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2008-2009 Annual Report - Appendices

Appendix 1A

Public Service Commission continuum of tools for ensuring merit

The continuum of tools for ensuring merit

The continuum of tools for ensuring merit

Appointment policies

The first element of the continuum is the Public Service Commission (PSC) suite of policies that, along with the Public Service Employment Act (PSEA) and its Regulations, provide direction and guidance to departments and agencies on the minimum requirements for their staffing systems. The PSEA provides that, when a deputy head exercises powers or functions that the PSC has delegated, the deputy head is subject to PSC policies on making and revoking appointments and on taking corrective action.

PSC services

The PSC continues to support departments and agencies by facilitating the recruitment to the public service of talented Canadians drawn from across the country. The PSC supports organizations by providing services and common systems and tools to enable organizations to more fully exercise their delegated authorities and achieve a values-based appointment system.

Appointment Delegation and Accountability Instrument

The Appointment Delegation and Accountability Instrument (ADAI), which the deputy head must sign in order to receive and exercise delegated authority, spells out all of the authorities and obligations of deputy heads and heads of agencies who accept responsibility for the exercise of that authority. The ADAI forms the basis of the contract between the PSC and departments and agencies. All deputy heads whose organizations are subject to the PSEA have signed an ADAI with the PSC.

Monitoring and feedback

The PSC monitors trends and activities to identify government-wide issues and practices that could pose a risk to the integrity of the staffing system. This monitoring includes a wide range of activities, such as data analysis and review of complaints.

The PSC also monitors the performance of the public service organizations that have delegated appointment authorities to assess the general state of the system. The PSC assesses their staffing performance and provide feedback to deputy heads to ensure continuous improvement in the public service appointment system.

The PSC uses the Staffing Management Accountability Framework (SMAF) to review and assess staffing performance and to provide feedback to delegated organizations. The SMAF sets out the PSC's expectations for a well-managed appointment system that respects the PSEA (see Appendix 3).

Evaluations

One way in which the PSC ensures that the staffing system is functioning well is through government-wide evaluations, e.g. considering the effect of its policies on federal organizations and how well they are responding to the authorities delegated to them by the PSC. One goal of government-wide evaluations is to proactively identify and take advantage of emerging opportunities for improvement.

Studies

Studies involve the gathering of information on issues that need clarification or that are of current parliamentary or public interest. They are normally more descriptive or exploratory in nature than audits. Some studies may be done in partnership with government-wide audits. While still focused on staffing issues, studies usually concentrate on describing a subject or developing an information base, exploring that subject or information base and/or developing a method to assess that subject or information base in the future.

Statistical studies

Statistical studies are analytical studies that make use of the PSC's extensive data holdings in order to shed light on issues related to hiring and staffing activities in the federal public service. Statistical studies usually concentrate on describing in analytical terms how the staffing system functions, addressing specific policy or program issues from an analytical perspective and/or providing analytical support to the PSC's oversight functions.

Audits

The PSC performs audits of the staffing activities of individual government departments and agencies, and of government-wide issues in a number of departments and agencies together. These audits are objective and systematic examinations that provide independent assessments of the performance and management of staffing activities. Their purpose is to provide objective information, advice and assurance to Parliament and, ultimately, to Canadians on the integrity of the appointment process in the public service.

Government-wide audits

Government-wide audits cover cross-cutting issues and staffing activities across several departments and agencies. The PSC may, when appropriate, base its conclusions on a sample of organizations. Government-wide audits provide independent assessments of the performance and management of staffing activities in organizations subject to the PSEA. They provide objective information, advice and assurance to Parliament and, ultimately, to Canadians on the integrity of the appointment process in the federal public service.

Entity audits

Entity audits cover the staffing activities and issues of individual government departments and agencies. Generally, the objectives of these audits are to determine whether an organization has the appropriate framework, systems and practices in place to manage its staffing activities and to determine whether staffing activities complied with the PSEA, other governing authorities and policies and the instrument of delegation signed with the PSC. The PSC may make recommendations to deputy heads in its audit reports and conduct follow-up audits to ensure that the organization has taken the corrective actions prescribed to resolve the issues raised.

Follow-up audits

As a result of its audits, the PSC makes recommendations to departments and agencies for improvement in their staffing systems and practices. The PSC may also remove or impose conditions on the delegation of staffing authority. It monitors the implementation of the recommendations and conducts follow-up audits. In those situations in which the PSC has imposed conditions on the delegation of staffing authority, it proceeds with follow-up audits when the results of the monitoring activities indicate that significant improvements have been made and the organization may be in a position for the PSC to remove those conditions.

Investigations

The PSEA provides the PSC with the authority to investigate staffing activities and political activities in the following cases:

  • External appointments;
  • Internal appointments, if not delegated;
  • Delegated internal appointments, at the request of deputy heads;
  • Appointments involving possible political influence;
  • Appointment processes in which fraud is suspected; and
  • Allegations of improper political activities.

The PSC investigates staffing actions when there is indication of a possible problem (such as failure to follow the Regulations or PSC policies) that may have affected the appointment process. The PSC conducts investigations to establish relevant facts where concerns have arisen. Depending on the results of the investigation, corrective measures may be proposed, considered and taken. The PSC may receive information concerning a specific staffing process from a variety of sources, including employees, the public, unions, the media and staffing audits.

Under the PSEA, deputy heads are responsible for conducting their own investigations into the internal processes that they carry out under their delegated authority, before revoking an appointment or taking corrective action. Deputy heads can choose to conduct their own investigations or ask the PSC to do so on their behalf. Decisions with regard to corrective measures remain with the deputy head.

Corrective action

The PSC's accountability and oversight activities occasionally bring to light problems that can affect the circumstances of an individual or that could even pose a risk to the integrity of the staffing system. If a problem can be addressed through a system-wide solution or directive, the PSC can put in place the appropriate regulation or policy. In other situations, when monitoring, audits or investigations reveal practices that do not conform to the statutory and policy framework of the staffing system, the PSEA gives the Commission the authority to take corrective action in a number of circumstances. Corrective action can encompass a range of activities:

  • In case of irregularities in a staffing process, the PSC can require that part or all of the process be re-done or re-evaluated, for example, the re-evaluation of a written test;
  • In certain cases, the PSEA authorizes the PSC to revoke appointments. This may occur, for example, if an investigation reveals an error, an omission or improper conduct during an external appointment process, if fraud occurred during an appointment process or if a process was subject to political influence; and
  • Since the staffing system is based on delegation of authority from the PSC to deputy heads, the PSC can also impose limits or conditions on the exercise of appointment authorities in a department or agency. In more serious cases, it can withdraw delegation entirely.

These tools are managed in a highly integrated way and contribute to the assessment of integrity of the staffing system. The result of this assessment is reported annually to Parliament. The PSC may also table special reports to Parliament on any matter within the scope of its powers and functions. In addition to providing regular and special reports to Parliament, including those related to audit findings, the PSC makes appearances before various parliamentary committees. The PSC places a high importance on its relationship with Parliament, given its responsibilities for ensuring the overall integrity of the appointment system and the political neutrality of the public service.

Appendix 1B

Review of Public Service Commission Oversight — Action Plan

Stakeholder Communications
Committee recommendations Activities/Milestones Target date
1. To streamline its reporting to Parliament, the PSC should consider providing Parliament with a consolidated report summarizing the results of departmental audit activities while continuing to provide departments with the results of their individual audits. To ensure transparency of reporting, departmental audit reports need to continue to be easily accessible to the public by being placed on the PSC Web site. To streamline its reporting to Parliament as the number of departmental audits increase, the PSC will experiment with the use of a consolidated report summarizing the results of departmental audit activities. Given sufficient reporting volume, a mock-up of such a report will be developed based on audits reported in 2009 with implementation to follow thereafter. Mock-up — April 2010

Implementation by September 2011
2. To improve collaboration between the PSC and departments and central agencies, which is essential to effective oversight, the PSC needs to create a regular forum for dialogue on staffing and oversight with the deputy heads of departments and central agencies. To improve collaboration, the PSC will:  
  • Engage in discussion with the Office of the Chief Human Resources Officer and foster a collaborative working relationship;
 Spring 2009
  • Consult with the Deputy Minister Committee on Public Service Renewal on the best means to engage the deputy head community;
 Spring 2009
  • Implement a strategy to communicate its multi-year audit plans to interested stakeholders and to engage organizations identified for audit in early and targeted communication in order to clarify expectations and ensure ongoing communication throughout the course of the audit. To the extent possible, this strategy will make use of existing committee structures and communication venues; and
 Implementation by 2010-2011
  • Modify the audit methodology to include the aforementioned approach as the standard practice.
 March 2011
3. To improve communication between the PSC and public service bargaining agents, the PSC needs to regularize its meetings with leaders of bargaining agents. To improve communication between the PSC and public service bargaining agents, the PSC will:
  • Meet with union leaders on a biannual basis;
  • Bring forth issues for discussion at meetings of the National Joint Council; and
  • Use the Public Service Commission Advisory Council for consultation.
 Ongoing
4. To address changes in leadership and renewal of the public service, the PSC needs to continue to communicate its oversight framework and ensure ongoing orientation and training for deputy heads, line managers and HR specialists. Bargaining agents should be invited to participate in orientation and training sessions, where appropriate. To address changes in leadership and the renewal of the public service, the PSC will design and deliver information sessions to key organizational representatives, line managers, employment equity (EE) groups and bargaining agents on PSC roles and responsibilities, thematic issues and audit/oversight activity. Possible venues include: 2009-2010
  • National Managers' Forum, where focus of the forum permits; and
 2009 forum cancelled
  • Canada School of Public Service "Armchair Discussions" ("Staffing — a Delegated System")
 2009-2010
Collaboration with Office of the Comptroller General and Office of the Auditor General
Committee recommendations Activities/Milestones Target date
5. To minimize overlap and duplication of oversight activities within organizations related to PSC staffing audits and internal audits, the PSC and the Office of the Comptroller General (OCG) need to develop a memorandum of understanding to address how they can better streamline their activities in the areas of:
  • Planned staffing audits while still respecting their individual responsibilities;
  • Capacity building of audit committees-training and education on the requirements of the PSEA and PSC oversight responsibilities; and
  • Capacity building of the internal audit community- development of a methodology for the conduct of staffing audits and training and education on the application of the methodology.
 To minimize overlap and duplication of oversight activities between PSC staffing audits and internal audits, the PSC will:  
  • Seek opportunities to co-ordinate efforts with the OCG and formalize an understanding; and
 Starting March 2009
  • Develop a strategy to provide opportunities to the internal audit community to participate in PSC audit training programs and access PSC audit training material.
 September 2009
6. To minimize overlap and duplication of oversight activities within organizations related to PSC staffing and Office of the Auditor General (OAG) human resources (HR) audits, the PSC should work with the OAG to foster a collaborative working relationship and a formal means of exchanging plans. To minimize overlap and duplication of oversight activities related to PSC staffing audits and OAG HR audits, the PSC will:  
  • Share its audit plan with the OAG;
  • Meet with OAG on a biannual basis at the deputy head level; and
  • Follow up on the deputy head meetings, as required, to ensure co-ordination of efforts and collaboration, where appropriate.
 Starting
March 2009
Policy and Staffing Management Accountability Framework Review
Committee recommendations Activities/Milestones Target date
7. To clarify its expectations of departments and agencies, the PSC needs to:
  • Complete its planned policy review of appointment and appointment-related authorities;
  • Continue to refine its SMAF; and
  • Ensure appropriate stakeholder consultation and communication while making these changes to its policies and SMAF
 To clarify its expectations of organizations, the PSC will conduct its planned policy review, including consultation with key stakeholders (departments, central agencies, bargaining agents and EE groups), to:  
  • Make immediate amendments that correct current policies, and recommend potential amendments subsequent to further review/stakeholder consultation; and
  • Identify policy-related challenges and recommend statutory/policy solutions.
With regard to the SMAF, the PSC will:		 2009-2010
  • Make short-term adjustments to the SMAF indicators based on the 2008-2009 assessment;
 Fall 2009
  • Review the conceptual framework implicitly embodied in the SMAF leading indicators to determine what the PSC should be monitoring in the future, based on the results of the policy review;
  • Refine the SMAF indicators and measures (with the help of experts and in consultation with key stakeholders) to provide organizations with the PSC's specific expectations;
 2010-2011
  • Develop strategies for dealing with small organizations to better reflect their reality; and
 Summer 2010
  • Release the updated SMAF with the 2010 call letter.
 Fall 2010
8. To clarify its expectations of organizations for the use of non-advertised appointment processes, the PSC needs to clarify and communicate its policy expectations regarding the choice of appointment process, with appropriate stakeholder consultation. The PSC will also use its policy review to clarify expectations for the use of non-advertised appointment processes, including:
  • Developing a policy/directive; and
  • Identifying examples of appropriate criteria for the use of non-advertised appointment processes.
 December 2009

Monitoring and the Departmental Staffing Accountability Report Process
Committee recommendations Activities/Milestones Target date
9. To improve the ongoing effectiveness of its monitoring process, the PSC needs to:
  • Ensure appropriate stakeholder consultation and communication of the Departmental Staffing Accountability Report (DSAR) assessment process; and
  • Refine the DSAR assessment process.
 The PSC will thoroughly review the DSAR questionnaire and associated assessment process to adapt the revised SMAF indicators and measures (see Recommendation 7) to further tighten rigour and improve transparency. Fall 2010
To improve the ongoing effectiveness of its monitoring process, the PSC will conduct annual DSAR consultations with stakeholders. Prior to the release of the call letter in summer 2010
10. To improve the overall effectiveness of its data monitoring activities, the PSC needs to:
  • Implement a formal data strategy and upgrade its information technology (IT) infrastructure; and
  • Continue working with departments and central agencies to contribute to a streamlined governmentwide approach to data collection and IT system support.
 To improve the overall effectiveness of its data monitoring activities, the PSC will:
  • Review its data requirements from an oversight perspective in order to evaluate the degree to which these requirements are being met, and make recommendations on any gaps identified (see Recommendation 7);
 Fall 2010
  • Implement an oversight IT strategy (work is currently under way to look at how best to implement the strategy over a number of years); and
 Plan in place by May 2009
  • Continue its membership on the committee, led by the Privy Council Office and the Treasury Board of Canada Secretariat, aimed at developing public service—wide key indicators for assessing HR management (PeopleManagement Indicators).
 Completed in 2010-2011
11. To contribute to the overall effectiveness of its monitoring of the choice of appointment process, the PSC needs to review its approach to collecting non-advertised data to determine whether changes can be made to improve its completeness and accuracy. To determine whether changes can be made to improve the completeness and accuracy of its appointment process information (see also Recommendation 8), the PSC will:
  • Compare the measures contained in the appointment process information submitted by organizations with benchmarks coming from independent sources; and
  • Examine the feasibility of implementing a sample-based quality control check on the data coming from organizations.
 September 2009
12. To ensure the long-term sustainability of its monitoring activities, the PSC needs to continue with its plans to:
  • Increase its level of resources for its monitoring activities; and
  • Invest in succession planning and capacity building in this area.
 To ensure the long-term sustainability of its monitoring activities, the PSC will:
  • Review the appropriateness of its organizational structures that support monitoring;
  • Ensure that the level and type of resources are appropriate to the task; and
  • Ensure that employees receive the training and development that they require to do the work expected of them.
 December 2010
Audit
Committee recommendations Activities/Milestones Target date
13. To ensure an efficient audit process and the long-term sustainability of its audit operations, the PSC needs to continue with its plans to:
  • Invest in the team building and leadership of its auditors; and
  • Establish and implement a learning strategy to ensure the adherence to methodology and the efficiency of audits (e.g. training and coaching).
 To ensure an efficient audit process and the long-term sustainability of its audit operations, the PSC will:
  • Develop and implement a learning and development strategy for professional staff;
  • Invest in leadership development for auditors;
  • Engage audit staff in discussions about learning and development;
  • Develop guidance tools —
    Learning and Development pathway (career path from entry-level to manager) curriculum;
  • Deliver training activities using in-house expertise and external providers; and
  • Identify targets such as percentage of time for learning, and monitor strategy implementation, e.g. implementation of learning plans.
 Work has already been initiated, with a target completion date of March 2010
14. To ensure the efficiency of its audit process, the PSC needs to:
  • Tailor its audit methodology to better reflect the specific context of staffing audits with clear linkages to the SMAF and PSC appointment framework, and to better focus audit efforts on matters of risk and significance; and
  • Provide appropriate supporting audit tools and technology (e.g. sampling tools and electronic working papers).
 To ensure the efficiency of its audit process, the PSC will:
  • Review the processes for audit planning, examination and reporting and make adjustments to the methodology and supporting documentation, where appropriate;
  • Evaluate the audit tools and technology available and make adjustments, as required; and
  • Address training needs.
 Work has already been initiated, with a target completion date of March 2010
15. To ensure the ongoing reasonableness of its planned level of effort for audits, the PSC needs to:
  • Continue to update and revise its resourcing planning model, taking into account recent experience and best practices in the profession;
  • Implement its recently revised target budget hours; and
  • Implement more rigorous project management techniques to ensure early detection of potential cost overruns and timely corrective action.
 To ensure the ongoing reasonableness of its planned level of effort for audits, the PSC will undertake a review of audit planning and processes, with emphasis on resource allocation and project management. Work will include:  
  • Completing an assessment of current skills, expertise and capacity in audit;
  • Completing an assessment of actual hours (by audit phase) for audits to date;
 Assessment under way:
  • Developing a strategy to implement recently revised target budget hours;
 Strategy — January 2010
  • Developing a resource model to better align skills and resources with audit phases across the Audit and Data Services Branch;
  • Establishing a model audit execution process with clear "gates," or steps, and approvals; and
 Resourcing model — March 2010
  • Establishing a monitoring system for project and process management.
 Monitoring system — March 2011
16. To ensure the ongoing reasonableness of its planned level of effort for audits, the PSC needs to:
  • Formally obtain feedback from organizations through a structured survey process; and
  • Undergo a periodic external quality assurance review every one to two years.
 To ensure the ongoing reasonableness of its planned level of effort for audits, the PSC will:  
  • Develop and implement a structured survey process to obtain feedback from audited departments and agencies; and
 March 2011
  • Put in place and undergo quality assurance reviews every two years.
 March 2011
Performance Monitoring and Reporting
Committee recommendations Activities/Milestones Target date
17. To ensure that its level of effort directed to oversight remains appropriate, the PSC's annual reviews of strategic plans and performance need to continue to include a robust examination of the results of its monitoring and audit activities. As part of its strategic planning and performance review process, the PSC will continue to review the results of its monitoring and audit activities to ensure the maintenance of a healthy balance between the two. Ongoing
The PSC will review its performance indicators in the Program Activity Architecture. 2009-2010
The PSC will establish a performance measurement strategy to measure progress under the Oversight Action Plan. 2009-2010
The PSC will make changes, as required, to related reports (e.g. Report on Plans and Priorities, Departmental Performance Report). 2009-2010
18. To ensure the accountability and transparency of its oversight performance results, the PSC needs to continue to report to Parliament on its planned and actual number of audits completed in a year as well as its progress on capacity building. The PSC will continue to report to Parliament on the planned and actual number of audits completed each year and on the progress it is making on capacity building and results achieved. Ongoing

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Date Modified:
2009-10-09