Rescinded [2010-03-24] - Personnel Management, Monitoring, Audit and Evaluation

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Introduction

The Treasury Board and the Public Service Commission have delegated to deputy heads substantial personnel management authority in order to facilitate effective management of departmental programs. It is intended to extend such delegation as far as practicable.

By virtue of Agreements signed in 1982 between the Treasury Board Secretariat and the Public Service Commission, responsibility for auditing a number of personnel functions has been delegated to the Public Service Commission, while responsibility for evaluating certain staffing policies has been delegated to the Treasury Board Secretariat. In this way, responsibility for personnel audit is centralized in the Commission and responsibility for personnel policy evaluation is centralized in the Secretariat.

The monitoring, audit and evaluation of personnel management policies and practices provide assurance to deputy heads and the central agencies that the policies and practices are achieving their intended results, are effectively applied and that delegated personnel management authority is properly exercised.

Purpose

This chapter outlines the policy of the Treasury Board and the Public Service Commission on the monitoring, audit and evaluation of personnel management policies, practices and delegated authority as part of the overall process for the effective control of personnel management by both the central agencies and departments.

This policy is applicable to those parts of the Public Service listed under Part I, Schedule I of the Public Service Staff Relations Act and to those exercising authority delegated by the Public Service Commission.

Definitions

The following definitions have been developed in conjunction with the Office of the Comptroller General:

Monitoring (contrôle): the ongoing and recurring review by the manager of activities and operations against plans, procedures or performance standards to determine whether they are being performed or are functioning as intended and are producing the desired results. The intent is to determine at regular intervals (for example weekly, monthly, quarterly) the level and quality of performance and results and, when required, to take corrective action.

Monitoring of personnel management activities and operations will take many forms. In staffing and classification, for example, it would include the review of a sample of staffing or classification decisions and records to determine the quality (correctness) of decisions made in accordance with staffing or classification standards, directives and guidelines. It would also include a review of departmental staffing or classification policies and procedures and a check of their implementation. Finally, it would gather and analyze data to identify results, turnaround time and workload.

Audit (vérification): the systematic, independent review and appraisal of all departmental (personnel) operations, to determine the efficiency, effectiveness and economy of the departmental (personnel) management practices and controls.

Audits of personnel management as a function would normally be conducted once ever three to five years by the departmental internal audit group and by the central agencies. The audits by the internal audit group would focus on the adequacy of all personnel management controls (including the monitoring activities), the extent of compliance with legislation central agency and departmental personnel management policies and directives, and on the efficiency, effectiveness and economy of personnel management. Treasury Board Secretariat and Public Service Commission audits would determine the extent of compliance with legislation and service-wide personnel management policies and practices and,in classification and staffing, how well formally delegated authority is being managed.

The scope of these audits by departments and the central agencies would include Human Resources Planning, Staffing, Classification, Pay and Benefits, Staff Relations, Training and Development and all other personnel-related activities.

Personnel management at the Responsibility Centre level would be audited each year by the internal audit group as part of individual audit of departmental operations.

Evaluation (évaluation): the periodic, independent review and assessment of personnel management policies to determine whether the intended results are being achieved and are making the expected contribution to the achievement of the public service personnel management objectives.

In accordance with the 1982 Agreements between the central agencies referred to earlier, evaluation of service-wide personnel management policies, including certain policies in the area of staffing, will normally be conducted by the Treasury Board Secretariat. In certain circumstances, such evaluations may be conducted jointly by the Treasury Board Secretariat and the Public Service Commission.

Examples of policies which are evaluated by the Treasury Board Secretariat are Training and Development, Performance Pay, Occupational Health and Safety, Human Resources Planning, Staffing Delegation, Probation and Transfers. Evaluations of particular policies usually occur ever three or four years but could be undertaken more often, if necessary.

Policy

It is the policy of the Treasury Board and the Public Service Commission to monitor and audit the implementation of personnel management policies, practices and the management of delegated authority, and to evaluate the effectiveness and appropriateness of personnel management policies. In carrying out these activities, data available from audits conducted by departmental internal audit groups will be used to the fullest extent possible in order to minimize on-site activities and the disruption of departmental operations.

Objective

This policy is intended to achieve the regular and efficient measurement and assessment of the quality and effectiveness of personnel management policies and practices in individual departments and across the Public Service.

Accountability

Treasury Board Secretariat

The Secretary of the Treasury Board is accountable to the Treasury Board of Canada for ensuring that personnel management policies and practices in the Public Service are achieving their intended results, are effectively applied, and that delegated personnel management authority is properly exercised.

Public Service Commission

The Public Service Commission is accountable to Parliament for ensuring that staffing policies and practices in the Public Service are achieving their intended results, are effectively applied and that delegated staffing authority is properly managed.

Departments

Departments are responsible to the Treasury Board for implementing and ensuring adherence to service-wide personnel management policies and practices and exercising delegated personnel management authority in accordance with the conditions of delegation.

Likewise, departments exercising staffing authority delegated by the Public Service Commission are accountable to the Commission for implementing and ensuring adherence to service-wide staffing policies and practices and exercising delegated authority in accordance with the conditions of delegation.

Responsibilities for the administration of the policy

The Treasury Board Secretariat is responsible for:

  • monitoring the implementation of personnel management policies and practices;
  • auditing departmental operations in the various components of personnel management;*
  • evaluating the effectiveness and appropriateness of Public Service personnel management policies;
  • advising departments regarding appropriate data collection methods, techniques and criteria for use in personnel management audits;
  • co-ordinating its activities with the Office of the Comptroller General, the Public Service Commission, departmental internal audit groups, and other agencies.

The Public Service Commission is responsible for:

  • monitoring the implementation of staffing policies and practices;
  • auditing staffing operations in departments;
  • evaluating the effectiveness and appropriateness of Public Service Commission policies;*

*Note: Under the 1982 Agreement between the Treasury Board of Canada Secretariat and the Public Service Commission, responsibility for auditing certain personnel policies has been delegated from the Treasury Board to the Public Service Commission.

  • providing advice regarding data collection methods, techniques and criteria for staffing audits;
  • co-ordinating its activities with those of the Treasury Board Secretariat, the Office of the Comptroller General, departmental internal audit groups, and other agencies; and
  • including the results of its audit activities in its Annual Report to Parliament.

Departments, in accordance with the policies, directives and standards of the Office of the Comptroller General, are responsible for:

  • establishing, for monitoring purposes, performance standards and measurements for their personnel management activities and operations;
  • monitoring the activities and operations of their personnel management function;
  • auditing the adequacy of their personnel management controls and monitoring activities;
  • auditing the extent of compliance with legislation, Treasury Board and Public Service Commission personnel management policies and delegated authority, and departmental policies and directives, and the efficiency, effectiveness and economy of personnel management in the department;
  • providing the results of their audits to the Treasury Board Secretariat or the Public Service Commission, as appropriate.

(Note: The use by departments of an OCG and TBS/PSC approved personnel audit methodology will reduce the number of personnel audits conducted by the Commission.)

Evaluation

The results achieved by this policy, both intended and unintended, and its continued appropriateness will be evaluated, as part of the approved Long-term evaluation plan of the Personnel Policy Branch.

References

This chapter replaces chapter 15 of PMM volume 1.

Enquiries

Enquiries should be directed to:

Evaluation, Audit and Review
Employment Equity, Planning and Policy Development Division
Personnel Policy Branch
Treasury Board Canada