ARCHIVED - Public Sector Integrity Canada - Report

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Message from the Interim Commissioner

As Interim Public Sector Integrity Commissioner, I am pleased to present our Report on Plans and Priorities for 2011-12.

Since the inception of the Office in 2007, emphasis was placed on informing members of the federal public sector about our role and mandate to ensure a good understanding of the forms of redress available under the Public Servants Disclosure Protection Act and the protection it affords disclosers. The Office also developed investigation procedures and internal processes to guide it in its implementation of its core mandate and to provide a structure for its operation and administration as a new Agent of Parliament and a newly created small agency. A great deal of effort was also invested with various stakeholders, including government departments, in assisting them in promoting a culture of integrity in the workplace.

The findings of a recent audit conducted by the Office of the Auditor General and my appointment in late 2010 have resulted in a revisiting and reconsideration of our priorities. The audit period ended in July 2009. Since then our Office has addressed many of the concerns raised in the findings. Our focus for this fiscal year will be to complete a third party review of all closed operational case files to ensure they were carried out in compliance with our governing statute. We will take action to correct any deficiencies that are identified in each relevant file and will ensure that lessons learned related to systemic issues are well documented. We have also codified our investigative procedures built on our experience in implementing our legislation to date, as well as to ensure clarity and consistency in our processes and interpretation in the future.

We are therefore continuing our work to put in place a solid foundation to support our future success and to build trust in our organization. Among our recent accomplishments, we have designed a new corporate structure aligned to support our core investigative mandate, and are taking steps to staff senior key positions to ensure stability. We have also staffed a team of expert investigators to respond to our growing caseload and will continue to place emphasis on our investigative capacity. We have developed and will continue to fine-tune corporate policies, guidelines and procedures, based on best practices and informed by our own increasing experience. We will continue to reach out to public servants to increase their awareness of the Public Servants Disclosure Protection Act and support their confidence in coming forward with disclosures of wrongdoing and complaints of reprisal.

In addition, our priorities for 2011-12 include:

• Continuing to provide an efficient, safe and confidential disclosure mechanism, and to protect from reprisals those individuals who have filed a disclosure or participated in investigations;
• Strengthening external outreach activities throughout the federal public sector using multiple communication channels;
• Revising and enhancing the performance measurement framework.

We will continue to carry out the important mandate given to us by Parliament and address all disclosures of wrongdoing and complaints of reprisal with the integrity, professionalism and respect that those who come forward deserve and expect.

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Section I - Departmental Overview

Raison d’être and Responsibilities

The Office of the Public Sector Integrity Commissioner of Canada was set up to administer the Public Servants Disclosure Protection Act (PSDPA or the Act), which came into force in April 2007. The Office is mandated to establish a safe, independent, and confidential process for public servants and members of the public to disclose potential wrongdoing in the federal public sector. The Office also exists to protect from reprisal those public servants who have filed disclosures or participated in related investigations.

Among its other activities, the Office raises awareness and promotes open dialogue about the disclosure of wrongdoing regime in the federal public sector. Ultimately, the Office aims to support and advance the proud tradition of public sector integrity for which Canada is renowned worldwide.

The Office is currently headed by an Interim Commissioner, named for a six month period until June 2011, while a selection process is underway to appoint a new Commissioner. The appointment of a Commissioner is made by Order in Council, and as an Agent of Parliament, is approved by resolution of both Houses of Parliament. The Commissioner reports directly to Parliament, and has the rank, powers, authorities and accountabilities of a deputy head of a department or agency.

The Office has jurisdiction over the entire public sector - including separate agencies and parent Crown corporations - which numbers approximately 400,000 public servants. Under the PSDPA, members of the general public can also come to the Office with information about a possible wrongdoing in the federal public sector. However, the Office does not have jurisdiction over the Canadian Forces, the Canadian Security Intelligence Service, and the Communications Security Establishment, each of which is required under the PSDPA to establish internal procedures for disclosure of wrongdoing and protection against reprisal similar to those set out in the Act.

The Office conducts independent reviews and investigations of disclosures of wrongdoing and complaints of reprisal in a fair and timely manner. In cases of founded wrongdoing, the Commissioner issues findings and makes recommendations to chief executives for corrective action. The Commissioner exercises exclusive jurisdiction over the review, investigation, conciliation and settlement of reprisal complaints. This includes making applications to the Public Servants Disclosure Protection Tribunal, which has the power to determine if reprisals have taken place and to order appropriate remedial and disciplinary action.

The Office is guided at all times by the public interest and the principles of natural justice and procedural fairness. The Commissioner submits an annual report to Parliament, and also reports to Parliament on cases of founded wrongdoing. Special reports may also be submitted to Parliament at any time.

More information about the Office's mandate, roles, responsibilities, activities, statutory reports and the PSDPA can be found on the following website: www.psic-ispc.gc.ca.

The provision of safe disclosure mechanisms and protection for public servants against reprisal is a shared responsibility. Under the PSDPA, the Treasury Board Secretariat is responsible for establishing a Code of Conduct for the entire federal public sector, which is expected in 2011-12. Each Chief Executive is also responsible for implementing the Act within their area of jurisdiction.

Strategic Outcome and Program Activity Architecture (PAA)

The Office has one strategic outcome that guides the pursuit of its mandate and reflects the long-term benefits sought for Canadians as demonstrated in the following chart.

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Planning Summary

Financial Resources ($ thousands)

2011-12	2012-13	2013-14
6,868	5,668	5,668

 

Human Resources (FTEs)

2011-12	2012-13	2013-14
39	39	39

 

Strategic Outcome: Wrongdoing in the federal public sector is detected, resolved and reported, while public servants are protected from reprisal, resulting in a greater integrity in the workplace.

Performance Indicator	Targets
Inquiries and investigations are conducted efficiently and in accordance with the PSDPA	Review of current practices and establishment or refinement of all processes and procedures
Public servants and Canadians are aware of the role and mandate of the Office	Reach out to all federal public servants Reach out to the general public
Recognition of disclosure as a pro-social behaviour	Develop tools and best practices Implement the Outreach/Prevention Strategy
Organizational capacity meets operational requirements	Ensure appropriate resources are available for efficient operation of the Office

Financial Resources ($ thousands)

Program Activity	Forecast Spending 2010-11	Planned Spending			Alignment to Government of Canada Outcomes
		2011-12	2012-13	2013-14
Disclosure and Reprisal Management	3,116	4,632	3,432	3,432	Government Affairs
Internal Services	2,254	2,236	2,236	2,236
Total Planned Spending	5,370	6,868	5,668	5,668

Contribution of Priorities to Strategic Outcome

The Office has one strategic outcome, and all of the following operational and management priorities for 2011-12 contribute to the achievement of the strategic outcome.

Operational Priorities	Type	Links to Strategic Outcome	Description
Third party review of all past closed case files	New	Following a recent report by the Office of the Auditor General, the Office must work to rebuild trust in its activities among federal public servants and Canadians. The Office is in the process of reviewing all past case files using external resources to ensure objectivity.	External resources were contracted to review all closed case files since the creation of the Office. Based on the findings of the review, the Office will be positioned to take necessary action. Specific initiatives relating to this operational priority are listed in Section II.
Provide an efficient, safe and confidential disclosure mechanism, and protect against reprisals disclosers and persons who participate in investigations	Ongoing	Public servants continue to be reluctant to come forward with disclosures. Concerns mostly relate to the potential impact on careers, the negative perceptions relating to disclosure, the possibility of long and costly steps, the negative impact on peers and the organization, and the potential for public exposure. The Office must be seen as an efficient and trusted avenue for making disclosures and seeking protection against reprisals.	The Office plans to continue to develop and implement approaches and procedures based on new cases, improved investigative techniques, and emerging case law. A new electronic case management system will also be introduced, and case reporting to Parliament will be formalized. Specific initiatives relating to this operational priority are listed in Section II.
Revise and enhance the performance measurement framework	Ongoing	It is essential to have meaningful performance measurement information to ensure that the Office invests its resources efficiently, demonstrates its value and identifies areas for improvement.	The Office will revise its performance measurement framework aligned to its activities and in accordance with the Treasury Board Secretariat’s Management, Resources and Results Structure. Specific initiatives relating to this operational priority are listed in Section II.
Strengthen external outreach activities throughout the federal public sector using multiple communication channels	Ongoing	To build trust in the Office, public servants and other stakeholders such as Parliamentarians must clearly understand the role and mandate of the Office and the avenues available for reporting wrongdoing. Raising awareness of such avenues is an ongoing challenge.	The Office will take action to increase its visibility with public servants and stakeholders. Outreach initiatives, communications channels and partnerships will be developed and implemented. Specific initiatives relating to this operational priority are listed in Section II.

Management Priorities	Type	Links to Strategic Outcome	Description
Ensure appropriate operational capacity to facilitate workflow and sound decision-making	Ongoing	Based on the Office's experiences administering the PSDPA, it is important to ensure sufficient access to resources in support of organizational needs.	The Office will ensure key elements of its human resource plan are fully implemented, and supported by access to external expertise, as required, to supplement internal resources. Specific initiatives relating to this management priority are listed in Section II.
Provide employees with the right support to strengthen the organization	Ongoing	Employees are the foundation of an organization. The Office believes that providing the right tools and support will strengthen the organization and foster a productive and well-informed workforce.	The Office will launch various activities to ensure employees have the tools they need to efficiently do their work. Specific initiatives relating to this management priority are listed in Section II.

 

Risk Analysis

The Office has a highly visible profile due to the sensitivity of its mandate and recent media attention generated by a report of the Office of the Auditor General (OAG) in December 2010. As an Agent of Parliament, the Office operates in a highly dynamic environment that includes new and evolving expectations. The Office is addressing these challenges while continuing to provide effective services. A corporate risk profile has been developed. It identifies and assesses risks of strategic importance. Risk mitigation actions have also been identified, and these are being integrated with business planning and day-to-day program activities.

Trust in and Awareness of the Office

While awareness of the Office's role and mandate continues to be a challenge, the findings of the OAG audit and subsequent media attention may have led to a reduction in public trust in our capacity to carry out our mandate. Limited awareness and trust, in particular among public servants, can directly impact the Office's ability to achieve its mandate. Public servants are less likely to make disclosures if they do not have a clear understanding of the services available or if they lack trust that they will be adequately protected and that their concerns will be appropriately addressed. To continue to create mandate awareness and further develop confidence, the Office will continue to increase its visibility using multiple communication channels, outreach initiatives, and partnering with key stakeholders and experts. Further, the review of all past case files, which will be reported on in 2011-12, will serve to address concerns public servants and Canadians may have about the relative low ratio of disclosures and reprisal complaints to investigations in the first years of the Office's mandate.

Internal capacity

Maintaining human resources, namely through attraction, development and retention of employees with adequate competencies, skills and experience is a demanding management responsibility. The high mobility of skilled professionals and the greater impact of turnover on small organizations can create challenges for knowledge transfer, succession planning and corporate memory. To ensure that human resources are maintained and further enhanced, the Office is reviewing its positions and classifications, and conducted a gap analysis of competencies and skills in relation to operational requirements. Results of the review and gap analysis have been incorporated in the human resource management plan. New procurement mechanisms are also in the process of being implemented for facilitating the use of external contractors, thereby resulting in enhanced organizational capacity and flexibility.

Information Security

Information security is critical in the context of disclosures, investigations and the need for preserving confidentiality. Sensitive or private information must be protected from potential loss or inappropriate access in order to avoid potential litigation, damaged reputation and further reluctance in coming forward. The Office has implemented many practices aimed at ensuring the security of information, which include briefing and confidentiality agreements, random information security checks within premises, controlled access for the storage of sensitive information, and a "threat risk assessment" of information management and information technology security was conducted. A new Case Management System will also be implemented, resulting in strengthened access and security features.

Expenditure Profile

For the 2011-12 fiscal year, the Office has spending authorities of $6.9M to meet the expected results of its program activities and contribute to its strategic outcome.

* The Spending Authorities differ from the Public Accounts of Canada amounts as a result of reprofilings of $2.7M from 2007-08 to future years, and $1.2M from 2009-10 to 2011-12.

** The Actual Spending differs from the 2008-09 and 2009-10 Public Accounts of Canada. These amounts were subsequently revised based on the recommendation of the Office of the Auditor General.

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The Office's yearly actual expenditures have increased over the past four fiscal years. Spending authorities were initially allocated on the basis of the Office being at full strength from the outset, whereas the organization has developed at a more gradual pace. The Office has also achieved efficiencies through shared service arrangements for some of its corporate processes and systems, namely financial, human resources and information technology. The Office's actual spending will continue to increase as inquiries and case volumes rise.

Estimates by Vote

Estimates by Vote are presented in the 2011-12 Main Estimates which are available here: http://www.tbs-sct.gc.ca/est-pre/20112012/me-bpd/info/info-eng.asp.

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