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Management Accountability Framework

ARCHIVED - MAF Assessment: Courts Administration Service - 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

This year’s observations by the Treasury Board Portfolio related to the Courts Administration Service (the Service) are mixed. In total, for the twenty Areas of Management against which the Service was assessed, it received one “strong” rating, nine “acceptable” ratings, seven “opportunity for improvement” ratings, and four “attention required” ratings. As this is the first MAF assessment for the Service against these Areas of Management (AoM), it is not possible to make any comparisons against previous years’ ratings. The Service was assessed three years ago against a series of indicators, some of which were related to the present AoMs and can inform the present assessments.

Over the years, the Service performed well in several areas but faces management challenges in some others. The Service should be recognized for its strong performance in the following areas:

Quality of Analysis in TB Submissions – The information the Service provides within Treasury Board submissions is accurate, reliable, and is accompanied by sound legal analysis and program descriptions. The Service responds promptly and effectively to TBS feedback on TB submissions. The Service communicates regularly with TBS to plan the forward agenda for future TB submissions, and the Service has demonstrated its ability to bring forward submissions within the context of the expenditure management cycle; and,
Effectiveness of Financial Management Control – The Service’s financial management and control is acceptable as evidenced by well documented systems for monitoring compliance with financial legislative authorities and is generally consistent with TB Policies and regulations. The quality, timeliness and accuracy of the Public Accounts plates submitted for purposes of government-wide reporting is acceptable, as is the internal reporting to senior management.

Although there are areas in Round III of the MAF where the Service had identified intentions and plans to make progress, TBS has seen little progress in the areas of an effective audit function and development of an integrated Corporate Plan including Risk Management. The Service should therefore aim to make further progress in these areas in the coming year:

Effectiveness of the Corporate Management Structure – In the coming year, the Service should focus on the integration of all its internal plans, including their planned Integrated Risk Management Plan, into a main Corporate Business Plan. It should also endeavour to develop solid performance measurements.
Effectiveness of Corporate Risk Management – Since its creation in 2003, the Service has not undertaken the implementation of formal, integrated risk management across the organization. The Service is showing signs of progress as evidenced by the recent engagement and commitment of senior management to strengthen the framework within which to accomplish rigorous, structured integrated planning, including risk identification and management; and,
Effective Project Management – The Service is currently undertaking two major projects. Although a basic governance structure for these projects appears to be in place, there is no evidence of established processes to ensure adequate resource management and to ensure that results are achieved and communicated. There is no evidence that cost estimates are prepared at the work package level or prepared using historical data and/or industry benchmarks. There is evidence that at least one project has exceeded the organization’s project approval limit.
Effectiveness of Internal Audit Function – The Service has experienced many challenges in this area in the past and has demonstrated minimal progress in implementing key elements of the 2006 Policy on Internal Audit. No audit reports were submitted to OCG during this MAF assessment period. While the Service has a draft Internal Audit Policy in line with the 2006 Policy on Internal Audit, the Implementation Plan only partially covers the required elements and there is no evidence that progress is on track. There is no Chief Audit Executive (CAE) currently in place.

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

Effectiveness of Internal Audit Function – In the coming year, the Service should focus on a number of specific areas to improve its rating. The Service should work with TBS to improve on the numerous areas that do not comply with the Policy, as identified in this assessment.
Effectiveness of Corporate Risk Management – The Service should work toward identifying and situating its various risk management activities and processes within an Integrated Risk Management approach as part of an integrated corporate business plan, and ensure senior management accountability for more significant Corporate Risk Profile risks. The organization is encouraged to follow through on its 2-year plan commitment for integrated risk management, and TBS looks forward to seeing the progress and the results of its implementation over the next 2 years.
Effectiveness of the Corporate Management Structure – In the coming year, the Service should focus on the integration of all its internal plans, including the integrated risk management Plan, into a main Corporate Business Plan.

1. Values-based Leadership and Organizational Culture

Opportunity for Improvement

Highlights	Opportunities
1.1 Leadership: Opportunity for Improvement Executive leadership sporadically communicates public service values and ethics on a top-down basis with employees. 1.2 Infrastructure: Opportunity for Improvement 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. 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 communicates public service values and ethics, but there is limited dialogue and understanding. Organization has a limited understanding of the current state of public service values and ethics as a result of informal and non-validated information.	In order to achieve an Acceptable rating, the following activities are required: Executive leadership should communicate regularly and encourage ongoing dialogue on public service values and ethics among employees. Assess and document V and E risks; follow-up with mitigation plans and action by management.
Recommendations
Identify opportunities for senior management to champion public service values with an emphasis on mitigating areas of identified risks.

Highlights

Opportunities

1.1 Leadership: Opportunity for Improvement

Executive leadership sporadically communicates public service values and ethics on a top-down basis with employees.

1.2 Infrastructure: Opportunity for Improvement

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.
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 communicates public service values and ethics, but there is limited dialogue and understanding.
Organization has a limited understanding of the current state of public service values and ethics as a result of informal and non-validated information.

In order to achieve an Acceptable rating, the following activities are required:

Executive leadership should communicate regularly and encourage ongoing dialogue on public service values and ethics among employees.
Assess and document V and E risks; follow-up with mitigation plans and action by management.

Recommendations

Identify opportunities for senior management to champion public service values with an emphasis on mitigating areas of identified risks.

2. Utility of the Corporate Performance Framework

Acceptable

Highlights	Opportunities
2.1 PAA Consistency: Acceptable The Strategic Outcome(s) is/are measurable and represents an end-state. 2.2 Measurability: Acceptable An inventory of programs has been developed and most of the listed programs meet the definition of a program. Most elements of the Program Activity Architecture are in alignment with the Strategic Outcome(s). 2.3 Quality: The organization has developed a weak performance measurement framework.	While CAS has provided a strategic outcome that is clear and understandable, it is recognized that timeliness will be easier for the organization to measure than fair access. The CAS has developed a robust Program Activity Architecture with clear, self-evident titles and adequate descriptions. It is not clear, however, that certain programs fully meet the definition of a program as outlined in the Management, Resources and Results Structure Instructions. The organization should continue to refine its Performance Measurement Framework (PMF) to bring it in line with the standards set out in the MRRS Instructions. The organization should also ensure that actual data for the indicators in its PMF are being collected and analyzed to gain insights into program performance and to validate the indicators.
Recommendations

Highlights

Opportunities

2.1 PAA Consistency: Acceptable

The Strategic Outcome(s) is/are measurable and represents an end-state.

2.2 Measurability: Acceptable

An inventory of programs has been developed and most of the listed programs meet the definition of a program.
Most elements of the Program Activity Architecture are in alignment with the Strategic Outcome(s).

2.3 Quality:

The organization has developed a weak performance measurement framework.

While CAS has provided a strategic outcome that is clear and understandable, it is recognized that timeliness will be easier for the organization to measure than fair access.
The CAS has developed a robust Program Activity Architecture with clear, self-evident titles and adequate descriptions. It is not clear, however, that certain programs fully meet the definition of a program as outlined in the Management, Resources and Results Structure Instructions.
The organization should continue to refine its Performance Measurement Framework (PMF) to bring it in line with the standards set out in the MRRS Instructions. The organization should also ensure that actual data for the indicators in its PMF are being collected and analyzed to gain insights into program performance and to validate the indicators.

Recommendations

3. Effectiveness of the Corporate Management Structure

Attention Required

Highlights	Opportunities
3.1 Business Plan: Attention Required Corporate business plan does not integrate human resources, IM/IT, communications or other key corporate plans. Organization has no corporate business plan (or TBS accepted equivalent). 3.2 Governance Structure: Opportunity for Improvement Only partial management oversight of the organization's program activities and underlying programs exists. Organization's corporate governance structure is fully aligned to the organization's PAA. Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly. Senior management sets priorities for and is briefed regularly on the work of the supporting governance structure. Terms of reference are generally current and complete. There is little evidence of resource re-allocation when or where required.
Recommendations
CAS should give priority to developing an Integrated Business Plan for the organization. Including details on how resource reallocation decisions are to be made would contribute to an effective corporate management structure.

Highlights

Opportunities

3.1 Business Plan: Attention Required

Corporate business plan does not integrate human resources, IM/IT, communications or other key corporate plans.
Organization has no corporate business plan (or TBS accepted equivalent).

3.2 Governance Structure: Opportunity for Improvement

Only partial management oversight of the organization's program activities and underlying programs exists.
Organization's corporate governance structure is fully aligned to the organization's PAA.
Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.
Senior management sets priorities for and is briefed regularly on the work of the supporting governance structure.
Terms of reference are generally current and complete.
There is little evidence of resource re-allocation when or where required.

Recommendations

CAS should give priority to developing an Integrated Business Plan for the organization.

Including details on how resource reallocation decisions are to be made would contribute to an effective corporate management structure.

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.2 Participation in Priority Initiatives: Acceptable Senior Management is effectively participating in Public Service Renewal and is appropriately engaging employees in this effort. The organization contributes effectively to Public Service Renewal. TBS has assessed CAS as "Acceptable" with regards to its participation in Public Service Renewal.	CAS is encouraged to continue its efforts to renew its workforce, engage its employee and seek employee feedback to focus renewal efforts.
Recommendations

Highlights

Opportunities

4.2 Participation in Priority Initiatives: Acceptable

Senior Management is effectively participating in Public Service Renewal and is appropriately engaging employees in this effort.
The organization contributes effectively to Public Service Renewal.

TBS has assessed CAS as "Acceptable" with regards to its participation in Public Service Renewal.

CAS is encouraged to continue its efforts to renew its workforce, engage its employee and seek employee feedback to focus renewal efforts.

Recommendations

5. Quality of Analysis in TB Submissions

Acceptable

Highlights	Opportunities
5.1 Supporting Information: Acceptable Only minor funding information misalignments with project authorities exist. Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions. Organization has the capacity to respond effectively to most TBS feedback. Policy and budget authorities are usually identified. Response to TBS comments is appropriate. Submission contains an adequate level of detail. 5.2 Analysis: Opportunity for Improvement Appropriate performance measurement or evaluation analysis is incomplete. Established capacity for analysis on implementation is evident. Established capacity for appropriate responses to TBS comments is acceptable. Established capacity in the understanding of external pressures exists. Generally, the correct policy authorities are used. Some emerging options analysis is demonstrated. 5.3 Consultations: Strong Consultations with central agencies are planned and conducted in a timely manner with sufficient lead time. Organization is always, or virtually always, able to avoid lateness by predicting and planning for uncontrollable factors. 5.4 Quality control: Acceptable All important information is usually included in the first draft. Good writing and translation standard have been used. Submissions usually have SFO or Head of Evaluation sign offs when appropriate. TBS feedback is usually fully addressed.
Recommendations

Highlights

Opportunities

5.1 Supporting Information: Acceptable

Only minor funding information misalignments with project authorities exist.
Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions.
Organization has the capacity to respond effectively to most TBS feedback.
Policy and budget authorities are usually identified.
Response to TBS comments is appropriate.
Submission contains an adequate level of detail.

5.2 Analysis: Opportunity for Improvement

Appropriate performance measurement or evaluation analysis is incomplete.
Established capacity for analysis on implementation is evident.
Established capacity for appropriate responses to TBS comments is acceptable.
Established capacity in the understanding of external pressures exists.
Generally, the correct policy authorities are used.
Some emerging options analysis is demonstrated.

5.3 Consultations: Strong

Consultations with central agencies are planned and conducted in a timely manner with sufficient lead time.
Organization is always, or virtually always, able to avoid lateness by predicting and planning for uncontrollable factors.

5.4 Quality control: Acceptable

All important information is usually included in the first draft.
Good writing and translation standard have been used.
Submissions usually have SFO or Head of Evaluation sign offs when appropriate.
TBS feedback is usually fully addressed.

Recommendations

6. Quality and Use of Evaluation

Highlights	Opportunities
6.1 Quality: Evaluations submitted to TBS do not consistently employ appropriate methodologies to gather data and inform the analysis. Evaluations submitted to TBS do not include a management response and/or action plan. Large majority of evaluations submitted to TBS rarely address questions of program relevance, success and effectiveness. Large majority of evaluations submitted to TBS rarely include analysis of the limitations of the methodology and data sources used. No evaluation was shared or submitted to TBS for review. 6.2 Neutrality: No resources are allocated to support an evaluation function or to conduct evaluations. 6.3 Coverage: No evaluation plan has been developed or shared with TBS. 6.4 Usage: No evidence that evaluations are used to support decision making in the organization.
Recommendations
CAS is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements.

Highlights

Opportunities

6.1 Quality:

Evaluations submitted to TBS do not consistently employ appropriate methodologies to gather data and inform the analysis.
Evaluations submitted to TBS do not include a management response and/or action plan.
Large majority of evaluations submitted to TBS rarely address questions of program relevance, success and effectiveness.
Large majority of evaluations submitted to TBS rarely include analysis of the limitations of the methodology and data sources used.
No evaluation was shared or submitted to TBS for review.

6.2 Neutrality:

No resources are allocated to support an evaluation function or to conduct evaluations.

6.3 Coverage:

No evaluation plan has been developed or shared with TBS.

6.4 Usage:

No evidence that evaluations are used to support decision making in the organization.

Recommendations

CAS is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements.

7. Quality Reporting to Parliament

Acceptable

Highlights	Opportunities
7.1 MRRS Basis: Acceptable Linkages between resources and results are adequately demonstrated in the reports. 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 present limited strategic context and operating environment information including challenges, risks, opportunities and capacities.	The DPR could include more risk-related information in its discussion of the operating context. Additional comparison data and links to further performance information would strengthen the performance story.
Recommendations

Highlights

Opportunities

7.1 MRRS Basis: Acceptable

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

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 present limited strategic context and operating environment information including challenges, risks, opportunities and capacities.

The DPR could include more risk-related information in its discussion of the operating context. Additional comparison data and links to further performance information would strengthen the performance story.

Recommendations

8. Managing Organizational Change

Attention Required

Highlights	Opportunities
8.1 Change plan: Opportunity for Improvement An organizational change plan does not exist. The organization has the capacity to evaluate whether or not change is required. 8.2 Engagement: Attention Required Engagement of employees is limited. Learning plans and strategies do not exist. 8.3 Assessment: Attention Required Assessment plans do not exist. Change plans and strategies are priorities only for those responsible for delivery. Results are not apparent. The organization does not effectively assess change plans.	The organization should engage all employees in the change management processes and make sure these are clear and well understood. It should develop learning plans for all employees in the organization.
Recommendations
The organization should explicitly state how it intends to track, measure and assess the implementation and the results of its change management initiatives and their related milestones.

Highlights

Opportunities

8.1 Change plan: Opportunity for Improvement

An organizational change plan does not exist.
The organization has the capacity to evaluate whether or not change is required.

8.2 Engagement: Attention Required

Engagement of employees is limited.
Learning plans and strategies do not exist.

8.3 Assessment: Attention Required

Assessment plans do not exist.
Change plans and strategies are priorities only for those responsible for delivery.
Results are not apparent.
The organization does not effectively assess change plans.

The organization should engage all employees in the change management processes and make sure these are clear and well understood.

It should develop learning plans for all employees in the organization.

Recommendations

The organization should explicitly state how it intends to track, measure and assess the implementation and the results of its change management initiatives and their related milestones.

9. Effectiveness of Corporate Risk Management

Opportunity for Improvement

Highlights	Opportunities
While not yet a high priority for CAS, it recognizes the need to practise risk management, and as such, has outlined a roadmap for the next two business cycles to begin the development and implementation of integrated risk management.	CAS states that the nature of the organization means it is relatively low risk, compared to many government institutions, in terms of its size, budget, business and culture (risk-averse). The senior management should encourage a risk-smart culture, as opposed to a risk-averse culture. The organization is encouraged to follow through on its two-year plan commitment for integrated risk management, and TBS looks forward to seeing the progress of this plan and the results of its implementation over these next two years.
Recommendations
Follow through on all the commitments in the two-year integrated risk management plan.

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

Opportunity for Improvement

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. Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups. Promotions among employment equity groups are equal or less than previous year's performance. Separations among employment equity groups are less than or equal to 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: Attention Required A considerable number of employees do not feel recognized for positive performance. Evidence indicates that the organization fails to put in place a 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
Boost capacity to manage Occupational Health and Safety Programs to ensure compliance.

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.
Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups.
Promotions among employment equity groups are equal or less than previous year's performance.
Separations among employment equity groups are less than or equal to 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: Attention Required

A considerable number of employees do not feel recognized for positive performance.
Evidence indicates that the organization fails to put in place a 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

Boost capacity to manage Occupational Health and Safety Programs to ensure compliance.

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

Opportunity for Improvement

Highlights	Opportunities
11.1 Productive: Attention Required Few 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: Opportunity for Improvement An insufficient number of employees indicate their organization encourages continuous learning, improvement and innovation.	Take action to ensure that employees feel the organization supports learning, innovation and career development.
Recommendations
Promote a culture supportive of continuous learning, innovation and career development.

Highlights

Opportunities

11.1 Productive: Attention Required

Few 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: Opportunity for Improvement

An insufficient number of employees indicate their organization encourages continuous learning, improvement and innovation.

Take action to ensure that employees feel the organization supports learning, innovation and career development.

Recommendations

Promote a culture supportive of continuous learning, innovation and career development.

12. Effectiveness of Information Management

Acceptable

Highlights	Opportunities
12.1 Governance: Acceptable IM requirements are somewhat 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. 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. A plan to implement the strategy is in development but it lacks timelines or resource estimates. IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.	Integrate more wholly IM requirements into the planning, approval, management, operational and evaluation activities. Begin implementing the planned initiatives and ensure timelines and resource estimates are approved and support the business strategy.
Recommendations

Highlights

Opportunities

12.1 Governance: Acceptable

IM requirements are somewhat 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.

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.
A plan to implement the strategy is in development but it lacks timelines or resource estimates.
IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.

Integrate more wholly IM requirements into the planning, approval, management, operational and evaluation activities.
Begin implementing the planned initiatives and ensure timelines and resource estimates are approved and support the business strategy.

Recommendations

13. Effectiveness of Information Technology Management

Acceptable

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: Acceptable Acceptable information technology plan is in place that aligns with the government-wide directions for information technology and departmental business needs. Organization has aligned corporate and information technology governance structures and has an integrated planning process. 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. Continue to 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. Develop a 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

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: Acceptable

Acceptable information technology plan is in place that aligns with the government-wide directions for information technology and departmental business needs.
Organization has aligned corporate and information technology governance structures and has an integrated planning process.

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.
Continue to 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.
Develop a 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

14. Effectiveness of Asset Management

Acceptable

Highlights	Opportunities
14.1 Investment Planning: Acceptable The organization’s investment planning documents do not cover all asset classes. The organization’s investment planning process considers investments over multiple years. 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. Some indicators of materiel performance are monitored. Materiel Management: As a relatively small organization, CAS manages its materiel through TBS and PWGSC policy direction.	Continue to improve on planning process through such actions as developing asset standards, improving asset information, formalizing the prioritization process and integrating all assets into an investment plan. Work towards integrating materiel and financial information.
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Acceptable

The organization’s investment planning documents do not cover all asset classes.
The organization’s investment planning process considers investments over multiple years.

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.
Some indicators of materiel performance are monitored.

Materiel Management: As a relatively small organization, CAS manages its materiel through TBS and PWGSC policy direction.

Continue to improve on planning process through such actions as developing asset standards, improving asset information, formalizing the prioritization process and integrating all assets into an investment plan.
Work towards integrating materiel and financial information.

Recommendations

15. Effective Project Management

Opportunity for Improvement

Highlights	Opportunities
15.1 Governance and Oversight: Opportunity for Improvement Business cases support some project proposals, but are not required for all projects. Project governance and oversight mechanisms are limited and there are inconsistent links between approved projects and the strategic plans and priorities of the organization. There is evidence that the department exceeded Treasury Board project approval limits, and failed to notify TB/TBS. 15.2 Effective Management of Project Resources: Opportunity for Improvement The organization’s funding models, which do not generate cost estimates at the work package level or consider historical and/or industry benchmarks, are not complete and project funds are not fully committed. There is evidence of some processes and procedures which support resource management. However, these are largely informal and do not extend across the organization. There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution. While project management related training is made available by the organization for employees, there are no processes to ensure that employees with project management responsibilities are encouraged to complete relevant training and the number of qualified project managers is unknown. 15.3 Effective Management of Project Results: Opportunity for Improvement There is no evidence of formal processes or procedures which ensure that project managers and project oversight mechanisms have access to relevant project monitoring information. There is no evidence that lessons learned are used to improve project management governance and oversight. While there is evidence that project milestones, deliverables and outcomes are documented for some projects, it is not a requirement across the organization.	There is an opportunity to improve decision making and project oversight through formal governance which supports investment planning.
Recommendations
The Courts Administration Service should enhance project management to ensure that all projects are adequately resourced and results are achieved and communicated and that project approval is sought from the proper approval authority.

Highlights

Opportunities

15.1 Governance and Oversight: Opportunity for Improvement

Business cases support some project proposals, but are not required for all projects.
Project governance and oversight mechanisms are limited and there are inconsistent links between approved projects and the strategic plans and priorities of the organization.
There is evidence that the department exceeded Treasury Board project approval limits, and failed to notify TB/TBS.

15.2 Effective Management of Project Resources: Opportunity for Improvement

The organization’s funding models, which do not generate cost estimates at the work package level or consider historical and/or industry benchmarks, are not complete and project funds are not fully committed.
There is evidence of some processes and procedures which support resource management. However, these are largely informal and do not extend across the organization.
There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution.
While project management related training is made available by the organization for employees, there are no processes to ensure that employees with project management responsibilities are encouraged to complete relevant training and the number of qualified project managers is unknown.

15.3 Effective Management of Project Results: Opportunity for Improvement

There is no evidence of formal processes or procedures which ensure that project managers and project oversight mechanisms have access to relevant project monitoring information.
There is no evidence that lessons learned are used to improve project management governance and oversight.
While there is evidence that project milestones, deliverables and outcomes are documented for some projects, it is not a requirement across the organization.

There is an opportunity to improve decision making and project oversight through formal governance which supports investment planning.

Recommendations

The Courts Administration Service should enhance project management to ensure that all projects are adequately resourced and results are achieved and communicated and that project approval is sought from the proper approval authority.

16. Effective Procurement

Acceptable

Highlights	Opportunities
16.1 Governance and Oversight: Acceptable 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 are in place (e.g., contract review mechanisms, documented decision making, guidance documents, appropriate delegation instruments or proper use of delegated authorities). 16.2 Meeting Operational Requirements: Acceptable Consistent procurement training is evident. Efficient and integrated procurement information systems and processes are in place. Informed decision making and oversight exist. Procurement processes that contribute to cost savings and value for money are in use. Qualified procurement human resources exist. Results and reviews are used to continuously adjust current procurement management activities and future procurement plans. Timely and accurate procurement financial and non-financial reports have been submitted.	The organization is developing service standards for its contracting group, which should lead to improvements in the management of its procurements.
Recommendations
The organization should undertake an internal audit of its contracting within the next 12 months.

Highlights

Opportunities

16.1 Governance and Oversight: Acceptable

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 are in place (e.g., contract review mechanisms, documented decision making, guidance documents, appropriate delegation instruments or proper use of delegated authorities).

16.2 Meeting Operational Requirements: Acceptable

Consistent procurement training is evident.
Efficient and integrated procurement information systems and processes are in place.
Informed decision making and oversight exist.
Procurement processes that contribute to cost savings and value for money are in use.
Qualified procurement human resources exist.
Results and reviews are used to continuously adjust current procurement management activities and future procurement plans.
Timely and accurate procurement financial and non-financial reports have been submitted.

The organization is developing service standards for its contracting group, which should lead to improvements in the management of its procurements.

Recommendations

The organization should undertake an internal audit of its contracting within the next 12 months.

17. Effectiveness of Financial Management and Control

Acceptable

Highlights

Opportunities

17.1 Authorities and Policies: Acceptable

Audit report results show evidence of good financial management practices.
Departmental procedures, tools, training and support for those individuals delegated with delegated with Section 34 authority show evidence of deficiencies that are of some concern.
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 good financial management practices.
Departmental processes to provide individuals delegated Section 33 authority with the information necessary to assess and approve transactions and to assess the adequacy of Section 34 account verification show evidence of good financial management practices.

17.2 Public Accounts Reporting: Acceptable

Few Central Financial Management Reporting System (CFMRS) coding errors.
Ninety to 96% (Grade A) of Public Accounts reporting plates submitted on time.

17.3 Management Capacity: Acceptable

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

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."
Minor areas of non-compliance with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and/or some non-compliance with reporting deadlines related to the submission of annual departmental financial statements.

17.5 Internal Reporting: Strong

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

17.6 Other Initiatives: Acceptable

Evidence of some initial measures taken towards implementing the Guide to Costing.

While this organization achieved an overall rating of Acceptable, the quality of its internal financial reporting was of strong calibre.

Recommendations

18. Effectiveness of Internal Audit Function

Attention Required

Highlights

Opportunities

18.1 Internal Audit governance: Attention Required

There is a draft Internal Audit Charter in line with the 2006 Policy on Internal Audit.
The Implementation Plan is missing some of the required policy elements.
There is limited ongoing monitoring in implementing key elements and progress is not on track with planned timelines.
There is no plan in place to implement an independent Departmental Audit Committee.
A draft Departmental Audit Committee Charter exists and is in line with the 2006 Policy on Internal Audit.

18.2 Internal Audit Professional Practices: Attention Required

Annual Risk-Based Audit Plan methodology is somewhat evident and applied.
No identification of post-engagement follow-up activities.
There is partial information on the planned use of all audit function resources.
Vast majority of planned work is on audit assurance versus other types of activities.
No identification of continuity with previous year’s work.
Very low completion rate or no assurance products (number of assurance audit reports) against 2007-2008 Risk-Based Audit Plan.
Internal Quality Assurance and Improvement Program has not been documented.
Post-engagement follow-up process is not documented, and very few or no recommendations are followed up using a risk-based approach.

18.3 Administration of the Internal Audit Function: Attention Required

No evidence of a recruitment action plan or an external resourcing strategy exists, and there is no evidence of activity in the two areas.
Investment in Certified Internal Auditor certification, learning and training represents a minimum of 5% of FTE salaries.
Planned spending, *, was given to the Office of the Comptroller General. When comparing current spending of 2008-2009 with planned financial resources of 2007-2008, resource levels fall well below the resource level identified in 2007.
Planned FTEs dedicated to internal audit have been maintained comparatively to 2007-2008. They meet the resource level identified in the planned internal audit function’s budget for 2008-2009.

18.4 Internal Audit Performance: Attention Required

No indication of periodic reporting on the follow-up of Management Action Plans.

The organization has provided a draft Risk-Based Audit Plan.

The organization should improve the quality of the Risk-Based Audit Plan.

Recommendations

The organization should appoint a Chief Audit Executive and provide priority attention to implementing the 2006 Policy on Internal Audit.

19. Effective Management of Security and Business Continuity

Opportunity for Improvement

Highlights

Opportunities

19.1 Departmental Security Program: Acceptable

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.

19.2 Management of IT Security (MITS): Opportunity for Improvement

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.
Some deficiencies in meeting key MITS requirements.

19.3 Business Continuity Planning (BCP): Opportunity for Improvement

Organization has partially developed measures to provide for the continuity of critical business operations and services.
Some deficiencies in meeting key BCP program requirements.
Business Continuity Planning (BCP) program governance has been established.
Business Impact Analysis (BIA) has been completed to identify and prioritize the organization's critical services and assets.
Significant deficiencies in establishing business continuity plans and arrangements.
Maintenance cycle has been partially put in place to review, test and audit business continuity plans.

Pursue ongoing initiatives to continue improving the departmental security program, including approval of draft security policies and conduct of a self-assessment.
Develop work plan to support continuous improvement of the departmental security program, and address gaps revealed by the self-assessment (if any) and improvement opportunities identified in the MAF Round VI Assessment.
Develop and implement action plan and strategy to address deficiencies in MITS compliance, in particular those related to incident and vulnerability management.
Continue activities currently underway related to business continuity planning, including development of plans and arrangements, and establishment of a maintenance cycle and conduct of exercises to ensure program readiness.

Recommendations

Deficiencies related to the BCP program and MITS compliance should be addressed on a priority basis.

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

20.1 Management Engagement – Service and CLF: Acceptable

There is monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is generally used to make timely and proactive decisions and course correction.
There is a committee at the institutional level, composed of senior management accountable for service, which has a documented and communicated responsibility for making decisions about the overall management of service.
There are limited 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 is monitoring of progress by senior management towards the achievement of the institution-wide goals for service, with course correction if necessary.

20.3 Official Languages: Strong

Analysis of the Annual Review on OL shows the institution is fully meeting its obligations.
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 CAS to:

Implement its service standards plan.
Set goals and priorities for service improvement based on performance information and measurement results, including the results of client satisfaction measurement and performance relative to service standards.
Conduct client satisfaction surveys for its services using the Common Measurements Tool (CMT).
Continue the development of formal tools to allow clients to provide feedback.
Improve in person active offer and service delivery 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