Report on Preliminary Data Collection Activities Related to Advertised versus Non-advertised Appointments January - September 2006

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Table of Contents

• Introduction
• Objective
• Preliminary results
• Data completeness issues
• Data definition issues
• PSC follow-up
• Background
• Definitions
• Annex A - Preliminary Departmental Results

Introduction

The Public Service Commission (PSC) is an independent agency reporting to Parliament, mandated to safeguard the integrity of the public service staffing system and the political neutrality of the public service. In addition, the PSC recruits qualified Canadians from across the country.

The PSC develops policies designed to ensure that appointments are made according to the merit principle and that they respect the public service appointment values. Authority for staffing (appointments within the public service) and recruitment (appointments to the public service from outside) within the government is assigned by the Public Service Employment Act (PSEA) to the PSC. The PSC delegates this authority to deputy heads. The PSC oversees the appointment system through various mechanisms, such as monitoring appointment delegations and conducting staffing audits, studies and investigations to confirm the effectiveness of, and to make improvements to, the staffing system.

The new PSEA came into force on December 31, 2005. Under the new Act, appointments can be made using advertised or non-advertised processes. Non-advertised processes can include the consideration of one individual, reclassifications, promotions within training programs, priority appointments and appointments made from collective staffing initiatives. As the concept of advertised processes is new, the PSC asked departments and agencies to provide transactional-level data on all appointments made under the PSEA indicating whether they were advertised or non-advertised. This monitoring activity is needed to maintain the integrity of the staffing system.

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Objective

The purpose of this report is to communicate the preliminary results of reported non-advertised and advertised appointments; and to identify issues for follow up as appropriate.

In carrying out its oversight activities, problems in data quality and timeliness of reporting generally across all organizations were identified (reported in our Audit of Readiness for the New Public Service Employment Act, October 2006). The PSC committed to analyzing these data quality issues, sharing the results of this analysis with organizations and clarifying its reporting requirements, as appropriate.

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Preliminary results

The following table shows the number of departmental records received between January 2006 and September 2006 that have been matched to PSC appointment files. This table excludes deployments to which the PSC advertising policy does not apply.

Advertised and Non-advertised Processes – 2006 – Preliminary Results (January to September 2006)

¹Acting Appointments include appointments for greater then 4 months.

Based on 7,229 matched records, the preliminary results show 43% of appointments were made as a result of an advertised appointment process and 57% of appointments were made following a non-advertised appointment process. As described below, matched records represent only 26% of appointments made in the reporting period. There are also inconsistencies in the coding of advertised and non-advertised processes, particularly for collective staffing processes.

Preliminary results by departments and agencies can be found in Annex A. These results should be treated with caution, as the data quality issues may be more pronounced when reported in smaller groups.

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Data completeness issues

The PSC monitors appointments made in the public service through its Job-Based Appointment Information System that estimates appointments through changes in pay records. Data about the choice of appointment (i.e., advertised or non-advertised) is collected by departments and agencies and reported to the PSC using standardized reporting templates. The PSC matches the data submitted to its appointment records to assess the completeness and validity of this data.

The PSC has received reports on 21,683 appointments covering the period January 2006 through September 2006. However, the PSC estimates that 42,226 appointments were made during this time period. Furthermore, of the reports received, the PSC has only been able to match 7,229 or 26% with its appointment records (excluding deployments). Part of the problem can be explained by timing issues related to when data is recorded in the pay system and in the organizational templates. However, the large numbers of unmatched records remains of concern.

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Data definition issues

An important consideration that may have an effect on the numbers reported is that departments and agencies have been undertaking collective staffing initiatives, which can include a variety of approaches. Depending on the approach taken, they can result technically in advertised or non-advertised appointments, even when the solicitation of applications has been public. Currently, there appears to be some inconsistency among departments and agencies as to whether these appointments are considered advertised or non-advertised for reporting purposes.

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PSC follow-up

1. The PSC will work with departments and agencies to identify and help resolve systemic issues regarding data collection in order to improve the completeness and validity of departmental reporting.
2. The PSC will work with departments and agencies to identify and resolve data definition issues in order to improve the consistency of interpretation and coding of advertised and non-advertised processes, particularly for collective staffing processes.
3. Through its ongoing monitoring and audit activities, the PSC will assess whether departmental and agency decisions on the choice of appointment processes comply with the PSEA, the Public Service Employment Regulations and the PSC appointment policies. Recommendations for improvements will be made, where appropriate.

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Background

The following background information is an extract of the guidance on the PSC Appointment Framework found on the PSC Web site at: http://www.psc-cfp.gc.ca/psea-lefp/framework/policy/index_e.htm

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Definitions

An appointment process is either advertised or non-advertised. An advertised appointment process must meet two conditions. First, persons in the area of selection must be informed of the appointment process. Second, they must have an opportunity to submit their applications and to show how they meet the merit criteria.

A non-advertised appointment process is a process that does not meet the conditions established for an advertised appointment process. The manager with sub-delegated authority, namely the person to whom staffing powers have been entrusted, need not solicit applications. This person may simply decide to consider only one person and appoint him or her if the person meets the merit criteria. For example, he or she may appoint a person to the person’s own position, which has been reclassified upwards.

In a non-advertised process, several persons can be considered. For example, three persons participating in a training program can be evaluated but only one appointed to a position. What makes the non-advertised process different from the advertised process is not the number of persons evaluated, but the fact that applications have not been solicited.

Increased Flexibility. Neither the new PSEA nor the PSC Appointment Policy establishes a preference for limiting consideration to only one person or expanding to more than one person, or for the use of either an advertised or non-advertised appointment process. One decision may influence the other, in that if a manager chooses to consider only one person, there is no need to advertise the opportunity. However, if a manager chooses to consider more than one person, he or she could choose to either advertise or not advertise the opportunity. Therefore, there is much flexibility provided to deputy heads in making this decision. This policy statement ensures that decisions on choice of process are made within a planned approach in order to meet the organization's needs.

Choice of Appointment Process. Deputy heads need to ensure that the choice of advertised and non-advertised processes is based on human resources plans. However, the choice to use a non-advertised process must be based on pre-established criteria set out by the deputy head. This allows organizations to determine when they will use a non-advertised process, based on their human resources plans and business needs. This requirement obliges deputy heads to give thought ahead of time to the circumstances in which to use a non-advertised process, and to communicate these to employees in order to ensure transparency in staffing.

Deputy heads should keep in mind that the use of non-advertised processes limits access to opportunities.

Monitoring. Deputy heads are required to establish a monitoring and review mechanism for appointments of casual workers to term or indeterminate status through non-advertised processes; and appointments to the EX group through non-advertised processes.

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Annex A - Preliminary Departmental Results

This annex should be read in the context of the main body of this report.