Building Code Commission business plan 2021–2024
Learn about our activities and plans for delivering quality dispute resolution to Ontario’s building sector
Mandate
The Building Code Commission (the “Commission”) is an adjudicative agency whose legislative authority is set out in sections 23 and 24 of the Building Code Act, 1992.
The Commission has a mandate to resolve disputes between proponents of construction projects and enforcement officials. The Building Code Act, 1992 sets out three types of disputes that can be heard by the Building Code Commission: those relating to the sufficiency of compliance with the technical requirements of the Building Code; those related to compliance with the prescribed time frames for permit processing; and those related to compliance with the prescribed time frames for site inspections. The Commission’s adjudicative decisions are made independently from the Ministry and the Government of Ontario.
In exercising its mandate, the Commission receives all its staffing and financial resources from the Building Services Transformation Branch of the Ministry of Municipal Affairs and Housing.
Guiding principles
As an agency of the Government, the Commission conducts itself according to the management principles of the Government of Ontario. The Commission’s proceedings are governed by the Statutory Powers Procedure Act, the Building Code Act, 1992, the Adjudicative Tribunals Accountability Governance and Appointments Act, 2009, the Public Service of Ontario Act, 2006, Treasury Board/Management Board of Cabinet Directives and the Building Code Commission’s Guidelines, Policies and Procedures Handbook. These principles and governance elements include ethical behaviour, accountability, excellence in management, wise use of public funds, and high quality service to the public by contributing to the health, safety, accessibility and energy efficiency of buildings in Ontario and by playing a positive role within Ontario’s design and construction sector.
The Commission has a signed Memorandum of Understanding (MOU) with the Minister relating to the exercising of its mandate. The MOU sets out the relationship between the Commission, the Minister and the Ministry of Municipal Affairs and Housing with respect to the Commission and the service it provides. The purpose of the MOU is to establish the responsibilities of these parties and to ensure that accountability is a fundamental principle that is observed in the management, administration and operations of the Commission.
Strategic direction
The strategic direction of the Commission ensures that the mandate to resolve disputes between proponents of construction projects and enforcement officials is achieved. The Commission’s strategic direction is consistent with its mandate, government priorities for the agency sector, key policies and directives.
As part of the government of Ontario, agencies are expected to act in the best interest of Ontarians by being efficient, effective and providing value for money to taxpayers. In alignment with this expectation, the Commission’s strategic direction is consistent with the following government priorities:
Transparency and Accountability
- Abiding by applicable government directives and policies and ensuring transparency and accountability in reporting.
- Adhering to requirements of the Agencies and Appointments Directive, and responding to audit findings, where applicable.
- Identifying appropriate skills, knowledge and experience needed to effectively support the board’s role in agency governance and accountability.
Risk Management
- Developing and implementing an effective process for the identification, assessment and mitigation of risks, including planning for and responding to emergency situations such as COVID‑19.
Digital Delivery and Customer Service
- Exploring and implementing digital modernization strategies for the delivery of its services on-line and continuing to meet and exceed customer service standards through transition.
- Using a variety of approaches or tools to ensure service delivery in all situations, including COVID‑19.
The Commission endeavours to provide a timely, cost effective and non-adversarial process for resolving Building Code disputes through a streamlined and accessible appeals system. In further alignment with the government’s priorities, the Commission continues to maintain its compliance with the Management Board of Cabinet’s Agencies and Appointments Directive including the completion and public posting of the business plan and annual report each year. The Commission also adheres to the government’s risk management and reporting process and maintains flexibility in responding to emergencies, including transitioning to holding remote hearings due to COVID‑19.
The Commission has earned a reputation of being an effective, useful and quality service provider within the construction industry. There are, however, certain challenges that face the Commission. In order to address these challenges and to improve its ongoing operations and client service delivery, the Commission plans to undertake the following initiatives.
Time to hearings
The Commission’s process requires input from the parties; therefore, the Commission’s ability to hold a hearing within a certain number of working days is based on the responses from the parties being received by the Commission within a specific time frame. Accordingly, the Commission decided that the performance measure should track what the Commission is responsible for, which is providing hearing dates, and filter out matters beyond the control of the Commission, such as delayed return of documents or parties being unavailable for hearing dates. The Commission’s performance measure reads, “Offer a date for a hearing to be held within 40 working days from receipt of a complete application for 85% of all hearings” and “Offer a date for a hearing to be held within 20 working days from receipt of the Respondent’s confirmation of dispute for 85% of all hearings.”
As reported in the Commission’s 2019–2020 Annual Report, the Commission met its target in both of these performance measures. The Commission offered a hearing date within 40 working days from receipt of a complete application in 100% of its cases. The Commission was able to offer a hearing date within 20 working days from receipt of the Respondent’s confirmation of dispute in 85% of its cases.
Time to written decisions
The Commission also has a performance measure target for the timely preparation and finalization of full written decisions, which reads, “Full written decision to be prepared and finalized within six months of completion of hearing for 75% of all hearings.” This performance measure was not met for the 2019–2020 fiscal year. Full written decisions for 56% of technical dispute applications were completed within six months of the hearing.
In its previous Business Plan, the Commission noted that the performance targets for preparation and finalization of full written decisions can be highly affected by changes in staff resources, number of applications and hearings held within a fiscal year.
As reported in its previous Business Plan, in order to help the Commission reach its targets for full written decisions, the Commission no longer issues partial rulings and only issues full written decisions. In addition, in the fall of 2020 the Commission launched a pilot project to help meet its performance target of providing timely written decisions. The Commission will also continue to monitor its performance measures annually, along with any factors that may impact results.
Transparency and accountability
In keeping with the government’s priority on building greater transparency and accountability, the Commission continues to comply with the accountability requirements set out in the Adjudicative Tribunals Accountability, Governance and Appointments Act, 2009. The legislation requires the Commission to review its accountability documents on a regular basis and places some additional requirements on the process for recruitment of new members. As a result of the rules contained within the Adjudicative Tribunals Accountability, Governance and Appointments Act, 2009, the Commission was required to develop a recruitment statement which details the process to be undertaken when seeking recruitment of new members. In accordance with its recruitment statement, the Commission developed a job advertisement seeking candidates for new members. This advertisement was posted on the Public Appointments Secretariat website on October 26, 2020. The competition and appointment process for the appointment of additional new members is currently underway.
Succession planning
As of December 31, 2020, the Commission has a total of 18 part-time members, including the Chair and two Vice-Chairs. All Commission members are appointed by the Lieutenant Governor in Council through an Order in Council. Management Board of Cabinet’s Agencies and Appointments Directive permits individuals appointed to the Commission to serve a combined term of appointment of up to 10 years. The current directive specifies that the appointment terms will be an initial appointment for a period of two years. On the recommendation of the Chair, the appointee is eligible for a reappointment term of three years and a final appointment term of five years.
Succession planning continues to be an appointments-related issue. Currently, 15 members’ appointments are set to expire in 2021. This trend, in which large groups of terms of appointment expire at the same time, may put the Commission at risk of not being able to fulfil its mandate if there is any lapse in appointments/reappointments.
In order to mitigate this issue, the Commission is making a recommendation to the Minister to consider changing the length of appointment terms of its members for future appointments. The Commission believes it would be ideal to have one third of its membership in its initial appointment term of two years, one third of its membership in its second appointment term of three years and one third of its membership in its final appointment term of five years. This would enable the Commission to maintain a balance of new and veteran appointees.
The Commission Chair and staff continue to work on a plan with the Minister’s Office and the Public Appointments Secretariat to seek appointments of new members more often and in smaller groups, so that their terms of appointment do not all expire at once. This strategy allows the Commission to improve succession planning; achieve appointment overlaps, allowing for knowledge transfer from existing members to newly appointed members; achieve an appropriate balance of geographical representation; promote mentoring of new members; and achieve and maintain membership having expertise in all technical disciplines (structural, fire safety, plumbing, mechanical systems, on-site sewage systems, etc.)
In addition, in trying to address the overall succession planning issue noted, the Commission Chair will continue to carefully consider what recommendations to make regarding reappointment of current members. Accordingly, not all members may be recommended for reappointment. The Commission Chair and staff will also continue to work with the Public Appointments Secretariat and the Minister’s Office to improve the existing complement of regional representation.
Annual survey
The Commission intends to continue its independent survey which assists the Commission in determining satisfaction with levels of service delivery.
Overview of key activities
The Commission’s Policy/Program Analyst-BCC is responsible for the overall administration of and policy development for the Commission, including case management and customer service to persons wishing to apply to the Commission for a hearing. The Commission’s Policy Program Analyst liaises with the Minister’s Office regarding the appointments process, issues management, business planning, performance measurement, monitoring of expenditures and ensuring compliance with agency sector requirements and Management Board of Cabinet directives.
The Commission received 36 new applications, one court referral, and held 25 hearings between April 1, 2019 and March 31, 2020. Once a hearing has concluded, the members of the panel deliberate on the evidence and render their ruling. This decision is then communicated to the parties of the hearing and the full written decision is eventually posted to a legal reporting website, CanLII, which can be found at https://www.canlii.org/en/on/onbcc/.
The Commission received the following number of applications over the previous five years:
Table 1
| Fiscal | Type of Application: Building | Type of Application: On-site Sewage System | Type of Application: Permit Processing Prescribed Time Frame | Type of Application: Site Inspection Prescribed Time Frame | Total Applications | Court Referrals | Total Hearings |
|---|---|---|---|---|---|---|---|
| 2016–2017 | 30 | 4 | 1 | 0 | 35 | 0 | 40 |
| 2017–2018 | 26 | 4 | 3 | 0 | 33 | 0 | 31 |
| 2018–2019 | 17 | 5 | 2 | 0 | 24 | 0 | 29 |
| 2019–2020 | 30 | 6 | 0 | 0 | 36 | 1 | 25 |
| 2020–2021 | 12 | 6 | 0 | 0 | 18 | 1 | 15 |
Achievements
Several steps have been taken to enhance the Commission’s performance and accountability over the past several years, including the addition of performance targets to the Ministry’s business planning process, and continued monitoring of Commission-specific performance measures in keeping with the government’s priority of enhancing customer service.
The Commission surveys its clients; survey results for the 2020–2021 fiscal year will not be received and tabulated until end of April 2021. Results are reported in the Commission’s Annual Report.
Based on the annual client survey, the Commission identified the following achievements for 2019–2020:
- Continued to provide a fair and expeditious appeal mechanism regarding technical disputes and, as a result, again faced no judicial review challenges during the 2019–2020 fiscal year.
- Continued its practice of surveying clients.
- Survey results of parties that used Commission services in the 2019–2020 fiscal year indicated that:
- 100% felt that the processes and procedures were clear and understandable.
- 90% felt that members demonstrated an appropriate level of expertise regarding the matter under consideration.
- 100% felt that they were treated with courtesy throughout the application process.
- 100% felt they were treated with courtesy at the hearing.
- 100% were satisfied with the overall quality and consistency of service provided by the Commission.
Other achievements in 2019–2020 fiscal year included:
- The Commission Chair and staff worked with the Public Appointments Secretariat and the Minister’s Office to process the appointment of two new members in keeping with the government’s priority to maintain appropriate skills, knowledge and experience needed to effectively support the board’s role in agency governance and accountability.
- In March of 2020, the Commission Chair and staff worked with the Public Appointments Secretariat and the Minister’s Office to advertise for new members.
- Seeking new members is the part of the implementation of the succession plan that has been developed to address the issue of having the terms of the majority of its members expire at the same time. This measure is in keeping with government’s priority to manage risk.
- Due to the COVID‑19 emergency, this job advertisement was suspended, and a new job advertisement was posted in October; 2020 on the Public Appointments Secretariat website and the competition is currently underway.
- On March 30th, 2020, the Commission’s Chair, Vice Chairs along with Ministry staff and legal counsel met to discuss the continuation of the BCC’s operations and delivery of services during the COVID‑19 emergency. At this meeting, the Commission decided it would accept electronic applications for hearings and proceed with scheduling hearings via telephone conferencing and video conferencing, while modifying procedures and timelines where appropriate in keeping with the government’s priority on digitizing services where possible and continuing to ensure the continuance of service delivery in all situations.
- Since adopting the operational changes above, the Commission has successfully received and processed 17 new electronic applications, one court referral, and has held 15 remote hearings during the COVID‑19 emergency.
- In keeping with the government’s priority on building greater transparency and accountability, the Commission continues to maintain its compliance with the Management Board of Cabinet’s Agencies and Appointments Directive:
- It prepared, finalized and submitted its three-year Business Plan for 2020–2023;
- Its Annual Report for 2019–2020 fiscal year was completed and approved by the Commission within the specified time frame.
- Consistent with the government’s priority of risk management, the Commission continues to monitor risks, including identifying and assessing the risks and proposing mitigation strategies which are reported in the business plan each year.
- The Commission continues to maintain compliance with the Adjudicative Tribunals Accountability Governance and Appointments Act, 2009.
- The Commission typically holds two annual meetings with the full Commission. The Commission will continue this practice as it accommodates the review and approval of accountability requirements such as the Annual Report and the Business Plan. However, due to the COVID‑19 emergency, the Commission only met once during the 2019–2020 fiscal year.
Resources
Human resources
As of December 31, 2020, the Commission has a total of 18 part-time members, including the Chair and two Vice-Chairs. All members are appointed by an Order-in-Council for terms totalling up to 10 years, in accordance with Management Board of Cabinet’s Agencies and Appointments Directive. The Chair and Vice-Chairs are responsible for agency governance and relations with the Ministry.
The following divisions of the Ministry and government cluster support the Commission in fulfilling the Agencies and Appointments Directive:
- Municipal Services Division’s Building and Development Branch
- Business Management Division’s Corporate Services Branch and Controllership and Financial Planning Branch
- Legal Services Branch
- Community Services Information and Information Technology Cluster
The direct support staff assigned by the Ministry to the Commission consists of a 1.0 Full Time Equivalent (FTE) Policy/Program Analyst-BCC.
As noted in the previous business plan, as of October 1, 2019, the Commission’s support staff was reduced from 1.8 FTEs to 1.0 FTE. The Commission will continue to monitor for any impacts.
Financial resources
The Commission has no financial budget of its own. The Commission is supported by Ministry staff. The operating expenses for this Commission are funded through the Ministry of Municipal Affairs and Housing’s budget.
The chart below provides details on the costs associated with supporting the Commission:
Table 2
| Description | 2019–2020 actuals | 2020–2021 year-to-date actuals | 2021–2022 budget | 2022–2023 outlook | 2023–2024 outlook |
|---|---|---|---|---|---|
| Members' per diems | $52,918 | $24,224 | $58,000 | $58,000 | $58,000 |
| Members’ travel/hearing expenses | $11,355 | $0 | $13,100 | $13,500 | $13,770 |
| Other administration | $12,160 | $2,912 | $8,800 | $9,000 | $9,180 |
| Subtotal | $76,433 | $27,136 | $79,900 | $80,500 | $80,950 |
| Full time equivalents (FTEs) | 1.8/1.0 | 1.0 | 1.0 | 1.0 | 1.0 |
| FTE costs (salary + benefits) | $136,670 | $78,213 | 91,000 | $94,000 | $97,000 |
| Total | $213,103 | $105,349 | $170,900 | $174,500 | $177,950 |
Note: Numbers may not add due to rounding
Revenues
A fee for filing an application to the Commission was implemented starting January 1, 2014 ($170 per application) and is set to increase annually up to the rate of the Consumer Price Index (CPI). Accordingly, the application fee increased to $192.00 on January 1, 2020. For the purposes of determining the estimated revenues for 2021–2022, a CPI increase of 0.8% was assumed and for 2022–2023 and 2023–2024, a CPI increase of 2% was assumed which resulted in fee estimates of $194.00 effective January 1, 2021, $198.00 effective January 1, 2022, and $202.00 effective January 1, 2023.
Revenues received from the application fee are recorded as part of the Ministry of Municipal Affairs and Housing’s non-tax revenues.
The chart below provides details of the revenues associated with applications to the Commission:
Table 3
| Description | 2019–2020 actuals | 2020–2021 year-to-date actuals | 2021–2022 budget | 2022–2023 outlook | 2022–2023 outlook |
|---|---|---|---|---|---|
| Revenues: application fees | $8,711 | $3,264 | $6,790 | $6,930 | $7,070 |
| Total revenues | $8,711 | $3,264 | $6,790 | $6,930 | $7,070 |
Communication plan
The agency communicates with applicants and potential applicants through appropriate publications, forms and instructions, either posted on its public Internet page or distributed on request.
Telephone and email inquiries are responded to by the Policy/Program Analyst, Building Code Commission.
Environmental scan
Conditions with impacts on the business plan
Changes in demand
The increased complexity of the applications as well as an increase in the number of applications that contain multiple disputes will influence the need for appropriately skilled Commission members and could potentially impact the administrative support system required by the Commission. It is essential that the Commission has a sufficient number of skilled members appointed to ensure that it can continue to provide Ontarians with a cost effective and efficient avenue for resolution of disputes.
The Commission continues to see an increase in the number of applications, requiring the Commission to examine and determine its jurisdiction and mandate relative to disputes that may extend beyond the technical requirements of the Building Code.
With the increase in the complexity of the applications and the increase in the number of applications that contain multiple disputes, the Commission notes that the length of time it takes to hear and resolve a dispute has also increased.
Financial implications
As part-time appointees, Commission members receive remuneration in the form of a per diem as established by Treasury Board/Management Board of Cabinet. This per diem ranges from $472 for members to $583 for the Vice-Chair and $744 for the Chair. Commission members are also reimbursed for out-of-pocket expenses associated with attending Commission hearings in Toronto. Costs and expenses associated with Commission activities, including operating costs and member per diems, form part of the overall budget for the Building and Development Branch of the Ministry of Municipal Affairs and Housing.
Any changes to the Commission’s application rate and/or complexity of disputes will also directly impact the Branch’s budget in support of Commission activities.
Performance measures and targets
The Commission has adopted the recommendations for performance measurement established by the Agency Reform (Guzzo) Commission. These are: fairness, accessibility, timeliness, quality and consistency, transparency, expertise, optimum cost, and courtesy. While not all of the goals were rated as “high” priorities for the Commission, processes are in place to ensure that all goals are integrated into the Commission’s operation and are, therefore, adequately addressed. The table below indicates how the Commission ranked the goals:
Table 4
| Goals | Ranking |
|---|---|
| Fairness | High |
| Accessibility | Low |
| Timeliness | High |
| Quality and Consistency | Medium |
| Transparency | High |
| Expertise | High |
| Optimum Cost | Low |
| Courtesy | High |
*It should be noted that the term “Accessibility” for the purposes of the performance measurement recommendations of the Agency Reform Commission was related to providing seamless and simple access to dispute resolution, so that the public can receive quality and timely services regardless of their familiarity with the system.
Table 5
| Outcomes | Measures | Targets | 2019–2020 status | 2021–2024 commitments |
|---|---|---|---|---|
| Fairness (processes and procedures that are fair and are seen to be fair) | Parties* are satisfied that the process was implemented fairly and without bias | Not more than 10% of hearings should result in judicial review on an annual basis | Target met. There were no judicial reviews in 2019–2020 | Fairness (processes and procedures that are fair and are seen to be fair) |
| Timeliness (quick resolution of technical construction disputes) | a) Number of working days from application to offer hearing date b) Number of working days from receipt of Respondent’s confirmation of dispute to offer hearing date c) Timely communication of decision *d) Timely preparation and finalization of full written decision e) Timely posting of final written decisions online within 10 working days of completion of the French translation | a) Offer a date for hearing within 40 working days from receipt of complete application for 85% of all hearings b) Offer a date for hearing within 20 working days from receipt of Respondent’s confirmation of dispute for 85% of all hearings c) Communicate decisions to parties within 15 working days of completion of hearing for 75% of all hearings d) Prepare and finalize full written decision within six months of completion of hearing for 75% of all hearings e) Post 85% of final written decisions online within 10 working days of completion of the French translation | a) Target met. A hearing date was offered within 40 working days of receipt of complete application for 85% of all hearings b) Target not met. A hearing date was offered within 20 working days of receipt of Respondent’s confirmation of dispute for 80% of all hearings due to the COVID‑19 outbreak and postponement of hearings in March c) Target met. Communicated decisions to parties within 15 working days of completion of hearing for 100% of all hearings d) Target not met. Full written decisions were prepared and finalized within six months of completion of hearing for 56% of hearings (see note below) e) Target not met. 57% of full written decisions that were prepared and finalized were posted online within 10 working days of completion of the French translation (see note below) | a) Offer a date for hearing within 40 working days from receipt of complete application for 85% of all hearings b) Offer a date for hearing within 20 working days from receipt of Respondent’s confirmation of dispute, for 85% of all hearings c) Communicate decisions to parties within 15 working days of completion of hearing for 75% of all hearings d) Prepare and finalize full written decision within six months of completion of hearing for 75% of all hearings e) Post 85% of final written decisions online within 10 working days of completion of the French translation |
| Timeliness (quick resolution of disputes related to prescribed time frame) | a) Timely acknowledgement and notification of hearing date b) Timely scheduling of hearing date c) Timely communication of decision d) Timely preparation and finalization of full written decision e) Timely posting of final written decisions online within 10 working days of completion of the French translation | a) Acknowledge receipt of complete submission and provide date for appeal hearing within two business days b) Hear appeals regarding the issuance of municipal building permits and inspection service levels within five business days of receiving the completed application c) Communicate decisions within 15 business days of receiving the completed application d) Prepare and finalize full written decisions within six months of completion of hearing for 75% of all hearings e) Post 85% of final written decisions online within 10 working days of completion of the French translation | a) Not applicable as no prescribed timeframe appeals were received this fiscal b) Not applicable as no prescribed timeframe appeals were received this fiscal c) Not applicable as no prescribed timeframe appeals were received this fiscal d) Not applicable as no prescribed timeframe appeals were received this fiscal e) Not applicable as no prescribed timeframe appeals were received this fiscal | a) Acknowledge receipt of complete submission and provide date for appeal hearing within two business days b) Hear appeals regarding the issuance of municipal building permits and inspection service levels within five business days of receiving the completed application c) Communicate decisions within 15 business days of receiving the completed application d) Prepare and finalize full written decisions within six months of completion of hearing for 75% of all hearings e) Post 85% of final written decisions online within 10 working days of completion of the French translation |
| Quality and consistency (process and procedures that have integrity and uniformity) | Parties are satisfied that the Commission process was conducted with a high degree of quality and consistency | 85% of parties feel that the process had a high degree of quality and consistency | Target met. 2019–2020 survey results indicate 100% of parties felt that the process had a high degree of quality and consistency | 85% of parties feel that the process had a high degree of quality and consistency |
| Transparency (clear and understandable process and procedures) | Parties are satisfied that the Commission’s process and procedures were clearly understood | 85% of parties feel that the process and procedures were clear and understandable | Target met. 2019–2020 survey results indicate 100% of parties felt that the process and procedures were clear and understandable | 85% of parties feel that the process and procedures were clear and understandable |
| Expertise (thoughtful and sound BCC decisions made due to technical competence of members) | a) Parties are satisfied that the Commission members demonstrated an appropriate level of knowledge and technical competency b) Timely notice to the ministry regarding upcoming BCC member terms of appointment expiration | a) 85% of parties feel that the members were experts in the subject matter of the hearing b) Provide four months’ notice to the ministry in advance of members’ appointments expiring | a) Target met. 2019–2020 survey results indicate 90% of parties were satisfied that members were experts b) Target met. The ministry was provided with four months’ notice in advance of member appointments expiring in the fiscal year 2019–2020 | a) 85% of parties feel that the members were experts in the subject matter of the hearing b) Provide four months’ notice to the ministry in advance of members’ appointments expiring |
| Courtesy (polite and courteous treatment of all parties) | Parties are satisfied that they were treated with courtesy throughout the application process and at a hearing | 85% of parties surveyed feel that they were treated with courtesy throughout the application process and the hearing | Target met. 2019–2020 survey results indicate that 100% of parties felt that they were treated with courtesy by Commission staff throughout the application process and 100% felt that they were treated with courtesy by the Commission members at the hearing | 85% of parties feel that they are treated with courtesy throughout the application process and the hearing |
*The Commission notes that in the third quarter of the 2019–2020 fiscal year, the Commission saw an increase in the number of applications, having received approximately 44% of the annual reported caseload during this period. Additionally, in the third quarter, on October 1, 2019, the number of personnel supporting the Commission was reduced to 1.0 FTE.
Risk assessment
Based on the Commission’s strategic directions and objectives, one risk to performance has been identified.
Mitigation strategies (including contingency plans, mitigation controls and monitoring where required as part of prudent risk management protocols) are identified. Planning is required to address these issues and will be scheduled.
The Reference Impact and Probability Matrix used in this assessment is shown below:
Risk impact and probability matrix
| High impact | Mitigation controls / contingency plans | Mitigation controls / contingency plans; monitor closely | Take urgent remedial action; monitor rigorously |
| Medium impact | Tolerate; monitor | Mitigation controls / contingency plans | Mitigation controls / contingency plans; monitor closely |
| Low impact | Tolerate; on action | Tolerate; monitor | Mitigation controls / contingency plans |
| N/A | Low probability | Medium probability | High probability |
Risk #1: Lack of knowledge transfer/succession planning impacting commission
Issue:
Succession planning continues to be an important issue for the Commission.
Insufficient overlap between sitting members whose terms are nearing expiration, and newly appointed members, has in the past resulted in a disproportionate load on some of the more experienced members. Newly appointed members are unfamiliar with Commission processes. Ideally, not more than 33% of members should retire from the Commission in any given year. This allows for gradual phasing in and out of members and maintains a balance of veteran and newer members. The Commission has expressed an interest in having more overlap between sitting members and newly appointed members.
Probability: Low
The Commission Chair and staff continue to work with the Minister’s Office and the Public Appointments Secretariat to seek appointments of new members more often and in smaller groups, so that their terms of appointment do not all expire at once.
The Commission believes it would be ideal to have one third of its membership in its initial appointment term of two years, one third of its membership in its second appointment term of three years and one third of its membership in its final appointment term of five years. This would enable the Commission to maintain a balance of new and veteran appointees.
Staggering of appointment terms would allow the Commission to transition new members in with the opportunity for transfer of knowledge from experienced members to new members. Once appointment terms are staggered, the risk will be significantly reduced. However, the risk will fluctuate in severity depending on the status of appointments and will be an ongoing issue for the Commission.
Impact: Medium
Extensive simultaneous changes in Commission membership can result in a disproportionate workload on some members and can create difficulty in determining the appropriate composition of a hearing panel. Newer members, while they may be technically experienced, ideally should be phased into hearings to learn the processes of the Commission.
Tolerate and monitor:
While the risk matrix above indicates that the Commission can tolerate and monitor the risk, the Commission intends to follow the mitigation strategy outlined below. This risk will be ongoing for the Commission, and the probability and impact will fluctuate depending on the circumstance at the time of assessing the risk. It seems prudent for the Commission to continue to mitigate the risk as best as it can.
Mitigation:
Advertisements for new Members were posted on the Public Appointments Secretariat’s website in June of 2019 and following a competitive, merit-based process two new Members were recommended and appointed to the Commission in 2020.
In March 2020, a second advertisement was posted on the Public Appointment Secretariat’s website seeking to fill vacant member positions. As a result of the COVID‑19 emergency, this competition was cancelled, and a new job advertisement was posted on October 26, 2020 seeking new members. The screening and interview process of eligible candidates is currently underway.
In seeking appointments of new members more often and in smaller groups, the Chair, the Commission and Ministry staff are working towards addressing the overall succession planning issue.
This strategy will allow the Commission to improve succession planning; achieve appointment overlaps, allowing for knowledge transfer from existing members to newly appointed members; achieve an appropriate balance of geographical representation; promote mentoring of new members; and achieve and maintain membership having expertise in all technical disciplines (structural, fire safety, plumbing, mechanical systems, on-site sewage systems, etc.).
Contingency plan:
The Commission Chair and Ministry staff will continue to make it a priority to work with the Minister’s Office and the Public Appointments Secretariat on recruitment to achieve appointment overlaps that improve succession planning, allowing for knowledge transfer from existing members to newly appointed members, and promoting mentoring of new members.
Risk #2: Impact of reduction in staffing resources on the Commission and its performance targets
Issue:
The Commission is concerned that current staff resources may impact its ability to meet its performance targets.
Probability: Medium
The Commission believes that current level of staff resources may negatively impact its ability to meet the performance targets it has set related to application processing; timely scheduling of hearings and issuance of full written decisions.
Impact: High
The Commission is appreciated by the construction industry as an efficient and cost-effective way to resolve disputes. The Commission is concerned that current staff support may result in parties to a dispute experiencing delays in processing applications, timely scheduling of hearings and/or issuance of full written decisions.
Tolerate and monitor:
The risk matrix above indicates that the Commission will have to develop mitigation controls and contingency plans that need to be monitored closely. This risk is relatively new so the Commission will continue to monitor. The Commission intends to follow the mitigation strategy outlined below.
Mitigation strategy:
As part of its mitigation strategy, the Commission launched a pilot project in the fall of 2020 to help meet its performance target of providing timely full written decisions. The Commission will closely monitor and review the results from the pilot project. The Commission will also continue to work with staff on developing action plans to mitigate issues as they arise to the best of its ability, while closely monitoring for any impacts on the Commission’s mandated responsibilities and its performance measures. The Commission Chair will work with the Ministry to resolve any issues that arise.
Contingency plan:
The Commission will continue to process its applications, hold its hearings and issue its full written decisions as quickly as possible. The Commission notes that it has no control over the number of staffing resources it is assigned and so it can only make recommendations to the Ministry on possible ways to address the issue.
Footnotes
- footnote[**] Back to paragraph The Commission’s fiscal year runs from April 1 to March 31.
- footnote[****] Back to paragraph Two motions were referred to the Commission by the Superior Court of Justice in 2015–2016, resulting in seven additional hearing days in 2016–2017 and four additional hearing days in 2017–2018. In 2019–2020, another application was referred to the Commission by the Superior Court of Justice, resulting in an additional hearing day in 2019–2020.
- footnote[***] Back to paragraph Actual figures for 2020–2021 exclude the full year. They cover the period from April 1, 2020 to December 31, 2020. The results for the financial year 2020–2021 will be included in the next business plan as well as in the Commission's 2020–2021 annual report.
- footnote[1] Back to paragraph The Commission’s fiscal year runs from April 1 to March 31. The actuals for 2019–2020 cover the period from April 1, 2019 to March 31, 2020.
- footnote[2] Back to paragraph The actuals for 2020–2021 do not reflect the entire fiscal period. The numbers are actuals that cover the period from April 1, 2020 to December 31, 2020.
- footnote[3] Back to paragraph The number of meetings is determined by the application rate. Member per diem compensation rates are established by the Management Board of Cabinet’s Agencies and Appointments Directive applying to part-time OIC appointed members. The expenditure estimates for 2021–2022 and ongoing are based on an estimated application rate (using historical data and projecting forward) and the current Member per diem compensation rates.
- footnote[4] Back to paragraph The operating expenses cover costs associated with hearings, per diems for Commission members and reimbursement for out-of-pocket travel expenses related to hearings, including hotel accommodations, meal allowances (to the maximum allowed through the Travel, Meals and Hospitality Expenses Directive), parking and public transit. Due to the COVID‑19 emergency, hearings and meetings have been held remotely since March 31, 2020 and therefore, no travel expenses are reported.
- footnote[5] Back to paragraph From April 1, 2019 to September 30, 2019, the Commission was supported by 1.8 FTEs. From October 1, 2019 onwards, it is supported by 1.0 FTE.
- footnote[6] Back to paragraph The Commission’s fiscal year runs from April 1 to March 31. The actuals for 2019–2020 cover the period from April 1, 2019 to March 31, 2020.
- footnote[7] Back to paragraph The actuals for 2020–2021 do not reflect the entire fiscal period. The numbers are actuals that cover the period from April 1, 2020 to December 31, 2020.
- footnote[8] Back to paragraph Estimated revenues for 2020–2021 and ongoing are based on an average of 35 applications per year and at the prevailing rate at the start of the fiscal year. Applications fees were established on January 1, 2014 and set to increase annually up to the rate of the Consumer Price Index.