Appendix C1 - Benchmark Index by Function - Audit and Evaluation

Executive Group Benchmark - Number: 8-J-1

POSITION TITLE: Director General, Audit and Ethics

GENERAL ACCOUNTABILITY

Is accountable for providing corporate leadership and management of the Department's internal audit and evaluation management functions, fraud investigations and internal disclosure processes; promoting ethical practices and behaviours; and directing, on the Minister's behalf, the activities of the Contract Dispute Advisory Board.

ORGANIZATION STRUCTURE

The position is 1 of 14 at the first managerial level reporting to the Deputy Minister. The others are the Assistant Deputy Minister, Operations; Assistant Deputy Minister, Banking and Cash Management; Assistant Deputy Minister, Acquisition Program; Assistant Deputy Minister, Telecommunications and Informatics; Assistant Deputy Minister, Real Property Program; Assistant Deputy Minister, Corporate Policy and Infrastructure; Chief Executive Officer, Translation Bureau; Chief Executive Officer, Consulting and Audit Canada; Assistant Deputy Minister, Human Resources; Director General, Communications; Executive Director, Strategic Review Group; Senior General Counsel; and Chief of Staff.

Specific functions of the positions reporting to the Director General, Audit and Ethics, are as follows:

Director, Internal Audit and Evaluation, (staff of 37) is responsible for directing the development and implementation of policies, procedures and standards; managing a comprehensive program of audit, evaluation and review to actively monitor the economy, as well as the efficiency, effectiveness and relevance of all business lines; and supporting an integrated business approach to Branch functions.

Director, Fraud Investigation and Internal Disclosures, (staff of 9) is responsible for directing the implementation and management of policies, procedures and processes to support internal disclosure of wrongdoing in the workplace; and directing investigations into and reporting on occurrences of alleged fraud or other wrongdoing, including conflict-of-interest situations.

Director, Ethics Development Office, (staff of 5) is responsible for providing leadership in developing, implementing and directing the management of policies, programs and initiatives that promote the awareness of ethical practices and behaviours in order to ensure that these values and behaviours are reflected in the Department's management practices.

Director, Contract Claims Resolution Board, (staff of 3) is responsible for planning, developing and implementing policy frameworks and dispute resolution services, including managing the Contract Dispute Advisory Board, in order to resolve suppliers' claims against the Crown for monetary compensation that arise from terminated or completed contracts administered by the Department.

Director, Knowledge Management, Strategies and Best Practices, (staff of 7) is responsible for providing leadership in developing best practices and expertise in the Branch to ensure that it has the necessary quality-assurance and improvement programs, and knowledge management processes, and the necessary tools to deliver the highest quality of services, consistent with the principles of modern comptrollership.

NATURE AND SCOPE

The Department has been established as a common and central service provider with a mandate to provide departments and agencies with mandatory and optional services on a fee-for-service basis. Services include construction, maintenance and repair of public works and federal real property; office accommodation and related facilities services; architectural and engineering advice and services; planning and acquisition of supplies and services; planning and coordination of telecommunications and informatics services; centralized accounting and cash management services; consulting and auditing services; translation and related services; the Receiver General for Canada function; and administrative and other services in relation to employee benefits, superannuation and pension plans, and the disbursement of pay to Public Service of Canada employees.

The Director General provides corporate professional leadership by ensuring the integrity of the Department's staff, policies and practices through the development and application of a policy framework, methodologies and policies for an active monitoring audit and evaluation program. The incumbent is called upon to ensure the prudence, probity, economy, efficiency and effectiveness of the Department's strategic goals and objectives, management policies and practices, control systems, investment and business strategies, computer systems development and implementation, and organizational designs. The incumbent ensures that the Department's audit, evaluation and review activities contribute to the government's initiative to introduce a modernized approach to comptrollership across the Public Service.

The Director General advises the Deputy Minister and senior departmental officials on the efficiency, effectiveness and economy of all departmental programs and services, and on the degree to which departmental programs are achieving results. The incumbent manages client satisfaction surveys, assessments of employee motivation, benchmarking, comparative analyses on the delivery of services in the private sector or by other governments, and evaluations of the quality of services provided; and assists departmental business lines in developing performance indicators to monitor their efficiency and effectiveness.

The range of the Department's activities, providing common and central services to more than 100 federal departments and agencies across Canada, poses significant managerial challenges for the incumbent. The Director General must assess and report on each of the Department's program areas. The incumbent must be able to effectively discuss and resolve, with senior program managers, critical issues arising out of the audit and evaluation process and ensure that appropriate management action plans are developed in order to address the recommendations contained in audit and evaluation reports.

As the Senior Departmental Ethics Officer, the Director General provides corporate leadership in developing and implementing a comprehensive policy approach, strategies, initiatives and programs in order to increase the awareness of ethical behaviour of employees at all levels in the organization.

The Director General is responsible for providing leadership and overseeing the activities related to the settlement of contractual disputes. The incumbent provides professional advice and support to the Minister with respect to the approaches, processes and recommendations required for the Contract Dispute Advisory Board. The incumbent also serves as the departmental focal point for developing and implementing alternative dispute resolution mechanisms.

As the Senior Departmental Officer, Internal Disclosure, the Director General is responsible for ensuring that the appropriate policies, standards and procedures are in place and that all losses of money and allegations of unethical behaviour, offences of fraud or other wrongdoing, and conflict of interest on the part of public servants, contractors or suppliers are fully investigated and reported.

The Director General is a full participant in numerous departmental committees and subcommittees, and plays an active role in determining the Department's strategic directions. The incumbent is frequently called upon to represent the Department in a number of fora across Canada. The Director General maintains effective relations with senior officials of the Office of the Auditor General and the Commissioner of the Environment and Sustainable Development, the Treasury Board Secretariat, the Office of the Chief Information Officer and other government departments. The incumbent has contact, both nationally and internationally, with other levels of government, as well as with senior representatives of industry and academic institutions.

DIMENSIONS (Constant Dollars)

	Branch	Department
FTEs:	62	12,734
Operating budget:	$1.0 million	$539 million

SPECIFIC ACCOUNTABILITIES

1. Develops and implements long-term plans, strategies, initiatives and programs designed to promote positive changes in both the Department's management practices and the behaviours of all departmental employees.
2. Provides leadership to ensure that the appropriate departmental management review and audit systems and procedures are in place in order to effectively assess management strategies, practices and risk control frameworks, to ensure the economic and effective delivery of programs and services, and to instil ethical business behaviours.
3. Produces annual plans for the audit, evaluation and review of departmental programs and management processes, in keeping with modern comptrollership principles, policies and practices, acceptable to the Deputy Minister and the departmental Audit and Review Committee.
4. Directs a departmental dispute-resolution settlement service and coordinates the activities of the Contract Dispute Advisory Board.
5. Directs the development and renewal of appropriate policies, standards and procedures to ensure that all losses of money and allegations of unethical behaviour, and offences of fraud or other wrongdoing on the part of public servants, contractors or suppliers are fully investigated and reported.
6. Directs Branch staff to ensure the resources assigned are used in an efficient and effective manner.

EVALUATION RATIONALE

Director General, Audit and Ethics

KNOW-HOW

G	Mastery of the theories, principles and techniques of program evaluation, internal auditing, fraud investigation, contract claims resolution and ethical business practices; and in-depth knowledge of departmental policies, programs and objectives, and optional service-costing mechanisms.
III	Operational management of several departmental level activities with different objectives and end results.
3	Successful achievement of the position's objectives requires taking a professional leadership role in promoting new management processes and cultural change in the business practices at all levels of the organization, as well as directing and motivating staff.
800	Highest number reflects the breadth of the position's mandate, which goes beyond traditional audit and evaluation program activities at the departmental level, and recognizes the significant depth of knowledge required to evaluate and recommend improvements to the Department's multiple and independent business lines.

PROBLEM SOLVING / THINKING

G	Thinking within broadly defined policies, principles and objectives is required to determine evaluation and audit methodologies in order to ensure prudence, probity, economy, efficiency and effectiveness of departmental business practices and solutions to unique supplier complaints.
4	Evaluative thinking is required to identify and investigate potential fraud, wrongdoing or unethical activities and to make recommendations to resolve suppliers' claims against the Crown. Analytic and constructive thinking is required to prepare policy frameworks and conduct strategic analysis; to analyse the results of audit and evaluation reports and recommend changes to solve problems; and to adapt audit and evaluation methodologies.
(57) 460	Solid percentage reflects the challenges associated with developing strategic plans and management frameworks for the Department, including the introduction of new and innovative business methods and the resolution of contracting disputes.

ACCOUNTABILITY / DECISION MAKING

G	Reporting to the Deputy Minister, is accountable for directing all review, audit, ethics, fraud awareness and dispute resolution programs; provides information and recommends changes and improvements to departmental programs and services; and makes recommendations to the Minister on contract dispute matters.
5C	The position has a contributory impact on the operations of the Department. The proxy selected to represent these activities is an annual departmental program expenditure budget of $539 million (constant).
528	Low number reflects the tendency toward an indirect influence in that the position is one of several senior-level positions with input into long-term departmental program decisions, including program structure and resource allocation matters.

SUMMARY

GIII3

800

G4(57)

460

G5C

528

=

1788

A1

DIRECTOR GENERAL
AUDIT AND ETHICS
NUMBER: 8 - J - 1