2012–13 Departmental Performance Report

Table of Contents

Commissioner's Message

Section I: Organizational Overview

• Raison d’être
• Responsibilities
• Strategic Outcome and Program Alignment Architecture
• Organizational Priorities
• Risk Analysis
• Summary of Performance
• Expenditure Profile
• Estimates by Vote

Section II: Analysis of Program by Strategic Outcome

• Strategic Outcome
• Program: Disclosure and Reprisal Management
• Internal Services

Section III: Supplementary Information

• Financial Statements Highlights
• Supplementary Information Tables
• Tax Expenditures and Evaluations Report

Section IV: Other Items of Interest

• Organizational Contact Information

Commissioner's Message

Although it may seem premature to make such a statement for an organization that has only existed for six years, 2012-13 was an unprecedented year for the Office of the Public Sector Integrity Commissioner.

First, there was a 20% increase in disclosures over the last twelve months, which could mean that not only is awareness of the Office growing but also that it is seen as an organization that can be trusted. The disclosures we handle are diverse and come from all areas of federal activity, meaning we have not yet been able to determine any trends or systemic issues.Although it may seem premature to make such a statement for an organization that has only existed for six years, 2012-13 was an unprecedented year for the Office of the Public Sector Integrity Commissioner.

The year was also productive: we completed almost four times as many investigations as last year. The effort put into the investigations in 2012-13 led to the submission of three case reports to Parliament. Tabling these reports is no longer seen as a rarity but as a normal outcome for an investigative body such as ours. By making public our findings of wrongdoing, we help deter the occurrence of wrongdoing in the federal public sector.

The organizations affected by our investigations also take us seriously. They collaborate with us and accept our recommendations, which aim to improve the situation or reduce the risk of recurrence of wrongdoing.

I am very proud of our achievements but am also convinced that we can do much better in terms of public awareness, the effective use of our resources, accessibility to our Office and in increasing understanding of how we add value to the federal public sector. To increase the ease with which our services can be accessed and the quality of exchanges with people, on-line submissions will soon be accepted. We have also adopted service standards, which came into force on April 1, 2013. These commit us to conducting case analyses of disclosures of wrongdoing within 90 days, and where an investigation is launched, completing it within a year, unless the situation is clearly exceptional.

As an independent agent of Parliament, one of the keys to our success is the confidence people and public sector organizations have in us. We have made clear progress in this regard. We have become more effective, efficient, and rigorous in the past years. We will continue in this direction, and endeavour to fulfill the spirit of the Act and fully leverage the mandate of my Office.

Mario Dion
Public Sector Integrity Commissioner

Section I: Organizational Overview

Raison d’être

The Office of the Public Sector Integrity Commissioner of Canada (the Office or PSIC) was set up to administer the Public Servants Disclosure Protection Act (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.

The disclosure regime is an element of the framework which strengthens accountability and management oversight in government operations.

Responsibilities

The Office has jurisdiction over the entire public sector, including separate agencies and parent Crown corporations, which represents approximately 375,000 public servants. Under the Act, 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 Act 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, through the tabling of a case report to Parliament, and makes recommendations to chief executives for corrective action. The Commissioner exercises exclusive jurisdiction over the review, investigation and conciliation 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 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 Act can be found on the Office’s websiteⁱ.

Strategic Outcome and Program Alignment Architecture

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:

Organizational Priorities

What progress has been made towards this priority?

The Office made progress on each of the plans identified in its 2012–13 Report on Plans and Prioritiesⁱⁱ to support this priority. The Office, for example:

• Documented operational process maps, identifying opportunities to improve and standardize which are being currently being addressed by management;
• Established and communicated service standards;
• Implemented a quality assurance process to assess the completeness of case file documentation and adherence to Office processes;
• Participated in the government-wide case management system initiative by reviewing and contributing to the statement of requirements and assessment guidelines for options being considered centrally; and
• Conducted security briefing sessions for all staff and initiated an independent review of security policy requirements and best practices to identify opportunities to improve.

There was a marked increase in the number of disclosers and the number of investigations launched and completed in 2012-13 which is reflected in the reported 58% performance of number of cases completed as a percentage of the number of investigations. More details on related initiatives and results achieved in support of this priority can be found in Section II of this report and in the Annual Report on PSIC`s website.

¹ Type is defined as follows: previously committed to—committed to in the first or second fiscal year prior to the subject year of the report; ongoing—committed to at least three fiscal years prior to the subject year of the report; and new—newly committed to in the reporting year of the RPP or DPR. If another type that is specific to the department is introduced, an explanation of its meaning must be provided.

What progress has been made towards this priority?

The Office continued to support this priority by:

• Completing the 2012-15 Outreach and Engagement Strategy, including details of annual activity plans.
• Continuing efforts to raise awareness and obtain feedback by:
  • Attending targeted functional government conferences as an exhibitor;
  • Briefing new senior public service leaders on the Act;
  • Accepting speaking engagements and host delegations, as appropriate; and
  • Holding quarterly meetings with the PSIC Advisory Committee
• Initiating a modernization of communication tools with a project to update the Office's website which will provide a current platform for further initiatives.

What progress has been made towards this priority?

The progress toward this objective evolved as the Office added resources to collect and prepare meaningful and relevant performance information to assist in allocating resources, identifying areas for improvement and further the organization in achieving its expected results. The Office, for example:

• Expanded the monthly operational reporting to include trend analysis and observations, contributing to data integrity and decision making to ensure investments of resources demonstrate value. Trends on activity levels have been reported in the 2012-13 Annual Report;
• Documented the Office's observations and experiences in implementing the Act to support the preparation of the 5-year review, including recommendations for legislative amendment and operational/policy reform; and
• Developed and launched a pilot questionnaire to solicit feedback from individuals making a disclosure of wrongdoing or a complaint of reprisal after October 2012

A research plan and international strategy were finalized and will be implemented in 2013-14.

What progress has been made towards this priority?

The Office continued to increase its capacity, focus resources on operational priorities and maintain a stable and productive workforce which in turn supported the office in carrying out its mandate and action plans. Examples of progress on plans included:

• Engaging all staff in the development of an internal code of values and ethics, holding a moderated implementation and discussion session and visibly promoting the set of values throughout the Office;
• Assessing the skills required for certain operational positions and filled vacant positions in 2012-13 to acquire the competencies needed in the roles; and
• Organized and provided resources for interview and interrogation training.

Risk Analysis

Risks can arise from events that PSIC cannot influence or by factors outside our control, but the Office must be able to monitor and respond to in order to mitigate the impact, in order to address disclosures of wrongdoing and complaints of reprisal.

There was an increase in the number of files in 2012-13 which may have been attributed to increasing awareness of the Act and our Office as a result of outreach activities, national media coverage on cases of founded wrongdoing and the rollout across the federal government of a new Values and Ethics Code for the Public Sector which came into force on April 2, 2012. The environment of workforce adjustments in the public sector had been considered a potential driver to increase the number of files, however, to date, this does not appear to be the case. All of the organizational priorities contribute either directly or indirectly to mitigating the risk of increasing case volumes and/or complexity that may in turn impact the timeliness of completing case files. In particular, a disclosure and reprisal management function that is timely, rigorous, independent and accessible supports effective and efficient use of resources and case file decisions which are clear and complete minimizing further allocations of resources.

Summary of Performance

Financial Resources – Total Departmental ($ thousands)

Human Resources (Full-Time Equivalents—FTEs)

Performance Summary Table for Strategic Outcome and Program ($ thousands)

² In order to align with departmental authorities by Program, as presented in Vol. II of the Public Accounts, services provided without charge amounts for employer’s contribution to employee insurance plans, such as the Public Service Health Care Plan and the Public Service Dental Plan provided by the Treasury Board of Canada Secretariat, accommodations provided by Public Works and Government Services Canada, and Workers’ compensation provided by Human Resources and Skills Development Canada are not to be included in this figure. This information is presented in Departmental Financial Statements only.

Performance Summary Table for Internal Services ($ thousands)

Total Performance Summary Table ($ thousands)

PSIC's total authorities of $6.1 million reflect an increase of $0.5 million (8%) over the budgetary expenditures of $5.7 million. The incremental authorities were for the allowable 5% operating budget carry forward from 2011-12 and reimbursement for severance payments and parental leave. These incremental authorities were considered in establishing the planned spending of $6.0 million, and the reimbursements were slightly higher than anticipated. PSIC's total 2012-13 spending of $5.5 million is $0.5 million (8%) lower than its planned spending of $6.0 million. Personnel costs of the Office in 2012-13 accounted for 71% of spending and professional fees accounted for 19% of spending. The overall lower level of authorities used in comparison to the planned spending was a result of the decision to not staff all planned positions and staffing of some planned positions later in the year, earlier than planned cost reductions realized on contracts for internal services, and project delays in planned expenditures to modernize systems and implement government wide solutions.

Expenditure Profile

Departmental Spending Trend

PSIC's spending has stabilized over the last three years as the Office has developed an organizational structure that will allow it to operate within its current and future budgets. In 2014-15 and 2015-16 the reduction in planned spending reflects the impact of implementing cost containment measures which include a reduction resulting from the completion of onetime projects to enhance systems and the realization of operational efficiencies from process improvements and consolidating resources.

Estimates by Vote

For information on the Office of the Public Sector Integrity Commissioner’s organizational Votes and/or statutory expenditures, please see the Public Accounts of Canada 2013 (Volume II)^iv. An electronic version of the Public Accounts 2013 is available on the Public Works and Government Services Canada website.

Section II: Analysis of Program by Strategic Outcome

Strategic Outcome

Program: Disclosure and Reprisal Management

This program addresses the need to take action in bringing resolution to disclosures of wrongdoing and complaints of reprisal and contributes to increasing confidence in federal public institutions. It aims to provide advice to federal public sector employees and members of the public who are considering making a disclosure and to accept, investigate and report on disclosures of information concerning possible wrongdoing. Based on this activity, the Public Sector Integrity Commissioner will exercise exclusive jurisdiction over the review, conciliation and settlement of complaints of reprisal, including making applications to the Public Servants Disclosure Protection Tribunal to determine if reprisals have taken place and to order appropriate remedial and disciplinary action.

Financial Resources ($ thousands)

Human Resources (FTEs)

Performance Results

Performance Analysis and Lessons Learned

The Office tabled three case reports of wrongdoing in Parliament, oversaw the conciliation of a reprisal complaint, and referred two reprisal cases to the Tribunal. The case reports along with other operational achievements are summarized in the Annual Report on PSIC`s website. The progress on action plans was highlighted in Section I under Organizational Priorities.

As highlighted in our performance results in the tables above the average number of days to process new cases at intake far exceeded our target. Actions taken to improve timeliness have included amalgamating the intake and case analysis groups, monitoring performance, and documenting operational processes to identify opportunities to improve. In establishing service standards going forward we have committed to conducting case analysis within 90 days, which determines if an investigation will be launched, thereby combining the first two stages of our operational process for measuring performance – intake and case analysis. There is a planned investment in 2013-14 to develop an online tool which we anticipate will assist in the early stage of making a disclosure of wrongdoing or making a complaint of reprisal.

The Office completed a record number of investigations in 2012-13 which contributed greatly to attaining the result of 58% of the number of cases resolved as a percentage of the number of investigations, and reflects completion of a number of the investigations that were underway as at the start of the year.

The activities to ensure key stakeholders are informed of PSIC`s role have continued to be monitored and reported. In 2012-13 PSIC was an exhibitor at 3 key conferences attended by public servants, the Commissioner or Deputy Commissioner met with 20 federal organizations to raise awareness, and the Advisory Committee, on which there are numerous stakeholders represented, met on a quarterly basis. There were over 20,000 unique visitors to PSIC`s website in 2012-13.

In the 2013-14 Report on Plans and Priorities it was identified the Office plans to review and improve its performance measurement framework and has commenced the amendment process for submission to the Treasury Board Secretariat.

Internal Services

Financial Resources ($ thousands)

Human Resources (FTEs)

Program Analysis and Lessons Learned

The Office continued to access private and government resources for the cost-effective delivery of human resources, finance, internal audit, security, and information technology services. The Office completed a number of staffing actions, job category and classification reviews, the internal audits on contracting and the contribution program, and took steps to comply with the Policy on Government Security, the Policy on Green Procurement and the Policy on Investment Planning. The lower than planned spending was a result of a reduction in staffing activity in comparison to recent years, a reduction in the size and frequency of meetings of the Audit Committee, along with delays in IT project spending for an electronic document management system and a government wide case management system.

Section III: Supplementary Information

Financial Statements Highlights

The financial highlights presented within this Departmental Performance Report are intended to serve as a general overview of the Office's financial position and operations. PSIC has received unqualified audit opinions of its Financial Statements from the Office of the Auditor General of Canada, who has been PSIC's auditors since 2008.

Condensed Statement of Operations and Departmental Net Financial Position

The actual total expenses of $6.2 million increased by $0.3 million, in comparison to the prior year, is largely related to the growth in FTE`s and the increases in personnel costs. There was a reduction in professional services as outsourced support for human resources and special projects declined. The actual total expenses were lower than planned by $0.5 million as a result of the decision to not staff all planned positions and later staffing of some planned positions during the year, earlier than planned cost reductions realized on contracts for internal services, and project delays in planned expenditures to modernize and implement government wide solutions.

Condensed Statement of Financial Position

The total liabilities as at the end of the year were $1.0 million, made up of accounts payable, accrued salaries, employee future severance benefits and vacation pay liabilities. The decrease in liabilities is largely attributable to a decrease in the accounts payable for goods and services as at March 31.

The net financial assets as at the end of the year were $0.5 million and reflect amounts due from the Consolidated Revenue Fund and amounts in accounts receivable (primarily from other government departments). The decrease of $0.1 million was related to the reduced year end adjustment for the Office's share of the employee benefit plans.

Departmental net debt of $0.5 million, calculated as the difference between total net liabilities less net financial assets, has decreased slightly compared to the previous year. The net debt indicator represents future funding requirements to pay for past transactions and events, and is one indicator of a department's financial position.

The total non financial assets reflect the net book value of capital assets as at March 31 and have decreased as the assets are being amortized over their expected useful life and minimal new investments in capital were made in 2012-13.

Financial Statements

The Office of the Public Sector Integrity Commissioner Audited Financial Statements for the Year Ended March 31, 2013, which include the Statement of Management Responsibility Including Internal Control Over Financial Reporting and its Annex for fiscal year 2012–13, can be found on PSIC’s website.^v

Supplementary Information Tables

• Greening Government Operations
• Internal Audits and Evaluations
• User Fees Reporting

All electronic supplementary information tables listed in the 2012–13 Departmental Performance Report can be found on Office of the Public Sector Integrity Commissioner`s website.^vi

Tax Expenditures and Evaluations Report

The tax system can be used to achieve public policy objectives through the application of special measures such as low tax rates, exemptions, deductions, deferrals and credits. The Department of Finance publishes cost estimates and projections for these measures annually in the Tax Expenditures and Evaluations publication.^vii The tax measures presented in the Tax Expenditures and Evaluations publication are the sole responsibility of the Minister of Finance.

Section IV: Other Items of Interest

Organizational Contact Information

General Enquiries

If you have a comment or a question for PSIC, you can contact us by telephone or mail.

Telephone: 613-941-6400
Toll Free: 1-866-941-6400

Mailing Address:
60 Queen Street, 7th Floor
Ottawa ON K1P 5Y7

Disclosures of Wrongdoing or Complaints of Reprisal

If you are thinking about disclosing wrongdoing or making a complaint of reprisal, we can provide you with more information about the process in complete confidentiality.

Please note: The Office does not accept formal disclosures of wrongdoing or complaints of reprisal via e-mail or this website because they cannot provide secure electronic transmission of personal or confidential information.

To submit a disclosure of wrongdoing or complaint of reprisal, fill out the appropriate form^viii and mail, fax (secure transmission) or bring it to the Office in person.

[Endnotes]

1. Office of the Public Sector Integrity Commissioner of Canada
2. Office of the Public Sector Integrity Commissioner of Canada
3. Treasury Board of Canada Secretariat
4. Public Accounts of Canada 2013
5. Office of the Public Sector Integrity Commissioner of Canada
6. Office of the Public Sector Integrity Commissioner of Canada
7. Finance Canada
8. Office of the Public Sector Integrity Commissioner of Canada, Forms