting policies. 3. Review and recommend annual Budget Estimates to City Council. 4. Approve general competitive and noncompetitive Quarterly expenditures as per the City of Ottawa Purchasing By-Law No. 50 of 2000 (as amended from time to time) including, but not limited to: Operational expenses Leases Single or multi-year tenders or contracts (including any contingencies) per vendor Settlement and lawsuit payments Software license agreements $150,000 2 <$150, Exercise approved spending authority Quarterly for library materials up to the annual approved operating and capital budgets. 6. Apply for grants and other funding Annually 1 Includes the CEO or the CEO s designate 2 Includes GST / HST and other taxes as appropriate

10 10 CONSEIL DE LA BIBLIOTHÈQUE Approval / Decision Board CEO 1 Reporting Frequency 7. Approve, amend, extend and execute agreements with the federal and provincial governments. 8. Approve, amend, extend and execute service agreements, contribution agreements and grant agreements. 9. Approve additional expenditures for amendments to previously approved projects based on the deviation from the originally approved amount. 10. Sign contracts for projects once required Board approval is obtained. 11. Approve trustee attendance at conferences and conventions. 12. Set or change prices for merchandise or services in keeping with the Revenue Generation Framework. Policies and Plans 13. Approve OPL Board policies Approve OPL Strategic Plan. 15. Approve OPL Long Range Financial Plan. 16. Approve strategic frameworks for key OPL services Approve strategic frameworks for advocacy, fundraising and major sponsorships. 18. Implement and manage the strategic frameworks for key services, advocacy and fundraising. 19. Set or modify administrative and operational policies 5. 10% <10% Annually Annually None 3 Policies to support governance will be defined by Board policy. This would include a policy determining CEO reporting requirements as per the delegation of authority. 4 Examples include Revenue Generation, Bookmobile Services, Materials Selection, Technology Roadmap 5 Administrative and operational policies include, but are not limited to: hours of operation, borrowing rules, loan periods.

11 11 CONSEIL DE LA BIBLIOTHÈQUE Approval / Decision Board CEO 1 Reporting Frequency 20. Approve naming rights recommendations. 21. Permanently close branches, modify bookmobile routes or kiosk services. 22. Temporarily close branches in keeping with the branch closure policy, temporarily modify bookmobile routes or temporarily modify kiosk services. 23. Approve sites for new branches, buildings, bookmobile stops or kiosk services. 24. Approve temporary locations for branches or bookmobile stops. 25. Approve architectural designs for new buildings. 26. Approve website designs and modifications. Human Resources 27. Recruit, compensate, dismiss the CEO; monitor and evaluate the performance of the CEO. 28. Set general compensation policies and salary levels for the organization. 29. Set the organizational structure for the organization, including the structure of departments and the number of staff, including Senior Staff. (through PSAs) (through PSAs) 30. Assess the performance of, and set salaries for individual staff. 31. Hire, appoint, promote, suspend, dismiss and manage the performance of individual staff Set bargaining mandates. 33. Negotiate collective bargaining contracts. 6 The CEO shall advise the Board of any hiring and/or dismissal of senior staff (Division Managers)

12 12 CONSEIL DE LA BIBLIOTHÈQUE Approval / Decision Board CEO 1 Reporting Frequency 34. Ratify negotiated collective agreements.