Staffing Accountability Framework

Table of Contents Introduction Background Principles Process Accountability Continuum Public Service Wide Principles and Values Accountability Indicators and Measurements Reporting and Assessment Incentives

Information Management and Review Directorate Policy, Research and Communications Branch Public Service Commission of Canada

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Introduction

Staffing Reform is a Public Service Commission (PSC) initiative to make human resource management more effective and efficient. Ultimately, Staffing Reform allows the government to serve Canadians better by:

• giving department managers more responsibility and greater ability to deliver on their departmental business plans;
• streamlining staffing operations in departments and reducing red tape for managers; and
• having the PSC move toward an oversight role and away from individual HR transactions.

Central to Staffing Reform is the revision and increased delegation of staffing responsibilities from the PSC to departments. A cornerstone of this approach is an accountability and reporting framework that holds departments accountable for exercising the staffing delegation. The new framework also allows the PSC to report to Parliament on the health of the Public Service staffing system.

The objectives of this document are:

• to initiate the collaborative development of departmental Accountability Agreements (I); and
• to introduce the new accountability and reporting framework..
  
  (I) These Agreements will be appended to the revised Delegation Agreements.

The PSC recognizes the importance of an early warning system that departments can use to identify new issues. However, the new accountability framework is an assessment and reporting tool, not a warning system. The PSC has other methods of identifying new issues (e.g., risk analysis and thematic reviews) and will develop other mechanisms, to be shared with the departments, to serve this purpose.

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Background

In the past, departments were responsible for monitoring their staffing activities and providing information to the PSC. The PSC, in turn, performed the assessments of staffing performance.

The recommendations of the Treasury Board Report, Modernization of Comptrollership in the Government of Canada, along with the Parliamentary Report, Accounting for Results, suggest more active departmental participation in the assessment of staffing performance. Similarly, the Report of the Independent Review Panel on the Modernization of Comptrollership in the Government of Canada identifies four elements of modern comptrollership: performance information, risk management, control systems and ethical practices and values.

Based on these reports, the PSC believes it is important that departments assess themselves and report to the PSC, taking into consideration their own operating environment.

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Principles

The Commission has endorsed the following principles with respect to the authorities delegated by the Commission to the departments.

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Process

The PSC suggests the following process for developing Accountability Agreements.

• The new Delegation Agreement and the accountability framework will be presented to the departments in meetings with the PSC. The meetings will be driven by departmental readiness to discuss accountability matters linked to the staffing delegation.
• Signatures will be obtained on the Delegation Agreements.
• The PSC will then hold on-going discussions with departments to develop an Accountability Agreement.
• Normally, an Accountability Agreement will be developed within three months.
• Parallel to departmental discussions, the PSC will seek discussions with employee representatives on the accountability framework and encourage departments to have similar discussions with their employee representatives.

When an Accountability Agreement cannot be agreed upon, the matter will be referred to the Commission for discussion and decision.

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Accountability Continuum

The accountability framework and Accountability Agreements are based on a three-tier model.

Tier 1 PSC accountable to Parliament
Tier 2 Departmental DM/DH accountable to the PSC
Tier 3 Departmental line and functional management accountable to departmental DM/DH

There are three levels of reporting within each tier: processes, outputs and outcomes. The following definitions are provided to ensure a common understanding of these terms.

Recent discussions on accountability, including the Report from the Task Force on Public Service Values and Ethics, distinguish between the interrelated concepts of Responsibility, Accountability, Answerability and Ownership.

For example, at Tier 1 (PSC reporting to Parliament) the ultimate responsibility rests with the Commission. The Commission can delegate authorities and responsibility for duties but not its ultimate accountability and overall responsibility. At Tier 2 (department reporting to the Commission) and Tier 3(line and functional management reporting to the Deputy Head) the overall responsibility to exercise delegated authorities stays with the Deputy Head. Similarly, the Deputy Head can sub-delegate authorities and related duties but not his or her overall responsibility and accountability to the Commission.

For example, at Tier 1 (PSC reporting to Parliament) the PSC is held accountable through the mandate the PSC receives from Parliament. One of the ways to render an account is via the PSC Annual Report (formal requirement under PSEA, Article 47(1). At Tier 2(department reporting to the Commission) the Deputy Head is held accountable to the Commission through the delegation instrument. One of the ways to render an account is the Deputy Heads' staffing performance report to the Commission. At Tier 3(line and functional management reporting to the DM/DH), managers and HR specialists are held accountable through a sub-delegation instrument, an accountability contract, or a Memorandum of Understanding (MOU). Each organization will determine the ways by which they will render their accounts.

For example, public servants are answerable to parliamentary committees, but not accountable to them. At Tier 1, Tier 2and Tier 3, answerability can range from one end of a spectrum (e.g., a staffing assistant) to the other (e.g., a senior line/HR manager).

The following table shows Responsibility, Answerability, and the Accountability Mechanisms at each Tier of the Accountability Continuum.

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Public Service Wide Principles and Values

In the new accountability framework, Deputy Heads are accountable for using their authorities in a way that respects a series of values. Performance indicators reflecting outcomes, outputs, and process measures that the PSC and Deputy Head have agreed upon will measure adherence to these values. The values include the PSEA staffing overarching principle, Merit, the PSEA related values, as well as the principles supported by the PSC (see below).

When managing their staffing systems, departments should consider the management and service delivery principles of flexibility and affordability/efficiency. The PSC supports these principles. However, the Public Service Commission does not have the mandate to hold departments accountable for ensuring that staffing activities are carried out in an affordable, flexible and efficient manner.

The overall staffing values and principles of the Public Service are illustrated in the following diagram:

Management and Service Delivery Principles

Departments should consider the following Management and Service Delivery Principles in their staffing activities.

• Flexibility:Staffing activities and approaches are adapted to the needs of the organization.
• Affordability/Efficiency:Staffing activities and approaches ensure good value and are simple, timely, and effective in their delivery.

Values

The Deputy Heads will be held accountable for the values identified in the diagram. These values can be defined in the following way:

A - Result Values

• Competency:Public servants are qualified to fulfill their Public Service duty.
• Representativeness:The composition of the Public Service reflects the labour market.
• Non-Partisanship:Employees are appointed and promoted objectively, free from political or bureaucratic patronage.

B - Process Values

• Fairness:Decisions are made objectively, free from political or bureaucratic patronage; practices reflect the just treatment of employees and applicants.
• Equity:There is equal access to employment opportunities; staffing practices are barrier-free and inclusive.
• Transparency:There is open communication with employees and applicants about staffing practices and decisions.

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Accountability Indicators and Measurements

The following chart links accountability indicators with the values they support and identifies potential methodologies for measurement.

Key Tier 2 Accountability Indicators

Departments must use the Overall Staffing Values and Principles as the basis for their reporting. To provide a tailored approach to the accountability process, Accountability Agreements will be negotiated individually with each department. Departments will be able to add or delete indicators from the generic ones provided by the PSC to reflect their particular departmental context. There must, however, be agreement with the PSC on the indicators. The determination of "the type of measurements" will be left entirely to the DH/DM. The PSC is prepared to assist departments in determining the type of measurements and how to measure the various indicators.

The PSC recognizes that there is a need to allow departments sufficient time to adjust to these new reporting requirements. However, the PSC will monitor departments' progress in their capacity to measure the indicators of performance.

Reporting and Assessment

Departments are required to report to the PSC annually. The Deputy Head will seek the employee representatives' input before submitting the departmental staffing performance report to the PSC.

The PSC will assess the information provided, attest to its validity, and give feedback to departments. To fulfill its due diligence, the PSC may, in some cases, validate the information by performing audits and/or thematic reviews. In addition, the Commission will seek input from employee representatives on the overall health of the staffing system for its report to Parliament (Tier 1 reporting).

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Incentives

On an ongoing basis, the PSC will provide incentives to promote the values and principles outlined in this document. This section describes the continuum of incentives available to the PSC. The information in this section is being shared with the departments in the spirit of openness and transparency. The PSC welcomes suggestions from departments on the kind of incentives that would encourage best practices and discourage poor ones. While this material will not form part of the Accountability Agreements, it provides information on how the PSC may address issues that emerge from the accountability process.

The report commissioned by the President of the Treasury Board, Modernization of Comptrollership in the Government of Canada, outlines the conditions that must be met to modernize comptrollership:

• leadership in departments and at the centre;

• clear and understood responsibilities;

• competency and capacity commensurate with needs;

• incentives.

The Comptrollership Report emphasizes the need for incentives to create an effective control environment (often referred to as sanctions, rewards, and corrective actions). The report suggests that Deputy Heads who provide good information and effective control should be entrusted with greater latitude to operate and be subject to less scrutiny and direction from the centre. At the same time, where this condition is not satisfactorily fulfilled, the system should have the flexibility to respond with a greater measure of scrutiny and oversight and, if necessary, intervention.

The PSC will continue to be involved in the following initiatives:

• given its strategic position to assess the success in maintaining good staffing practices in departments, the PSC will systematically provide input to the performance evaluation of Deputy Heads on human resource management;

• the PSC will use the PSC Annual Report to recognize both excellence and challenges in Public Service staffing at the departmental level.

The illustration below shows a continuum, from positive to negative of activities that are termed neutral but undoubtably serve to contribute to the incentive system for good staffing in departments.

Incentives

Encouraging Best Practices			Discouraging Poor Practices
Strength of Incentives
Recognition of good practice in PSC Annual Report and other publications (PSC) Positive input of PSC in COSO DH performance assessment (PSC) Tailor-made approach in negotiating each department's accountability regime (PSC) Incentives and awards for good practices (DH)			Removal of delegation - total (PSC) Negative input of PSC in COSO DH performance assessment (PSC) Removal of delegation - partial (PSC) Public reporting of irregularities (PSC) Note to DH of concerns regarding their departmental staffing system (PSC) Disciplinary action in departments (DH)

NOTE:These initiatives can be taken to ensure the effective management of the staffing system.

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