Audit Criteria
| Objective: To assess the level of compliance, efficiency and effectiveness of staffing and recruitment processes and practices to help ensure that the person appointed is the right fit for the job so that the business and human resource needs of the department are met. |
| Criteria |
Link to Accepted Source |
| 1) Roles and responsibilities of HRB and non-HRB personnel as they relate to staffing and recruitment are clearly defined and communicated. This includes clear responsibilities for staffing within HRB, in regions, across sectors and agencies. |
- CMC:
- AC-1, AC-4, PP-IC, AC-2, ST-13
- SMAF:
- POL-2, GOV-1, GOV-2
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| 2) Integrated planning processes are in place to ensure that staffing and recruitment strategies are linked to business requirements and are based on proper demographic analysis. |
- CMC:
- GSD3, GSD5, PPL1, PPL2, ST4, CFS2, RM2, RM4, GSD4, ST16, ST17, LICM4, RP3
- SMAF:
- PLN-1,PLN-2, PLN-3
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| 3) Relevant, timely and reliable information on staffing is provided by HRB and others. |
- CMC:
- AC1, PPL4
- SMAF:
- COM-1, CTL-1, CTL-4
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| 4) Appropriate tools and quality advice on staffing strategies are provided by HRB, regional HR personnel, and others in HR to subdelegated managers, and these are in line with IC policies, and the PSC Appointment Framework. This would include use of new flexibilities provided by PSEA 2005. (COM-1) |
- CMC:
- PPL4, AC1, RP2, PP-IC, LICM 2, 3
- PPL7
- SMAF:
- POL-1, POL-2, GOV-3
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| 5) Departmental managers and HR advisors have received training on staffing and recruiting, processes and procedures, and mandatory requirements to meet employment equity, cultural diversity and linguistic duality targets. |
- CMC coverage:
- PPL4
- SMAF:
- GOV-3, CTL-1
|
| 6) Progress against staffing and recruitment targets, including staffing service standards, is measured and reported on. |
- CMC:
- RP2, EP3, PPL1, PPL2, ST4, RM4, RM5, LICM-1, PPL7, PP-IC, RM6, ST 16, RP3
- SMAF:
- CTL-1, CTL-2, CTL-3, CTL-4
|
| 7) Staffing and recruitment practices are based on merit, are free from political influence and are fair, accessible, transparent and representative. |
- CMC:
- PPL3
- SMAF:
- PLN-1, POL-1, POL-2, POL-3
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Management Action Plan
| Recommendation (Page/Section) |
Planned Action or Justification for no action on the Recommendation |
Responsible Official |
Target Completion Date |
Revised Completion Date |
Current Status |
1.
The DG of HRB should monitor progress on sector HR plans to support the reporting of variances between HR plans and actual staffing activities, as required by IC and the Public Service Commission.
(Page 11)
|
- Agreed.
- HRB has included a new requirement in the launch of the integrated planning process for 2011–2012; sectors will now be asked to report on progress against their prior year HR plans and, specifically, their staffing strategies. HRB will use this information to report to the PSC in the 2011–2012 Departmental Staffing Accountability Report.
|
DG of HRB |
February 2012 |
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2.
The DG of HRB should ensure that the integrated planning process involves HR professionals who are responsible to support the sectors in implementing staffing processes.
(Page 11)
|
- Agreed.
- HRB's staffing community was provided with Part 1 of a 2-part information session on the integrated planning process earlier this year. HRB will ensure Part 2 is held in a timely manner.
- For those sectors where PE-05 sector team leaders do not currently attend regular senior management meetings or sector planning processes, a written offer will be made to attend these meetings.
|
DG of HRB |
- Offer Part 2 of integrated planning info session to HR staffing community by September 30, 2010
- Communication to sector heads regarding PE-05 participation in senior management committees and/or in integrated planning process: September 30, 2010
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3.
The DG of HRB should ensure that roles, responsibilities and accountabilities of HR advisors and subdelegated managers are clearly defined throughout the staffing process for non-EX appointments.
(Page 12)
|
- Agreed.
- As part of service delivery improvement initiatives already under way, HRB is currently developing a document that outlines these responsibilities. The Branch will develop an accompanying communications strategy to ensure that HR advisors and subdelegated managers are fully aware of, and can easily refer to, the document outlining these responsibilities.
|
DG of HRB |
- Development of Roles and Responsibilities Document: by December 31, 2010
- Development of communications strategy: by December 31, 2010
- Implementation of communications strategy: January 2011 and ongoing
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4.
The DG of HRB should ensure that all employees involved in staffing and recruitment processes have access to and pursue adequate training to demonstrate knowledge of staffing requirements.
(Page 14)
|
- Agreed.
- Adequate training is already provided to HRB staff providing staffing advice and support as part of the PE development program. HRB will engage regional HR directors to ensure that comparable training is being provided in the regions.
- Subdelegated managers currently attend a 1.5 day customized training course provided by HRB (via contractor) on a cost recovery basis. The contract expires this fall. In keeping with the Clerk of the Privy Council's direction to departments to use the Canada School for Public Service (CSPS) whenever possible to meet learning needs, HRB will communicate the availability of standardized training (CSPS 3-day course –P901) to managers seeking subdelegation and will provide a 2-hour department-specific information session as per subdelegation criteria requirements. In addition, HRB will encourage sector staff working with subdelegated managers on staffing
processes to attend CSPS training.
- In order to supplement the standardized training, HRB will offer workshops on rating guides (assessment of merit criteria) including templates to the NCR and regions to assist subdelegated managers. HRB will also present the results of IC's 2009–2010 Departmental Staffing Accountability Report assessment to staffing advisors, Strategic HR Management Committee and Management Committee members.
- Future monitoring exercises will assist the ongoing identification of training needs.
|
DG of HRB |
- Discussion with regional HR directors re training provided to regional staffing community: September 23, 2010
- Communication of availability to CSPS training for managers seeking subdelegation and sector staff providing support to subdelegated managers: October 31, 2010 and ongoing
- Rating guide workshops to be piloted November 2010
- PE Forum and Regional teleconference October 2010
- SHRMC
November
- MC
December
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5.
The DG of HRB should ensure that subdelegated managers demonstrate how the use of a non-advertised appointment process meets the department's established criteria and the appointment values.
(Page 17)
|
- Agree that this needs to be demonstrated.
- The requirement to demonstrate that the use of a non-advertised process meets the department's established criteria and the appointment values is inherent in the subdelegated authorities exercised by management. HRB will increase activity to ensure that this obligation is well understood, and will provide support and advice, including a documented challenge function, when improvements are required. Resolution of concerns will be pursued through discussion and elevated as required.
- HRB will amend the "Writing a Rationale for a Non-Advertised Appointment" tool to further define, clarify and provide a separate example for the 'fairness' value.
|
DG of HRB |
- Ongoing
- Review and update of tool by end of November 2010
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6.
The DG of HRB should review the appointments in the audit sample where there were deficiencies in the assessment of candidates and ensure that assessment tools and methods fully and fairly assess essential qualifications and other identified merit criteria.
(Page 18)
|
- Agreed.
- HRB has initiated this review.
|
DG of HRB |
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7.
The DG of HRB should ensure that appointments and appointment-related decisions, as well as advice provided to subdelegated managers at key decision points ( i.e. link of staffing action to HR plan, choice of appointment process, assessment),are fully documented.
(Page 19)
|
- Agree that decisions and advice should be fully documented.
- The responsibility for documenting a staffing file is shared between HR and management (for example, HR is directly responsible for ensuring priority clearance documentation and SLE results are on file, whereas management is responsible for reviewing and approving SOMCs, assessments, rationales, etc.).
- HRB will implement the following improvements:
- review the staffing file documentation checklists to ensure they are complete
- communicate staffing file documentation requirements to IC's staffing community
- ensure that a review of requirements forms part of training received by staffing advisors within the PE development program
- clearly communicate requirements to subdelegated managers during training and ensure easy access to managers on the intranet.
|
DG of HRB |
- Review of staffing file documentation checklists by October 29, 2010
- Communication to IC's staffing community by November 30, 2010
- Incorporate review of requirements into PE development program – ongoing
- Communication of requirements to subdelegated managers during training – ongoing.
- Review of intranet to ensure easy access to information – November 30, 2010
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8.
The DG of HRB should ensure that the SPMS monitoring system now in place is fully implemented and sustained.
(Page 21)
|
- Agreed.
- To ensure that the impact of recent monitoring and audit findings (and measures taken as a result) can be measured, the next monitoring exercise will take place beginning April 2011, covering the period from April 1, 2010 to March 31, 2011.
|
DG of HRB |
September 30, 2011 |
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[Description of Figure 1]Source: Public Service Commission – Appointment Process: Suggested Activities at the Different Decision Points 