Staffing Management Accountability Framework - Mandatory Measures

(updated December 8, 2005)

Table of Contents

• Governance
• Planning
• Policy
• Communication
• Control

Note: The SMAF Elements and Indicators page is a summary of the five elements and their indicators.

Governance

• Definition: The process of exercising authority and establishing a well-defined structure and administration in order to support the achievement of desired results.
• Expectations: It is expected that the deputy head will implement an infrastructure and supporting mechanisms that are conducive to effective management of staffing, as well as continuous improvement and to change, as required.

Indicator - GOV 1

Roles and responsibilities in staffing are clearly defined through a sub-delegation structure or pattern communicated throughout the organization. 
 
Contributing to: Accountability and Delegation, Transparency 

GOV 1 - Mandatory measure 1

• Written sub-delegation instrument which defines sub-delegated roles and responsibilities is accessible to sub-delegated managers. (Essential for coming into force of new PSEA)

Rationale for the measure

• ADAI requires that any staffing sub-delegation be done in writing, and that such a document be consistent with the ADAI. Sub-Delegation – "must have access to 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. "
• PSEA Preamble: "those to whom this appointment authority is delegated must exercise it within a framework that ensures that they are accountable for its proper use" and "delegation of staffing authority should be to as low a level as possible ... and should afford ... flexibility ... to manage and to lead their personnel to achieve results".
• PSC Appointment Policy: Appointment process/approach "is supported by a framework of accountability to preserve the integrity of the appointment system".

Support documents/data

• Description of mechanisms and copy of communications to sub-delegated managers.
• Copy of sub-delegation instrument.

Provision of information

• Delegated organization (periodically)
• The frequency (of reporting) as determined by the occurrence of significant change in an organization's status with respect to a SMAF indicator or measure, or the period as determined by the PSC for reporting against specific measures where annual reporting is not appropriate or necessary.

GOV 1 - Mandatory measure 2

• Mechanisms used to inform stakeholders of sub-delegated authorities (e.g. HR advisors, employees representatives, non-delegated managers, etc.).

Rationale for the measure

• ADAI requires that any staffing sub-delegation be done in writing, and that such a document be consistent with the ADAI. Sub-Delegation – "must have access to 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."
• PSEA Preamble: "those to whom this appointment authority is delegated must exercise it within a framework that ensures that they are accountable for its proper use" and "delegation of staffing authority should be to as low a level as possible ... and should afford ... flexibility ... to manage and to lead their personnel to achieve results".
• PSC Appointment Policy: Appointment process/approach "is supported by a framework of accountability to preserve the integrity of the appointment system".

Support documents/data

• Description of mechanisms used to communicate to stakeholders.

Provision of information

• Delegated organization (periodically)

GOV 1 - Mandatory measure 3

• Rationale for level of sub-delegation.

Rationale for the measure

• Preamble - PSEA - to delegate to the lowest level possible.

Support documents/data

• Copy of written rationale.

Provision of information

• Delegated organization (periodically)

GOV 1 - Mandatory measure 4

• Written organizational SMAF including indicators and measures is in place.

Rationale for the measure

• PSEA Preamble:  "those to whom this appointment authority is delegated must exercise it within a framework that ensures that they are accountable for its proper use" and "should afford ... flexibility ... to manage and to lead their personnel to achieve results". 
• ADAI: Accountability and Audit – "put in place your own management frameworks based on the" SMAF. 
• PSC Appointment Policy: Appointment process/approach "is supported by a framework of accountability to preserve the integrity of the appointment system".

Support documents/data

• Copy of written organizational SMAF.

Provision of information

• Delegated organization (periodically)

Indicator - GOV 2

The organization is resourced to deliver on its staffing priorities. 
 
Contributing to:  Accountability and Delegation 

GOV 2 - Mandatory measure 1

• Sub-delegated managers have access to human resources specialist whose expertise has been validated by PSC. (Essential for coming into force of new PSEA)

Rationale for the measure

• ADAI: Sub-Delegation – competent to exercise authorities and "must have access to human resources  specialist" with Appointment Framework expertise

Support documents/data

• Proportion and number of staffing experts who have taken and those who have passed the PSC validation test.

Provision of information

• Delegated organization (annually)

Indicator - GOV 3

The organization has implemented practices that ensure continuous learning in staffing. 
 
Contributing to:  Merit, Accountability and Delegation

GOV 3 - Mandatory measure 1

• Sub-delegated managers receive values-based training  for the new staffing regime. (Essential for coming into force of new PSEA)

Rationale for the measure

• ADAI: Sub-Delegation – competent to exercise authorities and "must have access to necessary training" 

Support documents/data

• Proportion and number of sub-delegated managers who received values-based training for the new staffing regime.
• Copy of training curriculum.

Provision of information

• Delegated organization (annually) 
• Delegated organization (periodically)

Indicator - GOV 4

A structure and/or mechanisms are in place to facilitate decision-making by senior management on staffing issues, and enable the collaboration of all stakeholders, including bargaining agents. 
 
Contributing to: Merit, Accountability and Delegation  

GOV 4 - Mandatory measure 1

• Senior committee infrastructure exists to support  HR decision-making.

Rationale for the measure

• ADAI:  need to "consult with all stakeholders, including bargaining agents, in developing and revising organizational appointment policies and practices."

Support documents/data

• Examples of minutes of meetings or other documents demonstrating discussion among senior management of staffing issues.

Provision of information

• Delegated organization (annually)

GOV 4 - Mandatory measure 2

• Organization uses mechanisms for ongoing consultation with stakeholders (e.g. employees and their representatives, managers).

Rationale for the measure

• PSC Appointment Policy: "promote a culture of open communication where, through effective dialogue, issues and concerns can be dealt with respectfully throughout the appointment process" and "Deputy heads are strongly encouraged to include union representatives and unrepresented employees". 
• ADAI:  need to "consult with all stakeholders, including bargaining agents, in developing and revising organizational appointment policies and practices.

Support documents/data

• Examples of minutes of union / management meetings, terms of reference of committees, or other documents demonstrating discussion of staffing issues with employees representatives and other appropriate stakeholders.

Provision of information

• Delegated organization (annually)

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Planning

• Definition: In a staffing environment, planning is defined as a process that identifies current and future staffing needs for an organization to achieve its goals. Planning serves as a link between staffing operations and the overall strategic plan so that competence is maintained.
• Expectations: It is expected that deputy heads ensure that staffing decisions made by internal stakeholders are strategic and aligned to organizational priorities.
  

Indicator - PLN 1

Senior management gives clear direction and sets priorities that enable values-based staffing. 
 
Contributing to:  Accountability and Delegation 

PLN 1 - Mandatory measure 1

• Documentation of organizational strategic objectives and priorities for staffing which includes employment equity objectives.

Rationale for the measure

• PSEA preamble:  "public service that is based on merit and non-partisanship and in which these values are independently safeguarded"  and "a public service that … is characterized by fair, transparent employment practices"
• PSEA 30 (1) and (2):  appointments to be based on merit, including essential qualifications, asset qualifications, operational requirements and any current or future needs of the organization.

Support documents/data

• RPP, DPR, documents outlining management's strategic objectives for human resources. Could include minutes of strategic HRP meetings; HR Business Plan, EE plans, HR and Staffing plans and description of HR and Staffing planning mechanisms or processes. 

Provision of information

• Delegated organization (annually)

PLN 1 - Mandatory measure 2

• Strategic objectives for staffing consider the values of transparency, fairness, and access in staffing.

Rationale for the measure

• ADAI: respect merit, non-partisanship and the appointment values (fairness, access and transparency)  
• Good management practices. 

Support documents/data

• RPP, DPR, documents outlining management's strategic objectives for human resources. Could include minutes of strategic HRP meetings; HR Business Plan, EE plans, HR and Staffing plans and description of HR and Staffing planning mechanisms or processes. 

Provision of information

• Delegated organization (annually)

Indicator - PLN 2

Human resources (HR) planning, integrated with business planning, enables the organization to identify its current and future human resources needs.

Contributing to: Merit

PLN 2 - Mandatory measure 1

• HR Planning process based on current and future business needs is in place.
• Staffing strategies / initiatives based on current and future business needs are in place.
• Employment Equity (EE) Action Plans are integrated with staffing strategies.

Rationale for the measure

• PSC Appointment Policy:   "Expectation that deputy heads have established a Human Resources (HR) plan, including a staffing strategy" and  "customize the appointment process to meet the needs of the organization" -- "helps organizations meet their business and human resources needs".
• HR planning  linked to organizational planning is key to a manager's ability to make appointment decisions quickly and in accordance with appointment values. 
• Appointment Policy - Intent - From a planning perspective, this Policy is intended to support the achievement of a competent, non-partisan, representative and inclusive Public Service in which public servants are drawn from across the country, reflect the diversity and linguistic duality of the Canadian people, and are representative of the people they serve. It is also intended to foster confidence in appointment decisions and in the integrity of the appointment system.

Support documents/data

• HR plans, environmental scans, demographic analysis, business plans, and other documents such as RPP, DPR that show that HR planning considerations are part of business priorities, and that EE Action Plans are integrated in staffing strategies.  
• Documented staffing strategies and initiatives. 

Provision of information

• Delegated organization (annually)

Indicator - PLN 3

Staffing is consistent with HR planning while variances can be explained. 
 
Contributing to: Accountability and Delegation, Merit 

PLN 3 - Mandatory measure 1

• Extent to which actual staffing actions correspond to planned staffing strategies. 

Rationale for the measure

• PSEA 30 (1) and (2):  appointments to be based on merit, including essential qualifications, asset qualifications, operational requirements and any current or future needs of the organization.
• PSC Appointment Policy -  HR planning linked to organizational planning is key to a manager's ability to make appointment decisions quickly and in accordance with appointment values. 
• PSC Appointment Policy:  Human resources plan includes a "staffing strategy" that reflects sound human resources planning and "merit and non-partisanship must be applied in accordance with the core values of fairness, transparency, and access". Departments and agencies must demonstrate that areas of selection are consistent with HR plan and document reasons for appointments. 
• Departments and agencies must demonstrate that limited areas of selection are consistent with their EE and HR plan.

Support documents/data

• Statistics on staffing activities in relation to staffing plans and strategies.

Provision of information

• Delegated organization (annually)

PLN 3 - Mandatory measure 2

• Documented rationale that explains variances with the plan.

Rationale for the measure

• PSEA 30 (1) and (2):  appointments to be based on merit, including essential qualifications, asset qualifications, operational requirements and any current or future needs of the organization.
• PSC Appointment Policy -  HR planning linked to organizational planning is key to a manager's ability to make appointment decisions quickly and in accordance with appointment values. 
• PSC Appointment Policy:  Human resources plan includes a "staffing strategy" that reflects sound human resources planning and "merit and non-partisanship must be applied in accordance with the core values of fairness, transparency, and access". Departments and agencies must demonstrate that areas of selection are consistent with HR plan and document reasons for appointments. 
• Departments and agencies must demonstrate that limited areas of selection are consistent with their EE and HR plan.

Support documents/data

• Related organizational reports.  

Provision of information

• Delegated organization (annually)

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Policy

• Definition: Appointments decisions must first and foremost adhere to the new PSEA and other pertinent statutory instruments, including the Canadian Charter of Rights and Freedoms, Canadian Human Rights Act, Official Languages Act, Employment Equity Act. These instruments are supported by policy, including regulations, to enable the legislation and ensure the quality of appointment decisions.
• Expectations: Deputy heads have the flexibility to establish appointment systems tailored to their own organizational needs. When establishing these appointment systems, deputy heads are expected to establish policies that respect the appointment values of transparency, fairness and access and ensure that statutory and central agency requirements are respected, even when service providers are used.

Indicator - POL 1

The delegated organization has implemented and maintains policies that help it address significant issues in its appointment processes. 

Contributing to: Merit, Accountability and Delegation

POL 1 - Mandatory measure 1

• A  policy development and review process in placeto address significant issues in their appointment processes.

Rationale for the measure

• PSEA Sections and subsections 15 (1), (3), (6), 22 (1), 22 (2), 29 (3), 30 (1), (2), (3), (4), 34(1), (2), 47, 48(3), 86 
• ADAI: Conditions of Delegation – "when developing and applying organizational 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."
• ADAI:  Conditions of Delegation – "adhere to the PSC's appointment policies" and Accountability and Audit – "put in place your own management frameworks based on the" SMAF and "actively monitor ... the application of the delegated authorities to ensure compliance."  
• PSC Appointment Policy - Intent: from a policy perspective, the intent of the PSC Appointment Policy is fundamental basis for policy development. Values - Transparency means that the information about decisions, policies and practices is communicated in an open and timely manner - this is the basis for implementing a policy. Policy Development - consider whether the department or agency needs to "develop policies or guides for any part of the appointment process," and encourage organizations to include union representatives and unrepresented employees in the development of their organizational policy.

Support documents/data

• Description of policy review process. 
• Copies of new policies and/or updated policies in response to identified significant appointment issues (includes deficiencies, non-compliance, efficiency perspectives) - with demonstration of the link between the policies and the appointment issues they are to address.

Provision of information

• Delegated organization (annually)

Indicator - POL 2

Organizational policies respect the new PSEA, the PSC's policy and delegation requirements, the core appointment values, and other statutes. 

Contributing to:  Accountability and Delegation  

POL 2 - Mandatory measure 1

• Organization has established mandatory policies / criteria: 
  • criteria for the use of non-advertised appointment processes;
  • policy for the area of selection; and, 
  • policy on corrective action and revocation.
  (Essential for coming into force of new PSEA)

Rationale for the measure

• PSC Appointment Policy: Three policies within this suite specifically require departments or agencies to develop related policies:  Choice of Appointment Process (develop criteria for selecting non-advertised appointment processes); Area of Selection (establish an organizational policy that complies with the PSC's policy on area of selection); and, Corrective Action and Revocation (establish a related policy).

Support documents/data

Copies of organizational mandatory appointment policies and copies of criteria established for use of non-advertised appointment processes.

Provision of information

POL 2 - Mandatory measure 2

• PSC is satisfied, based on its review, that organizational policies respect statutory and other requirements.

Rationale for the measure

• PSC Appointment Policy: Three policies within this suite specifically require departments or agencies to develop related policies:  Choice of Appointment Process (develop criteria for selecting non-advertised appointment processes); Area of Selection (establish an organizational policy that complies with the PSC's policy on area of selection); and, Corrective Action and Revocation (establish a related policy).

Support documents/data

• Copies of organizational policies.

Provision of information

• Delegated organization (periodically)

Indicator - POL 3

Appointment processes and decisions respect statutory, as well as organizational and PSC, policy requirements. 
 
Contributing to: Non-partisanship, merit, fairness, access and transparency

POL 3 - Mandatory measure 1

• Organizations are expected to be able to demonstrate, whether through audit or future PSC reporting requirements (e.g., possible future measures), that they are respecting all aspects of the PSC Appointment Policy. 
• Through central information systems, the PSC will monitor organizations' results to ascertain their ongoing compliance with the requirements of the PSC Appointment Policy.  At this time, the PSC is interested in: 
  • Organizational use of : 
    • corrective action and revocation (after investigation); and, 
    • Public Service Official Languages Exclusion Approval Order (PSOLEAO).
  • Organizations' appointment results:  
    • acting appointments over 12 months (breakdown by advertised & non-advertised);
    • EX appointments through non-advertised processes; 
    • casual appointments to term or indeterminate status through non-advertised processes; 
    • term appointments through non-advertised processes; 
    • indeterminate appointments through non-advertised processes; and,
    • use of area of selection.
  Note. Organizations are expected to measure the results indicated above based on their monitoring requirements 
  as outlined in CTL 2. (Essential for coming into force of new PSEA)

Rationale for the measure

• PSEA preamble: values, patronage
• Articles and paragraphs:  22(2)a, b, c, d, e, 29(1), 36, 39  
• ADAI-  Conditions of Delegation – "ensure that appointment decisions adhere to the requirements of the new PSEA, the Public Service Employment Regulations (PSER), and any other statutory instruments ... as they pertain to the integrity of appointments and the appointment values" and Accountability and Audit – "actively monitor ... the application of the delegated authorities to ensure compliance with this ADAI, ... the new PSEA, and any other pertinent statutory requirements and policies" . 
• These measures are to be used as a proxy to show whether organizations are upholding the values of merit, non-partisanship, transparency, fairness, and access. 

Support documents/data

• Organizations need to monitor and document their compliance with the PSC's and their own policy requirements.
• Various results will be assessed annually by the PSC through central information systems.

Provision of information

• Compliance with PSC policy and sub-policy requirements will also be verified through audits, studies, investigations, and possible reporting requirements (e.g., measures).
• The PSC is working on setting up the system capacity to gather and provide this information centrally. 

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Communication

• Definition :  Communication ensures the integrity of the appointment process by being transparent, easy to understand, timely, accessible, and by including the relevant stakeholders. 
• Expectations:  Deputy heads are expected to establish in their own organizations communications strategies that ensure transparency, clarity and ready access to staffing information. 

Indicator - COM 1

Stakeholders have access to timely staffing information, including information about staffing strategies and decisions. 

Contributing to:  Transparency and Access

COM 1 - Mandatory measure 1

• Organization informs managers, employees and employee representatives of organization's strategic staffing objectives.  (Essential for coming into force of the new PSEA)

Rationale for the measure

• ADAI: Conditions of Delegation – make the ADAI and all organizational policies, as well as sub-delegation terms and conditions, accessible to all sub-delegated officials, employees, and bargaining agent members. 
• Need to: 
  • provide reasonable access and opportunity to apply with sufficient information to make an informed decision  
  • use of jobs.gc.ca and PubliService 
  • notify persons not being considered for appointment 
  • discuss decisions with persons eliminated from consideration 
  • communicate appointment process information in both official languages or in each individual's official language of choice 
  • be transparent and communicate in an open and timely manner

Support documents/data

• Documents illustrating mechanisms to inform  e.g., communiqués, emails, Web page.

Provision of information

• Delegated organization (annually)

COM 1 - Mandatory measure 2

• Organization communicates organizational appointment policy to managers, employees and employees representatives. (Essential for coming into force of the new PSEA)

Rationale for the measure

• ADAI: Conditions of Delegation – make the ADAI and all organizational policies, as well as sub-delegation terms and conditions, accessible to all sub-delegated officials, employees, and bargaining agent members. 
• Need to: 
  • provide reasonable access and opportunity to apply with sufficient information to make an informed decision  
  • use of jobs.gc.ca and PubliService 
  • notify persons not being considered for appointment 
  • discuss decisions with persons eliminated from consideration 
  • communicate appointment process information in both official languages or in each individual's official language of choice 
  • be transparent and communicate in an open and timely manner

Support documents/data

• Documents illustrating mechanisms to inform  e.g., communiqués, documents, Web page.

Provision of information

• Delegated organization (periodically)

COM 1 - Mandatory measure 3

• Employees have easy and timely access to information on employment opportunities and recourse avenues.  (Essential for coming into force of the new PSEA)

Rationale for the measure

• ADAI: Conditions of Delegation – make the ADAI and all organizational policies, as well as sub-delegation terms and conditions, accessible to all sub-delegated officials, employees, and bargaining agent members. 
• Need to: 
  • provide reasonable access and opportunity to apply with sufficient information to make an informed decision  
  • use of jobs.gc.ca and PubliService 
  • notify persons not being considered for appointment 
  • discuss decisions with persons eliminated from consideration 
  • communicate appointment process information in both official languages or in each individual's official language of choice 
  • be transparent and communicate in an open and timely manner

Support documents/data

• Documents illustrating mechanisms to inform  e.g., communiqués, documents, Web page.

Provision of information

• Delegated organization (annually)

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Control

• Definition :  In a staffing context, control means the ongoing monitoring of information, the assessment of actual performance in relation to planned results, the correction of deviations, and the reporting of results. 
• Expectations:  Deputy heads are expected to: 
  • ensure that accurate information is maintained in relation to their appointment system as a whole, and in relation to individual appointment actions, in order to provide a fair and reliable representation of their activities;
  • ensure that staffing management practices, controls and results are actively monitored in their organization, whether the staffing is done internally or by an external service provider; 
  • adjust their staffing systems and practices as required, and make improvements where deficiencies are identified;  
  • submit reports to the PSC on time for PSC to report to Parliament; 
  • participate in the PSC's oversight requirements such as audits, investigations and special studies.

Indicator - CTL 1

Quality and timely human resources information is available to support staffing strategies and decisions.

Contributing to:  Accountability and Delegation.

CTL 1 - Mandatory measure 1

• Staffing information is available within the organization for strategic planning purposes.

Rationale for the measure

• PSEA 30 (1) and (2):  appointments to be based on merit, including essential qualifications, asset qualifications, operational requirements and any current or future needs of the organization.  

Support documents/data

• Copies of reports, documents and type of data captured  for strategic planning purposes.

Provision of information

• Delegated organization (annually)

CTL 1 - Mandatory measure 2

• Staffing information is available within the organization to address key risk areas and to meet reporting requirements.

Rationale for the measure

• ADAI: Accountability and Audit – "actively monitor" the application of ADAI and PSEA 2003 and any other pertinent statutory requirements and policies re the integrity of appointments and appointment values.  
• PSC Appointment Policy - Intent - Control is fundamental to implementing the intent of the PSC Appointment Policy and ensuring a well-functioning appointment system. 
• ADAI:  Conditions of Delegation – "adhere to the PSC's appointment policies" and Accountability and Audit – "put in place your own management frameworks based on the" SMAF and "actively monitor ... the application of the delegated authorities to ensure compliance" . 

Support documents/data

Copies of reports, documents, data used to focus on key risk areaswhich lead to actions such as policy development, etc.

Provision of information

Delegated organization (annually)

CTL 1 - Mandatory measure 3

• Appointment decisions are fully documented and accessible in accordance with the ADAI and PSC Appointment Policy.  (Essential for coming into force of the new PSEA)

Rationale for the measure

• ADAI: "Ensure that appointment and appointment-related decisions are fully documented" 
• PSC Policy - Selection and Appointment - document reasons for appointment decisions.

Support documents/data

• Description of processes and practices used to ensure proper documentation of staffing files, e.g., internal audit, procedures, etc.  

Provision of information

• Delegated organization (periodically)

CTL 1 - Mandatory measure 4

• Organizational practices ensure reliability of the information in the HR system.

Rationale for the measure

• ADAI: Conditions of Delegation – "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"

Support documents/data

• Description of processes and practices used to ensure reliability of the info in the HR system.

Provision of information

• Delegated organization (periodically)

Indicator - CTL 2

Staffing monitoring is done by the delegated organization on an on-going basis. 

Contributing to: Accountability and Delegation  

CTL 2 - Mandatory measure 1

• Organization monitors, at a minimum, its:
  • use of corrective action and revocation; 
  • use of Official Language Exclusion Approval Orders;
  • acting appointments over 12 months (breakdown by advertised & non-advertised);
  • EX appointments through non-advertised processes; 
  • casual appointments to term or indeterminate status through non-advertised processes.
    
    (Essential for coming into force of the new PSEA)
    
• Other current SMAF monitoring requirements:
• term appointments through non-advertised processes; 
• indeterminate appointments through non-advertised processes; and, 
• use of area of selection. 

Note. The measures identified in CTL 2 can assist organizations in measuring their results for PLN 3 and POL 3.

Rationale for the measure

• ADAI: Accountability and Audit – "actively monitor" the application of ADAI and PSEA 2003 and any other pertinent statutory requirements and policies re the integrity of appointments and appointment values.
• PSC Appointment Policy:  Monitoring and Reporting – "active monitoring of appointment systems ... to systematically identify, manage and mitigate appointment risks ... to determine whether their organization meets the Commission's policy requirements and the expectations" of the SMAF.   
• The PSC Appointment Policy has specific requirements for organizations to establish monitoring systems in the areas listed in the mandatory measures.  
• Given the high visibility for parliamentarians of the use of National Area of Selection (NAOS), there is a need for monitoring compliance with the policy requirements 

Support documents/data

• Description of the processes, tools, or practices used to monitor staffing and resolve concerns, including information on the frequency. 
• Copies of monitoring reports

Provision of information

• Delegated organization (annually)

CTL 2 - Mandatory measure 2

• Organizational monitoring processes or practices are in place to identify staffing trends, results and performance issues, to determine whether their organization meets the Commission's policy requirements and the expectations of the SMAF, and to systematically identify, manage and mitigate appointment risks.

Rationale for the measure

• ADAI: Accountability and Audit – "actively monitor" the application of ADAI and PSEA 2003 and any other pertinent statutory requirements and policies re the integrity of appointments and appointment values.
• PSC Appointment Policy:  Monitoring and Reporting – "active monitoring of appointment systems ... to systematically identify, manage and mitigate appointment risks ... to determine whether their organization meets the Commission's policy requirements and the expectations" of the SMAF.   
• The PSC Appointment Policy has specific requirements for organizations to establish monitoring systems in the areas listed in the mandatory measures.  
• Given the high visibility for parliamentarians of the use of National Area of Selection (NAOS), there is a need for monitoring compliance with the policy requirements 

Support documents/data

• Description of the processes, tools, or practices used to monitor staffing and resolve concerns, including information on the frequency. 
• Copies of monitoring reports

Provision of information

• Delegated organization (annually)

Indicator - CTL 3

Identified staffing performance deficiencies are corrected in a timely fashion. 

CTL 3 - Mandatory measure 1

• Corrective actions are taken in timely fashion to resolve deficiencies or issues identified though active monitoring. 

Rationale for the measure

• PSC Appointment Policy:   Intent - Controlling and adjusting the system based on the identification of risk are fundamental to implement the intent of the PSC Appointment Policy and ensuring a well-functioning appointment system. "Foster a healthy work place, where errors or oversights can be corrected in a timely manner and where the use of formal recourse may be reduced".  
• Informal Discussion  - ensure that "errors or oversights can be corrected where appropriate."

Support documents/data

• Copies of documented reports of actions taken to resolve concerns (also in timely manner).

Provision of information

• Delegated organization (annually)

Indicator - CTL 4

The delegated organization complies with the PSC's reporting requirements. 

CTL 4 - Mandatory measure 1

• DSAR allows PSC to assess the organization's performance against the SMAF measures.  (Essential for coming into force of the new PSEA)

Rationale for the measure

• ADAI: "report to the PSC" on SMAF accountability indicators, PSC Appointment Policy reporting requirements and internal audits and studies. 
• PSC Appointment Policy - Monitoring and Reporting - The SMAF is one method of holding deputy heads accountable for the exercise of their delegated authorities. "Report on performance" in accordance with Commission policy and the SMAF and Informal Discussion - ensure that "errors or oversight can be corrected where appropriate". 
• PSC Appointment Policy: "report on performance" in accordance with Commission policy and the SMAF.

Support documents/data

• Departmental Staffing Accountability Report providing reliable information. 
• Date by which the organization's report and supporting documents are received by the PSC.

Provision of information

• Delegated organization (annually)

CTL 4 - Mandatory measure 2

• Signed attestation by Deputy Head regarding reliability of the information in the report and  non-partisanship in staffing.

Rationale for the measure

• ADAI: "report to the PSC" on SMAF accountability indicators, PSC Appointment Policy reporting requirements and internal audits and studies. 
• PSC Appointment Policy - Monitoring and Reporting - The SMAF is one method of holding deputy heads accountable for the exercise of their delegated authorities. "Report on performance" in accordance with Commission policy and the SMAF and Informal Discussion - ensure that "errors or oversight can be corrected where appropriate". 
• PSC Appointment Policy: "report on performance" in accordance with Commission policy and the SMAF.

Support documents/data

• Signed Attestation.

Provision of information

• Delegated organization (annually)