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3. Completed Reports – 2009

Follow-up audit of the Office of the Correctional Investigator

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 follow-up audit
• Observations
  • Staffing practices have improved
  • A monitoring approach is in place
  • The Office of the Correctional Investigator’s human resources plan is aligned with operational requirements
• Conclusion
• The Public Service Commission has removed remedial measures
• About the follow-up audit
• Glossary

Summary

1. The role of the Correctional Investigator was established in 1973. The Correctional Investigator is independent of the Correctional Service of Canada and has a mandate to function as an ombudsman for federal offenders.

2. In October 2007, the Public Service Commission (PSC) tabled an audit report on the staffing activities of the Office of the Correctional Investigator (OCI). The report concluded that the majority of appointments reviewed did not comply with the Public Service Employment Act (PSEA), relevant policies and/or the appointment values. A staffing pattern existed at the OCI that gave individuals an unfair advantage in indeterminate selection processes due to prior experience at the OCI. As well, the OCI had done little preliminary work towards implementing its corporate human resources plan, and had not implemented its monitoring activities to ensure that appointment-related decisions respected the guiding values of fairness, access, transparency and representativeness. As a result of the audit, the PSC imposed a condition on the OCI’s delegated appointment authorities.

3. The objective of this follow-up audit was to determine whether the OCI had responded adequately to the PSC’s recommendations from the October 2007 audit report. The follow-up audit covered the period from October 1, 2007 to March 31, 2009.

4. Our follow-up audit concluded that the OCI has responded adequately to the recommendations made in our 2007 report. The OCI has improved its staffing systems and practices over the past two years. We found no evidence of the previous staffing pattern. We found that all appointments we reviewed were based on merit. Through the implementation of a human resources integrated plan and a monitoring approach, the OCI has created an environment that supports the PSEA’s appointment values.

5. As a result of the follow-up audit findings, which demonstrate improvement in the OCI’s staffing framework and activities, the PSC has removed the condition it imposed in 2007 on the OCI’s delegated appointment authorities.

Introduction

6. The role of the Correctional Investigator was established in 1973. The Corrections and Conditional Release Act (Part III), proclaimed in November 1992, is the current enabling legislation. The Correctional Investigator is independent of the Correctional Service of Canada (CSC) and has a mandate to function as an ombudsman for federal offenders. The Correctional Investigator may initiate an investigation on receipt of a complaint by or on behalf of an offender. In addition to addressing individual complaints, the Correctional Investigator also has the responsibility to review and make recommendations on the CSC's policies and procedures to ensure that systemic areas of concern are identified and appropriately addressed. This work is detailed in the Office of the Correctional Investigator’s (OCI) Annual Report to Parliament.

7. The Correctional Investigator of Canada is appointed by the Governor in Council and heads the OCI. The incumbent was appointed effective April 1, 2004. As of April 2009, the OCI had 24 employees, all reporting to the position of the Executive Director and General Counsel, who in turn reports to the Correctional Investigator. The majority of employees are investigative staff.

8. The OCI does not have its own corporate human resources unit. It uses the services of Public Safety Canada and of the Staffing and Assessment Services Branch within the Public Service Commission (PSC), on a cost recovery basis, for advice and services related to staffing. As of December 2008, the PSC was the sole service provider for staffing activities to the OCI.

9. In October 2007, the PSC tabled an audit report on the staffing activities of the OCI. We examined 10 appointments completed during the period from April 2004 to December 2006 and concluded that the majority of these appointments did not comply with the Public Service Employment Act (PSEA), relevant policies and/or the appointment values. Our audit revealed a staffing pattern at the OCI that gave individuals an unfair advantage in indeterminate selection processes due to prior experience at the OCI. This prior experience was acquired through casual employment, temporary help agencies, long-term acting appointments or Interchange Canada. We found that the OCI had done little preliminary work towards implementing its corporate human resources plan and had not implemented monitoring activities to ensure that appointment-related decisions respected the guiding values of fairness, access, transparency and representativeness.

10. As a result, in 2007 the PSC placed a condition on the OCI’s delegated appointment authorities. The OCI was required to submit quarterly progress reports to the PSC, which closely monitored staffing activities until it was satisfied with the integrity of the OCI’s staffing activities.

Focus of the follow-up audit

11. The objective of this follow-up audit was to determine whether the Office of the Correctional Investigator (OCI) had responded adequately to the Public Service Commission’s (PSC) recommendations in the October 2007 audit report.

12. The follow-up audit covered the period from October 1, 2007 to March 31, 2009. The follow-up audit activities consisted of interviews with the OCI’s Director of Corporate Planning and Services, senior level executives involved in staffing activities and human resources advisors at the PSC as service provider to the OCI. We examined five appointment processes that resulted in six appointments. In addition, we reviewed documents regarding staffing activities at the OCI, such as plans, policies and reports.

13. For more information, refer to the About the follow-up audit section at the end of this report.

Observations

Staffing practices have improved

14. We expected the Office of the Correctional Investigator (OCI) to ensure that every appointment and appointment process complies with the Public Service Employment Act (PSEA), other governing authorities and with the Appointment Delegation and Accountability Instrument (ADAI) signed with the Public Service Commission (PSC). We also expected that every appointment-related decision respect the core values of merit and non-partisanship and the guiding values of fairness, access, transparency and representativeness. We also expected that, when a non-advertised process is used, the rationale is on file and demonstrates how the process meets the established criteria and the appointment values.

15. We examined five appointment processes that resulted in six appointments. We examined two advertised processes that resulted in three appointments and three non-advertised processes that resulted in three appointments.

16. Section 30 of the PSEA establishes that appointments must be made on the basis of merit and free of political influence. Merit is met when the PSC is satisfied that the person to be appointed meets the essential qualifications in the Statement of Merit Criteria as established by the deputy head; and, if relevant, any other asset qualifications, operational requirements and organizational needs identified in the Statement of Merit Criteria. We found that all six appointments demonstrated that merit had been met.

17. We found that all three appointments made from advertised processes complied with the PSEA, other governing authorities and with the ADAI signed with the PSC.

18. For the three non-advertised processes made during the summer of 2008, we found that the rationales were on file, discussed values and adhered to the OCI’s criteria for the use of non-advertised appointment processes. In all three appointments, merit was met. Although the values were discussed, we found that all three appointments from the external non-advertised processes compromised staffing values. The OCI had initially conducted advertised processes that were unsuccessful. Afterwards, the OCI appointed three candidates using external non-advertised processes. We observed that for all three appointments, the linguistic profiles were altered from the initial advertised processes to match the linguistic profile of the appointed candidates. When changing this essential qualification, the OCI jeopardized the guiding values of fairness, access, transparency and representativeness because the use of non-advertised processes limited access to other potential candidates who could have applied under the initial linguistic profile. The OCI had acknowledged that this approach was done merely as an interim measure and has since improved its staffing practices.

19. For example, following the external non-advertised processes, we found that as of August 2008, the OCI had expanded its search for various linguistic profiles in its Statements of Merit Criteria in all of its advertised processes. As well, the OCI developed competency profiles for all groups and levels and used generic Statements of Merit Criteria in order to staff positions related to investigative work. This practice should allow the OCI to attract more successful candidates and create pools of qualified candidates, while respecting the guiding values.

20. We noted that the OCI still uses short-term hiring practices, such as casual employment, to deal with its backlog of complaints. The use of non-advertised processes, Interchange Canada, casuals or term arrangements is justified in the OCI’s short-term staffing strategy. We found no misuse of the Interchange Canada program for the period under review.

21. In our October 2007 report, we were concerned with the staffing pattern at the OCI. We found situations in which successful candidates who had prior experience at the OCI were given an unfair advantage in appointment processes. We found no such situations for the period under review.

A monitoring approach is in place

22. We expected the Correctional Investigator to have implemented a staffing monitoring system to assess progress achieved against planned results and to have identified and responded to areas of risk.

23. We found that the OCI had implemented a monitoring approach with both formal and informal measures in order to make better planning decisions and to respond to areas of risk. For example, the OCI is now using a position-based tracking sheet and is monitoring the status of pools of qualified candidates. The OCI is adjusting its planning accordingly to better manage risks. Furthermore, appointment-related decisions and practices are a standing item at regular management and staff meetings.

24. We expected the Correctional Investigator to ensure that a qualified human resources advisor would be accessible to sub-delegated managers to provide expert advice and to play a challenge function; and that sub-delegated managers and the human resources advisor would clearly understand their role. Like many other small organizations, the OCI relies on a larger organization for the provision of human resources services.

25. We found that the OCI had put in place a memorandum of understanding (MOU) with the PSC in December 2008 for the delivery of human resources services. In this MOU, roles and responsibilities regarding staffing were defined. Our interviews and our review of appointment files revealed that the OCI’s service provider, the PSC, provided advice and contributed to improving the OCI’s staffing system and practices, including monitoring. We also found evidence of a challenge function by the PSC. We noted that the service provider has a standardized approach to maintaining the appointment files with the use of a checklist, thus ensuring that all required documentation is on file.

26. Moreover, as a condition to its delegation, the OCI submitted quarterly progress reports to the PSC on its appointment-related decisions and progress made on the PSC’s 2007 recommendations.

The Office of the Correctional Investigator’s human resources plan is aligned with operational requirements

27. We expected the OCI to have established and implemented a human resources plan that included a staffing strategy linked to its operational and business plans and that supported a sub-delegated manager’s ability to make appointment decisions in accordance with the appointment values.

28. The OCI updated its Human Resources Integrated Plan in September 2008. This plan includes a staffing strategy. We noted that the OCI’s plan addresses most of the important issues. For further improvement, the OCI may want to consider integrating its monitoring approach with its human resources plan in order to be better informed of the progress made against its objectives.

29. We found that the OCI had made improvements to its staffing strategy. In our October 2007 report, we found that the staffing strategy pre-determined the outcome of appointment processes, specifically for appointments made using external non-advertised processes. We found no such situations for the period under review. As per its long-term staffing strategy, the OCI launched several external and internal advertised processes to create pools of candidates.

30. To avoid relying on non-advertised processes, the OCI reviewed job descriptions, developed generic Statements of Merit Criteria based on competencies and expanded its linguistic profiles.

31. The organizational structure was updated to encourage career progression and retention. The OCI recruited through student employment programs. The OCI is currently discussing establishing a developmental program pertaining to investigative work.

Conclusion

32. Our follow-up audit concluded that the Office of the Correctional Investigator (OCI) has responded adequately to the recommendations made in our 2007 report. The OCI has improved its staffing systems and practices over the past two years. We found no evidence of the previous staffing pattern. We found that all appointments we reviewed were based on merit. Through the implementation of a human resources integrated plan and a monitoring approach, the OCI has created an environment that supports the Public Service Employment Act’s appointment values.

The Public Service Commission has removed remedial measures

As a result of this follow-up audit, the Public Service Commission has removed the condition it imposed in 2007 on the Office of the Correctional Investigator’s delegated appointment authorities.

Office of the Correctional Investigator response. We are pleased with the results of the follow-up audit of the Public Service Commission (PSC), which recognizes the concerted efforts and commitment made by the managers of the Office of the Correctional Investigator (OCI) to strengthen its human resources management practices, specifically in regard to staffing and the adherence to the Public Service Employment Act and its values and principles. It is clear that we now have the strategies in place to ensure this commitment on an ongoing basis.

Although not stated in the report, we appreciate as well that the PSC recognizes the particular staffing challenges faced by OCI managers in ensuring a full complement of investigative staff in order to fulfil its important mandate. These challenges include separate employer status; the inability to second individuals from the core public administration and the concomitant reliance on Interchange Canada Agreements; the limitations of the Welfare and Programs Group; and, limited vertical mobility opportunities for staff.

About the follow-up audit

Objective

The objective of this follow-up audit was to determine whether the Office of the Correctional Investigator (OCI) had responded adequately to the Public Service Commission’s (PSC) recommendations from the October 2007 audit report.

Scope and approach

The follow-up audit covered the period from October 1, 2007 to March 31, 2009. The follow-up audit activities consisted of interviews with the OCI’s Director of Corporate Planning and Services and senior level executives involved in staffing activities and human resources advisors at the PSC as service provider to the OCI. We examined five appointment processes that results in six appointments. In addition, we reviewed documents regarding staffing activities at the OCI, such as plans, policies and reports.

Source: Audit and Data Services Branch, Public Service Commission of Canada

Criteria

We drew the following follow-up audit criteria from the Staffing Management Accountability Framework (SMAF), as well as the Appointment Delegation and Accountability Instrument signed by the Correctional Investigator and the PSC. We expected to find the following:

• the OCI has undertaken human resources planning that is integrated with business planning to enable it to identify current and future human resources needs and has a set of policies that guide the organization in its appointment processes.
• the OCI has a management framework based on the SMAF provided by the PSC. It ensures that:
  • the OCI has processes, sufficient information and human resources expertise to support timely appointment-related decision-making;
  • roles, responsibilities and accountabilities for appointment-related authorities are defined, communicated and understood by sub-delegated officials, and;
  • sub-delegated officials have received training, have access to appropriate advice and have the tools to exercise their appointment-related authorities.
• the OCI has a process to track and monitor the overall performance of the OCI’s appointments and appointment-related authorities that are consistent with planning and, when required, staffing processes, programs and practices are adjusted.
• the OCI’s appointments and appointment processes comply with the Public Service Employment Act, other governing authorities and policies and the instrument of delegation signed with the PSC.
• the OCI’s reporting requirements to the PSC and information provided in quarterly reports is accurate and reliable.

Audit team

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

Director General, Departmental Audits Directorate:
Dena Palamedes

Director, Departmental Audits Directorate:
Denise Coudry-Batalla

Audit Manager:
Jacques Lemire

Auditors:
Nathalie Crégheur
Kandice Fong
Erica Moores

Glossary

Active monitoring (Surveillance active)
An on-going process of gathering and analyzing information to assess staffing performance and provide an early indication if adjustments are required to staffing approaches.

Advertised appointment process (Processus de nomination annoncé)
When persons in the area of selection are informed of and can apply to an appointment opportunity.

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

Appointment Delegation and Accountability Instrument (ADAI) (Instrument de délégation et de responsabilisation en matière de nomination – IDRN)
The formal document by which the Public Service Commission 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.

Casual employment (Emploi occasionnel)
A short-term employment option to hire someone. Under the Public Service Employment Act (PSEA), a casual worker cannot work more than 90 working days in one calendar year in a given organization, with the exception of the Office of the Chief Electoral Officer, where, in certain circumstances, the maximum period is 165 working days in one calendar year. The provisions of the PSEA, such as the merit requirement, do not apply to casual workers.

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.

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.

Interchange Canada (Échanges Canada)
Interchange Canada is a learning and leadership development program that promotes employee assignments between the federal public service and organizations in other sectors both within Canada and internationally.

Linguistic profile (Language proficiency) (Profil linguistique)
The language requirements of a bilingual position and the proficiency level required in the second official language for reading, writing and oral interaction.

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.

Staffing activities (Activités de dotation)
Staffing activities include appointments to and from within to the public service, deployments, assignments and secondments.

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Date Modified:

2009-10-09