Interactive flow chart: Investigations process – Transcript

Reviewing investigation requests

Open a file

• The Public Service Commission (PSC) ensures that it has obtained all necessary information to open a file
• For concerns about an appointment process, the PSC needs as much information as possible such as the name of the hiring federal organization, process number, position title, candidate’s name and details about the concern
• For allegations of improper political activities, the PSC needs the name of the employee against whom the allegation is being made, the name of the organization in which they work and details of the allegation

File review and analysis

The jurisdiction officer:

• Gathers information from relevant sources such as the organization concerned
• Reviews the information received
• Contacts the requester to clarify the allegation or concern, if required
• Reviews and analyzes the information received in relation to the Public Service Employment Act, its regulations and Public Service Commission (PSC) policies
• Determines if the allegation or concern warrants an investigation
• The PSC strives to inform the requester of its decision to investigate or close the file within 40 calendar days

Option 1

Decision to not investigate

• The Public Service Commission (PSC) sends a letter to the requester and the deputy head concerned informing them of the PSC's decision to not investigate
• The letter provides the reasons for the decision

Option 2

Decision to investigate

• The Public Service Commission (PSC) sends a letter to the requester and the deputy head informing them of the PSC's decision to investigate
• The PSC sends a letter to the person(s) affected by the investigation outlining the grounds for the investigation
• The PSC may share the information provided by the requester with the organization concerned or person(s) affected by the investigation
• When appropriate, the PSC offers Early Intervention, a voluntary and confidential process to resolve issues

Investigation and corrective action

What happens during an investigation?

Planning

Reviewing the file

• The investigator receives and reviews the file

Planning the investigation

• The Investigator identifies the persons involved in the investigation, establishes the investigation methodology and determines whether further information or documents are required

Scheduling interviews

• The case management officer contacts the persons required to attend an interview or fact-finding meeting to schedule a date and time

Fact gathering and validation

Facts can be gathered through various methodologies such as:

Written submissions

• The Investigator communicates with persons involved in the investigation in writing to gather information

Interviews

• The Investigator meets with persons involved in the investigation individually or in groups

Fact-finding meetings

• The Investigator meets with all persons involved in the investigation at the same time

Factual Report

In instances where the investigation proceeded by fact-finding meeting, the Factual Report step is not necessary. The investigator can go directly to preparing the Investigation Report.

Preparing and sending the Factual Report

• The investigator prepares the Factual Report which contains all the relevant facts gathered to date
• The investigator sends the Factual Report either partially or in its entirety to some or all of the persons involved in the investigation for their comments and submissions

Comments made on the Factual Report

• The investigator may disclose to some or all of the persons involved in the investigation new information received as a result of the consultation

Investigation Report and decision

Sending the Investigation Report

• Based on the Factual Report, the investigator prepares the Investigation Report, including the analysis and the conclusion
• The Investigation Report is sent to the organizations and persons affected by the investigation

Investigation conducted at the request of the deputy head (subsection 67(2))…

• The Public Service Commission sends the investigation report and recommended corrective action to the deputy head who requested the investigation. The deputy head decides whether to accept or reject the findings
• The deputy head accepts or rejects the findings outlined in the investigation report and makes a decision about undertaking the corrective action recommended by the Commission
• The deputy head may also take any corrective action they consider appropriate
• The deputy head may provide the investigation report and corrective action to the affected person(s) and other individuals as they consider appropriate

Unfounded allegation or concern - File closed

• The Commission closes the file

Founded allegation or concern - Corrective action

Corrective action only applies to a founded allegation or concern

• The Public Service Commission notifies the organization(s) and person(s) affected that they will have the opportunity to comment or provide submissions on the Investigation Report when the it initiates the next stage: corrective action stage
• The Commission receives the Investigations Branch’s recommendations

 

Proposed corrective action

• The Commission considers the Investigations Branch’s recommendation on proposed corrective action
• The PSC communicates in writing with the organization(s) and person(s) affected to request their comments on the Investigation Report and proposed corrective action

Decision on the corrective action

• The Commission receives comments and considers them
• The Commission accepts, rejects or amends the Investigation Report and orders corrective action through a Record of Decision
• The PSC sends out the Record of Decision to the organization(s) and person(s) affected by the Commission's decision

 

After the investigation

• Monitoring of corrective action: If the allegation or concern is founded
• Disclosure of personal information: If the PSC decides to disclose

Monitoring of corrective action

Implementation and monitoring

Quality assurance officer:

• Contacts the person(s) affected to give them information on implementing corrective action
• Ensures the corrective action is implemented
• Monitors the implementation of corrective action and ensures that conditions are respected

Organization affected:

• Ensures the persons affected are aware of their obligations regarding the implementation of corrective action
• Requests the Public Service Commission’s (PSC) assistance when necessary
• Notifies the PSC when corrective action is implemented and provides evidence of implementation

Person(s) affected:

• Implements and respects the corrective action ordered

File closure

• The file is closed after the corrective action is implemented and the end of the prescribed period of monitoring is reached
• The Public Service Commission notifies the organization and the person(s) affected of the completed implementation of the corrective action and the closure of the file

Disclosure

Consultation

• The Commission decides whether to consider disclosing a summary of the Investigation Report containing personal information about the person affected
• If disclosure is considered, the person(s) affected is informed that the potential disclosure of their personal information may affect their privacy interest
• The Public Service Commission (PSC) shares with the person(s) affected a draft of the summary for their consideration and comments
• The PSC informs the organization affected that the Commission is considering disclosure and shares a draft of the summary for information purposes only

Review and decision

• The Public Service Commission (PSC) considers the comments of the person(s) affected on the draft summary report
• The Commission weighs the privacy interests of the person(s) affected, based on comments received, against the public interest in disclosure and renders a decision to disclose or not
• In the case of disclosure, the Commission chooses a method of disclosure, such as publishing the summary report on the PSC's website for a prescribed period of time or informing specific organizations who have vested interests in the investigation

Disclosure

• The Public Service Commission (PSC) informs the person(s) and the organization(s) affected of the Commission's decision on disclosure
• The PSC discloses the summary report using the method chosen by the Commission