Annex 1: Audit methodology and criteria

As previously mentioned, the compliance and framework portion of the staffing component was conducted by the PSC while ECCC concentrated on the classification component and the efficiency for both staffing and classification. A Memorandum of Understanding was approved by both organizations. Furthermore, all staffing information collected was shared with the PSC and formed the basis for the development of findings summaries approved by both parties.

Sampling plan

A sample of 40 appointments was selected randomly from a departmental population of 568 appointments for the period from April 1, 2015 to March 31, 2016. The population sampled included term and indeterminate appointments that were either promotions or recruitments.

The classification sample was first selected from the same staffing files. For example, appointments that required prior classification actions were selected for the file review. Additional classification actions were randomly selected from either reclassifications or creation of new positions in order to obtain a sample of 20 classification actions.

Audit criteria

1.  Objective: Key elements of the staffing and classification frameworks are in place to manage appointment activities and classification actions.

Staffing framework

1.1  Appointment policies and procedures are established and criteria are in-line with the PSC Appointment Framework.

1.2  A Sub-delegation instrument is in place, documented and respects the requirements from the PSC’s ADAI.

1.3  Monitoring is in place as outlined in the PSC’s Appointment Framework, including the ADAI, and adjusts practices accordingly.

Classification framework

1.4  A classification framework is in place.

1.5  Organizational capacity, expertise and training exist.

1.6  Documenting and monitoring of classification decisions exist.

1.7  Results of monitoring are shared with relevant stakeholders and corrective actions are taken when required.

2.  Objective: Staffing appointments are in compliance with the Public Service Employment Act (PSEA) requirements, any other applicable statutory and regulatory instruments, the PSC’s Appointment Framework, including the ADAI, and the organization’s own appointment policies

2.1  Appointments and appointment processes respect merit.

2.2  Appointments for both advertised and non-advertised processes respect other PSEA requirements, any other applicable statutory and regulatory instruments, the PSC’s Appointment Framework, including the ADAI, and the organization’s own appointment policies.

3.  Objective: Classification decisions are in compliance with OCHRO requirements

3.1  Positions are classified according to occupational group definitions, appropriate job evaluation standards and application guidelines.

3.2  Information found in classification files is accurate and documented according to OCHRO requirements.

3.3  Information and documentation is entered promptly into classification files.^{Footnote 15}

4.  Objective: Key processes to ensure efficiency of the management of staffing and classification functions are in place.

4.1  Staffing and classification service standards exists, are being measured and resources are managed efficiently.

4.2  Monitoring, reporting and using efficiency information for decision making is taking place.

5.  Objective: The recommendations from the Public Service Commission 2011 audit report are implemented.

5.1  The recommendations from the Public Service Commission 2011 audit report are implemented.