Audit of Values and Ethics

Table of Contents

Executive Summary

Introduction

Federal public servantsFootnote 1 have a fundamental role to play in serving Canadians under the direction of the elected government and in accordance with the law. As professionals whose work is essential to Canada’s well-being and the enduring strength of the Canadian democracy, public servants uphold the public trust.

The Constitution of Canada and the principles of responsible government provide the foundation for the role, responsibilities and values of the federal public sector. Built on this foundation, the Treasury Board established, on April 2, 2012, the Values and Ethics Code for the Public Sector (VECPS). It outlines the values and expected behaviours that guide public servants in all activities related to their professional duties. By committing to these values and adhering to the expected behaviours, public servants strengthen the ethical culture of the public sector and contribute to public confidence in the integrity of all public institutions.

In accordance with section 6 of the Public Servants Disclosure Protection Act (PSDPA), the Department of Justice (the Department) introduced, on February 26, 2013, the Values and Ethics Code of the Department of Justice (the Code). Inspired by the VECPS and the Treasury Board’s Policy on Conflict of Interest and Post-Employment, it reflects the distinct culture and procedures of the Department and sets out the values and ethics (V&E) that guide public servants in all their professional activities. The Code, which applies to all public servants in the Department, centers around five core values of the VECPS: respect for democracy; respect for people; integrity; stewardship; and, excellence. These values are a compass that guides public servants in their actions, and informs policies, processes and systems. The Code describes clearly, though not exhaustively, specific behaviours that allow public servants to respect these values. In adhering to these expected behaviours, public servants contribute to creating and maintaining a values-based and ethical workplace.

In addition to the requirements set out in the Code, public servants in the Department must also comply with any applicable codes and standards of their profession. This includes obligations by legal counsel to remain in good standing with their law societies which requires them to comply with specific ethical principles and professional rules and standards. Adherence to these codes, principles and professional rules and standards are a condition of employment, regardless of level or position.

To support an environment in which public servants adhere to such behaviours, the Department implemented the Values and Ethics Program (the V&E Program). Administered within the Workplace Branch, the V&E Program supports the establishment of a values-based and ethical workplace through the provision of advice, guidance, decisions, information, training, tools and resources on all aspects of values and ethics. In handling matters related to values and ethics, the V&E Program collaborates and consults with key partners within the organization on an as required basis. Key partners include, but are not limited to Corporate Services Branch, Human Resources Branch, and Legal Practices Branch.

Strengths

The Department has undertaken steps to strengthen its governance structure supporting values and ethics with the recent appointment of a Values and Ethics Champion (V&E Champion) and the establishment of the cross-functional V&E Advisory Group (VEAG) that reports to the Management Committee. The importance of values and ethics was clearly recognized throughout the audit and foundational work has been undertaken by the VEAG to identify and assess corporate ethical risks. Policies, processes, guidance and tools to support values and ethics have been established, along with extensive information available to employees on the intranet site on the topic of values and ethics. Training, awareness and communication activities are undertaken on a regular basis to inform employees and managers of their responsibilities. 

Areas for Improvement

An opportunity exists to document the Department’s collaborative organizational approach in managing those matters related to values and ethics that overlap between the V&E Program and its key partners.

To build on the existing reporting by some key partners, and align with the organizational health dashboard being developed by the Management Sector, opportunities exist to establish integrated reporting to capture values and ethics-related themes raised by the V&E Program and its key partners. Periodic monitoring of these integrated reporting results would facilitate discussion of key ethical risks and trends at the highest levels of the organization.

Audit Opinion and Conclusion

In our opinion, the Department has established adequate processes to support a values-based and ethical workplace in the Department. A values and ethics governance structure has been established and is strengthened by the newly created cross-functional VEAG and the V&E Champion. Policies and processes to support values and ethics have been established, along with training, awareness and communication activities to regularly inform employees and managers of their responsibilities. Interview results confirmed that the Code is well-understood by employees, employees are well-aware of the channels to make disclosures, and managers understand the V&E disclosure process and their role in monitoring mitigating measures.

Opportunities were identified to integrate values and ethics into the Department’s dashboard reporting and to formally document the Department’s collaborative organizational approach in managing those matters related to values and ethics that overlap between the V&E Program and its key partners. 

Management Response

Management is in agreement with the audit findings, has accepted the recommendations included in this report, and has developed a management action plan to address them. The management action plan has been integrated in this report.

1. Statement of Conformance

In my professional judgment as Acting Chief Audit Executive, the audit conforms to the International Standards for the Professional Practice of Internal Auditing, as supported by the results of the Quality Assurance and Improvement Program.

Submitted by:

Original signed by Antoine Abourizk
September 27, 2018

Antoine Abourizk, MBA, CIA, CRMA, CGAP
Acting Chief Audit Executive
Department of Justice Canada

2. Acknowledgement

The Acting Chief Audit Executive would like to thank the audit team and those individuals who contributed to this engagement and particularly, employees who provided insights and comments as part of this audit.

3. Background

Federal public servantsFootnote 2 have a fundamental role to play in serving Canadians under the direction of the elected government and in accordance with the law. As professionals whose work is essential to Canada’s well-being and the enduring strength of the Canadian democracy, public servants uphold the public trust.

The Constitution of Canada and the principles of responsible government provide the foundation for the role, responsibilities and values of the federal public sector. Built on this foundation, the Treasury Board established, on April 2, 2012, the Values and Ethics Code for the Public Sector (VECPS). It outlines the values and expected behaviours that guide public servants in all activities related to their professional duties. By committing to these values and adhering to the expected behaviours, public servants strengthen the ethical culture of the public sector and contribute to public confidence in the integrity of all public institutions.

In accordance with section 6 of the Public Servants Disclosure Protection Act (PSDPA), the Department of Justice (the Department) introduced, on February 26, 2013, the Values and Ethics Code of the Department of Justice (the Code). Inspired by the VECPS and the Treasury Board’s Policy on Conflict of Interest and Post-Employment, it reflects the distinct culture and procedures of the Department and sets out the values and ethics (V&E) that guide public servants in all their professional activities.

The Code, which applies to all public servants in the Department, centers around five core values of the VECPS: respect for democracy; respect for people; integrity; stewardship; and, excellence. These values are a compass that guides public servants in their actions, and informs policies, processes and systems. The Code describes clearly, though not exhaustively, specific behaviours that allow public servants to respect these values. In adhering to these expected behaviours, public servants contribute to creating and maintaining a values-based and ethical workplace.

All public servants throughout the Department have duties and obligations under the Code. As provided by sections 12 and 13 of the PSDPA, all public servants who have information that could indicate a serious breach of the Code can bring the matter, in confidence and without fear of reprisal, to the attention of their immediate supervisor, the Senior Officer for Disclosure or the Public Sector Integrity Commissioner. It is also the responsibility of every public servant, regardless of their position, to review the Code regularly (at least once a year and more frequently if there is a change in their circumstances) and to be familiar with their duties and obligations. Managers, by virtue of their position of influence and authority, have a particular responsibility to exemplify the values of the public sector and the Department. They are expected, among others, to promote a culture based on these values, encourage dialogue and provide advice and guidance as needed to public servants under their supervision on issues related to values and ethics.

In addition to the requirements set out in the Code, public servants in the Department must also comply with any applicable codes and standards of their profession. This includes obligations by legal counsel to remain in good standing with their law societies which requires them to comply with specific ethical principles and professional rules and standards. Adherence to these codes, principles and professional rules and standards are a condition of employment, regardless of level or position.

In an effort to support an environment in which public servants adhere to such behaviours, the Department implemented the Values and Ethics Program (the V&E Program). Administered within the Workplace Branch by a team of three full-time employees, the V&E Program supports the establishment of a values-based and ethical workplace through the provision of advice, guidance, decisions, information, training, tools and resources on all aspects of values and ethics. The V&E Program also assists public servants in preventing and resolving ethical issues that may arise under the Code. The inquiries they handle relate to values and expected behaviours, conflict of interest, post-employment, political activities, lobbying, and disclosure of wrongdoing.

In 2016-17, the V&E Program handled a total of 627 inquiries related to values and ethics, representing a 5% increase in demand over the previous year. The vast majority of these inquiries related to conflict of interest (558 inquiries, representing 89% of the workload). The remaining inquiries related to post-employment (60), political activity (7), and wrongdoing (2). In the case of conflicts of interest, public servants are obligated to report all outside activities, assets and interests that might give rise to a real, apparent or potential conflict of interest with respect to their official duties. Through the services offered by the V&E Program, public servants have access to the information (e.g., fact sheets) and tools (e.g., forms) they need to report any such activities, assets and interests, ensuring they fulfill their duties under the Code.

In 2016-17, counsel made up the majority of the V&E Program’s client demographic, with 74% of inquiries coming from the Department’s lawyers. This figure, which is reflective of departmental workforce demographics (69% legal vs. 31% other professionals), underscores the importance of providing services that respond to the needs of this community. The V&E Program, in handling matters related to values and ethics, collaborates and consults with key partners within the organization on an as required basis.

In 2014, at the request of the Deputy Minister, the Department established the Professional Responsibility Service (PRS), to support the Justice legal community in meeting the requirements of applicable ethical principles and professional rules and standards (i.e., professional codes of conduct) associated with the practice of law in the Department of Justice. Each provincial or territorial law society establishes a code of conduct for their members, with a Model Code of Professional Conduct in place by the Federation of Law Societies of Canada which has been implemented (in whole or in part) by a number of law societies. Most of the services provided by PRS relate to the confidential relationship between individual Justice Canada legal counsel and the provincial or territorial law societies of which they are members. Consequently, such relationships remain confidential as between PRS, legal counsel, their manager, and their law societies.  Originally situated within the Workplace Branch, PRS was moved to the Legal Practices Branch (LPB) during the course of the audit. 

In addition to partnering with the LPB, the V&E Program also partners with other groups within the Management Sector (e.g., Corporate Services Branch, Human Resources Branch). For example, Corporate Services Branch may be consulted within the context of matters related to the unacceptable use of the network and devices as it relates to values and ethics, whereas the Human Resources Branch (HRB) may be consulted concerning matters related to workplace misconduct.  

To further enhance collaboration and to integrate values and ethics within the Department, the V&E Program has brought additional stakeholders together (e.g., Policy Sector, National Litigation Sector) by establishing the Values and Ethics Advisory Group (VEAG). This will help the Department fulfil its commitment to continue to promote a values-based and ethical workplace, as outlined in the Human Resources Plan 2017-2020. Reporting to the Management Committee, the VEAG is the Department’s forum for horizontal and integrated engagement and advice on corporate ethical issues and initiatives affecting the Department.

Its mandate includes reviewing, assessing, guiding and advising on corporate, high risk or recurring ethical issues and recommend a course of action for resolution or strategies for mitigating future similar issues. Where needed, it will make concrete recommendations for implementation to the Management Committee. While the V&E Program remains the authority in this area, this forum ensures consistency and coherence in the Department’s approach to managing values-based and ethical risks in the workplace.

It will also support the V&E Program by identifying trends, areas of risk or issues requiring action, as well as facilitating corporate and central agency reporting. The appointment of a Values and Ethics Champion (V&E Champion) further supports the efforts of the V&E Program in, and underscores the importance of, promoting a values-based and ethical workplace.

4. Audit Objective

The objective of the audit was to provide assurance that processes are in place to support a values-based and ethical workplace in the Department.

5. Audit Scope

The audit provided insight on efforts made by the Department since the introduction of the Code in February 2013.

The scope included relevant activities within the Department that support a values-based and ethical workplace, with focus placed on the activities of the V&E Program and those of its key partners as they relate to the Code, including its requirement that public servants comply with any applicable codes and standards of their profession. With regards to the review of policies, processes and files, the audit covered the period of FY 2016-17 to 2017-18.

While the audit included matters arising out of employees’ official duties, it did not examine the relationship between employees and their professional association(s) (e.g., counsel and their law societies). As such, recommendations are limited to activities led by the Department and do not include review of confidential documents with the law societies or counsel.

Save and except for above reference to confidential documents with the law societies or counsel in their dealings with the PRS, the audit included, but was not limited to, document review (e.g., policies, processes, files) and interviews with key personnel.

6. Audit Approach

The audit team carried out its mandate in accordance with Treasury Board’s Policy on Internal Audit and the Institute of Internal Auditors’ International Standards for the Professional Practice of Internal Auditing. The audit employed various techniques including a risk assessment of the audit entity, interviews, and the review and analysis of documentation.

7. Findings, Recommendations and Management Response and Action Plan

This section provides the findings and recommendations resulting from the audit work carried out. The audit was conducted based on the lines of enquiry and audit criteria identified in the planning phase which are presented in Appendix A.

7.1 Governance Structure, Vision and Objectives

With the recent establishment of the cross-functional VEAG and the appointment of a V&E Champion, the Department has undertaken steps to strengthen its governance structure supporting values and ethics. The importance of values and ethics was clearly recognized in the documentation reviewed and interviews conducted. There is, however, an opportunity to document the Department’s collaborative approach in managing those matters related to values and ethics that overlap between the V&E Program and its key partners.

Vision and Objectives for a Values-Based and Ethical Workplace

The Department’s Human Resources Management (HRM) Plan 2017-2020 highlighted the priority for a ‘values-based and ethical workplace’. This supports a strong tone at the top which emphasizes the importance of values and ethics within the Department.

V&E concepts have been integrated into department-wide documents, demonstrating tone at the top supporting V&E at a high-level. These include the Logic Model for the HRM Plan, the Executive Committee Mandate Letter committing to promoting a healthy workplace, and integration of V&E concepts into orientation for new employees and students among others. Interviews conducted indicated strong support for the importance of values and ethics and demonstrating ethical behavior. Consultations with senior management echoed a strong tone at the top aligned with the values identified in the Code (respect for democracy, respect for people, integrity, stewardship, and excellence) which are reflective of those identified in the VECPS. 

The idea of a values-based and ethical workplace is broad and over-arching, bringing together many key partners within the Department, all of whom directly or indirectly contribute to the creation of an ethical workplace. We support the V&E Program’s efforts to continue its collaborative work with its key partners, including the periodic issuance of communications related to the Department’s vision and objectives for a values-based and ethical workplace.  These communications help sustain the Department’s strong culture where values and ethics matter and serve as a compass to guide its public servants.     

Governance Structure and Oversight

The Department has taken positive steps to strengthen its governance structure supporting values and ethics. This includes establishing a V&E Governance Framework, appointing a V&E Champion and establishing a VEAG. Reporting to Management Committee and supported by the V&E Program, the VEAG is a cross-functional working group that has representatives from each direct report to the Deputy Minister, as well as key partners (Human Resources, Corporate Services, Finance and Planning, Legal Practices, and the Centre for Labour and Employment Law), to ensure that all the key business areas (corporate, legal advisory, litigation, policy and legislative) are considered as part of the VEAG’s work.

The newly created VEAG provides a forum for horizontal and integrated engagement on corporate ethical issues and initiatives impacting the Department. The VEAG has convened its initial meetings, with a focus on the identification and prioritization of corporate ethical risks. Positive feedback has been provided so far on its role to strengthen integration of values and ethics. The V&E Champion will be well-placed to support visibility of values and ethics, both in their role as chair of the VEAG and through their advocacy role with senior management and within the Department. 

As the functions of the V&E Champion and VEAG are in their early stages of implementation, we were not able to assess their effectiveness in supporting the vision and objectives for values and ethics. We support the work being done by the V&E Program to facilitate documentation of V&E leadership roles, including the V&E Champion, the delegated authority for V&E matters, and the Program. 

As part of the Department’s Delegation of Human Resources Authorities, the authority to oversee activities related to values and ethics is delegated to the Director General (DG) of the HRB. If the DG of HRB is in a conflict of interest, matters are referred to the Assistant Deputy Minister (ADM), Management Sector for decision. If the ADM, Management Sector is in a conflict of interest, matters are referred directly to the Associate Deputy Minister or the Deputy Minister. This delegation of authority reflects the Department’s organizational structure as the V&E Program is organizationally placed within the Workplace Branch. The Workplace Branch reports up through the Chief Financial Officer (CFO) and ADM Management Sector under the guidance of the HRB.

Recognizing the professionalism of many of the key partners who interact with the V&E Program to create the values-based and ethical workplace, an effective approach has been employed to ensure that functional experts within the Department are consulted on an as required basis depending on the case at hand. While this approach does ensure collaboration, consistency and ease in managing matters related to values and ethics that overlap with areas of responsibility of key partners, potential future changes in the tenure of key partners may lead to deviations from the current approach. As a result, there is an opportunity to formally document the Department’s collaborative organizational approach in managing those matters related to values and ethics that overlap with the areas of responsibility.

Recommendation 1

It is recommended that the CFO and ADM Management Sector:

  1. Document the Department’s collaborative approach in managing those matters related to values and ethics that overlap with the areas of responsibility. .
Management Response and Action Plan

Agreed.

  1. Processes and procedures will be documented to sustain the Department’s collaborative approach in managing cases related to values and ethics that overlap.

Office of Primary Interest: Management Sector

Due Date: May 2019

7.2 Key Policies, Process and Guidance

Policies and processes to support values and ethics have been established, including the formal documentation of the Code in 2013, along with extensive information available to employees on the intranet site on the topic of values and ethics. Training, awareness and communication activities are undertaken on a regular basis to inform employees and managers of their responsibilities. Foundational work has been done by the VEAG to identify and assess corporate ethical risks. Leveraging the newly established VEAG and the V&E Champion will further promote key messages around values and ethics throughout the Department.

Processes to review the Values and Ethics Code of the Department of Justice

Organizations subject to the PSDPA are required to establish their own codes of conduct that are consistent with the VECPS.  Introduced in February 2013, the Department’s Code was inspired by the VECPS and the Treasury Board’s Policy on Conflict of Interest and Post-Employment. The Code reflects the distinct culture and procedures of the Department and sets out the values and ethics that guide public servants in all their professional activities. The Code’s expected behaviours reflect those identified in the VECPS, and highlight additional expected behaviours tailored to the Department, as deemed appropriate by senior management. For example, under the value of Integrity, the Code identifies additional expected behaviours covering: confidentiality of information; reputation of the Department; social media; and acceptable network and device uses.

In developing the Code, the Department followed the model code guidance issued by the Treasury Board Secretariat (TBS). Prior to its approval, extensive consultations were conducted on the Code with the National Working Group, employees, functional authorities in the Management Sector, bargaining agents and Executive Committee. In response to TBS’ requirement to have departments subject to the PSDPA seek acknowledgement from employees of the VECPS when it came into effect, the Department combined the acknowledgement of the VECPS and the Code into one message and integrated it into the 2012-13 performance management process. The communications approach to introduce the Code included a message from the Deputy Minister, an intranet webpage, as well as various other internal communications tools such as email communiques, manager led discussions with employees, etc. 

Since its establishment in 2013, there have been no revisions made to the Code. The V&E Program has informal practices in place to scan the environment for changes related to the Code requiring additional guidance. This guidance is issued in the form of ‘Fact Sheets’ available to employees on the Department’s intranet site (e.g., the use of social media). There have also been numerous supporting tools that have been developed since the inception of the Code, including but not limited to guidance on the disclosure process for those areas which might give rise to a conflict of interest (i.e. teaching, volunteering, and post-employment).

These informal practices to scan the environment for changes related to the Code are considered sufficient, given that interview results found that the Code is well-understood by employees and the VECPS was not subject to revisions by the Office of the Chief Human Resources Officer during this time. The Department is well-positioned to leverage the results of its risk assessment related to values and ethics as well as the results from comprehensive reporting to assess whether changes to the Code are needed, including re-engagement of senior management to confirm the continued suitability of expected behaviours. 

Key Policies and Guidance

The Department has established a solid foundation of key policies and guidance to support values and ethics. The V&E Program has established an intranet site to keep employees and managers well-informed on their obligations under the Code, who to contact and how to address issues related to values and ethics. This information includes Frequently Asked Questions, disclosure forms, fact sheets and other resources that provide descriptions of common situations requiring disclosures (e.g. conflict of interest, post-employment, publishing, teaching, etc.).

Key policies, guidelines, tools, forms, fact sheets and checklists are in place to communicate commitments under the Code and to incorporate values and ethics into all daily activities and in decision-making at all levels of the Department. Documents reviewed did make linkages to other policies that were related to V&E. For example, the Code makes reference to the Treasury Board Policy on Conflict of Interest and Post-Employment and the VECPS. In addition, the key partners consult with the V&E Program when developing or revising their departmental policies, guidelines or directives to ensure that these documents are in line with Code and that the appropriate references are included when relevant.

Key Processes Supporting Values and Ethics

Key processes are in place to support employees in making mandatory disclosures to the Workplace Branch and the interviewees consulted were well-aware of the channels to make disclosures. These comments are reflective of the 2017 Public Service Employee Survey (PSES) results, where the majority of respondents indicated they knew where to go for help in resolving an ethical dilemma or conflict between values in the workplace. There is an established process in place for employees making disclosures under the Code to the V&E Program, which are well-supported by fact sheets, checklist and forms for the various types of disclosures (e.g., speaking, gifts, post-employment, teaching etc.).

V&E processes are entrenched into key departmental processes, such as the recruiting process, for example, through letters of offer which clearly identify the requirement to abide by the Code as a condition of employment and provide for the disclosure of real, apparent or potential conflict of interest situations to the Workplace Branch within a 60 day timeframe of the offer letter. Consideration of post-employment conflict of interest situations are also embedded into the departmental departure process.

For V&E disclosures, a process is in place to gather required information from the employee. Once the V&E Program has analyzed the matter, a formal letter is prepared documenting any mitigation measures required, before being reviewed and approved by the delegated authority for all formal V&E disclosures. As described in Annex A of the Code, managers are responsible to review submissions from employees, provide input as requested by the V&E Program, and are responsible to monitor compliance with decisions or other measures established to prevent or minimize risk related to conflict of interest. Managers are also responsible to notify the V&E Program of breaches under the Code and non-compliance with established measures. Interviews with managers confirmed their understanding of the V&E disclosure process and their role in monitoring mitigating measures.

For PRS cases, a file intake protocol has been established. Consultations between PRS and the lawyer to discuss the matter are organized, after which PRS develops recommendations. PRS discusses with the ADM responsible, who approves the proposed recommendations and actions.

Risk Assessment for Values and Ethics

The Department has begun foundational work on the identification and assessment of corporate ethical risks, through the recent discussions at the VEAG. Members brought their collective knowledge of their areas to identify and assess potential ethical or conflict of interest risks, and discussed their perceptions of the ethical culture. Based on the input provided by members and the group discussion, key risks were identified and presented to Management Committee, with a commitment to develop action plans. As a result of this work, the Department will be well-placed to integrate corporate ethical risks into the Corporate Risk Profile process, to help identify the unique ethical risks faced by employees and recurring ethical risks impacting multiple areas.

In addition, as the Department continues to evolve its risk assessment practices, we encourage the V&E Program to share with Corporate Planning, Reporting and Risk the draft guidance that it has prepared to strengthen the rigour around the identification and assessment of corporate ethical risks so that it may be finalized and integrated into the Department’s Corporate Risk Profile process.

Training and Awareness

The V&E Program has a dedicated intranet site that provides information such as: the Code; guidance, tools and declaration forms for conflict of interest and post-employment; as well as information on the disclosure of wrongdoing process (i.e., the internal disclosure process available to staff as required by the PSDPA). Contact information for members of the V&E Program, including a dedicated V&E email address and toll-free telephone number are also available. Annually, there is a Department-wide email sent reminding employees to review their responsibilities under the Code, along with a summary of general obligations under conflict of interest, post-employment and receipt of benefits situations. Interviews conducted through the audit identified that these communiqués placed emphasis on the compliance aspects of the Code, with opportunities to leverage proactive communications around the values and expected behaviours, along with ethical challenges tailored to the Department.

There were many formal training sessions offered by the V&E Program, including general information sessions on the Code and its application. Offered in the national capital region and regionally, there were a total of 28 sessions attended by over 450 participants in FY 2016-17, and 17 offerings attended by over 325 participants in FY 2017-18. These sessions complement the foundational V&E course offered through the Canada School of Public Service, mandatory for new public servants. On the PRS side, over 500 employees participated in training in FY 2017-18. In addition, V&E and PRS topics are included in on-boarding for new employees, summer students and articling students. 

The V&E Program also offers tailored training on an as requested basis, a Values Discussion series, and more recently launched a manager’s guide to active dialogue on values and ethics across the Department. Many interviewees also noted discussions of values and ethics at team meetings to raise awareness. While no formal audit recommendations are issued under this area of examination, we support the continued efforts to leverage the newly established VEAG and the V&E Champion to foster an on-going dialogue on values and ethics at all levels of the organization that is informed by the ethical risk assessment process, and continuously integrates the values and expected behaviours defined in the Code into daily operations and decision-making. These awareness activities will further strengthen the linkages between the key aspects of the Code and management’s vision for a values-based and ethical workplace.

7.3 Reporting

Reporting and performance data currently focuses on the V&E Program’s operational statistics and service standards, along with departmental reporting that is achieved  through the results from the PSES.

Performance Indicators

Existing performance data provided to senior management focuses on V&E service standards (e.g., provision of courteous, fair, confidential, and accessible services; triaging and decision response times based on the nature of the disclosure). The V&E Program’s client satisfaction and results against service standards were exceptional, results which were consistently echoed through interviews conducted.

The Department also participates in the PSES, a triennial survey where employees share their views on employee engagement, leadership, the workforce, the workplace, and workplace well-being. Of note from the most recent PSES conducted in 2017:

The Department included supplemental questions, one of which highlighted that the majority of respondents thought their supervisor led by example by demonstrating the values of the public service.

Beyond the PSES, there is no separate ‘ethical climate survey’ conducted by the Department, a mechanism identified by other government departments as a leading practice to measure performance and get a periodic pulse on ethical issues and challenges being faced by the organizationFootnote 3. This type of survey could provide insight on whether the values identified in the Code are being demonstrated through behaviours in the course of daily operations. Other external research identified examples of leading and lagging metrics and indicators to provide insight on the ethical health of the organization.  As part of comprehensive reporting addressed in the next section, there are opportunities for Management Sector to identify key performance metrics to provide timely insight into the ethical health of the organization.

Comprehensive Reporting and Processes in Place to Integrate Information from Key Partners

Best practices suggest that information be continuously gathered and analyzed to identify and take action on trends and ‘hot spots’. This information could be aggregated from multiple sources, for example: conflict of interest topics discussed, training evaluations, advice seeking, and requests for internal conflict interventions to name a fewFootnote 4. In the Department, some reporting is done by key partners, but there is no consolidation of information to provide a comprehensive and integrated report on V&E. For example, the V&E Program reports annually against service standards and operational case statistics (e.g., the number of conflict of interest and post-employment files handled). PRS has reported to governance committees in the past on the types of professional responsibility and legal ethics issues it has handled, however this reporting is not done on a regular basis. Other key partners such as Informal Conflict Management Services and Security also track cases by theme. There is no systematic analysis of these themes and their potential implications on V&E done presently.

We recognize that the V&E Program, along with its key partners, has taken an informal practical approach to integrate information from their respective functional area on values and ethics matters. As functional experts within the Department, key partners are consulted on an as-required basis, depending on the case at hand. With the work of the VEAG, the Department will be well-placed to increase integration and comprehensive reporting across key partners.

We understand that the Management Sector has identified the need for, and is in the process of developing, an organizational health dashboard. We support this type of dashboard reporting and encourage the consideration of values and ethics issues as part of this comprehensive reporting, to support trend analysis and to facilitate discussions of values and ethics matters at all levels of the department.

Recommendation 2

It is recommended that the CFO and ADM Management Sector:

  1. As part of the ongoing work by the Management Sector to develop an organizational health dashboard, establish integrated dashboard reporting to capture values and ethics-related themes raised by the V&E Program and its key partners.
  2. Establish periodic monitoring of these results, leveraging the updated governance structure (VEAG reporting through Management Committee) to bring the key ethical risks for Executive Committee discussion.
Management Response and Action Plan

Agreed.

  1. The V&E Program will engage and collaborate with its key partners to propose values and ethics related themes for inclusion into the organizational health dashboard or other specific dashboards dedicated to values and ethics.
  2. Dashboard results will build on existing monitoring and will be discussed via the VEAG and other forums (i.e. Management Committee, Executive Committee, etc.) so that key ethical risks can be discussed by senior management on a periodic basis.

Office of Primary Interest: Management Sector

Due Date: October 2019

8. Audit Opinion

In our opinion, the Department has established adequate processes to support a values-based and ethical workplace in the Department. A values and ethics governance structure has been established and is strengthened by the newly created cross-functional Values and Ethics Advisory Group and the V&E Champion. Policies and processes to support values and ethics have been established, along with training, awareness and communication activities to regularly inform employees and managers of their responsibilities. Interview results confirmed that the Code is well-understood by employees, employees are well-aware of the channels to make disclosures, and managers understand the V&E disclosure process and their role in monitoring mitigating measures.

Opportunities were identified to integrate values and ethics into the Department’s dashboard reporting and to formally document the Department’s collaborative organizational approach in managing those matters related to values and ethics that overlap between the V&E Program and its key partners.

Appendix A – Audit Criteria

Line of Enquiry 1 – Governance

Line of Enquiry 2 – Whole-of-Department Approach

Appendix B – List of Acronyms

ADM
Assistant Deputy Minister
CFO
Chief Financial Officer
Code
Values and Ethics Code of the Department of Justice
Department
Department of Justice
HRB
Human Resources Branch
HRM Plan
Human Resources Management Plan
LPB
Legal Practices Branch
PRS
Professional Responsibility Service
PSDPA
Public Servants Disclosure Protection Act
PSES
Public Service Employee Survey
TBS
Treasury Board Secretariat
V&E
Values and ethics
V&E Champion
Values & Ethics Champion
V&E Program
Values and Ethics Program
VEAG
Values and Ethics Advisory Group
VECPS
Values and Ethics Code for the Public Sector