ARCHIVED - Office of the Correctional
Investigator

2006-2007
Estimates

A Report on Plans and Priorities

Approved

______________________________________

The Honourable Stockwell Day, P.C., M.P.
Minister of Public Safety
(Public Safety and Emergency Preparedness)

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TABLE OF CONTENTS

SECTION I: AGENCY OVERVIEW

1.1 Correctional Investigator's Message
1.2 Management Representation Statement
1.3 Program Activity Architecture (PAA)
1.4 OCI Program Activity Architecture (January 2006)
1.5 Summary Information
1.6 Agency Priorities by Strategic Outcome
1.7 Agency Plans and Priorities

SECTION II: ANALYSIS OF PROGRAM ACTIVITY BY STRATEGIC OUTCOME

2.1 OCI Logic Model

SECTION III: SUPPLEMENTARY INFORMATION

3.1 Agency Governance Structure
3.2 Organization Chart
3.3 Agency Planned Spending and Full Time Equivalents
3.4 Resources by Program Activity
3.5 Voted and Statutory Items
3.6 Services Received Without Charge

SECTION IV: OTHER ITEMS OF INTEREST

4.1 Government On-Line Information
4.2 Statutes and Regulations
4.3 Reports
4.4 References

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Section I: Agency Overview

1.1 Correctional Investigator's Message

I am mandated to act as Ombudsman for federal offenders. The essential oversight role of the Office of the Correctional Investigator (OCI) is to ensure that our federal correctional system is safe, fair, humane and effective. In order to achieve this result for Canadians, the OCI monitors and investigates the acts, omissions, decisions and recommendations of the Correctional Service of Canada (CSC), so that it carries out its statutory mandate in compliance not only with its own policies and procedures, but also with its domestic and international legal and human rights obligations.

I believe that Canadian society appreciates and values our efforts. Thousands of incarcerated Canadians, members of their families and third parties acting on their behalf continue to contact our Office on a broad range of issues, notably personal safety, health care, access to mental health services, conditions of confinement and deprivation of fundamental human rights. Canadians recognize that the quality of correctional treatment and of post-release assistance offered to offenders are critical factors in their ability to successfully reintegrate into the community as law abiding citizens and to contribute thereby to its overall safety.

The complexity of the legal, policy and operational environments, in which the OCI must evolve, has grown exponentially. The next fiscal year already promises to be a very challenging one for the OCI.

On the management level, our focus will be on the further efforts required for the full implementation of the new Public Service Employment Act (PSEA) and specifically, on the integration of our human resources and business planning processes. In keeping with our longstanding commitment to the prudent stewardship of public funds, the ultimate objective of this planning synthesis is the achievement of further gains in terms of economy and efficiency in the delivery of our services to Canadians.

On the operational level, the OCI will pursue its efforts on the issues it has raised in its latest annual report, notably the treatment of Aboriginal offenders and the need for accountability in the administration of women's corrections.

Addressing gaps in mental health services will be a major initiative this year. The number of offenders in federal institutions with significant identified mental health needs has more than doubled over the past decade. However, the mental health services offered to these offenders are, by CSC's own admission, deficient in the areas of assessment, treatment, case planning and continuity of care.

In view of this; the OCI will continue to call on the Service to expeditiously and fully implement its Mental Health Strategy. We will further increase our outreach efforts towards offenders with mental health issues, as their health status often interferes with their requesting assistance. We shall then strive to ensure their voices are heard, their need for mental health services met and their fundamental human rights respected.

In all of these endeavours, the Office of the Correctional Investigator will continue to work in collaboration with other government agencies and with private and not for profit organizations involved in the fields of corrections, human rights and criminal justice.

Ultimately, our success will be defined by our contribution to the achievement of excellence within the federal correctional system. Canadians legitimately expect and deserve our unwavering commitment to these ideals of sound governance, equity, justice and compassion.

Howard Sapers
Correctional Investigator

1.2 Management Representation Statement

1.3 Program Activity Architecture (PAA)

Below is the OCI's Program Activity Architecture, as presented in our 2005-2006 Report on Plans and Priorities (RPP).

Subsequently and further to discussions with experts from Treasury Board Secretariat, the OCI revised not only its Program Activity Architecture (PAA), but its entire approach to Performance Measurement and Reporting.

Presented below is the OCI's revised PAA. Our reader will note two main changes:

Firstly, the expected result centered on the Correctional Service of Canada's (CSC) level of compliance with law, policy and procedures, fairness and its previous undertakings has been assigned to the entire Program Activity, rather than a few program sub-activities.

Secondly, a greater emphasis is now placed on the OCI's responsibility, to achieve results and/or impact (attribution) CSC's performance in the resolution of offender problems, through its recommendations and interventions.

1.4 OCI Program Activity Architecture (January 2006)

1.5 Summary Information

 

1.6 Agency Priorities by Strategic Outcome

The Office of the Correctional Investigator (OCI) is a federal micro-agency. It has only one Program Activity (PA), that is the “Oversight of Correctional Operations” and only one Strategic Outcome. The OCI's priorities revolve around its legislative mandate and accordingly, are the agency's program sub-activities.

			Planned Spending (in thousands)
			2006-07	2007-08	2008-09
Strategic Outcome: The problems of offenders in the federal correctional system are identified and addressed in a timely and reasonable fashion
Priorities	Type	Expected Results
1. Investigate and resolve individual offender issues	Ongoing	Individual offender complaints are reasonably addressed by the Correctional Service of Canada (CSC) and corrective action is taken (when necessary)	1,310	1,313	1,313
2. Investigate, monitor and resolve systemic offender issues (Mental Health is an area of special interest)	Ongoing	Systemic issues will be acknowledged by CSC and corrective action taken.	766	768	768
3. Monitor, evaluate and provide representations on CSC management of mandated issues (s.19 investigations and Use of Force incidents)	Ongoing	Increased thoroughness, objectivity and timeliness of the Correctional Service of Canada's investigative process regarding s.19 Investigations and Use of Force incidents	211	211	211
4. Investigate, resolve and provide leadership on specifically identified issues (e.g. Women Offenders and Aboriginal Offenders)	Ongoing	Improvement in CSC performance with regard to specific issues related to Women Offenders and Aboriginal Offenders	320	320	320

1.7 Agency Plans and Priorities

The Office of the Correctional Investigator (OCI) is largely funded through operating expenditures and has the authority to spend revenue received during the year.

The primary legislative mandate of the OCI is to provide Canadians with independent investigation of the individual and systemic problems encountered by federal offenders as a result of decisions, recommendations, acts or omissions by the Correctional Service of Canada (CSC). Section 19 of its enabling legislation, the Corrections and Conditional Release Act also requires that it review all CSC Investigations convened following the death of or serious bodily injury to an offender. The OCI is also engaged in similar monitoring of all interventions by Institutional Emergency Response Teams (IERTs), in keeping with the recommendations of the Arbour Commission.

The maintaining of an independent and objective review process within a correctional environment where the Office has virtually no control over either the number of complaints or the extent of the required investigations presents a number of unique challenges. First, our portfolio is national in scope and offers, by the sheer number and complexity of issues, an endless supply of difficulties, opportunities and shifting priorities. Our client base and network of stakeholders are dispersed in a large number of often geographically remote locations throughout Canada. Second, the resolution of disputes in an environment traditionally closed to public scrutiny with an understandably high level of mistrust between correctional officials and offenders, requires that the Office not only be, but be seen to be independent of both the Correctional Service and the Department. Third, given that the authority of the Office rests with its power of persuasion and public reporting rather than enforceable recommendations, it is imperative that appropriate administrative and political mechanisms be available to ensure that reasonable, fair, timely, thorough and humane action is taken on the findings made by the OCI.

In 1997, the Auditor General of Canada^[1] noted the OCI had to cope with an elevated and incessant demand for its services, and that both the volume and complexity of issues continued to increase. In 2000, the sub-committee of the Corrections and Conditional Release Act of the Standing Committee on Justice and Human Rights^[2] echoed that finding by recommending the provision of additional resources.

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[1] Auditor General of Canada, Report of the Auditor General of Canada to the House of Commons, Chapter 33, The Correctional Investigator Canada, December 1997.

[2] House of Commons Canada, Sub-committee on Corrections and Conditional Release Act, A Work in Progress: The Corrections and Conditional Release Act, May 2000.

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The OCI does not foresee decline in either the overall demand for services or in the complexity of the issues the OCI is called upon to address. The environment in which the OCI is called upon to provide results for Canadians continues to be extremely challenging. Essential to moving ahead requires not only innovative and dedicated services, but also sound risk management, knowledge-driven decision-making, rigorous stewardship, clear accountabilities and responsible spending.

To respond to these ongoing operational pressures the OCI adopted its first Corporate Strategic Plan in January 2002 and its Integrated Planning Framework in March 2002.

Identified then and since successfully addressed by the OCI were the following three operational priorities:

1. Increased frequency of institutional visits;
2. Specialized services to Women and Aboriginal Offenders;
3. Timely review and follow-up of s.19 investigations and Use of Force videotapes.

These targets remain current and reside within the core of our operational and strategic planning frameworks. However, the requirement to implement our new Management Resources Results Structure (MRRS) and Program Activity Architecture (PAA) dictate the restatement of our agency's plans and priorities and more specifically, in terms of expected results, performance indicators, and performance measurement strategy.

The OCI's Program Activity (PA) is the “Oversight of Correctional Operations” and its Strategic Outcome (SO) is “the problems of offenders in the federal correctional system are identified and resolved in a timely and reasonable fashion”. Our PAA-related plans and priorities correspond to our four Program Sub-Activities:

Priority 1

Investigate and resolve individual offender issues

The role of the Correctional Investigator is to be an ombudsman for federal offenders. The primary function of the Office is to investigate and bring resolution to individual offender complaints. The vast majority of the concerns raised on complaints are addressed by OCI at the institutional level.

Plans

The OCI will visit all institutions, according to its frequency schedule/institutional security level. Its investigative staff will then interview offenders (and those acting on their behalf) and will maintain accessibility through regular correspondence, e-mail and telephone.

OCI investigators will address in a timely fashion all offender issues; prioritizing those they consider being of an urgent nature. In so doing, they investigate concerns and make recommendations to CSC officials at all levels, while always striving to secure resolution at the lowest possible organizational level.

Moreover, the OCI's investigative staff will insist, through follow-up and impact analysis, that CSC's response to its queries and recommendations be timely, fair, thorough, equitable, reasonable and effective.

Finally the OCI will exercise, where appropriate, its prerogative to investigate, on its own initiative, any issue affecting one or more offenders.

Priority 2

Investigate, monitor and resolve systemic offender issues (Mental Health will be an area of special interest)

While the primary role of the Office of the Correctional Investigator is to investigate and resolve complaints from individual offenders, it has, as well, the responsibility to review and make recommendations on the Correctional Service of Canada's policies and procedures associated with the areas of individual complaints to ensure that systemic areas of concern are identified and appropriately addressed.

Plans

Prior to each institutional visit, the OCI investigator will monitor, through a review and comparative analysis of CSC's own RADAR statistics, the institution's performance in the OCI's Areas of Concern (long-standing systemic areas of OCI concern, that are closely linked to an offender's rights and liberty issues, such as timely conditional release consideration and effective internal redress).

During the visit, the OCI investigator will raise any shortcomings with the Warden and where appropriate will make recommendations. The implementation of those recommendations will be monitored through a review of the institution's performance prior to the next visit, with the OCI always having the option of addressing its concerns at the regional or national level of CSC.

Mental Health Services will be an area of special interest. The OCI will increase its outreach efforts towards offenders suffering from mental health issues. It will also focus its monitoring and investigative efforts of Correctional Services of Canada (CSC), in the Mental Health component of the correctional treatment it offers to incarcerated Canadians.

Throughout the period covered by the present report, the OCI will vigorously pursue its dialogue with CSC Officials, at all levels, on the topics of assessment, access to, and quality of CSC Mental Health Services both within institutions and post-penal community settings. The situation of Women Offenders and Aboriginal Offenders, in that regard will be the subject of particular attention.

During each institutional visit, OCI investigative staff will also meet with the Inmate Welfare Committee (IWC) and where appropriate, with other offender groups such as Native Brotherhoods and Sisterhoods. Investigators will then hold timely discussions with CSC authorities and where appropriate, make recommendations related to the systemic issues raised by these groups; striving to achieve resolution at the lowest possible organizational level.

As in the case of individual offender concerns, OCI investigative staff will subsequently monitor and evaluate, through follow-up and impact analysis, the timeliness and overall quality of CSC's response.

Priority 3

Monitor, evaluate, and provide representations on CSC's management of mandated issues (s.19 investigations and Use of Force incidents)

Section 19 of the Corrections and Conditional Release Act implicitly requires that the Office of the Correctional Investigator (OCI) review all investigations conducted by the Correctional Service of Canada following the death or serious bodily injury to an inmate. The OCI is also engaged in similar monitoring of interventions (Use of Force) by Institutional Emergency Response Teams (IERTs), in keeping with the recommendations of the Arbour Commission.

Plans

The OCI Coordinator of s.19 investigation and Use of Force Issues, with the assistance of an analyst, will review CSC s.19 investigations and CSC reports and videotapes related to Use of Force incidents, as per OCI's standardized review procedure and timeliness benchmarks. Initially determined will be CSC's compliance with the agreed upon timeliness for providing the OCI with all the required s.19 investigation report. Subsequently, the OCI's review will focus on identifying instances of CSC non-compliance within the law and its own policy regarding the Use of Force or flaws in CSC s.19 investigative reports. Finally, the Coordinator will make representations and/or recommendations to CSC officials at the appropriate level and monitor and evaluate, through follow-up and impact analysis, the timeliness and overall quality of CSC's response.

Priority 4

Investigate, resolve and provide leadership on specifically identified issues (Women and Aboriginal Offenders)

The Office of the Correctional Investigator (OCI) conducts specialized investigations and attempts to resolve the issues raised by or on behalf of Women and Aboriginal Offenders. In cooperation with its partners, both governmental and non-governmental, it provides observations, advice, and direction to the Correctional Service of Canada and others regarding these issues.

Plans

Under the guidance of the Coordinators of Women Offender Issues and Aboriginal Offender Issues, OCI investigators will deal, in essentially the same manner as described above, with individual and systemic issues brought to their attention by Women and Aboriginal Offenders.

OCI investigators will also meet, during each visit with Native Brotherhoods and Sisterhoods and where appropriate, with institutional Elders, Native Liaison Officers and Regional Elder Advisory Committees.

Moreover, OCI investigators will focus on a number of issues which are specific to or which continue to have considerably more impact on those sub-groups than on the general offender population.

Finally, both Coordinators will assume the provision of a national leadership role on key issues affecting their respective areas of responsibility.

They will prioritize, within their strategic planning process, the development of collaborative and mutually beneficial working relationships with groups and associations in the public and non-governmental sectors, which are involved in the betterment of corrections for Women and Aboriginal Offenders.

At the management level, our major priority will be the further implementation of the new Public Service Act (PSEA) and specifically, the integration of our human resources planning into business planning.

Given our size and the absence internally of expertise in such matters, the OCI has entered into a Memorandum of Understanding (MOU) to obtain the assistance of the Canada School of Public Service.

The OCI Management Committee is very much aware of the key risks, challenges and key actions to be taken in this area. Recent staffing actions have revealed a shortage of candidates that meet our specific requirements, particularly in terms of knowledge and experience. The OCI anticipates that this shortage will only increase, as a growing number of baby boomers, including current OCI employees, elect to retire from the Public Service.

In view of this, the OCI will have to consider some or all of the following HR strategies, if it wishes to minimize disruptions to its business process during the 2006-2007 to 2008-2009 planning cycle:

• formal identification and continuous review of short, medium and long term requirements in terms of knowledge, skills and experience;
• recruitment directly from post-secondary institutions;
• increased expenditures and emphasis on training and development; and
• review of the layering of positions within the organizational structure with a view to increase mobility.

Section II: Analysis of Program Activity by Strategic Outcome

The OCI's only Strategic Outcome (SO) is “The problems of offenders in the federal correctional system are identified and resolved in a timely fashion”. Its only Program Activity (PA) is the “Oversight of Correctional Operations”, which regroups the four OCI Priorities/Program Sub-Activities described above in Section 1.3.

As the chart below illustrates, each expected result at the Program Activity (PA) and Program Sub-Activity level is expressed and should be perceived conceptually as a link in the results chain leading to the Strategic Outcome.

Another avenue for understanding the linkage between our agency's Program Activity (PA), Sub-activities/Priorities and the achievement of its expected results and Strategic Outcome (SO) resides in the revised OCI Logic Model presented below:

2.1 OCI Logic Model

The chart below outlines the OCI's revised performance measurement strategy and financial and human resources requirements (except for corporate services) during the current planning cycle. Our reader will note that while we have retained March 31, 2007 as the deadline to achieve our performance targets, the majority of these will not be definitely set until October 1, 2006. We will then have gathered sufficient data to engage in realistic, valid and meaningful target setting.

Program Activity: Oversight of Correctional Operations

 

Program Sub-Activity: Investigate and resolve individual offender issues

 

Program Sub-Activity: Investigate, monitor and resolve systemic offender issues (Mental Health is an area of special interest)

 

Program Sub-Activity: Monitor, evaluate and provide representations on CSC management of mandated issues (s.19 investigations and Use of Force incidents)

 

Program Sub-Activity: Investigate, resolve and provide leadership on specifically identified issues (e.g. Women Offenders and Aboriginal Offenders)

 

Program Sub-Activity: Investigate and resolve individual offender issues

 

Program Sub-Activity: Investigate, monitor and resolve systemic offender issues (Mental Health is an area of special interest)

 

Program Sub-Activity: Monitor, evaluate and provide representations on CSC management of mandated issues (s.19 investigations and Use of Force incidents)

 

Program Sub-Activity: Investigate, resolve and provide leadership on specifically identified issues ( e.g. Women Offenders and Aboriginal Offenders)

 

Section III: Supplementary Information

3.1 Agency Governance Structure

Ultimately, the Correctional Investigator is responsible for all aspects of the OCI's performance vis-à-vis its strategic outcome and in terms of its accountability to Canadians, Parliament and central agencies.

He is supported in that role by the Executive Director, whose primary responsibility is to manage the Office's investigative process. Assisting him are two Directors of Investigations, to whom report directly all senior investigators and investigators. They are, in turn, supported in their activities, by three intake officers from the Corporate Services and Planning Sector.

Also supervised by the Executive Director are the three coordinators of specialized investigative services 1) Aboriginal Offender Issues, 2) Women Offender Issues, 3) s.19 Investigations and Use of Force. Given the complexity and broad nature of his mandate, the third coordinator is assisted in his role by an analyst. The Executive Director and all the actors in the investigative process benefit from the advice of the OCI's Senior Policy Advisor and Counsel.

Finally, the Coordinator of Corporate Services and Planning, assisted by the Chief of Administrative Services and three intake officers, is responsible for the efficient functioning of the OCI on a day-to-day basis. Provided is the entire range of corporate and administrative services, notably financial administration, procurement, informatics, internal audit,

3.2 Organization Chart

3.3 Agency Planned Spending and Full Time Equivalents

($ thousands)	Forecast Spending 2005-2006	Planned Spending 2006-2007	Planned Spending 2007-2008	Planned Spending 2008-2009
Oversight of Correctional Operations
Budgetary Main Estimates (gross)	2,919	3,114	3,119	3,119
Less: Respendable revenue	---	---	---	---
Total Main Estimates	2,919	3,114	3,119	3,119
Adjustments	---	---	---	---
Supplementary Estimates
Carry Forward 2004-2005	128	---	---	---
Strengthening the Community Initiative	80	---	---	---
Other
Collective Bargaining Adjustments*	147	---	---	---
Employee Benefit Plan (EBP)	29	---	---	---
Total Adjustments	384	---	---	---
Total Planned Spending	3,303	3,114	3,119	3,119
Total Planned Spending	3,303	3,114	3,119	3,119
Less: Non-respendable revenue	---	---	---	---
Plus: Cost of services received with charge	411	411	411	411
Total Departmental Spending	3,714	3,525	3,530	3,530
Full-time Equivalents	22	22	22	22

* Reflects the best forecast of total net planned spending to the end of the fiscal year.

3.4 Resources by Program Activity

2006-2007

($ thousands)	Budgetary
Program Activity	Operating	Gross	Net	Total Main Estimates	Total Planned Spending
Oversight of Correctional Operations	2,607	2,607	2,607	2,607	2,607
Corporate Services	507	507	507	507	507
Total	3,114	3,114	3,114	3,114	3,114

3.5 Voted and Statutory Items ($ thousands)

Vote or Statutory Item	Truncated Vote or Statutory Wording	2006-2007 Main Estimates	2005-2006 Main Estimates
55	Program expenditures	2,750	2,558
(S)	Contributions to employee benefit plans	364	388
	Total Agency	3,114	2,946

3.6 Services Received Without Charge

($ millions)	2006-2007
Accommodation provided by Public Works and Government Services Canada	258
Contributions covering the employer's share of employees' insurance premiums and expenditures paid by the Treasury Board of Canada Secretariat (excluding revolving funds) Employer's contribution to employees' insured benefits plans and expenditures paid by TBS	153
Total 2006-2007 Services received without charge	411

 

Section IV: Other Items of Interest

4.1 Government On-Line Information

Website: http://www.oci-bec.gc.ca

Email: org@oci-bec.gc.ca

4.2 Statutes and Regulations

Corrections and Conditional Release Act, Part III

4.3 Reports

• Correctional Investigator's Annual Report 2004-2005
  (http://www.oci-bec.gc.ca)
• Auditor General's Report, chapter 33, December 1997
  (http://www.oag-bvg.gc.ca)
• Previous Reports on Plans and Priorities (RPP's) and Departmental Performance Reports (DPR's), available on our website:
  (http://www.oci-bec.gc.ca)

4.4 References