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Management Accountability Framework

ARCHIVED - MAF Assessment: Canadian International Trade Tribunal - 2008

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This document provides a Treasury Board Secretariat assessment of the department's performance against specific areas of management only. It does not present an assessment of management quality beyond these areas of management, nor does it reflect the level of effort a department may be making towards improving the quality of its management. The MAF assessments use standardized language to ensure consistent descriptions and characterizations. This assessment may not reflect the latest information available. Some departments and agencies have provided updated information in the form of a management response. Where management responses have been prepared, the link to the response is posted below the assessment.

Context

The last time the Canadian International Trade Tribunal (CITT) was subject to a Management Accountability Framework (MAF) assessment was in 2005-06 and the process has changed significantly since that time. This year's observations by the Treasury Board Portfolio (TBP) related to CITT are generally positive.

Of the 21 areas of management against which CITT was assessed during round 6 this year, it received four "Strong" ratings, twelve "Acceptable", three "Opportunity for Improvement", one “Unrated” and one “Not applicable”.

The “quality and use of evaluation” by small organizations was not rated by TBP because of the special requirements and limited resources of these organizations. The “quality of analysis in TB submissions” was "Not applicable" because there were no submissions during the assessment period.

Relative to the 2005-06 assessment, observations during Round 6 indicate that CITT made progress and eliminated previously identified weaknesses while generally maintaining its strengths. The most notable improvement was in the area of internal audit, where the rating increased from "Opportunity for Improvement" to “Strong”.

CITT should be recognized for its work in performance management as reflected in a "Strong" rating on the Utility of Corporate Management Structure and the Performance Management Program for Executives.

There are areas, however, where CITT should continue to make further progress and which have been identified as management improvement priorities in order to maintain the positive trend:

Public Service Values – The organization's values and ethics strategy, which is well in place, presents an opportunity for senior management to champion Public Service values and ethics, and would benefit from improved information about the actual challenges that CITT faces.

Quality of Performance Reporting – The organization's Departmental Performance Report would benefit from clearly indicating key changes to its plans during the reporting period and reflect the resulting change in expected and actual performance. CITT could also strengthen its performance story by consistently identifying and discussing the benefits to Canadians at the program activity level.

Effectiveness of Information Management – CITT is invited to work with TBP to develop appropriate descriptions of its information holdings (including personal information) in accordance with the Access to Information and Privacy Acts.

In 2007, CITT was one of 17 organizations which conducted a comprehensive Strategic Review of its programs and spending. In August 2008, CITT reported that it had realized the full amount of expected savings.

1. Values-based Leadership and Organizational Culture

Opportunity for Improvement

Highlights	Opportunities
1.1 Leadership: Acceptable Executive leadership regularly communicates and encourages ongoing dialogue on public service values and ethics among employees. 1.2 Infrastructure: Opportunity for Improvement Information on vulnerable and at-risk areas of the organization in regard to public service values and ethics is assessed by management in an ad hoc manner. The organization's values and ethics plan is limited to a few activities over the next 12 months. 1.3 Culture: Opportunity for Improvement Organization makes general assessments of its current state of public service values and ethics.	Given its priorities and resources, the organization is urged to take into consideration the following options: Draw up a plan comprising a strategy backed by senior management detailing medium-term activities designed to inculcate in staff the importance of values and ethics in the Public Service.
Recommendations
Identify opportunities for senior management to champion public service values and ethics as part of an overall V and E strategy for the organization.

Highlights

Opportunities

1.1 Leadership: Acceptable

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

1.2 Infrastructure: Opportunity for Improvement

Information on vulnerable and at-risk areas of the organization in regard to public service values and ethics is assessed by management in an ad hoc manner.
The organization's values and ethics plan is limited to a few activities over the next 12 months.

1.3 Culture: Opportunity for Improvement

Organization makes general assessments of its current state of public service values and ethics.

Given its priorities and resources, the organization is urged to take into consideration the following options:

Draw up a plan comprising a strategy backed by senior management detailing medium-term activities designed to inculcate in staff the importance of values and ethics in the Public Service.

Recommendations

Identify opportunities for senior management to champion public service values and ethics as part of an overall V and E strategy for the organization.

2. Utility of the Corporate Performance Framework

Strong

Highlights	Opportunities
2.1 PAA Consistency: Strong The Strategic Outcome(s) indicates an obvious departmental area of influence and clearly align(s) with the organization's mandate. The Strategic Outcome(s) is/are (a) clear outcome statement(s) that can be understood within and outside the department as a benefit to Canadians. 2.2 Measurability: Strong A robust Program Activity Architecture has been developed 2.3 Quality: A strong and complete performance measurement framework is in place.	The organization should start to collect data for the performance indicators, use it in decision making and incorporate the associated learning back into the Performance Measurement Framework.
Recommendations

Highlights

Opportunities

2.1 PAA Consistency: Strong

The Strategic Outcome(s) indicates an obvious departmental area of influence and clearly align(s) with the organization's mandate.
The Strategic Outcome(s) is/are (a) clear outcome statement(s) that can be understood within and outside the department as a benefit to Canadians.

2.2 Measurability: Strong

A robust Program Activity Architecture has been developed

2.3 Quality:

A strong and complete performance measurement framework is in place.

The organization should start to collect data for the performance indicators, use it in decision making and incorporate the associated learning back into the Performance Measurement Framework.

Recommendations

3. Effectiveness of the Corporate Management Structure

Acceptable

Highlights	Opportunities
3.1 Business Plan: Acceptable Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans. 3.2 Governance Structure: Acceptable Management decisions and interventions are generally proactive and timely. Resource reallocation is generally proactive when or where required.
Recommendations

Highlights

Opportunities

3.1 Business Plan: Acceptable

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

3.2 Governance Structure: Acceptable

Management decisions and interventions are generally proactive and timely.
Resource reallocation is generally proactive when or where required.

Recommendations

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.2 Participation in Priority Initiatives: Acceptable The organization contributes effectively to Public Service Renewal. CITT has been assessed as Acceptable for Line of Evidence 4.2 for its participation in Public Service Renewal.	TBS encourages the CITT to build on its engagement activities, seeking and acting upon employee suggestions on a regular basis, thereby furthering the organization's efforts at implementing Public Service Renewal.
Recommendations

Highlights

Opportunities

4.2 Participation in Priority Initiatives: Acceptable

The organization contributes effectively to Public Service Renewal.
CITT has been assessed as Acceptable for Line of Evidence 4.2 for its participation in Public Service Renewal.

TBS encourages the CITT to build on its engagement activities, seeking and acting upon employee suggestions on a regular basis, thereby furthering the organization's efforts at implementing Public Service Renewal.

Recommendations

5. Quality of Analysis in TB Submissions

Highlights	Opportunities

Recommendations

6. Quality and Use of Evaluation

Highlights	Opportunities
6.1 Quality: GIVEN THE SPECIAL REQUIREMENTS AND LIMITED RESOURCES OF SMALL ORGANIZATIONS, SMALL ORGANIZATIONS WERE NOT ASSESSED FOR MAF ROUND VI IN THE AREA OF QUALITY AND USE OF EVALUATION (AOM 6). SMALL ORGANIZATIONS SHOULD CONSULT THE NEW TREASURY BOARD POLICY ON EVALUATION (2009) FOR EVALUATION REQUIREMENTS IN 2009-10 AND FUTURE YEARS.	CITT is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements in 2009-2010 and future years.
Recommendations

Highlights

Opportunities

6.1 Quality:

GIVEN THE SPECIAL REQUIREMENTS AND LIMITED RESOURCES OF SMALL ORGANIZATIONS, SMALL ORGANIZATIONS WERE NOT ASSESSED FOR MAF ROUND VI IN THE AREA OF QUALITY AND USE OF EVALUATION (AOM 6). SMALL ORGANIZATIONS SHOULD CONSULT THE NEW TREASURY BOARD POLICY ON EVALUATION (2009) FOR EVALUATION REQUIREMENTS IN 2009-10 AND FUTURE YEARS.

CITT is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements in 2009-2010 and future years.

Recommendations

7. Quality Reporting to Parliament

Opportunity for Improvement

Highlights	Opportunities
7.1 MRRS Basis: Opportunity for Improvement RPP and DPR present a clear PAA (with crosswalks as necessary). Some performance is reported against plans and expected results from the RPP. 7.2 Credible information: Acceptable DPR generally provides independently verifiable evidence-based performance information. Some information on the validity and credibility of data used is provided. 7.3 Context: Opportunity for Improvement DPR uses some comparisons, but they are not effective. Reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities.	The organization should focus on ensuring that the performance story is reported at the PA level with a discussion of benefits for Canadians.
Recommendations
The DPR should clearly indicate the key changes to plans during the reporting period and reflect any resulting changes in expected and actual performance appropriately.

Highlights

Opportunities

7.1 MRRS Basis: Opportunity for Improvement

RPP and DPR present a clear PAA (with crosswalks as necessary).
Some performance is reported against plans and expected results from the RPP.

7.2 Credible information: Acceptable

DPR generally provides independently verifiable evidence-based performance information. Some information on the validity and credibility of data used is provided.

7.3 Context: Opportunity for Improvement

DPR uses some comparisons, but they are not effective.
Reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities.

The organization should focus on ensuring that the performance story is reported at the PA level with a discussion of benefits for Canadians.

Recommendations

The DPR should clearly indicate the key changes to plans during the reporting period and reflect any resulting changes in expected and actual performance appropriately.

8. Managing Organizational Change

Acceptable

Highlights	Opportunities
8.1 Change plan: Acceptable The organization has the capacity to evaluate whether or not change is required. 8.2 Engagement: Acceptable Employees are engaged in the strategy development phase. 8.3 Assessment: Acceptable Results are apparent.
Recommendations

Highlights

Opportunities

8.1 Change plan: Acceptable

The organization has the capacity to evaluate whether or not change is required.

8.2 Engagement: Acceptable

Employees are engaged in the strategy development phase.

8.3 Assessment: Acceptable

Results are apparent.

Recommendations

9. Effectiveness of Corporate Risk Management

Acceptable

Highlights	Opportunities
9.1 Engagement: Acceptable Senior management reviews the organization's Risk Management approach within the current three-year planning cycle. The organization has a common risk assessment approach but it has not been approved by senior management. Senior management ensures that the organization's Risk Management approach is tailored to the specific needs of the organization. Senior management has reviewed/approved the Corporate Risk Profile within the past year. Senior management somewhat encourages Risk Management and a risk-smart culture. Accountability for key risks is assigned to senior management. 9.2 Implementation: Acceptable The organization's Risk Management approach is inconsistently communicated to staff and stakeholders. The Corporate Risk Profile is systematically (horizontally and vertically) implemented into most operational levels across the organization. Risk Management guidance and tools that enable the organization's risk management approach are inconsistently made available to staff. 9.3 Integration: Acceptable Risk information is inconsistently considered and consulted for senior management decision-making. Risk information and Risk Management principles somewhat influence planning and resource allocation decisions. Operational level risks are prioritized into key risks. Risk information and Risk Management principles are adequately captured in senior management reporting. The organization makes adequate course corrections based on Risk Management performance and new information. 9.4 Continuous Improvement: Acceptable Most relevant external sources are consulted during the development of the organization's CRP. Key risk information was adequately gathered from internal sources of the organization for preparing the CRP. Corporate risks are consistently linked to the organization's strategic outcomes. The CRP provides a reliable assessment of the quality of risk information used. The organization adequately builds on past experience, better practice, and adjusts to fit any changes in management structures, priorities or strategic direction. The organization has implemented most recommendations provided during its last MAF assessment. The Canadian International Trade Tribunal has made progress in creating a comprehensive organization-wide RM approach since its last assessment. Examples of this progress include formalizing the process of evaluating risk, integrating its RM approach into the RPP process, and updating the CRP every three months. CITT is also currently undertaking a RM assessment project to improve its management of process and workloads in peak periods.	CITT has made progress in terms of ensuring that senior management encourages and participates in a risk-smart culture (e.g., ensuring the accountability for key risks are assigned to senior management in their PMAs). CITT has taken the opportunity to make continued progress in this area and should explore the possibility of identifying a lead for each risk mitigation strategy and ensuring that senior management's level of engagement in the encouragement of RM within the organization is apparent to all employees and key stakeholders. While it is evident that risk information is an input in the organization's strategic planning process, CITT should develop a process to ensure that this risk information is also explicitly embedded within its planning and decision-making processes.
Recommendations

Highlights

Opportunities

9.1 Engagement: Acceptable

Senior management reviews the organization's Risk Management approach within the current three-year planning cycle.
The organization has a common risk assessment approach but it has not been approved by senior management.
Senior management ensures that the organization's Risk Management approach is tailored to the specific needs of the organization.
Senior management has reviewed/approved the Corporate Risk Profile within the past year.
Senior management somewhat encourages Risk Management and a risk-smart culture.
Accountability for key risks is assigned to senior management.

9.2 Implementation: Acceptable

The organization's Risk Management approach is inconsistently communicated to staff and stakeholders.
The Corporate Risk Profile is systematically (horizontally and vertically) implemented into most operational levels across the organization.
Risk Management guidance and tools that enable the organization's risk management approach are inconsistently made available to staff.

9.3 Integration: Acceptable

Risk information is inconsistently considered and consulted for senior management decision-making.
Risk information and Risk Management principles somewhat influence planning and resource allocation decisions.
Operational level risks are prioritized into key risks.
Risk information and Risk Management principles are adequately captured in senior management reporting.
The organization makes adequate course corrections based on Risk Management performance and new information.

9.4 Continuous Improvement: Acceptable

Most relevant external sources are consulted during the development of the organization's CRP.
Key risk information was adequately gathered from internal sources of the organization for preparing the CRP.
Corporate risks are consistently linked to the organization's strategic outcomes.
The CRP provides a reliable assessment of the quality of risk information used.
The organization adequately builds on past experience, better practice, and adjusts to fit any changes in management structures, priorities or strategic direction.
The organization has implemented most recommendations provided during its last MAF assessment.

The Canadian International Trade Tribunal has made progress in creating a comprehensive organization-wide RM approach since its last assessment. Examples of this progress include formalizing the process of evaluating risk, integrating its RM approach into the RPP process, and updating the CRP every three months. CITT is also currently undertaking a RM assessment project to improve its management of process and workloads in peak periods.

CITT has made progress in terms of ensuring that senior management encourages and participates in a risk-smart culture (e.g., ensuring the accountability for key risks are assigned to senior management in their PMAs).

CITT has taken the opportunity to make continued progress in this area and should explore the possibility of identifying a lead for each risk mitigation strategy and ensuring that senior management's level of engagement in the encouragement of RM within the organization is apparent to all employees and key stakeholders.

While it is evident that risk information is an input in the organization's strategic planning process, CITT should develop a process to ensure that this risk information is also explicitly embedded within its planning and decision-making processes.

Recommendations

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

Acceptable

Highlights	Opportunities
10.1 Fair: Acceptable Organization is undertaking action to improve the classification program in accordance with its level of risk. Evidence shows that labour relations matters are consistently and appropriately managed/addressed. Evidence shows that the organization exceeds standards of timeliness in payments to employees. Evidence shows that the organization is in compliance with Labour Relations and Compensation Operations direction (terms and condition of employment, collective agreements and/or applicable legislation). 10.2 Enabling: Acceptable 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. Promotions among employment equity groups are equal or less than previous year's performance. Separations among employment equity groups 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. 10.3 Healthy and safe: A considerable number of employees do not feel recognized for positive performance. Evidence shows that the organization has an inadequately managed program to protect employees' occupational health and safety.	Take action to ensure that employees feel recognized for their contribution. Take action to ensure Occupational Health and Safety programs are well managed.
Recommendations

Highlights

Opportunities

10.1 Fair: Acceptable

Organization is undertaking action to improve the classification program in accordance with its level of risk.
Evidence shows that labour relations matters are consistently and appropriately managed/addressed.
Evidence shows that the organization exceeds standards of timeliness in payments to employees.
Evidence shows that the organization is in compliance with Labour Relations and Compensation Operations direction (terms and condition of employment, collective agreements and/or applicable legislation).

10.2 Enabling: Acceptable

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.
Promotions among employment equity groups are equal or less than previous year's performance.
Separations among employment equity groups 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.

10.3 Healthy and safe:

A considerable number of employees do not feel recognized for positive performance.
Evidence shows that the organization has an inadequately managed program to protect employees' occupational health and safety.

Take action to ensure that employees feel recognized for their contribution.
Take action to ensure Occupational Health and Safety programs are well managed.

Recommendations

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

Strong

Highlights	Opportunities
11.1 Productive: Strong A significant number of employees indicate their organization supports their career development and learning needs. 11.2 Principled: Acceptable Communications with and services to the public in both official languages are always or nearly always available. Employees consider that they always or nearly always can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications 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 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 among employment equity groups are less than representation for at least one group. 11.3 Sustainable: Acceptable Evidence indicates human resources planning integrated with business planning is generally in place and governance/organizational infrastructure generally exists to support it. 11.4 Adaptable: Strong A significant number of employees indicate their organization encourages continuous learning, improvement and innovation.
Recommendations

Highlights

Opportunities

11.1 Productive: Strong

A significant number of employees indicate their organization supports their career development and learning needs.

11.2 Principled: Acceptable

Communications with and services to the public in both official languages are always or nearly always available.
Employees consider that they always or nearly always can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications 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 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 among employment equity groups are less than representation for at least one group.

11.3 Sustainable: Acceptable

Evidence indicates human resources planning integrated with business planning is generally in place and governance/organizational infrastructure generally exists to support it.

11.4 Adaptable: Strong

A significant number of employees indicate their organization encourages continuous learning, improvement and innovation.

Recommendations

12. Effectiveness of Information Management

Acceptable

Highlights	Opportunities
12.1 Governance: Acceptable IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s). Some responsibilities are identified for IM policy development/implementation. Participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices. 12.2 Strategy: Acceptable A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles. An IM strategy implementation plan, including some timelines and resources, is underway and some achievements to date are identified. IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities. 12.3 Privacy Act: Attention Required Organization has no institution-specific descriptions of personal information under its control as required by the Privacy Act. 12.4 Access to Information Act: Acceptable Most of the organization's functions, programs, activities and related information holdings have been appropriately identified and described in its 2008 Chapter of Info Source: Sources of Federal Government Information. Although the overall rating for CITT is Acceptable, the organization has not met several of the assessed statutory requirements of the Privacy Act.	More wholly integrate IM requirements into planning, approval, management, operational, and evaluation activities. Increase reporting and monitoring on the IM initiatives to ensure they are aligned with the business strategy. 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. Review institution-specific Classes of Records to ensure that all descriptions in Info Source are comprehensive, complete, up-to-date, and comply with Treasury Board Secretariat requirements.
Recommendations
CITT must comply with all Access to Information and Privacy legislative and policy requirements. In particular, it must provide descriptions of its personal information collections.

Highlights

Opportunities

12.1 Governance: Acceptable

IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects.
IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s).
Some responsibilities are identified for IM policy development/implementation.
Participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices.

12.2 Strategy: Acceptable

A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles.
An IM strategy implementation plan, including some timelines and resources, is underway and some achievements to date are identified.
IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.

12.3 Privacy Act: Attention Required

Organization has no institution-specific descriptions of personal information under its control as required by the Privacy Act.

12.4 Access to Information Act: Acceptable

Most of the organization's functions, programs, activities and related information holdings have been appropriately identified and described in its 2008 Chapter of Info Source: Sources of Federal Government Information.

Although the overall rating for CITT is Acceptable, the organization has not met several of the assessed statutory requirements of the Privacy Act.

More wholly integrate IM requirements into planning, approval, management, operational, and evaluation activities.
Increase reporting and monitoring on the IM initiatives to ensure they are aligned with the business strategy.
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.
Review institution-specific Classes of Records to ensure that all descriptions in Info Source are comprehensive, complete, up-to-date, and comply with Treasury Board Secretariat requirements.

Recommendations

CITT must comply with all Access to Information and Privacy legislative and policy requirements. In particular, it must provide descriptions of its personal information collections.

13. Effectiveness of Information Technology Management

Opportunity for Improvement

Highlights	Opportunities
13.1 Leadership: Acceptable The senior official has responsibility and accountability for the full scope of information technology responsibilities and ensures that information technology supports organizational outcomes. Adequate participation in setting government-wide directions for information technology is evident. 13.2 Planning: Opportunity for Improvement Organization currently has information technology plan that does not fully meet expected content requirements. Organization is making efforts to align corporate and information technology governance structures and planning processes. 13.3 Value: Opportunity for Improvement Organization is making efforts to appropriately use and plan for further use of information technology shared services. Organization is developing service costing, asset management, performance measurement and reporting to ensure value delivery.	Contribute to setting GC-wide directions for information technology through participation of the senior official for IT and the management team in designated governance, advisory and working group forums. Strengthen the integrated set of processes and practices for governance, planning and benefits realization in order to monitor and oversee the delivery of business value from IT investments. Strengthen the qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.
Recommendations
Ensure IT plan is aligned to the organization’s business and GC-wide strategic directions to reduce IT complexity and duplication, promote alignment and interoperability, and optimize service delivery within the organization and across the GC.

Highlights

Opportunities

13.1 Leadership: Acceptable

The senior official has responsibility and accountability for the full scope of information technology responsibilities and ensures that information technology supports organizational outcomes.
Adequate participation in setting government-wide directions for information technology is evident.

13.2 Planning: Opportunity for Improvement

Organization currently has information technology plan that does not fully meet expected content requirements.
Organization is making efforts to align corporate and information technology governance structures and planning processes.

13.3 Value: Opportunity for Improvement

Organization is making efforts to appropriately use and plan for further use of information technology shared services.
Organization is developing service costing, asset management, performance measurement and reporting to ensure value delivery.

Contribute to setting GC-wide directions for information technology through participation of the senior official for IT and the management team in designated governance, advisory and working group forums.
Strengthen the integrated set of processes and practices for governance, planning and benefits realization in order to monitor and oversee the delivery of business value from IT investments.
Strengthen the qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.

Recommendations

Ensure IT plan is aligned to the organization’s business and GC-wide strategic directions to reduce IT complexity and duplication, promote alignment and interoperability, and optimize service delivery within the organization and across the GC.

14. Effectiveness of Asset Management

Acceptable

Highlights	Opportunities
14.1 Investment Planning: Acceptable The organization has a current long-term investment planning document that has been approved by the proper authority. The organization’s investment planning process considers investments over multiple years. The investment planning process integrates investments decisions across all asset classes. Organizational priorities and areas of highest risk are identified and guide investment decisions. 14.3 Materiel Management: Acceptable Governance structures, approval processes and authority limits are documented and disseminated. Reliable and sufficiently integrated information systems are in place. The Canadian International Trade Tribunal has indicated that, due to its small size and limited resources, the organization does not have its own internal policies but follows PWGSC policies.	The Canadian International Trade Tribunal could consider developing its own materiel management policies when appropriate.
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Acceptable

The organization has a current long-term investment planning document that has been approved by the proper authority.
The organization’s investment planning process considers investments over multiple years.
The investment planning process integrates investments decisions across all asset classes.
Organizational priorities and areas of highest risk are identified and guide investment decisions.

14.3 Materiel Management: Acceptable

Governance structures, approval processes and authority limits are documented and disseminated.
Reliable and sufficiently integrated information systems are in place.

The Canadian International Trade Tribunal has indicated that, due to its small size and limited resources, the organization does not have its own internal policies but follows PWGSC policies.

The Canadian International Trade Tribunal could consider developing its own materiel management policies when appropriate.

Recommendations

15. Effective Project Management

Acceptable

Highlights	Opportunities
15.1 Governance and Oversight: Acceptable Business cases support some project proposals, but are not required for all projects. There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented. There is no evidence that the organization has exceeded Treasury Board approval limits. 15.2 Effective Management of Project Resources: Acceptable Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes. The funding models used for projects support the achievement of expected project outcomes and cost estimates are generated at the work package level and consider historical data and/or industry benchmarks. There is no evidence that the organization has failed to meet TB conditions regarding projects. 15.3 Effective Management of Project Results: Acceptable There is evidence that the organization monitors project performance and uses this information to support corrective action. While lessons learned are used to improve project management governance and oversight in some instances, there is no formal or organization-wide mechanism which supports continuous improvement. While there is evidence that project milestones, deliverables and outcomes are documented for some projects, it is not a requirement across the organization.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Acceptable

Business cases support some project proposals, but are not required for all projects.
There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented.
There is no evidence that the organization has exceeded Treasury Board approval limits.

15.2 Effective Management of Project Resources: Acceptable

Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes.
The funding models used for projects support the achievement of expected project outcomes and cost estimates are generated at the work package level and consider historical data and/or industry benchmarks.
There is no evidence that the organization has failed to meet TB conditions regarding projects.

15.3 Effective Management of Project Results: Acceptable

There is evidence that the organization monitors project performance and uses this information to support corrective action.
While lessons learned are used to improve project management governance and oversight in some instances, there is no formal or organization-wide mechanism which supports continuous improvement.
While there is evidence that project milestones, deliverables and outcomes are documented for some projects, it is not a requirement across the organization.

Recommendations

16. Effective Procurement

Acceptable

Highlights	Opportunities
16.1 Governance and Oversight: Opportunity for Improvement Some procurement management processes and controls are in place (e.g., contract review mechanisms, documented decision making, guidance documents, delegation instruments or proper use of delegated authorities). Some procurement planning. 16.2 Meeting Operational Requirements: Acceptable Qualified procurement human resources exist. Efficient and integrated procurement information systems and processes are in place. Timely and accurate procurement financial and non-financial reports have been submitted. Links to human resources planning are inconsistent (e.g., insufficient succession planning and recruitment strategies for procurement staff). Little improvement in the use of procurement processes contributing to cost savings and value for money has been identified. Procurement training is done on an ad hoc basis Some informed decision making and oversight exists. CITT is a very small organization with a commensurately small procurement operation. MAF Round VI is the first assessment of its procurement operations.	A Management Action Plan has been prepared to address the Audit Report of the Financial Management Framework dated February 13, 2007 that makes recommendations for improvement of the procurement/contracting function, particularly the establishment of a formal contracting challenge function.
Recommendations

Highlights

Opportunities

16.1 Governance and Oversight: Opportunity for Improvement

Some procurement management processes and controls are in place (e.g., contract review mechanisms, documented decision making, guidance documents, delegation instruments or proper use of delegated authorities).
Some procurement planning.

16.2 Meeting Operational Requirements: Acceptable

Qualified procurement human resources exist.
Efficient and integrated procurement information systems and processes are in place.
Timely and accurate procurement financial and non-financial reports have been submitted.
Links to human resources planning are inconsistent (e.g., insufficient succession planning and recruitment strategies for procurement staff).
Little improvement in the use of procurement processes contributing to cost savings and value for money has been identified.
Procurement training is done on an ad hoc basis
Some informed decision making and oversight exists.

CITT is a very small organization with a commensurately small procurement operation. MAF Round VI is the first assessment of its procurement operations.

A Management Action Plan has been prepared to address the Audit Report of the Financial Management Framework dated February 13, 2007 that makes recommendations for improvement of the procurement/contracting function, particularly the establishment of a formal contracting challenge function.

Recommendations

17. Effectiveness of Financial Management and Control

Acceptable

Highlights

Opportunities

17.1 Authorities and Policies: Acceptable

Audit report results show evidence of solid financial management practices.
Departmental procedures, tools, training and support for those individuals delegated with Section 34 authority show evidence of solid financial management practices.
Departmental processes for classification of moneys, internal controls for receiving and recording money and depositing money show evidence of good financial management practices.
Departmental processes for informing those delegated with Section 33 authority of their responsibilities and dealing with requests for payments that are problematic show evidence of deficiencies that are of serious concern.
Departmental processes to provide individuals delegated Section 33 authority with the information necessary to assess and approve specific transactions and to assess the adequacy of Section 34 account verification show evidence of solid financial management practices.

17.2 Public Accounts Reporting: Strong

Greater than 97% (Grade A) of Public Accounts plates completed on time.
Minimal Central Financial Management Reporting System (CFMRS) coding errors.

17.3 Management Capacity: Acceptable

A significant amount of training is provided for the financial management organization.
A very low proportion of FIs or management team members in the financial management organization have current, approved learning plans.
Few processes in support of a sound succession plan for key positions are in place.
Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the FI segment of the financial management organization.
Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the positions on the management team of the financial management organization.

17.4 Financial Statements: Acceptable

"There is evidence of some work undertaken to assess and/or monitor and/or improve internal control over financial reporting."
The Financial Statements are compliant with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and reporting deadlines were met.

17.5 Internal Reporting: Opportunity for Improvement

The internal financial reporting package is accompanied by a weak discussion and analysis.
The internal financial reporting package is presented to senior management eight to nine times per year.
The internal financial reporting package is presented to senior management less than 15 calendar days after period end.
The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is weak.
The scope of the internal financial reporting package is limited.

While this organization received an overall rating of Acceptable, the quality of its internal financial reporting requires improvements.

Recommendations

18. Effectiveness of Internal Audit Function

Strong

Highlights	Opportunities
The Canadian International Trade Tribunal has an implementation plan to meet the requirements of the 2006 Policy on Internal Audit and progress on all matters is evident.The CITT performs quarterly risk reviews; has a Risk-Based Audit Plan and has provided the Office of the Comptroller General (OCG) with an audit report.	CITT is reminded to provide the OCG with annual updates of the Risk-Based Audit Plan. CITT should inform the OCG two weeks in advance of posting audit reports to the website.
Recommendations

19. Effective Management of Security and Business Continuity

Acceptable

Highlights

Opportunities

19.1 Departmental Security Program: Acceptable

Organization has a partially developed security program that contains some of the required policy elements.
No significant deficiencies in meeting key policy requirements for the departmental security program.

19.2 Management of IT Security (MITS): Acceptable

Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS) and complies with most MITS requirements.
Some deficiencies in meeting key MITS requirements.

19.3 Business Continuity Planning (BCP):

Organization has conducted a Business Impact Analysis (BIA) and has determined that it does not provide critical services to the public and private sectors.

NB: The evaluation methodology for Line of Evidence 19.3 will be revised for MAF Round VII. Please consult the evaluation for details.

Develop a work plan to guide changes in the security program and identify activities to be undertaken to meet the organization's specific needs (including ongoing projects related to security training).
Improve the organization's security management framework (including formalization of program governance, revision of the Employee Manual and development of procedures to support certain security-related activities).
Support efforts related to MITS, so as to maintain the current compliance status (including approval by senior management of the Departmental Information Technology Security Policy).
Implement plans, measures and provisions to ensure business continuity.

Recommendations

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

20.1 Management Engagement – Service and CLF: Acceptable

There are expectations set by senior management for an institutional focus on meeting the needs of clients, specifically with respect to service standards and client satisfaction measurement.
There are generally documented and communicated priorities and goals for service at the institutional level; these priorities and goals are generally set by senior management based on the use of performance evidence.
There is a well-established committee at the institutional level, composed of senior management accountable for service, which has a fully documented and communicated responsibility for making decisions about the overall management of service.
There is monitoring of progress by senior management towards the achievement of the institution-wide goals for service, with course correction if necessary.
There is little monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; there is limited information on which to make decisions and course correction.

20.3 Official Languages: Strong

Analysis of the Annual Review on OL shows the institution is fully meeting its obligations.
Audits reveal very good performance in active offer and service delivery in both OL.
No complaint or minimal number of founded complaints exits.
The institution has the necessary linguistic capacity to serve the public in both OL.

TBS encourages CITT to:

Use the results of performance information, including the results of client satisfaction measurement and performance related to service standards, to identify goals and priorities for the improvement of its services at the institutional level.
Conduct client satisfaction measurement for key services using the Common Measurements Tool (CMT) developed by the Institute for Citizen-Centred Service.
Continue with efforts to see that all decisions are published simultaneously in both official languages.

Recommendations

21. Alignment of Accountability Instruments

Strong

Highlights	Opportunities
	All departments and agencies should place a heightened focus on clear accountabilities, face to face, mid-year review and performance improvement plans.
Recommendations