Canadian International Development Agency

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Annex C

Canadian International Development Agency

Organizational design and classification monitoring
Risk assessment report

The risk assessment is a systematic process for assessing and integrating professional judgments about probable adverse conditions and/or effects. By examining the functional and organizational classification risk, a risk assessment serves to:

• identify, focus and maximize the effectiveness of monitoring activities; and
• help determine the scope of a given performance assessment.

Based on the model developed by the Public Service Human Resources Agency of Canada (PSHRMAC) the following risk factors have been assessed:

• Quality of work descriptions
• Quality of classification activities
• Volume of classification activities
• Complexity of classification
• Delegation of classification authority
• Electronic support systems
• Environmental analysis
• Early warning system

Annex “A” shows the rating for each element evaluated under each of the above risk. 

1. Quality of work descriptions

The agency is using the new work description format as developed and proposed by the PSHRMAC. In conjunction, CIDA has developed a training program for managers/employees to familiarize them with the new format. Training sessions will be given to managers in the next fiscal year. Managers are required to provide or write the work descriptions in the new format in collaboration with the incumbents of positions. Classification training on work description writing, on classification and committee evaluation processes will be available and offered on an on-going basis. However, the updating of work descriptions is not done on a systematic manner; the new training program will emphasize the importance for managers to maintain their work descriptions up-to-date and to modify them when the responsibilities of a position changed significantly. This element of risk is rated as medium and the quality of the work descriptions on file should be assessed during the monitoring exercise.

Generic work descriptions are used for groups such as: Administrative Services (AS); Secretarial Services (ST); Clerical Services (CR); Computer Sciences (CS); Program Management (PM). In addition, the organization is in the process of developing generic work descriptions for the Financial Administration Group (FI); the Purchasing Group (PG).

There are situations where generic could be misused by managers because they are used to get a level rather than ensuring that the work description reflects the responsibilities of the position. This is likely to happen more frequently within junior levels of the AS group (AS-01, 02, and 03) and it could potentially result in creating non-coincidence situations. Also, these levels are influenced by the inter-departmental relativity that shows there is no uniform application of the AS standard for these administrative support positions. Files and on-site reviews should be conducted during the monitoring exercise.

The PM group is a large group where generic work descriptions are used. Levels PM-01 to PM-04 are development levels where incumbents are automatically promoted as they meet the requirements of the next level. PM-05 and 06 levels are the working levels and they are covered by generic work descriptions. However, these work descriptions have not been reviewed for many years and they should be updated.

There is also an issue of group allocation of program policy analyst positions. At the corporate level these positions are classified within the ES group while classified PM within the operational branches. A sample of these PM positions should also be monitored during the monitoring exercise to assess the issue and take appropriate action if required.

The Organizational Design and Classification Section (ODCS) is comprised of the Chief and five fully accredited Organization and Classification Advisors (OCA) with the appropriate support staff. The work is divided in portfolio and each advisor is responsible for providing organization and classification services to their clients. In addition, the Agency also has an Organizational Design Specialist who is also accredited and provides advice and support to management on all organizational design and restructuring initiatives. This is an acceptable ratio considering that CIDA has a total population of 1700 employees.

Classification files are maintained by the ODCS and the requirements are that each position file should contained a signed work description by the manager and if possible by the employee, an organizational chart signed by the responsible Vice-President or Director General, the classification action form CIDA-330, a rationale and any supporting documentation such as on-site report, summary of discussions with managers... etc.

There are very few job content complaints and they will normally be resolved by the ODCS further to discussions with managers and employees. Cases that are submitted at the first level as staff relations grievances are managed by the Staff Relations Section and will be assessed in collaboration with the ODCS and the union representative, as required. There are only four active cases and only one will likely go to the final level process.

2. Quality of classification decisions/results

The Organizational Design and Classification Section (ODCS) is responsible for training managers that are required to participate in classification evaluation committees. In December 2005, seven senior executives were trained in the evaluated of Executive group positions. To date, two EX evaluation committees have been held. The ODCS is in the process of updating the training program for managers and by mid-April a new two day course on evaluation techniques for non-EX positions will be offered to evaluators.

In May 2005, the Agency put in place a new policy called “Organizational Restructuring and Classification Requests”. This policy states that all organizational restructuring proposals and classification requests with corporate implications will be brought to the Corporate Resources Committee (CRC), through the Human Resources Management Committee (HRMC), for review before any decision is made to undertake any organizational or classification request change. The HRMC is chaired by the DG, Human Resources Directorate and composed of a representative at the EX-01 and EX minus-1 level from each Branch. The CRC is co-chaired by the Senior Vice President and the Vice President, Human Resources and Corporate Services Branch and composed of all the Branch Heads and their decision is final and binding. The Organizational Design Specialist attends CRC meetings to provide advice on organizational design or restructuring related matters.

The objectives of this policy are to:

• Ensure the Agency is compliant with the PSHRMAC policies on classification system and delegation of authority;
• Ensure that the Agency is making informed organizational restructuring and classification decisions and that any potential impacts on intra and inter departmental activities, collective bargaining or salary expenditures are known in advance and can be managed accordingly;
• Provide a tool for the standardization of practices and procedures to seek the appropriate level of approval for organizational restructuring and classification proposals.

A copy of the policy and the related procedure is attached in Annex “B”. Such process ensures an effective risk management of the elements listed under this risk factor and can be considered as a “Best Practice”.

The element related to coincidence between work described and work performed is the only one rated as medium risk. As previously noted there are some issues with the utilization of generic work descriptions for the administrative assistant positions at the AS-01, 02, 03 levels. As noted previously, files and on-site reviews should be conducted during the monitoring exercise.

There is also some internal relativity issues related to the classification of the Performance Management Officers and Resource Management Officers positions. At the corporate level these positions are classified within the ES Group while similar positions within the operational branches are classified within the PM Group. The situation is well known by the Classification Section and the implementation of the new EC Standard will permit to review and classify all these positions based on updated work descriptions. Files and on-site reviews of some of these positions should be done during the monitoring exercise.

The Agency provides monthly updates to PSHRMAC on all their classification activities. There is only one active classification grievance in the Agency. 3. Volume of Classification Activities

The Agency has six accredited Organizational Design and Classification Advisors and they are in the process of staffing an additional training position. Each officer has a portfolio and is responsible for providing organizational and classification advice to their clients. They also deliver classification training to managers on work description writing and committee evaluation. The organizational design specialist is also accredited and provides advice on EX related classification.

All organizational restructuring proposals and classification requests are submitted to the responsible advisor who, in discussion with the Organizational Design Specialist and the responsible manager, determines if the proposal has to go through, as per the policy, the HRMC and CRC for approval.

The classification program is administered in accordance with PSHRMAC policies and procedures. In addition, the Agency has developed internal policies and procedures to complement the Central Agency policies and guidelines. These are:

• Organizational restructuring and classification requests policy
• Organizational restructuring and classification requests procedure
• EX classification requests
• CIDA senior management nomenclature policy

The Agency is also in the process of developing an internal policy and procedure related to grievance administration process to complement the Central Agency policy. Also, the training programs on work descriptions and committee evaluation are under revision.

4. Complexity of classification

The centralized approach to the administration of the Classification Program ensures a consistent application of the standards and facilitates the maintenance of the relativity. The use of generic work descriptions also ensures a consistent application of the standards across the agency.

There are many reorganizations taking place, at this time, in different branches of the Agency and during such exercise it is critical to ensure that the intra-departmental and inter-departmental relativities are taken into consideration in the decision-making process. This risk is effectively managed by the Agency based on the application of the internal policy on “Organizational Restructuring and Classification Requests” and a committee evaluation process composed of senior managers to review and classify senior (EX) positions that are part of these reorganizations. This element of risk is considered medium because of the high number of reorganizations going on at this time. However, the Agency has put in place the required process to manage this risk effectively

During discussions with the ODCS staff it appeared that there could be situations of noncoincidence and misuse of generic work descriptions for specialized positions within the ES, PM, and CO groups. This mainly occurs when employees return from their posting abroad and where they have to be appointed to a position at their substantive group and level but not necessarily in the same branch then when they left. This element is rated as a medium risk and some on-site reviews of these positions should be conducted during the monitoring exercise.

5. Delegation of classification authority within the Agency

The classification authority is centralized within Human Resources and administered by the Organizational Design and Classification Section (ODCS). This ensures consistency in the application of the standards and the maintenance of the internal relativity. There are five accredited classification officers providing organizational design and classification services within the Agency.

Directed decisions are the exception and only for very special cases. These decisions are signed by the President and the file is documented accordingly and these cases are not used for relativity purposes.

6. Electronic support systems

CIDA is using a system called SAP to assist them in the management of Finance and Human Resources Programs.

Classification activities are inputted via five different panels. The initial two entries are made are made by managers who complete panels 1 and 2 while panels 3, 4, and 5 are the responsibility of the Organization and Classification Advisors (OCA). The content of these panels is as follows:
Panel 1:
Basic information on the position such as: position title; effective date; proposed group and level; official language designation, security level required; employment status and the type of classification action required.
Panel 2:
Management approval panel, however, all managers have delegated this function to their Administrative Officer.
Panel 3:
The OCA checks panels 1 and 2 for completeness and once the position is classified enters the rating and the classification group and level. This becomes the classification action form and it is referred to as the CIDA-330.
Panel 4:
This is the approval of panels 1, 2, 3 by the OCA. The position is then officially created (classified) and approved.
Panel 5:
Use by the OCA to reject a request.

Managers are also authorized to complete panels 1, 2, and 4 for non-classified positions such as SAPP, student employment, Flex and field posting.

In addition, managers have the rights to access the system with “expert mode” to modify a reporting relationship, a security level or a language designation. When they do so the system automatically erase historic of the position. . Managers can also delete a position when in “expert mode” and again destroying the historic of a position.

The data in SAP is inputted electronically from many different sources and the Human Resource System Team does not have the expertise to monitor the quality of the entries related to Human Resources activities. The quality of the data in SAP is not reliable and, as a result, organizational chart are not reliable either. Many managers have created their own standalone org. chart system in their organizations which does not reflect reality. In these conditions, it makes it very difficult to obtain reliable information to conduct reviews in order to assess the health of the Organization and Classification Program within the Agency.

There are many reorganizations taking place in the Agency and the Organizational Design Specialist, Organization and Classification Advisors and managers cannot rely on SAP data to assist them in their analysis. In addition, SAP database should be the source for producing organizational charts required when conducting such organizational design reviews but the link does not exist and a different system is used to produce the charts.

The lack of reliability SAP data has made it difficult to conduct effective organizational and classification analysis and to produce reports for Senior Management. This is creating an additional workload. for the OCDS because they have to create their own report template and manually collect and screen the required information.

This risk is rated as high and should be addressed during the monitoring exercise. 

7. Environmental analysis

The Agency has not been the subject of unfavourable media reports. 

8. Early warning system

The decision to centralize the administration of the Classification Program in the Organizational Design and Classification Section (ODCS) of the Human Resources Branch and to create a position of Organizational Design Specialist is contributing to a consistent approach in the application of the standards and the maintenance of intra- and inters departmental relativities. It is also facilitating the identification and the correction of potential inconsistencies early in the process including those associated resulting from re-structuring initiatives.

The implementation of the Organizational Restructuring and Classification Requests Policy ensures full implication of Senior Management in the decision-making process related to organizational design and classification activities within the Agency.

The ODCS is reviewing and updating their training programs related work description writing; classification administration and committee evaluation for managers to increase their knowledge and ownership of the classification program.

Canadian International Development Agency
Organization and Classification risk assessment

The risk assessment is a systematic process for assessing and integrating professional judgments about probable adverse conditions and/or effects. By examining the functional and organizational classification risk, a risk assessment serves to:

• identify, focus and maximize the effectiveness of monitoring activities; and
• help determine the scope of a given performance assessment.

Functional Risk Values: Effectiveness, affordability, integrity, probity, fairness, objectivity and impartiality in advice, transparency

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