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3. 2008-2009 Annual Report

Chapter 3

Overall progress regarding merit and the guiding values

3.1 For more than 100 years, the Public Service Commission (PSC) has been charged by Parliament with independently safeguarding the core value of merit in the federal public service. This means ensuring that merit is achieved in appointments to and within the public service while ensuring that the staffing values of access, transparency, fairness and representativeness are respected.

3.2 Merit is the foundation of a competent, professional and non-partisan public service. Both its meaning and application have evolved significantly since the Civil Service Act came into effect in 1908, and especially since the introduction of the current Public Service Employment Act (PSEA).

3.3 For the first time, the current PSEA provides a statutory definition of merit. Under the Act, an appointment is considered to be based on merit when the PSC is satisfied that the person to be appointed meets the essential qualifications of the work to be performed, as established by the deputy head (or sub-delegated manager) including official language proficiency. The PSC or the sub-delegated manager may also consider the following:

• Any additional qualification that the deputy head may consider to be an asset for the work to be performed, or for the organization, currently or in the future;
  
• Any current or future operational requirements of the organization that may be identified by the deputy head; and
  
• Any current or future needs of the organization that may be identified by the deputy head. These may include current and future needs of the public service, as identified by the employer, that the deputy head determines to be relevant to the organization.

3.4 This contrasts with the situation prior to the current Act, where candidates were assessed in relation to each other (i.e. relative merit).

3.5 The merit system is an inter-connected collection of institutions, laws, regulations, policies, accountabilities, processes and procedures that ensure that merit is implemented and that appointment decisions are guided by the public service values enshrined in the Preamble to the PSEA.

3.6 Through its Appointment Policy Framework, the PSC sets out its expectations for organizations when making and revoking appointments and taking corrective action. PSC policy requirements emphasize the values of access, fairness, transparency and representativeness that are highlighted in the Preamble to the PSEA and the key legislative requirements from other parts of the Act. Appointment decisions are also governed by the Canadian Charter of Rights and Freedoms, other Acts (e.g. the Official Languages Act, the Employment Equity Act and the Canadian Human Rights Act) and related jurisprudence. The Values and Ethics Code for the Public Service also provides guidance.

3.7 Deputy heads play a more significant role in implementing and protecting merit under the current Act than they have in the past. As encouraged by the Act, the PSC has delegated most of its appointment and appointment-related authorities to deputy heads. This includes the authority to revoke appointments and to take corrective action following the investigation of an internal appointment process by the deputy head. The PSC can investigate these internal appointments, if requested by the deputy head. The PSC retains the power to conduct investigations into cases involving external staffing processes, non-delegated internal appointments and any appointment involving allegations of political influence or fraud.

3.8 The Public Service Staffing Tribunal (PSST) considers internal appointment processes. Established under the current Act, the PSST is mandated to hear and decide complaints that:

• There was abuse of authority in internal appointments, in the choice between an advertised and non-advertised process, in layoffs or in the implementation of corrective actions ordered by the Tribunal;
• There was failure to assess the complainant in the official language of their choice; or
• A revocation was unreasonable.

The PSST also promotes the use of alternate dispute resolution mechanisms.

3.9  Informal discussion, also introduced under the current Act, plays another important role in implementing merit. Informal discussion allows an employee who has been eliminated from consideration in an internal appointment process to raise with the hiring manager any issues that the employee might have concerning that decision. The hiring manager can correct any errors, omissions or oversights in a timely fashion, and staffing decisions can be made more transparent.

3.10 Oversight is a key element of the merit system. With increased delegation to deputy heads, the PSC has placed greater emphasis on its oversight activities than under the previous Act by increasing monitoring and auditing and refocusing its investigative powers. Through its Appointment Policy Framework, its Appointment Delegation and Accountability Instrument and its Staffing Management Accountability Framework, the PSC sets out its expectations for the application of merit and the guiding values at the managerial level, within organizations and across the public service.

3.11 Achieving merit — Hiring managers can choose from a range of staffing options to address their needs. These include the following: indeterminate, term and acting appointments; deployments; secondments and assignments; the use of student, developmental and interchange programs; and temporary help and casual arrangements. Managers must also choose the type of process to be conducted — internal or external and advertised or non-advertised — and identify the area of selection. In making their appointment decisions, the PSC expects managers to adhere to the relevant legislative and policy requirements. As well, managers may often take into considerations other factors, such as efficiency, succession planning and operational requirements.

3.12 However, in a delegated values-based merit system, it is the manager's application of the values that renders any given choice appropriate. The PSC expects managers and their organizations to be guided by the values of access, fairness, transparency and representativeness when designing their staffing strategies. All values are central, yet sometimes competing values require that trade-offs be made. Individual staffing decisions are inherently complex choices aimed at striking the right balance between potentially competing factors.

3.13 The PSC requires a clear demonstration that the values have been considered and applied. The PSC reviews the use and rationale for choosing from the various staffing options to determine whether individual decisions pose risks to merit and to the staffing system. For example, if a manager consistently cites time to staff as the rationale for choosing processes that are not transparent or accessible to a reasonable pool of potential candidates, the manager should consider using collective staffing approaches or accessing pre-qualified pools in order to ensure respect of PSEA requirements, PSC policies and a values-based approach.

3.14 In addition to considering merit on a case-by-case basis, the PSC is responsible for safeguarding the merit system overall. While individual decisions by managers may be appropriate, the aggregate effects of many decisions must not undermine the overall integrity of the staffing system in specific organizations or across the public service.

3.15 In this regard, the PSC holds deputy heads accountable for the extent to which relevant legislative, regulatory and policy requirements, including merit and the guiding values, are met in staffing activities in their respective organizations. Furthermore, each year the PSC provides Parliament with an integrated assessment of the overall integrity of the merit system based on the results of its monitoring, studies, surveys, audits and investigations.

Overall assessment

For the most part, merit is respected system-wide; however, the PSC continues to have concerns in some areas. Certain organizational recruitment practices, such as the increased proportion of indeterminate hires coming from casuals, pose a risk to the adherence of a values-based approach. In some processes, there has been insufficient evidence that merit was respected, particularly in non-advertised processes.

3.16 After more than three years' experience of operation under the current PSEA, the challenges of ensuring that merit is achieved in appointments to and within the public service and that the guiding values of access, transparency, fairness and representativeness are respected are more complex than ever. The results of the PSC's oversight activities point to a number of areas of concern and a need for renewed vigilance.

3.17 Results of audits — PSC audit reports have concluded that merit is generally being respected in individual organizations and system-wide. However, a review of PSC audits that were conducted in the period from 2005-2006 to 2008-2009 suggests trends that are cause for concern.

3.18 While appointment processes for the most part do respect merit, the PSC has identified a sufficient number that raise concerns about a lack of compliance with the legislative framework and PSC policies. Challenges with respect to human resources (HR) capacity, organizational control frameworks and incomplete staffing files have also been found to pose a risk to merit and adherence to the guiding values.

3.19 In particular, in several audits, the PSC has found insufficient evidence of whether or not merit is being met. Some organizations do not have effective staffing oversight mechanisms in place, and deputies are therefore unable to provide the information that the PSC requires to reach conclusions about a merit-based system. One of the continuing problems is insufficient documentation and missing rationale for staffing decisions. This means that it is impossible for the PSC to determine whether merit has been met and values have been applied.

3.20 In spring 2009, the PSC released its Audit of the Federal Student Work Experience Program and subsequent appointments through bridging mechanisms. The audit found that, overall, the program is working reasonably well. However, it also found that over a third of the bridging appointments were identified as unsatisfactory, in that they did not respect the PSC's appointment framework. The audit concluded that more rigour was needed in the documentation supporting bridging decisions.

3.21 The PSC's earlier study on Appointments under the Public Service Employment Act following participation in federal student employment programs found that, during the study period, over one fifth of students had been appointed to an indeterminate or specified period position. However, the possibility of a subsequent appointment had not been advertised on the program poster. In October 2008, the PSC revised the advertisements for student employment in the Federal Student Work Experience Program (FSWEP), the Research Affiliate Program and the Co-operative Education and Internship Program to state that the appointment of students to indeterminate positions may occur following the successful completion of their program and their graduation. This means that subsequent appointments of students will be advertised and will be more transparent with regard to long term opportunities with the federal public service.

3.22 Investigations and complaints — In assessing merit, the PSC also reviews the results of PSC investigations, decisions of the PSST and results of deputy head investigations. In 2008-2009, there was a total of 33 founded staffing-related complaints or investigations, more than 4 times the number observed in the previous year. Of the 33 founded investigations and complaints:

• There were 21 founded PSC investigations, of which 15 were related to external appointment processes and 6 were related to fraud (see also Chapter 6);
• There were 6 PSST decisions, in which allegations of abuse of authority were founded; and
• There were 6 founded deputy head investigations related to internal appointment processes (one of which was conducted by the PSC at the deputy head's request).

3.23 The PSC is informed of deputy head investigations through its yearly monitoring exercise. Six organizations reported that they had conducted a total of nine investigations, six being founded, as noted previously. Four of the six founded investigations resulted in a total of six revocations of appointments. Three of these revocations were the result of one investigation. This investigation also resulted in the removal of five candidates from the pool. Nevertheless, while the number of founded deputy head investigations has increased from last year (when two deputy head investigations were founded), the PSC is concerned that deputy heads may not be using their authority to the extent expected.

3.24 Statistical studies — Through its statistical studies, the PSC continues to see areas where, at the system level, the values of access, transparency, fairness and representativeness may be adversely affected.

3.25 Casual hiring is a good example. Casual workers are most often hired as short-term replacements for staff and to help manage heavy workloads. At the more senior levels, casuals are used to bring in expertise in order to support a special project or to transfer knowledge. Many times, the skills of a former employee in the federal public service are ideal for supporting a special project, or the individual has key knowledge that would benefit federal public servants.³

3.26 Casuals are not considered to be employees within the meaning of the PSEA. Though the authority for deputy heads to make a casual appointment falls under section 50 of the PSEA, all other provisions of the PSEA, including merit, are not applicable to casual workers. Positions for casual workers are not advertised, nor are applicants required to be assessed against merit criteria, and a casual worker is not eligible to be considered for an internal appointment process.⁴

3.27 Subsequent appointments of casuals to indeterminate positions must comply with the PSEA, including merit. However, casuals may have an advantage over other potential candidates because of the experience and exposure they gained while employed in the position. If merit criteria are structured such that knowledge of the workplace is a requirement, there is a concern with respect to fairness and access. Furthermore, representativeness may be affected, as hiring managers tend to look locally when hiring for short-term periods. Concerns regarding access particularly arise in instances where persons who were originally hired as casual are subsequently appointed to an indeterminate position through a non-advertised process.

3.28 The PSC recently updated its study New indeterminate employees: Who are they? and found that there is a greater proportion of new indeterminate hires coming from the casual population. Over the initial study period (April 1998 to March 2006), the proportion of recruits with experience as a casual employee averaged 29%. In 2008-2009, and in the two preceding fiscal years, the proportion was 34%. This high level is a concern, as it potentially limits the pool of candidates and provides privileged access to some.

3.29 The PSC also analyzed the proportion of casual workers who were subsequently appointed to an indeterminate position. The PSC's study To what extent do casuals become employed under the Public Service Employment Act (Update) found that 48% of people who were casuals in 2000-2001 were appointed. Of these, 69% were appointed to an indeterminate position. These results are higher than the earlier study, which found that 41% were subsequently employed and, of these, 58% resulted in indeterminate positions.

3.30 Use of private firms — Temporary employment agencies are also used to find short-term replacements through contracting. Deputy heads are responsible for the HR and financial management of their organization. Appropriate use of such agencies can help organizations manage their workload. However, organizations should not become overly reliant on the use of temporary agencies, particularly if there is an established job or when they are used repeatedly for an extended period. If there is ongoing work, a merit-based process, providing opportunities for others to apply, should be used. The use of temporary arrangements to circumvent the requirements of the PSEA and contravene the guiding values is of concern to the PSC.

3.31 The PSC plans to take a closer look at the use of temporary help services within the context of the PSEA and the guiding values. The results of the study will be published in 2010 (see Appendix 2 — Audit, Evaluation and Studies Plan / 2010 and 2011).

3.32 Survey data — About 98% of managers responding to the Survey of Staffing conducted in 2008-2009 indicated that they were satisfied "to a moderate or great extent" with the quality of the hire for the last position that they staffed via advertised processes during the reporting period (i.e. October 2007 to September 2008). The level of satisfaction remains relatively stable compared to previous survey results.

3.33 About 76% of candidates who participated in the Survey of Staffing perceived that the actual job requirements matched at least "moderately" the advertised requirements for the position to be filled within their general work areas. External candidates who were appointed to organizations under the PSEA differed only slightly in their perceptions than those already within the public service.

3.34 Past public service employee surveys have consistently shown that there is a relatively positive perception that competent persons are appointed. However, the number of respondents with a negative perspective has been increasing and is of concern to the PSC. The 2008 Public Service Employee Survey, conducted by the employer, found that 24% of respondents who provided an opinion did not agree that in their work unit they "hire people who can do the job," up from 22% in 2005 and 20% in 2002.

3.35 Information gaps — There are a number of information gaps in other parts of the staffing regime that cause concern. For example, the PSC does not have enough information about the frequency and outcome of deputy head investigations to determine their effectiveness in upholding merit.

3.36 The PSC will continue to examine all aspects of the staffing regime that may have a direct or indirect impact on merit and non-partisanship as well as on the guiding values.

Access

Access to the public service has increased as a result of the PSC's requirement for a national area of selection across Canada.

3.37 Broad and open access to all Canadians is an important value under the PSEA. The PSC expects persons from across the country to have a reasonable opportunity to apply and be considered for public service employment, in the official language of their choice. Access is measured by the use of a national area of selection (NAOS) and of advertised and non-advertised processes.

3.38 National area of selection — The PSC is committed to providing Canadians with access to federal public service jobs across the country. It implemented a phased-in, measured approach to requiring a NAOS for full-time, external advertised long-term (six months or more) and indeterminate processes.

3.39 The requirement was first established in 2001 for executive and senior officer-level jobs. It was then applied to officer-level jobs in the National Capital Region (NCR) in 2006, to officer-level jobs nationally in 2007 and, finally, in December 2008, to non-officer-level jobs across the country.⁵ It was expected that applications from regions other than that of the position would increase, as would appointments of non-regional applicants.

3.40 The requirement to use a NAOS applies to all indeterminate appointments, all term appointments of six months or more and FSWEP student appointments. Part-time workers, seasonal employees, part-time students and full-time FSWEP student appointments are excluded from the policy requirement when an initial referral using NAOS proves unproductive. The Area of Selection Policy was amended in 2008-2009 to also allow exceptions, where approved by the PSC on a case-by-case basis.

3.41 The NAOS requirement is expanding access to full-time term employment of six months or more and to indeterminate jobs. In 2004, 19% of such jobs were open to individuals across the country. This rose to 55% in 2007, reflecting the expansion to officer-level jobs. As of December 2008, 100% of these jobs are now open to candidates living anywhere in Canada and Canadians living abroad.

3.42 The requirement to use NAOS for non-officer levels came into effect in the last 3 months of 2008-2009. During that period, 192 non-officer jobs were advertised with a national area of selection, compared to 107 over the previous 9 months.

3.43 Application data also show that the NAOS is improving access. In 2007-2008, 91 996 (38%) of 242 096 applications for jobs in the NCR were from other regions. In 2008-2009, this rose to 88 050 (41%) of 214 756 applications. This rate of increase was typical of other regions except for Saskatchewan, where the number of applications from other regions rose from 7 419 (66%) of 11 242 in 2007-2008 to 16 646 (80%) of 20 808 in 2008-2009.

Source: Public Service Resourcing System

3.44 The PSC anticipated an increase in non-regional applicant appointments. In the NCR, where the NAOS has been required for longer than in other regions, such appointments were stable at 12% for 2006-2007 and 2007-2008. Preliminary data suggest that this rose to at least 16% in 2008-2009.

3.45 The PSC cannot determine whether the appointment rate is sufficient, as previously there was no possibility of non-regional applications. The PSC will continue to monitor the rate of appointment of non-regional applicants and initiate research into what other factors may be involved. For example, the PSC will examine the statements of merit criteria to determine whether any barriers exist in addition to the traditional patterns of inter-provincial migration in the general labour force.

3.46 Use of advertised and non-advertised process — The PSEA and the PSC's appointment policy provide managers with more discretion and a variety of options as to their choice of process (advertised, non-advertised, internal or external) to improve efficiencies. The choice of process must be considered against the values and supported by the organizational HR plan.

3.47 The PSC has encouraged the use of advertised appointment processes as a standard practice, since they are a better reflection of the guiding values of access and transparency. Although non-advertised appointment processes may be used, the PSC's Choice of Appointment Process Policy requires a written rationale for the way in which the choice of a non-advertised process respects the values of the PSEA and is consistent with the organization's HR plan and organizational criteria for the use of non-advertised appointments. Deputy heads are expected to ensure that their organizational criteria for the use of non-advertised processes are applied appropriately.

3.48 There are certain circumstances in which the use of non-advertised processes may be considered appropriate, such as where there is a skill shortage or where an employee is participating in a developmental program. Hiring managers who answered the PSC's Survey of Staffing indicated the following reasons for using non-advertised processes as "somewhat" to "very" important:

• 87% indicated an urgent need to staff the position;
• 75% indicated a skill shortage; and
• 57% indicated a developmental program or other investment in staff.

3.49 As part of the reporting requirements set out in the PSC's Staffing Management Accountability Framework, organizations are expected to report on their use of non-advertised processes. However, as the PSC noted last year, there are issues with respect to the timeliness and quality of organizational reporting. In reconciling the organizational data with PSC files, the PSC can only successfully match approximately 68% of organizational data.

3.50 Based on the data submitted by organizations matched with the PSC's hiring and staffing activities files, the PSC estimates that, in 2008-2009, organizations decreased their use of non-advertised processes: 37% were non-advertised processes, compared to 40%⁶ the year before. Table 8 provides details on the use by organizations of advertised and non-advertised processes by appointment type for 2008-2009.

3.51 The PSC's Study on the Data Collection of Non-Advertised Appointments also found that accuracy varied greatly among organizations. The PSC is looking into alternative means of collecting information on the use of non-advertised processes, including the rationales for their use, through automated systems such as the Priority Information Management System.

Source: PSC hiring and appointment statistics matched to organizational files
¹ Note that this data is derived by matching the 65 983 appointments in 2008-2009 (excluding laterals, downward movements and deployments) from the PSC files to data submitted quarterly by organizations (primarily through manual data-collection processes). Due to timing and data quality issues, the PSC was only able to match approximately 68% of the appointments with the organizational data.
² Acting appointments of four months or more.

Fairness

The PSC continues to be concerned about employee perceptions of fairness in appointment processes, generally, and employee opportunities for acting appointments, in particular.

3.52 The PSC expects that staffing decisions are made objectively and are free from political influence or personal favouritism and that policies and practices reflect the just treatment of persons.

3.53 Perceptions of employees — The PSC 2007-2008 Annual Report noted that 70% of appointees surveyed by the PSC's Survey of Appointments regarded appointments made within their work unit as having been made fairly. The PSC's 2008-2009 Survey of Staffing used a stronger measure of fairness and asked employees, both successful and unsuccessful candidates, to rate the fairness of the various factors against which they had been assessed when participating in an advertised process. Factors included their abilities, skills, knowledge, training, work experience and potential.

3.54 Of the 6 400 survey respondents who provided an opinion, 71% indicated that they were assessed fairly when combining all factors. Those who either received an offer of appointment or successfully entered a pool were noticeably more likely to perceive their assessment as fair (88%) than those who either were screened out or were unsuccessful (57%).

3.55 Those who perceived greater fairness in the way in which they were assessed were also more likely to respond that they had been assessed for the actual job requirements and that they had ample opportunity to demonstrate their capabilities for the job. Additionally, those indicating a fair assessment also indicated that advertised job requirements for processes conducted within their own work unit reflected actual job requirements and did not pose barriers to qualified individuals.

3.56 Acting appointments — For several years, the PSC has raised concerns about acting appointments. This concern continues in 2008-2009.

3.57 Acting appointments can be used to the benefit of the organization or for employee development. However, if lengthy acting appointments are used to avoid more transparent methods of meeting longer-term staffing needs, this can compromise the guiding values. The update of the PSC's study on acting appointments indicates that the rate of promotion subsequent to an acting appointment is noticeably higher than rates of promotion from non-acting situations. When the position is being permanently filled, acting appointments provide an advantage for the person acting over other candidates who did not have the same opportunity.

3.58 Opportunities for acting appointments contribute to the perception of fairness in staffing decisions. In Table 8, the PSC's statistics demonstrate that a large percentage of acting appointments of four months or more (84.2%) were made through non-advertised processes, a slight increase from last year's figure of 82%.

3.59 Advertising an acting opportunity or providing rotational acting appointments protects fairness in subsequent selection processes.

Transparency

Information about appointment opportunities and processes needs to be improved. In particular, the PSC will study informal discussions and their impact on the staffing and recourse system.

3.60 Information about staffing strategies, decisions, policies and practices must be communicated in an open and timely manner.

3.61 Length of time for advertising can pose a risk to access because people in different time zones and those requiring accommodation to read and apply may not be able to respond within the limited time frame. For external advertisements, the PSC's advertising system, the Public Service Resourcing System (PSRS), imposes a minimum notice period so that advertisements cannot close on the same day as they are posted. Over one third of the approximately one million applications received in the PSRS each year are for jobs advertised for two days or less. These processes average over 250 applications per job posting.

3.62 For internal advertisements, organizations must post them on Publiservice, the extranet site for employees of the Government of Canada. Publiservice allows users to post and close the advertisement on the same day. Over 10 000 applications are received through Publiservice each year, with just 1% of the jobs advertised for 2 days or less, averaging around 30 applications per job posting.

3.63 The PSC is also concerned that the Publiservice text reader service, which provides access to visually impaired candidates, is not available evenings or weekends. In these situations, access is an issue when jobs are advertised for one or two days.

3.64 The PSC is reviewing the need for a minimum notice period for job advertisements. The possibility of a policy requirement for a minimum period is being considered in order to ensure that Publiservice provides the same access as the PSRS.

3.65 Perceptions of employees — Of those who completed the 2008-2009 PSC Survey of Staffing questions on transparency, 71% described staffing within their work unit as being conducted in a transparent manner. Of those, about 80% also indicated that the advertised job requirements reflected the requirements of the position.

3.66 Informal discussion — In 2008-2009, the PSC's Survey of Staffing also began to monitor the use and effectiveness of informal discussion by collecting information from both managers and employees. Employees who responded were considered either successful candidates (i.e. appointed or placed in a pool awaiting an offer) or unsuccessful (i.e. screened out during the process or not offered an appointment at the end of the process).

3.67 Approximately 55% of managers who responded to the survey had been asked by an employee for an informal discussion after the notification of appointment.

3.68 Approximately 38% of candidates who expressed an opinion indicated that they had requested an informal discussion. Candidates were split when responding about their level of satisfaction with the outcome of the discussion: approximately 31% were not at all satisfied, 37% were satisfied "to some extent" and 31% were satisfied "to a great extent."

3.69 Approximately 55% were satisfied with the time that it took for the discussion to take place. Of those candidates who indicated that they had requested an informal discussion, 13% were screened back into the process and one third of these were subsequently offered an appointment or placed in a pool.

3.70 In 2009-2010, the PSC will continue to examine the effectiveness of informal discussion and its overall contribution to improving the recourse regime.

Representativeness

There has been improvement in the recruitment of employment equity groups to the public service, with the exception of persons with disabilities. However, the Public Service Commission continues to be concerned about the "drop-off" of visible minorities between application and appointment stages.

3.71 The Act and employment equity — As reported by the Canada Public Service Agency in 2009, the representation of three employment equity (EE) groups — women, Aboriginal peoples and persons with disabilities — in the public service is above their respective workforce availability (WFA); however, visible minorities remain the only under-represented group.⁷ In 2008-2009, the PSC continued to closely monitor the way in which organizations use the flexibilities of the PSEA to improve the recruitment, and hence the representation, of EE groups in the public service. Progress has been made in the following areas:

• A new method of measuring recruitment rates of EE groups;
• Assessment of EE recruitment trends and performance;
• Completion of the study on the drop-off of EE groups in external advertised recruitment processes;
• An approach to affirming Aboriginal affiliation for targeted processes; and
• Noteworthy practices.

New method of measuring of employment equity recruitment rates

3.72 In the past, the PSC calculated the proportion of EE appointments by matching appointment data with self-identification data from the Employment Equity Data Bank (EEDB) maintained by the Office of the Chief Human Resources Officer (OCHRO), in the Treasury Board of Canada Secretariat (TBS). The EEDB is based on data collected through a voluntary employee self-identification process by departments and agencies. The self-identification records are updated periodically through a reconciliation process between the TBS and organizations.

3.73 In 2008, the PSC developed a new methodology to estimate the percentage of each EE group (other than women, who are identified through the pay system) for appointments to the public service by matching the appointment data for the fiscal year with the applicants' voluntary self-declaration data from the PSRS, where external job opportunities are advertised.

3.74 When applicants create an account in the PSRS, the system provides an automated self-declaration form that is completed by applicants on a voluntary basis. Applicants may self-declare as members of EE groups for statistical purposes or for both statistical and recruitment purposes. The name, partial date of birth and gender of the applicants who self-declare in the PSRS are matched with the PSC's appointment data for the fiscal year in order to estimate the recruitment rate for each EE group.

3.75 It is important to note that, with the new method, the recruitment figures for the three EE groups — Aboriginal peoples, persons with disabilities and visible minorities — are derived from advertised processes, which accounted for 72% and 74% of all appointments to the public service in 2007-2008 and 2008-2009, respectively. The PSC continues to explore mechanisms to collect similar EE data from non-advertised processes.

3.76 Collaboration on employment equity data — The match of applicants who self-declared in the PSRS with the 2006-2007 and 2007-2008 appointment data has produced significantly higher recruitment rates for visible minorities, compared to rates produced using the EEDB; however, there were only small differences in recruitment levels for Aboriginal peoples and persons with disabilities.⁸ In order to discover the reasons for the differences, the PSC and the OCHRO are working together to examine and compare organizational systems, approaches and practices for gathering EE self-identification data. Seven organizations have been selected to be part of this exercise: Environment Canada, Health Canada, Justice Canada, Natural Resources Canada, the Public Service Commission, Public Works and Government Services Canada and Veterans Affairs Canada.

3.77 The findings show that the differences observed in EE recruitment rates could be partly attributed to difficulties encountered by departments and agencies in administering the self-identification process. The differences could be greatly reduced using guidelines and tools from the OCHRO and the PSC to ensure integration of self-declaration and self-identification information by all organizations; communication to help applicants and employees understand the purpose and significance of EE and the differences between self-declaration and self-identification; and other improvements to the EE data-collection process and systems in departments and agencies.

3.78 Future strategy — The PSC's new methodology for determining EE recruitment rates is the beginning of a solution. Reliable information to effectively plan and monitor progress in representativeness is critical. The PSC is currently working with the OCHRO, in consultation with Human Resources and Skills Development Canada's Labour Program and the Canadian Human Rights Commission, to develop a methodology and data-collection process that take into consideration the interests of all parties. The goal is to achieve more accurate and reliable statistical data on EE groups using one common methodology to both measure and report on the representation of EE groups in public service appointments and in the population of their organizations, in compliance with the Employment Equity Act (EEA) and the Privacy Act in addition to the PSEA.

Assessment of employment equity recruitment trends and performance

3.79 The PSC continues to support departments and agencies by facilitating the recruitment of talented Canadians drawn from across the country. In 2008-2009, more than 300 000 applicants used the PSRS to apply for more than 10 000 positions advertised to Canadians on the PSC's jobs.gc.ca Web site.

3.80 The following table shows the trends in rates of applicants and appointments to the public service by EE group compared to the corresponding 2006 WFA estimates over a three-year period.

Source: PSC hiring and staffing activities files
¹ For applicants to advertised processes, the percentages for the four EE groups are based on applicants who self-declared through the PSRS since January 2006.
² For appointments to the public service, the percentages for three EE groups are based on applicants who applied and self-declared through the PSRS in the preceding two years and where a match was found in the PSC's appointment file as of March 31, 2009.
³ The figures for women appointed to the public service are extracted from the PSC hiring and staffing activities files, which are based on Public Works and Government Services Canada's pay file.
⁴ The 2006 workforce availability for the public service was provided by the OCHRO.

3.81 As shown in Table 9, the percentage of applicants to external advertised processes for three EE groups — Aboriginal peoples, visible minorities and women — was above their respective WFA. Likewise, the percentage of appointments to the public service for these three EE groups exceeded their WFA estimates.

3.82 For persons with disabilities, both the percentage of applicants and the percentage of appointments to the public service were below the WFA of 4.0%, as derived from the 2006 post-censal Participation and Activity Limitations Survey. Persons with disabilities in the public service tend to be older than the average public service employee and are therefore more likely to retire in the near future. Concerted efforts to market the public service to, and recruit from, this segment of the population, as well as providing accommodation to meet their needs in the appointment process and in the workplace, is required to maintain their existing representation levels.

3.83 For Aboriginal peoples, there was a decrease in the recruitment rate from 4.4% in 2007-2008 to 4.2% in 2008-2009. Aboriginal peoples continue to be concentrated in a few organizations, namely, Indian and Northern Affairs Canada (INAC), Correctional Services Canada and Human Resources and Skills Development Canada. A consistent government-wide approach to affirm Aboriginal affiliation for targeted processes (see 3.94) would facilitate their mobility upwards and at all levels across the public service.

3.84 For visible minorities, there has been a steady increase from 2006-2007 to 2008-2009 in the percentage of applicants to the PSRS (from 21.0% to 21.8% to 24.7%) and in their recruitment rates to the public service (from 15.6% to 17.3% to 18.8%). This means that, from advertised external processes, visible minorities were hired at a rate of almost 1 in 5 over the last fiscal year. If this trend continues, it will help to improve the representation of visible minorities in the public service.

3.85 The improvement in the recruitment of visible minorities over the last three years is related to the following:

• The current PSEA, which came into force in December 2005, with enabling features and flexibilities for improving representativeness;
• The 2008-2009 Public Service Renewal Action Plan, which required organizations to prepare integrated business and HR plans that included a strategy for the recruitment, development and advancement of EE groups and recruitment efforts to accelerate the closing of the representation gap for visible minority Canadians; and
• The PSC's role and efforts in promoting the EE-enabling features of the PSEA and their use by deputy heads, managers and HR advisors, together with better organizational HR planning and EE staffing strategies.

3.86 Assessment of performance — The PSC tracks the organizational use of EE criteria in restricting the area of selection and as part of "organizational need" within the statement of merit criteria in external and internal advertised processes. In 2008-2009, the results showed that organizations were using such approaches in 33.8% of externally advertised processes (an increase of 9 percentage points over the previous fiscal year) and in 35.3% of internally advertised processes (an increase of 5 percentage points over the previous fiscal year).

3.87 From the PSC's assessment of staffing performance based on the 2008-2009 Departmental Staffing Accountability Reports (DSAR), about 75% of the organizations, representing 69% of the public service population, were rated overall as "acceptable." For large organizations, this meant that they were focusing their HR plans on the use of EE provisions in advertising. For small organizations of fewer than 75 employees, this meant they were including statements in their HR plans committing to EE principles. Three of the large organizations of over 2 000 employees, representing 21% of the PSEA population, were assessed as having "opportunities for improvement" or "attention required."

3.88 Furthermore, the PSC observed that organizations with stronger performance in the DSAR assessment tended to use more EE provisions in their advertising of job vacancies. This suggests that organizations are not just planning for the use of EE provisions, but that they are in fact implementing their plans.

3.89 Drop-off research — The PSC has completed its research project on the drop-off of EE groups in externally advertised processes, and a final report on the drop-off project will be released in 2009-2010, at the same time as this Annual Report.

3.90 The study estimated EE group drop-off by two methods: a survey of applicants to general recruitment that captured information about the different stages in the process and an analysis of the PSC's central data files that compared appointment data with PSRS applicant data. Both methods used EE applicant self-declaration data.

3.91 The studies showed that, for the visible minority group, there was a drop-off of three to four percentage points from the first stage of the process (application) to the last stage (appointment). Persons with disabilities and Aboriginal persons did not show a drop-off. According to the survey results, visible minorities experienced drop-off mainly at two stages of the recruitment process conducted by organizations: following the review of PSRS applications and following testing. Voluntary drop-out or withdrawal by applicants did not account for the observed drop-off.

3.92 Past studies have used different methodologies. From its recent research, the PSC found that, for visible minorities, the drop-off in percentage points based on applications was about 15%; however, based on unique applicants, it was about 4%. This was due to the finding that visible minorities applied for a higher number of job advertisements compared to the average job seeker. Furthermore, the study found that the EE self-declaration results obtained from the survey and the applicant data were comparable, supporting the reliability and consistency of the EE data in the PSRS.

3.93 The PSC plans to examine more closely the appointment rates of EE groups by organization and occupational group in both internal and external processes. This will identify any barriers and help to develop strategies for improving EE group representation across the public service at all levels.

3.94 Approach to affirm Aboriginal affiliation for targeted processes — Since July 1997, INAC has a 50% Aboriginal Hiring Policy and an Aboriginal Employment Program. Recruitment and staffing processes open only to Aboriginal persons are sometimes used to achieve this objective.

3.95 The Committee for the Advancement of Native Employment (CANE), representing Aboriginal employees within INAC, raised concerns with the PSC about some individuals falsely self-declaring as Aboriginal in order to gain access to employment opportunities intended only for Aboriginal peoples. In order to develop a government-wide approach that would deter false declaration without additional burden or obstacles for applicants, HR advisors and hiring managers, consultations were conducted with key deputy ministers, CANE, the National Council of Aboriginal Federal Employees, departments and agencies, bargaining agents and other EE employee councils.

3.96 Consequently, the PSC has adopted the following approach to address the issue:

• The PSC will require all departments and organizations under the PSEA to use an Affirmation of Aboriginal Affiliation Form (AAA Form) for internal and external, advertised and non-advertised appointment processes targeted to Aboriginal peoples;
• The use of the AAA Form will be supported by a communications strategy. Information, tools and guides provided by the PSC will help organizations and candidates understand the purpose and implications of self-declaration and self-identification;
• The PSC will continue to encourage departments and agencies to include in the statement of merit criteria requirements or competencies that are linked to the job as essential or asset qualifications, such as knowledge of an Aboriginal language, culture, values or customs, in relevant situations; and
• A plan for the implementation in 2009-2010 of the above approach is being developed with the input of INAC, other key organizations and Aboriginal groups.

3.97 Duty to accommodate — In accordance with the Canadian Human Rights Act and the EEA, the PSC's Policy on Employment Equity in the Appointment Process requires that delegated departments and agencies accommodate the needs of persons through all stages of the appointment process, to address, up to the point of undue hardship, disadvantages arising from prohibited grounds of discrimination and to use assessment tools and processes that are designed and implemented without bias and that do not create systemic barriers. The PSC has provided relevant guidance to departments and agencies in the Guide for Assessing Persons with Disabilities - How to determine and implement assessment accommodations. The PSC also provides accommodation for its assessment instruments and can advise organizations that are making accommodations to their own assessment procedures. Organizations can also design their own accommodation measures.

3.98 The PSC is concerned that accommodations be developed properly and meet the functional limitations of applicants. A study of the extent and quality of organizational accommodations is being designed to determine whether there are any risks to access. The PSC will explore risk mitigation strategies, such as accommodation training sessions. Another concern is that wait times for accommodations can cause delays in the appointment process, which is problematic for both managers and applicants.

3.99 As part of the consultations on the policy review in preparation for the statutory review of the EEA and the PSEA, the PSC will seek the views and experiences of various stakeholder groups on the issue of accommodation of applicants in the assessment process.

Noteworthy practices

3.100 To achieve strong performance in ensuring representativeness, the PSC expects organizations that have achieved an overall workforce representation equivalent to the workforce availability estimates for each of the four designated groups to make use of the EE provisions to reduce under-representation gaps in specific occupational groups and levels. In 2008-2009, five organizations were rated as having a strong performance in this area for using such noteworthy measures as outreach to and partnerships with under-represented group organizations and communities, developing staffing pools for designated group members and organizing career fairs targeting designated group members in which other organizations could participate.

3.101 The PSC carried out other work in 2008-2009 to support organizations in meeting their EE objectives. These activities included the following:

• Visible minority EX-1 fully assessed pool — Increasing the representation of visible minorities in the executive category helps provide the leadership needed to change the corporate culture in the public service. As a result of the PSC's first visible minority collective pre-qualified pool, completed in February 2008, 27 qualified visible minority candidates were appointed to executive positions. Building on this success, the PSC launched a second visible minority external process, resulting in the establishment of a fully assessed pool of 30 qualified visible minority candidates at the EX-1 level, comprised of 27 internal and 3 external candidates. The PSC used a structured interview, reference checks and the PSC's simulation for the Selection of Executives to establish the pool of candidates. The PSC has advised deputy heads that fully assessed visible minorities are available for appointment and is working with departments and agencies to place them in executive positions. Thirteen had been appointed as of March 31, 2009.
• Objective Eye — This is an interdepartmental initiative led by Citizenship and Immigration Canada (CIC) to foster bias-free appointment processes in the federal public service by providing an inventory of trained EE-group public servants who have volunteered to acquire training and to serve on selection boards. The PSC and CIC are discussing whether the PSC should assume leadership for the Objective Eye as part of its efforts to facilitate diversity on selection boards and to provide a better service to departments and agencies.

³ www.tbs-sct.gc.ca/faq/ocas-eng.asp#q5
⁴ Ibid.
⁵ Officer-level jobs are in the scientific, technical, administrative and foreign service categories. The functions of non-officer-level jobs are administrative support, such as clerks, or operational, such as general labourers.
⁶ Last year, the PSC reported that 43% of all appointments were made via non-advertised processes and that 70% of acting appointments were non-advertised. As a result of a new algorithm for matching organizational data on advertised versus non advertised processes, an additional 13 000 records were matched when applied to the data of the previous years. The figures for last year have been revised to 40% and 82%, respectively.
⁷ As reported by the Canada Public Service Agency in 2009 in its Employment Equity in the Public Service of Canada 2006-2007 and 2007-2008 Report to Parliament.
⁸ PSC. March 23, 2009, Appearance before Senate Standing Committee on Human Rights, handout — Recruitment of Employment Equity Groups

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Date Modified:

2009-10-09