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Guide to Establishing Organizational Policies Required by the PSC

 

This Guide is provided by the Public Service Commission to help human resources advisors support deputy heads in establishing organizational policies.

Table of Contents

1. Objective
2. What is in this Guide?
3. Principles for Establishing an Organizational Policy
4. Common Elements
5. Area of Selection
   1. Context
   2. Going National
   3. Respecting Other Laws and Agreements
   4. Area of Selection Criteria
   5. Employment Equity and Area of Selection
   6. Mobility and Area of Selection
   7. Considerations in Establishing a Policy on Area of Selection
6. Corrective Action and Revocation
   1. Context
   2. Responsibility
   3. Discretionary Authority to Conduct an Investigation
   4. The Investigation
   5. Corrective Action and Revocation
   6. Confidentiality and Disclosure of Information

I. Objective

This Guide has been developed to assist deputy heads in establishing the organizational policies required by the Public Service Commission (PSC).

Deputy heads have the flexibility to develop policies for any part of the appointment process. However, the Commission requires that deputy heads establish an organizational policy for area of selection, and corrective action and revocation.

II. What is in this Guide?

• Principles for establishing organizational policies;
• Common elements in a policy;
• Specific elements for each of the required policies;
• Criteria to consider when developing policies; and
• Quick references to relevant information

III. Principles for Establishing an Organizational Policy

The purpose of a policy is to provide a framework for making sound decisions, and to ensure that the organization's appointment system is administered consistently and that persons are treated fairly.

Deputy heads must ensure that the organizational policy respects the Public Service Employment Act (PSEA), the PSC's Appointment Policy and other applicable legislative provisions. Furthermore, the organizational policy should be developed in the context of human resources (HR) planning in the organization.

The PSEA is an enabling statute, providing an opportunity to make appointment processes more flexible and efficient, and for deputy heads to customize those processes to meet the needs of the organization. Therefore, an organizational policy can be broad enough to encompass the organizational structure, yet customized to apply to local circumstances. For example, the organizational structure, environment, mandate and work to be performed can influence how much standardization or central direction will be appropriate.

A policy need not follow a specific format. It may be as long or as short as the issue requires. Deputy heads of small organizations may wish to consider partnering with other organizations to establish a policy that addresses common requirements. It is essential, however, that the policy respond to the organization's needs.

IV. Common Elements

There are some elements that are common to the organizational policies. They are as follows:

i. Content

The organizational policy must, as a minimum, conform to the provisions set out in the policy requirements of the PSC policies for Area of Selection and Corrective Action and Revocation.

The organizational policy should also outline, to management and employees, the expectations of the deputy head with respect to their roles and responsibilities.

It should be written in a clear and concise manner, using language that will be readily understood by the reader.

ii. Official Languages

Deputy heads must ensure that, in the organizational policy, the provisions related to official languages are respected, with regard to requirements for service in both official languages and linguistic rights of individuals.

iii. Employment Equity

In establishing the organizational policy, deputy heads must ensure that the provisions related to employment equity are respected, specifically:

• the Employment Equity Act (EEA), which requires, among other things, that organizations institute positive policies and practices, free from bias and systemic barriers and make accommodations to ensure that designated group members achieve equitable representation within the Public Service; and
• the Treasury Board/PSC Policy on the Duty to Accommodate Persons with Disabilities in the Federal Public Service, which requires, for example, the provision of accessible formats and accommodation, upon request, for persons with disabilities.

iv. Collaborative Participation with Unions and Unrepresented Groups

Deputy heads are required in their Appointment Delegation and Accountability Instrument (ADAI) to consult with all stakeholders, including bargaining agents in the development of the organizational policy, for the following reasons:

• input allows for their views and interests to be heard and considered, which can influence and improve the end product;
• taking various perspectives and circumstances into consideration prior to establishing policies (for example, including regional representatives from large and small centres) can assist in determining how broad or narrow a policy provision is required; and
• all the participants can take responsibility and ownership for the policy. Since they were involved in the creation of the policy, the probability of buy-in, adherence and longevity increases.

v. Training

Any new policy will come with its own challenges, one of which is ensuring a common understanding. Since the policies will be new to the organization, deputy heads must ensure that each is well understood and can be implemented consistently. Deputy heads should consider establishing training for all employees in these areas as part of the organization's learning plan.

vi. Communication Plan

Communication plays a significant role in the acceptance and implementation of a policy. It is important for deputy heads to ensure that the intent and impacts of the organizational policy are well understood by the employees. Deputy heads should consider a communication plan to ensure that all employees in the organization understand and are aware of the implementation of the organizational policy. Consideration should also be given to identifying a contact resource(s) who will be able to respond to questions.

Organizational policies must be available in both official languages and in accessible formats.

The following sections of this Guide deal specifically with the two areas required to have an organizational policy, as identified by the PSC. They are: Area of Selection; and Corrective Action and Revocation.

V. Area of Selection

i. Context

The Government of Canada is committed to providing Canadians with access to opportunities for public service employment.

The intent of establishing an area of selection is to attract persons for public service employment opportunities while taking into consideration the values of access fairness, transparency and representativeness in employment practices as well as costs.

An area of selection for external and internal advertised appointment processes determines who is eligible to apply. For internal non-advertised appointment processes, the area of selection determines who will have the right to complain about the proposed appointment.

An organizational policy on area of selection will factor in:

• PSC policy requirements on area of selection;
• the guiding values of fairness, access, transparency and representativeness;
• efficiency, flexibility and cost-effectiveness; and
• the fact that national areas of selection in external recruitment enhance access to persons with the many backgrounds, skills and professions needed to serve Canadians.

ii. Going National

In developing an organizational policy, deputy heads must respect the PSC Policy on Area of Selection, which indicates that a national area of selection in external appointment processes must be established.

iii. Respecting Other Laws and Agreements

Charter of Rights and Freedoms

The mobility provisions under Section 6 of the Charter of Rights and Freedoms (Charter)provide that citizens and permanent residents have the right to move to and take up residence in any province or territory and to pursue the gaining of a livelihood in any province or territory. The Charter applies to external and internal, advertised and non-advertised appointment processes.

Geographic criteria established in an area of selection must not have the effect of discriminating among persons primarily on the basis of past or present province or territory of residence. Therefore, an area of selection must not be established along provincial or territorial boundaries, as it would not conform to the spirit and intent of the Charter.

Agreement on Internal Trade

The Agreement on Internal Trade (AIT) is a federal-provincial agreement that was developed to reduce or eliminate, to the extent possible, barriers to the free movement of persons, goods, services and investments within Canada.

The mobility provisions of the AIT apply to the public service's external recruitment practices. With respect to geographic restrictions, the AIT's purpose was to remove inter-provincial barriers to workforce mobility. This means that if an area of selection is compatible with the Charter, it will also be in keeping with the AIT.

Social Union Framework Agreement

The 1999 Social Union Framework Agreement (SUFA) is an agreement between the Government of Canada and the governments of the provinces and territories to work together, and with Canadians, to strengthen our health care system, eliminate barriers to mobility for Canadians, involve Canadians in the development of social programs and strengthen partnerships among governments. The obligations of the public service under the SUFA are the same as under the AIT.

iv. Area of Selection Criteria

As part of their organization's policy, deputy heads should strive to identify the appropriate area of selection that would include a reasonable number of persons for the employment opportunity.

Except for a national area of selection, deputy heads may wish to consider incorporating the flexibility in section 34 of the PSEA in the use of different area of selection criteria in their policy.

For example, there may be situations when it would make sense to use the organizational component in external recruitment to open an appointment process to employees of other levels of government, not-for-profit organizations, professional associations, private sector organizations, etc.

In other situations, it may be appropriate to use the occupational criterion to limit the area of selection to an occupational stream that spans several similar occupations (e.g., health care services), or to refer to members of a specific occupation (e.g., aeronautical engineer).

See Guide on Setting and Area of Selection for examples using different criteria.

v. Employment Equity and Area of Selection

Areas of selection can now be limited to designated employment equity group members. The PSC policy requires that the use of this criterion be supported in the context of the organization's human resources planning or employment equity plan.

Limiting an area of selection to designated group members can assist in implementing an organizational employment equity plan. In addition, geographic, organizational and occupational criteria can also be expanded to designated group members to further employment equity objectives.

Deputy heads should determine in their organization's policy, the circumstances under which employment equity criteria will be used in establishing an area of selection to achieve a representative workforce. That is, when it would be appropriate to limit an area of selection to one or more designated groups or expand an area of selection to increase the number of designated group members.

vi. Mobility and Area of Selection

In addition to respecting the mobility provisions in the Charter , the AIT and the SUFA, deputy heads are encouraged to foster mobility by opening opportunities for cross-jurisdictional mobility to other federal organizations in establishing an Area of Selection policy. This would be in keeping with the values and principles inherent in the new PSEA.

vii. Considerations in Establishing a Policy on Area of Selection

• areas of selection should ensure a reasonable number of persons from both official languages communities, taking into account the nature and location of the position, the public to be served and the organization's linguistic obligations;
• allowing for circumstances where a reasonable number of potentially qualified persons are located, an area of selection can indicate that a larger area of selection may be used if an insufficient number of persons apply from the smaller area (sliding area of selection);
• taking into account that in external appointment processes, geographic criteria refer to where persons must reside or reside or be employed, in order to be eligible for appointment. Residency has its normal meaning: it is where the individual lives. Students or other individuals temporarily residing outside the area of selection who have a permanent residence within the area of selection would normally be eligible to apply;
• allowing for alternate work arrangements such as telework in establishing an Area of Selection Policy, keeping in mind to accurately determine the workplace of candidates who telework. The employee's workplace or business address is where the employee would work if there were no telework situation;
• nurturing and retaining talent within the public service;
• recruiting from outside the public service to meet the current and future needs of the organization or the public service;
• allowing for potentially well qualified individuals to apply from other parts of the public service (e.g. separate agencies);
• considering organizations within the public service that could provide a similar labour supply; and
• the likely location of persons who have the required qualifications, for example, small public service organizations with a natural affiliation of work, small occupational groups, and widely dispersed occupational groups.
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VI. Corrective Action and Revocation

i. Context

The organizational policy on Corrective Action and Revocation should promote communication and fair treatment of persons who may be affected by a decision to take corrective action or revoke an appointment.

An investigation must be conducted before a decision is made to take corrective action or revoke an appointment. The new PSEA directs the Commission to conduct investigations as informally and expeditiously as possible, and deputy heads should do so, as well.

However, the process used in a decision should incorporate the principles of procedural fairness.

The process followed for corrective action and revocation should allow for:

• a timely resolution; and
• person(s) to be provided with the opportunity to present relevant facts and to have their position fully and fairly considered before a decision is made.

ii. Responsibility

Because the authority to revoke internal appointments is delegated to the deputy head and cannot be sub-delegated, it is important to be clear in the organizational policy that this authority remains with the deputy head.

The authority to conduct an investigation or take corrective action, however, can be sub-delegated within the organization. Deputy heads may wish to include in the organization's policy, whether the authority to take corrective action has been sub-delegated and to whom.

iii. Discretionary Authority to Conduct an Investigation

Any organizational policy must respect the legislation and PSC policy. The organizational policy must, as a minimum, conform to the provisions set out in the Policy Requirements of the PSC's Corrective Action and Revocation Policy.

Because the decision to conduct an investigation is discretionary, there is no requirement for deputy heads to conduct an investigation into every matter that is brought to their attention. The decision to investigate will be on a case-by-case basis; therefore, it is important that deputy heads establish criteria to guide them in the exercise of this discretion to conduct an investigation.

Consideration of the following criteria could assist in making the decision to investigate:

• Nature and reliability of information
  • The means by which the matter came to the deputy head's attention, such as monitoring, an internal audit, an employee, a manager or other source.
  • Is there enough information to make a decision to investigate?
  • If, on the face of it, if proven to be true, the matter raised would constitute an error, omission or improper conduct which affected the selection for appointment.
  • Is this similar to other information previously brought to the deputy head's attention?
  • Could the matter have a systemic implication on the organization?
• Authority to address the issue
  • Is the matter within the deputy head's jurisdiction?
  • Is there another recourse mechanism available? For example, the Public Service Staffing Tribunal, Access to Information or Privacy Commissioner, or the Canadian Human Rights Commission?
• Timeliness
  • Has the matter been brought forward within the time period established by the deputy head?
  • Is there still a possibility of initiating corrective action?
  • Has an appointment been made which could lead to a revocation?

iv. The Investigation

The Act requires that the deputy head, before taking corrective action or revoking an appointment, conduct an investigation. Organizations may already have experience in conducting investigations on all sorts of matters, and each organization may well tailor its investigations to its particular way of operating.

Because the consequences of an investigation could include loss of employment, deputy heads should establish a dependable process for conducting investigations. In the establishment of an organizational policy or procedures, consideration should be given to:

• Administrative/Legal Requirements
  • acceptable manner of receiving information (oral or in writing);
  • timeliness of receiving information;
  • information required in the complaint;
  • sharing of information during the investigation;
  • file documentation, retention and access;
  • formality or informality of the process; and
  • respect for procedural fairness.
• Roles
  • investigator – terms of reference;
  • unions – assisting and/or representing members in the process;
  • managers – involvement in process and in taking corrective action; and
  • human resources advisors – advice and guidance.

v. Corrective Action and Revocation

In order to take corrective action or revoke an appointment, the deputy head must be satisfied that an error (for example, a manager mistakenly believed the appointee was in the area of selection), omission (for example, the manager did not assess an essential qualification) or improper conduct (for example, the manager hires a friend who does not have the essential qualifications) affected the selection for appointment.

Thus, the focus is on the selection of the person appointed or proposed for appointment, not on persons who were not appointed. The deputy head should ensure, prior to taking any action, the error, omission or improper conduct had an impact on this selection.

In the establishment of an organizational policy, the deputy head may want to consider establishing guidance for when he or she would take corrective action or revoke an appointment. For example:

• criteria for when an appointment would be revoked, for example it has been shown that the appointment was made due to improper conduct on the part of the appointee, or the appointee is not qualified for the position;
• criteria to determine when to re-appoint a person whose appointment has been revoked, for example where the error, omission or improper conduct was not as a result of the actions of the employee whose appointment is being revoked;
• what process to follow if there are similar cases; and
• what process to follow for seeking input prior to taking corrective action.

vi. Confidentiality and Disclosure of Information

It is important to be mindful of confidentiality issues and, at the same time, to respect the principles of procedural fairness in the process and in the conduct of corrective action and/or revocation.

Personal information should only be shared with those who have a need to know. Persons who could be directly affected by the decision should be provided with sufficient information in order to be able to respond to the matter.

Disclosure of information must respect legal obligations and maintain trust in the process. Deputy heads should seek assistance from their Privacy and Access to Information Coordinator before disclosing personal information.

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Date Modified:

2008-12-31