Staffing Framework for DND

1. Staffing Framework for DND • Presentation to UMCC • HR Sub-committee • 7 June 2005

2. Outline • Part I – Context • Staffing Framework • Staffing Process • Part II – Consultation • Key departmental policies and guidelines required for coming into force • Area of Selection Policy • Criteria for Non-Advertised Appointment Processes • Deployment Policy • Informal Discussion Guidelines • Corrective Action and Revocation Policy

3. DND’s Staffing Framework Monitoring/Accountability Delegation Appointment Framework HR Planning Process (training, tools, models) Systems / HRMS Communication & Learning DND Policies and Guidelines Central Agency Policies PSST Policies/ Guidelines Public Service Employment Act (2003)

4. Public Service Employment Act (2003) • The Public Service Modernization Act (PSMA), which contains the new PSEA, delivers substantial opportunities for renewal and transformation • A non-partisan, merit-based public service remains a core value • Goal is a more flexible staffing regime, which facilitates hiring the right people when and where they are needed – values-based vs. prescriptive • A change in behaviour and attitudes is expected • Will be successful if there is a fundamental cultural change within the public service

5. The “Values Wheel”Values-based Staffing – A Balance of Values & Management Principles Public servants are qualified to do their job Just treatment of employees and applicants Reasonable opportunity to apply and be considered Fairness Merit Staffing is free of political or bureaucratic patronage Appointment Preamble Non- Partisan-ship Access Transpa- rency Diversity Management Principles The Public Service reflects the labour market Open and timely communication about staffing decisions, policies and practices Affordability & Efficiency Flexibility Staffing is adapted to the organization's needs Simple,timely and effective staffing

6. Central Agency Policies – Public Service Commission (PSC) • Continues to have the authority to make appointments • Will play a new oversight role to respond to new emphasis of PSEA • Developed new Appointment Framework, which: • Supports preamble to PSEA • Fosters confidence in decisions & integrity of system • Promotes culture of open communication • Fosters healthy workplace where errors/oversights corrected in timely manner and with reduced use of formal recourse

7. PSC’sAppointment Policy • Appointments will continue to be based on merit, but with a new approach, one that takes into account the needs of departments and the public service. Choice of appointment process is tied to HRP • Merit means: • Satisfied that the person meets the essential qualifications of the work to be performed • Can also give consideration to: • Any additional qualifications considered to be an asset for the work to be performed or for the organization • Any current or future operational requirements of the organization • Any current or future needs of the organization, which may include the needs of the public service, identified as relevant to the department

8. Central Agency Policies - Public Service Human Resources Management Agency of Canada (PSHRMAC) • Taken over some responsibilities that were previously with the PSC • Setting qualification standards • Definition of promotion • Probation • Deployment • Rate of pay on appointment • Approved PSHRMAC policies are still outstanding

9. Public Service Staffing Tribunal (PSST) • Employees will have access to third party review for internal appointment processes through a new independent tribunal • Replacing current PSC Appeal Boards • Grounds for complaint: • Failure to assess in official language of choice • Abuse of authority, as it relates to: • Assessing candidates • Establishing essential and asset qualifications, determining requirements/needs (new) • Deciding between advertised and non-advertised (new)

10. Departmental Policies and Guidelines • New PSC Appointment Framework gives flexibility to customize processes to meet organizational needs • Overarching DAOD on staffing to be developed, as well as new directives, policies, and instructional DAODs • As a minimum for CiF, DND is required to develop: • Area of selection policy • Deployment policy • Corrective action and revocation policy • Criteria for non-advertised appointment processes • Informal Discussion guidelines

11. Process (training, tools, models) • A number of existing tools will be updated, as well as new processes and tools developed, for example: • PSC’s Staffing Toolkit (new) • Manager’s & HR Practitioner’s Desk Reference • Learning tools and Q&A’s (new) • Process charts (new) • Pre-qualified pool guidance • EE programs

12. HR Planning (HRP) • The manager’s need to develop an HR Plan is more important than ever. The HR plan will support the merit criteria established and the choice of selection process • These plans need to be broadly communicated to all employees • New PSEA strengthens and emphasizes the role of HRP in staffing. The changes to the definition of merit enables managers to give consideration to the current and future needs of their organization thereby placing greater emphasis on effective human resources planning • HRP is key to manager’s ability to make appointment decisions quickly and in accordance with the staffing values of: • Fairness, Access, Transparency

13. Systems / HRMS • Need to ensure systems (manual and automated) reflect new PSEA requirements and capture the information needed for reporting • Data quality remains key – Civilian HR Requirements Steering Committee (CHRRSC) looking to ensure accuracy for CiF • Need to take advantage of work of HRMS GOC Cluster Group

14. Communication & Learning • Strategies are in place to address the communication and learning needs associated with implementation • Aim is to raise awareness of opportunities & educate the HR community, managers, and employees on new processes and tools • Various media used to communicate key messages to target audiences • Variety of learning activities planned to meet the needs of stakeholders

15. Milestones May-Jun 05 Jul-Aug 05 Sep-Oct 05 Nov-Dec 05 Communication Series of Civ News articles- “Countdown to PSEA” Employee & Manager booklets Other tools Learning Train the trainer packages -develop & validate -revise, translate, print -deliver Manager training packages -consult on content -develop & validate -delivery

16. Delegation • Preamble: delegation should be to as low a level as possible within the public service • Full delegation is not a requirement for Dec 2005 • Further delegation will take place but planned and implemented at a pace and in a manner reasonable for DND • Will recognize requirements unique to each L1-tailored approach being taken • Training will be mandatory prior to delegation • HR-Civ staff will continue to support all levels

17. Monitoring / Accountability • PSC has tools & guides to ensure processes established by departments support accountability requirements & expectations • Key tool is Staffing Management Accountability Framework (SMAF), which identifies 5 dimensions: • Governance - Communication • Planning - Control • Policy • DND’s Accountability Framework includes: • Departmental SMAF, based on the PSC’s • Monitoring Framework

18. PSEA Staffing Process Overview – Key Activities • Preparation • Phase 1 • Manager reviews or revises HR Plan in preparation for consultation with Human Resources Officer (HRO) • Planning • Phase 2 • Meet with HRO • Establish merit criteria: • Essential qualifications • Asset qualifications • Current or future operational requirements • Current or future organizational requirements • Determine choice of process and area of selection • Development • Phase 3 • Develop assessment tools • Advertise where applicable • Assessment • Phase 4 • Assess candidates, including language and security • Offer informal discussion • Identify qualified candidates • Issue notification of person considered for appointment • Appointment • Phase 5 • Offer of appointment is made based on ‘right fit’ • Issue notification of person appointed • Issue right of recourse for internal processes

19. PSEA Staffing Process Overview • Preparation – Phase 1 • What will continue: • Identification of organizational needs • Managers refer to their HRP and/or rely on their knowledge of their organization, their needs, their skill requirements and attrition rates • What’s new: • Emphasis on HRP, which assists in determining the appropriate staffing options to meet the organization’s needs • Using the HRP as the basis for staffing decisions will help explain and support those decisions

20. PSEA Staffing Process Overview • Planning - Phase 2 • What will continue: • Managers will continue to establish merit criteria and choose appropriate staffing options • What’s new: • Legislation provides a broader definition of merit • Essential qualifications, asset qualifications, operational requirements and organizational needs form the basis for the assessment of merit and are collectively referred to as the “merit criteria” • Candidates are assessed in relation to the merit criteria established for the position, not in relation to other candidates • No legal preference for internal processes over external processes • Choice must be consistent with the organization’s HR plan and the appointment values • Area of selection provides greater flexibility • Able to consider employees of separate agencies • Able to limit area of selection to designated group members as long as it is supported by your EE or HR plan

21. PSEA Staffing Process Overview • Development - Phase 3 • What will continue: • The requirement to develop assessment tools and criteria • What’s new: • Must determine essential and asset qualifications, and current or future operational and organizational requirements at the beginning of the process using the HRP as a guide • PSEA encourages use of a variety of assessment tools • New PSEA is more about exercising good judgement than following processes, therefore, the way candidates are assessed can be very different than today • No longer required to rank candidates or to prove one is better than another • Non-advertised does not equal without competition – can consider multiple candidates in a non-advertised process

22. PSEA Staffing Process Overview • Assessment - Phase 4 What will continue: • Candidates will continue to be assessed to ensure qualified for position or group of positions What’s new: • More flexibility as managers no longer required to choose person with highest aggregate score • “Qualified candidate” now means has met essential qualifications – do not have to meet all asset qualifications, operational or organizational requirements • Informal Discussion Policy • Purpose is to provide candidates who are eliminated from internal appointment processes with sufficient information regarding their own assessment to understand and discuss the decision as early as possible after they are eliminated

23. PSEA Staffing Process Overview • Appointment - Phase 5 • What will continue: • Qualified candidate(s) who meet conditions of employment and language requirement can be offered an appointment • What’s new: More flexibility • No need to establish eligibility list • Managers choose qualified person who is right fit for position • Managers need not apply same selection criteria to each appointee from the same process • For internal process, there is a minimum 5 day waiting period from notification to appointment • Recourse policy • Public Service Staffing Tribunal replaces the PSC appeal boards • Grounds or complaint will focus on the manner in which the employee was treated in an internal process

24. Area of Selection Policy (Planning – Phase 2) Criteria for Non-Advertised Appointment Processes (Planning – Phase 2) Deployment Policy (Planning – Phase 2) Informal Discussion Guidelines (Assessment – Phase 4; Appointment – Phase 5) Corrective Action & Revocation Policy (Post Appointment) Qualification Standards (Planning – Phase 2) Definition of Promotion (Planning – Phase 2) Rate of Pay on Appointment (Appointment – Phase 5) Probation (Post Appointment) Part II - Consultation For Consultation Later For Consultation Now

25. Area of Selection Policy – Planning Phase 2 What Will Continue • Allows for reasonable access to employment opportunities • Allows for reasonable access to recourse • Considers staffing values and management principles • Geographic, organizational, and occupational criteria remain • National area of selection for EX, EX minus1, EX minus 2 What’s New • Greater flexibility, efficiency and cost-effectiveness when establishing an area of selection • Applies to both external (advertised only) and internal processes • Policy provides guidance – requirements and key considerations • An area of selection may established for one or more designated groups without the need to have a special program

26. Area of Selection Policy – Planning Phase 2 (cont’d) What’s New • Employees of separate agencies may apply as “employees” • CF members are eligible to apply, when specifically included in the “Open To” clause • The Charter of Rights and Freedoms applies to internal appointment process; an area of selection may not be established based on provincial/ territorial boundaries • Definition of “region” has changed as a result • Are now definitions for “local”, “region” and “national” for external appointment processes

27. Criteria for Non-Advertised Appointment Processes – Planning Phase 2 • What Will Continue • Use a Check-List for Non-Advertised Appointment Processes, building on what is currently used for “Named Referrals” • What’s New • No longer refer to appointments by competition or without competition – now refer to advertised and non-advertised processes • PSC requires that the choice of appointment process be consistent with the organization’s HR plan and staffing values and management principles

28. Criteria for Non-Advertised Appointment Processes – Planning Phase 2 (cont’d) • What’s New • PSC requires establishment and communication of departmental criteria for the use of non-advertised processes • For each non-advertised process, must ensure a written rationale demonstrates how process meets the departmental criteria and staffing values and management principles • Use of the Checklist will ensure compliance

29. Deployment Policy – Planning Phase 2 • What will continue • DM retains authority to deploy • Defined as the move of an employee from one position to another that does not constitute a promotion What’s New • May not change the period of employment from specified term to indeterminate (vs tenure) • Consent not required if it is found, after investigation, that the person has harassed another person • Intergroup deployments permitted, subject to meeting minimum qualification standards • Permitted from separate agencies, if the PSC approves their staffing program • Need for prior consideration of departmental priorities • Complaints through grievance procedure, not PSST

30. Informal Discussion (ID) Guidelines – Assessment Phase 4; Appointment – Phase 5 • What Will Continue • Need to discuss candidate’s performance and provide frank feedback • What’s New • Persons eliminated from consideration in an internal appointment process are provided with an opportunity to discuss the decision to eliminate them as soon as possible after the decision is made • Objectives: • Transparency & communication • Effective and timely completion of appointment process

31. Informal Discussion (ID) – Assessment Phase 4; Appointment – Phase 5 (cont’d) • What’s New • Does not form part of recourse but is intended to reduce formal complaints by addressing candidate’s questions during the process • Person requesting informal discussion has access only to information concerning himself/herself • Normally manager and person eliminated participate in the informal discussion • Participating in an informal discussion does not affect that person’s right to make a complaint to the PSST

32. Corrective Action & Revocation Policy (Post Employment) • What Will Continue • DM can investigate staffing issues involving an error, omission, or improper conduct • PSC can investigate staffing issues involving political influence or fraud What’s New • DM has the authority to take corrective action/revoke appointments resulting from internal processes • Employees whose appointments have been revoked have the right to make a complaint to the Public Service Staffing Tribunal, on the ground that the revocation was unreasonable

33. Discussion • Do committee members have any questions on the elements of the Staffing Framework or the Staffing Process? • Do you have questions or comments on the proposed DND policies, guidelines and processes? • Are there any suggestions regarding implementation of the new staffing regime?