Audit of the CIC Call Centre

Audit Report
Internal Audit and Accountability Branch
Citizenship and Immigration Canada
June 2009

Table of Contents

• 1. Overview
  • 1.1 Background
  • 1.2 Overview of the Call Centre
• 2. Audit Objectives
• 3. Audit Scope and Methodology
  • 3.1 Scope
  • 3.2 Audit Methodology
• 4. Conclusion
• 5. Observations and Recommendations
  • 5.1 Governance
  • 5.2 Human Resources Management
  • 5.3 Financial Management and Control
• Appendix A: Management Action Plan
• Appendix B: About the Audit
• Lines of Enquiry and Audit Criteria
• Audit Timing

List of acronyms

1. Overview

1.1 Background

The Citizenship and Immigration Internal Audit and Accountability Branch (IAA) Risk Based Audit Plan 2008–11 includes an Audit of the Call Centre to be conducted in 08–09. The focus of the audit was to assess governance, human resources management and financial management at the Call Centre.

1.2 Overview of the Call Centre

The CIC national Call Centre is located in Montreal and callers can access services through an Interactive Voice Response (IVR) system 24/7. During business hours (8 a.m. – 4 p.m. local time) callers can request to speak to an agent. The key functions of the Call Centre are to:

• Provide an initial point of access to CIC services,
• Ensure quality service to clients,
• Provide support to CIC operations,
• Provide feedback to CIC.

Call Centre staff also have a role in intervening, as appropriate, in client cases and updating client information on behalf of operational units. Feedback is provided to CIC through the identification of problems in CIC’s application kits (i.e. clarity of information) and providing feedback on CIC’s programs and initiatives [note 1].

The Call Centre is managed by a Director in Montreal, who reports to the Director General of the newly created Centralized Processing Region in Ottawa. Human Resources and IT services are provided by the Quebec Region, through an MOU. Financial information and support is provided through the Operational Management and Coordination Branch (OMC) in Ottawa.

The management team at the Call Centre consists of the Director, the Operations Manager, the Office Manager and the Program Manager. The organization chart for the Call Centre is provided below.

Text version: Organizational Chart

Until the current fiscal year, 25% of the office budget was non–permanent funds, with transfers often taking place late in the fiscal year. An overview of the Call Centre funding is provided in the table below.

2. Audit Objectives

The objectives of the audit were to:

• Assess the adequacy of the governance processes;
• Assess the adequacy of human resources management; and
• Assess the adequacy of financial management practices and internal controls.

The lines of enquiry and the audit criteria are presented in Appendix B.

3. Audit Scope and Methodology

3.1 Scope

The audit scope is comprised of three lines of enquiry: governance, human resources management and financial management and control. Financial transactions, staffing actions and training activity reports for the period April 1, 2007 to March 31, 2008 were examined.

3.2 Audit Methodology

In order to achieve the objectives of the audit, the audit team conducted the following:

• Interviews with management and staff at the Call Centre
• A review and analysis of documents
• Testing of financial transactions
• A review of staffing actions

Interviews

We selected interviewees to ensure as broad a range of employees, administrative, supervisory and management staff as possible. Interviewees were selected randomly, with some exceptions (i.e. management team, union representatives). In total we interviewed 27 individuals from the Call Centre, representing 11% of staff, and one individual from the Quebec Region.

Testing

We reviewed 24 financial transactions representing 18% of the Call Centre’s expenditures in 2007–08 to ensure compliance with the Financial Administration Act, and CIC and Treasury Board policies. Transactions were purposely selected to represent high dollar amounts, and varying types of transactions. In addition, the team reviewed the 5 most recent staffing actions (not including CR5 entry–level processes) conducted over the past two years.

The audit was conducted to be in accordance with the Government of Canada’s Policy on Internal Audit as well as with auditing standards set out by the Institute of Internal Auditors.

4. Conclusion

The audit found adequate governance processes are in place.

The audit found the area of human resources management requires immediate attention to address issues related to management practices.

The audit found financial management practices and internal controls are adequate to ensure that

• Financial practices are compliant with authorities.
• Processes for the justification and approval of investments in major capital assets and for ensuring an accurate and complete inventory of physical assets are in place.
• Forecasts and variances are monitored on a regular basis.

More information on our observations, findings and recommendations related to each of the conclusions above can be found in Section 5.

5. Observations and Recommendations

5.1 Governance

Governance and Strategic Direction

We expected to find:

• effective oversight/governance structures are in place;
• operational plans are in place to achieve objectives; and
• management decision making is adequately recorded and communicated within the Call Centre, and the Centralized Processing Region.

The Call Centre is managed by the Director, aided by the Operations Manager, the Program Manager, and the Office Manager. The Director appears to operate fairly autonomously with respect to the management of the Centre, with limited oversight provided by the Director General in the form of weekly telephone conversations and emails. The Call Centre is one of five offices that now fall under the management of the recently created Centralized Processing Region. The new Director General has indicated there will be more regular and participative oversight in the ongoing operations of the Call Centre.

The audit found that operational plans are in place to achieve objectives. Management at the Call Centre engages in rigorous operational planning and scheduling, relying on a variety of statistical reports detailing productivity targets and achievements. Employees demonstrate a good understanding of the mandate and objectives, and reported pride in the achievements, and level of client service of the Call Centre.

In general, management does not record or systematically communicate results of weekly meetings. There are no minutes or records of key decisions for management meetings, or meetings with the supervisors, although emails are sent to staff (approximately once per month) to update them on status of staffing, operational issues, and management decisions which management considers would impact them.

Recommendation 1:
The Director of the Call Centre should keep records of decisions and resulting actions arising from management meetings.

Management Response:
All management meetings will have minutes written outlining discussions and decisions taken. Minutes will be shared with the Director General, Centralized Processing Region for information.

Accountability

We expected to find that processes exist to ensure that accountabilities and responsibilities are clearly delegated, communicated and adequately discharged, and that management has sufficient information to adequately discharge responsibilities and ensure accountability.

Interviewees told us they understood their roles and responsibilities. The initial training provided to new employees provides a thorough introduction to the responsibilities of a Call Centre Agent. In addition, employees are provided with written behavioral objectives and performance targets they are expected to meet for their position, which are reinforced by frequent performance discussions with supervisors. A survey of Call Centre employees conducted by an independent firm in 2007 also reported that 71% of employees were satisfied, or very satisfied that their performance goals are clearly defined.

Citizen and Client–focused Service

We expected to find that processes are in place to establish, maintain and monitor service principles and standards for clients, as well as effective tracking and resolution of client complaints.

We found that the Call Centre has a well developed and detailed methodology for assessing client service, monitoring client satisfaction tracking and resolving client concerns/complaints, and ensuring a high level of service delivery. In addition to the operational statistics kept for monitoring the level of service being provided by the Call Centre, the Call Centre conducts an annual client survey to assess client satisfaction, and the overall performance of the Call Centre.

Results and Performance

We expected to find:

• processes exist to ensure that planned results and outcomes are linked to organizational objectives, and that management has identified appropriate performance measures;
• management monitors actual performance against planned results and adjusts as required; and
• effective practices exist to adequately recognize and reward employees.

Management monitors performance closely on a weekly basis to ensure a high degree of productivity within the office. Quality is assessed through an annual client survey, and through monthly assessments of the services provided by Call Centre agents.

The audit found that there is a rigorous program for ensuring call quality, and overall productivity of agents. Performance management tools have been developed to assess both the quality, and quantity of calls answered by agents.

The Call Centre has a rewards and recognition committee, composed of staff and supervisors within the Call Centre. The mandate of the committee is to reinforce the feeling of personal and professional competence, the self esteem and the commitment of the employees on a daily basis. The committee organizes various activities to help achieve its objectives, including draws to reward employee achievements, recognition events, and monthly themes and promotional activities.

Innovation and Change Management

We expected to find that the organization has a process in place to identify change opportunities/requirements, and to ensure they are properly implemented.

We found that changes to processes and procedures are kept “up to the minute” through the office intranet site called “WebCart.” In addition, several interviewees told us that the organization strives to continually improve programs and that they are kept informed of changes planned.

The Director has taken many proactive steps to ensure a high quality physical work environment at the Call Centre including: a paperless environment, white noise to help reduce irritation from constant “talking” of agents to clients, comfortable lighting, ergonomic workstations and ½ day training to each employee in ergonomics.

The audit also found that the Call Centre tries to continuously improve its level of efficiency, for example, a study of the benefits of using double monitors to allow for the use of two open information windows by agents was recently tested to see if it improved the speed and ease with which agents could search for and communicate information to clients.

5.2 Human Resources Management

Human Resources Planning

We expected to find that the Human Resources (HR) plan was aligned with operational requirements and considered the current and future needs of the organization.

The Call Centre 2008–2011 Integrated Business and Resource plan is aligned with operational requirements, and includes reference to current and anticipated HR challenges as well as identifying mitigation strategies to offset the impacts of these challenges. However, these mitigation strategies, and the actions of the Director over the previous year appear insufficient to address the issues presented in the plan.

Our interview with the Director of the Call Centre revealed that the process for developing the HR plan is undertaken by the management team. The plan is updated annually to reflect changing requirements. It is largely based on call statistics and heavily impacted by permanent vs. non–permanent funding. The Director indicated that his greatest challenge is managing employee turnover (maintaining adequate staffing levels) and factoring in late non–permanent budget transfers.

Discussions with HR in the Region revealed that the Director had been regularly advised to increase the number of indeterminate employees to 70% of the total (permanent and non–permanent) budget. To assist in this regard, a series of staffing options were developed and presented to the Director – one such option promoted hiring indeterminately from pre–qualified pools in greater numbers, to decrease turnover, improve productivity and decrease the staffing workload on both Call Centre management and HR. However, the Call Centre 2008–2011 Resource plan states the goal of attaining only 70% of indeterminate CR5 positions as per permanent funding, and 90% of indeterminate of PM2 and PM3 positions as per permanent funding, representing less than the 70% of total budget as recommended by HR.

Also, a review of the most recent staffing competitions at the PM2 level revealed that though 94 individuals qualified for the pools developed as a result of the competitions between April 2006 and May 2008, only 7 indeterminate appointments were made in the same time period. Other vacant positions were filled by acting appointments, or left vacant.

Another recommendation presented by HR was to extend the life of the pre–qualified pools, rather than letting them expire while there were several qualified candidates remaining in them. Several interviewees raised concerns about the need to re–apply for and be subjected to retesting and interviews for positions for which they had already qualified, but for which the pool had expired.

Recommendation 2:
In accordance with the advice from HR, the Director of the Call Centre should make every endeavor to increase his permanent staff complement to match his funding profile.

Management Response:
Every month, Director of the Call Centre will review current indeterminate complement to ensure match with funding profile.
Director of the Call Centre will provide monthly report on indeterminate complement to Director General, Centralized Processing Region.

Staffing

We expected to find that processes were in place to ensure that staffing actions are in accordance with the PSEA.

Our review of the five most recent staffing actions revealed the Call Centre uses a well–developed process for assessing candidates, and receives good support from HR services in the region to ensure compliance with the PSEA.

During our review of the staffing actions, a large percentage of interviewees told us that they did not think these actions were fair and transparent. The absence of clearly defined criteria for selection from pre–qualified pools and the constant requirement to reapply and re–qualify for those pools led staff and management to question fairness.

Following our review, we recommended that Human Resources at NHQ conduct an audit of recent staffing actions. HR–NHQ agreed to conduct the audit in September 2008. The objectives of the audit were to determine the compliance in the application of the key principles of merit and non–partisanship as well as respect for the core values of fairness, transparency and to determine conformity with the Public Service Employment Act (PSEA) and CIC Human resources policies.

During the audit, staffing files were reviewed and board members who participated to the reviewed staffing processes were interviewed. The conclusion of the audit is that no irregularities either in the staffing file documentation or during the interviews with Human Resources staff or board members were discovered.

Performance Management and Workplace Well–being

We expected to find that mechanisms exist for employees to receive and to provide feedback. We also expected to find that management promotes and reinforces values and ethics; that employees are aware of Public Services Values and Ethics Code for Public Servants, the CIC Code of Conduct, and the method for making internal disclosures; and that processes exist for ensuring an inclusive and harassment free workplace

Employees are exposed to the Values and Ethics code upon initial orientation to the Call Centre, but interviewees indicated that there was no further follow up or discussion of ethical issues. None of the interviewees seemed aware of the method for making internal disclosures and several indicated they would not know who to call or see to report concerns.

Employees are monitored rigorously and are provided feedback with respect to their productivity and performance on a systematic and regular basis. Numerous instruments, such as the Call Review Form, Continuous Improvement Log, Coaching Session notes and Side by side call reviews are used to track and improve employees’ skills. In addition, most employees interviewed indicated that they had received an annual performance review.

Interviews with the managers indicated that they encouraged employee feedback. An employee survey is conducted every 2 years, leading to the development of an action plan to bring about improvements to mitigate concerns raised in the survey. Employees also participate in “green days” designed to allow for discussion of their concerns and brainstorming possible solutions to improve the operations and environment at the Call Centre. Management has also recently introduced an anonymous suggestion box for employee use. Finally, the Director indicated that he holds monthly “lunches” for employees selected at random, for the purpose of eliciting comments and suggestions for improvements to the Call Centre.

While there are mechanisms available for employees to provide feedback to management, the employees of the Call Centre overwhelmingly indicated that they fear reprisal if they make suggestions which may run counter to management’s wishes. Several employees interviewed noted that discussions at these “green days” events were guarded, as some employees were fearful of what would be reported to management. Also, several interviewees noted that they felt the suggestion box was a good idea, but would be reticent to be seen depositing a suggestion. 75% of interviewees told us they felt like they weren’t trusted, or were never given the benefit of the doubt. Likewise, 79% of interviewees told us they were unhappy or dissatisfied with the cultural environment of the office.

Recommendation 3:
The DG Centralized Processing Region should perform closer supervision over the Call Centre operations, with a focus on HR management.

Management Response:
Director General of Centralized Processing Region will participate periodically at Call Centre union–management meetings.
HR Manager hired in the Director General’s office to ensure uniformity and oversight on HR matters across the Centralized Processing Region, including the Call Centre.

Recommendation 4:
Office of Conflict Resolution, in concert with the Director of the Call Centre, should initiate formal and informal dispute resolution training and ensure that all employees have continued access to mechanisms allowing them to express concerns or lodge complaints, without any fear of reprisal.

Management Response:
The Office of Conflict Resolution (OCR) has delivered their one day training to 177 staff.

Their role and how to access their services was discussed in the training sessions.

OCR met with Management and local Union and then later separately with the Union to discuss role and services.

The majority of the management team has participated in the two day workshop for supervisors and managers.

The OCR has met with the Director of the Call Centre to inform him of their mandate and role.

Awareness presentations on the role and services of OCR are now included during new staff orientation training.

Protocol for employees in the Call Centre to access OCR services developed. To communicate to all staff outlining services and how to access OCR services has been sent.

Recommendation 5:
The Call Centre management, in concert with HR Branch–NHQ, needs to establish mandatory training for Call Centre managers in order for them to better understand policies, procedures and best practices related to HR management (including Labour Relations) to ensure and promote a healthy and respectful workplace. This must include regular sessions/workshops on Values and Ethics.

Management Response:
Agreement with the Canada School of Public Service has been reached to ensure that courses (Required Training) and spaces are available in Montreal for Call Centre employees. The Canada School of Public Service, Required Training for managers and supervisors (G124 and G110) includes a component related to human resources (labour relations and values and ethics).

Departmental Middle Managers Learning Program to be launched April 1, 2009, will include two (2) days labour relations training and one (1) day ethical training.

Departmental labour relations training given to nine (9) managers/supervisors on November 27, 2008. Since 2006, 11 supervisors/managers have received labour relations training. Managers who have yet to attend the training will do so in the coming months.

HR Policies and Directives

We expected to find that there are processes in place to ensure compliance with the requirements of collective agreements and government HR policies and directives.

We found that, while the requirements of the collective agreements are being implemented overall, some staff members interviewed reported a lack of clarity, and inconsistencies in the application of policies related to leave. There appeared to be confusion, at both the employee level and the supervisor level, as to how leave policies, and requirements in the collective agreement regarding leave should be applied.

Recommendation 6:
The Call Centre management should get advice from HR on the application of the provisions of the collective agreements and of policies and directives related to leave and prepare written guidance to all staff clarifying these policies and directives. The Call Centre management must ensure that policies and directives are applied consistently.

Management Response:
An email to all staff will be sent to all employees outlining and clarifying leave entitlements.

Human Resources to provide Call Centre management with information sessions on the application of the provisions of the collective agreements, policies and directives related to leave.

The Call Centre will continue to consult with Human Resources, Quebec Region on the application of the collective agreement and various policies to ensure consistency across the region and the department.

Training and Development of Staff

We expected to find the organization provides employees with the necessary training, tools, resources and information to support the discharge of their responsibilities.

We found initial training provided to new Call Centre Agents is very thorough. A seven–week in–class training program is followed by several months of individual coaching, at an estimated cost of $11,000 per individual. Other training courses have been designed and delivered in house to experienced staff, on topics such as improving client service.

Only 5 supervisors have attended the required training The Essentials of Supervising in the Public Service (G124) in the past two years. According to the Treasury Board Directive on the Administration of Required Training, newly appointed supervisors (for periods of more than 4 months) must register for their required training within 2 months of being appointed, and complete the training within 6 months of registration. NHQ Corporate Training has confirmed that there have been difficulties in tracking and communicating to the Call Centre which employees were “eligible” for required training. The number of acting appointments and extensions to acting appointments may be contributing to this challenge. The Director has recently appointed an individual to the position of Training Coordinator at the Call Centre, and the existence of this position should help to ensure those who must attend required training are registered, and attend the course.

5.3 Financial Management and Control

Internal control

We expected to find that financial policies and practices are compliant with legislation, regulations, policies and authorities.

The Call Centre has an Office Manager, and a team of administrative staff who handle financial transactions, however, financial officer services are provided through Operational Management and Coordination Branch at NHQ. A review of the approval processes and testing of 24 financial transactions shows the Call Centre is compliant with legislation, regulations, policies and authorities.

Purchase and Stewardship of Assets

We expected to find that processes for the justification and approval of investments in major capital assets (such as IT equipment) and for ensuring an accurate and complete inventory of physical assets are in place.

We found that Information Technology services are provided through an MOU with the Quebec region, and all major IT purchases are managed by the NHQ Project Office, ensuring compliance with CIC policies. The information technology inventory is managed by the IT office at the Call Centre, as per organizational guidelines. Non–IT inventory is managed by the Call Centre administration team, in accordance with processes outlined by CIC policy.

Financial Management

We expected to find that financial resources are budgeted, committed and spent to meet the priorities and objectives in the workplan, and that forecasts and variances are monitored on a regular basis.

We found that the management team tracks financial resources closely, and spends funds according to the goals and activities outlined in the workplan.

Appendix A: Management Action Plan

Appendix B: About the Audit

Lines of Enquiry and Audit Criteria

Audit Timing