Statutory Officer Recruitment, Appointment and Contract Administration Policy and Procedures

Statutory Officer Recruitment, Appointment and Contract Administration Policy

Approved By: City Council
Approval Date: April 8, 2020
Effective Date: April 8, 2020
Revision Approved By:
Revision/Review Date:

Policy Statement

The City of Ottawa is committed to fair, transparent and equitable practices for recruiting, appointing and administering the contracts of statutory officer positions that report directly to City Council. All employment-related matters, including hiring and contract administration, shall be undertaken in an objective and impartial manner and in accordance with the Code of Conduct for Members of Council, the Employee Code of Conduct, the Municipal Freedom of Information and Protection of Privacy Act (MFIPPA), as well as principles of the Accessibility for Ontarians with Disabilities Act (AODA), the City’s Accessibility Policy and the City’s Equity and Diversity Policy.

Purpose

The City of Ottawa has established three statutory officers who report directly to City Council:

The Auditor General, pursuant to Section 223.19 of the Municipal Act, 2001 (the Act);
The City Manager, pursuant to Section 229 of the Act; and
The Integrity Commissioner, pursuant to Section 223.3 of the Act. The City’s Integrity Commissioner also plays the statutory roles of the Meetings Investigator, in accordance with Section 239.2 of the Act, and the Lobbyist Registrar under Section 223.11 of the Act.

This policy is meant to assist in ensuring that individuals appointed to statutory roles are qualified, and that the terms and conditions of their employment are appropriate.

Application

This policy applies to Members of Council, the Hiring Panel, the Interview Panel, the external search firm and any City staff participating in recruitment, appointment and/or contract administration processes related to statutory officer positions that report directly to Council.

Policy Requirements

Statutory officers shall be recruited and appointed in a fair, transparent and equitable manner, and in accordance with the process approved by Council as set out in the Statutory Officer Recruitment, Appointment and Contract Administration Procedures.

The City of Ottawa is committed to providing quality services by establishing a qualified workforce that reflects the diverse population it serves. The City encourages applications from all qualified individuals.

There shall be no acts of favouritism, bias, undue influence or discrimination in the statutory officer recruitment process. Individuals participating in the recruitment and appointment process shall not attempt to influence the hiring of any applicant in a manner that is inconsistent with this policy. Participants shall not engage in any behaviour that provides an unfair advantage to a candidate during the statutory officer recruitment process. This includes assisting any candidate by providing inside information including, but not limited to interview questions and suggested answers, presentation materials, information about other candidates, and/or any information gathered in meetings, conversations, email or any other form of communication or discussion.

All City staff and Members of Council involved in the recruitment process are required to hold in strict confidence all confidential information concerning matters dealt with by Council, the Hiring Panel and/or the Interview Panel. City staff must abide by confidentiality provisions of MFIPPA, the Employee Code of Conduct and applicable contract provisions relating to confidential and/or personal information. Members of Council are also subject to MFIPPA, as well as provisions of the Code of Conduct for Members of Council relating to confidentiality.

All participants in the recruitment and appointment process will be required to sign a mandatory confidentiality agreement with respect to their involvement in the process. The confidentiality agreement must be signed at the outset of the process, before the participant receives any confidential information.

The following City staff, and/or their respective designate(s), may be involved by the Hiring Panel in the recruitment process and may be permitted to access related confidential information, subject to the above-noted provisions:

Director, Human Resources and/or delegate(s) as set out in writing;
City Clerk and/or delegate(s) as set out in writing;
City Solicitor and/or delegate(s) as set out in writing; and
Other staff as approved by the Hiring Panel and/or City Council.

In the case of the Integrity Commissioner recruitment and appointment process, the City Clerk, Deputy City Clerk and Auditor General may also be permitted to access related confidential information, subject to the above-noted provisions, in their capacity on the Interview Panel and selecting a preferred candidate.

A member of City staff or an external person appointed by Council to fulfil the duties of the statutory officer on an acting or temporary basis does not preclude the acting individual’s candidacy in the selection process for the permanent statutory officer. If the individual is not a candidate for the permanent role, they may be involved in the recruitment process.However, if they are a candidate for the position as permanent statutory officer, they are not permitted to participate or influence the recruitment process and must excuse themselves from all business associated with same.

Responsibilities

City Council

Provide approvals regarding recruitment, appointment and contract administration as noted within this policy and its procedures.
Ensure relevant requirements of this policy and its procedures are fulfilled in any duties undertaken.

Mayor

Serve as Chair of the Hiring Panel (Auditor General/City Manager).
Seek input from all other Members of Council on their expectations of the desired qualifications relating to the Auditor General and City Manager.
Ensure relevant requirements of this policy and its procedures are fulfilled in any duties undertaken.

Hiring Panel/Interview Panel Member

Engage in all procedural elements as outlined in this policy and its procedures, and in accordance with all integrity and confidentiality requirements as set out in the applicable policies, code of conduct and legislation.
Ensure relevant requirements of this policy and its procedures are fulfilled in any duties undertaken.

City Staff

Assist City Council and/or the Hiring Panel in the recruitment and appointment process in accordance with any Council direction and applicable policies, including this policy and its procedures, as well as the Employee Code of Conduct and applicable legislation.
Ensure relevant requirements of this policy and its procedures are fulfilled in any duties undertaken.

External Search Firm

Assist in undertaking an executive search in accordance with the scope of work approved by City Council and/or the Hiring Panel, and in accordance with the applicable policies and legislation.
Ensure relevant requirements of this policy and its procedures are fulfilled in any duties undertaken.

Monitoring/Contraventions

The City Clerk shall review and monitor the statutory officer recruitment, appointment and contract administration processes for the Auditor General and City Manager to ensure consistency and compliance with this policy. The City Solicitor shall review and monitor the recruitment, appointment and contract administration processes for the Integrity Commissioner to ensure consistency and compliance with this policy.

Failure on the part of an employee to comply with this policy may result in discipline up to and including dismissal.

Any complaints under this policy relating to Members of Council shall be addressed by the Integrity Commissioner in accordance with the Integrity Commissioner’s oversight of the Code of Conduct for Members of Council.

References

Statutory Officer Recruitment, Appointment and Contract Administration Procedures Recruitment and Staffing Policy
Accessibility Policy
Equity and Diversity Policy
Code of Conduct for Members of Council Employee Code of Conduct

Legislative and Administrative Authorities

Municipal Act, 2001
Employment Standards Act, 2000
Municipal Freedom of Information and Protection of Privacy Act
Accessibility for Ontarians with Disabilities Act

Definitions

“External Search Firm” means an external firm or specialized consultant retained by the Hiring Panel/Council to assist in undertaking an executive search in accordance with the scope of work approved by the Hiring Panel/Council.

“Hiring Panel” means the individuals appointed by Council to interview candidates for the Auditor General/City Manager position.

“Interview Panel” means the City Clerk, Deputy Clerk and Auditor General in their capacity interviewing candidates for the Integrity Commissioner position and selecting a preferred candidate.

“Statutory officer” means those officers appointed under the Municipal Act, 2001, who report directly to City Council. Specifically, this includes the Auditor General, City Manager and Integrity Commissioner.

Enquiries

For more information on this policy, contact:

City Clerk
City of Ottawa
Telephone: 3-1-1 (TTY: 613-580-2401)

Appendices

Appendix 1 – Statutory Officer Recruitment, Appointment and Contract Administration Procedures

Statutory Officer Recruitment, Appointment and Contract Administration Procedures

Approved By: City Council
Approval Date: April 8, 2020
Effective Date: April 8, 2020
Revision Approved By: City Council
Revision Date: December 9, 2020

Application

These procedures apply to processes for statutory officer recruitment, appointment and contract administration. These procedures apply to Members of Council, the Hiring Panel/Interview Panel, the external search firm and City staff responsible for the recruitment, appointment and contract administration process described in the Statutory Officer Recruitment, Appointment and Contract Administration Policy.

Procedure Description

Auditor General

Recruitment and Appointment Process

City Council shall consider a motion that provides for as follows:
1. If applicable, the incumbent may be thanked for their work;
2. If applicable, providing the incumbent with any required notice as set out under the employment contract and/or the Employment Standards Act, 2000 and regulations;
3. If applicable, providing for a voluntary exit interview to be conducted with the incumbent in accordance with the process set out in Appendix C of these Procedures;
4. Approving the Mayor (Chair), the Chair and Vice-Chair of the Audit Committee, and the Deputy Mayors be the Hiring Panel to interview candidates for the position of City Auditor General, and that the Mayor also seek input from all other Members of Council on their expectations of the desired qualifications for same;
5. Approving the Terms of Reference for the Hiring Panel, a draft sample of which is attached to these procedures as Appendix A;
6. The engagement of an external search firm from the City’s Standing Offer list may be considered to assist the Hiring Panel in undertaking an executive search for a new Auditor General, identifying an upset limit;
7. Directing the Office of the City Clerk to provide the required administrative support to the Hiring Panel; and
8. Directing the Hiring Panel to report back to Council with a recommended candidate for Council’s approval as the new Auditor General.
The City Clerk shall ensure that all Hiring Panel Members and City staff with access to confidential hiring process information sign a mandatory confidentiality agreement in relation to the process. The confidentiality agreement shall be signed at the outset of the process, before receiving any confidential information.
The Auditor General Hiring Panel is an ad-hoc committee of Council. Therefore, the Panel’s meetings shall be held in accordance with Council’s Procedure By-law, including public notice, agenda and minute provisions. It should be noted, however, that the majority of some meetings are likely to be, by necessity and in accordance with standards in employment and administrative law, conducted in closed session under the relevant provisions of the Municipal Act, 2001;
If applicable, on behalf of the Hiring Panel and in accordance with Council’s direction, the City Clerk may issue a request for submissions on the recruitment process to qualified search firms on the City’s Standing Offer list;
The Auditor General Hiring Panel shall meet for the purposes including, but not limited to, as follows:
1. To consider the approval of the external search firm (if Council has approved the engagement of an external search firm) and establish timelines to meet Council’s direction;
2. To review any list(s) of candidates prepared by the executive search firm and to select those to be interviewed for the position of City Auditor General;
3. To interview candidates, select a recommended candidate and make any other recommendations with respect to terms and conditions that the Hiring Panel deems appropriate.
The Hiring Panel shall report to Council in accordance with Council’s direction.
Council shall consider the recommendation(s) of the Hiring Panel. Any appointment approved by Council shall be made by public resolution, specifying the terms and conditions of such appointment and delegating authority to finalize and execute the employment contract based on the specified parameters. The resolution shall also provide “reporting out” requirements with respect to the exercise of the delegated authority.

Contract Administration Process

Terms and conditions of appointment - Council shall, by public resolution, approve any amendments to the terms and conditions of the Auditor General’s appointment, including but not limited to contract, job description and salary matters that go beyond terms and conditions previously approved by Council. The resolution shall specify any relevant amendments and delegated authority with respect to same. The resolution shall also provide “reporting out” requirements with respect to the exercise of delegated authority.

Performance reviews - The Mayor and the Chair and Vice-Chair of the Audit Committee have delegated authority to conduct confidential performance review meetings for the Auditor General based on written weighted evaluation forms filled out by each Member of Council, in accordance with the process set out in Appendix B. The results of the meetings shall be reported to Council in the manner deemed most appropriate by the Mayor, in consultation with the City Clerk.

Vacation leave, sick leave, expense reports and similar matters - The Mayor has delegated authority to consider and approve/reject vacation leave, sick leave, expense reports and similar matters for the Auditor General.

City Manager

Recruitment and Appointment Process

City Council shall consider a motion that provides for as follows:
1. If applicable, the incumbent may be thanked for their work;
2. If applicable, providing the incumbent with any required notice as set out under the employment contract and/or the Employment Standards Act, 2000 and regulations;
3. If applicable, providing for a voluntary exit interview to be conducted with the incumbent in accordance with the process set out in Appendix C of these Procedures;
4. Approving that the Mayor (Chair) and all Members of the Finance and Economic Development Committee be the Hiring Panel to interview candidates for the position of City Manager, and that the Mayor also seek input from all other Members of Council on their expectations of the desired qualifications for same;
5. Approving the Terms of Reference for the Hiring Panel, a draft sample of which is attached to these procedures as Appendix A;
6. The engagement of an external search firm from the City’s Standing Offer list may be considered to assist the Hiring Panel in undertaking an executive search for a new City Manager, identifying an upset limit;
7. Directing the Office of the City Clerk to provide the required administrative support to the Hiring Panel; and
8. Directing the Hiring Panel to report back to Council with a recommended candidate for Council’s approval as the new City Manager.

The City Clerk shall ensure that all Hiring Panel Members and City staff with access to confidential hiring process information sign a mandatory confidentiality agreement in relation to the process. The confidentiality agreement shall be signed at the outset of the process, before receiving any confidential information.
The City Manager Hiring Panel is an ad-hoc committee of Council. Therefore, the Panel’s meetings shall be held in accordance with Council’s Procedure By-law, including public notice, agenda and minute provisions. It should be noted, however, that the majority of some meetings are likely to be, by necessity and in accordance with standards in employment and administrative law, conducted in closed session under the relevant provisions of the Municipal Act, 2001;
If applicable, on behalf of the Hiring Panel and in accordance with Council’s direction, the City Clerk may issue a request for submissions on the recruitment process to qualified search firms on the City’s Standing Offer list;
The City Manager Hiring Panel shall meet for the purposes including, but not limited to, as follows:
1. To consider the approval of the external search firm (if Council has approved the engagement of an external search firm) and establish timelines to meet Council’s direction;
2. To review any list(s) of candidates prepared by the executive search firm and to select those to be interviewed for the position of City Manager; and
3. To interview candidates, select a recommended candidate and make any other recommendations with respect to terms and conditions that the Hiring Panel deems appropriate.

The Hiring Panel shall report to Council in accordance with Council’s direction.
Council shall consider the recommendation(s) of the Hiring Panel. Any appointment approved by Council shall be made by public resolution, specifying the terms and conditions of such appointment and delegating authority to finalize and execute the employment contract based on the specified parameters. The resolution shall also provide “reporting out” requirements with respect to the exercise of the delegated authority.

Contract Administration Process

Terms and conditions of appointment - Council shall, by public resolution, approve any amendments to the terms and conditions of the City Manager’s appointment, including but not limited to contract, job description and salary matters that go beyond terms and conditions previously approved by Council.

The resolution shall specify any relevant amendments and delegated authority with respect to same. This may include setting out the delegated authority being approved to seek, negotiate, finalize and/or execute a contract extension as well as any required changes to the contract with respect to term, remuneration, benefits and notice period. The resolution shall also provide “reporting out” requirements with respect to the exercise of delegated authority.

Performance reviews – The Mayor and Deputy Mayors have delegated authority to conduct confidential performance review meetings for the City Manager based on written weighted evaluation forms filled out by each Member of Council, in accordance with the process set out in Appendix B. The results of the meetings shall be reported to Council in the manner deemed most appropriate by the Mayor, in consultation with the City Clerk.

Vacation leave, sick leave, expense reports and similar matters – The Mayor has delegated authority to consider and approve/reject vacation leave, sick leave, expense reports and similar matters for the City Manager.

Integrity Commissioner

Recruitment and Appointment Process

City Council shall consider a motion that provides for as follows:
1. If applicable, the incumbent may be thanked for their work;
2. If applicable, providing the incumbent with any required notice as set out under the employment contract and/or the Employment Standards Act, 2000 and regulations;
3. If applicable, providing for a voluntary exit interview to be conducted with the incumbent in accordance with the process set out in Appendix C of these Procedures;
4. Delegating authority to the City Clerk to undertake a recruitment and appointment process for the new Integrity Commissioner in accordance with the criteria and principles approved by Council (as per Subsection 2 below), and further to any specified changes to the remuneration schedule; and
5. Directing the City Clerk to report back to Council on the exercise of the delegated authority immediately following contract execution by way of a memorandum setting out information regarding the new Integrity Commissioner and the recruitment and appointment process that was used.
The following criteria and principles shall be applied to the hiring process:

The Integrity Commissioner’s independence and impartiality;
Confidentiality with respect to the Integrity Commissioner’s activities; and
The credibility of the Integrity Commissioner’s investigation process.

In considering the appointment of an Integrity Commissioner, the successful candidate should possess:

Previous municipal, governance, procedural and/or ethics experience (e.g. former Chief Administrative Officer, Clerk, municipal lawyer, similar experience in another level of government);
Knowledge of municipal government and the accountability and transparency provisions of the Municipal Act, 2001;
Understanding of Council operations and policies, including the City’s Accountability Framework;
Ability to provide services on a part-time, flexible and as-needed basis, without competing employment demands;
Credibility with City Council, staff, public and media;
The ability to receive complaints and conduct investigations in both official languages; and
No specific connection or interest with the City (specifically a financial or business relationship).

The City Clerk shall ensure that all individuals and City staff with access to confidential hiring process information sign a mandatory confidentiality agreement in relation to the process. The confidentiality agreement shall be signed at the outset of the process, before receiving any confidential information.
The City Clerk shall conduct advertising for the position and receive and screen applications based on the Council-approved criteria before selecting candidates for interviews.
Interviews shall be conducted by an Interview Panel composed of the City Clerk, the Deputy Clerk and the Auditor General, and a preferred candidate shall be selected.
The initial term of the Integrity Commissioner shall be set at one year with an optional renewal for a five-year term.
The City Clerk shall report back to Council on the exercise of the delegated authority immediately following contract execution by way of a memorandum setting out information regarding the new Integrity Commissioner and the recruitment and appointment process that was used.

Contract Administration Process

The City Clerk shall have delegated authority to negotiate, finalize and execute extensions to the Integrity Commissioner’s contract and any subsequent renewals, subject to Council-approved term lengths and any Council-approved changes to terms and conditions, including the remuneration schedule. The City Clerk shall report to Council on the exercise of this delegated authority by way of memorandum immediately following the execution of any agreement.

Monitoring/Contraventions

The City Clerk shall review and monitor the statutory officer recruitment, appointment and contract administration processes for the Auditor General and City Manager to ensure consistency and compliance with these procedures. The City Solicitor shall review and monitor the recruitment, appointment and contract administration processes for the Integrity Commissioner to ensure consistency and compliance with these procedures.

Failure on the part of an employee to comply with these procedures may result in discipline up to and including dismissal.

Any complaints under these procedures relating to Members of Council shall be addressed by the Integrity Commissioner in accordance with the Integrity Commissioner’s oversight of the Code of Conduct for Members of Council.

References

Statutory Officer Recruitment, Appointment and Contract Administration Policy
Procedure By-law
Code of Conduct for Members of Council

Legislative and Administrative Authorities

Municipal Act, 2001
Employment Standards Act, 2000

Definitions

“Hiring Panel” means the individuals appointed by Council to interview candidates for the Auditor General/City Manager position.

“Interview Panel” means the City Clerk, Deputy Clerk and Auditor General in their capacity interviewing candidates for the Integrity Commissioner position and selecting a preferred candidate.

Enquiries

For more information on these procedures, contact:

City Clerk
City of Ottawa
Telephone: 3-1-1 (TTY: 613-580-2401)

Appendices

Appendix A – Draft Auditor General/City Manager Hiring Panel Terms of Reference

Appendix B – Performance Review Process

Appendix C – Voluntary Exit Interview Process

APPENDIX A

Draft Auditor General/City Manager Hiring Panel Terms of Reference

Mandate

The Hiring Panel for the Auditor General or City Manager, as the case may be (“Hiring Panel”) is responsible for facilitating the recruitment process for these statutory officers and recommending to City Council a preferred candidate for the position, in accordance with the Statutory Officer Recruitment, Appointment and Contract Administration Policy and Procedures, and any direction from City Council.

Membership

Membership of the Hiring Panel shall consist of Members of City Council as approved by City Council.

General Responsibilities

The Hiring Panel shall:

Facilitate the recruitment and appointment process in accordance with the Statutory Officer Recruitment, Appointment and Contract Administration Policy and Procedures, and any direction from City Council.

Specific Responsibilities

Consider the approval of the external search firm (if Council has approved the engagement of an external search firm), and establish timelines to meet Council’s direction;
Review any list(s) of candidates prepared by the executive search firm and to select those to be interviewed for the position;
Interview candidates, select a recommended candidate for Council’s consideration, and make any other recommendations to Council with respect to matters such as terms and conditions that the Hiring Panel deems appropriate.

Authority, Decision-making and Reporting Relationship

The Hiring Panel shall meet at the call of its Chair in accordance with the notice provision of the Procedure By-law. The Hiring Panel is an ad-hoc committee of Council. Therefore, the Panel’s meetings shall be held in accordance with Council’s Procedure By-law, including public notice, agenda and minute provisions. It should be noted, however, that the majority of some meetings are likely to be, by necessity and in accordance with standards in employment and administrative law, conducted in closed session under the relevant provisions of the Municipal Act, 2001.

Members of the Hiring Panel may be permitted to access related confidential information. The following City staff, or their respective designate, may be involved by the Hiring Panel in the recruitment process and may be permitted to access related confidential information, subject to provisions of the Statutory Officer Recruitment, Appointment and Contract Administration Policy and Procedures:

Director, Human Resources and/or delegate(s) as set out in writing;
City Clerk and/or delegate(s) as set out in writing;
City Solicitor and/or delegate(s) as set out in writing; and
Other staff as approved by the Hiring Panel and/or City Council.

As set out in the Statutory Officer Recruitment, Appointment and Contract Administration Policy, all City staff and Members of Council involved in the recruitment process are required to hold in strict confidence all confidential information concerning matters dealt with by the Hiring Panel. Each Member of the Hiring Panel will be required to sign a mandatory confidentiality agreement with respect to their involvement in the process. The confidentiality agreement must be signed at the outset of the process, before the participant receives any confidential information.

Recommendations of the Hiring Panel shall be forwarded to Council for consideration. The Hiring Panel shall report to Council in accordance with Council’s direction.

APPENDIX B

Performance Review Process

Annual

The performance of the Auditor General/City Manager shall be reviewed annually in accordance with this process.

Written Weighted Evaluation Form

The performance review for the Auditor General/City Manager shall include a written weighted evaluation form, filled out by each Member of Council, to assess performance factors, performance measures, key deliverables and core behaviours.
The evaluation form process shall provide for all Members of Council to provide comment.
Examples of evaluation forms are provided below.

Process

The process shall commence at a time of choosing by the Mayor but shall be on an annual basis.
The Mayor shall review the previous year’s evaluation form and may adjust the present year’s form to include assessment of special projects, assigned issues and/or key objectives that may arise from time to time.
The Mayor shall provide the Auditor General/City Manager with a copy of the proposed present year’s evaluation form and request whether the Auditor General/City Manager has any questions or concerns regarding same.
The Mayor shall request that the Auditor General/City Manager provide a submission as it relates to their achievements and successes over the past year.
Once the present year’s evaluation form is finalized, the Mayor shall send the evaluation form and the Auditor General/City Manager’s submission to all Members of Council.
Members’ responses will be kept confidential in accordance with provisions of the Municipal Freedom of Information and Protection of Privacy Act, and Members are not required to answer any or all of the questions on the evaluation form.
Once Members have had an opportunity to complete and return the evaluation form to the Mayor (or Mayor’s designate), the Mayor, with other approved Council designates, shall meet with the Auditor General/City Manager to review the outcome of the evaluation.
To complete the process, the Auditor General/City Manager shall respond in writing to the Mayor with respect to the feedback.
The Auditor General/City Manager shall be requested to sign the evaluation. The original shall be kept with the Auditor General/City Manager’s employee file in accordance with any record-keeping requirements, with copies to the Auditor General/City Manager, as the case may be.
The Mayor shall consult with the City Clerk with respect to the manner deemed most appropriate to report the results of the performance review meetings to Council, and shall report the results of the meetings to Council accordingly.

Administration

The City Clerk may assist with the administration of this process in a confidential manner upon request from the Mayor. Examples of administration may include, but not be limited, to providing Members of Council with the evaluation form and confidentially receiving responses received from Members of Council on behalf of the Mayor, and administering meetings of the performance review designates.

Confidentiality

In accordance with confidentiality provisions of the Statutory Officer Recruitment, Appointment and Contract Administration Policy and Procedures, all Members of Council and City staff involved in the performance review process are required to hold in strict confidence all confidential information concerning the process. City staff must abide by confidentiality provisions of the Municipal Freedom of Information and Protection of Privacy Policy (MFIPPA), the Employee Code of Conduct and applicable contract provisions relating to confidential and/or personal information. Members of Council are also subject to MFIPPA, as well as provisions of the Code of Conduct for Members of Council relating to confidentiality.

Evaluation Form Examples

Auditor General

Note that the Mayor may adjust the present year’s form to include assessment of special projects, assigned issues and/or key objectives that may arise from time to time.

Auditor General Performance Review

Please note that responses will be kept confidential in accordance with provisions of the Municipal Freedom of Information and Protection of Privacy Act. Members are not required to answer any or all of the questions.

Name: ________________________________________________

Employee Information

Name:

Position Title: Auditor General

Review Period:

From:

To:

Performance Factors:
Description	Rating
Communication with Council Effective written and oral presentation Openness to Mayor and Council feedback Brings forward appropriate and timely reports Effective evaluation and dissemination of information Effectively communicates audit plans and resource requirements, including any impact of resource limitations, to City Council, through the Audit Committee	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Audit and Risk Management Activities Appropriately performs the duties and functions and exercises the powers assigned Strong program management to achieve objectives or actions of the audit plan Ensures audits and risk assessment activities add value to the City and improve the City’s programs/services Effectively consults with City stakeholders to plan, refine, revise and finalize audit plans prior to submitting the annual audit plan to City Council, through the Audit Committee, for approval Undertakes ongoing monitoring of the performance of the audit activities and conducts periodic reviews performed through self-assessment Ensures audit activity conforms to the Standards for the Professional Practice of Auditing and discloses any incidents of non-conformance, providing an analysis of the impact of the non-conformance to Council Provides clear recommendations supported by adequate rationale and documentation	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Fraud and Waste Activities Effectively administers the Fraud and Waste Hotline Effectively coordinates fraud investigation activities with City programs or City agencies, boards and commissions at the Office’s discretion	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Council and Management Relations Provides effective liaison with Council, City Manager and Senior Management and adheres to the City Audit Protocol and all relevant policies and procedures Puts information and skills together to better guide choices in order to accomplish goals and objectives	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Office Management and Staff Relations Demonstrates strong human resources management Promotes teamwork and cooperation Understands and values differences among individuals and fosters these values throughout the Office Ensures the policies and procedures for employee hiring, promotion, performance appraisal and discipline are equitable, legal and current Ensures that all staff within or contracted by the Office operate with an impartial, unbiased attitude, and that they avoid any conflict of interest Ensures all staff has the knowledge, skills and other competencies to effectively carry out their professional responsibilities Ensures that the individuals who are part of the audit activity demonstrate conformance with the applicable professional and City Codes of Conduct and the Standards for the Professional Practice of Auditing Ensures that all employees perform work in accordance with applicable legislation Ensures that auditors in the Office of the Auditor General undertake continuing professional development to enhance their knowledge, skills and other competencies	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Effective Community Relations Provides effective liaison with the Corporation, Committees of Council, Elected Representatives, as well as local agencies, boards and commissions, the provincial and federal governments, external stakeholders and legislative authorities Responds effectively to public concerns and issues Communicates information to the media in a way that increases public understanding of audit issues and activities Facilitates the flow of ideas, information and understanding between and among individuals	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Personal Professional Development Strives to maintain current knowledge and skill levels Maintains professional links with audit professionals to continually upgrade and expand the knowledge pertaining to the audit field Demonstrates fairness, honesty and ethical and legal awareness in personal and professional relationships and activities Demonstrates a commitment to a balanced life	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Key Objectives Note: May be updated to include matters relating to the Annual Audit Plan	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Additional Comments:

City Manager

Note that the Mayor may adjust the present year’s form to include assessment of special projects, assigned issues and/or key objectives that may arise from time to time.

City Manager Performance Review

Name: ________________________________________________

Employee Information

Name:

Position Title: City Manager

Review Period:

From:

To:

Management Performance Factors
Description	Rating
Communication with Council Effective written and oral presentation Openness to Mayor and Council feedback and/or direction Brings forward appropriate and timely reports as requested Effective evaluation and dissemination of information Keeps Council informed of any important developments Meets regularly with Mayor as Head of Council Helps Members of Council identify, work toward and achieve common goals	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Implementation of Council Policy Appropriately performs the duties and functions and exercises the powers assigned Assists Council in the development and implementation of annual and long-range strategic goals Effective implementation of Council decisions Strong program management to achieve objectives or actions of the City Strategic Plan	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Council-Staff Relations/Political Acuity Puts information and skills together to better guide choices in order to accomplish goals and objectives Provides strong staff support for Council Effectively communicates Council’s decisions to staff Anticipates the possible impacts of decisions in the political context Demonstrates a commitment to democratic principles by respecting elected officials, community interest groups and the decision-making process	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Staff Relations Demonstrates strong human resources management Demonstrates leadership and promotes the development and performance of staff and employees throughout the organization Promotes teamwork and cooperation Understands and values differences among individuals and fosters these values throughout the organization Ensures the policies and procedures for employee hiring, promotion, performance appraisal and discipline are equitable, legal and current	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Municipal Services, Financial Planning and Administration Maintains a consistently high level of quality in operational procedures and service delivery Provides knowledge of service areas and delivery options Prepares and administers the annual budget, which maintains a multi-year vision Interprets financial information to assess the short-term and long-term fiscal condition of the community Positions the organization and the community for events and circumstances that are anticipated in the future Demonstrates creative problem solving and prompt action	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Effective Community Relations Promotes productive relationships between the City of Ottawa, local boards and community groups and organizations Promotes productive relationships between the City of Ottawa and other levels of government Promotes productive relationships between the City of Ottawa and other municipalities Responds effectively to public concerns and issues Communicates information to the media in a way that increases public understanding of local government issues and activities Facilitates the flow of ideas, information and understanding between and among individuals	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Personal Professional Development Strives to maintain current knowledge and skill levels Demonstrates fairness, honesty and ethical and legal awareness in personal and professional relationships and activities Demonstrates a commitment to a balanced life	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Special Projects/Assigned Issues/Key Objectives Note: May be updated to include matters such as Term of Council Priorities	Exceptional Performance Solid Performance Developing Performance Not Meeting Expectations Comments:
Additional Comments:

APPENDIX C

Voluntary Exit Interview Process

Structure

The voluntary exit interview will be conducted by the Chair and Vice-Chair of the relevant Standing Committee (Finance and Economic Development Committee in the case of the City Manager, Audit Committee in the case of the Auditor General), or the City Clerk/City Clerk’s designate in the case of the Integrity Commissioner.

The Chair and Vice-Chair, or the City Clerk/City Clerk’s designate as the case may be, will be accompanied by a representative from Human Resources who will take notes and compile the responses from the incumbent for the Chair and Vice-Chair (or City Clerk/City Clerk’s designate). Following the interview, the results will be themed by Human Resources so that the Chair and the Vice-Chair (or City Clerk/City Clerk’s designate) can decide on information and comments to report to Council by way of an in camera verbal update/PowerPoint presentation, as described below in more detail.

Questions

In the case of the Auditor General/City Manager, the City’s exit interview template will be adapted for the purposes of the statutory officer voluntary exit interview by the Office of the City Clerk in consultation with Human Resources, Legal Services and the Chair and Vice-Chair. For the purposes of the interview with the Integrity Commissioner, the City Clerk/City Clerk’s designate will adapt the exit interview template in consultation with Human Resources and Legal Services.

Timing

In accordance with the City’s regular practice, the exit interview will be conducted within four to six weeks of the end of the statutory officer’s term.

Opportunity for Informal Discussion regarding a Successor

To inform the recruitment and appointment process for a successor, information from the incumbent regarding suggested key skills, qualities and qualifications of a successor may be sought through an informal discussion between the applicable Chair and Vice-Chair and the incumbent Auditor General/City Manager, conducted in accordance with the timeline established for the recruitment and appointment process, with the key points of this consultation provided confidentially through the Office of the City Clerk to the search firm to form part of the information provided to the Hiring Panel and integrated into the candidate interview questions.

In the case of the Integrity Commissioner, the City Clerk/City Clerk’s designate may seek the informal discussion for confidential information purposes and to integrate the key points into the interview questions.

Confidential Reporting Out Mechanism

The Chair and Vice-Chair (or City Clerk/City Clerk’s designate) will report to Council by way of an in camera verbal update/PowerPoint presentation that provides the results of the exit interview, through the following process:

As noted above, Human Resources will provide administrative support to summarize key themes resulting from the interview;
The Chair and the Vice-Chair (or City Clerk/City Clerk’s designate) will provide comments and information to Council based on the key themes through the in camera verbal update/PowerPoint presentation to Council, with support from the Office of the City Clerk as may be required;
It is anticipated that the verbal update/PowerPoint presentation will be brought forward to Council shortly thereafter; and
The themed exit interview responses will be added to the statutory officer’s employee file.

The matters described above will be addressed in closed session pursuant to Procedure By-law subsections 13(1)(b) – personal matters about an identifiable individual, including staff; and 13(1)(d) – labour relations or employee negotiations. As the content of the in camera briefing will contain information relating to an identifiable individual’s employment history with the City, the material falls within the exceptions contemplated by Subsections 13(1)(b) and 13(1)(d) of the Procedure By-law. As such, this matter will not be reported out.