Follow-Up to Internal Audit of Recruitment and Hiring

Report Summary

In August 2011 PPP Canada engaged an independent auditor to assess whether the governance, policies, structures, systems and processes were suitably designed and whether the internal controls related to recruitment and hiring were in place, and effectively applied. The audit noted some areas for improvement and recommendations were made. A subsequent follow up engagement was conducted in 2013 to review progress against implementing the recommendations. Based on the follow up engagement, PPP Canada has addressed all the recommendations from the 2011 report.

Original Audit Recommendation

Follow-up Observations and Conclusions

We recommend that management formalize the documentation requirements for staffing files.

We further recommend that Management monitor the files to ensure that documentation is complete that supporting documentation is kept in the file for audit trail purposes.

√ - Recommendation adequately addressed

For the five samples examined, the audit noted the following:

  • All recruitment files were clear and all the required documentation was maintained.
  • Each recruitment file had a table of contents which provided ease of access.
  • All files included a checklist.
  • Each checklist was signed off by the designated VP and by the delegated HR Officer.

We noted that the business unit plans for FY 2011/12 included a HR planning component. Some units did describe specific positions to be filled while other business unit plans were at a high level. We recommend that PPP Canada further define and articulate staffing requirements for all of the individual business unit plans as well as in the corporate plan.

√ - Recommendation adequately addressed

The audit noted that human resource (HR) planning was integrated in the planning process and included in the 2012-13 to 2016-17, Corporate Plan. In addition, HR was an agenda item in the management retreats.

The 2012-13 Annual Report included succession planning and included HR related risks and mitigating activities. 

√ - Recommendation adequately addressed

Based on a review of the Corporate Services Group, the Investment Group and the Business Development Group Integrated Plans for 2013-14, it was noted that business units identified HR requirements and allocated financial resources to those priorities and commitments.  In addition, HR performance was monitored and reported in the Annual Report.

We recommend that Management develop regular reports on key HR statistics such as current staffing levels, unstaffed positions, departures, turnover rates in order to assist with the planning and decision-making process.

√ - Recommendation adequately addressed

It was noted that Management had developed HR reports such as Statistical Overview of Mobility at PPP Canada for 2009-13 which provided data on turnover (departures).

It was also noted that Management has developed reports such as the Year-end Performance Review Summary of Results 2010-13 which provides performance tracking and the Pulse Survey employee satisfaction survey results for December 2013.  These were used in the 2013-14 planning process in order to inform future staffing requirements, corporate and business unit planning, resource allocation and to support corporate and operational HR performance measurement. .