OCOL 2009 Audit of HR Management

2/26/2019 Audit of Human Resources Management Practices 2009 | Office of the Commissioner of Official Languages
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Audit of Human Resources Management Practices 2009
1. Executive Summary
1.1 Background and Context

As an Officer of Parliament and agent of change, the Office of the Commissioner of Official Languages (OCOL) has a mandate to
promote the Official Languages Act and oversee its full implementation, protect the language rights of Canadians and promote
linguistic duality and bilingualism in Canada. The Commissioner ensures that the three key objectives of the Act are achieved and
takes necessary measures in this respect. These objectives are:
the equality of English and French in Parliament, the Government of Canada, the federal administration and the institutions
subject to the Act;
the development and vitality of official language minority communities in Canada; and
the equal status of English and French in Canadian society.
OCOL (the Office of the Commissioner of Official Languages) relies on its human resources to meet these objectives and deliver its
services in an effective and efficient manner. OCOL (the Office of the Commissioner of Official Languages)'s success depends on a
dedicated, well-trained and diverse workforce.
OCOL (the Office of the Commissioner of Official Languages)'s Internal Audit Plan 2008-2009 determined the timing of particular
priority audits in part based on the risk assessment, and, HR (Human Resources) management was selected as the first audit to be
conducted.
https://www.clo-ocol.gc.ca/en/transparence_transparency/2009/audit-hr-management-practices-2009 1/20
HR (Human Resources) management was given a high overall risk score in the Internal Audit Plan 2008-2009. Also, HR (Human
Resources) management is linked to two of the three corporate risks identified in the Corporate Risk Profile. This high overall risk
score is in part based on the fact that there is a large turnover of staff, particularly at senior levels within OCOL (the Office of the
Commissioner of Official Languages) and there are HR (Human Resources) skills shortages across the public service. As a small
organization, OCOL (the Office of the Commissioner of Official Languages) also faces a number of unique challenges such as
attracting new entrants; providing career progression opportunities; and relying on limited HR (Human Resources) capacity to service
internal HR (Human Resources) needs. Also, the departure of staff may mean the loss of corporate memory for OCOL (the Office of
the Commissioner of Official Languages)'s business.
OCOL (the Office of the Commissioner of Official Languages) is made up of the following five sectors:
Commissioner's Office;
Legal Affairs;
Compliance Assurance Branch;
Policy and Communication Branch (including Regions); and,
Corporate Services Branch.
The objective of this audit was to determine whether OCOL (the Office of the Commissioner of Official Languages) had adequate,
effective and rigorous HR (Human Resources) management practices and controls aligned with strategic and business planning,
given the issues of retirement, recruitment and retention at all levels, as well as evolving changes in the business of OCOL (the Office
of the Commissioner of Official Languages). The audit focused on HR (Human Resources) governance, HR (Human Resources)
strategy and planning, performance management, and development of personnel and tools. Detailed audit criteria can be found in
Appendix A.
1.2 Summary of Observations

The key observations for each audit area are provided below.
HR (Human Resources) Governance

1. Current senior HR (Human Resources) management oversight body deals mostly with transactional information.
2. HR (Human Resources) related roles are clearly defined and understood.
3. HR (Human Resources) policies are made available through the Intranet but they are not always up-to-date and could be
presented through a more user-friendly interface.
4. Compliance with some HR (Human Resources) policies is monitored.
HR (Human Resources) Strategy and Planning

1. HR (Human Resources) planning and business planning are not sufficiently aligned.
2. A Strategic HR (Human Resources) Management Plan has been developed and communicated.
3. The organization doesn't systematically analyse and monitor its current and future competency and capacity needs, including
regional needs.
4. Succession planning efforts have been made but were not applied to all five sectors.
5. Many knowledge transfer tools are available but are not sufficiently communicated or applied.
Development of Personnel and Use of Tools and Resources

1. The Corporate Services Branch, Legal Affairs and the Commissioner's Office do not have formal training frameworks.
2. A limited number of formal training plans have been developed.
3. Employees generally have access to sufficient training, software, equipment, work methodologies and standard operating
procedures.
4. HRIS (Human Resources Information System) does not appropriately restrict access to who can approve leave requests, and
does not provide supervisors with access to leave information for all their employees.
5. Many employees that no longer work for OCOL (the Office of the Commissioner of Official Languages) still have user accounts
in HRIS (Human Resources Information System).
Performance Management
1. Performance objectives are often established late in the year and performance evaluations are also not generally conducted in a
timely manner.
2. Performance evaluations are not usually linked to a training plan, often don't provide developmental opportunities and generally
don't provide sufficient constructive feedback.
3. Decisions to give rewards to employees are not formally documented.
4. Upward communication channels are informal, but downward communication channels are formalized.
1.3 Conclusion
Considering OCOL (the Office of the Commissioner of Official Languages)'s issues of retirement, recruitment and retention, OCOL
(the Office of the Commissioner of Official Languages) has moderate issues related to the adequacy, effectiveness and rigorousness
of its HR (Human Resources) management processes and controls, but exposure is not serious. Alignment of HR (Human Resources)
management practices with strategic and business planning also has moderate deficiencies. The recommendations that follow are
intended to strengthen the HR (Human Resources) management practices and assist in the attainment of OCOL (the Office of the
Commissioner of Official Languages)'s strategic objectives over the longer term.
Based on our professional judgment as auditors, sufficient and appropriate audit procedures have been conducted in accordance with
the Treasury Board (TB) Policy on Internal Audit, and the evidence gathered supports the accuracy of the conclusions contained in
this report. The conclusion is based on a comparison of the conditions, as they existed at the time, against pre-established audit
criteria that were agreed to with management. The evidence has been gathered to provide senior management with reasonable
assurance of the accuracy of the conclusions drawn from this audit. This report and audit were conducted for OCOL (the Office of the
Commissioner of Official Languages) management purposes. Use of this report for other purposes may not be appropriate.
Lise Cloutier, CAE (Chief Audit Executive)

Date
2. Audit Objective, Scope and Approach
2.1 Background
The Office of the Commissioner of Official Languages (OCOL) relies on its human resources to meet its objectives and deliver its
services in an effective and efficient manner. OCOL (the Office of the Commissioner of Official Languages)'s success depends on a
dedicated, well-trained and diverse workforce. Currently, human resources (HR (Human Resources)) governance is under the purview
of the Executive Committee (EXCOM). The EXCOM (Executive Committee) is responsible for approving human resources, IM/IT
(Information Management and Information Technology), communications, audit and research strategic plans and the corresponding
required investments in support of the organization's priorities and objectives. Significant HR (Human Resources) matters are
therefore taken to the Committee for review and approval.
2.2 Audit Objective

The objective of this audit was to determine whether OCOL (the Office of the Commissioner of Official Languages) has adequate,
effective and rigorous HR (Human Resources) management practices and controls aligned with strategic and business planning,
given the issues of retirement, recruitment and retention at all levels, as well as evolving changes in the business of OCOL (the Office
of the Commissioner of Official Languages). The audit focused on HR (Human Resources) governance, HR (Human Resources)
strategy and planning, performance management and development of personnel and tools. Detailed audit criteria can be found in
Appendix A.
2.3 Audit Scope

Based on the risk assessment and the objective of the audit, the scope of the audit included the HR (Human Resources) management
practices related to:
HR (Human Resources) Governance, including roles, responsibilities, policies and procedures;

HR (Human Resources) Strategy and Planning, including recruitment, retention and succession planning;
Training/Learning/Development of personnel;
Performance Management; and
HR (Human Resources) Information System.
The audit did not include a review of activities related to:
Employment equity;
Classification;
Compensation (Pay and Benefits);
Health and Safety; nor
Staff Relations.
2.4 Audit Approach

To conduct the audit, audit procedures including file reviews, inquiries with staff, focus group discussions, and a review of relevant
documentation were used to gather evidence in support of the audit conclusion provided. The planning phase of the audit included
preliminary interviews and a review of documents in order to understand the OCOL (Office of the Commissioner of Official
Languages)'s context and processes at a high level. Based on this understanding, a sample of performance agreements, performance
evaluations, training plans and HRIS (Human Resources Information System) user accounts was selected for detailed inspection
using a risk based approach, which was informed by discussions with management and the review of the population of activities
including the type and level of activity. Sample sizes selected were consistent with standard auditing practices and guidance provided
by the Institute of Internal Auditors.
Interviews were conducted with 10 OCOL (the Office of the Commissioner of Official Languages) employees in management positions
(refer to Appendix B). To provide a better insight on HR (Human Resources) management, focus group discussions were also
conducted with two separate groups: one for employees and one for members of management representing different levels and
sectors within the organization. With respect to documentation, substantial documentation was reviewed in the conduct of this audit,
including (but not limited to) the OCOL (Office of the Commissioner of Official Languages) 2008-2011 Strategic Plan, the 2008-2011
Strategic HR (Human Resources) Management Plan, EXCOM (Executive Committee) meeting minutes, Branch Operational Plans,
HR (Human Resources) related internal policies, Succession Plans, Training Plans, Performance Agreements, Performance
Evaluations, Knowledge Transfer Guidelines, HRIS (Human Resources Information System) reports, and HR (Human Resources)
Newsletters, amongst others.
The audit's observations and recommendations have been made in accordance with the rating table described below:
 RED – Significant Improvements Needed

Requires significant improvements in the area of material financial adjustments, or control deficiencies represent
serious exposure that could jeopardize the accomplishment of program/operational objectives. Immediate management
actions need to be taken to address the control deficiencies noted.
YELLOW – Moderate Improvements Needed

Some controls are in place and functioning. However, issues were noted and need to be addressed. These issues
could impact on the achievement or not of program/operational objectives.
GREEN – Controlled
Well managed, or no material weaknesses noted, or only minor improvements are needed, and is effective and
sustainable. No immediate action is required.
3. Findings and Recommendations

3.1 Strengths Noted
HR (Human Resources) Governance

1. OCOL (the Office of the Commissioner of Official Languages) does have a Senior level management committee that has
oversight of all HR (Human Resources) matters.
2. HR (Human Resources) Management roles and responsibilities are clearly articulated and all the interviewed stakeholders were
aware of their role.
3. The HR (Human Resources) Directorate informs all employees of new policies and HR (Human Resources) related matters on a
regular basis via e-mail newsletters.
HR (Human Resources) Strategy and Planning

1. OCOL (the Office of the Commissioner of Official Languages) has a Strategic HR (Human Resources) Management Plan and it
was communicated to all employees via the Intranet.
2. A new template for Branch Operational Plans has been developed, designed to ensure that each Branch considers HR (Human
Resources) needs while going through the operational planning exercise for the 2009-2010 fiscal year.
3. The IM/IT (Information Management and Information Technology) Directorate has conducted an integrated planning exercise
designed to ensure that the impacts of the OCOL (Office of the Commissioner of Official Languages) Strategic Plan 2008-2011
have been integrated in their current and future activities.
Development of Personnel and Use of Tools and Resources

1. Employees are fairly satisfied with the amount of training, tools, resources and information they are being provided to support
the discharge of their responsibilities.
2. OCOL (the Office of the Commissioner of Official Languages) has a corporate approach that encourages training and
professional development.
Performance Management
1. OCOL (the Office of the Commissioner of Official Languages) has a formal and documented performance evaluation approach
that provides employees with annual feedback.
2. Internal downward communication channels appear to be effective.
3.2 Audit Findings
3.2.1 HR (Human Resources) Governance - Oversight Bodies

We expected to find established effective oversight bodies, such as a senior level management committee that has oversight for all
HR (Human Resources) matters. The oversight body should meet regularly and receive key information to allow for effective
monitoring of management's HR (Human Resources)-related objectives, strategies and results.
We found that the OCOL (Office of the Commissioner of Official Languages) does have an oversight body (EXCOM (Executive
Committee)) that, amongst other things, oversees HR (Human Resources) related matters on a regular basis. The committee meets
approximately twice a month. HR (Human Resources)-related discussions held by the EXCOM (Executive Committee) focus on
transactional items. Some discussions were held related to HR (Human Resources) strategies and HR (Human Resources)
management issues, but updates to the strategies contained in the 2008-2011 Strategic HR (Human Resources) Management Plan
are only required to be provided on a yearly basis.
As a result, EXCOM (Executive Committee) does not get timely updates on the implementation of the Strategic HR (Human
Resources) Management Plan to support effective decision making.
 YELLOW – Moderate Improvements Needed

 Recommendation
We recommend that more frequent HR (Human Resources)-related strategic discussions be held at EXCOM (Executive
Committee), especially as it relates to updates to the Strategic HR (Human Resources) Management Plan. This could be
accomplished, for example, by focusing some EXCOM (Executive Committee) meetings on HR (Human Resources) strategic
issues, or by implementing a new HR (Human Resources) Management Sub-Committee dedicated to HR (Human Resources)
management
Management Response
The Assistant Commissioner, Corporate Services Branch commits to holding strategic discussions on HR (Human Resources)
management. To this end, HR (Human Resources) Directorate will submit to EXCOM (Executive Committee), in June 2009, an HR
(Human Resources) governance model including a proposal to establish an advisory committee on HR (Human Resources)
management (HRM) that would discuss strategic issues twice a year, and recommend HRM (Human Resources Management)
priorities to EXCOM (Executive Committee).
3.2.2 HR (Human Resources) Governance - Policies and Procedures

We expected to find suitable, established, maintained and communicated policies and procedures to support the development and
management of human resources. We also expected periodic assessments of compliance with HR (Human Resources) policies and
assessments of HR (Human Resources) policies' relevance.
We found a comprehensive set of policies and procedures on the Intranet, with the exception of a code of conduct for OCOL (the
Office of the Commissioner of Official Languages); however, employees from different levels and sectors reported that policies
available on the Intranet were difficult to find, not always up-to-date and were not applied consistently across the organization. Also,
compliance with HR (Human Resources) policies related to staffing is monitored.
The inconsistent application of internal policies can lead to confusion amongst managers and employees. Consequently, more
questions may be directed to the HR (Human Resources) Directorate as managers and staff are not clear on the implementation of
policies and procedures.

 Recommendation
We recommend that a code of conduct be developed, and that the intranet area where HR (Human Resources) policies and
procedures are kept be updated to facilitate access to all HR (Human Resources) related information. This will also give the HR
(Human Resources) Directorate the opportunity to ensure that up-to-date information is made available and that all policies are
published. With regards to compliance monitoring and relevance assessment of policies, we recommend that more thorough
monitoring of compliance with non-staffing related policies be conducted to improve consistency and highlight areas for
improvement.
Management Response
The Assistant Commissioner, Corporate Services Branch agrees to lead the development of a code of conduct and to update the
intranet site of the HR (Human Resources) Directorate. The code of conduct will be developed on the basis of Treasury Board
guidelines once these have been conveyed to the public service as a whole since the public service code of conduct has not yet been
officially approved. Regarding the intranet site, HR (Human Resources) Directorate undertook last winter to do a complete update,
and the new site will be ready in June 2009.
The Assistant Commissioner, Corporate Services Branch also commits to develop, by December 2009, a multiyear plan for
overseeing HRM (Human Resources Management) policies.
3.2.3 HR (Human Resources) Strategy and Planning

We expected to find that human resources planning is aligned with strategic and business planning and includes a strategy for
recruitment, hiring and promotion based on an analysis of current and future human resources competencies and capacities. We also
expected management to monitor employee competency on a periodic basis to be able to address any gaps from the aforementioned
analysis. This expectation also encompasses a formal approach to knowledge and talent management that includes regular
succession planning and a documented, communicated and adhered to mechanisms for information management, retention and
sharing.
We found that current HR (Human Resources) and operational strategies were not sufficiently aligned and don't specifically require an
analysis of current and future competency and capacity requirements, including regional requirements. Also, there was no evidence of
a formal program with direct and anonymous exit interview response channels that feed information back in the HR (Human
Resources) planning process. We found that OCOL (the Office of the Commissioner of Official Languages) has a comprehensive
succession planning tool that considers short and long term organizational needs and goals, but that it has only been implemented in
the Corporate Services Branch as a pilot project. OCOL (the Office of the Commissioner of Official Languages) has also developed
many information sharing and knowledge transfer tools, but they are not broadly used.
This lack of integrated planning and knowledge transfer may have important impacts on the organization as a whole. The key risk is
not being able to achieve OCOL (the Office of the Commissioner of Official Languages)'s mandate and business objectives due to a
lack of capacity and capability. This risk is particularly acute as many members of senior management have left the organization within
a short timeframe.
 RED – Significant Improvements Needed

Requires significant improvements in the area of material financial adjustments, or control deficiencies represent
serious exposure that could jeopardize the accomplishment of program/operational objectives. Immediate management
actions need to be taken to address the control deficiencies noted.
 Recommendation
We recommend that a comprehensive and integrated planning exercise be conducted for 2009-2010, to ensure that HR (Human
Resources) and strategic planning are aligned, and that succession plans, data from exit interviews and knowledge transfer tools
are leveraged as much as possible through all the sectors.
Management Response
The Assistant Commissioner, Corporate Services Branch accepts the recommendation to conduct an integrated planning exercise to
ensure that HR (Human Resources) needs and strategic planning are aligned. To this end, an initial planning exercise is currently
under way. It requires each branch to indicate its HR (Human Resources) needs based on the activities to be carried out during 2009-
2010.
The Assistant Commissioner, Corporate Services Branch commits to gradually improving integrated planning in order to better align
resources with the organization's priorities and ensure that it has the right staff. HR (Human Resources) planning will include the use
of knowledge transfer tools. Regarding succession plans and succession planning, Corporate Services Branch has had its plan in
place since winter 2009. The template was approved by EXCOM (Executive Committee) in March 2009; work is under way in the
other branches and should be complete by fall 2009. Succession planning includes knowledge transfer strategies.
With respect to exit interviews, there are various schools of thought on this matter and the organization has created tools to enable
managers to carry out these interviews. The Commissioner commits to carrying out interviews as much as possible. However it should
be pointed out that the interviews are voluntary. The Assistant Commissioner, Corporate Services Branch will improve the exit
interview tools in order to differentiate the various types of departures, i.e. (such as) retirement (which requires more extensive
planning), deployment at level (which constitutes an important factor for retention), and promotion. Data collected from these
interviews will be analysed to identify trends. We expect to have an improved mechanism in place by March 31st, 2010.
3.2.4 Development of Personnel and Use of Tools and Resources

We expected all employees to have training and development plans that were both resourced and actioned. We also expected to find
Information Systems (such as HRIS (Human Resources Information System)) being used to efficiently and effectively enable and
streamline core HR (Human Resources) programs and processes (track necessary data and support HR (Human Resources) decision
making). These systems should be designed to provide data integrity, in part by limiting access to information to employees that
require it.
We found that training frameworks were developed for OCOL (the Office of the Commissioner of Official Languages) as a whole and
for two of the five sectors. These frameworks identify overall competency/capacity requirements and suggest a list of courses to be
taken for new employees and managers; however, these frameworks are not sufficiently aligned with strategic objectives, and do not
provide guidance for critical workforce segments such as Auditors/Investigators. Guidelines are provided to employees but are not
grouped in an easy to find section in the Intranet and are not linked to the Branches training frameworks. We also found that most
employees don't have a formal training plan.
With regards to HRIS (Human Resources Information System), we found that quarterly staffing reports are distributed to management
but that HRIS (Human Resources Information System) is not used for other HR (Human Resources) functions such as tracking
training, competencies, evaluations and other related matters. Improvements are required with regards to removing access rights for
employees that no longer require access to HRIS (Human Resources Information System), although this risk is partly mitigated by the
fact that departed employees do not have access to the OCOL (Office of the Commissioner of Official Languages) network and thus to
HRIS (Human Resources Information System). Another improvement opportunity is to give supervisors the chance to view leave
information pertaining to all the employees in their group and not only the ones that report directly to them. Finally, we found that leave
requests can be approved by any OCOL (the Office of the Commissioner of Official Languages) employee.
The fact that three sectors do not have training frameworks means employees of these sectors may not know what training they
should prioritize. Also, the fact that most employees don't have formal training plans incorporated within their performance evaluation
means that the organization will not be able to track internal capacity and competencies and foster the growth of its personnel. Finally,
the fact that supervisors cannot see leave related information for all their employees, limits their ability to properly monitor their human
resources.

 Recommendation
We recommend that a formal training framework, aligned with the OCOL (Office of the Commissioner of Official Languages)
Strategic Plan and Strategic HR (Human Resources) Management Plan be developed for the Corporate Services Branch, Legal
Affairs and the Commissioner's Office. The framework should also contain developmental guidance for critical workforce
segments. We also recommend that steps be taken to ensure that formal training plans be developed for a larger proportion of
employees and that they be linked directly to performance evaluations and training frameworks. Finally, we recommend that a
formal procedure to remove user accounts of exiting employees from HRIS (Human Resources Information System) be
implemented, and that HRIS (Human Resources Information System) be modified to limit access rights to approve leave
requests, and to give supervisors access to leave information for all of their employees.
Management Response
The Assistant Commissioner, Corporate Services Branch commits to developing a learning framework for Corporate Services Branch
during 2009-2010, with a component on critical workforce segments. Also, the Assistant Commissioner, Corporate Services Branch
commits to provide advice and tools to the Legal Affairs Branch and the Commissioner's Cabinet for the development of their learning
framework during 2009-2010.
The Assistant Commissioner, Corporate Services Branch commits to having quarterly reports from HR (Human Resources)
Directorate to inform EXCOM (Executive Committee) about the proportion of employees with approved training plans, and it agrees
that links to performance evaluations and branch training frameworks should be indicated. The Assistant Commissioner, Corporate
Services Branch also commits to reviewing HRIS (Human Resources Information System) procedures over the next twelve months to
ensure that accounts for employees who have left the organization are properly closed and that supervisors can access relevant
information on leave.
3.2.5 Performance Management

We expected to find a system for the timely performance evaluation of employees that provides clearly articulated performance
expectations of individuals, developmental objectives, links to operational/strategic goals and realistic goals that do not promote
unethical behaviour. We also expected to find a sound and documented rationale for the administration of disciplinary/punitive actions
and rewards given to employees. Finally, we expected to find open and effective channels for internal communications and feedback
across different levels of seniority.
We found that the OCOL (Office of the Commissioner of Official Languages) does have a system to evaluate performance and
promote training, but there are still areas of the process that need improvements as evaluations are not conducted in a timely manner,
they are not linked to training plans and generally don't provide constructive feedback. We found that decisions to award specific
monetary prizes to some employees are not properly documented. Finally, we found that downward communication channels were
formal but that upward communication channels were relatively informal.
Performance objectives being set late in the year and performance evaluations being completed up to eight months after year-end are
not effective as they don't give the employees the ability to assimilate feedback and incorporate it in their daily activities in a timely
manner. With regards to monetary rewards, if they are not supported by a sound and documented decision, it might create
inconsistencies in how decisions are made. Finally, informal upward communication channels are not always effective as they rely
heavily on interpersonal relationships and therefore do not give all the employees the same chance of being heard by management.

 Recommendation
We recommend that performance objectives be established early in the beginning of the new fiscal year, and that performance
evaluations be conducted close to year-end. We also recommend that decisions to give rewards be formally documented, and
that upward communication channels be considered to give employees an opportunity to be heard via formal and anonymous
means.
Management Response
The Assistant Commissioner, Corporate Services Branch agrees to review the organization's performance evaluation cycle. HR
(Human Resources) Directorate will be mandated, during 2009-2010, to review the cycle in consultation with planners so as to
incorporate it into the organization's planning cycle, and to make a presentation to EXCOM (Executive Committee) for approval before
the beginning of the next cycle in 2010.
The Assistant Commissioner, Corporate Services Branch commits to reviewing the Pride and Recognition Program over the next
twelve months with a view to adding guidelines on documenting decisions with respect to instant awards.
The Assistant Commissioner, Corporate Services Branch commits to explore appropriate methods to put in place a bottom-up
evaluation or communication mechanism during the next year in view of gaining staff commitment in the achievement of the
organization's mandate.
Top of Page
Appendix A – Audit Criteria, Conclusions and Management's Reponses

Reference
Criteria Conclusion to Audit Management's response
Finding
1. HR (Human Resources) Governance
The Assistant Commissioner, Corporate Services Branch commits to
holding strategic discussions on HR (Human Resources) management. To
this end, HR (Human Resources) Directorate will submit to EXCOM
Moderate
1.1 Effective oversight bodies (Executive Committee), in June 2009, an HR (Human Resources)
Improvements 3.2.1
are established. governance model including a proposal to establish an advisory committee
Needed
on HR (Human Resources) management (HRM) that would discuss
strategic issues twice a year, and recommend HRM (Human Resources
Management) priorities to EXCOM (Executive Committee).
1.2 Roles and responsibilities
are clearly defined and
program/process owners are
Controlled None
held accountable for related
outcomes and take necessary
corrective actions.
Reference
Finding
The Assistant Commissioner, Corporate Services Branch agrees to lead
the development of a code of conduct and to update the intranet site of the
HR (Human Resources) Directorate. The code of conduct will be developed
1.3 Suitable policies and on the basis of Treasury Board guidelines once these have been conveyed
procedures to support the to the public service as a whole since the public service code of conduct
Moderate
development and management has not yet been officially approved. Regarding the intranet site, HR
Improvements 3.2.2 (Human Resources) Directorate undertook last winter to do a complete
of human resources are
Needed update, and the new site will be ready in June 2009.
established, maintained and
communicated.
The Assistant Commissioner, Corporate Services Branch also commits to
develop, by December 2009, a multiyear plan for overseeing HRM (Human
Resources Management) policies.
2. HR (Human Resources) Strategy and Planning
2.1 Human resource planning Significant 3.2.3 The Assistant Commissioner, Corporate Services Branch accepts the
is aligned with strategic and Improvements recommendation to conduct an integrated planning exercise to ensure that
business planning. Needed HR (Human Resources) needs and strategic planning are aligned. To this
2.2 Recruitment, hiring and end, an initial planning exercise is currently under way. It requires each
promotion consider the current branch to indicate its HR (Human Resources) needs based on the activities
and future needs of the to be carried out during 2009-2010.
organization.
gradually improving integrated planning in order to better align resources
with the organization's priorities and ensure that it has the right staff. HR
(Human Resources) planning will include the use of knowledge transfer
tools. Regarding succession plans and succession planning, Corporate
Services Branch has had its plan in place since winter 2009. The template
was approved by EXCOM (Executive Committee) in March 2009; work is
Reference
Finding
under way in the other branches and should be complete by fall 2009.
Succession planning includes knowledge transfer strategies.
With respect to exit interviews, there are various schools of thought on this
matter and the organization has created tools to enable managers to carry
2.3 The organization has in out these interviews. The Commissioner commits to carrying out interviews
place a formal approach to as much as possible. However it should be pointed out that the interviews
knowledge and talent are voluntary. The Assistant Commissioner, Corporate Services Branch will
management. improve the exit interview tools in order to differentiate the various types of
departures, i.e. (such as) retirement (which requires more extensive
planning), deployment at level (which constitutes an important factor for
retention), and promotion. Data collected from these interviews will be
analysed to identify trends. We expect to have an improved mechanism in
place by March 31st, 2010.
3. Development of Personnel and Use of Tools and Resources
3.1 The organization provides Moderate 3.2.4 The Assistant Commissioner, Corporate Services Branch commits to
employees with the necessary Improvements developing a learning framework for Corporate Services Branch during
training, tools, resources and Needed 2009-2010, with a component on critical workforce segments. Also, the
information to support the Assistant Commissioner, Corporate Services Branch commits to provide
discharge of their advice and tools to the Legal Affairs Branch and the Commissioner's
responsibilities. Cabinet for the development of their learning framework during 2009-2010.

having quarterly reports from HR (Human Resources) Directorate to inform
EXCOM (Executive Committee) about the proportion of employees with
approved training plans, and it agrees that links to performance evaluations
and branch training frameworks should be indicated. The Assistant
Commissioner, Corporate Services Branch also commits to reviewing HRIS
Reference
Finding
3.2 Information Systems (HRIS (Human Resources Information System) procedures over the next twelve
(Human Resources months to ensure that accounts for employees who have left the
Information System)) are used organization are properly closed and that supervisors can access relevant
to efficiently and effectively information on leave.
enable core HR (Human
Resources) programs and
processes: tracks necessary
data and supports HR (Human
Resources) decision making
4. Performance Management
The Assistant Commissioner, Corporate Services Branch agrees to review
the organization's performance evaluation cycle. HR (Human Resources)
Directorate will be mandated, during 2009-2010, to review the cycle in
4.1 The organization has in consultation with planners so as to incorporate it into the organization's
place a system for the planning cycle, and to make a presentation to EXCOM (Executive
performance evaluation of Committee) for approval before the beginning of the next cycle in 2010.
employees.
Moderate
Improvements 3.2.5
reviewing the Pride and Recognition Program over the next twelve months
Needed
with a view to adding guidelines on documenting decisions with respect to
instant awards.
4.2 Open and effective
channels exist for internal The Assistant Commissioner, Corporate Services Branch commits to
communications and feedback. explore appropriate methods to put in place a bottom-up evaluation or
communication mechanism during the next year in view of gaining staff
commitment in the achievement of the organization's mandate.
Appendix B – List of Interviewees

Name Position
Pascal Arseneau Commissioner's Representative, Ontario Region (on secondment to Industry Canada)
Ghislaine Charlebois Assistant Commissioner, Compliance Assurance Branch
Lise Cloutier Assistant Commissioner, Corporate Services Branch
Graham Fraser Commissioner of Official Languages
Dominique Lemieux Director General, Policy and Communications Branch
Eva Ludvig Commissioner's Representative, Quebec Region
Catherine Scott Special Advisor to the Commissioner, Policy and Communications Branch
Mario Séguin Director of Human Resources, Corporate Services Branch
Johane Tremblay Assistant Commissioner, Policy and Communications Branch
JoHanne Verrier Director, IM/IT (Information Management and Information Technology)
Date modified: 2018-09-13

OCOL 2009 Audit of HR Management

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OCOL 2009 Audit of HR Management

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2/26/2019 Audit of Human Resources Management Practices 2009 | Office of the Commissioner of Official Languages

Audit of Human Resources Management Practices 2009

1.1 Background and Context

1.2 Summary of Observations

HR (Human Resources) Governance

4. Compliance with some HR (Human Resources) policies is monitored.

HR (Human Resources) Strategy and Planning

Development of Personnel and Use of Tools and Resources

Lise Cloutier, CAE (Chief Audit Executive)

2. Audit Objective, Scope and Approach

2.2 Audit Objective

2.3 Audit Scope

HR (Human Resources) Governance, including roles, responsibilities, policies and procedures;

The audit did not include a review of activities related to:

2.4 Audit Approach

 RED – Significant Improvements Needed

YELLOW – Moderate Improvements Needed

3. Findings and Recommendations

3.1 Strengths Noted

HR (Human Resources) Governance

HR (Human Resources) Strategy and Planning

Development of Personnel and Use of Tools and Resources

3.2 Audit Findings

3.2.1 HR (Human Resources) Governance - Oversight Bodies

 YELLOW – Moderate Improvements Needed

3.2.2 HR (Human Resources) Governance - Policies and Procedures

 YELLOW – Moderate Improvements Needed

3.2.3 HR (Human Resources) Strategy and Planning

 RED – Significant Improvements Needed

3.2.4 Development of Personnel and Use of Tools and Resources

 YELLOW – Moderate Improvements Needed

3.2.5 Performance Management

 YELLOW – Moderate Improvements Needed

Appendix A – Audit Criteria, Conclusions and Management's Reponses

The Assistant Commissioner, Corporate Services Branch commits to

Appendix B – List of Interviewees

Ghislaine Charlebois Assistant Commissioner, Compliance Assurance Branch

Lise Cloutier Assistant Commissioner, Corporate Services Branch

Graham Fraser Commissioner of Official Languages

Dominique Lemieux Director General, Policy and Communications Branch

Eva Ludvig Commissioner's Representative, Quebec Region

Mario Séguin Director of Human Resources, Corporate Services Branch

Johane Tremblay Assistant Commissioner, Policy and Communications Branch

JoHanne Verrier Director, IM/IT (Information Management and Information Technology)

Date modified: 2018-09-13

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