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Management Accountability Framework

ARCHIVED - MAF Assessment: Status of Women Canada - 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 Secretariat related to Status of Women Canada (SWC) are generally positive. In total, for the 21 indicators against which the organization was assessed, it received 2 “strong” ratings, 12 “acceptable” ratings, 7 “opportunity for improvement” ratings, and no “attention required” ratings. Because it is classed as a small organization, Status of Women underwent its last MAF assessment in 2005-06. Since that assessment, Status of Women has undergone significant changes, including workforce adjustments, the reorganization of its regional offices, and a significant investment of new funds into the organization’s principal grant and contribution program.

SWC should be recognized for its strong performance in two areas of management including:

Effectiveness of Internal Audit Function – Status of Women Canada has an approved Internal Audit Policy, a corporate risk profile is under development, and a Multi-Year Audit Plan has been approved. SWC has elected to use the Small Departments and Agencies Audit Committee, and has signed a Memorandum of Understanding with a large department to access qualified audit services when needed.
Effectiveness of the Performance Management Program for Executives – SWC’s self-assessment indicates key program standards were met and that a number of elements are notable or best practice.

Status of Women Canada is also performing satisfactorily in 12 areas of management including:

Utility of the Corporate Performance Framework – SWC’s MRRS has most of the elements to provide insights into the performance and effectiveness of most programs. The organization is able to validate and demonstrate the contribution of its programs to the delivery of its mandate, and the organization is well placed to manage for result;
Extent to which the Workplace is Fair, Enabling, Healthy and Safe – The organization has performed above expectations with respect to HR business processes and systems, and employees’ linguistic rights, and the Public Service Employee Survey indicates that employees feel recognized for positive performance.

There are areas, however, where Status of Women Canada should aim to make further progress in the coming year:

Values-based Leadership and Organizational Culture – Status of Women should formalize its efforts to promote, support or measure a values-based culture aligned to Values and Ethics Code for the Public Service;
Managing Organizational Change – Status of Women should develop a formal change management plan to demonstrate the steps the organization is taking embrace its revised mandate and fully align its activities with government priorities;
Effective Procurement – SWC should consider hiring a dedicated procurement officer to streamline procurement and optimize value for money in procurements. Increasing investment in procurement related succession planning would also benefit SWC.
Effective Management of Security and Business Continuity – Although some key elements are in place for the management of security, SWC should continue activities currently underway related to business continuity planning and address the deficiencies regarding Management of IT Security (MITS) compliance.

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

Effectiveness of Corporate Risk Management – SWC should continue its efforts to develop a Corporate Risk Profile and more effectively document its current risk management approach, tools and guides, and accountability for key risks. As well, the organization should support and promote the integration of risk awareness and risk management into its corporate culture. A clear articulation of the informal and formal risk management practices at SWC will help the organization to demonstrate how its approach is tailored to organizational needs and to identify opportunities for continuous improvement in this area.
Effectiveness of Information Management – While SWC performs well in the areas of Information Management (IM) governance and strategy, the organization should work to ensure it is in full compliance with the Privacy Act by describing all of the personal information it collects in Personal Information Banks and in meeting Treasury Board Secretariat requirements for its Info Source chapter in accordance with the Access to Information Act.
Quality of Analysis in Treasury Board Submissions– While SWC’s ability to develop TB submissions has improved in the last year, recent submissions have had problems with policy authorities, the inability to produce timely and accurate financial information, *. SWC should continue to work with TBS and Canadian Heritage to further improve the quality of TB submissions;

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. 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.	Within the context of its priorities and resources, the organization is encouraged to address the following opportunities: Assess and document V and E risks; follow-up with mitigation plans and action by management. Assess the current state of values and ethics using validated qualitative or quantitative information.
Recommendations
Assess the current state of values and ethics including 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.
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.

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

Assess and document V and E risks; follow-up with mitigation plans and action by management.
Assess the current state of values and ethics using validated qualitative or quantitative information.

Recommendations

Assess the current state of values and ethics including risks.

2. Utility of the Corporate Performance Framework

Acceptable

Highlights	Opportunities
2.1 PAA Consistency: Acceptable The Strategic Outcome(s) reflects the departmental area of influence and is/are adequately aligned with the organization’s mandate. 2.2 Measurability: Acceptable An adequate Program Activity Architecture has been developed with some issues to be resolved. 2.3 Quality: The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.	The organization has made good progress over the past year to develop a more complete and robust Program Activity Architecture along with a version of Performance Measurement Framework. The organization should continue to work on minor changes to the PAA to ensure that all titles are self-evident and descriptions clearly identify the rationale for the program and how it works. The organization should continue to refine its PMF to bring it more in line with the MRRS Instructions. More importantly, the organization should start to collect data for the indicators, use it in decision making and to incorporate the associated learning back into the PMF.
Recommendations

Highlights

Opportunities

2.1 PAA Consistency: Acceptable

The Strategic Outcome(s) reflects the departmental area of influence and is/are adequately aligned with the organization’s mandate.

2.2 Measurability: Acceptable

An adequate Program Activity Architecture has been developed with some issues to be resolved.

2.3 Quality:

The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.

The organization has made good progress over the past year to develop a more complete and robust Program Activity Architecture along with a version of Performance Measurement Framework.
The organization should continue to work on minor changes to the PAA to ensure that all titles are self-evident and descriptions clearly identify the rationale for the program and how it works.
The organization should continue to refine its PMF to bring it more in line with the MRRS Instructions. More importantly, the organization should start to collect data for the indicators, use it in decision making and to incorporate the associated learning back into the PMF.

Recommendations

3. Effectiveness of the Corporate Management Structure

Acceptable

Highlights	Opportunities
3.1 Business Plan: Business plan generally aligns resources and accountabilities to priorities and integrates human resources, IM/IT, communications. 3.2 Governance Structure: The organization's corporate governance structure is generally aligned to the organization's PAA. Adequate management oversight of the organization's program activities and underlying programs is evident.	Continue producing and updated the Business Plan. Improve documentation of meetings and decisions. Document resource reallocation at the Program Activity level.
Recommendations

Highlights

Opportunities

3.1 Business Plan: Business plan generally aligns resources and accountabilities to priorities and integrates human resources, IM/IT, communications.

3.2 Governance Structure: The organization's corporate governance structure is generally aligned to the organization's PAA. Adequate management oversight of the organization's program activities and underlying programs is evident.

Continue producing and updated the Business Plan.

Improve documentation of meetings and decisions.

Document resource reallocation at the Program Activity level.

Recommendations

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.2 Participation in Priority Initiatives: Acceptable The organization contributes effectively to Public Service Renewal. TBS has assessed the Office of the Co-ordinator of Status of Women (SWC) with regards to participation in the Public Service Renewal (Acceptable) Initiative.	TBS encourages Status of Women to regularly engage employees in all spheres of the Public Service Renewal Initiative and act upon feedback provided.
Recommendations

Highlights

Opportunities

4.2 Participation in Priority Initiatives: Acceptable

The organization contributes effectively to Public Service Renewal.

TBS has assessed the Office of the Co-ordinator of Status of Women (SWC) with regards to participation in the Public Service Renewal (Acceptable) Initiative.

TBS encourages Status of Women to regularly engage employees in all spheres of the Public Service Renewal Initiative and act upon feedback provided.

Recommendations

5. Quality of Analysis in TB Submissions

Opportunity for Improvement

Highlights	Opportunities
5.1 Supporting Information: Emerging capacity to develop TB submissions and respond to TBS feedback. 5.2 Analysis: Policy authorities or analysis were incorrect in some cases. 5.3 Consultations: Emerging capacity to plan and to initiate consultations with TBS and Portfolio Affairs. 5.4 Quality Control: Processes are evolving in response to past challenges.	Continue working proactively with Canadian Heritage Portfolio Affairs to ensure better coordination of priorities. Continue supporting the SFO’s efforts to improve and modernize the SWC’s financial management systems and capacities.
Recommendations
Institute procedures to engage TBS and Portfolio Affairs early in the TB submission process to ensure quality control and alignment with Ministerial priorities.

Highlights

Opportunities

5.1 Supporting Information: Emerging capacity to develop TB submissions and respond to TBS feedback.

5.2 Analysis: Policy authorities or analysis were incorrect in some cases.

5.3 Consultations: Emerging capacity to plan and to initiate consultations with TBS and Portfolio Affairs.

5.4 Quality Control: Processes are evolving in response to past challenges.

Continue working proactively with Canadian Heritage Portfolio Affairs to ensure better coordination of priorities.

Continue supporting the SFO’s efforts to improve and modernize the SWC’s financial management systems and capacities.

Recommendations

Institute procedures to engage TBS and Portfolio Affairs early in the TB submission process to ensure quality control and alignment with Ministerial priorities.

6. Quality and Use of Evaluation

Acceptable

Highlights	Opportunities
6.1 Quality: Acceptable All evaluations submitted to TBS include a management response and an action plan detailing implementation strategies, timelines and management accountabilities. All evaluations submitted to TBS present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report. The report also discusses the degree of validity and reliability of the evidence. All evaluations submitted to TBS use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders. Non-stakeholder perspective is also included. Evaluations submitted to TBS sometimes but not consistently employ appropriate methodologies to gather data and inform the analysis. The large majority of evaluations submitted to TBS consistently address relevance, success, and effectiveness. They also address cost-effectiveness. The majority of evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used. 6.2 Neutrality: Acceptable Head of Evaluation has explicit authority to submit evaluation reports directly to the Deputy Head and has direct and regular access to the deputy head. All resources dedicated to evaluations are directed by the Head of Evaluation. Evaluation function resourcing is commensurate with the organizational evaluation plan. Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year. 6.3 Coverage: Acceptable The organization has shown evidence of moving towards full coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. Current annual evaluation coverage of G&Cs is more than 15%. The organization has shown evidence of moving towards full evaluation coverage of its program base (e.g. over a five-year cycle). Current annual coverage is over 15% of direct program expenditures. The organization has a demonstrated track record of completing planned evaluations. The organization has shared its multi-year, risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA. As well, there is evidence to indicate that the organization has calibrated its evaluation efforts and/or approaches according to program context. 6.4 Usage: Acceptable Some evaluations submitted to TBS incorporate data from a performance measurement system to support the evaluation. Submitted evaluations usually cite data availability and/or quality as constraints. More than 80% of RMAFs are implemented. Program managers are required to commit to implementation timelines for RMAFs and other performance measurement system. Management action is taken on non-delivery. Active, systematic and regular tracking of management action plans arising from evaluation recommendations is in place. The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.
Recommendations

Highlights

Opportunities

6.1 Quality: Acceptable

All evaluations submitted to TBS include a management response and an action plan detailing implementation strategies, timelines and management accountabilities.
All evaluations submitted to TBS present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report. The report also discusses the degree of validity and reliability of the evidence.
All evaluations submitted to TBS use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders. Non-stakeholder perspective is also included.
Evaluations submitted to TBS sometimes but not consistently employ appropriate methodologies to gather data and inform the analysis.
The large majority of evaluations submitted to TBS consistently address relevance, success, and effectiveness. They also address cost-effectiveness.
The majority of evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used.

6.2 Neutrality: Acceptable

Head of Evaluation has explicit authority to submit evaluation reports directly to the Deputy Head and has direct and regular access to the deputy head.
All resources dedicated to evaluations are directed by the Head of Evaluation.
Evaluation function resourcing is commensurate with the organizational evaluation plan.
Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year.

6.3 Coverage: Acceptable

The organization has shown evidence of moving towards full coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. Current annual evaluation coverage of G&Cs is more than 15%.
The organization has shown evidence of moving towards full evaluation coverage of its program base (e.g. over a five-year cycle). Current annual coverage is over 15% of direct program expenditures. The organization has a demonstrated track record of completing planned evaluations.
The organization has shared its multi-year, risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA. As well, there is evidence to indicate that the organization has calibrated its evaluation efforts and/or approaches according to program context.

6.4 Usage: Acceptable

Some evaluations submitted to TBS incorporate data from a performance measurement system to support the evaluation. Submitted evaluations usually cite data availability and/or quality as constraints.
More than 80% of RMAFs are implemented. Program managers are required to commit to implementation timelines for RMAFs and other performance measurement system. Management action is taken on non-delivery.
Active, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.
The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.

Recommendations

7. Quality Reporting to Parliament

Acceptable

Highlights	Opportunities
7.1 MRRS Basis: Acceptable Good links between performance and plans are present. 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 not sufficiently based on the PAA, i.e. performance is not reported consistently by Program Activity (PA) or at the PA level. 7.3 Context: Opportunity for Improvement DPR is not balanced – a few negative aspects of performance may be reported but insufficient explanation is provided. DPR uses some comparisons, but they are not effective.	The organization could improve its performance reports in future by further integrating discussions of negative performance and lessons learned in order to lend more balance to the performance story. The DPR could also be improved if the focus of reporting was on PA level outcomes and results achieved for Canadians instead of on activities and outputs. Furthermore, the DPR could be more effective if it integrated independently verifiable evidence-based performance information (such as audit and evaluation findings) in a consistent manner.
Recommendations

Highlights

Opportunities

7.1 MRRS Basis: Acceptable

Good links between performance and plans are present.

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

7.3 Context: Opportunity for Improvement

DPR is not balanced – a few negative aspects of performance may be reported but insufficient explanation is provided.
DPR uses some comparisons, but they are not effective.

The organization could improve its performance reports in future by further integrating discussions of negative performance and lessons learned in order to lend more balance to the performance story. The DPR could also be improved if the focus of reporting was on PA level outcomes and results achieved for Canadians instead of on activities and outputs. Furthermore, the DPR could be more effective if it integrated independently verifiable evidence-based performance information (such as audit and evaluation findings) in a consistent manner.

Recommendations

8. Managing Organizational Change

Opportunity for Improvement

Highlights	Opportunities
8.1 Change Plan: While the business plan speaks to some aspects of change management, there is no formal documented Change Plan. 8.2 Engagement: SWC has engaged employees and stakeholders in the past, and has started to plan for incremental change. 8.3 Assessment: The organization has not yet started formally assessing implementation of change.	Continue the effort to resolve workforce adjustment issues and stabilize the organization around its revised mandate. Move from reactive to proactive planning by developing a formal change management strategy.
Recommendations
Develop a formal change management plan that documents SWC’s capacity to proactively manage change embrace new government priorities.

Highlights

Opportunities

8.1 Change Plan: While the business plan speaks to some aspects of change management, there is no formal documented Change Plan.

8.2 Engagement: SWC has engaged employees and stakeholders in the past, and has started to plan for incremental change.

8.3 Assessment: The organization has not yet started formally assessing implementation of change.

Continue the effort to resolve workforce adjustment issues and stabilize the organization around its revised mandate.

Move from reactive to proactive planning by developing a formal change management strategy.

Recommendations

Develop a formal change management plan that documents SWC’s capacity to proactively manage change embrace new government priorities.

9. Effectiveness of Corporate Risk Management

Opportunity for Improvement

Highlights	Opportunities
9.1 Engagement: Opportunity for Improvement Accountability for key risks does not appear to be assigned to senior management. It is not evident that senior management encourages Risk Management and a risk-smart culture. It is not evident whether senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization. Senior management has reviewed/approved the Corporate Risk Profile within the past year. The organization has a common risk assessment approach but it has not been approved by senior management. 9.3 Integration: Opportunity for Improvement Risk information and Risk Management principles are adequately captured in senior management reporting. Risk information and Risk Management principles somewhat influence planning and resource allocation decisions. Risk information is inconsistently considered and consulted for senior management decision-making. 9.4 Continuous Improvement: Acceptable The organization has implemented some recommendations provided during its last MAF assessment.	Senior management accountability for key risks should be formally assigned to facilitate decision making, implementation, monitoring, and reporting of these risks and their associated mitigation strategies. Senior management should promote and encourage a culture of risk awareness and effective risk management at SWC and should effectively document these efforts, thereby demonstrating its progress in this Area of Management.
Recommendations
SWC should effectively document its risk management approach, tools and guides to ensure a common understanding and consistent approach across the organization, as well as to substantiate the risk information cited in its corporate documents.

Highlights

Opportunities

9.1 Engagement: Opportunity for Improvement

Accountability for key risks does not appear to be assigned to senior management.
It is not evident that senior management encourages Risk Management and a risk-smart culture.
It is not evident whether senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization.
Senior management has reviewed/approved the Corporate Risk Profile within the past year.
The organization has a common risk assessment approach but it has not been approved by senior management.

9.3 Integration: Opportunity for Improvement

Risk information and Risk Management principles are adequately captured in senior management reporting.
Risk information and Risk Management principles somewhat influence planning and resource allocation decisions.
Risk information is inconsistently considered and consulted for senior management decision-making.

9.4 Continuous Improvement: Acceptable

The organization has implemented some recommendations provided during its last MAF assessment.

Senior management accountability for key risks should be formally assigned to facilitate decision making, implementation, monitoring, and reporting of these risks and their associated mitigation strategies.

Senior management should promote and encourage a culture of risk awareness and effective risk management at SWC and should effectively document these efforts, thereby demonstrating its progress in this Area of Management.

Recommendations

SWC should effectively document its risk management approach, tools and guides to ensure a common understanding and consistent approach across the organization, as well as to substantiate the risk information cited in its corporate documents.

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

Acceptable

Highlights	Opportunities
10.1 Fair: Acceptable Evidence shows that the organization exceeds standards of timeliness in payments to employees. The organization is undertaking action to improve the classification program, which is at medium-high to high risk; however, there is evidence that the monitoring program is not yet fully effective. 10.2 Enabling: Strong Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages. Organization is representative of all four employment equity designated groups. Promotions among employment equity groups are equal or less than previous year's performance. Separations among employment equity groups are equal or greater than previous year's performance. Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages. 10.3 Healthy and safe: Opportunity for Improvement 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 mitigate classification risks. Take action to ensure Occupational Health and Safety programs are well managed.
Recommendations

Highlights

Opportunities

10.1 Fair: Acceptable

Evidence shows that the organization exceeds standards of timeliness in payments to employees.
The organization is undertaking action to improve the classification program, which is at medium-high to high risk; however, there is evidence that the monitoring program is not yet fully effective.

10.2 Enabling: Strong

Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages.
Organization is representative of all four employment equity designated groups.
Promotions among employment equity groups are equal or less than previous year's performance.
Separations among employment equity groups are equal or greater than previous year's performance.
Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages.

10.3 Healthy and safe: Opportunity for Improvement

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 mitigate classification risks.
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: 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. 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 continuous learning 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: 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.
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 continuous learning and innovation.

Recommendations

12. Effectiveness of Information Management

Opportunity for Improvement

Highlights	Opportunities
12.1 Governance: Acceptable IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s). Some responsibilities are identified for IM policy development/implementation. Some participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing and leveraging IM policies and practices. 12.2 Strategy: Acceptable A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles. IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities. Minimal evidence of the new GC IM Policy Instruments (Policy on Information Management, Directive on IM Roles and Responsibilities). 12.3 Privacy Act: Opportunity for Improvement Significant collections of personal information under the control of the organization have not been appropriately identified or described in accordance with the Privacy Act. 12.4 Access to Information Act: Opportunity for Improvement A significant number of institution-specific Classes of Records do not meet Treasury Board Secretariat requirements.	Develop additional mechanisms to ensure IM representation in corporate-wide governance. Fully identify responsibilities for IM policy implementation and develop alignment with/adoption of GC IM Strategy and policy instruments. Increase reporting and monitoring on IM strategy initiatives to ensure alignment with the business strategy. More fully adopt new GC IM policy instruments. Develop and register Personal Information Banks and/or Classes of Personal Information to ensure all personal information under the institution's control is appropriately described in accordance with the Privacy Act. Review institution-specific Classes of Records to ensure that all descriptions in Info Source are comprehensive, complete, up-to-date, and comply with Treasury Board Secretariat requirements.
Recommendations
Continue to improve descriptions of Status of Women Canada's functions, programs, activities and information holdings including descriptions of its personal information collections.

Highlights

Opportunities

12.1 Governance: Acceptable

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

12.2 Strategy: Acceptable

A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles.
IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.
Minimal evidence of the new GC IM Policy Instruments (Policy on Information Management, Directive on IM Roles and Responsibilities).

12.3 Privacy Act: Opportunity for Improvement

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

12.4 Access to Information Act: Opportunity for Improvement

A significant number of institution-specific Classes of Records do not meet Treasury Board Secretariat requirements.

Develop additional mechanisms to ensure IM representation in corporate-wide governance.
Fully identify responsibilities for IM policy implementation and develop alignment with/adoption of GC IM Strategy and policy instruments.
Increase reporting and monitoring on IM strategy initiatives to ensure alignment with the business strategy.
More fully adopt new GC IM policy instruments.
Develop and register Personal Information Banks and/or Classes of Personal Information to ensure all personal information under the institution's control is appropriately described in accordance with the Privacy Act.
Review institution-specific Classes of Records to ensure that all descriptions in Info Source are comprehensive, complete, up-to-date, and comply with Treasury Board Secretariat requirements.

Recommendations

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

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. No evidence exists of service costing, asset management, performance measurement and reporting.	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. Strengthen the qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.
Recommendations

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.
No evidence exists of service costing, asset management, performance measurement and reporting.

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.
Strengthen the qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.

Recommendations

14. Effectiveness of Asset Management

Acceptable

Highlights	Opportunities
14.1 Investment Planning: Acceptable Organizational priorities and areas of highest risk are identified and guide investment decisions. The organization has a current long-term investment planning document that has been approved by the proper authority. The organization has a planning document that ranks priority investments. 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. The Office of the Co-ordinator Status of Women has provided a very good submission for this MAF exercise. The information was provided in a clear and concise format.	The Office of the Co-ordinator Status of Women may find useful information on materiel management at the following website: Office of the Co-ordinator Status of Women website
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Acceptable

Organizational priorities and areas of highest risk are identified and guide investment decisions.
The organization has a current long-term investment planning document that has been approved by the proper authority.
The organization has a planning document that ranks priority investments.

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.

The Office of the Co-ordinator Status of Women has provided a very good submission for this MAF exercise. The information was provided in a clear and concise format.

The Office of the Co-ordinator Status of Women may find useful information on materiel management at the following website:
- Office of the Co-ordinator Status of Women website

Recommendations

15. Effective Project Management

Acceptable

Highlights	Opportunities
15.1 Governance and Oversight: Acceptable There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented. There is no evidence that the organization has exceeded Treasury Board approval limits. 15.2 Effective Management of Project Resources: Acceptable Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes. The funding models used for projects support the achievement of expected project outcomes and cost estimates are generated at the work package level and consider historical data and/or industry benchmarks. There is no evidence that the organization has failed to meet TB conditions regarding projects. 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 that lessons learned are used to improve project management governance and oversight. There is no evidence that project milestones, deliverables and outcomes are documented. While there is evidence of project monitoring and reporting activities, there is no evidence that these activities are ongoing or that the information is used to support corrective action.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Acceptable

There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented.
There is no evidence that the organization has exceeded Treasury Board approval limits.

15.2 Effective Management of Project Resources: Acceptable

Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes.
The funding models used for projects support the achievement of expected project outcomes and cost estimates are generated at the work package level and consider historical data and/or industry benchmarks.
There is no evidence that the organization has failed to meet TB conditions regarding projects.
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 that lessons learned are used to improve project management governance and oversight.
There is no evidence that project milestones, deliverables and outcomes are documented.
While there is evidence of project monitoring and reporting activities, there is no evidence that these activities are ongoing or that the information is used to support corrective action.

Recommendations

16. Effective Procurement

Opportunity for Improvement

Highlights	Opportunities
16.1 Governance and Oversight: Acceptable Inconsistent links exist between procurement activities and the organization-wide program plans, priorities and long-term investments. Some procurement planning. 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: Opportunity for Improvement Consistent procurement training is evident. Procurement processes that contribute to cost savings and value for money are in use. Some results or reviews are used to adjust current procurement management activities and future procurement plans. Some timely and accurate procurement financial and non-financial reports exist. Some qualified procurement human resources exist.	An opportunity exists to streamline procurement across the organization if departmental procurement activities are managed by one or two dedicated employees.
Recommendations

Highlights

Opportunities

16.1 Governance and Oversight: Acceptable

Inconsistent links exist between procurement activities and the organization-wide program plans, priorities and long-term investments.
Some procurement planning.
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: Opportunity for Improvement

Consistent procurement training is evident.
Procurement processes that contribute to cost savings and value for money are in use.
Some results or reviews are used to adjust current procurement management activities and future procurement plans.
Some timely and accurate procurement financial and non-financial reports exist.
Some qualified procurement human resources exist.

An opportunity exists to streamline procurement across the organization if departmental procurement activities are managed by one or two dedicated employees.

Recommendations

17. Effectiveness of Financial Management and Control

Acceptable

Highlights

Opportunities

17.1 Authorities and Policies: Acceptable

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 good financial management practices.
Departmental processes for classification of moneys, internal controls for receiving and recording money and depositing money show evidence of good financial management practices.
Departmental processes for informing those delegated with Section 33 authority of their responsibilities and dealing with requests for payments that are problematic show evidence of good financial management practices.
Departmental processes to provide individuals delegated Section 33 authority with the information necessary to assess and approve specific transactions and to assess the adequacy of Section 34 account verification show evidence of solid financial management practices.
The reporting of external user fee information meets or nearly meets the requirements of the reporting guidelines.

17.2 Public Accounts Reporting: Opportunity for Improvement

Eighty to 89% (grade B) of Public Accounts reporting plates submitted on time.
Several Financial Management Reporting System (CFMRS) coding errors.

17.3 Management Capacity: Acceptable

All, or almost all, FIs and management team members in the financial management organization have current, approved learning plans.
An inadequate amount of training is provided for the financial management organization.
Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the FI segment of the financial management organization.
Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the positions on the management team of the financial management organization.
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."
The Financial Statements are compliant with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and reporting deadlines were met.
There are no known financial internal control weaknesses.

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 eight to nine times per year.
The internal financial reporting package is presented to senior management less than 15 calendar days after period end.
The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is well 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.

The internal financial reporting package is accompanied by a weak discussion and analysis.

Forty-three Central Financial Management Reporting System (CFMRS) coding errors, up from 32 in the previous fiscal year.

Reporting deadlines of final Public Accounts plates decreased from the previous fiscal year.

Recommendations

18. Effectiveness of Internal Audit Function

Strong

Highlights	Opportunities
Status of Women Canada has an approved Internal Audit Policy. It has elected to use the Small Departments and Agencies Audit Committee. A corporate risk profile is being developed and the organization has an approved Multi-Year Audit Plan. SWC has also signed a Memorandum of Understanding (MOU) with a large department to access qualified audit services when needed.	SWC should update its Audit Plan once the corporate risk profile is finalized. A reminder to SWC to provide annual updates of the Audit Plan to the Office of the Comptroller General. SWC should also inform the OCG two weeks in advance of posting any audit reports to its website.
Recommendations

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.
Some 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.
Several 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.
Significant deficiencies in establishing a maintenance cycle 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 security program governance (including respective responsibilities of SWC and Canadian Heritage), development of policies and procedures, and integration of security training in annual learning plans.
Address the deficiencies regarding MITS compliance including development of an IT Security policy, conduct of risk assessments, development of incident management procedures, improvements in incident detection capability, IT continuity planning and strengthening of network safeguards.
Continue activities currently underway related to business continuity planning and address deficiencies in the areas of plans and arrangements, and program readiness.

Recommendations

Deficiencies related to MITS compliance and development of a Business Continuity Plan should be addressed on a priority basis.

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

20.1 Management Engagement – Service and CLF: Opportunity for Improvement

Senior management has set priorities and goals in an ad hoc or informal fashion or not at the institutional-level.
The institution may have committees or sub-committees which consider and/or make decisions about service. Such committees or sub-committees may not be composed of senior management accountable for services. The institution, however, does not have a committee which is responsible for making decisions about and overseeing service at the institutional level.
There are no 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 has been no monitoring or no steps to set up monitoring of progress towards the achievement of goals by senior management.
There is little monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; there is limited information on which to make decisions and course correction.

20.3 Official Languages: Strong

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

Develop an inventory of its services as a foundation for subsequent improvements to service.
Ensure institutional-level governance is in place to provide service oversight.
Set goals and priorities for service improvement based on performance information.
Conduct client satisfaction measurement using the Common Measurements Tool (CMT) developed by the Institute for Citizen-Centred Service; use of CMT allows benchmarking against similar other organizations.

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