Objectives, scope and methodology

Objectives

The objectives of the audit were to determine whether:

• key elements of the staffing and classification frameworks were in place to manage appointment activities and classification actions
• appointments were in compliance with the PSEA requirements, any other applicable statutory and regulatory instruments, the PSC’s Appointment Framework, including the ADAI, and the organization’s own appointment policies
• classification decisions were in compliance with OCHRO requirements
• key processes to ensure efficiency of the management of staffing and classification functions were in place
• the recommendations from the PSC 2011 audit report were implemented

Scope

The scope covered a sample of external advertised, internal advertised, external non-advertised and internal non-advertised appointments for the period from April 1, 2015 to March 31, 2016. The sample covered the National Capital Region and other regions.

The scope also included a sample of non-EX regular classification decisions for the same period. The sample covered the National Capital Region and other regions. The EX classification process was excluded from the audit due to its lower risk and volume of transactions. The fieldwork ended in January 2017.

Methodology

The audit was conducted in collaboration with the PSC in accordance with the Memorandum of Understanding (MOU) signed by both organizations. The MOU was to facilitate the exchange of information and to promote a strong working relationship between both organisations to work as a single audit team. The PSC focused on staffing (audit objectives one, two and five), while ECCC’s internal audit team focused on classification (audit objectives one, three and four). The methodology used for this audit included various audit procedures, as considered necessary, to address the audit’s objectives.  

The audit approach included, but was not limited to, the following:

• a review of relevant documentation and systems, including policies, guidelines and procedures supporting staffing and classification activities
• a walkthrough of the business processes related to staffing, classification and their administration
• interviews with senior management, hiring managers and employees (for example, support staff helping with the documentation necessary for staffing or classification processes)
• a sample was used for assessing compliance for 40 appointments and 20 classifications decisions

The more detailed audit methodology and criteria are provided in Annex 1 of this report.

Statement of conformance

In the professional judgment of the Chief Audit Executive, sufficient and appropriate procedures were performed and evidence gathered to support the accuracy of the audit conclusion. The audit findings and conclusion are based on a comparison of the conditions that existed as of the date of the audit, against established criteria that were agreed upon with management.  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.