Accountability Questions and Answers

Q. A number of risk management frameworks exist. Does the Public Service Commission (PSC) have a risk management policy or framework? Will training on this subject be offered to human resources (HR) advisors in departments and agencies?

A. The PSC is currently working on an Accountability Guide which will include a module on this issue. The module will walk you through a staffing risk assessment process and active monitoring based on risk management. The module will refer to the Staffing Management Accountability Framework (SMAF) and other management frameworks. This module reflects the efforts of a PSC led departmental working group. Over the past three years some departmental members of this working group have developed their own staffing risk management programs, conducted an initial risk assessment of staffing and are now taking corrective action. They will monitor the results these achieve. Both the PSC and Department of Fisheries and Oceans have shared their material at several recent National Staffing Council events.

The PSC will make the Accountability Guide available on our website in the fall. The PSC will also provide input into the training curriculum being prepared by the Canada School of the Public Service. Those who want more information about the active monitoring policy should refer to the TBS website.

Q. How are "expectation," "indicator" and "measure" defined?

A. In the SMAF, an expectation is a description of the desired state. Indicators are the specific conditions desired to show that the organization meets the expectations. Measures are qualitative or quantitative type of information which serves to assess whether the indicators have been achieved. The measures are currently being developed.

Q. Can the indicators contained in the SMAF be changed?

A. The indicators are established by the PSC, and those contained in the SMAF will be used as they are. Over time, the indicators will evolve, and the PSC will then decide whether to adjust them or replace them with other indicators.

Q. Can the measures contained in the SMAF be changed?

A. The measures are defined by the PSC, and they will evolve to allow for improved evaluation of the staffing system.

Q. Are the indicators and measures contained in the SMAF the same for all departments and agencies, regardless of their size?

A. The indicators are the same for all departments and agencies, but the measures could be adapted to the size of the department or agency. There will be some common measures; however, certain measures could vary depending on the size and risk profile of the department or agency.

Q. In the SMAF, it seems that the measures relate more to staffing processes than to staffing results. Is that not an inconsistency, since deputy heads are responsible for staffing results?

A. The PSC is responsible for reporting to Parliament on the health of the staffing system. It must do so by taking into account both the results of appointments within the Public Service and the way in which these appointments are made. That is why the measures contained in the SMAF also relate to staffing processes.

Q. The SMAF requires that departmental staffing policies be reviewed. How often?

A. Departmental staffing policies must first be reviewed by delegated organizations to ensure compliance with the new Public Service Employment Act, the Regulations and the PSC's policies. Further reviews must be done as often as the organizational context requires.

Q. How does the PSC decide whether to audit a department or agency?

A. The PSC uses a risk management approach to determine which departments and agencies to audit. It also carries out audits on specific government-wide issues and may conduct cyclical audits. The PSC's Audit Plan can be found on the PSC Internet site.

Q. What will be the content of staffing performance reports in the coming years?

A. The PSC is currently defining the requirements for the 2004-2005 departmental reports. Moreover, the PSC shares with central agencies — such as the Public Service Human Resources Management Agency of Canada — a vision for integrating departmental reports on the various aspects of human resources management (staffing, official languages, employment equity, HR planning, etc.).

Q. What prompts PSC audits and investigations? How would you know to come into a department and investigate?

A. The PSC may decide to investigate a matter which comes to its attention from a variety of sources: departments, an unsuccessful candidate in a competition, a member of the public, or from within the PSC, for example.

The PSC uses a risk-based assessment to select departments and government-wide issues for audit. An analysis of information gathered from a variety of sources is used to develop the PSC’s Annual Audit Plan, which is approved by the PSC Commissioners. The PSC also conducts ad hoc audits if specific information is received that provides sufficient evidence that immediate audit action is required.

A list of the departments and government-wide issues selected for audit in 2004-2005 is presented in the PSC’s Annual Audit Plan, which is available on the PSC’s Web site. The 2005-2006 plan will be available shortly.

Q. How is the PSC going to monitor fairness, equity and transparency?

A. The PSC has been monitoring the staffing values through its Departmental Staffing and Accountability Reporting (DSAR) process and through Audit. The new PSEA places a greater emphasis on oversight and the PSC’s accountability to Parliament for safeguarding the integrity of appointments in the public service. The PSC will use a variety of tools and mechanisms to oversee the appointment system:

• The appointment policies include requirements aimed at ensuring that the staffing values are upheld. For example, the appointment policies require that the management of temporary staffing be closely monitored, analyzed and reported upon.
• The PSC will also draw on various information sources to monitor these values, such as the findings of its Program of Special Surveys, the results of the Public Service Employment Surveys and the results of pertinent recourse findings. The SMAF also includes indicators and measures that facilitate the assessment of the staffing values.
• The PSC has strengthened its audit capacity and will be undertaking cyclic, as well as risk-based, audits which may focus on the application of the staffing values. To this end, departments are now required to ensure proper documentation of staffing files for audit purposes and to maintain those files for a period of five years.

Q. How often does the PSC do compliance audits? Are they scheduled on an ad hoc basis?

A. The PSC has expanded its audit role from compliance audits to more broadly based audits that look at how staffing values are being respected and how departments are managing staffing in accordance with their delegation agreements with the PSC. Compliance with legislation, policies and regulations forms part of these broader scoped audits.

Based on an assessment of risk, the PSC develops an annual audit plan that lists the departments and government-wide issues selected for audit during the fiscal year. At this time, the PSC has not planned for cyclical compliance audits of all departments. As for audits scheduled on an ad hoc basis (i.e., not part of the annual audit plan), it is possible that the PSC could decide to audit a department as a result of an urgent, unforeseen situation.

Q. What kind of accountability framework is in place for managers and deputy heads?

A. The SMAF was developed by the Commission to clearly lay out expectations for a well-managed appointment system that respects the new Act, while clarifying the Commission’s roles and responsibilities and those of deputy heads and managers in delegated organizations. The SMAF consists of five elements covering the infrastructure and practices to be in place to ensure that staffing is carried out effectively: governance, planning, policy, communication and control. The Commission will be monitoring organizations against these expectations. For more information visit the PSC Web site on accountability.

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