Audit of the Implementation of the Aboriginal Corrections Accountability Framework

Internal Audit Report

378-1-264

May 11, 2012

Table of Contents

 

EXECUTIVE SUMMARY

Background

The Audit of the Implementation of the Aboriginal Corrections Accountability Framework (the Framework) was conducted as part of Correctional Service Canada's (CSC) 2011-2014 Risk-Based Audit Plan. The purpose of this audit, as outlined in the RBAP, was to provide reasonable assurance that the Framework has been effectively implemented. The audit is material in that it addresses one of CSC's Corporate Risks, one of CSC's priorities and is an integral part of the Transformation Agenda. The audit also took into consideration the anticipated increase in the Aboriginal offender population resulting from legislative changes such as the Truth in Sentencing Act and omnibus crime legislation.

More specifically, the audit's purpose was to provide reasonable assurance that CSC has a management framework in place to support the implementation of the Framework; to ensure that financial resources provided to the regions/institutions for specific Aboriginal initiatives have been used for these purposes; and to ensure that Management Action Plans (MAPs) relating to Aboriginal corrections in response to past audits are being implemented as intended. Particular attention was paid to any requirements of impending legislation and resulting activities.

Conclusion

The audit found that overall, CSC has a management framework in place to support the implementation of the Framework. CSC guidelines and other documentation are consistent with relevant legislation-roles and responsibilities are generally defined. The Results reports produced to provide information on outcome, are generally produced as required with some information missing. Further, financial resource allocations, are managed as expected, and Management Action Plans for internal audit recommendations concerning the Aboriginal offender population are generally progressing as planned.

However, there are areas where improvements can be made to better position the Framework and its resultant Reports to meet the needs of CSC and provide better value to the organization.

Specific areas of concern identified by the audit include:

  • evidence of a disconnect between the roles and responsibilities of CSC staff at the site and institutional levels and those responsible for the Framework;
  • the limited extent of usage and perceived usefulness of the Framework Template and Reports by frontline staff which further reflects the disconnect between this group of CSC staff and those involved directly with the Framework;
  • the significant amount of data generated to fill out in the Template;
  • data omitted from the Report or reported as not available;
  • a lack of precision with a portion of the financial resource allocations for Aboriginal Initiatives Directorate (AID) since funds are coded in a manner that limits the ability to trace their use on certain projects; and
  • Management Action Plans for Aboriginal-focused recommendations are being implemented, but at a slow rate particularly for those related to programming.

Recommendations have been made in the report to address identified areas for improvement. Management has reviewed and agrees with the findings contained in this report and a Management Action Plan has been developed to address the recommendations (see Annex F).

STATEMENT OF ASSURANCE

This engagement was conducted with a moderate level of assurance.

In my professional judgment as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria that were agreed on with management. The opinion is applicable only to the area examined. The evidence was gathered in compliance with Treasury Board policy, directives and standards on internal audit and the procedures used meet the professional standards of the Institute of Internal Auditors. The evidence gathered was sufficient to provide senior management with proof of the opinion derived from the internal audit.

Date: __________________

__________________________________
Sylvie Soucy, CIA
Chief Audit Executive

1.0 INTRODUCTION

Background

The Audit of the Implementation of the Aboriginal Corrections Accountability Framework (the Framework) was conducted as part of Correctional Service Canada's (CSC) 2011-2014 Risk-Based Audit Plan (RBAP). The purpose of this audit, as outlined in the RBAP, was to provide reasonable assurance that the Framework has been effectively implemented. The audit is material in that it addresses one of CSC's Corporate Risks, one of CSC's priorities and is an integral part of the Transformation Agenda. The audit also takes into consideration the anticipated increase in the Aboriginal offender population resulting from legislative changes such as the Truth in Sentencing Act and omnibus crime legislation.

Historical Perspective and Context

Canada's Aboriginal population continues to experience higher rates of criminalization and incarceration than the general population. This population also has a disproportionate level of needs across a number of life areas that impact on their health and the overall well being of individuals and communities. Over-representation within the federal correctional system persists despite legislative and program efforts to find alternatives to incarceration for Aboriginal offenders. This growing population requires the CSC to develop the capacity to provide interventions that address offender needs in a culturally appropriate way, in consultation with Territorial partners. Growth in the Aboriginal offender population also puts pressure on the organization's human resources initiatives that are aimed at increasing the number of Aboriginal employees at all levels of the organization. One significant risk to CSC is that the organization may have difficulty hiring and retaining a workforce that is reflective of the Aboriginal offender population. This may also negatively impact the organization's capacity to deliver culturally-appropriate interventions.1

A Supreme Court of Canada decision in R. v. Gladue (1999)2 provided guidelines on the application of Section 718.2(e) of the Criminal Code of Canada. The purpose of this provision is to address the historical over-representation of Aboriginals in the criminal justice system. The decision is important for CSC because it is now obliged to integrate its principles in the CSC Framework to enhance the role of Aboriginal communities in corrections. As well, these principles have shaped development of CSC policy requiring consideration of Aboriginal social history in case management.

Statistics Canada population projections to 2017 suggest that the disproportionate representation of Aboriginal people among newly sentenced offenders will continue to grow in federal and provincial/territorial correctional systems, particularly in the West and in the North.3

Aboriginal Corrections at CSC

As a response to this situation, one of CSC's six priorities: Enhanced capacities to provide effective interventions for First Nations, Métis and Inuit offenders focuses on Aboriginal offenders.

The diagram below represents the ongoing instruments CSC developed to ascertain that it addresses issues relating to the Aboriginal offender population.

This diagram represents the ongoing instruments CSC developed to ascertain that it addresses issues relating to the Aboriginal offender population.

Therefore, under the management of the Aboriginal Initiatives Directorate (AID), CSC developed the Continuum of Care as a foundation, a Strategic Plan for Aboriginals Corrections (SPAC), and the resulting Aboriginal Corrections Accountability Framework. A Template for Results offers the structure to collect data to inform management on the progress made.

Aboriginal Corrections at CSC

The cornerstone of Aboriginal corrections at CSC is the Continuum of Care (the Continuum) which was created to integrate Aboriginal culture and spirituality with CSC operations. This is accomplished by:

  • starting at intake to identify Aboriginal offenders;
  • leading to paths of healing in institutions to better prepare Aboriginal offenders for transfer to lower security facilities and for conditional release;
  • engaging Aboriginal communities to receive offenders back into their community and support their integration; and
  • ending with establishment of community supports to sustain progress beyond the end of the sentence and prevent re-offending 4

Strategic Plan on Aboriginal Corrections (SPAC)5

A strategic plan was developed to: "articulate [CSC's] vision for Aboriginal corrections: ensuring that [Canada's] federal correctional system is responsive to the needs of Aboriginal offenders, while contributing to safe and healthy communities.

[CSC's] strategic plan will help achieve improved results in this area through greater integration of Aboriginal initiatives and considerations throughout CSC, with other levels of government and with Aboriginal communities."

Aboriginal Corrections Accountability Framework (the Framework)

From the Continuum of Care, a Framework was developed to identify accountability in operationalizing the SPAC, external commitments and recommendations from other sources.

"The Framework, based on a five year strategy starting in 2006 (the 2006-07 to 2010-11 Strategic Plan for Aboriginal Corrections), is a holistic perspective of Aboriginal corrections and directly related to CSC's five Transformation Agenda priorities that are in line with the 15 recommendations of the Review Panel's Report concerning Aboriginal offenders, and all corporate priorities outlined in the RPP (2011-2012 Report on Plans and Priorities).6

The Framework is designed to address the gaps in correctional results between non-Aboriginal and Aboriginal offenders and increase the capacity within and outside of CSC to respond and prepare for the increasing disproportionate representation of Aboriginal offenders".7

The Framework objectives are to:

  • see full implementation of the Continuum of Care for men and women Aboriginal offenders;
  • address systemic barriers;
  • enhance cultural competence;
  • enhance collaboration and implement strategies to improve capacity of communities to participate in Section 84 process under the Corrections and Conditional Release Act (CCRA).8

Template for Results Reporting and Monitoring (the Template)

A template was created as the basis for the measurement of the results achieved by the SPAC. The purpose of the Template is to identify correctional results gaps between Aboriginal and non-Aboriginal offenders. Sectors are expected to reduce the gap between Aboriginal and non-Aboriginal offenders results to meet a pre-identified target for most performance measurements indicators.

It should be noted that the Framework, with its objectives, and the Template's reporting function, were developed by CSC to provide structure for the organization as a whole with regard to Aboriginal corrections.

Other Oversight Activities at CSC

As part of CSC's Five-Year Evaluation Plan, an evaluation of the SPAC was initiated in 2010. The evaluation's goal was to assess the achievement of outcomes and impacts of the 2006-07 to 2010-11 SPAC. The results of the evaluation, due to be completed in early 2012-13 will serve to guide future strategic policy and resource decisions in the area of Aboriginal corrections. It is being carried out in two stages; the first, an evaluation of Healing Lodges, which was complete at the time of this report. The second part of the evaluation, now in its final stages of preparation, is an examination of all other Aboriginal-specific activities identified under SPAC. Both evaluation reports examine relevance and performance as identified by the requirements set forth by Treasury Board. Relevance is assessed such that SPAC addresses a demonstrable need, is appropriate to the federal government, and is responsive to the needs of Canadians. Performance is the assessment of effectiveness, efficiency, and economy.

The Internal Audit Branch was cognizant of the existing work being carried out by the evaluators as the audit plan and program was developed. In order to avoid duplication of effort, the audit covers those areas that are not addressed by the Evaluation Branch and that were identified as areas of risk by the audit team during planning.

Risk Identification and Analysis

A risk analysis was completed by the audit team based on an examination of the management framework and organizational governance structure, a review of past audits and interviews with staff from different sectors involved in the implementation of the Framework. Some concerns raised with the audit team during the risk analysis process included the following:

  • the roles and responsibilities of the different positions with respect to the Framework may not be clear;
  • the regional and the operation level accountability structures may not be sufficiently clear to monitor and report on Aboriginal correctional affairs;
  • there are insufficient human resources available to implement the Framework;
  • reporting information pertaining to the Framework may be inconsistent throughout CSC with regards to its content; and
  • the financial resources may not always be used as intended.

These risks were considered in establishing audit objectives and developing supporting audit tools for testing and gathering of evidence.

2.0 AUDIT OBJECTIVES AND SCOPE

2.1 Audit Objectives

The audit objectives were:

  • To provide reasonable assurance that CSC has a management framework in place to support its Aboriginal Corrections Accountability Framework;
  • To ensure that financial resources provided to the regions/institutions for specific Aboriginal initiatives have been used for these purposes; and
  • To ensure that Management Action Plans (MAP) in response to past audits covering Aboriginal corrections related issues are being implemented and that progress is being made on their implementation as intended.

Specific criteria related to each of the objectives are included in Annex A.

2.2 Audit Scope

The audit was national in scope and included processes, practices and information in support of the initiatives established by the Aboriginal Initiatives Directorate including: controls, governance processes, information, and risk management. The audit focused on governance, and included an examination of the financial management processes in place. The timeframe of the audit was from April 2010 to March 2011. Particular attention was paid to any requirements of impending and new legislation such as the Truth and Sentencing Act9 and resulting activities.

Some potential areas of audit examination were excluded because they were addressed in earlier CSC IAB audits or are being examined under the evaluation process. In particular, we did not examine the actual output or outcomes of the Framework. Rather, we examined the compliance to the reporting structure within the requirements set out in the Framework itself.

We did not examine any initiatives that are provided to the general offender population that may have included Aboriginal offenders because it was impossible to delineate those services exclusive to Aboriginal offenders. Accordingly, our audit focused on Aboriginal Initiatives that were identified as unique to Aboriginal offenders.

The audit scope was increased to include an examination of progress made on past recommendations and ensuing management action plans from IAB's internal audits that touch upon Aboriginal issues.

This audit included both men and women Aboriginal offenders.

3.0 AUDIT APPROACH AND METHODOLOGY

The audit approach included a combination of interviews with staff at the Aboriginal Initiatives Directorate (AID) as well as key staff from the different sectors involved in the implementation of the SPAC at the national, regional and institutional levels across all sectors of CSC and also those staff involved with financial management of AID. We examined relevant legislation, case law, policies, Commissioner's Directives (CD), procedures manuals and guidelines. For the financial management examination, we used a sample size of 460 tests to examine expenses related to the Aboriginal Initiatives Directorate for the period April 1st, 2010 to March 31, 2011. Finally, we examined recommendations and Management Action Plans for select CSC Internal Audit Branch projects that involved Aboriginal corrections.

Annex B lists and describes in more detail the techniques used to gather evidence to complete this Review.

4.0 AUDIT FINDINGS AND RECOMMENDATIONS

4.1 Management Framework for the Aboriginal Corrections Accountability Framework

We assessed the extent to which the management framework supporting the implementation of the Aboriginal Corrections Accountability Framework has been put in place. This included an examination of legislation, policies, directives and guidelines, organizational structure, roles and responsibilities as well as reporting obligations. We also examined the reporting and monitoring mechanisms in place under the Framework.

4.1.1 Policy and Legislative Framework

We expected to find that CSC's procedures, guides and manuals related to Aboriginal corrections were accurate and consistent with legislation and the Framework.

The Aboriginal Corrections Accountability Framework and CSC's current policies and guidelines are consistent with the relevant legislation.

The audit team compared policies, the Gladue decision, and Commissioner's Directives against the wording in the federal legislation and in the Framework to ensure consistency and accuracy. Annex B contains a full list of documentation reviewed.

The audit examined the impact of impending and new legislation such as the Truth in Sentencing Act on the Framework. We interviewed 49 CSC staff, and 69% (34) noted that there have been changes in operations, such as more units, construction of halfway houses, increasing the number of beds available to accommodate Aboriginal offenders, more programs, and training for CSC employees who work in Aboriginal corrections. However, they stated that they did not see these changes as having a direct impact on their work related to the Framework.

4.1.2 Governance, Roles and Responsibilities

We expected to find that CSC's organizational structure as well as roles and responsibilities with regard to the implementation of the Framework were clearly defined, documented and communicated.

Organizational structure and roles and responsibilities were clearly defined and documented at the senior management level.

The Framework lays out the roles and responsibilities for the:

  • Senior Deputy Commissioner (SDC)
  • Director General, Aboriginal Initiatives Directorate (DG/AID)
  • Assistant Commissioner of Correctional Operations and Programs (ACCOP)
  • Deputy Commissioner for Women Offenders (DCW)
  • Regional Deputy Commissioner (RDC)
  • Wardens and District Directors
  • Regional Director of Operations (RDO)
  • Regional Director of Interventions (RDI) and
  • Regional Administrator of Aboriginal Initiatives (RAAI)

The audit team reviewed the roles and responsibilities of these positions against any relevant CDs and guidelines to ensure consistency and found them to be appropriately aligned. See Annex B for a list of pertinent CD and guidelines.

For CSC staff, whose roles and responsibilities are delineated in the Framework, 100% (46 out of 46) interviewed confirmed that they are clear and understood. Further audit examination revealed that there are number of CSC staff involved in Aboriginal corrections who do not have roles and responsibilities outlined in the Framework.

The Framework, as it is set up now, does not provide guidance with regard to the roles and responsibilities of CSC personnel other than those listed above. Consequently, CSC staff may not understand the link between CSC's strategic direction and their own day-to-day contribution to this effort; a disconnect is evident between roles and responsibilities for CSC staff in the institutions and the community and for those responsible for the Framework.

As concerns the Framework and its reports, there is limited formal communication established between the CSC management and CSC staff in the institutions and sites. An opportunity is missed to take advantage of the information in the Framework and the reports.

As a general comment on the Framework, 52% (16 of 31) of interviewees stated that the Framework should be streamlined, simplified and brought down to the site level. This would make it practical and meaningful at that level of management. This further supports the audit finding concerning the disconnect between roles and responsibilities.

4.1.3 Monitoring and Reporting

We expected to find that monitoring practices and controls existed to ensure compliance with the reporting requirement as laid out in the Template.

Mid-year and Year-end Reports on outcomes and targets are generally produced as directed by the Framework. These and the supporting template require a substantial amount of data to be populated, some of which is not included in the reports.

The Template for Results Reporting and Monitoring (the Template) was developed to provide a mandatory, structured mechanism for reporting on Aboriginal correctional results. Mid-Year and Year-End Annual Reports are produced using the data populating the Template. Annex D lists the performance measurements included in the Template. There are a total of 35 performance measurements and within these performance measurements there are additional indicators. In total, there are 100 separate requirements for data.

The data required is gathered by Performance Measurement & Management Reports (PMMR) group who collates it using the Offender Management System (OMS) Query Reports and other data sources and systems such as: CORCAN, HR, Health Services, Security, CRS, and Radar.

The Framework is a relatively new initiative as is its reporting structure; the auditors were informed by CSC employees that the Report content is still under review as it evolves. To date there have been two Mid-Year Reports (2010-2011-February 2011, 2011-2012-not formally approved yet) and two Year-End Reports prepared (2009-2010- October 2010, 2010-2011- March 2012). In its present state, the Reports contain a large amount of information.

We examined the most recent Year End report and its underlying Template. All the information that was required by the Framework to be included in the Reports was present, except for two sets of performance measurements (8% or 8 out of 100). One concerned the rates of Aboriginal offenders re-offending and the other, pay levels for Aboriginal offenders (Annex E provides details). This particular presentation of information may be critical to CSC because it may provide another opportunity to consider this data.

Within the sets of data listed in the Report, we found that there was certain information recorded as 'not available' (21% or 21 out of 100). When the reporting structure was set up in 2009, a large number of indicators were selected so that a great deal of information could be collated. It was reported to the auditors that not all of this information is included every single time due to its volume and the reporting burden it creates. As a further impediment to reporting, we were informed that due to OMS constraints, the system cannot generate some information in the manner that it was requested.

At this juncture, CSC has an opportunity to review the usefulness or relevance of the data required by the Template and streamline the process to better reflect the requirements of CSC.

For staff whose responsibilities include populating OMS to complete the Template, 71% said they were challenged to meet timeline requirements due to a lack of human resources and time pressures.

With regard to the use of the Template or the Reports at the site and institution levels, 64% (35 out of 55) of CSC staff interviewed said they have no involvement with the preparation of the Template and Reports. In fact, the audit team was told by 50% (25 out of 50) of staff interviewed that they had other feedback mechanisms in place for reporting on Aboriginal correctional results specific to their area. Some examples include: monthly Regional Management Team meetings, bi-weekly meeting with Assistant Wardens, Intervention, Regional Executive Committee meetings and Elder meetings.

As a result, not only is there evidence of a limited use of the large of amount of information collected and reported in the Template and Reports at a site and institutional level, but also, there is duplication of reporting processes and an opportunity to gain effectiveness and cohesiveness of this information.

Conclusion

We found that:

  • the current relevant policies and guidelines are consistent with the relevant legislation;
  • for the most part, the roles and responsibilities that are described in the Framework are clearly defined and consistent with other CSC authoritative documentation; and
  • the reporting mechanism is operating as intended.
  • despite an overall assurance that the Framework is in place as required, we found that there is a disconnect between the roles and responsibilities of staff at the frontline level and those of the CSC staff responsible for the Framework and its implementation.
  • nearly half of CSC staff suggested that a simplified Framework would be more appropriate and useful in supporting them in their day-to-day duties.
  • the Reports do not include all information required by the Template and there is an opportunity to review the usefulness of the data and streamline the process to better reflect the requirements of CSC staff.
  • we found that a significant number of CSC frontline staff interviewed do not make use of the information in the Report.
Recommendation 1 10

The Senior Deputy Commissioner should ensure that a system of communication is established so that the Framework and its Reports are available to all CSC employees.


Recommendation 2 11

The Senior Deputy Commissioner should conduct an analysis of the data contained in the Reports to determine its usefulness and concentrate on reducing the volume of measures so as to focus on those most meaningful to the goals of the Report and CSC. The Senior Deputy Commissioner should streamline the volume of the data and ensure that an integrated reporting mechanism exists to report both at the regional and national levels.


4.2 Financial Resource Allocation

The second objective of the audit was to ensure that financial resources provided to the regions/institutions for specific Aboriginal initiatives were used for those purposes.

This included an examination of policies surrounding the use of financial resources and substantive testing of transactions.

The audit team looked for a report that detailed all activities related to aboriginal offenders including areas such as initiatives and programs. Ideally, this report would lay out the funds allocated to each activity. This report was not accessible at the time of the audit but information was available for the initiatives which fall under the AID umbrella. Consequently, the audit team focused its examination of Aboriginal corrections expenses to those coded under the AID activity codes (700 to 709). This series of codes represented $20,109,273 in 2010-11, which was approximately 0.85% of CSC's overall budget.

During the conduct of the audit, the team concluded that there are additional financial resources allocated to Aboriginal offenders (for example, programs), but as these services were not part of the audit scope they were not included in the examination.

4.2.1 Financial Resource Allocation
4.2.1.1. We expected to find that financial management policies and authorities are established and communicated.

The audit found that CSC has a set of financial policies that are comprehensive and conform with Treasury Board policy.

The audit team determined that expenses for Aboriginal initiatives are regulated by the same policies as for other expenses at CSC.

To examine and verify the policy and authorities applicable to the AID, we leveraged the results from previous recent internal audit branch audits conducted on internal controls. We ensured that the policies were still valid and in the case where policy had been revised or was new, that it was still in compliance with the Treasury Board policies.

For other expenses (procurement, contracts, and capital expenses) we analyzed the various guidelines and directives in place at CSC and compared them to Treasury Board policy.

All policies and financial directives are available on CSC's intranet site. When new directives are revised or new policies are published, they are communicated by email to CSC staff.

4.2.1.2 We expected to find that financial resources provided to the regions for specific Aboriginal initiatives had been used as intended.

Request for additional funding can be made by the regions to AID for any Aboriginal initiatives. This request is reviewed for approval by the Corporate Services Branch. In the case of budget transfers between initiatives within a region, the transfer request is reviewed by the financial officer at the regional level to certify that the funds are available. The final approval is made by the regional administrator of Aboriginal initiatives, the regional chief of budget, the regional comptroller or the budget manager.

Direct transfers of funds between regions are not permitted. Only AID can make the decision to allocate AID funds from one region to another.

We obtained a reasonable assurance that transfers of funds were approved by the appropriate budget owner. To reach this conclusion, we reviewed 75% of transfer authorizations for additional funding requests. The additional funding was an increase of $4,952,854 from an initial budget of $15,576,230 to a revised budget $20,529,084.

We obtained reasonable assurance that the financial resources provided to the regions for specific Aboriginal initiatives have been used for Aboriginal related activities.

We conducted detailed tests on 46012 transactions, proportionally covering the six regions and six AID initiatives (activity codes 700 to 709). Annex B sets out details of testing procedure.

Although we found that 13% of the Aboriginal expenses were assigned an incorrect sub-code which could lead to an overstatement or understatement of initiatives under the cost center code (701 to 709), the umbrella activity code 700 was well stated overall. The audit team did not identify any material errors.

We analyzed expenses by description, and our analysis indicated that 51% ($10,331,041) of expenses were related to salaries and the remainder of expenses (49%) pertained to operating and maintenance.

As well, we found that of the expenses under the 700 activity code:

  • 50% were listed under the project code 'non identified' (00000);
  • 15% were listed under male Aboriginal Offenders project code;
  • 14% were listed under Strategic Review-Reinvestments Pathways Units project code; and
  • The balance, 21%, were attributed between the 21 remaining projects such as Program Integrity-Aboriginal Community Development, and Women in Non-female Facilities.

The manner in which 50% of expenses were coded under a generic code entitled 00000 made it challenging to follow the allocation of funds to specific projects. This reduced CSC's ability to follow the funds to the specific project level, and could reduce the perception of transparency. More precise coding of projects would allow for better and more consistently managed funds.

Conclusion

The audit team determined that no material errors exist with regard to the financial management of AID.

However, a significant portion of the AID 700 series codes is not allotted to specific project codes thereby reducing the ability to follow the decision-making process for funds at the specific project level.

Recommendation 313

The Senior Deputy Commissioner, with the assistance of the Regional Deputy Commissioners, should ensure clearer and more appropriate tracking of funds.


4.3 Implementation of Management Action Plans

International internal audit practices (The Institute of Internal Auditors) requires that "The Chief Audit Executive (CAE) establish and maintain a system to monitor the disposition of results communicated to management."14 Further, "The CAE must establish a follow-up process to monitor and ensure that management actions have been effectively implemented or that senior management has accepted the risk of not taking action."15 These IIA standards are endorsed by the Treasury Board in its Policy on Internal Audit.

To meet this requirement, the audit team examined the progress CSC has made towards completing the Management Action Plans (MAPs) in response to audits CSC conducted that included elements pertaining directly to Aboriginal offenders. The audit team considered the level of risk to the organization, timeliness, and ease of implementation.

CSC decided to adopt the Office of the Auditor General (OAG) measures of assessment for outstanding recommendations' progression. A recommendation can either be considered satisfactory or not (see footnote for the definition).16

Over the last four years, CSC Internal Audit Branch conducted 25 audits, three of which contained recommendations addressing Aboriginal issues. Within the three audits, there are 22 Aboriginal related deliverables addressing 11 separate recommendations.

The audits are:

  • 2011 - Pre-release Decision Making within the Case Preparation and Release Framework;
  • 2009 - Audit of Offender Intake Assessment Process; and
  • 2008 - Audit of Management of Section 81 Agreements.

The audit recommendations touch on the three general areas of policy, financial management and training. We examined the progress made in addressing those issues in each of the three audits as follows:

Audit of Pre-release Decision Making within the Case Preparation and Release Framework

The Audit of Pre-release Decision Making within the Case Preparation and Release Framework centers mainly on the correctional interventions program activity and was to provide reasonable assurance the management framework, as it relates to the pre-release decision making process, is in place, and ensures adequate and effective pre-release decision-making processes.

Recommendation #1

The first Aboriginal corrections related recommendation dealt with issues that were noted during interviews with ALOs and Elders. They raised issues on clarity and consistency of legislation and regulations, and on the manner in which the information was communicated. In response, management was to review and amend case management policies and annexes.

Status: The progress is satisfactory.

Recommendation #3

This Aboriginal corrections related finding was to review current training standards and consider whether they should include Managers, Assessment and Intervention, Aboriginal liaison Officers or other staff involved in pre-release decision making processes. As well, to consider including additional training in, for example, the completion of assessments required for Aboriginal offenders. The three management deliverables for this audit were to: Identify all applicable training, review training objectives, and make recommendations to the Learning and Development Governance Board with respect to the inclusion of a new target group.

Status: The progress is satisfactory.

Recommendation #7

Recommendation number seven contains the third Aboriginal corrections related finding which ensures compliance with CD timeline requirements for case preparation. This arose because Healing Plans, Elder Reviews, and Social History reports were completed for less than 50% of applicable cases of an Aboriginal sample selected for the audit. Management was to review Aboriginal healing plans in the context of proposed changes to CD 705-5.

Status: The progress is satisfactory.

Audit of Offender Intake Assessment Process

The Audit of Offender Intake Assessment Process was conducted to assess the adequacy of the management framework as it relates to the Offender Intake Assessment process and to determine the extent to which CSC's sites were complying with relevant Offender Intake Assessment legislation and policy directives.

Recommendation #3

Recommendation three has the first Aboriginal corrections related finding, to create and implement training for Parole Officers and Managers of Assessment Intervention (MAIs) on performing the assessments required for Aboriginal offenders. Management was to: standardize OAI-R national training for Institutional Parole Officers and MAIs; complete Parole Officer Induction Training and Parole Officer Continuous Development Training; and develop an Aboriginal healing plan training package.

Status: The progress is satisfactory.

Recommendation #5

The second Aboriginal corrections related finding, contained in recommendation five, was to enhance performance tracking measures to include the timeliness of supplementary assessment. To respond to this recommendation management was to consult with NHQ sectors on implementing performance metrics.

Status: The progress is satisfactory.

Audit of Section 81 Healing Lodges

The Audit of Section 81 Healing Lodges was undertaken to provide assurance that the controls in place to support the management of Section 81 Healing Lodge agreements were adequate and effective. All of the recommendations had implications for Aboriginal corrections.

The six recommendations of the audit included: a requirement for comprehensive guidelines addressing the establishment and management of these Healing Lodges; implementation of monitoring mechanisms for the agreements; increased training for CSC staff on specific aboriginal issues for Section 81 Healing Lodges; more guidance on financial management; amendments to healing plans to incorporate more information from social history, Elders and CSC staff, and, improvements to the process of returning of offender to CSC custody.

Status: Five of the six recommendations were reported as completed by management. The third part of the recommendation five is outstanding.

4.3.1 Implementation of Management Action Plans
4.3.1.1 We expected to find that actions are taken to address the recommendations in a timely fashion as set out in the MAPs.

Actions have been taken on the Management Action Plans for Aboriginal corrections issues, but progress is slow, in particular for recommendations aimed at programs and case management.

In summary, 22 deliverables were undertaken as specified in the respective MAPs, however only five of the 13 deliverables designated as completed were completed within the originally established timeframes. Three of the three deliverables designated as 'progressing as planned' were still within the originally established timeframes. Three of the six deliverables designated as 'delayed' are more than two years past their originally established timeframes. Recommendations related to case management are slow in their implementation.

Conclusion

Managements Action Plans (MAP) related to internal audit recommendations are generally progressing but there are delays. With respect to the four outstanding recommendations, actions have been taken and are presently under way.

Recommendation 417

The Assistant Commissioner Correctional Operations and Programs, the Assistant Commissioner Policy, and the Assistant Commissioner Human Resource Management should reassess the timelines for the incomplete Management Action Plan deliverables listed in this report.  

5.0 OVERALL CONCLUSION

The audit found, with a reasonable assurance, that CSC has a management framework in place to support its Aboriginal Corrections Accountability Framework; that financial resources provided to the regions/institutions for specific Aboriginal initiatives have been used for these purposes and Management Action Plans (MAP) in response to past audits covering Aboriginal corrections related issues are being implemented and progress is being made on their implementation as intended.

Specific areas of concern identified by the audit include:

  • evidence of a disconnect between the roles and responsibilities of CSC staff at the site and institutional levels and those responsible for the Framework;
  • the limited extent of usage and perceived usefulness of the Framework Template and Reports by frontline staff which further reflects the disconnect between this group of CSC staff and those involved directly with the Framework;
  • the significant amount of data generated to fill out in the Template;
  • data omitted from the Report or reported as not available;
  • a lack of precision with a portion of the financial resource allocations for Aboriginal Initiatives Directorate (AID); funds are coded in a manner that limits the ability to trace their use on certain projects; and
  • Management Action Plans for Aboriginal-focused recommendations are being implemented, but at a slow rate particularly for those related to programming.

Accordingly, recommendations were made in this report to address identified areas for improvement. Management has reviewed and agrees with the findings contained in this report and a Management Action Plan has been developed to address the recommendations.

 

ANNEX A

AUDIT OBJECTIVES AND CRITERIA

Audit objectives and criteria were developed based on the OCG Core Management Controls including governance, accountability, people, stewardship and policy and programs.

OBJECTIVES CRITERIA
1. To provide reasonable assurance that CSC has a management framework in place to support its Aboriginal Corrections Accountability Framework. 1.1 Policy Framework

1.1.1 CSC procedures, guides and manuals including financial policies, are consistent with legislation, and the Aboriginal Corrections Accountability Framework; and

1.1.2 Aboriginal Corrections Accountability Framework takes into consideration the impact of impending and new legislation such as the Truth in Sentencing Act.
1.2 Governance / Roles & Responsibilities

1.2.1 CSC procedures, guides and manuals including financial policies, are consistent with legislation, and the Aboriginal Corrections Accountability Framework; and communicated.
1.3 Monitoring & Reporting

1.3.1 Monitoring practices and controls exist to ensure compliance. Reports on outcomes and targets are produced as directed by the Framework.
2. To ensure that financial resources provided to the regions/institutions for specific Aboriginal initiatives have been used for these purposes. 2.1 Financial Resource Allocation

2.1.1 Financial management policies and authorities are established and communicated.

2.1.2 Financial resources provided to the regions for specific Aboriginal initiatives have been used for those initiatives as intended.

2.1.3 Compliance with financial management laws, policies and authorities is monitored and reported as required.
3. To ensure that Management Action Plans (MAP) approved by the CSC Audit Committee are being implemented as intended. 3.1 Implementation of CSC internal audit reports' management action plans.

3.1.1 Actions are taken to address the recommendations in timely fashion as set out in the MAP;

3.1.2 Deliverables to demonstrate the completion of the actions are obtained;

3.1.3 Actions to fully address the recommendations are completed within the initially proposed or formally revised timelines or if not, rescheduled and appropriately communicated to and approved.

 

ANNEX B

AUDIT APPROACH AND METHODOLOGY

Audit evidence was gathered through a number of techniques:

  • Interviews: video or telephone-conference interviews were conducted with staff at the Aboriginal Initiatives Directorate, as well as with key staff from the different sectors involved in the implementation of the Strategic Plan for Aboriginals Corrections (SPAC) at the National, Regional and Institutional level across all sectors of CSC including those staff involved with financial management. A judgmental site selection at all levels was chosen; women and men units were included and we limited our interviews to institutional staff. The site selection in the Prairies & Pacific Regions was larger because of the larger representativeness of Aboriginal offenders in those regions. Annex C sets out the list of interviewees.

  • Review of documentation: Relevant documentation was examined including legislation, the Gladue decision, policies, Commissioner's Directives such as CD700 Correctional Interventions; CD705-8 Assessing Serious Harm; CD712 Case Preparation and Release Framework; and CD712-2 Detention.

    In addition to the above, the following documentation was examined in regards to roles and responsibilities of the Framework: CD702 Aboriginal Offenders; CD767 Ethnocultural Offender Programs; CD726 Correctional Programs; CD259 Exposure to Second-Hand Smoke; Guidelines such as Guidelines 541-2 - Negotiation, Implementation and Management of CCRA Section 81 Agreements; Guidelines 710-2-1 - CCRA Section 81: Admission and Transfer of Offenders; Guidelines 712-1-1 – CCRA Section 84: Application Process and Detention and procedures manuals as they related to the Aboriginal Corrections Accountability Framework.

  • Testing: To test expenses related to the Aboriginal initiatives Directorate, we chose a collaborative approach that was justified by the high level of assurance mandated to provide to the Deputy Commissioner and the Audit Committee. We used a materiality of 0.5% of total AID expenses, being $100,000 with a confidence interval of 95%. However, we judged that it would be appropriate to use a performance materiality of $30,000.

Our audit approach was divided into two steps:

  • a. An analysis of the variations between the original budgets, revised budgets and actual expenditures, any significant variation is explained and corroborated with supporting documents. Note that a significant variation is a variation greater than 10% and $ 30,000.
  • b. Tests of details, to determine the size of our sample we chose a certainty factor of 2.3 (for high risk), to obtain a confidence level of 95%. The sample size was 460 tests and we conducted a random selection of strata samples using data processing software IDEA. Note that using such a sampling allowed us to cover all regions and all initiatives.

 

ANNEX C

LOCATION OF SITE EXAMINATIONS

Regions Institutions Interviewees
NHQ Aboriginal Initiatives Directorate
  • Director General, Aboriginal Initiatives Directorate (DG/AID)
  • Director, Aboriginal Initiatives
  • Manager, Policy and Interventions
  • A/Director Financial Planning and Budgeting
  • Director, Financial Management Services
Atlantic
  • Shepody Healing Centre (Multi)
  • Nova Institution for Women (Multi)
  • Dorchester
  • Atlantic Institution (Max)
  • R.H.Q.
  • District
Shepody
  • Management/Executive Director
Nova
  • Warden
  • Assistant Warden, Interventions
  • Chief of Finance
Dorchester
  • Acting Warden
  • Assistant Warden, Interventions
  • Chief of Finance
Atlantic
  • Warden
  • Assistant Warden, Interventions
  • Chief of Finance
Atlantic R.H.Q
  • Regional Deputy Commissioner (RDC)
  • District Directors
  • Regional Administrator of Aboriginal Initiatives (RAAI)
  • Reintegration and programs/Director of Interventions
  • Director, Financial Operations
Prairies
  • Pê Sâkâstêw Centre
  • Okimaw Ohci Healing Lodge (Med/Min)– Section 81
  • Willow Cree Healing Centre
  • Saskatchewan Penitentiary (Med /Max)
  • R.H.Q.
  • EIFW
  • Regional Deputy Commissioner (RDC)
  • Associate District Director
  • A/Regional Director of Operations (RDO)
  • Regional Administrator of Aboriginal Initiatives (RAAI)
  • MB/SK/NW/ONT. District Director
  • Warden for Pê Sâkâstêw Centre
  • Warden for Willow Cree Healing Centre
  • A/Assistant Warden for Edmonton Institution for Women (Multi -level)
  • Warden for Saskatchewan Penitentiary
  • Warden, Okimaw Ohci Healing Lodge
Pacific
  • Kwìkwèxwelhp Healing Village (Min)
  • Pacific Institution/Regional Treatment Centre (Multi-Level)
  • Kent Institution
  • Mission Institution
  • Fraser Valley Institution for Women (Multi-Level)
  • A/Regional Deputy Commissioner (RDC)
  • Regional Administrator of Aboriginal Initiatives (RAAI)
  • Warden for Kwìkwèxwelhp Healing Village
  • Warden for Fraser Valley Institution
  • Warden for Kent Institution
  • Chief of Finance for Kent Institution
  • A/Warden for Mission Institution
  • Chief of Finance for Mission Institution
Quebec
  • R.H.Q.
  • Port-Cartier Institution (Max)
  • Montée Saint-François Institution (Min)
R.H.Q.
  • Regional Administrator of Aboriginal Initiatives (RAAI)
  • Regional Comptroller
Port-Cartier
  • Warden
  • Assistant Warden, Interventions
  • Chief of Finance
Montée Saint-François
  • Warden
  • Assistant Warden, Interventions
  • Chief of Finance
Ontario
  • R.H.Q.
  • Beaver Creek Institution (Min)
  • Joyceville Institution (Med)
  • Millhaven Institution (Max)
R.H.Q.
  • Regional Administrator of Aboriginal Initiatives (RAAI)
Beaver Creek
  • A/Warden
  • A/Assistant Warden, Interventions
  • Financial Operations Manager
Joyceville
  • Warden
  • Manager Assessment and Interventions
  • Financial Operations Manager
Millhaven
  • A/Deputy Warden
  • Assistant Warden of interventions
  • Financial Operations Manager

 

ANNEX D

TEMPLATE FOR RESulTS REPORTING AN MONITORING
"STRATEGY FOR ABORIGINAL CORRECTIONS ACCOUNTABIliTY FRAMEWORK"
liST OF PERFORMANCE MEASUREMENTS

CSC Strategic Priority #1 – Safe transition of offenders into the community
1.1 (a) i. Number of Aboriginal offenders who have employment/employability needs assessed at intake.
ii. Number of healing/ correctional plans for Aboriginal offenders that address employment needs.
1.1 (b) i. Number of Aboriginal offenders identified with educational needs.
ii. Number of Aboriginal offenders identified with educational needs who have received educational programming.
1.1 (c) i. Number of Aboriginal offenders paid to work in institutions.
ii. Pay levels for Aboriginal offenders: A,B,C,D, and CORCAN Incentive Pay - May be inconsistent data.
1.1 (d) i. All Temporary Absence Completions.
ii. Escorted Temporary Absence completions.
iii. Unescorted Temporary Absence completions.
iv. Number of eligible Aboriginal offenders participating in work releases.
1.1 (e) i. Number of Aboriginal offenders who participate in any skills development/employment training at Healing Lodges and Pathways Transition Units (PTUs).
1.1 (f) i. Number of Aboriginal offenders released to the community broken out by the National Occupational Classification Matrix (Data to be provided by CORCAN).
ii. Number of Aboriginal offenders employed as a result of partnership arrangements.
1.1 (g) i. Number of Aboriginal offenders trained in institutions with 3rd party certifications who obtain employment in the community.
ii. Number of Aboriginal offenders employed in institutions who obtain employment in the community.
iii. Number of Aboriginal offenders on conditional release trained in the community.
iv. Number of Aboriginal offenders on conditional release employed in the community.
v. Number of Aboriginal offenders employed in the community and maintained employment at 3 months and 6 months and type of work obtained (data to be provided by CORCAN).
1.2 (a) i. Number of Aboriginal offenders who participate in community maintenance programs.
ii. Number of Aboriginal offenders who complete community maintenance programs.
iii. Completed releases - final supervision profile.
iv. Completed releases - all revocations.
v. Day parole revocations.
vi. Full parole revocations.
vii. Statutory release revocations.
viii. Pen placement after revocation.
1.3 (a) i. Number of Aboriginal offenders convicted for a new offence while under supervision. (Schedule I,II, Non-schedule, Sex Offence).
ii. Number of Aboriginal offenders convicted for a new offence within two years of warrant expiry (Schedule I,II, Non-schedule, Sex Offence).
iii. Number of Aboriginal offenders convicted for a new offence within five years of warrant expiry (Schedule I,II, Non-schedule, Sex Offence).
iv. Re-admission within 2 years of warrant expiry date - offender profile.
v. Re-admission with 2 years of warrant expiry date - sentence profile.
vi. Re-admission within 5 years of warrant expiry date - offender profile.
vii. Re-admission with 5 years of warrant expiry date - sentence profile.

 

CSC Strategic Priority #2 – Safety and security for staff and offenders in our institutions
2.1 (a) i. Number of deaths in custody incidents involving Aboriginal offenders (except natural).
ii. Number of self-harm in custody incidents involving Aboriginal offenders.
iii. Number of Aboriginal offenders responsible for assaults on staff.
iv. Number of violent incidents involving Aboriginal offenders.
v. Number of suicides of Aboriginal offenders.
2.2 (a) i. Number of Aboriginal offenders placed in segregation.
ii. Number of Aboriginal offenders placed in voluntary segregation.
iii. Number of Aboriginal offenders placed in involuntary segregation.
2.3 (a) i. Number of drug seizures from Aboriginal offenders.
ii. Number of positive urinalysis of Aboriginal offenders.
2.4 (a) i. Number of violent incidents involving offenders who are known to be gang affiliated.

 

CSC Strategic Priority #3 – Enhanced capacities to provide effective interventions for First Nations, Métis, and Inuit offenders.
3.1 (a) i. Aboriginal offender Custody Rating Scale final results.
ii. Aboriginal Offender Security Level - Initial decisions.
3.2 (a) i. Aboriginal offender concordance rate between Custody Rating Scale results and Offender Security Level decisions. Measure the difference in overrides between Aboriginal and non-Aboriginal offenders.
3.3 (a) Number of intake assessments completed on time for:
i. Compressed.
ii. Non-Compressed.
iii. Long term offender.
3.4 (a) Activities undertaken at intake; (Information taken in remand as well)
i. Elder review offered to offender.
ii. Section 81 explained.
iii. Section 84 explained.
iv. Identified as Aboriginal (to include band information if applicable).
3.5 (a) i. Number of Elder Reviews completed when they have been requested by offender within timeframes.
3.6 (a) i. Length of time from intake to first program for Aboriginal offenders for Aboriginal programming.
ii. Length of time from intake to first program for Aboriginal offenders for non-Aboriginal programming.
3.7 (a) i. Number of Aboriginal offenders enrolling in Aboriginal programs.
ii. Number of Aboriginal offenders completing Aboriginal programs.
iii. Number of Aboriginal offenders enrolling in non-Aboriginal programs.
iv. Number of Aboriginal offenders completing non-Aboriginal programs.
v. Number of Aboriginal offenders who participated in non-Aboriginal ICPM Pilot.
vi. Number of Aboriginal offenders who completed non-Aboriginal ICPM Pilot.
vii. Number of Aboriginal offenders who participated in AICPM Pilot.
viii. Number of Aboriginal offenders who completed ACIPM Pilot.
3.8 (a) i. Number of Aboriginal offenders who transfer to lower security.
ii. Number of Aboriginal offenders who successfully transfer to lower security and do not move to higher security within 6 months.
3.9 (a) i. Number of Aboriginal offenders who waive parole hearings.
ii. Number of Aboriginal offenders who postpone parole hearings.
iii. Number of adjourned parole hearings for Aboriginal offenders.
3.10 (a) i. Number of Aboriginal offenders who apply for day parole.
ii. Number of Aboriginal offenders who are recommended for day parole.
iii. Number of Aboriginal offenders who are successful in being granted day parole.
3.11 (a) i. Number of Aboriginal offenders who apply for full parole.
ii. Number of Aboriginal offenders who are recommended for full parole.
iii. Number of Aboriginal offenders who are successful in being granted full parole.
3.12 (a) i. Number of Aboriginal offenders released on Statutory Release.
ii. Number of Aboriginal offenders released on Statutory Release with residency clause.
iii. Number of Aboriginal offenders held in detention.
3.13 (a) i. Number of Section 84 release plans completed.
ii. Number of successful releases at the earliest parole eligibility date.
iii. Number of Section 84 releases completed to warrant expiry.
3.14 (a) i. Change in offender knowledge scores following attendance at APEC program (Data to be supplied by Health Services).

 

CSC Strategic Priority #4 – Improved capacities to address mental health needs of offenders
4.1 (a) i. Number of Aboriginal offenders screened for mental health issues at intake (COMHISS).
ii. Number of Aboriginal offenders screened by COMHISS within timeframes.
iii. Number of Aboriginal offenders receiving institutional mental health services.
iv. iv. Number of Aboriginal offenders receiving services in the community (discharge planning services and mental health services).

 

CSC Strategic Priority #5 –Strengthen Management Practices
5.1 (a) i. Number of Aboriginal employees per occupational group as compared to non-Aboriginal employees.
b. Number of Aboriginal staff recruited by occupational group.
5.2 (a) i. Number of grievances by Aboriginal staff (broken out by upheld and denied).
5.3 (a) i. Number of CSC staff who receive Aboriginal Perceptions Training.
ii. Number of Aboriginal Staff completing orientation.
iii. Number of Aboriginal Elders completing orientation.
5.4 (a) i. Number and nature of grievances by Aboriginal offender.
ii. Number and nature of upheld grievances by Aboriginal offender.
iii. Number and nature of not upheld grievances by Aboriginal offender.
5.5 (a) i. Federal collaborative efforts to advance Aboriginal corrections.
ii. Partnership arrangements with Aboriginal communities to enhance the safe reintegration of Aboriginal offenders in the community.
5.6 (a) i. Number of Health staff participating in Aboriginal awareness activities.
5.7 (a i. Number of collaborations with external groups (non-governmental agencies, Aboriginal communities or other government departments) to address health needs and common determinants of health and well-being of Aboriginal offenders.

Annex E

COMPARISON YEAR-END REPORT WITH TEMPLATE FOR RESULTS REPORTING AND MONITORING

Performance Measurements from the Template for Results Reporting and Monitoring Performance Measurements from the Year-End Report Results of Review – Year-End results are reported as required.
1.1(C) ii. Pay levels for Aboriginal offenders: A,B,C,D, and CORCAN Incentive Pay - May be inconsistent data. Not exist No
1.3 (a) i. Number of Aboriginal offenders convicted for a new offence while under supervision (Schedule I,II, Non-schedule, Sex Offence). i. Number of Aboriginal offenders convicted for a new offence while under supervision. No - not divided into following categories: (Schedule I,II, Non-schedule, Sex Offence) in Year-End Report.
ii. Number of Aboriginal offenders convicted for a new offence within two years of warrant expiry (Schedule I,II, Non-schedule, Sex Offence). Not exist No
iii. Number of Aboriginal offenders convicted for a new offence within five years of warrant expiry (Schedule I,II, Non-schedule, Sex Offence). Not exist No
iv. Re-admission within 2 years of warrant expiry date - offender profile. Not exist No
v. Re-admission with 2 years of warrant expiry date - sentence profile. Not exist No
vi. Re-admission within 5 years of warrant expiry date - offender profile. Not exist No
vii. Re-admission with 5 years of warrant expiry date - sentence profile. Not exist No

 

Annex F

Audit of the Implementation of the Aboriginal Accountability Framework
Management Action Plan (MAP)

Recommendation: Recommendation 118
The Senior Deputy Commissioner should ensure that a system of communication is established so that the Framework and its reports are available to all CSC employees.
Management Response / Position: checked-box Accepted Accepted in part Rejected
Action(s) Deliverable(s) Approach Accountability Timeline for Implementation

What action(s) has / will be taken to address this recommendation?

Expected deliverable(s) / indicator(s) to demonstrate the completion of the action(s)

How does this approach address the recommendation?

Who is responsible for implementing this action(s)?

When will action(s) be completed to fully address the recommendation?

AID Infonet site to be re-launched with clear indication of where reports and relevant information regarding the Framework are posted.

Results placed in an area accessible to front line staff resulting in improved communication.

Ensures that a system of communication is established, ensuring the Framework and its reports are available to all CSC employees.

SDC - Aboriginal Initiatives Directorate (AID)

May 2012

Gen-Communique to all staff will announce the launch of the new infonet site and highlight where reports (including mid-year and year-end) can be found.

June 2012

 

Recommendation: Recommendation 219
The Senior Deputy Commissioner should conduct an analysis of the data contained in the Reports to determine its usefulness and concentrate on reducing the volume of measures so as to focus on those most meaningful to the goals of the Report and CSC. The Senior Deputy Commissioner should streamline the volume of the data and ensure that an integrated reporting mechanism exists to report both at the regional and national levels.
Management Response / Position: checked-box Accepted Accepted in part Rejected
Action(s) Deliverable(s) Approach Accountability Timeline for Implementation

What action(s) has / will be taken to address this recommendation?

Expected deliverable(s) / indicator(s) to demonstrate the completion of the action(s)

How does this approach address the recommendation?

Who is responsible for implementing this action(s)?

When will action(s) be completed to fully address the recommendation?

SDC to work with EXCOM members to conduct an analysis of current data indicators, in order to establish their historical context, their current relevance and their value to meaningful measurement of results for Aboriginal Offenders.

Report on analysis presented to EXCOM members .

Determines value, relevance and meaningfulness of data.

Senior Deputy Commissioner, through AID and in consultation with all Sectors and Regions.

March 2013

Ensure, with Performance Management, that the results of the analysis are incorporated into Performance Direct.

Streamlined Reports produced through Performance Direct.

Establishes an enhanced reporting platform that is integrated with the overall CSC reporting structure.

SDC, through Aboriginal Initiatives Directorate.

April 2014

 

Recommendation: Recommendation 320
The Senior Deputy Commissioner, with the assistance of the Regional Deputy Commissioners, should ensure clearer and more appropriate tracking of funds.
Management Response / Position: checked-box Accepted Accepted in part Rejected
Action(s) Deliverable(s) Approach Accountability Timeline for Implementation

What action(s) has / will be taken to address this recommendation?

Expected deliverable(s) / indicator(s) to demonstrate the completion of the action(s)

How does this approach address the recommendation?

Who is responsible for implementing this action(s)?

When will action(s) be completed to fully address the recommendation?

The Senior Deputy Commissioner will work with the Assistant Commissioner Corporate Services to Identify and determine mechanisms by which Aboriginal funding can be monitored and tracked consistently.

Process created, with quarterly and annual reporting mechanisms.

Clear and appropriate monitoring and tracking of funds`

Senior Deputy Commissioner
Regional Deputy Commissioners

April 2013

A process for quarterly monitoring will be established with the Regional Deputy Commissioners.

 

 

 

 

 

Recommendation: Recommendation 421
The Assistant Commissioner Correctional Operations and Programs, the Assistant Commissioner Policy, and the Assistant Commissioner Human Resource Management should reassess the timelines for the incomplete Management Action Plan deliverables listed in this report.
Management Response / Position: checked-box Accepted Accepted in part Rejected
Action(s) Deliverable(s) Approach Accountability Timeline for Implementation

What action(s) has / will be taken to address this recommendation?

Expected deliverable(s) / indicator(s) to demonstrate the completion of the action(s)

How does this approach address the recommendation?

Who is responsible for implementing this action(s)?

When will action(s) be completed to fully address the recommendation?

Delays in implementing management action plans relating to the review and amendment of case management policies and annexes, is mostly due to Bill C-10. Case management CDs have been reviewed and updated to conform with Bill C-10, and to incorporate previous Case Management Bulletins. The revised CDs are expected to be published when Bill C-10 comes into force. Training associated with these updates will be provided.

Revised CDs
Training on key elements of Bill C-10

Directly, ensures accountability to sectors involved.

ACCOP
ACHRM

June 2012

1 Report on Plans and Priorities, 2011-2012, Correctional Service Canada, 1.6 Risk Analysis.

2 R v. Gladue [1999] 1 S.C.R. 688.

5 Ibid 3.

6 Report on Plans and Priorities, 2011-2012, Correctional Service Canada, 1.1 Raison d'être and Responsibilities.

7 Aboriginal Corrections Accountability Framework, September 2010, p.13.

9 Truth in Sentencing Act , S.C., 2009, c. 29, came into force on February 22, 2010.

10 Recommendation requires management's attention, oversight and monitoring.

11 Recommendation requires management's attention, oversight and monitoring.

12 The sample was determined using a performance materiality of $30,000, a risk factor of 2.3 (high risk) and confidence level of 95%. The sample was selected randomly using IDEA.

13 Recommendation requires management's attention, oversight and monitoring.

14 The Institute of Internal auditors, Internal Professional Practices Framework 2011, Standard 2500.

15 The Institute of Internal auditors, Internal Professional Practices Framework 2011, 2500.A1.

16 Satisfactory – progress is satisfactory given the significance and complexity of the issue, and the time that has elapsed since the recommendation was made.

Unsatisfactory - progress is unsatisfactory given the significance and complexity of the issue, and the time that has elapsed since the recommendation was made.

17 Recommendation requires management's attention, oversight and monitoring.

18 Recommendation requires management's attention, oversight and monitoring.

19 Recommendation requires management's attention, oversight and monitoring.

20 Recommendation requires management's attention, oversight and monitoring.

21 Recommendation requires management's attention, oversight and monitoring.