Audit of CFIA's Staffing Framework - Audit Report
4.0 Appendices
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Appendix A: Audit Criteria
The criteria were developed from key controls set out in the Institute for Internal Auditors Research Foundation's handbook Auditing Employee Hiring and Staffing, the Public Service Commission of Canada's Staffing Management Accountability Framework Indicators 2014-2015 and the Office of the Comptroller General's Audit Criteria related to the Management Accountability Framework: A Tool for Internal Auditors.
The audit criteria are organized under the lines of enquiry below:
Line of Enquiry 1: The staffing values are embedded in all aspects of staffing including policies, practices, tools, training and communications.
1. Staffing values are sufficiently defined and communicated and respect for them is reinforced and monitored for compliance.
Line of Enquiry 2: Efficiency and effectiveness in staffing are achieved through planning, resourcing and monitoring.
2. Staffing plans exist and are aligned with corporate business plans and objectives, updated as required, communicated and implemented.
3. A performance measurement framework is in place to monitor the efficiency and effectiveness of CFIA staffing.
4. Effective monitoring and reporting mechanisms are in place to provide management with accurate, relevant and reliable information for decision making.
Line of Enquiry 3: The implementation of the staffing framework was planned and managed in manner that ensures successful understanding, acceptance and adherence by stakeholders.
5. A project plan was established for the implementation of the 2013 staffing framework that outlined phases, resources, stakeholders, key activities and timelines. Progress against this plan is monitored and course adjusted, as needed.
6. Governance and risk management frameworks support the design and implementation of the staffing framework.
7. Clearly defined roles, responsibilities and accountabilities for staffing have been established and communicated.
8. Staffing policies, guidelines, tools, training and HRB resources are in place to ensure stakeholders effectively carry out their staffing related responsibilities and accountabilities.
Appendix B: Organization Chart Illustrating Staffing Related Functions
Appendix C: Management Response and Action Plan
Recommendation 1: The Vice-President of HRB should ensure that core management controls are in place to support the Agency's staffing framework. The staffing policy suite should be updated, and agreement should be reached on roles and responsibilities for staffing throughout, including accountability, oversight/monitoring and record keeping for staffing in CFIA.
Management Response and Action Plan | Target Date | Responsible Leads |
---|---|---|
Staffing Framework Policy has been updated effective April 2016 and will be replaced with Staffing & Recruitment Framework, Staffing & Recruitment Policy and Specific Staffing Guidelines. The new policy suite includes clarification on roles, responsibilities and accountability for staffing. | April 2016 – updated Staffing & Recruitment Framework, Policy and Guidelines to be communicated through National InfoBulletin April 21, 2016 and available on Merlin | VP-HRB |
Collective Staffing Roles and Responsibilities for branches, branch representatives and HR have been created and shared with branches via Strategic HR. | February 2016 (completed) | Director, HR Services Directorate |
A Staffing Tiger Team will be established to review the Staffing & Recruitment Framework, including policies, guidelines, directives and accountability matrix. | June 2016 – Staffing Tiger Team to be established Framework, Policy and Guidelines review to be completed by August 2017 Revised Framework, Policy and Guidelines to be communicated on Merlin by November 2017 |
Director, HR Services Directorate |
The Staffing Tiger Team will conduct a risk assessment exercise to identify high-, medium- and low-risk areas that will inform the Staffing Accountability Matrix, policy suite and future monitoring program. | August, 2016 |
Recommendation 2: The Vice-President of HRB should implement a risk-based monitoring system to provide oversight on compliance with the Agency's staffing framework.
Management Response and Action Plan | Target Date | Responsible Leads |
---|---|---|
The Staffing Tiger Team will establish a risk-based monitoring system of Agency staffing activities to provide oversight on compliance with the Agency's Staffing and Recruitment Framework and Staffing Accountability Matrix. | November 2016 – Monitoring system to be established. December 2016 – Monitoring system implemented April 2017 – first reporting cycle based on activity in fourth quarter of 2016-17 |
Director, HR Services Directorate |
Recommendation 3: The Vice-President of HRB should continue efforts to promote branch strategic HR planning as well as consolidated HR planning at the Agency level to provide insight on CFIA's overall HR needs, important skills gaps, supply and demand of essential talent, and targeted resourcing strategies.
Management Response and Action Plan | Target Date | Responsible Leads |
---|---|---|
The HR Business Line Support team will be working with all branches to establish individual Branch Plans which will roll up into an Agency HR Plan which flows from integrated corporate business plan. This plan will map HR requirements and needs to the business priorities identified in the corporate business plan and will identify gaps in competencies, skill set, and talent to meet future agency needs from an HR perspective. | May – October 2016: December 2016: Consultations-current workforce vs future workforce gaps-validation. September - December 2016: Gap Analysis completed by branch December 2016: Branch plans developed and validated March 2017: Roll up into Agency HR plan-for approval April 2017: |
Executive Director, Business Line Support |
Recommendation 4: The Vice-President of HRB should ensure that information and mechanisms are easily accessible to provide comprehensive and straight-forward guidance, including record keeping requirements, for HR practitioners and managers in applying the Agency staffing framework.
Management Response and Action Plan | Target Date | Responsible Leads |
---|---|---|
The Staffing Tiger Team / Staffing & Recruitment Division, in conjunction with IMIT Branch and CPA, will be reviewing and updating the following to align with the Agency's Staffing policy suite:
|
September 2016 – Merlin review and cleanup October 2016 – establish recordkeeping requirements December 2016 - Communicate recordkeeping requirements to HR Practitioners and Managers July 2017 – update training modules based on Framework review |
Director, HR Services Directorate |
Recommendation 5: The Vice-President of HRB should develop and implement a formal performance measurement framework (PMF) to assess how well the staffing framework is meeting its objectives. The PMF should include indicators with targets and timelines, measurable performance data, and processes for monitoring and reporting.
Management Response and Action Plan | Target Date | Responsible Leads |
---|---|---|
The Staffing Tiger Team will establish a formal performance measurement framework for the monitoring of Agency staffing activities including service standards, performance measures and targets; and will determine reporting mechanisms and strategy. | November 2016 – Establish performance measures and data requirements January 2017 - Implement measures that are ready for data collection April 2017 – first reporting cycle based on activity in fourth quarter of 2016-17 |
Director, HR Services Directorate |
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