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Chapter 6
Oversight and accountability
6.1 The current Public Service Employment Act (PSEA) was intended to provide managers with the responsibilities and accountability "necessary to staff, to manage and to lead their personnel to achieve results for Canadians."11 While the Public Service Commission (PSC) has the authority to make appointments to and within the public service, for the most part this authority has been delegated to deputy heads, as encouraged by the Act. Those deputy heads to whom appointment authority has been delegated are accountable to the PSC for the exercise of that authority. The PSC, in turn, is accountable to Parliament for the integrity of appointments and the non-partisan nature of the public service.
Safeguarding merit through a continuum of tools
6.2 The PSC uses a continuum of tools and services to ensure that deputy heads exercise their delegated authorities appropriately and adhere to the values of the PSEA. Together, the tools and services are designed to obtain an independent and balanced perspective of the staffing system and to focus on matters of risk and significance. This continuum is described in more detail in Appendix 1A.
6.3 The PSC manages its tools in a highly integrated way. Policy guidance and delegation instruments set out clear expectations of a well-managed appointment system. PSC services and common systems and tools enable organizations to exercise their delegated authorities more fully and achieve a values-based appointment system. A number of mechanisms are then used to monitor and assess the integrity of the staffing system based on these expectations.
6.4 As provided for in the PSEA, the results of the PSC's assessment are reported in its Annual Report to Parliament. The PSC also occasionally tables special reports to Parliament on matters within the scope of its powers and functions and frequently appears before various parliamentary committees. The PSC places the utmost importance on its relationship with Parliament, given the roles, responsibilities and accountabilities assigned to it under the PSEA.
Oversight review and recommendations
6.5 The PSEA underlines the importance of staffing values in guiding decision making. For its part, the PSC supports deputy heads and their departments and agencies in exercising their delegated staffing authorities, protects the interests of individual employees and provides a full accounting of operations to Parliament. Therefore, in line with its decision to maximize the delegation of staffing authorities to deputy heads, the PSC places greater emphasis on its oversight activities, in particular audit and monitoring, as a way of discharging its accountabilities to Parliament.
6.6 Following the Horizontal Strategic Review of Human Resources, the PSC mandated an Independent Review Committee to determine the appropriateness of the approach and level of effort of the PSC's oversight and to identify areas for improvement. In assessing the appropriateness of its approach, the Committee considered the spirit and intent of the PSEA: to modernize the staffing regime, balancing flexibility with greater accountability and ensuring that the conduct of appointment processes is based on merit, non-partisanship, fairness, transparency, access and representativeness.
6.7 The Committee arrived at the following three conclusions:
6.7.1 "… that the scope of oversight of the PSC must be as broad as the range of delegated authorities. That is to say, it must encompass the effectiveness of the staffing system and cannot be limited to non-partisanship or any other single component. The Committee concluded that the oversight activities of the PSC, namely monitoring, audit and investigations are the right ones. However, some calibration is needed in the quality and amount of monitoring, and there is a need for development of its capacity across its monitoring and audit activities."12
6.7.2 "… that the level of effort for oversight is appropriate overall but there was a strong case to be made to increase the level of resources for its monitoring activities. The Committee left it to the PSC to determine whether this is best achieved by slowing the building of its audit capacity or by reallocating other PSC resources."13
6.7.3 "… that to ensure full implementation of the PSEA, one of the essential foundations of Human Resources renewal, renewed engagement and a concerted "team effort" is required including deputy heads, managers, HR specialists, and bargaining agents. Simply enhancing PSC oversight will not be enough."14
6.8 In light of these conclusions, the Committee identified 18 recommendations for improvement. These included the following: improved stakeholder communication; better collaboration and co-ordination with the Office of the Comptroller General and the Office of the Auditor General; a review of the PSC Appointment Policy and the Staffing Management Accountability Framework (SMAF) to clarify expectations; refinements to the approach and adjustments to the level of effort with respect to monitoring and the Departmental Staffing Accountability Report process; refinements to the PSC's audit process; and improved performance monitoring and reporting. The report in its entirety can be found at www.psc-cfp.gc.ca/abt-aps/rprt/ovr-srv/index-eng.htm.
6.9 The PSC has accepted the Committee's report in full. An action plan has been developed to address each of the recommendations; four of them have already been implemented, and the remainder will be addressed over the next two years. The action plan can be found in Appendix 1B.
Audits, studies and evaluations
6.10 The PSC completed the following audits and studies in 2009.
6.11 Follow-up Audit of the Office of the Correctional Investigator — In October 2007, the PSC placed a condition on the delegation of appointment authorities of the Office of the Correctional Investigator (OCI). The OCI was required to submit quarterly progress reports to the PSC. This condition was to remain in effect until the PSC was satisfied with the integrity of the OCI's staffing activities.
6.12 The PSC conducted a follow-up audit and found that the OCI has improved its staffing systems and practices over the past two years. The audit found no evidence of the previous staffing pattern. The PSC found that all of the appointments reviewed were based on merit. Through the implementation of an integrated human resources (HR) plan and a monitoring approach, the OCI has created an environment that supports the staffing values.
6.13 Four entity audits: Audit of Infrastructure Canada, Audit of Health Canada, Audit of Canada Border Services Agency and Audit of Immigration and Refugee Board of Canada — The objective of the audits was to determine whether the entities had the appropriate framework, systems and practices in place to manage their staffing activities. The audits examined whether the organizations' appointments and appointment processes complied with the PSEA, the instrument of delegation signed with the PSC and other governing authorities.
6.14 Audit Survey of the Office of the Information Commissioner of Canada — At the request of the Information Commissioner, the PSC conducted a preliminary audit survey of the staffing activities of the Office of the Information Commissioner to determine what further oversight might be appropriate. This request was made following the Auditor General of Canada's report dated October 2, 2007, which stated that, as a result of non-compliant staffing practices, the Office of the Information Commissioner was at risk of losing its delegated staffing authorities.
6.15 Results of the audit survey indicate that, since the appointment of the Information Commissioner in winter 2007, the Office of the Information Commissioner has markedly improved its appointment framework and practices. Progress was evident in several areas, including an increase in the capacity to deliver HR services, the development of an HR plan that is integrated with the business plan and the development of internal staffing policies. Nevertheless, some deficiencies were found, predominantly related to missing documentation. Based on the observations of the audit survey, the PSC is satisfied that the essential elements of an effective staffing appointment framework are in place. Consequently, regular ongoing monitoring is more appropriate than conducting an audit at this time.
6.16 Audit of the Federal Student Work Experience Program and subsequent appointments through bridging mechanisms (tabled in Parliament on May 14, 2009) — The Federal Student Work Experience Program (FSWEP) is the largest program through which students can gain work experience within the federal government. Upon graduation, they can be appointed to a public service term or indeterminate position through a facilitated process referred to as a "bridging" mechanism. The objective of the audit was to determine whether, in 11 selected departments and agencies, the hiring of students for the first time into the FSWEP and the subsequent appointment of these students into term and indeterminate positions through bridging mechanisms was done in accordance with the relevant legislative and policy frameworks. The audit also examined whether each of these organizations had in place an appropriate framework to plan for and monitor bridging appointments made from April 2006 through March 2007.
6.17 The audit raised questions about the continuing relevance of the Treasury Board of Canada Secretariat's requirement that all FSWEP students have learning plans, given the rate of compliance with this requirement. Overall, the program is working reasonably well.
6.18 However, the audit also found that over a third of the bridging appointment processes reviewed were identified as unsatisfactory, in that they did not respect the PSC's Appointment Framework. Furthermore, audited organizations had not integrated bridging appointments into their HR plans and few of them monitored selection and appointment decisions to ensure that they respected the legislative framework and guiding values. The audit concluded that more rigour is needed in the documentation supporting bridging appointment decisions.
6.19 Study on the Data Collection of Non-Advertised Appointment Processes — Non-advertised appointment processes have been assessed by the PSC as a risk area that needs to be more closely monitored by deputy heads to ensure respect of the core and guiding values. Further, the PSC has expressed a need to collect more rigorous and detailed information on non-advertised appointment processes.
6.20 The purpose of the study was to examine data collection practices related to non-advertised appointment processes and the limits of the data available, as well as to explore the associated risks and areas for improvement for the PSC and other organizations.
6.21 The study focused on the non-advertised appointment activities of four organizations: the Canadian International Development Agency, Citizenship and Immigration Canada, Library and Archives Canada and Transport Canada. It included approximately 50 files from each of the selected organizations, consisting of 10 advertised processes and 40 non-advertised processes for the period of April 1, 2007, to March 31, 2008.
6.22 Two of the indicators used in the PSC's SMAF to monitor staffing performance in departments and agencies are related to access and are measured as the percentage of total appointments that are non-advertised, internally and externally, respectively. While this calculation is easy to understand and is well documented, organizations were unanimous in their concern that it does not provide a meaningful measure of the value of access to public service positions.
6.23 The study found that accuracy varied greatly among organizations, with non-advertised appointment processes being under-reported in some organizations and over-reported in others. In addition, coding errors were found with respect to appointments reported in all departments and agencies. The amount of time and effort required for submitting data to the PSC and the capacity to respond to changing requests vary greatly between organizations. As noted in Chapter 3, in response to these concerns, the PSC is exploring other means of capturing this information.
6.24 Career Progression in the Federal Public Service — Temporary versus Permanent Start-ups — Reliance on temporary workers as a source of recruitment for the permanent public service workforce is considered an area of risk in the staffing system. This study examines the career progression of the permanent workforce in relation to their employment tenure, temporary or permanent, upon initial appointment (temporary start-up or permanent start-up) from the external labour market into the public service.
6.25 Time to Staff in the Federal Public Service (Update) — This study update examines whether the enactment of the current PSEA has had an impact on the overall time needed to staff an indeterminate position in the public service, and provides plausible explanations for observed results. The analysis of the most recent data from the PSC's Survey of Appointments and the Survey of Staffing shows that the average time needed to staff an indeterminate position in the federal public service increased following the enactment of the PSEA in December 2005, but then decreased again as federal departments and agencies adapted to the new staffing regime (see Chapter 5 for more details). An analysis of operational data related to internal staffing processes supports this finding.
6.26 A number of factors stand out as contributing to lengthier staffing processes. Processes open to the public take longer than those restricted to public servants. Collective processes are slower than non-collective processes. The small increase in time to staff during the transition to the current PSEA resulted primarily from a greater use of these process types.
6.27 Acting Appointments and Subsequent Promotions in the Federal Public Service (Update) — The objective of the study update was to explore whether an acting appointment gives an employee an advantage in terms of gaining a subsequent promotion. The update examined the initial acting appointment of four months or more, the duration of this appointment and the relationship to subsequent promotion.
6.28 The rate of promotion for employees following an acting appointment was estimated at 41.3% in the public service (2002-2004).15 The rate of promotion for non-acting employees was only 6%. The majority of promotions subsequent to acting appointments took place almost immediately after the end of the acting appointment. The average duration of acting appointments that ended in promotion was 15 months, two months longer than the duration of acting appointments that ended without a promotion. This difference cannot be associated with human capital accumulation and/or on-the-job training or learning.
6.29 The analysis was extended to cover three additional years, from 2004 to 2007. One out of every ten employees was in an acting position. The rate of subsequent promotion following an acting appointment remained the same (41.2%), and the duration was irrelevant to the outcome of the acting appointment, 15.5 months if it ended with a promotion and 13.4 otherwise. These results further demonstrate that acting appointments constitute a potential risk to fairness.
| Fiscal years | Subsequent promotion rate | Duration (months) | |
|---|---|---|---|
| Promoted | Not promoted | ||
| 2002-2004 | 41.3% | 15.0 | 13.0 |
| Updates | |||
| 2004-2007 | 41.2% | 15.5 | 13.4 |
Source: Job-based Analytical Information System (JAIS)
6.30 New indeterminate employees: Who are they? (Update) — A previous study on the appointment of new indeterminate hires occurring between April 1998 and March 2006 indicated that, on average, more than 80% had prior public service experience — 75% as a casual and/or a term (specified-period) employee. Another 8% of new indeterminate appointees had prior experience in the public service as students or as trainees hired outside the PSEA or in organizations not subject to the PSEA.
6.31 The latest figures (see Table 16) show that the proportion of new indeterminate hires with no prior public service experience has increased substantially in recent years, from an average of 17% over the initial study period to 35% in fiscal year 2008-2009. Compared to previous years, new hires are less likely to have worked as term employees. The proportion of recruits with experience as casual workers (who may or may not also have had experience as a term) averaged 29% over the initial study period. In 2008-2009, as in the two preceding fiscal years, this proportion was 34%. This high level is of concern as to whether there is a proper balance between the guiding values, as it potentially limits the pool of candidates.
6.32 However, the study also points to a new trend: the prior public service employment of new indeterminate hires is increasingly more likely to be in the casual workforce exclusively. Individuals whose prior experience in the public service was as casual workers, and who were never term employees, represented 4% of all new indeterminate hires in 2000-2001. By 2008-2009, this proportion had increased to 15%.
6.33 The 8% to 9% of new indeterminate hires with "Other" prior tenure is unchanged, although the total number of individuals with this characteristic increased somewhat in 2007-2008 and 2008-2009.
| No prior public service experience* |
Term, never casual | Casual, never term | Term and casual | Other | |
|---|---|---|---|---|---|
| 2000-2001 | 16% | 52% | 4% | 19% | 9% |
| 2001-2002 | 19% | 46% | 6% | 22% | 9% |
| 2002-2003 | 19% | 40% | 7% | 26% | 8% |
| 2003-2004 | 14% | 45% | 6% | 29% | 6% |
| 2004-2005 | 16% | 40% | 7% | 30% | 8% |
| 2005-2006 | 22% | 37% | 9% | 24% | 8% |
| 2006-2007 | 29% | 28% | 13% | 21% | 9% |
| 2007-2008 | 31% | 25% | 14% | 20% | 9% |
| 2008-2009 | 35% | 23% | 15% | 19% | 8% |
Source: Job-based Analytical Information System (JAIS)
*Note: New indeterminate hires with prior experience as students are included in this column only if they had no experience as a term or casual; otherwise, these individuals are counted in one of the other columns.
6.34 In addition, the latest findings reveal that:
- The median age of new recruits is unchanged (34 years);
- The Administrative Support category still has the greatest proportion of new hires with prior experience (83%); and
- Most appointments were made without a break in service (86%) and did not involve a change of organization (85%) or classification (69%).
See Appendix 6 for other observations for the more recent study period.
6.35 To what extent do casuals become employed under the Public Service Employment Act? (Update) — In an earlier study, the PSC examined the extent to which casual workers were subsequently appointed to specified period or indeterminate positions. The analysis was based on new casual hires for the period from April 1995 to March 2005, and found that an average of 41% were subsequently employed under the PSEA. As demonstrated in Figure 13 below, generally, the proportion of casual employment spells ending with appointment under the PSEA increased over the period.
Figure 13 – Proportion of casual employment spells with appointment under the Public Service Employment Act — Fiscal years 1995-1996 through 2004-2005
Source: Job-based Analytical Information System (JAIS)
Note that four organizations included in the study, the Canada Border Services Agency, Public Safety Canada, the Public Health Agency of Canada and the Canada School of Public Service, were established towards the end of the initial study period. Therefore, the full effect of the staffing activity in these organizations is not reflected in the results.
6.36 The study update examined the casual employment spells occurring between 2000-2001 and 2007-2008. While the initial study covered a longer period, the number of employment spells is about the same: 99 633 in the update, compared to 96 698 in the initial study.
6.37 Figure 14 shows the rate of subsequent employment under the PSEA from fiscal year 2000-2001 to 2007-2008. Over this period, on average, 48% of casual workers were subsequently employed. Of these, 69% were appointed to an indeterminate position. Both of these results are higher than what was observed in the initial study, where it was found that 41% of casual hires were subsequently employed and 58% of the employment resulted in indeterminate tenure.
6.38 While the proportion of casual hires moving into specified period or indeterminate positions has increased, other characteristics of casual employment have not changed substantially:
- The probability that a casual worker becomes employed under the PSEA is still greater in the National Capital Region (57%) than in the regions (42%);
- Time to appointment under the PSEA is still less than one year after the initial casual appointment, and more than half make the transition without a break in service;
- Most appointments do not involve a change of classification (74%) or organization (91%); and
- The Administrative and Foreign Service and the Professional and Scientific categories still have higher rates of appointment under the PSEA relative to other categories (58% and 57%, respectively). The appointment rates for the Technical, Administrative Support and Operational categories range from 40% to 44%.
Figure 14 – Proportion of casual employment spells with appointment under the Public Service Employment Act — Fiscal years 2000-2001 through 2007-2008
Source: Job-based Analytical Information System (JAIS), PSC
6.39 In 2000-2001, 14% of new casual hires were appointed to indeterminate positions within two years of their casual employment. As illustrated in Figure 15 below, this proportion is higher in recent years. See Appendix 6 for other observations for the more recent study period.
Figure 15 – Casuals with appointment to indeterminate position within two years — Fiscal years 2000-2001 through 2006-2007
Source: Job-based Analytical Information System (JAIS)
Investigations into appointment processes
6.40 The PSC conducts investigations and audits regarding staffing activities in the public service to ensure conformity with the PSEA, its regulations and PSC policies. These activities also provide assurance to the Commission, Parliament and Canadians regarding the integrity of the appointment process in the public service.
6.41 In 2008-2009, the PSC received 410 requests to investigate allegations related to appointment processes. A total of 109 requests were deemed suitable for investigation and were referred accordingly.
6.42 In this fiscal year, the PSC completed 73 investigations that affected 82 individual cases related to appointment processes.
6.43 Early Intervention — Of the total of 109 requests, 57 allegations were sent to the PSC's Early Intervention (EI) process; 40 files were accepted for EI, and 27 of these were resolved through this form of alternative dispute resolution. The remainder were referred for full investigation.
6.44 Investigations into external appointment processes (section 66) — Investigations carried out under section 66 of the PSEA traditionally cover a wide spectrum of issues related to error, omission or improper conduct in external appointment processes. Issues investigated include the following:
- Preferential treatment to candidates;
- Qualifications designed to match specific candidates; and
- Appointment of candidates who do not meet essential qualifications.
6.45 In 2008-2009, the PSC received 344 requests to investigate appointment processes under section 66 of the PSEA; 97 files were deemed suitable for investigation and were referred accordingly. Through EI and investigations, 56 investigations were completed and 91 individual files were resolved. Of these, 15 files resulted in a "founded" determination and corrective actions were applied.
| Total number of requests received | Total number of requests accepted for investigation |
Total number of requests resolved through EI | Number of files completed (founded) | Number of files completed (unfounded) |
|---|---|---|---|---|
| 344 | 97 | 26 | 15 | 51 |
Source: Investigations Management Information System (IMIS)
Note: The number of requests resolved through EI or completed through investigation could include files carried over from the previous fiscal year.
Section 66 — Improper conduct — Tailoring of a position to correspond to specific qualifications of a specific individual:
This investigation was conducted under section 66 of the PSEA. The purpose was to determine whether an organization had created a position specifically to fit a particular candidate's qualifications.
The PSC concluded that the organization did engage in improper conduct. The evidence demonstrated that the job description was tailored, resulting in the creation of a new position to fit the employee's qualifications. The PSC concluded that the appointment to the position was made as a result of improper conduct on the part of the organization, namely in the creation of a position to correspond with the employee's specific qualifications.
Corrective action included the revocation of the employee's appointment, the requirement that the organization inform the PSC of any staffing action involving the employee, training in HR as well as in values and ethics for the manager, and a letter to be sent to the deputy head to inform them of the improper conduct.
Section 66 — Error — Area of selection — Ineligible participant appointed:
This investigation was conducted under section 66 of the PSEA and pertained to an external advertised appointment process. Information was brought to the PSC's attention that one of the successful candidates in this process neither worked, nor resided, in the area of selection specified in the advertisement and was thus ineligible to participate.
The issue in this case was whether the candidate could be considered a person residing or employed in the city or within a 70-km radius of the city at the time that the candidate applied for this appointment process. The organization knew that the candidate was residing in another province. Not only did the candidate give an address in another province on the application, but the candidate also indicated that they had been working in that province for some time. Moreover, the written examination was sent to a organizational location in the other province so that it could be completed by the candidate.
The PSC concluded that there was an error that affected the candidate's selection for the appointment process, as the candidate did not reside in the area of selection.
Corrective action included not extending beyond its end date the term appointment of the employee for the appointment process and sending a letter to the HR Services manager to point out the irregularity in the appointment process.
6.46 Investigations into internal appointment processes; no delegation (subsection 67(1)) — The PSC did not receive or complete any files under subsection 67(1) in 2008-2009.
6.47 Investigations into internal appointment processes; delegation (subsection 67(2)) — In 2008-2009, the PSC received two requests from a deputy head for investigation under subsection 67(2) of the PSEA. The PSC also completed investigation reports that affected two individual files. Of these cases, one investigation was determined unfounded, while the other was determined founded, as errors were made in the internal appointment process. This case was referred back to the organization so that the deputy head could determine appropriate corrective actions, as per their delegated authority.
6.48 Investigations into fraud (section 69) — The role of the PSC under section 69 of the PSEA is to determine whether fraud has occurred in an appointment process. The PSC has the exclusive jurisdiction to investigate issues of fraud. Types of issues can include the misappropriation of test material or the use of unauthorized or prohibited information during an examination.
6.49 Pursuant to section 133 of the PSEA, all founded fraud cases are referred to the Royal Canadian Mounted Police, who have the jurisdiction to determine whether a criminal investigation should take place.
6.50 In 2008-2009, the PSC received 17 new allegations of fraud in an appointment process. During this period, investigation reports were completed that affected 13 individual files; 6 cases of fraud were determined to be founded.
6.51 The types of corrective action applied in 2008-2009 in response to founded fraud cases include the following:
- Suspension of the manager's staffing delegation;
- Requirement to attend training;
- Requirement of PSC permission before accepting a position in the public service; and
- Exclusion of the candidate from the appointment process.
Section 69 — Fraud committed by a federal public service team leader:
This investigation was conducted under section 69 of the PSEA and examined whether fraud occurred during an appointment process.
An allegation was made against a team leader involved in the management of an appointment process. This individual was alleged to have engaged in fraud by providing an advance copy of a portion of an examination to two candidates, with the intention of providing an advantage to these candidates. The investigation brought forth other allegations, which were unfounded.
The PSC concluded that the team leader engaged in fraud under the PSEA by distributing the examination questions and answers to a candidate, who has since left the public service, in the selection process, thereby endeavouring to improperly influence the results of the selection process.
Corrective action against the team leader, who resigned from the public service prior to the start of the investigation, included the requirement to seek and obtain the approval of the Commission before accepting any appointments to the federal public service.
Section 69 — Fraud by a candidate:
This investigation was conducted under section 69 of the PSEA as a result of information received from an organization with respect to an internal appointment process. The process had been initiated by the organization to staff three positions.
According to the organization, fraud was suspected when a candidate was seen using notes during a written examination that was being administered during the appointment process, despite having been advised that no documents apart from those provided by the organization were permitted during the examination.
The PSC concluded that the candidate's actions were an attempt to cheat during the written examination. The use, or attempted use, of unauthorized notes during an examination constitutes fraud under the PSEA.
Corrective action included the exclusion of the employee's employment application from the appointment process, as well as the requirement that the employee obtain the permission of the Commission before accepting any position within the public service for a period of three years and that the employee attend a values and ethics course.
6.52 In its analysis of founded investigations, the PSC noticed two cases in which organizations permitted individuals under investigation for fraud to deploy to or apply for other appointment processes. This complicated the identification and implementation of corrective actions by the PSC. In its outreach efforts with organizations, the PSC has requested that organizations not assist individuals under investigation for fraud in changing their position until the conclusion of the investigation.
6.53 Disclosure of personal information — Section 19 of the Public Service Employment Regulations and section 14 of the Political Activity Regulations provide the PSC with the authority to disclose personal information obtained during the course of an investigation, subject to certain criteria. The PSC first used this authority in its 2007-2008 Report on Investigations. The PSC will continue to disclose details of its investigations, and such disclosure may contain personal information if it is deemed to be in the public interest. Summaries of PSC investigations, both anonymous and containing personal information, may now be found on the PSC's Web site.
6.54 Follow-up to the 2007-2008 report — In 2007-2008, the PSC reported that, in one case, an employee was found to have committed fraud in one or more appointment processes. At that time, no additional information could be disclosed, as the case was before the courts. The PSC has been advised that the case may involve an involuntary reaction to a severe illness. Personal information concerning the individual involved in the fraud will not be published, as the PSC considers that the individual's privacy interests outweigh the public interest in such a disclosure. An anonymous summary of the case (file 2007-PSC-00100) can be found on the PSC's Web site.
6.55 Government-wide audit of executive appointments — In 2008-2009, the PSC released its Government-wide audit of executive (EX) appointments. As part of the audit's findings, 38 files were referred for follow-up on the specific appointment processes. Of these 38 files:
- PSC investigations were opened in seven cases. One investigation has been concluded; the allegation of tailoring/favouritism was unfounded;
- PSC investigations on behalf of deputy heads were opened in five cases;
- Deputy head investigations were initiated in twelve cases;
- Thirteen cases were closed at the intake phase; and
- One case remains under consideration for investigation.
6.56 Many of these files related to internal appointment processes. Investigations into these processes fall under the mandate of deputy heads. Accordingly, the PSC had to discuss each file individually with the department or agency in order to determine who would conduct the investigation. This proved to be time-consuming and burdensome, and the PSC hopes to consider alternative means of addressing these issues with departments and agencies in the future.
6.57 Audits conducted under section 17 of the PSEA — Audits conducted by the PSC assess an individual appointment or appointment processes that have come to the attention of the PSC, but where the PSC has no authority to conduct an investigation. In such cases, these audits ensure that processes respect merit and non-partisanship and that delegated appointment authorities are properly exercised. These audits could result in findings and recommendations. These recommendations and findings are provided to deputy heads, and follow-up is conducted by the PSC on their implementation.
6.58 An audit under section 17 was conducted in 2008-2009 on unauthorized access to PSC second language evaluation tests by the Nec Plus Ultra language school. The objective of this audit was to determine whether and how this school gained unauthorized access to PSC tests. The audit concluded that the tests were in the possession of the school and were used without the authorization of the PSC. Follow-up action is currently being taken, including introducing new versions of the tests and new training and instructions on test disclosure, re-testing of certain employees and additional test security review.
11 Preamble to the Public Service Employment Act
12 Review of Public Service Commission Oversight — Report of the Independent Review Committee (January 2009), p. 5.
13 Ibid.
14 Review of Public Service Commission Oversight — Report of the Independent Review Committee (January 2009), p. 5.
15 In the study, a promotion was considered "subsequent" if it took place within four months of the acting appointment. Consequently, this estimate may be different than estimates found elsewhere in the Annual Report that use a different definition of "subsequent."