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3. Completed Reports – 2009

Audit of the Canada Border Services Agency

A report by the Public Service Commission of Canada

October 2009

Public Service Commission of Canada
300 Laurier Avenue West
Ottawa, Ontario K1A 0M7
Canada

Information: 613-992-9562
Facsimile: 613-992-9352

© Her Majesty the Queen in Right of Canada, represented by the Public Service Commission of Canada, 2009

All of the audit work in this report was conducted in accordance with the legislative mandate and audit policies of the Public Service Commission of Canada.

Table of Contents

• Summary
• Introduction
• Focus of the audit
• Observations and recommendations
  • Human resources plans continue to evolve
    • Staffing direction and measurable performance is improving
  • Staffing practices, controls and monitoring
    • Resourcing Monitoring Framework exists and needs to be fully implemented
    • Monitoring of the Appointment Framework
    • Departmental review of appointment files signals progress in monitoring
  • Mechanisms that support adherence to the Appointment Delegation and Accountability Instrument need improvement
    • Sub-delegation authorities for non-advertised appointment processes should be clarified
    • Additional training for sub-delegated managers is needed
    • Sub-delegated managers need reliable access to human resources advice
    • More human resources advisors need to pass the Appointment Framework Knowledge Test
• Conclusion
• Overall response of entity
• About the audit
• Glossary

Summary

1. The objectives of this audit were to determine whether the Canada Border Services Agency (CBSA, the Agency) had an appropriate framework, systems, and practices in place to manage its appointment activities and to determine whether its public service appointments and appointment processes comply with the Public Service Employment Act (PSEA), the Public Service Commission of Canada (PSC) Appointment Framework, including the instrument of delegation signed with the PSC, related Agency policies and other governing authorities. This audit covered the period from January 1, 2006 to March 31, 2009.

2. The CBSA was created on December 12, 2003 and operates under Public Safety Canada. The CBSA is responsible for providing integrated border services that support national security priorities and facilitate the free flow of people and goods, including food, plants and animals, across the border. The CBSA has approximately 14 000 full-time equivalent employees and is decentralized in eight geographical regions.

3. The Agency has faced human resources challenges since its creation in 2003. Two of the principal organizations that were merged to form the CBSA were not subject to the PSEA. These organizations had to adapt their existing human resources legislative regimes to the former PSEA. When the new PSEA came into force in December 2005, the Agency had to adapt to new legislation again.

4. The Agency has been making progress in the development of its human resources plans. For the fiscal year 2006-2007, there were no approved human resources plans in place. The Agency developed a high level corporate human resources plan for 2007-2008 that identified broad staffing challenges and initiatives. The corporate human resources plan for 2008-2009 demonstrated improvement in the identification of the Agency’s challenges and initiatives. We found that human resources planning needs to improve in the areas of staffing direction and measurable performance.

5. We found that the CBSA developed a Resourcing Monitoring Framework and Plan in 2008-2009 and has conducted some monitoring activities. However, the Resourcing Monitoring Framework and Plan was not fully implemented at the time of the audit.

6. As part of its Resourcing Monitoring Plan, the CBSA conducted an appointment file review in the fourth quarter of 2008-2009 that identified deficiencies in appointments and appointment-related decisions. As a result, we recognized that an audit of the CBSA’s appointment files would be better addressed as part of a follow-up audit. Therefore, our audit effort focused on the human resources framework, including planning, monitoring, and human resources support as the underlying contributing factors of weaknesses found in the appointment files. As a result of our audit, the PSC has made recommendations pertaining to planning, monitoring and human resources support.

7. The CBSA established sub-delegation training for managers and developed a sub-delegation of authority instrument in accordance with its Appointment Delegation Accountability Instrument. It also had developed a professional development training program for human resources advisors. We found the mechanisms that the CBSA had in place to help ensure that people had the necessary knowledge and skills to carry out their appointment and appointment-related responsibilities needed improvement.

8. Despite its challenges, the Agency has made good progress in the establishment and implementation of human resources systems, practices and frameworks to help manage its public service appointment activities. Additional investment in the planning, monitoring, training and human resources support elements of its management framework is needed to improve compliance of its appointments and appointment-related decisions and to help ensure its sub-delegated managers are making decisions that respect the core and guiding appointment values. The PSC will conduct a follow-up audit within two years to address the compliance audit objective and to assess improvements made to the CBSA's appointment framework.

Introduction

9. The Canada Border Services Agency (CBSA, Agency) was created on December 12, 2003. The Agency is responsible for providing integrated border services that support national security priorities and facilitate the free flow of people and goods, including food, plants and animals, across the border. The President of the CBSA reports directly to the Minister of Public Safety Canada and controls and manages all matters relating to the Agency.

10. The creation of the Agency required merging of resources and activities from the Customs Branch of Canada Customs and Revenue Agency (CCRA); Intelligence, Interdiction and Enforcement and Port of Entry Immigration Program from Citizen and Immigration (CIC); and Import Inspection at Ports of Entry program from the Canadian Food Inspection Agency (CFIA).

11. CFIA and CCRA were not subject to the Public Service Employment Act (PSEA) as they had their own human resources legislative regimes. The integration of large components of CFIA and CCRA to create the CBSA in 2003 required an immediate shift from their separate legislative regimes to the PSEA. The Public Service Commission (PSC) established a Staffing Delegation and Accountability Agreement with the CBSA with specific provisions to enable the Agency to transition to the PSEA. The flexibilities that were granted to them helped to facilitate the transition to the current PSEA in December 2005.

12. The CBSA is a decentralized organization consisting of headquarters and eight regions. The Agency carries out its responsibilities with a workforce of approximately
14 000 employees, including over 7 200 uniformed CBSA officers who provide services at approximately 1 200 points across Canada and at 39 international locations. They manage 119 land-border crossings and operate at 13 international airports and 27 rail sites.
Sixty-one of the land-border crossings and 10 of the international airports operate on a 24/7 basis. Border Services Officers (BSO) carry out marine operations at major ports and at numerous marinas and reporting stations. The CBSA administers more than 90 Acts, regulations and international agreements, many on behalf of other federal departments and agencies, the provinces, and the territories. The Agency processed over 10 000 staffing transactions during the period of January 2006 to March 2009.

13. The CBSA has been undertaking activities that have significant human resources implications. Two of these initiatives are the Doubling-Up Initiative and the Arming Initiative. The Doubling-Up Initiative aims to ensure that BSOs across Canada do not work alone, even in remote areas. The CBSA is experiencing difficulty staffing BSOs in isolated regions and is experiencing turnover due to competition with other enforcement-type organizations.

14. In 2007, a comprehensive policy foundation related to arming was initiated. The CBSA is moving forward with the implementation of the Arming Initiative that will train and equip 4 800 officers with duty firearms over a period of 10 years. This is a major cultural change for the Agency as it must transition from a non-armed workforce to an armed one.

15. Another challenge facing the CBSA is the need to create a fully classified organizational structure. In 2008-2009, the CBSA converted 10 535 employees from the Program Administration classification group to the newly created Border Services classification group; work descriptions for this classification group were updated. Legacy CCRA job descriptions for other classification groups can still be found in the CBSA.

16. The PSEA provides the statutory basis for a merit-based, non-partisan public service that is professional, representative of Canada’s diversity and able to serve Canadians with integrity and in their official language of choice. The preamble of the PSEA articulates the core values of merit and non-partisanship and highlights the guiding values of fairness, access, transparency and representativeness in the appointment process. Appointments to and within the CBSA are governed by the PSEA and the PSC’s Appointment Framework including the instrument of delegation signed with the PSC, the related Agency policies and other governing authorities.

17. The PSC is responsible for the administration of the PSEA. This Act gives the PSC exclusive authority to make appointments to and within the public service, based on merit. It further allows the PSC to delegate its authority for making appointments to departmental and agency deputy heads. It also allows organizations to establish appointment processes according to their particular needs. Managers can initiate and approve appointment processes within their own areas of responsibility, in accordance with sub-delegated authorities. Deputy heads are accountable for adhering to the conditions of their signed instrument of delegation. The President of the CBSA had full delegation authority during the scope of the audit.

Focus of the audit

18. The objectives of the audit were to determine whether:

• The Canada Border Services Agency (CBSA, the Agency) had an appropriate framework, systems, and practices in place to manage its appointment activities; and
• Appointments and appointment processes in the Agency comply with the Public Service Employment Act (PSEA), the Public Service Commission’s (PSC) Appointment Framework, including the instrument of delegation signed with the PSC, the related Agency policies and other governing authorities.

19. This audit covered the period from January 1, 2006 to March 31, 2009. The PSC’s normal approach for addressing the compliance audit objective is to select a sample of appointment files for review during the examination phase of the audit. However, as part of the Agency’s Resourcing Monitoring Plan, the CBSA conducted an appointment file review in the fourth quarter of 2008-2009 which identified deficiencies in appointments and appointment-related decisions. As a result, we recognized that an audit of the CBSA’s appointment files would be better addressed as part of a follow-up audit. Therefore, our audit effort focused on the human resources framework, including planning, monitoring, and human resources support as the underlying contributing factors of weaknesses found in the appointment files. We will address the compliance audit objective as part of our follow-up audit.

20. Our examination work focused on Headquarters as a result of preliminary findings from the planning phase. The recruitment of Border Service Officers (BSO) was excluded from the scope of the audit due to a series of concurrent investigations of the National BSO Recruitment Program by the PSC. Recruitment of BSOs through collective staffing processes was not part of this audit.

21. For more information on the audit, please refer to the About the audit section at the end of this report.

Observations and recommendations

Human resources plans continue to evolve

22. Deputy heads are expected to ensure that appointment and appointment-related decisions made in their respective organizations are strategic and in line with current and future human resources requirements. We expected the Canada Border Services Agency (CBSA, the Agency) to have a risk-based, integrated human resources plan with measurable staffing objectives and performance. We also expected oversight of human resources planning and mechanisms to be in place to coordinate staffing decisions and actions, to identify variances from these plans and to identify areas for improvement.

23. We expected the Agency to have corporate human resources plans for each of the fiscal years in the scope of our audit. We found that human resources planning was gradually introduced into the CBSA from 2007 to 2009. Corporate and regional human resources planning commenced in 2007-2008. The corporate human resources plan was part of the Agency’s Report on Plans and Priorities and it identified some of the Agency’s human resources challenges and initiatives. The 2008-2009 corporate human resources plan demonstrated improvement in the identification of its human resources challenges. It also identified six key human resources priorities in conjunction with their business objectives. One branch, the Innovation Science and Technology Branch, established a plan for fiscal year 2008-2009. The development of human resources plans for other branches commenced for the fiscal year 2009-2010.

Staffing direction and measurable performance is improving

24. We expected the CBSA’s human resources plans at the corporate, branch or regional level to provide staffing direction on the staffing results the Agency wanted to achieve. These plans should provide high level indications of how the Agency intends to achieve these results. We also expected the CBSA to develop staffing strategies that described staffing actions that the Agency planned to take to implement the staffing direction.

25. In March 2007, the Agency identified and assessed its organization-wide risks and updated its risk assessment in March 2009. Action plans to address these risks were identified; however, the Agency did not take advantage of this information in the development of its corporate human resources plan. For example, post-secondary recruitment was identified as a staffing strategy for shortage groups such as the Economic and Social Science Services Group, chemists, biologists, and engineers. However, this staffing strategy was not incorporated into the corporate human resources plan.

26. The Public Service Commission’s (PSC) Departmental Staffing Accountability Report (DSAR) states that a human resources plan should include performance indicators and expected results for staffing. The PSC’s 2007-2008 DSAR findings for the CBSA stated that strategic level objectives related to staffing in the human resources plan were not measurable. The Agency’s corporate human resources plan for 2008-2009 indicated the action to be taken and associated measurement criteria. However, we found that the CBSA’s human resources plans continue to need improvement in measurable performance to help ensure the Agency meets its current and future needs. The plan did not clearly communicate measurable staffing strategies to implement these priorities. One of the human resources priorities identified by the CBSA was to "enhance the use of technology". However, the Agency did not define how to implement this priority. We found that this and similar statements used in the human resources plans were vague and did not clearly demonstrate how they enable the Agency to achieve its staffing objectives and measure progress.

27. The lack of strategic staffing direction and strategies can result in unplanned appointments. As an example, in October 2008, one branch was faced with the majority of 246 employees ending their acting appointments in December 2008. The branch decided to approve a non-advertised blanket extension of all 246 people in these acting situations. These positions involved a variety of classification groups and levels and varying lengths of time. This would have been less likely to occur if staffing strategies had been identified and planned for in advance.

28. The CBSA’s policy on the use of non-advertised appointment processes in other circumstances requires sub-delegated managers to demonstrate how using a
non-advertised process is consistent with the branch’s human resource plan. Given that only one branch prepared a human resources plan, sub-delegated managers in the other branches would not have been able to comply with the Agency’s policy when choosing a non-advertised appointment process.

The Canada Border Services Agency response: The CBSA has developed an integrated human resources plan for 2009-2012 that provides direction to managers and HR professionals on the key human resources management priorities that will support Agency business imperatives. As evidenced in the Agency’s 2009-2012 Human Resources Management Plan, prepared outside the scope of the audit, some staffing priorities and strategies are included and cover all of the Agency’s branches and regions. The Agency already has the tools in place to gather and synthesize this information. These strategies will be clearly articulated for managers and HR professionals through the implementation of the Plan.

As this plan is updated, the Agency will ensure it is expanded upon and encompasses all of the elements of the recommendation. More specifically, the Agency will ensure that the updated version of the 2009-2012 Human Resources Management Plan outlines staffing priorities that are linked to organizational risks and business plans, and provides staffing strategies to guide decisions on when and how to staff positions, as well as measurable expected results for staffing.

By developing measurable staffing priorities and strategies, the CBSA will ensure a stronger planning process that will inevitably strengthen its overall performance.

Staffing practices, controls and monitoring

Resourcing Monitoring Framework exists and needs to be fully implemented

29. We expected that the CBSA would monitor appointments to ensure that they respect the requirements of the Public Service Employment Act (PSEA), other governing authorities and the instrument of delegation signed with the PSC. The PSC has established the Staffing Management Accountability Framework (SMAF) with indicators to determine how delegated appointment authorities are being conducted. Deputy heads are required to demonstrate to the PSC that their organization’s staffing system meets mandatory indicators identified in the SMAF.

30. A key element of the SMAF is Organizational Accountability for Results, according to which deputy heads are expected to establish their own monitoring practices and to make improvements where deficiencies are identified. We expected organizations to conduct their monitoring program at the strategic and transactional levels. Strategic monitoring helps ensure the Agency’s staffing programs and activities are well managed, and that suitable management practices and controls are in place and working. This monitoring is an ongoing process of analyzing qualitative and quantitative information on current and past staffing results and assessing staffing management and performance including risk assessment. Oversight is also required to identify corrective action early in order to manage and minimize risk and improve staffing performance. Transactional monitoring helps ensure individual appointments and appointment-related decisions comply with the PSEA and the PSC Appointment Framework.

Monitoring of the Appointment Framework

31. We expected that the Agency would establish objectives, monitor the performance against these objectives and take the necessary corrective action when deficiencies are identified. We found that the CBSA had established a Resourcing Monitoring Framework and Plans for 2008-2009 and 2009-2010 to meet the President’s obligation to oversee the Agency’s staffing system and to make adjustments, as required.

32. The Resourcing Monitoring Framework outlines the expectations and identifies the types of activities to be conducted including a risk analysis process and a variety of cyclical and ongoing activities. The CBSA’s Resourcing Monitoring Framework outlined the expectations for how monitoring activities were to be conducted and from which their yearly monitoring plans were established. The Resourcing Monitoring Framework and Plans included the required monitoring elements according to the mandatory SMAF measures and the policy requirements of both the PSC and the Agency.

33. The President of the Agency is responsible for the framework and has a Human Resources Committee (HRC) which has a mandate of overseeing the organization and management of human resources. Therefore, we expected that the HRC would perform an active oversight role with respect to the resourcing monitoring framework. However, we did not find documented evidence that the HRC performed its monitoring role. The HRC did not ask for the quarterly monitoring reports or follow-up on the status of required action identified by the PSC in its DSAR findings. We found that the HRC’s records of decision identified staffing issues to be raised at future meetings, but follow-up of these issues were not documented in subsequent meetings.

34. We found that the Agency did not fully implement its 2008-2009 Monitoring Plan. Certain mandatory measures were not monitored even though the Agency identified them as "high risk" areas in its Monitoring Plan. We also found that the PSC, in two successive DSAR reports (2006-2007 and 2007-2008), and the Agency’s own Internal Audit Report in May 2008 recommended that the CBSA should compare actual staffing activity to planned activity. Management’s draft response to the internal audit was that their intent was to monitor the effectiveness of the human resources planning process as a whole, rather than considering variances to the staffing of individual positions. We found that this response did not fully address this recommendation.

The Canada Border Services Agency response: The CBSA agrees that its Resourcing Monitoring Framework should be fully implemented. The framework will be revised to take into account the findings of this audit and to strengthen the requirements for reporting to senior management. As part of this process, the roles and responsibilities of the Agency’s Human Resources Committee (HRC) with respect to monitoring will be reviewed and revised, as necessary. In addition, any required actions identified by the PSC in its DSAR findings will be addressed.

Also, file reviews were conducted in four of the eight regions. A summary of all of the 2008-2009 monitoring findings will be presented to senior management in the fall of 2009.

In 2009-2010, the Agency will ensure that all areas identified as "high risk" are monitored. The CBSA has already developed the tools to compare actual staffing activity to planned activity and will report on the results in its 2009-2010 DSAR.

Departmental review of appointment files signals progress in monitoring

35. We found that the CBSA did implement some components of its Resourcing Monitoring Plan. It conducted an appointment file review for the Staffing Operations Unit in Headquarters and three regions in the fourth quarter of 2008-2009. The PSC received the Agency’s draft findings for its appointment file review of the Staffing Operations Unit in Headquarters. The information we received from the Agency was based on a sample of 205 files.

36. The results from the Agency’s file review noted deficiencies in the demonstration of merit and in the guiding values of fairness, transparency, access and representativeness. For example, in one branch the Agency found appointment files where essential qualifications and conditions of employment were not fully met. At the time of the audit, the Agency had not completed the development and implementation of its action plan to rectify the problems identified through its review. Conducting appointment file reviews is a good practice that could greatly benefit other departments and agencies.

The Canada Border Services Agency response: The CBSA agrees to provide the PSC with the Agency’s action plan to address the findings of its appointment file review. The plan will describe corrective measures and other actions to be taken. It will also include a description of accountabilities, timelines and the methodology for monitoring progress made in the implementation of the action plan. The action plan will be communicated to all regions and branches in order to ensure full implementation across the Agency.

It should be noted that CBSA has been proactive in addressing the deficiencies in the demonstration of merit and in the application of the guiding values, which were found during the 2008-2009 monitoring exercise. For example, the Agency has issued information bulletins on a range of staffing issues such as non-advertised appointments identified as a result of monitoring.

Mechanisms that support adherence to the Appointment Delegation and Accountability Instrument need improvement

Sub-delegation authorities for non-advertised appointment processes should be clarified

37. The Appointment Delegation and Accountability Instrument (ADAI) identifies the appointment and appointment-related authorities being delegated, the authorities deputy heads may sub-delegate, the conditions of the delegation, and accountability. In accordance with the ADAI, deputy heads are expected to ensure that those to whom they sub-delegate are and remain competent to exercise their appointment and appointment-related authorities, have a clear description of their roles and responsibilities in relation to the sub-delegated appointment authorities, and have access to necessary training. Deputy heads must also ensure that sub-delegated employees have access to a human resources specialist whose expertise in the Appointment Framework has been validated by the PSC.

38. We found that the Agency had a sub-delegation instrument that outlined the roles and responsibilities for those who are sub-delegated in relation to the appointment and appointment-related authorities being sub-delegated to them. The criteria the Agency used to determine which positions could receive sub-delegated authority were based on the roles and responsibilities of the position, as well as the reporting relationships of the position.

39. We found that the sub-delegation instrument did not clearly identify that there was an exception requiring a higher level of delegation for non-advertised appointments. The exception, requiring vice-presidential approval, was embedded deeper in the document. The Agency found in its appointment file review deficiencies in the application of the
non-advertised appointment authorities of its sub-delegation instrument.

Additional training for sub-delegated managers is needed

40. In accordance with the ADAI, the deputy head must ensure that managers are and remain competent to carry out their delegated responsibilities. We expected that
sub-delegated managers would have received the necessary training and have access to the appropriate tools and advice to exercise their appointment authorities to ensure they have the necessary knowledge and skills to meet this condition. We found that managers have to complete the Agency’s sub-delegation training in order to obtain sub-delegated authorities.

41. Of the human resources advisors we interviewed, we found that they identified a need for additional training. The training of sub-delegated managers was conducted by a human resources advisor and it had been reduced from a one-day session to a half-day session, depending on the number of attendees and their previous knowledge and experience with staffing in the public service. However, there was no systematic analysis of how well sub-delegated managers were carrying out their sub-delegated authorities, nor was there consultation with the Agency’s Human Resources Committee to support the reduction in the length of training.

The Canada Border Services Agency response: The CBSA recognizes the need to establish an evaluation process to help identify training requirements for sub-delegated managers to ensure that those who are sub-delegated are and remain competent to exercise their appointment and appointment-related authorities.

The CBSA is currently reviewing and standardizing its sub-delegation course to ensure the delivery of consistent information throughout the Agency. This training will be approved by senior management before its implementation. In addition, the development of on-line sub-delegation courses is being researched to increase the accessibility of training to managers. The Agency will also introduce a mandatory refresher course to ensure that sub-delegated managers remain competent.

The CBSA is in the process of reviewing and revising its Staffing Sub-delegation Instrument in order to highlight, where necessary, the level of sub-delegation required for non-advertised processes and to ensure that managers clearly understand their responsibilities. Furthermore, the Agency will identify trends in the use of sub-delegated authorities by monitoring appointment files, analyzing the nature of Public Service Staffing Tribunal complaints and decisions, and discussing these matters with Human Resources Advisors in the regions. The identification of such trends will allow the Agency to target those areas of staffing where sub-delegated managers might need additional training or support.

The CBSA will also ensure that tools, training and oversight mechanisms, such as monitoring, are available to support adherence to the ADAI.

Sub-delegated managers need reliable access to human resources advice

42. Sub-delegated managers liaise with two organizations within the Agency that provide human resources services, which are Branch Management Services Units (BMSU) and the Staffing Operations Unit in Headquarters. The BMSUs provide administrative support and a coordination function between the sub-delegated manager and the human resources advisor. The Staffing Operations Unit in Headquarters provides the technical advice and guidance to sub-delegated managers.

43. We found that the documented roles and responsibilities of the BMSUs were not as clearly defined as those of the human resources advisors and sub-delegated managers. Of the human resources advisors we interviewed, they expressed concern with
sub-delegated managers going to a BMSU for staffing advice, that BMSUs were slowing down the appointment process and that human resources advisors were not involved soon enough in the appointment process. Human resources advisors also stated that BMSU staff give advice contrary to the advice of human resources advisors. Sub-delegated managers noted that human resources involvement was not proactive. Representatives from BMSUs stated that they refer the sub-delegated managers to human resources for advice on staffing matters. However, we found inconsistencies on what BMSUs consider to be staffing advice.

The Canada Border Services Agency response: The CBSA agrees that Branch Management Services Units (BMSU) and Human Resources Branch roles and responsibilities for appointment and appointment-related activities have not been clearly defined. The Human Resources Branch has been working with its various stakeholders to establish new BSMU work descriptions and is in the process of establishing a new BMSU organizational structure that will include the development of clearly defined roles and responsibilities. Significant progress has already been made (e.g. new work descriptions have been written) and the Agency expects this to be completed by end of the fiscal year 2009.

The Human Resources Branch is currently working on the development of work flow processes for all types of staffing actions for its new e-recruitment tool, which will be implemented in the next fiscal year. This new electronic tool will include a checks and balances feature that will ensure authorities are used appropriately.

A Staffing Guide for Managers is also being developed that will outline the roles and responsibilities of the various players involved in a staffing action.

In addition, the CBSA’s internal website is currently being updated to help market staffing services to managers and provide them with key information and tools to support them in meeting their human resource requirements.

The above-mentioned initiatives, as well as the training received by HR Advisors through the Personnel Administration Development and Apprenticeship Program, will ensure that the CBSA’s sub-delegated managers have timely access to appropriate human resources advice.

More human resources advisors need to pass the Appointment Framework Knowledge Test

44. Under the ADAI, deputy heads must ensure that sub-delegated managers have access to a human resources advisor whose expertise in the Appointment Framework has been validated by the PSC. The PSC validates human resources advisors through the Appointment Framework Knowledge Test (AFKT). All branches, except for one, had at least one human resources advisor assigned to them who had passed the AFKT.

45. We found that the CBSA had implemented a Personnel Administration Development and Apprenticeship Program (PEDAP) in February 2008 to help build its human resources capacity. The Agency encouraged the PEDAP participants to pass the AFKT, although the PEDAP did not require successful completion of the AFKT. Human resources advisors indicated that there was no pressure to complete the AFKT.

46. The Agency had put in place this developmental program to help ensure that it was meeting the requirement that sub-delegated managers have access to human resources advisors validated by the PSC, as set out in its ADAI. We found that, as of May 2009, 58% of human resources advisors in the Staffing Operations Unit in Headquarters had passed the AFKT.

The Canada Border Services Agency response: The CBSA agrees that the Human Resources Advisors within the staffing stream of the Personnel Administration Development and Apprenticeship Program should successfully complete the AFKT prior to graduating from this program and will modify the Program to introduce this mandatory requirement. The Agency will also ensure that all participants who have graduated since the implementation of the Program have successfully completed the AFKT. All current participants will be scheduled to write the AFKT prior to their graduating from the Program. As the testing is scheduled by the Human Resources Branch, the monitoring of this mandatory requirement will be easily achieved.

Conclusion

47. The Canada Border Services Agency (CBSA, the Agency) has been making progress in its human resources planning process and needs to improve its human resources plans in the areas of staffing direction and measurable performance. This will assist management in dealing with identified gaps to meet current and future needs.

48. The Agency developed a Resourcing Monitoring Framework in 2008-2009, which includes the mandatory monitoring as required by the Public Service Commission (PSC). the CBSA has conducted some of the monitoring activities identified in the Framework. However, the Agency needs to fully implement its Framework.

49. The CBSA established sub-delegation training for managers and developed a
sub-delegation of authority instrument in accordance with its Appointment Delegation Accountability Instrument. It also had developed a professional development and apprenticeship program for human resources advisors. We found that some areas within the training programs and the sub-delegation of authority instrument need improvement.

50. In light of the significant challenges the CBSA has undergone since its creation in December 2003, the Agency has progressed in the establishment and implementation of human resources systems, practices and frameworks to help manage its public service appointment activities. Additional investment in the areas of planning, monitoring, training and human resources support is required. This should result in improved compliance of the Agency’s appointments and appointment-related decisions and will help ensure its
sub-delegated managers are making decisions that respect the core and guiding appointment values. The PSC will conduct a follow-up audit within two years to address the compliance audit objective and to assess improvements made to the CBSA's appointment framework.

Overall response of entity

In view of the findings and recommendations brought forth in this audit, the Canada Border Services Agency (CBSA), as part of its ongoing commitment to enhance its performance, will review its staffing policies, guidelines and practices to ensure that they address the issues identified in this report.

The CBSA will be proactive and request that an internal audit of its staffing processes be scheduled. The Agency will also prepare an action plan to ensure that the audit recommendations are achieved and communicated to its HR staffing community across the country.

About the audit

Objectives

The audit objectives were:

• To determine whether the Canada Border Services Agency (CBSA, Agency) had an appropriate framework, systems, and practices in place to manage its appointment activities; and
• To determine if appointment and appointment processes in the CBSA complied with the Public Service Employment Act (PSEA), the Public Service Commission’s (PSC) Appointment Framework including the instrument of delegation signed with the PSC, the related departmental policies and other governing authorities.

Scope and approach

The audit covered the period from January 1, 2006 to March 31, 2009.

Planning work was conducted from November 2008 to March 2009. Audit activities consisted of interviews with management and staff across the Agency as well as focus groups in Headquarters, the Atlantic region and the Greater Toronto Area. Document analysis relating to human resources management and the CBSA’s monitoring practices; and review of a sample of appointment files were also carried out.

The sample of appointment files reviewed was based on an analysis of where the staffing transactions were processed, comments from senior management during preliminary interviews, and random sampling. The sample consisted of 15 appointment files from four different geographical locations (Headquarters, Windsor St. Clair, Atlantic and Pacific):

• Four advertised selection processes (three external advertised and one internal advertised); and
• Eleven non-advertised processes (two external non-advertised and nine internal non-advertised acting appointments).

Examination work was conducted from April to May 2009. Additional interviews and document analyses were performed. In the planning phase of the audit, we identified weaknesses in the CBSA’s appointment files. The CBSA was undertaking an appointment file review in the fourth quarter of 2008-2009 that identified a variety of deficiencies. As a result, we recognized that an audit of the CBSA’s appointment files would be better addressed as part of a follow-up audit. Therefore, our audit effort focused on the human resources framework including planning, monitoring and human resources support as the underlying contributing factors of the appointment file weaknesses. We will address the compliance audit objective as part of our follow-up audit.

As a result of preliminary findings from the survey phase, examination work focused on Headquarters. Headquarters processes approximately 50% of the organization’s staffing transactions and has the largest human resources unit in comparison with the regions. It also has the highest human resources-client ratio, the largest number of clients and the highest risk of turnover (both in human resources and other staff), and has branch management services.

The recruitment of Border Service Officers (BSO) was excluded from the scope of the audit due to a series of concurrent investigations of the National BSO Recruitment Program by the PSC.

Criteria

We drew the following audit criteria from the Public Service Employment Act; the Public Service Employment Regulations; the PSC's Appointment Policies; the policies established by the CBSA; the Staffing Management Accountability Framework; and the Appointment Delegation and Accountability Instrument signed by the President of the CBSA and the President of the PSC.

We expected that the CBSA would have established a management framework for appointments and appointment-related decisions which ensures that:

• Human resources planning is integrated with business planning; risks and objectives are communicated and supported by appointment-related policies and strategies;
• Agency sub-delegation authorities and policies are consistent with the PSEA and the Agency’s appointment framework; roles, responsibilities and accountabilities are understood and accepted;
• Mechanisms are in place to ensure that stakeholders have the necessary knowledge and skills to carry out their appointment-related responsibilities, to provide relevant and timely information for decision making and to facilitate decisions and actions;
• Appointments and appointment processes are monitored and assessed to identify and explain variances from plans and to identify areas for improvement; appropriate action is taken as needed; and
• Appointments and appointment processes are consistent with related planning documents and respect the core values of merit and non-partisanship and the guiding values of fairness, access, transparency and representativeness.

Audit team

Acting Vice-President, Audit and Data Services Branch:
Jean Ste-Marie

Director General, Departmental Audits Directorate:
Dena Palamedes

Director, Departmental Audits Directorate:
Darren Horne

Audit Manager:
Joyce Heenan
Gabrielle Smith

Auditors:
Cheryl Benoit-Cameron
Robert Downey
Roberto Fernandez
Najla Mir
Cathy Rodrigue
Maureen Slater

Glossary

Access (Accessibilité)
One of the guiding values of the Public Service Employment Act requiring that persons from across the country have a reasonable opportunity, in their official language of choice, to apply and to be considered for public service employment.

Acting appointment (Nomination Intérimaire)
The temporary promotion of an employee.

Appointment (Nomination)
An action taken under the Public Service Employment Act to hire or promote someone.

Appointment Delegation and Accountability Instrument (ADAI) (Instrument de délegation et de responsabilisation en matière de nomination - IDRN)
The formal document by which the PSC delegates its authorities to deputy heads. It identifies authorities, any conditions related to the delegation and sub-delegation of these authorities and how deputy heads will be held accountable for the exercise of their delegated authorities.

Appointment Framework (Cadre de nomination)
Sets out expectations for deputy heads when designing their staffing systems to ensure they respect legislative requirements and values guiding staffing in the public service. The framework has three components: appointment policy, delegation and accountability.

Appointment Framework Knowledge Test (AFKT) (Examen de connaissances sur le Cadre de nomination - ECCN)
A test developed by the PSC to assess Human Resources (HR) specialists’ knowledge of the PSC Appointment Framework and the related legislation. A condition of delegation is that deputy heads ensure that those to whom authority is sub-delegated have access to HR specialists whose knowledge of the Appointment Framework has been validated by the PSC.

Appointment policy (Lignes directrices en matière de nomination)
Under the Public Service Employment Act, the PSC can establish policies on making and revoking appointments and taking corrective action. The PSC has a number of policies on specific subjects that correspond to key decision points in appointment processes and should be read in conjunction with the Public Service Employment Regulations.

Area of selection (Zone de sélection)
The geographic, occupational, organizational and/or employment equity criteria that applicants must meet in order to be eligible for appointment that provides reasonable access to internal and external appointments and a reasonable area of recourse for internal non-advertised appointments. A national area of selection is prescribed by the PSC for certain external appointment processes.

Audit (Vérification)
An objective and systematic examination of activities that provide an independent assessment of the performance and management of those activities.

Classification (Classification)
The occupational group, sub-group (if applicable) and level assigned to a position.

Collective staffing process (Processus de dotation collective)
An approach that allows for one staffing process to fill several similar positions within or between departments and agencies, as opposed to several individual processes.

Corrective action (Mesures correctives)
A process aimed at correcting an error, omission or improper conduct that affected the selection of the person appointed in an appointment process, or to address situations where an employee has engaged in an inappropriate political activity.

Departmental Staffing Accountability Report (DSAR) (Rapport ministériel sur l'obligation de rendre compte en dotation - RMORCD)
A periodic report that organizations provide to the PSC on the management and results of their staffing operations. The DSAR asks questions based on the Staffing Management Accountability Framework and the appointment values.

Employee (Fonctionnaire)
A person employed in the part of the public service to which the PSC has exclusive authority to make appointments.

Essential qualifications (Qualifications essentielles)
Qualifications necessary for the work to be performed and that must be met in order for a person to be appointed. These include education, experience, occupational certification, knowledge, abilities and skills, aptitudes, personal suitability and official language proficiency.

External appointment process (Processus de nomination externe)
A process in which persons may be considered, whether or not they are employed in the public service.

Fairness (Justice)
One of the guiding values of the Public Service Employment Act requiring that decisions be made objectively and free from political influence or personal favouritism, that policies and practices reflect the just treatment of persons, and that persons have the right to be assessed in their official language of choice.

Fiscal year (Année financière ou exercice financier)
April 1 to March 31, for the public service.

Indicator (Indicateur)
A quantification or qualification characteristic that is measured to assess the extent to which an expected result is achieved and which is used to predict the health of the federal public service appointment system.

Internal appointment process (Processus de nomination interne)
A process for making one or more appointments for which only persons employed in the public service may be considered.

Investigation (Enquête)
An inquiry into an alleged violation of the Public Service Employment Act or the Public Service Employment Regulations.

Merit (Mérite)
One of the core values of the Public Service Employment Act. An appointment is made on the basis of merit when a person appointed meets the essential qualifications for work to be performed, as established by the deputy head, including official language proficiency. The sub-delegated manager may also take into account any current or future asset qualifications, operational requirements and organizational needs.

Merit criteria (Critères de mérite)
Essential qualifications as well as other merit criteria. Essential qualifications are those necessary for the work to be performed; they must be met in order for a person to be appointed. The other merit criteria can include any additional current or future asset qualifications, operational requirements or organizational needs, as established by the deputy head. The sub-delegated manager decides whether to apply the other criteria when making an appointment.

Non-advertised appointment process (Processus de nomination non annoncé)
An appointment process that does not meet the criteria for an advertised appointment process.

Non-partisanship (Impartialité politique)
One of the core values of the Public Service Employment Act, non-partisanship ensures that appointments and promotions to and within the public service are made free from political influence and supports the capacity and willingness of employees to serve governments, regardless of political affiliation. See also Political activity.

Organizations (Organisations)
In this report, the term "organizations" refers to federal government departments and agencies.

Post-Secondary Recruitment (PSR) (Programme de recrutement post secondaire - RP)
A program managed by the PSC, that supports organizations wanting to recruit post-secondary graduates from across the country into entry-level positions. The program has two components: a general inventory and a targeted approach through which organizations can advertise specific job opportunities or career choices.

Public service (Fonction publique)
As defined by the Public Service Employment Act, the departments named in Schedule I to the Financial Administration Act, the organizations named in Schedule IV to that Act, and the separate agencies named in Schedule V to that Act.

Recruitment (Recrutement)
Hiring from outside the public service.

Representativeness (Représentativité)
One of the guiding values of the Public Service Employment Act requiring that appointment processes be conducted without bias and without creating systemic barriers in order to help achieve a public service that reflects the Canadian population it serves.

Resourcing (Ressourcement)
External and internal appointment activities.

Staffing Direction (Les orientation en matière de dotation)
Defined as the results that the organization wants to achieve, and may include strategic or high-level indications of how the organization intends to achieve these results. It is expressed in statements from senior management in the HR plan which set expectations for staffing decisions that will likely be made.

Staffing Management Accountability Framework (SMAF) (Cadre de responsabilisation en gestion de la dotation - CRGD)
The SMAF sets out the PSC's expectations for a well-managed appointment system and the reporting requirements of deputy heads to the PSC. It serves as the basis for measuring key success factors and the achievement of results and appointment values.

Staffing Strategy (Stratégie de dotation)
A staffing strategy describes staffing actions that the organization plans to take to implement the staffing direction of senior management as stated in the HR plan. It describes the how, what and when to achieve the staffing direction.

Sub-delegated manager (Gestionnaire sugdélegué)
A person to whom a deputy head has subdelegated, in writing, the authority to exercise specific appointment and appointment-related authorities which have been delegated to the deputy head by the PSC.

Transparency (Transparence)
One of the guiding values of the Public Service Employment Act, requiring that information about strategies, decisions, policies and practices be communicated in an open and timely manner.

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Date Modified:

2009-10-09