ARCHIVED - MAF Assessment: Canadian Heritage - 2007

Leadership: Executive leaders engage employees and stakeholders on an ongoing basis in ethical discussions and openly address organizational ethical issues through public statements and internal messaging.

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.

Organization monitors risks in regard to possible breaches of public service values and ethics, and risk management is integrated into decision making.

Supervisor training on the Public Servants Disclosure Protection Act and receiving disclosures have begun, and training is integrated in other learning activities.

Culture: Mechanisms are in place to promote employee engagement and are reflected in organization practices and employee behaviour.

Organization, on an ongoing basis, uses employee feedback from across the entire organization to measure its values and ethics culture and employee engagement.

Results are analyzed to inform senior management on progress made.

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

Measurability: The Strategic Outcome(s) statement is understood within and outside the organization as a benefit to Canadians; however, its clarity could be improved.

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

Business Plan: Sector or branch business plans are generally aligned with the corporate business plan.

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

Governance Structure: Only partial management oversight of the organization's program activities and underlying programs exists.

Organization's corporate governance structure is not adequately aligned to the organization's PAA.

Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.

Terms of reference are generally current and complete.

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: Department's portfolio coordination is effective.

Central portfolio affairs function provides support as needed.

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

PCH was assessed against its leadership of three horizontal initiatives and its participation in one initiative.

Supporting Information: Adequate explanation for the level of resources requested is partially sufficient.

Explanation for the level of resources requested is partially sufficient.

Funding information aligns fairly well with project authorities.

Information aligns fairly well with TBS financial data.

Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions.

Policy and budget authorities are usually identified.

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

Analysis: Appropriate and complete links to MRRS, strategic objectives, etc., are used.

Appropriate consideration is given to a range of issues, such as gender-based analysis and sustainable development implications.

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

Established capacity in the understanding of external pressures exists.

Generally, the correct policy authorities are used.

Consultations: Organization is usually able to avoid lateness by predicting and planning for uncontrollable factors.

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

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

Submissions usually have SFO or Head of Evaluation sign offs when appropriate.

Quality: Large majority of evaluations submitted to TB address questions of program relevance, success and effectiveness.

Evaluations usually use multiple lines of evidence.

Evaluation conclusions or recommendations are supported by evidence in the evaluation report.

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

Neutrality: 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 and is chaired by the deputy head or associate deputy head.

Evaluation function resourcing is commensurate with the organizational evaluation plan.

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

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

Coverage: The organization has shared a risk-based evaluation plan with TBS.

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

It also includes links to the organization's PAA.

Current annual evaluation coverage is between 10% and 15% of total direct program expenditures.

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.

Most RMAFs are implemented (i.e., between 60% and 80%).

Active, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.

The Department has demonstrated that it has a function for systematically evaluating programs which produces objective and reliable information on spending and can support decision-making with regard to spending and policy.

MRRS Basis: Performance expectations in the RPP are somewhat clear.

Credible information: A few relevant findings from audit and evaluation are included.

DPR is not sufficiently based on the PAA, i.e. performance is not reported consistently by Program Activity (PA) or at the PA level.

It is difficult for the reader to determine what the source of data and information reported in the DPR is and what the quality of the underlying data is.

Some information on the validity and credibility of data used is provided.

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

Context: DPR is not balanced – a few negative aspects of performance may be reported but insufficient explanation is provided.

DPR uses some comparisons, but they are not effective.

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

Organizational change plan exists and is consistent with the scope of change identified.

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 exist and are broad in scope and detail.

Individual and organization-wide change-related training programs are available.

Results are demonstrable.

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

Profile Currency: Senior management committee recently reviewed and renewed its corporate risk profile.

Mitigation: Accountabilities have been assigned for the implementation of the mitigation strategies.

Senior management at Canadian Heritage (PCH) has renewed its support for corporate risk activity by ensuring that forward planning decisions will be influenced by CRP output and that accountability for managing and monitoring key risks has been assigned.

Fair: Classification self-assessment report addresses all the required elements; however some gaps may be found or some elements may be lacking clarity.

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 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 representative of all 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 equal or less than 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.

Productive: 50% to 70% 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 always or nearly always 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 representative of all four employment equity designated groups.

Promotions are greater than or equal to representation.

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

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

Sustainable: Integrated planning is generally in place.

Evidence is available to show governance/organizational infrastructure generally exists to support integrated planning.

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.

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

IM roles and responsibilities are included in the organization's 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 fully underway with mechanisms to continuously evaluate and modify it.

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

Access to Information Act: Info Source publications contain some 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.

Corporate governance for IM is in place. The implementation of the IM strategy is effective, underway and sustainable. Canadian Heritage is effective in meeting most of the requirements of the Access to Information and Privacy Acts.

Leadership: Information technology management position is held by a highly engaged senior official designated within the corporate governance structure.

The senior official has responsibility and accountability for the full scope of information technology responsibilities and ensures that information technology supports organizational outcomes.

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 effectively analyzes, plans for, and appropriately uses information technology shared services.

Organization is developing performance measurement tools to assist with value-for-money analysis.

Real Property Management: Strong real property management framework exists.

Materiel Management: Key components of a materiel management framework are in place.

Investment Planning: the Organization has appropriate investment planning and procedures to ensure oversight of acquisition and disposal of capital assets.

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).

Project results: 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.

Effective project management practices are evident for only information management and technology projects.

Governance: Clear links have been established between procurement activities and the organization-wide program plans, priorities and long-term investments.

Effective and accountable procurement management processes and controls (e.g., contract review mechanisms, documented decision making or proper use of delegated authorities).

Operational requirements: Some qualified procurement human resources exists.

Ad hoc procurement training is established.

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

Insufficient procurement information systems and processes are in place.

Procurement processes that contribute to cost-savings and value for money are in use.

Results and reviews are used to continuously adjust current procurement management activities and future procurement plans.

Authorities and Policies: In relation to applicable guidelines, the reporting of external user fee information shows only a few omissions in the area of financial estimates.

Public Accounts Reporting: Greater than 97% of Public Accounts plates were submitted on time.

No accounting period 13 adjustments or significant errors found during the course of the OAG Public Accounts audit.

The number of Central Financial Management Reporting System (CFMRS) coding errors was below 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.

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

5% to 14% of key positions are not staffed permanently.

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

More than 35% of FI positions are vacant.

Succession plan for key positions is weak or non-existent.

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 presented to senior management less than 15 calendar days after period end.

The discussion and analysis accompanying the internal financial reporting information to senior management is comprehensive.

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

The scope of internal financial reporting information to senior management is reasonable.

Other Initiatives: The organization has identified a number of financial management initiatives.

The organization's state of financial management has improved. While Public Accounts reporting has progressed, further effort could be directed in the area of management capacity.

Internal Audit governance: A plan in place is to implement an independent audit committee and progress is on track with the planned timelines.

CAE reports solely & substantively to Deputy Head.

Implementation plan covers all of the required policy elements. Monitoring and progress are in line with key implementation plan elements.

Internal Audit Planning: Approved Annual Risk-Based Audit Plan is timely contains no significant deficiencies in quality.

Approved assurance products are timely, contain no significant deficiencies, and the level of productivity is reasonable compared to the Risk-Based Audit Plan.

Internal Audit Capacity: A human resources plan for all audit staff and a learning plan for the individual/ audit group exist and have broad detail

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.

Overall, the Department has made further progress since last year in implementing key elements of the Internal Audit (IA) Policy, particularly in the area of IA governance. The Chief Audit Executive (CAE) who reports solely and exclusively to the Deputy Head was appointed effective July 11, 2007.

Security Program: Organization has in place a fully developed security program that comprises key policy elements and is administered by an appointed departmental security officer (DSO) who is positioned to provide strategic advice and guidance to senior management.

No significant 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), but does not fully comply with MITS requirements.

Several deficiencies in meeting key MITS requirements.

Business Continuity: Organization has in place measures to provide for the continuity of critical business operations and services, and is compliant with most or all the policy requirements.

There are no significant deficiencies in meeting key Business Continuity Planning (BCP) program requirements.

Business continuity plans and arrangements are in place and approved by senior management.

Maintenance cycle has been put in place to review, test and audit business continuity plans.

Summary analysis: The organization has established a departmental security program, has in place measures to provide for the continuity of critical business operations and services, and is compliant with most BCP program requirements; however significant deficiencies remain with compliance with the MITS standard.

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

Very few services have measured service standards.

Evidence of acting on performance results for standards.

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

Some evidence of acting on results.

Public/client views: Few or insufficient mechanisms to respond to public feedback.

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

Many strong tools are used to obtain views from clients.

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 fully meeting 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.

The institution demonstrates leadership in the CLF community.

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 medium-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 15%.

Compared with the budget for lump sum performance awards of 8.1%, the organizational expenditure was 7.3%.