2011-12 - Departmental Performance Report (DPR)
2011-12
Departmental Performance Report
Office of the Correctional Investigator
The Honourable Vic Toews, P.C., Q.C., M.P.
Minister of Public Safety
Table of Contents
Correctional Investigator's Message
Section I: Organizational Overview
- Raison d’être
- Responsibilities
- Strategic Outcome and Program Activity Architecture
- Organizational Priorities
- Risk Analysis
- Summary of Performance
- Expenditure Profile
- Estimates by Vote
Section II: Analysis of Program Activities by Strategic Outcome
Section III: Supplementary Information
Section IV: Other Items of Interest
Correctional Investigator’s Message
The Office of the Correctional Investigator (OCI) was established in1973 to function as an ombudsman for federally sentenced offenders. From the beginning, our independent and external oversight of the correctional system has enhanced accountability and transparency for Parliamentarians and Canadians. Moreover, we have played an important role in ensuring that Canada’s correctional system is not only managed fairly and humanely but also in a way that is consistent with the expectations and values of Canadians. We believe our recommendations made to the Correctional Service of Canada (CSC) have made a difference in the lives of Canadians and contributed to the protection of rights and the maintenance of a peaceful society.
To this end, part III of the Corrections and Conditional Release Act (CCRA) authorizes me to conduct investigations into problems of offenders related to decisions, recommendations, acts and omissions of the CSC. Decisions to commence or terminate, as well as the methods used to conduct an investigation, are at my discretion.
In the reporting period, the Office’s team of investigators spent 369 days in federal institutions, interviewed more than 1600 offenders and conducted 481 formal investigations. We received 5,789 complaints/inquiries from federal offenders, 18,700 contacts were made via our toll-free number and over 1.0 million visitor hits were recorded on our web site. In addition, our Use of Force team conducted 814 file reviews. We also reviewed 144 CCRA section 19 cases involving serious bodily injury and 27 deaths in custody. These are significant achievements for a micro agency with 32 full-time employees.
This Departmental Performance Report identifies accomplishments stemming from the following six key priorities which are discussed in the latest Report on Plans and Priorities: access to mental health services; preventing deaths in custody; conditions of confinement; issues facing Aboriginal offenders; access to correctional programming; and, issues affecting federally sentenced women offenders. These priorities assist investigative staff in structuring their visits to correctional institutions and often serve as the basis for interactions/discussions between my Office and the CSC. As the correctional populations gradually increase, it is expected that these priorities will become even more important.
Information Management continues to be an administrative priority for our Office. We began the consolidation of the organization’s information management functions in preparation for the purchase and implementation of case management and correspondence tracking applications. Preliminary work was also completed on our website. This update will simplify access to information, meet compliance requirements and raise the public profile of the Office.
Of note, the Office underwent a horizontal internal audit lead by the Office of the Comptroller General on Integrated Business and Human Resources Planning. As of this writing, the final report has not been published, however, the conclusions in the fact finding exercise point to a positive outcome for the organization. This was the second consecutive positive external audit of the organization and is a notable achievement.
Finally, this report presents some of the highlights of the important work performed by my Office during the reporting period. They are a reflection of the ongoing commitment by all staff members to our important mandate and corporate obligations that we strive to meet every year.
Howard Sapers
Correctional Investigator
Section I: Organizational Overview
Raison d’être
The Office of the Correctional Investigator provides Canadians with timely, independent, thorough and objective monitoring of their federal correctional system to ensure that it remains safe, fair, humane and effective. Essentially, its oversight role is to ensure accountability of the Correctional Service of Canada in carrying out its statutory mandate in compliance with its domestic and international legal and human rights obligations.
Responsibilities
The mandate of the Office of the Correctional Investigator, as defined by the Corrections and Conditional Release Act, is to function as an Ombudsman for federal offenders. The Office of the Correctional Investigator is independent of the Correctional Service of Canada and may initiate an investigation on receipt of a complaint by or on behalf of an offender, at the request of the Minister or on its own initiative. The Correctional Investigator is required by legislation to report annually through the Minister of Public Safety Canada to both Houses of Parliament.
Strategic Outcome(s) and Program Activity Architecture
Organizational Priorities
| Priority | Type1 | Strategic Outcome(s) and/or Program Activity(ies) |
|---|---|---|
Investigate and resolve individual offender issues |
Ongoing |
Ombudsman to federal offenders |
Monitor, evaluate and provide representations on the Service’s management of mandated issues (s. 19 investigations and use of force incidents) |
Ongoing | Ombudsman to federal offenders |
Investigate, resolve and provide leadership on specifically identified systemic issues of offender concern (e.g., Mental health issues; Aboriginal offender issues; preventatble deaths in custody; program access; and, segregation and conditions of confinement) |
Ongoing | Ombudsman to federal offenders |
| Information Management |
Ongoing | Ombudsman to federal offenders; |
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1. Type is defined as follows: previously committed to-committed to in the first or second fiscal year prior to the subject year of the report; ongoing-committed to at least three fiscal years prior to the subject year of the report; and new-newly committed to in the reporting year of the Report on Plans and Priorities or the Departmental Performance Report. |
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Risk Analysis
Maintaining an independent and objective review process within a correctional environment where the Office has no control over the number of complaints requiring investigations presents a number of unique challenges:
- the Office’s mandate is national in scope and the sheer number and complexity of issues managed require flexibility and constant re-evaluation of priorities. The client base and network of stakeholders are dispersed in a large number of often geographically remote locations throughout Canada;
- the average daily offender count was up in the reporting period in comparison to the last, however, actual population growth to date has not reached projected levels and the cumulative effect of legislative and policy changes may only be realized over time. While new and planned cell construction will address long term population pressures, immediate capacity challenges resulting in increased double bunking continue. In light of these population projections, the risk was mitigated in the reporting period;
- the resolution of complaints in an environment traditionally closed to public scrutiny requires that the Office not only be, but be seen to be independent of both the Correctional Service of Canada, Public Safety Canada and the Minister;
- given that the authority of the Office rests with its power of persuasion and quality of reporting rather than enforceable recommendations, it is imperative that appropriate administrative and public mechanisms be available to ensure that reasonable, fair and timely action is taken on the findings and recommendations made by the Office.
- human resource management in the public service is not easy at the best of times. It is certain to become even more challenging in this time of fiscal restraint. As a micro-agency, attracting and retaining a stable, professional group of employees in the current fiscal environment brings an element of risk as employees may decide to remain in the core public administration rather than join a separate employer.
The Office does not foresee a decline in either the overall demand for services or in the complexity of the issues it is called upon to address. The environment in which it operates continues to be extremely challenging. As documented previously, the offender population is increasing (albeit at a slower pace than initially predicted) and will continue to grow as recent policy and legislative initiatives fully take effect. Regardless of population pressure, there remains a legislated requirement on the part of the CSC to provide safe and humane custody. Moving forward requires not only innovative and dedicated services, but also sound risk management, knowledge-driven decision-making, rigorous stewardship, clear accountabilities and responsible spending.
Summary of Performance
| Planned Spending | Total Authorities* | Actual Spending* |
|---|---|---|
| $4,292 | $5,012 | $4,937 |
|
* Excludes amount deemed appropriated to Shared Services Canada, if applicable. |
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| Planned | Actual | Difference |
|---|---|---|
| 34 | 32 | 2* |
|
* Unanticipated departures and parental leave situations impacted the FTE utilization in the reporting period. |
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Progress Toward Strategic Outcome
| Performance Indicators | Targets | 2011-12 Performance |
|---|---|---|
Following prioritization, percentage of offender complaints addressed and responded to accordingly in a timely fashion. |
100% |
Even though a few investigative staff left the OCI during the reporting period, the Office managed to meet the level of service target in responding to offender complaints by prioritizing, addressing and closing them accordingly in the case management tool (DATIS). |
Percentage of responses to individual offender complaints by category. |
100% |
The Office of the Correctional Investigator’s investigative staff conducted 1,600 offender interviews during the reporting period. Investigators spent 369 days in institutions – a slight increase over the previous reporting period. The Office also conducted 481investigations during the reporting period. See Complaints by Category table at the end of the report. |
Percentage of responses and recommendations on key systemic areas of offender concern identified and subject to OCI recommendations. |
100% |
The Correctional Service of Canada responded to 100% of the OCI’s recommendations on key systemic areas of offender concern. This was demonstrated in the CSC’s response to the OCI’s Annual Report. |
| Program Activity | 2010-11 Actual Spending |
2011-12 ($ ) | Alignment to Government of Canada Outcomes | |||
|---|---|---|---|---|---|---|
| Main Estimates |
Planned Spending |
Total Authorities* |
Actual Spending* |
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|
* Excludes amount deemed appropriated to Shared Services Canada, if applicable. ** The OCI’s main program activity provides independent oversight of federal Corrections and contributes to public safety by ensuring the timely review of offender complaints. In addition, it aids public confidence and assurance that the CSC is compliant with legal and human rights obligations. |
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| Ombudsman to federal offenders | $3,263 | $3,397 | $3,434 | $3,909 | $3,689 | Safe and Secure Communities** |
| Total | $3,263 | $3,397 | $3,434 | $3,909 | $3,689 | |
| Program Activity | 2010-11 Actual Spending |
2011-12 ($ thousands) | |||
|---|---|---|---|---|---|
| Main Estimates |
Planned Spending |
Total Authorities* |
Actual Spending* |
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|
* Excludes amount deemed appropriated to Shared Services Canada, if applicable. |
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| Internal Services | $770 | $921 | $858 | $1,103 | $1,247 |
Expenditure Profile
Over the last three fiscal years, from 2009-10 to 2011-12, the Office of the Correctional Investigators Total Authorities and Actual Spending remained in step. Increases in both are a result of new funding from several legislative initiatives in corrections and permanent incremental funding in 2010-11 to address workload pressures in both the investigative and corporate streams.
Estimates by Vote
For information on the Office of the Correctional Investigator’s organizational Votes and/or statutory expenditures, please see the Public Accounts of Canada 2012 (Volume II). An electronic version of the Public Accounts 2012 is available on the Public Works and Government Services Canada’s website.
Section II - Analysis of Program Activities by Strategic Outcome(s)
Strategic Outcome #1 - The problems of offenders in the federal correctional system are identified and resolved in a timely fashion
Program Activity No. 1: Ombudsman to federal offenders
Through this program activity, the Office of the Correctional Investigator conducts investigations of individual offender complaints regarding acts, omissions, decisions and recommendations of the CSC. It also has a responsibility to review and make recommendations on CSC’s policies and procedures associated with the areas of individual complaints, to ensure that systemic areas of complaint are identified and appropriately addressed, and to review all Section 19 investigations performed by CSC following the death of or serious injury to an inmate.
Program Activity Descriptions
Through this program activity, the Office of the Correctional Investigator conducts investigations of individual offender complaints regarding acts, omissions, decisions and recommendations of the CSC. It also has a responsibility to review and make recommendations on CSCs policies and procedures associated with the areas of individual complaints, to ensure that systemic areas of complaint are identified and appropriately addressed, and to review all Section 19 investigations performed by CSC following the death of or serious injury to an inmate.
| Planned Spending | Total Authorities* | Actual Spending* |
|---|---|---|
|
* Excludes amount deemed appropriated to Shared Services Canada, if applicable. |
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| $3,434 | $3,909 | $3,689 |
| Planned | Actual | Difference |
|---|---|---|
| 30 | 28 | 2 |
| Expected Results |
Performance Indicators |
Targets | Performance Status |
|---|---|---|---|
| To provide accessible and timely Ombudsman services to federal offenders. | Ratio of completed institutional visits by security level. |
90% meet standard |
The organization was successful in this regard even though a few senior investigators left or were on parental leave during the reporting period. Reassignments of institutions were required in order to meet the standard. The 90% target was met. |
Average response time to offender problems. |
85% meet standard | The Office of the Correctional Investigator was also successful in this regard with an average response time of 84% just shy of the standard. This is reflective of the adjustments being made to the data capture requirements relating to the closing of inmate files. |
Performance Summary and Analysis of Program Activities
Investigative staff carried out professional, timely and responsive analysis of offender complaints and investigations throughout the reporting period. The number and frequency of institutional visits and offender interviews across the country was up in comparison to the previous reporting period. This increased presence within the institutions resulted in a greater awareness of the Office and continuing requests for services. The challenge in the reporting period remained in striking a workable balance between managing daily complaints and involving investigative staff in the completion of systemic reviews.
A secondary related challenge involved enhancing the required competencies for conducting systemic investigations, namely analytical skills and the ability to write effectively.
Additional information on the OCI’s six key priorities can be found in the 2011-12 Annual Report.
Lessons Learned
Access, timeliness and quality of investigations are core elements of the Ombudsman function. To support these elements, the organization initiated the following: the enhancement of its website with a view to ensuring compliance in terms of accessibility and usability; the review and update of information brochures for offenders and other Canadians; enhanced access to the 1-877 toll free number; and, the initiation of five systemic investigations that are national in scope.
Program Activity No. 2: Internal Services
Program Activity Descriptions
Internal Services are groups of related activities and resources that are administered to support the needs of programs and other corporate obligations of an organization. These groups are: Management and Oversight Services; Communications Services; Legal Services; Human Resources Management Services; Financial Management Services; Information Management Services; Information Technology Services; Real Property Services; Materiel Services; Acquisition Services; and Travel and Other Administrative Services. Internal Services include only those activities and resources that apply across an organization and not to those provided specifically to a program.
| Planned Spending | Total Authorities | Actual Spending |
|---|---|---|
| $858 | $1,103 | $1,247 |
| Planned | Actual | Difference |
|---|---|---|
| 4 | 4 | 0 |
| Expected Results |
Performance Indicators |
Targets | Performance Status |
|---|---|---|---|
| n/a | n/a | n/a | n/a |
Performance Summary and Analysis of Program Activities
The Internal Services program activity is committed to ensuring full compliance with relevant Government of Canada policies and guidelines, legislation as well as OCI-specific policies and directives. This is accomplished through the development of internal control processes and the provision of training in key corporate areas. In addition, employees working in this field demonstrated an enhanced sense of client service to the organization, its employees and members of the Public Safety Portfolio.
Lessons Learned
As stated earlier, Internal Services staff provided focused training in two specific corporate areas in the reporting period – Information Management and financial administration relating to travel. Training related to ATIP, contracting and human resources will be managed on a priority basis going forward.
Section III - Supplementary Information
Financial Highlights
| Change $ | 2011-12 | 2010-11 | |
|---|---|---|---|
| Total net liabilities | (122,698) | 653,011 | 775,709 |
| Total net financial assets | 35,520 | 136,330 | 100,810 |
| Departmental net debt | (158,218) | 516,681 | 674,899 |
| Total non-financial assets | 0 | 0 | 0 |
| Departmental net financial position | (158,218) | (516,681) | (674,899) |
| Change % | 2011-12 | 2010-11 | |
|---|---|---|---|
| Total expenses | 13.28% | 5,271,800 | 4,653,952 |
| Total revenues | 0 | 0 | 0 |
| Net cost of operations before government funding and transfers | 13.28% | 5,271,800 | 4,653,952 |
| Departmental net financial position | (23.44%) | (516,681) | (674,899) |
Financial Statements
The Office of the Correctional Investigator 2011-12 Financial Statements (unaudited) can be found on the organization’s website.
List of Supplementary Information Tables
NOTE: In Section III - List of Tables, do not link each table in the list to your corresponding HTML file. Leave this section as is; just removing the table(s) in the list that are not applicable to the department you are submitting.
The following supplementary information table included in the 2011-12 Departmental Performance Report can be found at the Treasury Board of Canada Secretariat’s web site:
- Greening Government Operations
Section IV - Other Items of Interest
Organizational Contact Information
Manuel Marques
Director, Corporate Services and Planning, Chief Financial Officer
manuel.marques@oci-bec.gc.ca
Additional Information
Complaints by Category Table
Glossary
Complaint: Complaints may be made by an offender or a third party on behalf of an offender by telephone, facsimile, letter or during interviews held by the Office of the Correctional Investigator’s investigative staff at federal correctional facilities.
The legislation also allows the Office of the Correctional Investigator to commence an investigation at the request of the Minister or on the Correctional Investigator’s own initiative.
Internal Response (IR): A response provided to a complainant that does not require consultation with any sources of information outside the Office of the Correctional Investigator.
Investigation (INV): A complaint where an inquiry is made with the Correctional Service and/or documentation is reviewed/analyzed by the Office of the Correctional Investigator’s investigative staff before the information or assistance sought by the offender is provided.
Additional Information
| CATEGORY | IR | INV | Total | |
|---|---|---|---|---|
| Administrative Segregation | 183 | 245 | 428 | |
| Case Preparation | 38 | 48 | 86 | |
| Cell Effects | 167 | 219 | 386 | |
| Cell Placement | 21 | 22 | 43 | |
| Claims | 15 | 20 | 35 | |
| Community Programs/Supervision | 5 | 11 | 16 | |
| Conditional Release | 14 | 9 | 23 | |
| Conditions of confinement | 249 | 234 | 483 | |
| Conviction/Sentence-Current Offence | 1 | 2 | 3 | |
| Correspondence | 65 | 62 | 127 | |
| Death or Serious Injury | 30 | 14 | 44 | |
| Decisions (general) - Implementation | 178 | 49 | 227 | |
| Diets | 7 | 25 | 32 | |
| Discipline | 14 | 17 | 31 | |
| Discrimination | 8 | 5 | 13 | |
| Double Bunking | 22 | 21 | 43 | |
| Employment | 42 | 35 | 77 | |
| Financial Matters | 56 | 52 | 108 | |
| Food Services | 24 | 26 | 50 | |
| Grievance | 157 | 98 | 255 | |
| Harassment | 65 | 54 | 119 | |
| Health and Safety - Inmate Worksites/Programs | 0 | 2 | 2 | |
| Health Care | 289 | 406 | 695 | |
| Health Care - Dental | 12 | 23 | 35 | |
| Hunger Strike | 1 | 13 | 14 | |
| Immigration/Deportation | 0 | 3 | 3 | |
| Information | 102 | 64 | 166 | |
| Inmate Requests | 12 | 9 | 21 | |
| IONSCAN | 0 | 1 | 1 | |
| Legal Counsel - Quality | 13 | 7 | 20 | |
| Mental Health | 15 | 39 | 54 | |
| METHADONE | 9 | 9 | 18 | |
| Office of the Correctional Investigator | 0 | 4 | 4 | |
| Official Languages | 4 | 1 | 5 | |
| Operation/Decisions of the OCI | 6 | 3 | 9 | |
| Outside Court | 10 | 9 | 19 | |
| Parole Decisions | 98 | 80 | 178 | |
| Police Decisions or Misconduct | 3 | 2 | 5 | |
| Private Family Visits | 79 | 79 | 158 | |
| Programme/Services | 46 | 76 | 122 | |
| Provincial Matter | 2 | 2 | 4 | |
| Release Procedures | 40 | 29 | 69 | |
| Religious/Spiritual | 19 | 12 | 31 | |
| Safety/Security | 15 | 23 | 38 | |
| Safety/Security of Offender(s) | 27 | 60 | 87 | |
| Search and Seizure | 17 | 15 | 32 | |
| Security Classification | 45 | 47 | 92 | |
| Sentence Administration | 11 | 5 | 16 | |
| Staff | 176 | 134 | 310 | |
| Telephone | 63 | 78 | 141 | |
| Temporary Absence | 13 | 28 | 35 | |
| Temporary Absence Decision | 22 | 22 | 44 | |
| Transfer | 195 | 213 | 408 | |
| Urinalysis | 1 | 8 | 9 | |
| Use of Force | 10 | 29 | 39 | |
| Visits | 53 | 42 | 95 | |
| Uncategorized | 181 | |||
| GRAND TOTAL | 2769 | 2839 | 5789 |
This table is populated with data from the OCI’s case management tool: DATIS.
Endnotes
- Public Accounts of Canada 2012, http://www.tpsgc-pwgsc.gc.ca/recgen/cpc-pac/index-eng.html
- Treasury Board of Canada Secretariat, http://www.tbs-sct.gc.ca/tbs-sct/index-eng.asp
- Office of the Correctional Investigator, http://www.oci-bec.gc.ca
- Date modified