Archived - Source of Requirement – Staffing File Documentation
The Appointment Framework requires that all decisions related to appointment-related authorities be fully documented and accessible for a period of five years from the last administrative action. The table below represents minimum file documentation requirements.
Organizations should ensure that staffing files contain sufficient information supporting key decision points and activities, demonstrate that the core and guiding values were taken into consideration, and provide evidence of the Human Resources (HR) Advisor's advice and challenge function. For example, if a merit criterion were added to the Statement of Merit Criteria, there should be sufficient information on the file to explain why it was added.
Staffing files may be documented in hard copy or in electronic format; what is important is that the information be accessible. Unproductive appointment process files must be properly documented up to the point where the process was terminated.
Decision points in the middle column of this document are based on the following resourcing model:
Documentation Required | Decision Point | Source of Requirement | |
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1 | Staffing request, including choice of appointment process, information for the position(s) to be staffed, such as position number, title, group and level, tenure, geographic location, etc. | Planning | Employment Equity in the Appointment Process Policy Employment equity objectives are integrated into the design of appointment processes. Choice of Appointment Process Policy The choice of advertised or non-advertised, and internal or external, appointment processes is consistent with the organization's human resources plan and the core and guiding values. Deputy heads must ensure that the appointment process is chosen in a manner that respects the core and guiding values and helps organizations meet their business and human resources needs; and fulfills organizational and corporate responsibilities associated with the priority entitlements of individuals. Deputy heads must respect the Employment Equity Act, in terms of achieving and maintaining a representative organization. |
2 | If the area of selection is limited to employment equity (EE) group members, evidence that the decision is linked to the organization's EE or HR plan | Planning | Employment Equity in the Appointment Process Policy Deputy heads must be able to demonstrate that a decision to limit the area of selection to members of one or more of the designated groups is consistent with the organization's employment equity plan or human resources plan. Area of Selection Policy Where an area of selection is limited to one or more designated groups, it is supported by the organization's employment equity plan or human resources plan. |
3 | Justification for non-imperative appointments | Planning | Official Languages in the Appointment Process Policy Persons appointed must meet the official language proficiency requirements for the work to be performed, except where excluded by the Public Service Official Languages Exclusion Approval Order (PSOLEAO). Deputy Heads must respect the Treasury Board Directive on the Staffing of Bilingual Positions, which stipulates that bilingual positions are staffed imperatively; in exceptional cases, as specified in the directive, non-imperative appointments may be considered. |
4 | Work Description | Planning | Official Languages in the Appointment Process Policy Persons appointed must meet the official language proficiency requirements for the work to be performed, except where excluded by the Public Service Official Languages Exclusion Approval Order (PSOLEAO). Assessment Policy Assessment processes and methods result in the identification of the person(s) who meet the qualifications and other merit criteria used in making the appointment decision. Public Service Employment Act, s. 30(2)(a) An appointment is made on the basis of merit when the Commission is satisfied that the person to be appointed meets the essential qualifications for the work to be performed. |
5 | Statement of Merit Criteria | Establish Merit Criteria | Official Languages in the Appointment Process Policy Persons appointed must meet the official language proficiency requirements for the work to be performed, except where excluded by the Public Service Official Languages Exclusion Approval Order (PSOLEAO). Deputy heads must respect the Public Service Employment Act, which requires that official language proficiency in either or both official languages be established as an essential qualification for the work to be performed. Advertising in Appointment Process Policy Deputy heads must provide, upon request, further information including the essential qualifications, including official language proficiency, that must be met; and the asset qualifications, operational requirements and organizational needs that may be used when making an appointment. Assessment Policy Assessment processes and methods result in the identification of the person(s) who meet the qualifications and other merit criteria used in making the appointment decision. Selection and Appointment Policy
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6 | Evidence of consideration of priority persons where required, and priority clearance number | Choose Process | Choice of Appointment Process Policy Priority entitlements are applied before another appointment process is decided upon. Deputy heads must respect any requirements and procedures implemented to administer priority entitlements. Deputy heads must respect the Public Service Employment Act, which states that priority rights may not apply if the decision to make a priority appointment would result in another person having a priority entitlement. Selection and Appointment Policy Deputy heads must respect the Public Service Employment Act and the Public Service Employment Regulations which require that a person with a priority entitlement who meets the essential qualifications of a position must be appointed in priority to all other persons. |
7 | Set area of selection | Choose Process | Official Languages in the Appointment Process Policy Deputy heads must respect the Official Languages Act, which requires federal institutions to ensure that employment opportunities are open to both English-speaking and French-speaking Canadians, taking due account of the institution's obligations under Part IV, Communications With and Services to the Public, and Part V, Language of Work, of the said Act. Area of Selection Policy An area of selection provides reasonable access to internal and external appointments and a reasonable area of recourse for internal non-advertised appointments. A national area of selection is established for all advertised external appointment processes. This requirement does not apply to the exceptions outlined in the policy. Ensure that an area of selection:
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8a | For advertised appointment processes, evidence of the advertisement | Choose Process | Official Languages in the Appointment Process Policy Deputy heads must communicate information concerning appointment processes in both official languages, except where:
Area of Selection Policy A national area of selection is established for all advertised external appointment processes. This requirement does not apply to the exceptions outlined in the policy. Advertising in Appointment Process Policy Advertising for appointment processes must provide persons in the area of selection with a reasonable opportunity to apply. Ensure that persons in the area of selection have reasonable access and an opportunity to apply for employment opportunities, and information is provided to allow persons in the area of selection to make an informed decision. Deputy heads must provide information in a manner that effectively brings the appointment process to the attention of persons in the area of selection. Deputy heads must, at a minimum, advertise external recruitment employment opportunities on the Internet at http://jobs-emplois.gc.ca, as well as on Infotel or on an alternative telephone service provider; and, at a minimum, advertise interdepartmental employment opportunities on Publiservice, the extranet site for employees of the Government of Canada, at https://jobs-emplois.psea-lefp.publiservice.gc.ca. Deputy heads must, for advertisements, provide sufficient information regarding the criteria to be used in the screening of persons in the area of selection and any other information necessary for persons in the area of selection to apply. Deputy heads must respect the Treasury Board/Public Service Commission Policy on the Duty to Accommodate Persons with Disabilities in the Federal Public Service, which requires, for example, the provision of accessible formats, upon request, for communicating with persons with disabilities. Selection and Appointment Policy Deputy heads must ensure that persons proposed for appointment or appointed:
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8b | For non-advertised appointment processes, rationale for non-advertised process | Choose Process | Choice of Appointment Process Policy Deputy heads must ensure that a written rationale demonstrates how a non-advertised process meets the established criteria and the appointment values. This requirement does not apply to acting appointments of less than four months, except where the same person is appointed to the same position on an acting basis within 30 calendar days. |
9 | Assessment Plan The tools to be used to assess the merit criteria; with the rating or scoring criteria or scale(s), weighting, pass marks, etc. |
Assessment | Employment Equity in the Appointment Process Policy Deputy heads must use assessment tools and processes that are designed and implemented without bias and do not create systemic barriers. Official Languages in the Appointment Process Policy Deputy heads must ensure that proficiency in the second official language, other than specialized or expert proficiency in one or both official language(s), is assessed by means of the Second Language Evaluation, or other assessment method approved by the Commission. Deputy heads must respect the Public Service Employment Act, which requires that an examination or interview for the purpose of assessing qualifications, other than language proficiency, must be conducted in the person's official language of choice. Assessment Policy The assessment is designed and implemented without bias, political influence or personal favouritism and does not create systemic barriers. The assessment processes and methods effectively assess the essential qualifications and other merit criteria identified and are administered fairly. The identification of persons who meet the operational requirements and organizational needs is carried out objectively. Deputy heads must ensure that the assessment processes and methods result in the identification of the person(s) who meet the qualifications and other merit criteria used in making the appointment decision and provide a sound basis for making appointments according to merit. Deputy heads must ensure that those responsible for assessment:
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10 | Evidence that persons to be assessed informed of the assessment methods and right to accommodation | Assessment | Employment Equity in the Appointment Process Policy Deputy heads must accommodate the needs of persons through all stages of the appointment process to address, up to the point of undue hardship, disadvantages arising from prohibited grounds of discrimination. Assessment Policy Deputy heads must inform the persons to be assessed, in a timely manner, of the assessment methods to be used, their right to accommodation and how to exercise that right. |
11 | Application forms, résumés, covering letters, evidence of academic credentials, citizenship (where applicable), etc. | Assessment | Area of Selection Policy Veterans Affairs headquarters employees and National Energy Board (NEB) employees (employed in NEB prior to July 1, 1996), whose substantive positions are located in Charlottetown and Calgary respectively are included in any internal advertised appointment process open to employees or persons occupying positions in the NCR. Assessment Policy The assessment processes and methods effectively assess the essential qualifications and other merit criteria identified and are administered fairly. Selection and Appointment Policy Deputy heads must ensure that persons proposed for appointment or appointed:
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12 | Evidence of candidate choice of official language(s) in which to be assessed | Assessment | Official Languages in the Appointment Process Policy Persons are entitled to participate in the appointment process in the official language(s) of their choice. Ensure that the linguistic rights of persons participating in an appointment process are respected. Deputy heads must respect the Public Service Employment Act, which requires that an examination or interview for the purpose of assessing qualifications, other than language proficiency, must be conducted in the person's official language of choice. The assessment of language proficiency in English or French or both, or in a language other than English or French, must be conducted in the language or languages required for the work to be performed. |
13 | If the area of selection is limited to EE group members, evidence of candidate self-declaration | Assessment | Selection and Appointment Policy Deputy heads must ensure that persons proposed for appointment or appointed are within the area of selection, where required. |
14 | Signed Statement of Persons Participating in Boards form (Screening Board and Assessment Board) The use of the form itself is not mandatory; evidence of any attestation to the same effect would be sufficient |
Assessment | Official Languages in the Appointment Process Policy Deputy heads must ensure that each person conducting the assessment of persons participating in an appointment process is sufficiently proficient in either or both official language(s) to enable effective communication with the persons to be assessed in the official language of their choice and to enable their qualifications to be properly assessed. Assessment Policy Deputy heads must ensure that those responsible for assessment:
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15 | For EX assessments, evidence of assessment board members' groups and levels | Assessment | Assessment Policy Deputy heads must establish EX assessment boards comprised of members at, or equivalent to, a level above the position being staffed, as well as other parties as necessary for a comprehensive assessment. HR specialists may assist EX assessment boards in an advisory capacity. |
16 | Assessment Material This includes screening results, official language proficiency assessments, and any other candidate assessment material, including notes taken by assessors, and ratings obtained |
Assessment | Official Languages in the Appointment Process Policy Persons appointed must meet the official language proficiency requirements for the work to be performed, except where excluded by the Public Service Official Languages Exclusion Approval Order (PSOLEAO). Assessment Policy The assessment processes and methods effectively assess the essential qualifications and other merit criteria identified and are administered fairly. The identification of persons who meet the operational requirements and organizational needs is carried out objectively. Ensure that the assessment processes and methods result in the identification of the person(s) who meet the qualifications and other merit criteria used in making the appointment decision and provide a sound basis for making appointments according to merit. Selection and Appointment Policy Deputy heads must ensure that persons proposed for appointment or appointed:
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17 | Evidence of Informal Discussion offer and any corrective action taken as a result | Informal Discussion | Informal Discussion Policy During an internal appointment process, persons eliminated from consideration are provided with an opportunity to discuss the decision to eliminate them, as soon as possible after the decision is made. Deputy heads must ensure that:
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18 | For bilingual positions, verification that SLE results are still valid This is a separate step from originally obtaining SLE results. Persons proposed for appointment or appointed must meet the merit criteria at the time of both notifications in internal processes, or at the time of appointment in external processes OR For non-imperative staffing, evidence of exclusion as per the PSOLEAO, if applicable |
Selection | Official Languages in the Appointment Process Policy Persons appointed must meet the official language proficiency requirements for the work to be performed, except where excluded by the Public Service Official Languages Exclusion Approval Order (PSOLEAO). Selection and Appointment Policy Deputy heads must respect the PSOLEAO and the Public Service Official Languages Appointment Regulations (PSOLAR), which require persons proposed for appointment or appointed to a bilingual position on a non-imperative basis to meet the requirements of the PSOLEAO and the PSOLAR in order to be excluded from meeting the official language proficiency qualifications at the time of appointment. |
19 | Verification that standardized test results are still valid This is a separate step from originally obtaining the standardized test results. Persons proposed for appointment or appointed must meet the merit criteria at the time of both notifications in internal processes, or at the time of appointment in external processes |
Selection | Selection and Appointment Policy Deputy heads must ensure that persons proposed for appointment or appointed meet all the essential qualifications, except official language proficiency when excluded in accordance with the Public Service Official Languages Exclusion Approval Order (PSOLEAO). |
20 | For external advertised appointment processes, evidence that s. 39 preferences applied | Selection | Selection and Appointment Policy Deputy heads must respect the Public Service Employment Act,which stipulates that in advertised external appointment processes, persons in receipt of a pension by reason of war service, veterans or survivors of veterans, and Canadian citizens who meet the essential qualifications are appointed ahead of other candidates and in this order. |
21 | Justification for the appointment decision (right fit) | Selection | Selection and Appointment Policy Appointments are based on merit and are free from political influence and personal favouritism. Deputy heads must ensure that selection for appointment is fair and transparent. Deputy heads must ensure that the reasons for the appointment decision have been documented. |
22 | For internal appointment processes, evidence of the notification(s) of consideration and the notification(s) of appointment or proposal for appointment | Notifications | Area of Selection Policy An area of selection provides reasonable access to internal and external appointments and a reasonable area of recourse for internal non-advertised appointments. Ensure that an area of selection, when established for an internal non-advertised appointment process, provides meaningful access to recourse. Notification Policy Notification of the names of persons being considered for appointment, and of the names of persons being proposed for appointment or appointed, is communicated in writing to the persons entitled to be notified. To ensure transparency by providing the persons entitled to be notified with information about the appointment decision. Deputy heads must:
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23 | Evidence that conditions of employment met | Appointment | Selection and Appointment Policy Deputy heads must ensure that appointments take effect only after all conditions of the appointment are satisfied. |
24 | Affirmation of Aboriginal Affiliation Form completed and signed | Appointment | Selection and Appointment Policy Deputy heads must ensure that persons proposed for appointment or appointed complete and sign the "Affirmation of Aboriginal Affiliation Form" for appointment processes where the area of selection was limited to Aboriginal peoples, or where the area of selection was limited to members of designated employment equity groups that included Aboriginal peoples, and the person proposed for appointment or appointed is an Aboriginal person. |
25 | Letter of offer, authorized by sub-delegated official and accepted by appointee | Appointment | Selection and Appointment Policy Deputy heads must ensure that:
Please note that there are some documents for which electronic authorization is not appropriate; specifically, the Affirmation of Aboriginal Affiliation Form and the oath or solemn affirmation. Deputy heads must respect the Public Service Employment Act, which stipulates that:
Deputy heads must respect the Treasury Board/Public Service Commission Policy on the Duty to Accommodate Persons with Disabilities in the Federal Public Service, which requires the provision of accessible formats, upon request, for communicating with persons with disabilities when making an offer of appointment or administering the oath or solemn affirmation. Public Service Employment Act, s. 60 The rate of pay on appointment to a position shall be determined by the employer within the scale of rates of pay for that position or for positions of the same occupational nature and level as that position. Public Service Employment Act, s. 61(1) A person appointed from outside the public service is on probation for a period (a) established by regulations of the Treasury Board in respect of the class of employees of which that person is an member, in the case of an organization named in Schedule I or IV to the Financial Administration Act; or (b) determined by a separate agency in respect of the class of employees of which that person is a member, in the case of an organization that is a separate agency to which the Commission has exclusive authority to make appointments. |
26 | Evidence that oath/solemn affirmation taken on or prior to appointment effective date, if applicable | Appointment | Selection and Appointment Policy Deputy heads must respect the Public Service Employment Act, which stipulates that a person being appointed from outside that part of the public service to which the Commission has exclusive authority to make appointments takes and subscribes the oath or solemn affirmation as set out in section 54 of the PSEA before the appointment takes effect; where the oath or solemn affirmation is required, the effective date of the appointment is the later of the date that is agreed to in writing by the deputy head and that person, and the date on which that person takes and subscribes the oath or solemn affirmation. Deputy heads must respect the PSC policy on Official Languages in the Appointment Process, which requires all communication to persons, including offers of appointment and the administration of the oath or solemn affirmation, be in the official language(s) of choice of the person. |
27 | Post-appointment documentation (inquiries, complaints, investigation or tribunal reports or decisions, revocations, etc.) | After Appointment | Accountability PolicyDeputy heads must ensure that accurate information is maintained in relation to their appointment system as a whole and in relation to individual appointment actions. Appointment Delegation and Accountability Instrument [Deputy heads and their] sub-delegated officials will ensure that appointment and appointment-related decisions are fully documented and are accessible for a period of five years from the last administrative action. Official Languages in the Appointment Process Policy Deputy heads must respect the Public Service Official Languages Appointment Regulations, which stipulate that deputy heads must appoint or deploy a person on an indeterminate basis to a similar position as the bilingual position for which he or she meets the essential qualifications, within a two-month period, when the person who, after undertaking to become bilingual, does not meet the official language proficiency requirements of the position within the time period outlined in the PSOLEAO. Corrective Action and Revocation Policy If a deputy head decides that corrective action or a revocation of an appointment is warranted, the deputy head provides any person(s) affected by the action a meaningful opportunity to present relevant facts and to have their position fully and fairly considered. To ensure fairness and transparency in making a decision to take corrective action or revoke an appointment. Before deciding to take corrective action or revoke an appointment, persons whose appointments or proposed appointments are affected by the decision have been given an opportunity to be heard; and the deputy head is satisfied that there has been an error, omission or improper conduct which affected the selection of the person appointed or proposed for appointment. Deputy heads must ensure that in circumstances involving revocation, the person is informed in writing of:
Deputy heads must respect:
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