Deputy Head's transition documents for 2024: Overview of Deputy Head responsibilities

Purpose:

To provide information to the new Deputy Head of the Canadian Grain Commission (CGC) on the department’s Delegation of Spending and Financial Authorities instrument and related schedules.

Summary:

• The Treasury Board Directive on Delegation of Spending and Financial Authorities requires that Ministers and Deputy Heads formally delegate and communicate financial authorities in writing.
• The main document defining the delegated authorities is known as Schedule 1 and requires sign-off by both the Minister and the Deputy Head.
• Following the recent appointment of Minister MacAulay, a new document was sent to his office and is currently awaiting his signature. The document does not need to be resigned and resubmitted by the new Deputy Head.

Context:

The Treasury Board Directive on Delegation of Spending and Financial Authorities requires that Ministers and Deputy Heads formally delegate and communicate financial authorities in writing.

The Minister's Delegation of Financial Signing Authorities establishes the maximum ministerial delegation of spending, contracting and payment authorities. Where full authority is granted, this amount is restricted to the lesser of the budget allocated to the position and the maximum permitted under the applicable statutes, regulations, or policies as they apply to the CGC.

Following the appointment of a new Minister, a new document for delegated authorities is required. Per Treasury Board directive, this document must be prepared for signature by the Minister within 90 days of appointment.

Treasury Board policy also stipulates that the delegations currently in place remain in force until such time as this new delegation document is approved.

The Financial Administration Act (FAA) designates Deputy Heads as accounting officers for their organizations, within the framework of ministerial accountability. In this role, they are vested with various authorities, such as Financial and Resource Management, Human Resources, Contracting, Transfer Payments, etc.

Deputy Heads recommend a delegation of authority framework to Ministers based on assessment of risks and compensating controls.

Deputy Heads are accountable before Parliament for the management responsibilities of their department in support of their Minister’s direction.

Considerations:

The main document defining the delegated authorities is known as Schedule 1 and requires sign-off by both the Minister and the Deputy Head.

• The Minister delegates authorities to the Deputy Head, and the Deputy Head sub-delegates within the organization as allowable per Treasury Board policies.
• As part of an effective control framework, Deputy Heads are responsible for the mandatory training that departmental officials are required to undertake before exercising their delegated authorities.
• Delegation training is meant to ensure that individuals have the necessary knowledge to effectively carry out their delegated responsibilities.
• In order to maintain effective controls, departmental officials must periodically have their delegation knowledge tested and validated.

Schedule 1 has five main sections and indicates limits by delegated authority level:

• Expenditure initiation limits such as events, travel, hospitality, etc.
• Procurement authorities to purchase goods and services.
• Approval authorities to authorize payment for goods and services.
• Finance authorities to disburse funds for payment, and
• Various specialty authorities that are primarily handled by the CFO including, including debt write-off and waiver of interest.

Along with Schedule 1, the Minister also signs off on other specialty schedules as follows:

• Federal Real Property delegation allowing the Canadian Grain Commission to approve leases and leasehold improvements.
• Delegation of Procurement Authority against call-ups for specified IT goods/services as sub-delegated by Shared Services Canada,
• Delegation of various pay components to Public Services and Procurement Canada under the Phoenix pay system
• Various specialty delegations primarily handled by the CFO, and
• A standing delegation for the Assistant Chief Commissioner to act for the Deputy Head as required.

Deputy Head Required Expenditure Initiations:

• Events – Chief Operating Officer (COO) up to $25K / Deputy Head (DH) up to $50K / Minister over $50K;
• Hospitality – COO up to $3K / DH up to $25K/ Minister over $25K;
• Conferences – COO up to $25K / DH up to $50K / Minister over $50K;
• Sponsorships – DH as per Canadian Grain Commission Policy; and
• Ex Gratia – COO up to $2K / Deputy Head over $2K.

Sub-delegations by Authority Level:

• Authority Level 1 – Deputy Head – All cost centres up to approved budget levels to initiate and certify except for limitations as per above.
• Authority Level 2 – Chief Operating Officer – All cost centres up to approved budget levels to initiate and certify except for limitations on events, travel, hospitality, conferences and ex-gratia. No authority for sponsorships.
• Authority Level 3 – Chief Financial Officer – All cost centres up to approved budget to initiate and certify for travel, staffing, real property, and general expenditures. No authority for events, hospitality, conferences, sponsorships, claims against the Crown, or ex-gratia.
• Authority Level 4 – Directors – Own cost centres up to budgeted limits to initiate and certify for travel, relocation, memberships staffing, and general expenditures. No authority for events, hospitality, conferences, sponsorships, claims against the Crown, or ex-gratia.

Sub-delegations by Authority Level:

• Authority Level 5 – Managers – Assigned cost centres up to budgeted limits to initiate and certify for travel, memberships staffing, and general expenditures. No authority to initiate expenditures for events, hospitality, conferences, sponsorships, claims against the Crown, ex-gratia, or real property.
• Authority Level 6 – Supervisors - some limited HR authorities for leave, and authority to approve items for payment that have been appropriately authorized once received. No authority to initiate any expenditures.
• Finance – Designated positions to action payment for all appropriately initiated and certified purchases of goods and services as per Financial Administration Act.
• Procurement – Designated positions given authority to transact for all goods and services as per Treasury Board Contracting Policy when appropriately initiated.
• Facilities – Designated positions to certify and transact on specified real property expenditures.
• Blanket authorities – Designated positions to certify on behalf of all cost centres for various goods and services within established criteria.

The current delegation instrument has been reviewed by Treasury Board Secretariat officials for policy compliance.

The CGC has developed internal sub-delegation documents and has processes in place to control the exercise of delegation authorities granted in these documents.

Next steps:

It is recommended that you review the attached delegation instrument and authorities within.

Address any questions regarding financial signing authorities to:
payables-crediteurs@grainscanada.gc.ca

Purpose:

To inform you of Human Resource (HR) authority delegation and accountabilities.

Summary:

• The Public Service Commission grants departmental staffing authorities to the Canadian Grain Commission’s (CGC) Deputy Head.
• The CGC’s Delegation Instrument for HR Authorities sub-delegates many authorities.

Context:

Human resources authorities pertaining to classification, labour relations, leave, official languages, pay, staffing and training are delegated to the Deputy Head through a number of policies and directives including the Financial Administration Act (FAA), the Public Service Employment Act (PSEA) and the Treasury Board Policy on People Management. The former Deputy Head has sub-delegated many of these authorities to various levels of management as outlined in the CGC Instrument of Authority Delegation for HR Management. These authorities are sub-delegated to persons occupying specific positions within the organizational structure. Sub-delegation is at the lowest level possible to ensure effective and efficient management of people at the CGC.

The Deputy Head is ultimately responsible for ensuring that employees with sub-delegated authorities are informed of their people management responsibilities and possess the knowledge to exercise specific authorities. The Deputy Head is also responsible for ensuring that these employees fulfill their people management responsibilities in accordance with the relevant legislation and collective agreements. Only the Deputy Head may modify the Instrument, including identification of delegation levels and any changes to the pre-requisites for sub-delegation authorities.

The Deputy Head is granted staffing authority within their own organization by the Public Service Commission (PSC) through the Appointment Delegation and Accountability Instrument (ADAI). These authorities may be exercised as soon as the Deputy Head is appointed or designated, unless otherwise stipulated. The President of the PSC will send you a letter confirming Deputy Head delegation and accountabilities. A meeting between you and the PSC President will follow (supported by HR), generally within 2 months of appointment.

Considerations:

A new Chief Commissioner (in consultation with HR) may elect to make changes to the Delegation Instrument of Authorities for the organization. Additions to the Instrument of Authority Delegation for HR Management were recently made to address operational requirements and to align with new provisions in collective agreements. The instrument was recently approved and signed by Doug Chorney on April 15, 2024.

Next steps:

• To ensure current delegations remain in force, HR will prepare a delegation instrument for your signature.

Purpose:

To provide you information on the Canadian Grain Commission’s (CGC) Access to Information and Privacy (ATIP) delegation orders.

Summary:

• The Chief Commissioner is responsible for responding to requests made under the ATIP Acts.
• The CGC’s Chief Operating Officer (COO) position currently has full delegated authority of the powers, duties and functions designated by the ATIP.
• Current delegated authorities remain in place until revoked or replaced.

Context:

The Access to Information Act (ATI) gives Canadian citizens, permanent residents and any person or corporation present in Canada a right to access records of government institutions that are subject to the ATI. The ATI maintains that government information should be made available to the public, necessary exceptions to the right of access should be limited and specific, and decisions on the disclosure of government information should be reviewed independently of government.

The purpose of the Privacy Act is to protect the privacy of individuals with respect to personal information about themselves held by a government institution and to provide individuals with a right of access to that information.

The Chief Commissioner is responsible for responding to requests made under the ATI. Subsection 95(1) of the ATI provides for the delegation of the powers, duties and functions designated by the ATI. The Chief Commissioner is also responsible for responding to requests made under the Privacy Act. Section 73(1) provides for the delegation of the powers, duties and functions designated by the Act.

The CGC’s Chief Operating Officer (COO) position currently has full delegated authority of the powers, duties and functions designated by the ATIP. The COO is responsible for the coordination and implementation of policies, guidelines, and procedures to ensure compliance with the ATI and Privacy Act.

The CGC is supported by Agriculture and Agri-Food’s (AAF) Access to Information and Privacy (ATIP) office who assists in processing and responding to access to information and privacy requests received by the CGC.

Considerations:

A new Chief Commissioner may want to consider new ATIP delegation orders to confirm their direction. The delegations currently remain in force until such time as the delegation orders are revoked or replaced.

Once a delegation order is signed, delegates are accountable to the head of the institution for any decisions they make. Delegates exercise the powers in their own name because they are authorized to act. Ultimate responsibility, however, still rests with the head of the government institution.

The powers, duties and functions of the head may only be exercised either by the head of the institution or by the delegates. No other officer or employee has the legal authority to make determinations. When the delegate is absent or incapacitated and the delegation passes to another position, the person occupying that position may also make determinations.

Even when a delegation has been given, the head of the institution retains the power to make decisions and may do so until the final determination has been communicated to the requester. As a result, it is not interference for the head of an institution to get involved in the processing of requests or the resolution of complaints.

The Assistant Chief Commissioner may, under s. 3(3) of theCanada Grain Act, exercise the powers of the Chief in their absence / incapacity. This would include the powers which are granted under the ATIP Acts.

The CGC has an ATIP coordinator whose key responsibilities include:

• Ensuring timely processing of all ATIP requests and coordinating with AAF’s ATIP office for processing the CGC’s ATIP requests;
• Providing senior management and all departmental staff with advice and guidance on ATIP- related matters;
• Responding to and managing privacy breaches and inquiries;
• Proactively disclosing summaries of closed access requests on the CGC website;
• Preparing annual reports to Parliament and maintaining the CGC Info Source chapter; and
• Developing and updating Personal Information Banks (PIBs).

Next steps:

• It is recommended that you review the attached ATIP delegation orders.
• CGC officials will prepare an updated ATIP delegation instrument for your signature in the coming months.