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Management Accountability Framework

ARCHIVED - MAF Assessment: Canada Industrial Relations Board - 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 Canada Industrial Relations Board (CIRB) are generally positive. In total, for the 19 indicators against which the agency was assessed, it received one "strong" rating, eleven "acceptable" ratings, six "opportunity for improvement" ratings, and one "attention required" rating. As a small organization, CIRB participates in MAF assessments every three years. Aspects of MAF reporting and methodology have changed since CIRB was last assessed in 2005-06, making comparisons to previous assessments challenging. Nonetheless, using broad comparisons, the agency has made improvements in several areas, but it continues to face management challenges in some others.

Overall, the CIRB has demonstrated a desire to improve its ability to effectively interpret and apply Part I (Industrial Relations) and certain provisions of Part II (Occupational Health and Safety) of the Canada Labour Code in a continually evolving labour relations climate. Most notably CIRB revised its Program Activity Architecture so that it is better aligned and consistent with the organizational mandate. Internally, the Board has introduced an Employee Learning and Performance Planning (ELPP) mechanism for the ongoing planning of work, objective setting, feedback and two-way communication between senior management and employees. Further, CIRB has been an effective participant in the government-wide priority of Public Service Renewal.

The agency should be recognized for its successes in a number of areas, including:

Effectiveness of the Corporate Management Structure - CIRB has developed a corporate structure that is consistent and appropriate with carrying out their primary strategic outcome of resolving labour issues. An inclusive business planning process is in place and established management committees assure continued relevance of the Board's priorities.
Extent to which the Workforce is Productive, Principled, Sustainable and Adaptable - CIRB has performed above expectations with respect to official languages, the agency supports employee learning and career development, and business goals are clearly identified with links to established human resources and business strategies and priorities.
Effective Procurement - The Board maintains effective and accountable procurement management processes and controls. Contracting policies and procedures are published on their intranet site, a tracking system has been developed for all contracts and purchase orders, and a position has been created to ensure monitoring and compliance with Treasury Board policies.
Effectiveness of Internal Audit Function - CIRB uses the Small Department and Agency Audit Committee (SDAAC) for oversight and reviews the SDAACs risk profile at their annual board meeting.

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

Values and Ethics - Monitoring plans and mitigation measures should be implemented by management to record and evaluate possible at-risk areas relating to public service values and ethics.
Information Management (IM) - Although there is evidence of effective IM representation in corporate-wide governance and the organization has an IM strategy and implementation plan in development, its administration of the Privacy Act and its collection of personal information could be improved, as well as its administration of the Access to Information Act to facilitate public access to information regarding the Board's programs and activities.
Information Technology Management - The Board has demonstrated that it ensures information technology effectively supports the organization's business strategy and an annual IT planning process is in place. However, a formal Information Technology Plan needs to be developed in accordance with TBS guidelines.
Citizen-focused Service - The Board should look to establish an inventory of its services and clients as a foundation for subsequent improvements, which include the development of service standards and mechanisms for customers to provide feedback.

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

Financial Management and Control - Improvements to authorization and pre-authorization as well as documentation to support verification are required for the Horizontal Audit Report on Travel and Hospitality. Further attention is required in the area of training and succession planning for finance and management team staff.
Effectiveness of Corporate Risk Management - CIRB should document its current risk management approach, both informal and formal practices, and supporting tools and guides, thereby ensuring a consistent risk management approach across the organization. This would also demonstrate how the organization's approach is appropriately tailored to its size and needs, and would substantiate and validate the key risks identified by the organization.
Effective Management of Security and Business Continuity - Although some key elements are in place for the management of security and business continuity, CIRB should seek opportunities to improve its security program and address deficiencies related to the Management of Information Technology Security (MITS). A current lack of resources and funding have been identified as obstacles to achieving full MITS compliance.

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 Follow-up action by management to mitigate risks with regard to values and ethics is sporadic. 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. 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. 1.3 Culture: Opportunity for Improvement Organization has a limited understanding of the current state of public service values and ethics as a result of informal and non-validated information. Organization 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: Risks of possible breaches of public service values and ethics are regularly weighed and recorded and followed up by plans and mitigation measures implemented by management.
Recommendations
Assess and document Values and Ethics risks.

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

Follow-up action by management to mitigate risks with regard to values and ethics is sporadic.
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.
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.

1.3 Culture: Opportunity for Improvement

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

Risks of possible breaches of public service values and ethics are regularly weighed and recorded and followed up by plans and mitigation measures implemented by management.

Recommendations

Assess and document Values and Ethics risks.

2. Utility of the Corporate Performance Framework

Acceptable

Highlights	Opportunities
2.1 PAA Consistency: Acceptable The Strategic Outcome statement(s) can be understood within and outside the department as a benefit to Canadians, however its/their clarity should be improved. 2.2 Measurability: Strong A robust Program Activity Architecture has been developed 2.3 Quality: An incomplete or inadequate performance measurement framework has been developed. The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness. Outputs are not clearly identified as products/services and are seldom aligned with their expected results. Targets are not stated appropriately as a performance level of the indicator.	The strategic outcome is similar to the expected result statement that is provided for Program Activity. The strategic outcome should be further refined to clarify its unique outcome from Program Activity within the PAA. The organization should continue to refine its Performance Measurement Framework to bring it in line with the standards set out in the MRRS Instructions. More importantly, the organization should ensure that actual data for the indicators are being collected and analyzed to gain insights into program performance and to influence program delivery.
Recommendations

Highlights

Opportunities

2.1 PAA Consistency: Acceptable

The Strategic Outcome statement(s) can be understood within and outside the department as a benefit to Canadians, however its/their clarity should be improved.

2.2 Measurability: Strong

A robust Program Activity Architecture has been developed

2.3 Quality:

An incomplete or inadequate performance measurement framework has been developed.
The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.
Outputs are not clearly identified as products/services and are seldom aligned with their expected results.
Targets are not stated appropriately as a performance level of the indicator.

The strategic outcome is similar to the expected result statement that is provided for Program Activity. The strategic outcome should be further refined to clarify its unique outcome from Program Activity within the PAA.
The organization should continue to refine its Performance Measurement Framework to bring it in line with the standards set out in the MRRS Instructions. More importantly, the organization should ensure that actual data for the indicators are being collected and analyzed to gain insights into program performance and to influence program delivery.

Recommendations

3. Effectiveness of the Corporate Management Structure

Acceptable

Highlights	Opportunities
3.1 Business Plan: Acceptable Corporate business plan generally aligns resources and accountabilities to priorities. Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans. Sector or branch business plans are generally aligned with the corporate business plan. 3.2 Governance Structure: Acceptable Adequate management oversight of the organization's program activities and underlying programs is evident. Organization's corporate governance structure is fully aligned to the organization's PAA. Recordkeeping is generally complete and current (minutes of meetings and records of discussion, decision, and follow-up). Senior corporate management structure (e.g., committees) interacts with and provides oversight to the supporting governance structure. Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.	The organization should establish a corporate plan roll-up so that plans from each operational and administrative unit can be seen in a single document.
Recommendations

Highlights

Opportunities

3.1 Business Plan: Acceptable

Corporate business plan generally aligns resources and accountabilities to priorities.
Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans.
Sector or branch business plans are generally aligned with the corporate business plan.

3.2 Governance Structure: Acceptable

Adequate management oversight of the organization's program activities and underlying programs is evident.
Organization's corporate governance structure is fully aligned to the organization's PAA.
Recordkeeping is generally complete and current (minutes of meetings and records of discussion, decision, and follow-up).
Senior corporate management structure (e.g., committees) interacts with and provides oversight to the supporting governance structure.
Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.

The organization should establish a corporate plan roll-up so that plans from each operational and administrative unit can be seen in a single document.

Recommendations

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's commitments are clear and are consistent with its role. TBS has assessed the Canada Industrial Relations Board with regards to its participation in the Public Service Renewal (Acceptable) Initiative.	TBS encourages CIRB to continue its effective participation in the Public Service Renewal Initiative. TBS encourages CIRB to continue seeking employee feedback and adjusting behaviours as needed.
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's commitments are clear and are consistent with its role.

TBS has assessed the Canada Industrial Relations Board with regards to its participation in the Public Service Renewal (Acceptable) Initiative.

TBS encourages CIRB to continue its effective participation in the Public Service Renewal Initiative.
TBS encourages CIRB to continue seeking employee feedback and adjusting behaviours as needed.

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

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.

Recommendations

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

7. Quality Reporting to Parliament

Acceptable

Highlights	Opportunities
7.1 MRRS Basis: Acceptable Good links between performance and plans are present. 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. DPR is based on the PAA, i.e. performance is usually reported by Program Activity (PA) at the PA level. 7.3 Context: Acceptable DPR is generally balanced - the report presents both positive and negative aspects of performance and substantiation or explanation is generally provided.	The Board could improve its performance reports in future by further integrating audit and evaluation information into the report, along with other objective, evidence-based performance information. Furthermore, the results and outcomes reported in the DPR could be made more robust if they were accompanied by clearly defined targets, benchmarks and indicators. The DPR could also be enhanced if the linkages between PA and SO level performance were made more explicit and discussed in more depth.
Recommendations

Highlights

Opportunities

7.1 MRRS Basis: Acceptable

Good links between performance and plans are present.
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.
DPR is based on the PAA, i.e. performance is usually reported by Program Activity (PA) at the PA level.

7.3 Context: Acceptable

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

The Board could improve its performance reports in future by further integrating audit and evaluation information into the report, along with other objective, evidence-based performance information. Furthermore, the results and outcomes reported in the DPR could be made more robust if they were accompanied by clearly defined targets, benchmarks and indicators. The DPR could also be enhanced if the linkages between PA and SO level performance were made more explicit and discussed in more depth.

Recommendations

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: Opportunity for Improvement Engagement of employees is limited. The organization has a general learning plan in place, but nothing specifically related to change management. 8.3 Assessment: Acceptable Assessment plans exist and are broad in scope and detail.	Seek organizational-wide input when engaging in change management initiatives. Develop training opportunities based on change management goals.
Recommendations
The organization should develop a formalized change management plan.

Highlights

Opportunities

8.1 Change plan: Acceptable

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

8.2 Engagement: Opportunity for Improvement

Engagement of employees is limited.
The organization has a general learning plan in place, but nothing specifically related to change management.

8.3 Assessment: Acceptable

Assessment plans exist and are broad in scope and detail.

Seek organizational-wide input when engaging in change management initiatives.

Develop training opportunities based on change management goals.

Recommendations

The organization should develop a formalized change management plan.

9. Effectiveness of Corporate Risk Management

Attention Required

Highlights	Opportunities
	CIRB should document its informal and formal risk management approach including the steps it follows to: identify and assess risks, and develop, implement, monitor and report on risk mitigation strategies. As a small organization, CIRB is well positioned to engrain risk management into its senior management decision making, planning and reporting. The organization should capitalize on the informal connections afforded by its size to ensure that risk is considered on an ongoing basis as part of its senior management discussions and to promote a culture of risk-informed decision making.
Recommendations
CIRB should document how its informal and formal risk management practices are appropriately tailored to its organizational needs.

Highlights

Opportunities

CIRB should document its informal and formal risk management approach including the steps it follows to: identify and assess risks, and develop, implement, monitor and report on risk mitigation strategies.

As a small organization, CIRB is well positioned to engrain risk management into its senior management decision making, planning and reporting. The organization should capitalize on the informal connections afforded by its size to ensure that risk is considered on an ongoing basis as part of its senior management discussions and to promote a culture of risk-informed decision making.

Recommendations

CIRB should document how its informal and formal risk management practices are appropriately tailored to its organizational needs.

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

Acceptable

Highlights	Opportunities
10.1 Fair: Acceptable Classification program is at low to medium risk and an effective classification monitoring program is in place. Evidence shows that labour relations matters are consistently and appropriately managed/addressed. 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). Evidence shows that the organization meets standards of timeliness in payments to employees. 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 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: Employees 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 Occupational Health and Safety programs are well managed.
Recommendations

Highlights

Opportunities

10.1 Fair: Acceptable

Classification program is at low to medium risk and an effective classification monitoring program is in place.
Evidence shows that labour relations matters are consistently and appropriately managed/addressed.
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).
Evidence shows that the organization meets standards of timeliness in payments to employees.

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 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:

Employees 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 Occupational Health and Safety programs are well managed.

Recommendations

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

Acceptable

Highlights	Opportunities
11.1 Productive: Acceptable A sufficient number of employees indicate their organization supports their career development and learning needs. 11.2 Principled: Strong 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. Promotions among employment equity groups are less than representation for at least one group. Communications with and services to the public in both official languages are generally 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. Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups equal the organization's average for all employees. 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: Acceptable A sufficient number of employees indicate their organization encourages continuous learning, improvement and innovation.
Recommendations

Highlights

Opportunities

11.1 Productive: Acceptable

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

11.2 Principled: Strong

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.
Promotions among employment equity groups are less than representation for at least one group.
Communications with and services to the public in both official languages are generally 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.
Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups equal the organization's average for all employees.

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: Acceptable

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

Recommendations

12. Effectiveness of Information Management

Opportunity for Improvement

Highlights	Opportunities
12.1 Governance: Acceptable IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s). IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. 12.2 Strategy: Opportunity for Improvement 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. The IM strategy is in development but it is not clear how it supports departmental business priorities and operations nor how it integrates with other corporate strategies, plans, and planning cycles. 12.3 Privacy Act: Acceptable Most of the organization's collections of personal information are described in registered Personal Information Banks and/or Classes of Personal Information in accordance with the requirements of the Privacy Act. Organization submitted an Annual Report to Parliament and addressed all of the mandatory reporting requirements. 12.4 Access to Information Act: Opportunity for Improvement A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information. Although the overall rating for CIRB is Opportunity for Improvement, the institution has met most of the assessed statutory requirements of the Privacy Act.	Fully identify responsibilities for IM policy implementation. Increase participation in GC IM activities to leverage best practices. - Begin implementing planned IM initiatives and ensure timelines and resources are approved. Review Classes of Personal Information. If the information is retrievable by personal identifier, or if the information is used in an administrative decision-making process, develop an institution-specific Personal Information Bank. Ensure that all information relevant to the institution's functions, programs, activities and related information holding is described in the Info Source publications. 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
Complete and resource the IM strategy and ensure initiatives are aligned with the business strategy. Leverage IM awareness best practices. Continue to improve descriptions of CIRB's functions, programs, activities and information holdings.

Highlights

Opportunities

12.1 Governance: Acceptable

IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s).
IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects.

12.2 Strategy: Opportunity for Improvement

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.
The IM strategy is in development but it is not clear how it supports departmental business priorities and operations nor how it integrates with other corporate strategies, plans, and planning cycles.

12.3 Privacy Act: Acceptable

Most of the organization's collections of personal information are described in registered Personal Information Banks and/or Classes of Personal Information in accordance with the requirements of the Privacy Act.
Organization submitted an Annual Report to Parliament and addressed all of the mandatory reporting requirements.

12.4 Access to Information Act: Opportunity for Improvement

A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information.

Although the overall rating for CIRB is Opportunity for Improvement, the institution has met most of the assessed statutory requirements of the Privacy Act.

Fully identify responsibilities for IM policy implementation.
Increase participation in GC IM activities to leverage best practices. - Begin implementing planned IM initiatives and ensure timelines and resources are approved.
Review Classes of Personal Information. If the information is retrievable by personal identifier, or if the information is used in an administrative decision-making process, develop an institution-specific Personal Information Bank.
Ensure that all information relevant to the institution's functions, programs, activities and related information holding is described in the Info Source publications.
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

Complete and resource the IM strategy and ensure initiatives are aligned with the business strategy. Leverage IM awareness best practices. Continue to improve descriptions of CIRB's functions, programs, activities and information holdings.

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 is making efforts to develop an information technology plan. 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. 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
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 is making efforts to develop an information technology plan.
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.
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

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
14.3 Materiel Management: Acceptable Some elements of a materiel management framework are evident. Governance structures, approval processes and authority limits are documented and disseminated. 14.1 Investment Planning The Canada Industrial Relations Board has provided evidence of a governance structure that determines investment priorities.	Consider the development of a long term investment plan.
Recommendations

Highlights

Opportunities

14.3 Materiel Management: Acceptable

Some elements of a materiel management framework are evident.
Governance structures, approval processes and authority limits are documented and disseminated.

14.1 Investment Planning The Canada Industrial Relations Board has provided evidence of a governance structure that determines investment priorities.

Consider the development of a long term investment plan.

Recommendations

15. Effective Project Management

Acceptable

Highlights	Opportunities
15.1 Governance and Oversight: Acceptable Business cases are not required and there is no evidence that they are used to support project proposals. 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 are no formal or established processes for approving projects and approval decisions are not consistently documented. There is no evidence that the organization has exceeded Treasury Board approval limits. 15.2 Effective Management of Project Resources: Opportunity for Improvement Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes. Little or no project management related training is available to employees. There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution. 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 of organization-wide procedures and processes which communicate project monitoring and performance information to project managers and project oversight mechanisms. There is evidence that the organization monitors project performance and uses this information to support corrective action. There is no evidence that lessons learned are used to improve project management governance and oversight. There is no evidence that project milestones, deliverables and outcomes are documented.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Acceptable

Business cases are not required and there is no evidence that they are used to support project proposals.
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 are no formal or established processes for approving projects and approval decisions are not consistently documented.
There is no evidence that the organization has exceeded Treasury Board approval limits.

15.2 Effective Management of Project Resources: Opportunity for Improvement

Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes.
Little or no project management related training is available to employees.
There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution.
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 of organization-wide procedures and processes which communicate project monitoring and performance information to project managers and project oversight mechanisms.
There is evidence that the organization monitors project performance and uses this information to support corrective action.
There is no evidence that lessons learned are used to improve project management governance and oversight.
There is no evidence that project milestones, deliverables and outcomes are documented.

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). Few or no links exist between procurement activities and organization-wide program plans, priorities and long-term investments. 16.2 Meeting Operational Requirements: Acceptable Some qualified procurement human resources exist. Some timely and accurate procurement financial and non-financial reports exist. Lack of appropriate links to human resources planning is in place (e.g., little to no succession planning and recruitment strategies for procurement staff).
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).
Few or no links exist between procurement activities and organization-wide program plans, priorities and long-term investments.

16.2 Meeting Operational Requirements: Acceptable

Some qualified procurement human resources exist.
Some timely and accurate procurement financial and non-financial reports exist.
Lack of appropriate links to human resources planning is in place (e.g., little to no succession planning and recruitment strategies for procurement staff).

Recommendations

17. Effectiveness of Financial Management and Control

Opportunity for Improvement

Highlights

Opportunities

17.1 Authorities and Policies: Opportunity for Improvement

Audit report results show evidence of deficiencies that are of some concern.
Departmental procedures, tools, training and support for those individuals delegated with Section 34 authority show evidence of deficiencies that are of serious 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 solid 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: 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: Opportunity for Improvement

A relatively minor 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.
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 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.

17.4 Financial Statements: Acceptable

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: Acceptable

The internal financial reporting package is accompanied by a weak 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 limited.

While the Board had a strong quality, timeliness and accuracy of its trial balance and Public Accounts plates, it received an OFI on its compliance with policies and authorities, its financial management capacity and the quality of its internal financial reporting. No new initiatives were submitted.

By strengthening financial management practices with respect to its section 34 procedures and investing in training its financial management community, the Board will see strong improvements in overall ratings.

Recommendations

Financial management practices need to be improved along with training for the organization.

18. Effectiveness of Internal Audit Function

Acceptable

Highlights

Opportunities

The CIRB has elected to use the Small Department and Agency Audit Committee.

The CIRB reviews its Risk Profile at an annual board meeting. The Deputy Head considers the Risk Profile in determining whether further audits are necessary.

The CIRB should formalise a process leading for the establishment of a Corporate Risk Profile.

Recommendations

19. Effective Management of Security and Business Continuity

Opportunity for Improvement

Highlights

Opportunities

19.1 Departmental Security Program: Opportunity for Improvement

Organization has a partially developed security program that contains some of the required policy elements.
Several 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): Acceptable

Organization has in place measures to provide for the continuity of critical business operations and services, and is compliant with most or all the policy requirements.
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.
Establishment of business continuity plans and arrangements is in progress.
Maintenance cycle has been partially put in place to review, test and audit business continuity plans.

Develop work plan to address the deficiencies identified in the MAF Round VI assessment. Particular attention is warranted to the formalization of governance for the security program, the development of policies and procedures to direct and guide program activities, security awareness and training, and incident management (including clarifying respective roles and responsibilities of the CIRB and Industry for conducting investigations).
Maintain ongoing efforts to achieve and sustain MITS compliance including addressing deficiencies related to incorporation of security in the system development lifecycle and incident management.
Continue activities currently underway to maintain and strengthen the BCP function including addressing IM/IT continuity planning.

Recommendations

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

20. Citizen-focused Service

Opportunity for Improvement

Highlights

Opportunities

20.1 Management Engagement - Service and CLF: Opportunity for Improvement

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 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 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 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.
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: Acceptable

Analysis of the Annual Review on OL shows the institution is fully meeting its obligations.
Audits reveal few shortcomings in active offer and service delivery in both OL.
Relatively large number of complaints deemed founded by the Commissioner of Official Languages.
The institution has the necessary linguistic capacity to serve the public in both OL.

TBS urges the CIRB to:

Inventory its services and clients to support subsequent improvements.
Set service priorities and goals for the whole organization.
Measure client and rate performance against service standards.
Use the information on performance to identify priorities for improving service.

Recommendations

TBS urges the CIRB to inventory its services and clients as a basis for subsequent improvements.

21. Alignment of Accountability Instruments

Strong

Highlights	Opportunities
Self-assessment indicates key program standards were met; a number of elements are notable or best practice, and the organization has an opportunity to provide leadership to the public service with respect to performance management.	All departments and agencies should place a heightened focus on clear accountabilities, face to face, mid-year review and performance improvement plans.
Recommendations