This section lays out the general management responsibilities of heads of agencies for
human resources management and comptrollership in their organizations.1.
Human Resources Management
- The Agency Head and Board Members
Generally, enabling statutes stipulate that the agency head is the chief executive
officer of the organization and has overall responsibility for the work of the agency.
Most of the agency head’s authority to direct and manage the organization flows from
these concise and general words. The relations between heads and members of agencies are
complex, particularly in organizations with collegial structures where the heads must
exercise their leadership while remaining sensitive to the organizational structure.
Depending on the particular provisions of their enabling statutes, and usually with the
members’ participation, heads of agencies have used various means to direct the work
of members. The issuance of guidelines relating to the execution of duties by the members,
the institution of Codes of Conduct for members or the utilization of Memoranda of
Understanding between the agency heads and the members have been used in the past.
Heads of agencies have the authority to set work objectives and evaluate the
performance of members of their agency. The performance appraisals can be used to help
identify staff training and skills development needs, and to identify board members ripe
to undertake new tasks or learn new expertise. However, the appraisals should be
restricted, in the case of administrative tribunals, to factors such as productivity,
analytical skills, proficiency and presiding skills, as opposed to the merit of the actual
decisions made by members.
Terms and conditions of employment apply to members, whether appointed during good
behaviour or during pleasure. Agency heads are responsible for the proper management of
the terms and conditions of employment, which encompass annual leave, sick leave, travel
expenses, etc. The responsibility rests with the agency heads to approve or reject members
travel claims, and to ensure that only reasonable expenses are authorized. (Please refer
to section 4 of this chapter for further details on travel and hospitality.)
For those organizations whose members are appointed during "good behaviour",
the powers of heads of agencies to suspend or impose administrative sanctions against a
member who does not meet the standard of conduct expected of a public office holder are
limited. The Governor in Council is the only authority with the power to remove a good
behaviour appointee subject to the rules of procedural fairness.
The power to discipline or remove a person appointed during pleasure rests with the
Governor in Council.
- The Agency Head and Employees
All human resources management authorities exercised by employers, other than staffing,
are defined in the Financial Administration Act. These authorities may be delegated to
heads of agencies, including separate employers, as defined in the Public Service Staff
Relations Act (PSSRA). In any such delegation, the entire scope of authorities is
delegated, not simply parts. These authorities permit tailoring of human resources
management to the specific operational requirements of agencies, rather than to those
designed for the larger public service. For example, the agency head has the option of
redesigning bargaining units to more accurately reflect business requirements. The head
can bargain directly with its unions, although it remains within the federal jurisdiction.
The PSSRA defines the Treasury Board as the employer for departments and agencies
listed in Schedule I, Part I of that act. Agencies listed in Part II of the Schedule are
deemed to be separate employers. The PSSRA applies equally to organizations in Part I and
separate employers in Part II. Separate employers establish their own terms and conditions
of employment pursuant to the PSSRA, and are subject to government review.
While separate employers are not subject to, they may still choose to follow Treasury
Board policies on job classification, training, development, performance review and
compensation (note that compensation strategies are subject to government review);
National Joint Council (NJC) directives; and the Public Service Employment Act.
Organizations for which the Treasury Board is the employer are subject to the Public
Service Superannuation Act (PSSA). Organizations in Schedule I, Part II of the PSSRA are
also subject to the PSSA unless specifically excluded.
Heads of organizations listed in Part I are delegated broad employment equity
authorities under the Employment Equity Program of the Treasury Board. Separate employers
in Part II of Schedule I with 100 or more employees are subject to the Employment Equity
Act, those with less than 100 employees are exempt.
2. Official Languages
All agencies in Part I and II of the PSSRA are subject to the Official Languages Act.
They therefore have obligations with respect to communications with and services to the
public, language of work and participation of English-speaking and French-speaking
Canadians in federal institutions. In this general context, these organizations are
subject to the Treasury Board policies which deal with the three parts of the Act and must
report annually to the Treasury Board on progress.
With respect to service to the public, all agencies have an obligation to provide
members of the public with services in the official language of their choice from head or
central offices, from offices in the National Capital Region and from other offices
required to provide their services and communications in both official languages pursuant
to the official languages regulations on service to the public. With respect to language
of work, all agencies must ensure that their employees have the right, in designated
regions, such as the National Capital Region, to be able to work in either official
language. In these regions, an agency must also provide its employees with English and
French versions of work instruments and computer software that are regularly and widely
used within the agency. Agencies must also ensure that employees in bilingual positions
are supervised in the language of their choice. In terms of equitable participation, all
agencies must ensure that members of both linguistic groups have equal opportunities for
employment and advancement within their organizations.
Agencies are also subject to section 11 of the Act regarding notices and advertisements
required by an act of Parliament to inform the public. They are also subject to section 91
of the Act which requires that, in staffing actions, the official languages requirements
attached to positions must be set objectively.
In addition to being subject to all the language obligations that apply
to federal institutions, administrative or quasi-judicial tribunals are also subject to
Part III of the Act. Part III, and particularly section 16, of the Act, requires that any
federal court, meaning any court, tribunal or other body that carries out adjudicative
functions, ensure that the judge or official hearing a case is able to understand it in
English or in French, or both languages, without the assistance of interpretation.
It further requires that the pre-printed portion of any form that is
used in proceedings must be bilingual and that final decisions must be issued in both
official languages.
3. Comptrollership
Modern comptrollership implies vigorous stewardship of public
resources, a high standard of ethics, and provision for appropriate parliamentary
oversight. To deliver affordable and high quality services to Canadians, managers need
flexibility, incentives, and information. The focus of modern comptrollership, therefore,
is on results, accountability and risk management. Comptrollership must evolve from the
perception that it is a narrow and specialized function in order to become a
well-understood responsibility of every public service manager. In particular, there is a
pressing need to integrate financial and non-financial information to foster a better
understanding of past performance and, more importantly, to support decision- making and
planning.
The comptrollership responsibilities listed below encompass every
management responsibility. The following are comptrollership responsibilities particular
to agency heads, as noted in the Report of the Independent Review Panel on the
Modernization of Comptrollership in the Government of Canada.
Agency heads should:
accept their prime responsibility for comptrollership within their
organizations and create a culture and environment within which comptrollership can make
its contribution to strategic and business planning, risk management, control, and
performance reporting;
establish, and be held accountable for, the comptrollership regime
that best suits their assessment of their organization’s circumstances and needs
while meeting government-wide standards;
develop short and longer-term plans for comptrollership suitable for
their departments;
produce annually, for their Ministers and the Treasury Board
Secretariat, a consolidated and integrated report, capable of standing the test of audit
(which should be applied at least once every several years), on their organization’s
financial and non-financial performance;
work with the Treasury Board Secretariat to determine a reporting
cycle for the performance of different aspects of the organization’s businesses;
report annually to their Ministers and the Treasury Board Secretariat
on the extent to which they meet the government-wide standards for comptrollership;
ensure appropriate rotation of financial staff through operational
posts and provide managers with the opportunity to become familiar with the tools of
comptrollership specialists;
have the final say in the selection and appointment of the key
players who will have particular comptrollership-related responsibilities; and
strive to maintain a high standard of ethics within their
organization.
4. Travel and Hospitality
While some organizations have the legislative authority to introduce
travel and hospitality policies that differ from those of the Treasury Board, few
organizations choose to do so. Managers authorizing travel and hospitality functions
should be aware of the high standards expected of them. In particular, care should be
taken to avoid any impression of using public funds and facilities for anything other than
official purposes. Deputy Ministers and heads of agencies are accountable and must be
prepared to justify their expenses in keeping with the responsibility of public office
holders to conduct themselves in a manner that can bear the closest public scrutiny.
Travel
The basic norm for hotel accommodations should be comfortable and
convenient, but not excessive. The Travel Directive is therefore a useful tool, and is
available through www.publiservice.gc.ca or www.tbs-sct.gc.ca. By Order in Council (P.C.
1997-1810), the government directed that organizations with their own travel authorities,
and Governor in Council appointees of such organizations, should also be guided by the
Treasury Board Special Travel Authorities and Hospitality Policy in the establishment of
their own policies. Such organizations are accountable for their policies and their heads
are accountable for their personal expenses. Agencies with their own travel policies which
deviate from the rates set by the Treasury Board, are required to report the additional
cost above the rates in their fall Performance Report to Parliament.
The Treasury Board Travel Directive applies to public service employees
in departments and agencies listed in Schedules I, I.1 and II of the Financial
Administration Act, and to other persons travelling on government business —
including exempt staff — unless their travel is governed by another authority (see
the "Special Travel Authorities" chapter of the Travel Directive). Travel rules
for members of the Executive Group, Governor in Council appointees, consultants, students
and other persons travelling on government business are also specified in the
"Special Travel Authorities" chapter. Persons who are outside the public service
and travelling on behalf of the government are not entitled to the full Travel Directive
rates, but rather to the rates and allowances contained in the appendices and subsections
of the Travel Directive referring to "travellers" rather than
"employees".
Hospitality
The Treasury Board Hospitality Policy applies to the staff of all
departments and agencies listed in Schedules I, I.1 and II of the Financial Administration
Act, the Royal Canadian Mounted Police and the Canadian Armed Forces. Hospitality must be
economical and further facilitate the business of the department or agency; hospitality is
also offered when it is considered essential as a matter of courtesy. The policy specifies
the provision of hospitality services available to government employees. The policy
provides general guidance on per capita average costs and establishes minimum authority
levels for various forms of hospitality. It also provides a means to ensure consistency of
application throughout the public service.
Costs associated with guests and employees or staff of the departments
and agencies are governed by the Treasury Board Hospitality Policy and therefore should be
reported as such.
5. Financial, Contract and Asset Management
In the area of financial management, heads of agencies are encouraged
to read the pamphlet Financial Management Accountability in Departments and Agencies
published by the Treasury Board Secretariat, which summarizes the responsibilities of
deputy heads. With respect to financial reporting, as part of the Government of Canada,
agencies must adhere to the requirements established by the Receiver General so that the
consolidated financial statements of the government can be prepared accurately and within
established deadlines. Agency financial results may also be subject to audit by the
Auditor General.
In the materiel management area, activities should be carried out
within the Government’s Green Procurement Framework and Treasury Board policies on
materiel management, which cover the effective life cycle management of materiel,
acquisition and use of executive and other vehicles and furniture. It is expected that
agency heads will ensure that these policies are followed, including the planning,
acquisition and use of materiel, vehicles and furniture for their own use on the job.
With respect to the conduct of capital projects, the Treasury Board
policy on project management applies, emphasizing that projects are to have well defined
objectives within an accountability framework, employ sound project management principles
and be managed in a manner sensitive to risk, complexity and the economy of resources.
The Treasury Board Policies on Risk Management, in addition to
indicating the need for managers to practice risk management in all their management
activities, outlines specific requirements in the following special areas: indemnification
of servants of the Crown, provision of legal assistance to Crown servants, claims and ex
gratia payments, indemnification in contracting, volunteers, and fire protection.
6. Internal Audit and Program Evaluation
The internal audit and program evaluation branches of agencies,
departments and Crown corporations play a significant role in ensuring that departmental
issues are adequately and effectively addressed. These two functions are essential
components of modern comptrollership and an important source of critical management
information to support decision-making and accountability for performance. They provide
assurance that public monies and effort are invested wisely and that proper controls exist
within the system.
It is usually more cost-effective in a smaller to medium-sized agency
to contract for internal audit and program evaluation services. The cost-effectiveness of
contracting should also be a consideration in larger agencies.
Internal Audit
It is government policy that agencies, departments and Crown
corporations audit their programs and operations to assess whether the management
framework is well designed and working as intended. The goal of internal audit is to
provide the deputy head and senior management with advice and assurance on the performance
of the management framework. Specific focus is placed on the cost-effectiveness of program
delivery activities and internal operations, the reliability and integrity of the
information provided for decision-making and accountability reporting, prudence and
probity in the use of public funds and the safeguarding of assets, and compliance with
statutes and policies.
Program Evaluation
Program evaluation can be contrasted with internal audit in that audit
focuses internally on the operations and processes of an organization, whereas program
evaluation focuses externally on the impacts of policies and programs on Canadians.
Evaluation provides the deputy head and senior management with objective and useful advice
on the relevance of policies and programs, their success in achieving objectives and their
cost-effectiveness compared to alternatives. As a result, evaluation facilitates a
management culture that is fact-based, results-oriented, open and accountable. Over the
years, evaluation has become an important source of management information and advice.
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