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Management Accountability Framework

ARCHIVED - MAF Assessment: Indian and Northern Affairs Canada - 2007

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This document provides a Treasury Board Portfolio assessment of the department's performance against specific indicators only. It does not present an assessment of management quality beyond these indicators, nor does it reflect the level of effort a department may be making toward improving the quality of its management. The assessment may not reflect the latest information available.

Context

This year's observations made by the Treasury Board Portfolio related to Indian and Northern Affairs Canada (INAC) reveal a department that has a significant policy agenda. The department understands the challenges that lie ahead, is taking steps to address these challenges and has made progress in key management areas. The department has yet to realize the results of its actions but TBS expects INAC to demonstrate improvement over the next year. In total, for the 20 areas of management against which the department was assessed, INAC received 1 “strong” rating, 8 “acceptable” ratings, 9 “opportunity for improvement” ratings, and 2 “attention required” ratings. Three (3) areas of management improved ratings compared to last year's assessment, and four (4) areas of management ratings worsened. It is important that these ratings be viewed in the context within which INAC operates.

The INAC portfolio is complicated. INAC manages policies and programs in a complex environment that includes a lengthy and entrenched history, diverse stakeholders, a breadth of issues (claims, economic, social), geographic coverage across Canada, decentralized management, and frequent engagement of courts.

Over the past year, a new Minister was appointed and INAC experienced significant turnover at the senior management level, including a new Associate Deputy Minister. The department also had to undertake significant expenditure review and program renovation exercises. This operating environment is further taxed by external events beyond its control, which are exerting resource pressures on its A-base. These pressures include rapid demographic growth and the increased need for child and family social services, education and employment initiatives that should be comparable to those of provinces, which are increasing their investments.

Despite these challenges, INAC has continued to make progress in strengthening its management capacity. INAC is working hard to redefine the way it operates, thinking “outside the box”, and working towards engaging stakeholders in a more strategic and horizontal manner. The departmental was successful over the past year in triaging departmental priorities and developing a strategic management approach to advance the Aboriginal Agenda. The department has reorganized and strengthened its corporate office through the transition to a Chief Financial Officer organization model. INAC has also made considerable progress this year with comprehensive and specific claims processes, hopefully resulting in quicker resolution of a number of outstanding issues.

Furthermore, INAC's effort should be noted for the improvements it has made related to management priorities identified in last year's MAF assessment, including:

Effectiveness of Financial Management and Control – A management priority last year, INAC has made substantial progress in the areas of financial management policies, financial systems and financial reporting.
Effectiveness of Internal Audit Function – INAC is clearly making important strides in progressing its internal audit function. It has an approved Risk-Based Audit Plan and has developed audit manuals and charters; however, the Department should improve the quality and timeliness of its assurance audit products.

There are areas, however, where INAC should aim to make further progress in the coming year:

Managing Organizational Change – INAC needs to develop an department-level change management plan to demonstrate that the department has the capacity to evaluate whether change is required, to prioritize and allocate resources to change management, and to assess change management processes and plans.
Effective Project Management – INAC should give consideration to creating a center of expertise for project management to serve as the department's overall project management needs and ensure best practices are shared from those sectors that exhibit strong project management skills.
Quality and Analysis in TB submissions – INAC needs to continue strengthening its development and review process for TB submissions and working with department program sectors to identify proper TB submission development processes, best practices and lessons learned.

The Treasury Board Portfolio has identified the following management improvement priorities for the coming year:

Effective Procurement – INAC needs to conduct regular audits of exceptional contracting limits and authorities and ensure that outstanding policy and contracting authority issues are brought to Treasury Board in a timely manner.
Effective Management of Security and Business Continuity – INAC needs to develop a work plan to address key security deficiencies including Departmental security program accountability framework and policy, security awareness and completion of Business Impact Analysis and business continuity plans.
Governance and Strategic Direction – INAC must pursue its effort to develop a better aligned Program Activity Architecture, articulated at a sufficient level. This work will be most useful when INAC embarks on the Strategic Review process.

TBS will endeavour to assist INAC in moving forward on these priorities in a constructive and sustainable manner.

1. Values-based Leadership and Organizational Culture

Acceptable

Highlights	Opportunities
Leadership: Executive leadership regularly communicates and encourages ongoing dialogue on public service values and ethics among employees. Public service values and ethics are consistently and continually applied to the selection, evaluation, promotion and discharge of executive leaders. Infrastructure: Organization has a plan that includes a strategy championed by senior management with medium-term activities to raise awareness of the importance of public service values and ethics. Plans to address fear of reprisal have been developed and implemented. Risks in regard to possible breaches in public service values and ethics are regularly assessed, documented & followed up with a mitigation plan & action by management. Senior Officer for disclosures is appointed, more information about the Public Servants Disclosure Protection Act has been distributed to employees, internal disclosure processes have been established and communicated to employees, and the organization has begun developing its own code of conduct. Culture: Organization has a limited understanding of the current state of public service values and ethics as a result of informal and non-validated information. Organization has performed an assessment of the current state of employee engagement as evidenced by qualitative or quantitative information.	Within the context of its priorities and resources, the organization is encouraged to address the following opportunities: Assess the organization's state of values and ethics by using quantitative or qualitative information; Monitor risks of breaches of public service values and ethics on an ongoing basis; Assess effectiveness of plans to address fear of reprisal; Train managers on receiving disclosures of wrongdoing.
Recommendations

Highlights

Opportunities

Leadership: Executive leadership regularly communicates and encourages ongoing dialogue on public service values and ethics among employees.

Public service values and ethics are consistently and continually applied to the selection, evaluation, promotion and discharge of executive leaders.

Infrastructure: Organization has a plan that includes a strategy championed by senior management with medium-term activities to raise awareness of the importance of public service values and ethics.

Plans to address fear of reprisal have been developed and implemented.

Risks in regard to possible breaches in public service values and ethics are regularly assessed, documented & followed up with a mitigation plan & action by management.

Senior Officer for disclosures is appointed, more information about the Public Servants Disclosure Protection Act has been distributed to employees, internal disclosure processes have been established and communicated to employees, and the organization has begun developing its own code of conduct.

Culture: Organization has a limited understanding of the current state of public service values and ethics as a result of informal and non-validated information.

Organization has performed an assessment of the current state of employee engagement as evidenced by qualitative or quantitative information.

Within the context of its priorities and resources, the organization is encouraged to address the following opportunities:

Assess the organization's state of values and ethics by using quantitative or qualitative information;
Monitor risks of breaches of public service values and ethics on an ongoing basis;
Assess effectiveness of plans to address fear of reprisal;
Train managers on receiving disclosures of wrongdoing.

Recommendations

2. Utility of the Corporate Performance Framework

Opportunity for Improvement

Highlights	Opportunities
PAA Consistency: The PAA is consistent with the organization's mandate to an adequate extent. The Strategic Outcome(s) is consistent with the organization's mandate to an adequate extent. Measurability: The Strategic Outcome(s) is at a reasonable level given the nature and resources of the organization. The Strategic Outcome(s) seems to contain the organizational area of influence and appears to be an end-state statement. Completeness: An Inventory of programs has been developed but many listed programs do not meet the definition of a program.	INAC has five strategic outcomes which are long term, and can be understood within and outside the department as a benefit to Canadians. The outcome statements related to the land, the people, the economy and the government articulate desired progress toward an end-state. However, the Office of the Federal Interlocutor outcome reads as an activity statement and should be revised in accordance with the MRRS instructions. INAC has committed to continue working with TBS on the development of its MRRS and to present a revised MRRS that is fully aligned with TBS guidance for the 2009-10 PAA change process in advance of ARLU 2009-10.
Recommendations
The organization is encouraged to continue working with TBS to ensure that its SOs and PAA are in compliance with the MRRS Instructions.

Highlights

Opportunities

PAA Consistency: The PAA is consistent with the organization's mandate to an adequate extent.

The Strategic Outcome(s) is consistent with the organization's mandate to an adequate extent.

Measurability: The Strategic Outcome(s) is at a reasonable level given the nature and resources of the organization.

The Strategic Outcome(s) seems to contain the organizational area of influence and appears to be an end-state statement.

Completeness: An Inventory of programs has been developed but many listed programs do not meet the definition of a program.

INAC has five strategic outcomes which are long term, and can be understood within and outside the department as a benefit to Canadians. The outcome statements related to the land, the people, the economy and the government articulate desired progress toward an end-state. However, the Office of the Federal Interlocutor outcome reads as an activity statement and should be revised in accordance with the MRRS instructions.
INAC has committed to continue working with TBS on the development of its MRRS and to present a revised MRRS that is fully aligned with TBS guidance for the 2009-10 PAA change process in advance of ARLU 2009-10.

Recommendations

The organization is encouraged to continue working with TBS to ensure that its SOs and PAA are in compliance with the MRRS Instructions.

3. Effectiveness of the Corporate Management Structure

Acceptable

Highlights	Opportunities
Business Plan: Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans. Corporate business plan generally aligns resources and accountabilities to priorities. Governance Structure: Organization's corporate governance structure is generally aligned to the organization's PAA. Terms of reference are generally current and complete. Recordkeeping is generally complete and current. (minutes of meetings and records of discussion, decision, and follow-up). TBS uses its RPP as its Corporate Plan. Generally, the process and outputs of corporate decision making are transparent, management oversight of program activities is systematic, while business planning integrates functional and operational planning and aligns resources to priorities.	Reflect the results of the ongoing policy and program review and senior management baseline review in appropriate modifications to corporate governance structure and PAA. INAC should consider rolling-up individual and sector branch plans into a corporate business plan. Such an approach could be more effective from a planning and decision-making point of view. The corporate business plan would subsequently support the preparation of the departmental Report on Plans and Priorities.
Recommendations

Highlights

Opportunities

Business Plan: Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans.

Corporate business plan generally aligns resources and accountabilities to priorities.

Governance Structure: Organization's corporate governance structure is generally aligned to the organization's PAA.

Terms of reference are generally current and complete.

Recordkeeping is generally complete and current. (minutes of meetings and records of discussion, decision, and follow-up).

TBS uses its RPP as its Corporate Plan.

Generally, the process and outputs of corporate decision making are transparent, management oversight of program activities is systematic, while business planning integrates functional and operational planning and aligns resources to priorities.

Reflect the results of the ongoing policy and program review and senior management baseline review in appropriate modifications to corporate governance structure and PAA.
INAC should consider rolling-up individual and sector branch plans into a corporate business plan. Such an approach could be more effective from a planning and decision-making point of view. The corporate business plan would subsequently support the preparation of the departmental Report on Plans and Priorities.

Recommendations

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
Horizontal Policy/Program Engagement: Organization has demonstrated that it effectively manages or participates in the horizontal policy and program initiatives it has submitted for review. Horizontal Service Engagement: Organization has demonstrated that it effectively manages or participates in the horizontal service delivery initiative it has submitted for review. Portfolio Coordination: Adequate attention paid to developing coherent policy or program approaches across the portfolio. Information validated late by the Deputy Minister for the Policy on Reporting of Federal Institutions. Indian and Northern Affairs (INAC) was assessed on seven horizontal policy and program initiatives, six of which they are leading and one in which they are a participant. INAC was assessed on one horizontal service delivery initiative which they are leading.	Develop a stronger corporate understanding of the department's horizontal interactions, their collective inter-relationships, and impacts on the organization. Ensure integration of all key horizontal initiatives into the department's PAA, planning and budgeting processes. It was noted in the MAF Round IV assessment for area of management 4.0 that INAC relies on measures that encourage a passive dissemination of knowledge, priority setting and establishment of common objectives amongst portfolio components. An opportunity continues to exist for INAC to look to more active measures to ensure portfolio coordination is in place, in particular by formalizing portfolio coordination mechanisms.
Recommendations

Highlights

Opportunities

Horizontal Policy/Program Engagement: Organization has demonstrated that it effectively manages or participates in the horizontal policy and program initiatives it has submitted for review.

Horizontal Service Engagement: Organization has demonstrated that it effectively manages or participates in the horizontal service delivery initiative it has submitted for review.

Portfolio Coordination: Adequate attention paid to developing coherent policy or program approaches across the portfolio.

Information validated late by the Deputy Minister for the Policy on Reporting of Federal Institutions.

Indian and Northern Affairs (INAC) was assessed on seven horizontal policy and program initiatives, six of which they are leading and one in which they are a participant. INAC was assessed on one horizontal service delivery initiative which they are leading.

Develop a stronger corporate understanding of the department's horizontal interactions, their collective inter-relationships, and impacts on the organization.
Ensure integration of all key horizontal initiatives into the department's PAA, planning and budgeting processes.
It was noted in the MAF Round IV assessment for area of management 4.0 that INAC relies on measures that encourage a passive dissemination of knowledge, priority setting and establishment of common objectives amongst portfolio components. An opportunity continues to exist for INAC to look to more active measures to ensure portfolio coordination is in place, in particular by formalizing portfolio coordination mechanisms.

Recommendations

5. Quality of Analysis in TB Submissions

Opportunity for Improvement

Highlights	Opportunities
Supporting Information: Policy and budget authorities are usually identified. The information is sometimes accurate and reliable, and partially complete. Responses to TBS comments are incomplete. Analysis: Business cases may have comprehensive information but demonstrate only partial and incomplete analysis. Appropriate performance measurement or evaluation analysis is incomplete. Consultations: Established capacity to initiate consultations with TBS with sufficient lead time is evident. Submissions are usually on time (six weeks before TB meetings). Quality control: Quality control process is sometimes evident and is partially effective. Writing and translation standards are fair. Evidence suggests that quality of submissions is more dependent upon which program sector wrote the submission rather than level of review from Review Directorate.	Actively engage INAC program sectors and Treasury Board Secretariat to determine and communicate proper Treasury Board submission development processes, best practices and pitfalls. Evaluate departmental Treasury Board submission "tool Kit" to determine whether instruments are effectively and efficiently achieving the objective of providing TBS with quality first draft Treasury Board submissions. Build upon this year's success in triaging priorities and strategically managing the presentation of Treasury Board submissions.
Recommendations
As stated in past year's assessments, it is recommended that Indian Affairs and Northern Development strengthen its development and review process for Treasury Board submissions.

Highlights

Opportunities

Supporting Information: Policy and budget authorities are usually identified.

The information is sometimes accurate and reliable, and partially complete.

Responses to TBS comments are incomplete.

Analysis: Business cases may have comprehensive information but demonstrate only partial and incomplete analysis.

Appropriate performance measurement or evaluation analysis is incomplete.

Consultations: Established capacity to initiate consultations with TBS with sufficient lead time is evident.

Submissions are usually on time (six weeks before TB meetings).

Quality control: Quality control process is sometimes evident and is partially effective.

Writing and translation standards are fair.

Evidence suggests that quality of submissions is more dependent upon which program sector wrote the submission rather than level of review from Review Directorate.

Actively engage INAC program sectors and Treasury Board Secretariat to determine and communicate proper Treasury Board submission development processes, best practices and pitfalls.
Evaluate departmental Treasury Board submission "tool Kit" to determine whether instruments are effectively and efficiently achieving the objective of providing TBS with quality first draft Treasury Board submissions.
Build upon this year's success in triaging priorities and strategically managing the presentation of Treasury Board submissions.

Recommendations

As stated in past year's assessments, it is recommended that Indian Affairs and Northern Development strengthen its development and review process for Treasury Board submissions.

6. Quality and Use of Evaluation

Opportunity for Improvement

Highlights	Opportunities
Quality: Evaluations submitted to TBS are sometimes but not always systematically addressing questions of program relevance, success and effectiveness. Evaluations usually consider the limits of their methodology, if any. Evaluations usually use multiple lines of evidence. Evaluations sometimes have conclusions or recommendations that are not supported by the evidence found in the evaluation report. Neutrality: Head of Evaluation has explicit authority to submit evaluation reports directly and has direct access to the deputy head . Majority of resources dedicated to evaluations are directed by the Head of Evaluation. Funding for the evaluation function has not been commensurate with workload increases. Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and RMAFs. The committee meets regularly during the year. Coverage: Organization has a strong risk-based evaluation plan and has shared it with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA. The organization has shown evidence of moving towards full coverage of its program base (e.g., over a five-year cycle) and is working according to its organizational evaluation plan. Usage: Evaluation commitments, plans and requirements are sometimes missed or deadlines are extended. Only between 40% to 60% of RMAFs are implemented. The department has made major efforts to address the deficiencies detailed in the previous MAF assessment.	The department has several initiatives designed to address quality issues with its evaluation products (e.g. internal peer review, subject matter experts contracted and development of departmental standards). These should increasingly impact future work. Almost all evaluation resources and projects are now under the control of the CAEE. This should result in higher overall quality and consistency of evaluations. The department has also become more active and formal in monitoring implementation of performance measures and implementation of the recommendations of evaluations. This should provide more data for future evaluations and allow for more sophisticated methodology and focus on summative questions. It is important that efforts continue to enhance evaluation focus on issues of relevance, effectiveness and efficiencies.
Recommendations
The department should continue to implement its current plans with an emphasis on ensuring quality evaluation products recognized as such by all management decision makers.

Highlights

Opportunities

Quality: Evaluations submitted to TBS are sometimes but not always systematically addressing questions of program relevance, success and effectiveness.

Evaluations usually consider the limits of their methodology, if any.

Evaluations usually use multiple lines of evidence.

Evaluations sometimes have conclusions or recommendations that are not supported by the evidence found in the evaluation report.

Neutrality: Head of Evaluation has explicit authority to submit evaluation reports directly and has direct access to the deputy head .

Majority of resources dedicated to evaluations are directed by the Head of Evaluation.

Funding for the evaluation function has not been commensurate with workload increases.

Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and RMAFs.

The committee meets regularly during the year.

Coverage: Organization has a strong risk-based evaluation plan and has shared it with TBS.

The evaluation plan has information on evaluations planned, completed and carried over.

It also includes links to the organization's PAA.

The organization has shown evidence of moving towards full coverage of its program base (e.g., over a five-year cycle) and is working according to its organizational evaluation plan.

Usage: Evaluation commitments, plans and requirements are sometimes missed or deadlines are extended.

Only between 40% to 60% of RMAFs are implemented.

The department has made major efforts to address the deficiencies detailed in the previous MAF assessment.

The department has several initiatives designed to address quality issues with its evaluation products (e.g. internal peer review, subject matter experts contracted and development of departmental standards). These should increasingly impact future work.

Almost all evaluation resources and projects are now under the control of the CAEE. This should result in higher overall quality and consistency of evaluations.

The department has also become more active and formal in monitoring implementation of performance measures and implementation of the recommendations of evaluations. This should provide more data for future evaluations and allow for more sophisticated methodology and focus on summative questions.

It is important that efforts continue to enhance evaluation focus on issues of relevance, effectiveness and efficiencies.

Recommendations

The department should continue to implement its current plans with an emphasis on ensuring quality evaluation products recognized as such by all management decision makers.

7. Quality Reporting to Parliament

Acceptable

Highlights	Opportunities
MRRS Basis: Good links between performance and plans are present. Linkages between resources and results are adequately demonstrated in the reports. Most performance expectations in the RPP are clear. Credible information: DPR is based on the PAA, i.e. performance is usually reported by Program Activity (PA) at the PA level. The DPR occasionally provides independently verifiable evidence-based performance information. Context: DPR is generally balanced – the report presents both positive and negative aspects of performance and substantiation or explanation is generally provided. Reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities.	The expected results and performance indicators are clearly reported in the RPP which is a good practice; however, INAC could improve by increasing the use of targets, standards, benchmarks, trend information, etc., and by more effectively using comparisons. It would also be helpful if INAC provided a DPR summary table that presents expected results, indicators, targets, and performance in a clear and concise way. INAC could further improve its reporting by augmenting its results-focus and enhancing reporting on lessons learned and corrective actions.
Recommendations

Highlights

Opportunities

MRRS Basis: Good links between performance and plans are present.

Linkages between resources and results are adequately demonstrated in the reports.

Most performance expectations in the RPP are clear.

Credible information: DPR is based on the PAA, i.e. performance is usually reported by Program Activity (PA) at the PA level.

The DPR occasionally provides independently verifiable evidence-based performance information.

Context: DPR is generally balanced – the report presents both positive and negative aspects of performance and substantiation or explanation is generally provided.

Reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities.

The expected results and performance indicators are clearly reported in the RPP which is a good practice; however, INAC could improve by increasing the use of targets, standards, benchmarks, trend information, etc., and by more effectively using comparisons. It would also be helpful if INAC provided a DPR summary table that presents expected results, indicators, targets, and performance in a clear and concise way. INAC could further improve its reporting by augmenting its results-focus and enhancing reporting on lessons learned and corrective actions.

Recommendations

8. Managing Organizational Change

Opportunity for Improvement

Highlights	Opportunities
Change plan: Organization has the capacity to evaluate whether or not change is required. Engagement: Change plans and strategies are priorities across the organization and are included in PMAs of senior executives. Employees and stakeholders are engaged in the strategy development phase and recognize themselves as valued contributors. Assessment: Assessment plans do not exist. Evidence provided is for individual change initiatives. Unclear how change is managed, prioritized, resourced and coordinated at corporate level.	Develop a specific organizational change management plan to demonstrate that the department has the capacity to evaluate whether change is required, to prioritize and allocate resources to change management, and to assess change management processes and plans. Similarly, the department could imbed a change management plan into a corporate business plan (see Area of Management 3).
Recommendations
Indian Affairs and Northern Development is performing an Opportunity for Improvement level. Within the context of departmental priorities and resources, it is recommended that the organization address the comments found in the Opportunities Section.

Highlights

Opportunities

Change plan: Organization has the capacity to evaluate whether or not change is required.

Engagement: Change plans and strategies are priorities across the organization and are included in PMAs of senior executives.

Employees and stakeholders are engaged in the strategy development phase and recognize themselves as valued contributors.

Assessment: Assessment plans do not exist.

Evidence provided is for individual change initiatives. Unclear how change is managed, prioritized, resourced and coordinated at corporate level.

Develop a specific organizational change management plan to demonstrate that the department has the capacity to evaluate whether change is required, to prioritize and allocate resources to change management, and to assess change management processes and plans. Similarly, the department could imbed a change management plan into a corporate business plan (see Area of Management 3).

Recommendations

Indian Affairs and Northern Development is performing an Opportunity for Improvement level. Within the context of departmental priorities and resources, it is recommended that the organization address the comments found in the Opportunities Section.

9. Effectiveness of Corporate Risk Management

Opportunity for Improvement

Highlights	Opportunities
Engagement: Senior management has intentions of developing corporate capability for risk management but plans are not fully implemented yet. Operational and internal risk management activities, while they may from time to time be reviewed by senior management (e.g., audit plan), remain largely disaggregated. Planning: Consideration of risk in corporate planning is sporadic and uneven Indian and Northern Affairs Canada (INAC) has received an OFI rating for a second year, but there are clear signs of renewed commitment to IRM and we are hopeful that those commitments will be realized during 2008 in time for Round VI assessment.	Develop a complete and updated Corporate Risk Profile timed and integrated in business planning processes (include One Pass Planning output, AES risk assessments, etc.). Utilize CRP output for RPP/DPR purposes to show how it influences decisions, plans and priorities. Establish measures for CRP risks to help INAC track and report on risk mitigation progress. Situate all core risk and risk-related activity within an IRM context to enable staff and management to see how their risk activities fit entity-wide.
Recommendations
There are clear signs of renewed commitment to IRM at INAC. Sustained commitment to risk management will be required.

Highlights

Opportunities

Engagement: Senior management has intentions of developing corporate capability for risk management but plans are not fully implemented yet.

Operational and internal risk management activities, while they may from time to time be reviewed by senior management (e.g., audit plan), remain largely disaggregated.

Planning: Consideration of risk in corporate planning is sporadic and uneven

Indian and Northern Affairs Canada (INAC) has received an OFI rating for a second year, but there are clear signs of renewed commitment to IRM and we are hopeful that those commitments will be realized during 2008 in time for Round VI assessment.

Develop a complete and updated Corporate Risk Profile timed and integrated in business planning processes (include One Pass Planning output, AES risk assessments, etc.).
Utilize CRP output for RPP/DPR purposes to show how it influences decisions, plans and priorities.
Establish measures for CRP risks to help INAC track and report on risk mitigation progress.
Situate all core risk and risk-related activity within an IRM context to enable staff and management to see how their risk activities fit entity-wide.

Recommendations

There are clear signs of renewed commitment to IRM at INAC. Sustained commitment to risk management will be required.

10. Extent to which the Workplace is Fair, Enabling, Healthy and Safe

Acceptable

Highlights	Opportunities
Fair: Classification self-assessment report does not demonstrate that risks are clearly identified or a copy of the classification self-assessment report was not received. It has strong labour relations expertise. Labour relations matters are consistently and appropriately managed or addressed. Labour-Management Consultation Committee is established within the organization and meetings occur on a regular basis. Organization is complying with labour relations policy direction. The organization occasionally meets standards of timeliness in payments to employees. Enabling: Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages. Organization is under-representative in one or more of the four employment equity designated groups. Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups. Promotions are greater than or equal to previous year's performance. Separations are equal or greater than previous year's performance. Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages. Healthy and safe: Organization has a recognition program or policy in place and it regularly communicates with its employees with regards to recognition, and celebrates employee accomplishments.	Establish measures to ensure appropriate management and control of the departmental classification system through annual monitoring and corrective action and submit a Departmental Classification Performance Report to the Deputy Head for 2007-2008, with a copy of this report to CPSA. Continue to improve representation of visible minorities since the organization is still below its respective WFA. Introduce measures ensure the organization meets the standards of timeliness in payments to employees.
Recommendations

Highlights

Opportunities

Fair: Classification self-assessment report does not demonstrate that risks are clearly identified or a copy of the classification self-assessment report was not received.

It has strong labour relations expertise.

Labour relations matters are consistently and appropriately managed or addressed.

Labour-Management Consultation Committee is established within the organization and meetings occur on a regular basis.

Organization is complying with labour relations policy direction.

The organization occasionally meets standards of timeliness in payments to employees.

Enabling: Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages.

Organization is under-representative in one or more of the four employment equity designated groups.

Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups.

Promotions are greater than or equal to previous year's performance.

Separations are equal or greater than previous year's performance.

Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages.

Healthy and safe: Organization has a recognition program or policy in place and it regularly communicates with its employees with regards to recognition, and celebrates employee accomplishments.

Establish measures to ensure appropriate management and control of the departmental classification system through annual monitoring and corrective action and submit a Departmental Classification Performance Report to the Deputy Head for 2007-2008, with a copy of this report to CPSA.
Continue to improve representation of visible minorities since the organization is still below its respective WFA.
Introduce measures ensure the organization meets the standards of timeliness in payments to employees.

Recommendations

11. Extent to which the Workforce is Productive, Principled, Sustainable and Adaptable

Strong

Highlights	Opportunities
Productive: 71% to 89% of employees have learning plans. Participation in three or more identified leadership development programs. Principled: Communications with and services to the public in both official languages are generally available. Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position. Organization is under-represented in one or more of the four employment equity designated groups. Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups is less than the organization's average for all employees. Promotions are less than representation for at least one group. Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages. Sustainable: Evidence suggests strong integrated planning, which has ongoing support through existence of a governance or organizational infrastructure. Adaptable: The organization has an organizational learning strategy that is integrated into the HR/business plan and a learning policy that is aligned with the Treasury Board Policy on Learning, Training and Development.	Ensure all employees have meaningful learning plans.
Recommendations

Highlights

Opportunities

Productive: 71% to 89% of employees have learning plans.

Participation in three or more identified leadership development programs.

Principled: Communications with and services to the public in both official languages are generally available.

Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position.

Organization is under-represented in one or more of the four employment equity designated groups.

Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups is less than the organization's average for all employees.

Promotions are less than representation for at least one group.

Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages.

Sustainable: Evidence suggests strong integrated planning, which has ongoing support through existence of a governance or organizational infrastructure.

Adaptable: The organization has an organizational learning strategy that is integrated into the HR/business plan and a learning policy that is aligned with the Treasury Board Policy on Learning, Training and Development.

Ensure all employees have meaningful learning plans.

Recommendations

12. Effectiveness of Information Management

Opportunity for Improvement

Highlights	Opportunities
Governance: IM areas are represented in the corporate governance structure under a senior official with clear accountability. IM roles and responsibilities are included in some departmental business processes and/or procedures. Mandate of the corporate IM and/or management committee includes explicit responsibilities such as leadership, oversight, strategies and setting priorities for information management. Strategy: IM strategy implementation is mostly underway. Organization's IM strategy identifies program and service outcomes, information needs and accountabilities, IM policy considerations and internal and/or external collaboration opportunities. Plan exists to implement the strategy, including timelines, resource estimates and/or risks. Privacy Act: Significant amounts of personal information under the control of the organization have not been appropriately identified and described in accordance with the Privacy Act. Access to Information Act: Info Source publications contain significant gaps in the description of the organization's functions, programs, activities and related information holdings. These publications are a requirement of the Access to Information Act to facilitate public access to government information All requirements for the effective management of the organization's information assets are present. Indian and Northern Affairs Canada does not meet some of the requirements of the Access to Information and Privacy Acts.	Organization could develop and implement mechanisms to continuously evaluate and modify mandates, accountabilities and impacts of individuals and committees on IM in the organization. Develop and register Personal Information Banks and/or Classes of Personal Information to ensure all personal information under the institution's control is appropriately described in accordance with the Privacy Act. Ensure that all information relevant to the institution's functions, programs, activities and related information holdings is described in the Info Source publications.
Recommendations
Continue to improve descriptions of INAC's functions, programs, activities and information holdings, including descriptions of its personal information collections.

Highlights

Opportunities

Governance: IM areas are represented in the corporate governance structure under a senior official with clear accountability.

IM roles and responsibilities are included in some departmental business processes and/or procedures.

Mandate of the corporate IM and/or management committee includes explicit responsibilities such as leadership, oversight, strategies and setting priorities for information management.

Strategy: IM strategy implementation is mostly underway.

Organization's IM strategy identifies program and service outcomes, information needs and accountabilities, IM policy considerations and internal and/or external collaboration opportunities.

Plan exists to implement the strategy, including timelines, resource estimates and/or risks.

Privacy Act: Significant amounts of personal information under the control of the organization have not been appropriately identified and described in accordance with the Privacy Act.

Access to Information Act: Info Source publications contain significant gaps in the description of the organization's functions, programs, activities and related information holdings. These publications are a requirement of the Access to Information Act to facilitate public access to government information

All requirements for the effective management of the organization's information assets are present. Indian and Northern Affairs Canada does not meet some of the requirements of the Access to Information and Privacy Acts.

Organization could develop and implement mechanisms to continuously evaluate and modify mandates, accountabilities and impacts of individuals and committees on IM in the organization.
Develop and register Personal Information Banks and/or Classes of Personal Information to ensure all personal information under the institution's control is appropriately described in accordance with the Privacy Act.
Ensure that all information relevant to the institution's functions, programs, activities and related information holdings is described in the Info Source publications.

Recommendations

Continue to improve descriptions of INAC's functions, programs, activities and information holdings, including descriptions of its personal information collections.

13. Effectiveness of Information Technology Management

Acceptable

Highlights	Opportunities
Leadership: Senior official for information technology has only a partial scope of responsibility and accountability for information technology. Organization has corporate and information technology governance structures that are aligned. Planning: Adequate participation in setting government-wide directions for information technology is evident. Organization is making efforts to plan, is developing an information technology plan, or currently has an inadequate information technology plan. Value: Organization analyzes and plans for the appropriate use of information technology shared services to an optimal extent. Organization has performance measurement tools, performs value-for-money analysis of information technology investments and incorporates findings into information technology investment decisions.	The span of control for the senior official for Information Technology should be reviewed and expanded. The Information Technology plan under development should be strengthened to include: a risk based approach and implementation planning details. The organization should continue to enhance their Information Technology planning process and resulting planning documents to ensure alignment with Government-wide strategic directions and extend the use of performance reporting through a continuous review and improvement of their key performance indicators.
Recommendations

Highlights

Opportunities

Leadership: Senior official for information technology has only a partial scope of responsibility and accountability for information technology.

Organization has corporate and information technology governance structures that are aligned.

Planning: Adequate participation in setting government-wide directions for information technology is evident.

Organization is making efforts to plan, is developing an information technology plan, or currently has an inadequate information technology plan.

Value: Organization analyzes and plans for the appropriate use of information technology shared services to an optimal extent.

Organization has performance measurement tools, performs value-for-money analysis of information technology investments and incorporates findings into information technology investment decisions.

The span of control for the senior official for Information Technology should be reviewed and expanded.
The Information Technology plan under development should be strengthened to include: a risk based approach and implementation planning details.
The organization should continue to enhance their Information Technology planning process and resulting planning documents to ensure alignment with Government-wide strategic directions and extend the use of performance reporting through a continuous review and improvement of their key performance indicators.

Recommendations

14. Effectiveness of Asset Management

Acceptable

Highlights	Opportunities
Investment Planning: Complete, up-to-date and approved long-term investment plan is either drafted or under development or is in the process of being approved. Organizational investments are not consistently captured in the investment plan. Real Property Management: There is evidence of linkages between real property performance and investments. Most elements of a real property management framework are evident. Internal policies and processes are documented and disseminated. Clear accountabilities exist. Materiel Management: Delegated authorities, governance structures and decision-making processes are documented. DFRP certified. FCSI uncertified by IIAP. Acceptable asset management; some regional inconsistencies in real property management need attention. Conducting a review to identify surplus properties and is documenting non-operational land holdings.	INAC's Long Term Capital Plan should establish parameters for its custodial assets. FCSI data should be certified as required under TB policy.
Recommendations

Highlights

Opportunities

Investment Planning: Complete, up-to-date and approved long-term investment plan is either drafted or under development or is in the process of being approved.

Organizational investments are not consistently captured in the investment plan.

Real Property Management: There is evidence of linkages between real property performance and investments.

Most elements of a real property management framework are evident.

Internal policies and processes are documented and disseminated.

Clear accountabilities exist.

Materiel Management: Delegated authorities, governance structures and decision-making processes are documented.

DFRP certified. FCSI uncertified by IIAP. Acceptable asset management; some regional inconsistencies in real property management need attention. Conducting a review to identify surplus properties and is documenting non-operational land holdings.

INAC's Long Term Capital Plan should establish parameters for its custodial assets.
FCSI data should be certified as required under TB policy.

Recommendations

15. Effective Project Management

Opportunity for Improvement

Highlights	Opportunities
Governance: Inadequate governance structure exists with some standing decision-making processes and accountability. There are inconsistent links between project approval and strategic objectives and priorities. Project Resources: Inadequate processes for allocating and managing project resources are in place. (e.g., non-integrated funding allocation processes with no links to planning decisions and no opportunities for reallocation). Inconsistent links to human resources planning are in place (e.g., insufficient succession planning, training and recruitment strategies for project managers). Project results: Inadequate or irregular monitoring or reporting is evident on project results without a clear indication that appropriate action and associated risk mitigation measures have been taken. Some projects are subject to a review and there is a weak link between the review process and the formal decision-making process for these projects. No evidence supported that the organization utilizes an integrated, project management governance, or an organization-wide approach for non IM/IT projects.	The organization could create a center of expertise for project management to serve as its overall project management needs and ensure best practices are shared from the IM/IT group. Additionally, it should create a project management framework to appropriately govern and track the project management activities across all program areas.
Recommendations
Expand the project management approach to non-IM/IT projects and link HR planning to the allocation of project management resources. Develop a framework to guide the organization on project management planning and execution across program areas.

Highlights

Opportunities

Governance: Inadequate governance structure exists with some standing decision-making processes and accountability.

There are inconsistent links between project approval and strategic objectives and priorities.

Project Resources: Inadequate processes for allocating and managing project resources are in place. (e.g., non-integrated funding allocation processes with no links to planning decisions and no opportunities for reallocation).

Inconsistent links to human resources planning are in place (e.g., insufficient succession planning, training and recruitment strategies for project managers).

Project results: Inadequate or irregular monitoring or reporting is evident on project results without a clear indication that appropriate action and associated risk mitigation measures have been taken.

Some projects are subject to a review and there is a weak link between the review process and the formal decision-making process for these projects.

No evidence supported that the organization utilizes an integrated, project management governance, or an organization-wide approach for non IM/IT projects.

The organization could create a center of expertise for project management to serve as its overall project management needs and ensure best practices are shared from the IM/IT group.

Additionally, it should create a project management framework to appropriately govern and track the project management activities across all program areas.

Recommendations

Expand the project management approach to non-IM/IT projects and link HR planning to the allocation of project management resources. Develop a framework to guide the organization on project management planning and execution across program areas.

16. Effective Procurement

Attention Required

Highlights	Opportunities
Governance: Insufficient procurement management processes and controls are in place (e.g., insufficient contract review mechanisms, or inconsistent documentation of decision-making, or the risk of improper use of delegated authorities). No or few links exist between procurement activities and the organization-wide program plans, priorities and long-term investments. Operational requirements: Lack of informed decision making and oversight exists. Little to no procurement training is in place. The organization is unaware if its projected procurement activities or plans are linked to its long-term capital plan.	Mandatory training on procurement authorities and Treasury Board policy requirements should be provided to all staff in order to ensure appropriate usage of procurement authorities.
Recommendations
Conduct regular audits of exceptional contracting limits and authorities and action any recommendations. Outstanding policy and contracting authority issues should be brought to Treasury Board in a timely manner.

Highlights

Opportunities

Governance: Insufficient procurement management processes and controls are in place (e.g., insufficient contract review mechanisms, or inconsistent documentation of decision-making, or the risk of improper use of delegated authorities).

No or few links exist between procurement activities and the organization-wide program plans, priorities and long-term investments.

Operational requirements: Lack of informed decision making and oversight exists.

Little to no procurement training is in place.

The organization is unaware if its projected procurement activities or plans are linked to its long-term capital plan.

Mandatory training on procurement authorities and Treasury Board policy requirements should be provided to all staff in order to ensure appropriate usage of procurement authorities.

Recommendations

Conduct regular audits of exceptional contracting limits and authorities and action any recommendations. Outstanding policy and contracting authority issues should be brought to Treasury Board in a timely manner.

17. Effectiveness of Financial Management and Control

Opportunity for Improvement

Highlights

Opportunities

Authorities and Policies: Audit report results show evidence of deficiencies that are of some concern.

The reporting of external user fee information shows some omissions in relation to reporting guidelines.

Public Accounts Reporting: Ninety to 96% of Public Accounts reporting plates were submitted on time.

Several accounting period 13 adjustments but no significant errors found during the course of the OAG Public Accounts audit.

The number of Central Financial Management Reporting System (CFMRS) coding errors was significantly higher than average.

The trend in Central Financial Management Reporting System (CFMRS) coding errors has significantly improved.

Management Capacity: 1.5% to 3% of salary dollars is provided for training.

15% to 34% of FI positions are vacant.

26% to 50% of key financial employees have both a university degree and a designation.

CFO or SFO reports to the deputy head and they meet bilaterally on a regular or frequent basis.

Fewer than 5% of key positions are not staffed permanently.

Succession plan for key positions is in place.

Financial Statements: The Financial Statements are compliant with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements.

The organization has an action plan relating to the financial audit readiness assessment recommendations.

Internal Reporting: Internal financial reporting information is frequently presented to senior management.

Internal financial reporting information is presented to senior management between 16 calendar days and the end of the month following period end.

The process for reviewing internal financial reporting information before it is presented to senior management is weak.

Other Initiatives: The organization has identified significant financial management initiatives in such areas as policies, reporting, systems and community development.

The organization's state of financial management has improved slightly. While management capacity is reasonably developed, further effort could be directed in the areas of policy and authorities practices and reporting.

Strengthen compliance with the Treasury Board Policy on Account Verification and in particular ensure that there is sufficient supporting documentation to substantiate claims for payments.
Ensure coding accuracy before trial balance is submitted to the Receiver General.
Continue the work to address the issues identified in two internal audit reports and the OAG management letter.
Address information gaps in external user fee reporting.

Recommendations

The organization should consider addressing the comments found in the Opportunities Section when developing its priorities.

18. Effectiveness of Internal Audit Function

Opportunity for Improvement

Highlights

Opportunities

Internal Audit governance: A draft internal audit charter exists in line with the 2006 IA policy.

A plan exists to implement an independent audit committee.

Progress and/or monitoring is limited.

Internal Audit Planning: An Approved Annual Risk-Based Audit Plan contains some deficiencies in quality and timeliness.

Approved assurance products contain serious deficiencies in quality, timeliness and/or level of productivity compared to the Risk-Based Audit Plan.

Internal Audit Capacity: A human resources plan does not exist for all internal audit staff and a learning plan for the individual/ audit group does not exist.

TB funding provided is being utilized for the specified intended purpose(s) and/or there is reasonable growth in the number of IA function resources.

Expected Results: Some reporting on progress and accomplishments against plan for 2006-07; however, increased progress reporting, including an annual report is planned for 2007-08.

Indian and Northern Affairs is clearly making important strides in progressing their internal audit function. The CAE is currently dealing with heavy demands related to forensic audit, thereby curtailing the time available to address the full spectrum of requirements related to the 2006 IA Policy. The department appointed a new Chief Audit and Evaluation Executive effective April 2007 reporting directly to the Deputy Minister.

Ensuring that the revised implementation plan is closely monitored so that actions such as the draft internal audit manual, the draft audit charter, and human resource planning are finalized.

Recommendations

The Department should improve the quality and timeliness of its assurance audit products.

19. Effective Management of Security and Business Continuity

Attention Required

Highlights

Opportunities

Security Program: Organization has a partially developed security program that contains some of the required policy elements.

Some deficiencies in meeting key policy requirements for the departmental security program.

IT Security: Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS) and complies with most MITS requirements.

No significant deficiencies in meeting key MITS requirements.

Business Continuity: Organization does not have measures in place to provide for the continuity of critical business operations and services.

Business Continuity Planning (BCP) program governance has not been fully established.

Business Impact Analysis (BIA) has not been completed to identify and prioritize the organization's critical services and assets.

Establishment of business continuity plans and arrangements is in progress.

Significant deficiencies in establishing a maintenance cycle to review, test and audit business continuity plans.

Summary analysis: Good progress has been made regarding MITS compliance; however significant deficiencies remain in the management of security and business continuity. INAC should continue to move forward with the implementation of the Security Management Framework (SMF) which addresses all portions of the Government Security Policy (GSP) and the Management of IT Security (MITS) operational security standard.

A work plan should be developed and approved by senior management, to guide the continuous improvement of the organization's security program. The work plan should include activities required to address deficiencies identified in the MAF assessment. Deficiencies in the following areas should be addressed on a priority basis:

Departmental security program accountability framework and policy (integrating Information Technology Security).
Security awareness program.
Completion of Business Impact Analysis and business continuity plans.

Recommendations

Completion of Business Impact Analysis and business continuity plans should be addressed on a priority basis.

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

Service standards: Very few services reviewed have set and communicated service standards to clients.

Very few services have measured service standards.

Client satisfaction: Client satisfaction, at least globally, has been measured within the last 3 years and results were communicated to clients.

Few services reviewed have used the Common Measurements Tool (CMT).

No evidence of acting on measurement results for client satisfaction.

Public/client views: Many tools are used to obtain views from some clients.

Mechanisms to respond to public feedback do not exist.

Strong evidence of incorporating feedback in implementation plan and/or service/program/policy.

There are plans to obtain views from all target clients.

There is a process/plan for identifying target clientele for public consultations.

Official Languages: Analysis of the Annual Review on OL shows the institution is generally able to meet its obligations.

Minimal number of complaints deemed founded by the Commissioner of Official Languages.

The institution has the necessary linguistic capacity to serve the public in both OL.

Common Look and Feel: The CLF 2.0 report indicates that a generally well laid-out plan exists to achieve compliance.

Establish plans to set service standards. Service standards should be set and measured for each service.
Set plans to measure client satisfaction. Client satisfaction should be measured for each service. Communicate the results of client satisfaction measurement.
Make information on consultations available on the Canada site and post results of its consultation activities.
Increase their capacity for accessible web development (e.g., using Common Look and Feel 2.0 template) and develop processes to ensure consistent CLF compliance across the web presence.

Recommendations

21. Alignment of Accountability Instruments

Highlights

Opportunities

Performance agreements: Extent to which performance agreements contain commitments for human resources management and financial management is high.

High alignment exists between individual performance agreements and the organization's business plans.

High alignment exists between individual performance agreements and the priorities of the Clerk of the Privy Council.

Operationalization of commitments between levels of executives is high.

Assessment Equity: Well-structured and managed review mechanism exists to ensure internal equity and consistency in determining ratings.

PMP Administration: A communications plan and program have been developed.

Compared with the public service average of approximately 22%, the percentage of executives who were rated in the highest category was 18%.

Compared with the public service average of 22%, the percentage of executives who received a bonus was 18%.

Compared with the budget for lump sum performance awards of 8.1%, the organizational expenditure was 8.%.

The department is encouraged to self-assess its performance management system against the evaluation checklist in the Gold Standard for the PMP and to establish priorities for improvement.

Recommendations