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Appointment Delegation and Accountability Instrument

Amended on November 12, 2010. For an explanation concerning the changes, please refer to the Letter to Heads of Human Resources, 10-30.

(Date)

Name of Deputy Head
Title
Organization
Address

Dear (name of deputy head):

The purpose of this letter is to establish, between your organization and the Public Service Commission (PSC) of Canada, an Appointment Delegation and Accountability Instrument (ADAI) under the Public Service Employment Act (PSEA)1.

This ADAI identifies the appointment and appointment-related authorities being delegated, the authorities you may sub-delegate, the conditions of the delegation, and how you will be held accountable.

I would also like to remind you of the PSC’s expectations related to political activities. You and your employees are subject to Part 7 of the PSEA as it relates to engaging in political activities, as follows:

  • employees may engage in any political activities so long as it does not impair, or is not perceived as impairing, their ability to perform their duties in a politically impartial manner (PSEA, s.113); and
  • deputy heads shall not engage in any political activity other than voting in a federal, provincial, territorial or municipal election (PSEA, s.117).

As the PSC oversees the political impartiality of the public service, we expect you to play an important leadership role in ensuring that the public service is professional and non-partisan.

Delegated Authorities

Upon acceptance of this agreement, you will be able to make appointments to and within the public service for all occupational groups and levels within your jurisdiction. Special provisions apply to ministerial staff and persons in an excluded position in the Office of the Governor General’s Secretary. These are outlined in separate sections which will be found at the end of this letter. The detailed list of delegated appointment and appointment-related authorities is enclosed as Annex A. It can also be found on the PSC Web site at http://www.psc-cfp.gc.ca/plcy-pltq/frame-cadre/delegation/adai-idrn/authorities-pouvoirs-eng.htm.

Supporting material, such as definitions of the core appointment values (merit and non-partisanship) and the guiding values (fairness, access, transparency and representativeness) as well as links to pertinent acts, regulations, policies, exclusion approval orders, tools, and other useful information, can also be found on the Web site.

Sub-Delegation

You are encouraged to sub-delegate, in writing, your appointment and appointment-related authorities to one or more persons as follows:

For appointments to all positions, including those in the Executive Group:

  • Associate Deputy Ministers (or other associate deputy head title);
  • Governor in Council (GIC) appointees whose functions fall under your jurisdiction and who have both financial and human resources responsibilities;
  • Interchange Canada (IC) participants whose assignments fall under your jurisdiction and who have both financial and human resources responsibilities, provided that the IC assignment (including any extensions) is in accordance with the Employer’s Policy and Directive on IC; and
  • employees within your organization.

In addition, for appointments to all positions, excluding those in the Executive Group:

  • employees in another organization that has an ADAI with the PSC.

Sub-delegation to GIC appointees or IC participants is to be limited to the period of appointment or assignment to the position.

Should you wish to sub-delegate authorities to persons other than those specified above, you must make a specific arrangement with the PSC.

Although you may sub-delegate authorities to employees in another organization which has an ADAI with the PSC, they may make appointments only to and within your organization.

It is important to note that, prior to granting sub-delegation, you are to ensure that those to whom you sub-delegate are and remain competent to exercise your appointment and appointment-related authorities. Furthermore, they must have access to:

  • necessary training;
  • a human resources specialist whose expertise in the Appointment Framework has been validated by the PSC; and
  • the ADAI and a clear description of their roles and responsibilities in relation to the appointment and appointment-related authorities being sub-delegated to them.

Only you, as deputy head, may exercise the following authorities:

  • extending the agreement period to become bilingual in non-imperative appointments to positions in the Executive Group;
  • revoking appointments when, after an investigation of an internal appointment process, you are satisfied that an error, an omission or improper conduct affected the selection of a person for appointment, in accordance with the PSEA, subsections 15(3) and 24(2); and
  • sub-delegating appointment and appointment-related authorities or revoking sub-delegation.

Conditions of Delegation

In exercising delegated authorities, you and your sub-delegated officials will:

  • respect the core appointment values (merit and non-partisanship) and the guiding values (fairness, access, transparency and representativeness);
  • ensure that appointment decisions adhere to the requirements of the PSEA, the Public Service Employment Regulations (PSER), and any other applicable statutory instruments as they pertain to the integrity of appointments, the core appointment values and the guiding values;
  • adhere to the PSC's appointment policies;
  • when developing and applying departmental appointment policies and practices, consider and balance the organization's business needs, employment equity and human resources management goals, the interests of the public service, and the career aspirations of employees;
  • consult with all stakeholders, including bargaining agents, in developing and revising departmental appointment policies and practices;
  • respect the terms and conditions that apply to specific delegated appointment and appointment-related authorities (Annex A);
  • respect the accountability requirements;
  • make the ADAI and all departmental policies, as well as sub-delegation terms and conditions, accessible to all sub-delegated officials, employees and bargaining agent members; and
  • ensure that appointment and appointment-related decisions are fully documented and are accessible for a period of five years from the last administrative action; and
  • recognize that the personal information collected by the PSC and shared with your organization is done so in respect of sections 4 to 8 of the Privacy Act, the Treasury Board Secretariat Info Source publications and the PSC’s Chapter of Personal Information Bank descriptions, which address the collection, correction, retention, use, disclosure, and disposition of personal information. When exercising appointment and appointment-related authorities, delegated organizations are responsible for respecting the Privacy Act, the Policy on Government Security and other applicable policies, and are responsible for their respective Info Source publications.

In addition, it is expected that you and your sub-delegated officials will follow the policies of the Employer, as well as the regulations of the Public Service Staffing Tribunal, as they pertain to the integrity of appointments, the core appointment values and the guiding values.

Accountability and Audit

You are accountable to the PSC for all the appointment and appointment-related authorities delegated to you, as well as for any authorities that you have sub-delegated. You must:

  • put in place your own management framework based on the Staffing Management Accountability Framework (SMAF) provided by the PSC. The SMAF Indicators are enclosed as Annex B and details on the SMAF can be found on the PSC Web site at www.psc-cfp.gc.ca/plcy-pltq/frame-cadre/acco-resp/index-eng.htm;
  • actively monitor, through internal audits and other review measures, the application of the delegated authorities to ensure compliance with this ADAI, as well as with the PSEA, and any other statutory requirements and policies as they pertain to the integrity of appointments, the core appointment values and the guiding values;
  • report to the PSC, in the prescribed manner, on the accountability indicators that are defined in the SMAF; on any reporting requirements identified in the appointment policies; and on the internal audits and studies that your department has done or intends to do; and
  • provide timely access to all information and documents that the PSC deems necessary to conduct its audits, special surveys, studies, and investigations, and develop the systems to ensure such access.

Remedial Measures

If the PSC concludes that there has been a contravention or an abuse of delegated or sub-delegated authorities, it will take remedial measures. These could include additional conditions or limitations, or the partial or complete withdrawal of your delegated authorities.

Effective Date

This instrument becomes effective on (date).

Modifications

Modifications to this ADAI will be considered at the request of either party, at any time, or may be imposed by the PSC as a result of its oversight activities.

Transition Period and Transitional Provisions

The exclusions approved under the previous Public Service Official Languages Exclusion Order (PSOLEAO) (1981) will remain subject to the Staffing Delegation and Accountability Instrument and the previous PSOLEAO (1981).

The priority provision of section 6 of the PSER, which was repealed on September 23, 2010, continues to apply for persons who were employed in a position excluded by the Office of the Governor-General’s Secretary Exclusion Approval Order on September 23, 2010, and who cease to be employed.

Mobility of former Ministers’ Staff and Persons who have been employed in an excluded position in the Office of the Governor General’s Secretary

Pursuant to section 35.2 of the PSEA, a person who has been employed for at least three years in the office of a minister or the office of the Leader of the Opposition in the Senate or the office of the Leader of the Opposition in the House of Commons, or in any of those
offices successively, may, during a period of one year after ceasing to be so employed, participate in internal advertised appointment processes.

Pursuant to section 4.1 of the Office of the Governor General’s Secretary Employment Regulations (OGGSER), a person who has been employed for at least three years in one of the excluded positions in the Office of the Governor General’s Secretary, or in one or more of those positions consecutively, may, during a period of one year after ceasing to be so employed, participate in internal advertised appointment processes.

The PSC retains the authority to confirm whether former ministers’ staff meets the criteria set out in section 35.2 of the PSEA, or whether persons employed in an excluded position in the Office of the Governor General’s Secretary meet the criteria set out in section 4.1 of the OGGSER.

Prior to considering former ministers’ staff, or persons employed in an excluded position in the Office of the Governor General’s Secretary in an internal advertised process, you need to ensure that they have a letter of confirmation issued by the PSC and that a copy is maintained in the staffing file.

Signature

To confirm your acceptance of this delegation arrangement, please sign below and return one of the complete copies to me by (date). If you have any questions or issues that you wish to discuss or you wish to meet in person, please contact me at 613-992-2788.

A French version of this agreement is enclosed for your reference.

Yours sincerely,

Maria Barrados, PhD

Acceptance by the Deputy Head

I hereby accept:

  • the delegation of the Public Service Commission’s (PSC) appointment and appointment-related authorities as described above; and
  • accountability to the PSC for all the authorities delegated to me, as well as for any authority that I sub-delegate to employees within my organization or in another organization that has an Appointment Delegation and Accountability Instrument (ADAI) with the PSC, or in any other organization for which I have made a specific arrangement with the PSC.

I commit to:

  • respecting all the terms and conditions outlined in this ADAI; and
  • ensuring that all sub-delegated officials are competent and aware of the terms and conditions of this ADAI, and will adhere to them.

I will also ensure that the PSC is informed in a timely manner should I vacate my position.

Name of deputy head
Title
Organization
Date

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Annex A

List of Delegated Authorities

The following appointment and appointment-related authorities are delegated by the Public Service Commission (PSC) to all deputy heads. “Deputy Head” and “department” are defined in the Public Service Employment Act (PSEA), subsection 2(1).

Authorities Related to the Appointment of an Individual

Authorities delegated by the PSC pursuant to subsection 15(1) of the PSEA Section Limitations and/or Conditions
1. To make appointments based on merit and free of political influence. 30(1), (2), (3), (4)  
2. To make appointments to and within the public service. 29(1)

The EX Standard must be applied in appointments to and within the Executive Group.

Educational requirements must be identified for positions in the Executive Group.

The PSC retains the authority to approve the exclusion from meeting official language proficiency requirements on medical grounds.

The PSC retains the authority to confirm whether a person who has been employed for at least three years in the office of a minister or the office of the Leader of the Opposition in the Senate or the office of the Leader of the Opposition in the House of Commons, or in any of those offices successively, meets the criteria set out in section 35.2 of the PSEA and may thus, during a period of one year after ceasing to be so employed, participate in internal advertised processes.

The PSC retains the authority to confirm whether a person who has been employed for at least three years in an excluded position in the Office of the Governor General’s Secretary, or in one or more of those positions consecutively, meets the criteria set out in section 4.1 of the Office of the Governor General’s Secretary Employment Regulations and may thus, during a period of one year after ceasing to be so employed, participate in internal advertised processes.

Prior to considering former ministers’ staff and persons employed in an excluded position in the Office of the Governor General’s Secretary in an internal advertised process, you need to ensure that they have a letter of confirmation issued by the PSC and that a copy is maintained in the staffing file.
3. To appoint a person as a casual worker. 50(1)  

Authorities Related to Persons with a Priority for Appointment

Authorities delegated by the PSC pursuant to subsection 15(1) of the PSEA Section Limitations and/or Conditions
4. To appoint a departmental surplus employee in priority to all other persons to another position within the deputy head’s jurisdiction. 40  
5. To consider and appoint, in priority to others, persons with a leave of absence priority. 41(1), (5), (6)  
6. To consider and appoint, in priority to others, a person laid off. 41(4), (5), (6)  
7. To appoint a person (in preference to all priorities) in order to avoid a situation in which that person would become a priority. 43  

Authorities Related to the Appointment Process

Authorities delegated by the PSC pursuant to subsection 15(1) of the PSEA Section Limitations and/or Conditions
8. To consider no more than one person for an appointment. 30(4)  
9. To determine appointment processes, whether advertised or non-advertised. 33  
10. To determine areas of selection. 34(1)  
11. To exclusively target members of designated employment equity groups in an area of selection or to expand an area of selection to include members of designated employment equity groups. 34(1), (2)  
12. To use assessment methods. 36  
13. In advertised external appointment processes, to give preference in the following order:
  • a person in receipt of a pension by reason of war service;
  • a veteran or a survivor of a veteran; and
  • a Canadian citizen.
 39(1), (2)  
14. To informally discuss decisions with persons who were eliminated from consideration at any stage of an internal process and who request such a discussion. 47  
15. To inform persons specified in paragraphs 48(1)(a) and 48(1)(b) of the name of the person being considered for each appointment. 48(1)  
16. To fix a waiting period during which appointments or proposed appointments may not be made. 48(2)  
17. To appoint a person or to propose a person for appointment, whether or not that person is the one previously considered. 48(3)  
18. To administer oaths and receive solemn affirmations in the case of appointments from outside the part of the public service to which the Commission has the exclusive authority to make appointment 54, 134  

Authorities Related to Investigations and Revocations of Appointments

Authorities delegated by the PSC pursuant to subsection 15(1) of the PSEA Section Limitations and/or Conditions
19. To revoke internal appointments and take corrective action after investigating the process. 15(3)

Pursuant to subsection 24(2), the deputy head cannot sub-delegate the authority to revoke appointments.

The deputy head may request that the PSC investigate on his behalf.
20. To appoint to another position a person whose appointment was revoked by the deputy head following an investigation by the deputy head. 15(6)  
21. To appoint to another position a person whose appointment was revoked under sections 66 (external processes), sub-section 67(1) (non-delegated internal processes), section 68 (political influence), and/or section 69 (fraud). 73  
22. To appoint to another position a person whose appointment was revoked as a result of corrective action taken further to a complaint upheld by the Public Service Staffing Tribunal. 86  

Authorities delegated by the PSC under the Public Service Employment Regulations2 (PSER)

Authorities Section Limitations and/or Conditions
23. To consider and appoint, in priority to others, surplus employees. 5

24. Transitional provision*

To consider and appoint, in priority to others, a person who was employed in a position excluded by the Office of the Governor-General’s Secretary Exclusion Approval Order

*For transitional use only, this section of PSER has been repealed

 6 The PSC retains the authority to:
  • determine whether a person in an excluded position in the Office of the Governor General’s Secretary is entitled to a priority; and
  • appoint a priority from the Office of the Governor General’s Secretary to the Executive Group.
25. To consider and appoint, in priority to others, an employee who becomes disabled. 7
26. To consider and appoint, in priority to others, a member of the Canadian Forces or the Royal Canadian Mounted Police who becomes disabled. 8  
26.1 To consider and appoint, in priority to others, a person with a surviving spousal or common-law priority 8.1  
27. To consider and appoint, in priority to others, an employee with a relocation priority. 9  
28. To consider and appoint, in priority to others, an employee with a reinstatement priority. 10  
29. To inform, further to an internal appointment process, the persons in the area of recourse of the name of the person who is appointed, or is proposed to be appointed, in an acting capacity. 13  

Authorities delegated by the PSC under the Public Service Official Languages Appointment Regulations3 (PSOLAR)

Authorities Section Limitations and/or Conditions
30. To extend the two-year period referred to in an agreement to become bilingual for one or more additional periods. 7

The deputy head may not sub‑delegate this authority for positions in the Executive Group.

For positions in all other groups, the deputy head may sub-delegate this authority to persons occupying a position at the assistant deputy minister level and other assistant deputy head titles.

Extensions must be due to:

  • exceptional operational requirements that were not foreseeable at the time of the appointment;
  • exceptional personal circumstances that were not foreseeable at the time of the appointment;
  • a physical, mental or learning impairment that hinders the learning of the other official language at the required level of proficiency; or
  • the inability to obtain language training at public expense.

Extensions cannot exceed two years in total.

Authorities delegated by the PSC under the Employment Equity Act and Regulations

Authorities Section Limitations and/or Conditions
31. To review employment systems, policies, and practices. 9(1)(b)
  1. 1. PSEA 2003, c. 22, ss. 12, 13. This Act came into force on December 31, 2005. [return]
  2. PSER, SOR/2005-334. These Regulations came into force on December 31, 2005. [return]
  3. PSOLAR, SOR/2005-347. These Regulations came into force on December 31, 2005. [return]
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Annex B

Staffing Management Accountability Indicators

Intended Effects: Progress with Key Success Factors

Delegation of Staffing to Deputy Heads

DEL-1: Mechanisms in place to ensure that sub-delegated managers comply with their sub-delegated authorities
DEL-2: Staffing Management Framework ensures monitoring of key staffing areas
DEL-3: Appointment policies are current

Planning for Staffing and Monitoring of Results

PLN-1: Staffing strategies support organizational staffing priorities and align with current and future needs
PLN-2: Extent to which expected results for staffing are assessed and achieved; adjustments made as required

Organizational Human Resources Support

SUP-1: Managers’ satisfaction with quality of overall staffing services*
SUP-2: PE capacity: (a) PEs by population base; and (b) PEs by volume of staffing
SUP-3: Participation in continuous learning by staffing advisors

*For micro-organizations: Mechanisms are in place to evaluate manager satisfaction with staffing services

Organizational Accountability for Results

OAR-1: Staffing performance deficiencies identified in feedback from the PSC are corrected in a timely fashion

Intended Effects: Improved Outcomes

Results: Flexibility and Efficiency

FLX/EFF-1: Managers’ satisfaction with flexibility to carry out staffing processes in an efficient manner**
FLX/EFF-2: Length of time for hiring process
FLX/EFF-3: Candidates’ satisfaction regarding duration of appointment process**

Results: Effectiveness and Adherence to Staffing Values

  • Merit
  • Non-partisanship
  • Representativeness
  • Access
  • Fairness
  • Transparency

Merit

MER-1: Managers’ satisfaction with quality of hires**
MER-2: Official Language qualifications in staffing (non-imperative appointments where the person does not meet the official language profile within the time periods prescribed by regulations)
MER-3: Candidates’ perceptions on whether they were assessed for actual job requirements of the position**
MER-4: Candidates’ perceptions on whether the posted qualifications and criteria for positions are bias-free and barrier-free**
MER-5: Investigations into staffing: a) PSC; b) In-house
MER-6: Candidates’ perceptions on whether the people hired in the work unit can do the job**

Non-Partisanship

NP-1: Candidates’ perceptions on whether they are aware of their rights and responsibilities as public servants, under the Public Service Employment Act, with respect to participation in political activities**

Representativeness

REP-1: Staffing-related provisions or initiatives to increase representativeness

Access

ACC-1: Percentage of external appointments that are non-advertised: a) non-EX group b) EX group
ACC-2: Percentage of internal appointments that are non-advertised: a) non-EX group b) EX group

Fairness

FAIR-1: Candidates’ perceptions of the fairness of the assessment process**
FAIR-2: Percentage of acting appointments with subsequent indeterminate appointment at the same occupational group and level within the same organization
FAIR-3: Percentage of indeterminate hires coming from (a) casual and (b) term positions within the same organization
FAIR-4: Candidates’ perceptions on whether staffing processes to select employees for the work unit are done fairly**

Transparency

TRANS-1: Organizational staffing priorities and strategies are communicated on organizations’ websites; and contents are clearly communicated to managers, employees and employees’ representatives where applicable
TRANS-2: Candidates’ perceptions of openness and transparency in internal staffing**

**Indicators not evaluated for organizations with less than 30 respondents, usually smaller organizations.

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Date Modified:
2011-02-11