ARCHIVED - MAF Assessment: Industry Canada - 2008

1.1 Leadership: Acceptable

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

1.2 Infrastructure: Acceptable

• 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.
• Risks in regard to possible breaches in public service values and ethics are regularly assessed, documented and followed up with mitigation plans and action by management.

1.3 Culture: Acceptable

• Organization has a good understanding of the current state of public service values and ethics as evidenced by qualitative or quantitative information.

2.1 PAA Consistency: Opportunity for Improvement

• There is little evidence that the Strategic Outcome(s) is/are measurable and does/do not clearly represent an end-state.

2.2 Measurability: Acceptable

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

2.3 Quality:

• The organization has developed a weak performance measurement framework.

3.1 Business Plan: Acceptable

• 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

• Organization's corporate governance structure is generally aligned to the organization's PAA.
• Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.

4.2 Participation in Priority Initiatives: Opportunity for Improvement

• The organization’s commitments are somewhat clear.
• There is an opportunity for the organization to improve its contribution to priority interdepartmental initiatives.

4.3 Portfolio Coordination: Acceptable

• Adequate attention paid to developing coherent policy or program approaches across portfolio.
• The Department’s portfolio coordination is effective.

TBS has assessed Industry Canada with regard to its leadership of the Federal Science and Technology Strategy (FSTS) - Strong and the Paper Burden Reduction Initiative - Acceptable and its participation in Public Service Renewal - Acceptable and the Web of Rules Initiatives - Opportunity for Improvement.

5.1 Supporting Information: Acceptable

• Adequate information is submitted for business cases.
• Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions.
• Policy and budget authorities are usually identified.
• Submission contains an adequate level of detail.
• The organization is highly responsive to TBS feedback.

5.2 Analysis: Acceptable

• Business cases may have comprehensive information and demonstrate good analysis.

5.3 Consultations: Acceptable

• Consultations are sometimes late (less than six weeks before TB meetings).
• Established capacity to initiate consultations with TBS with sufficient lead time is evident.

5.4 Quality control: Acceptable

• Description of resource requirements is moderately clear.
• Generally rigorous and effective quality control process is in place and is usually followed for TB submissions.
• Submissions usually have SFO or Head of Evaluation sign offs when appropriate.
• TBS feedback is usually fully addressed.

6.1 Quality: Acceptable

• Evaluations submitted to TBS sometimes include a management response and an action plan. Action plans are usually limited in scope.
• Evaluations submitted to TBS usually present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report.
• The majority of evaluations submitted to TBS consistently address questions of program relevance, success and effectiveness.
• The majority of evaluations submitted to TBS consistently employ appropriate methodologies to gather data and inform the analysis.

6.2 Neutrality: Acceptable

• 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.
• The majority of resources dedicated to evaluations are directed by the Head of Evaluation.

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. Year to year percent coverage indicates organization is on track to achieve 100% coverage.
• Option 1: The organization is working according to its evaluation plan and has shown evidence of moving towards full evaluation coverage of its program base (e.g. over a five year cycle). Current annual evaluation coverage is between 10-15% of total direct program expenditures.
• The organization has shared its 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.

6.4 Usage: Strong

• Active, documented, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.
• The results of evaluations are usually brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.

7.1 MRRS Basis: Strong

• Strong linkages between resources and results are consistently demonstrated in the reports.
• Strong links between performance and plans are present. The DPR consistently discuses any changes in plans and how they affected performance.

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.
• The reader has a good sense generally of the source of the data and information in the DPR and its quality.
• Strong linkages between PA and Strategic Outcome (SO) level performance are consistently made in the DPR.
• The DPR is concise. It contains a high proportion of estimates-related information and is drafted in a concise reporting style.

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.
• Reports present the strategic context and operating environment including challenges, risks, opportunities and capacities. The reports link them directly to Strategic Outcome-level planning and performance information.

8.1 Change plan: Acceptable

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

8.2 Engagement: Acceptable

• Employees are engaged in the strategy development phase.

8.3 Assessment: Acceptable

• Change plans and strategies are priorities across the organization.

9.1 Engagement: Acceptable

• Senior management reviews the organization’s Risk Management approach within the current three-year planning cycle.
• The organization has a common risk assessment approach and it has been approved by senior management.
• Senior management somewhat ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization.
• Senior management has reviewed/approved the Corporate Risk Profile within the past year.
• Senior management encourages effective Risk Management and a risk-smart culture.
• Accountability for key risks is assigned to senior management.

9.2 Implementation: Opportunity for Improvement

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

9.3 Integration:

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

9.4 Continuous Improvement: Opportunity for Improvement

• Some relevant external sources are consulted during the development of the organization’s CRP.
• Risk information was inconsistently gathered from internal sources of the organization for preparing the CRP.
• Corporate risks are inconsistently linked to the organization’s strategic outcomes.
• It is not evident that the CRP includes an assessment of the quality of risk information used.
• The organization adequately builds on past experience, better practice, and adjusts to fit any changes in management structures, priorities or strategic direction.
• The organization has implemented most recommendations provided during its last MAF assessment.

10.1 Fair: Acceptable

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

10.2 Enabling: Acceptable

• Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages.
• Organization has made progress in comparison to the previous year's representation, recruitments and promotions of the four employment equity groups.
• Organization is representative of all four employment equity designated groups.
• Promotions among employment equity groups are greater than or equal to previous year's performance.
• Separations among employment equity groups are less than or equal to previous year's performance.
• Work instruments, electronic systems and communication tools are generally available in both official languages.

10.3 Healthy and safe: Acceptable

• Employees feel recognized for positive performance.
• Evidence indicates that the organization has in place a well-managed program to protect employee's occupational health and safety.

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 generally available.
• Employees consider that they generally can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are generally available.
• Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position.
• Organization is representative of all four employment equity designated groups.
• Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups is less than the organization's average for all employees.
• Promotions among employment equity groups are less than representation for at least one group.

11.3 Sustainable: Attention Required

• Evidence indicates little or no evidence of human resources planning integrated with business planning.
• No evidence of governance/organizational infrastructure to support integrated planning.

11.4 Adaptable: Acceptable

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

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 somewhat represented in the corporate-wide governance or approval committee(s).
• Responsibilities are identified for IM policy development and implementation consistent with the GC IM Strategy and policy instruments.
• 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.
• An IM strategy implementation plan, including some timelines and resources, is underway and some achievements to date are identified.
• IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.

12.3 Privacy Act: 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: Acceptable

• Most of the organization's functions, programs, activities and related information holdings have been appropriately identified and described in its 2008 Chapter of Info Source: Sources of Federal Government Information.
• Organization‘s 2008 Chapter in Info Source: Sources of Federal Government Information meets most of Treasury Board Secretariat requirements.

Although the overall rating for Industry Canada is Acceptable, the department has not met several of the assessed statutory requirements of the Privacy Act.

13.1 Leadership: Strong

• The senior official has responsibility and accountability for the full scope of information technology responsibilities and ensures that information technology supports organizational outcomes.
• Organization actively participates and demonstrates leadership in setting government-wide directions for information technology.

13.2 Planning: Strong

• A comprehensive information technology plan is in place and it aligns with the government-wide directions for information technology and with departmental business needs.
• Information technology management position is held by a highly engaged senior official designated within the corporate governance structure and related planning processes.

13.3 Value: Strong

• Organization analyzes and plans for the appropriate use of information technology shared services to an optimal extent.
• Organization demonstrates management commitment to service costing, asset management, performance measurement and reporting to ensure value delivery.

14.1 Investment Planning: Opportunity for Improvement

• Organizational priorities and areas of highest risk are identified and guide investment decisions.
• The organization’s investment planning document has not been approved by the proper authority.
• The organization has a planning document that ranks priority investments.
• The organization’s investment planning process considers investments over multiple years.
• The investment planning process integrates investments decisions across all asset classes.

14.2 Real Property Management: Opportunity for Improvement

• Some elements of a real property management framework have been implemented.
• Information systems are in place but real property information is not reliable or integrated with other systems.
• Some indicators of real property performance are monitored.
• Certification of information in the DFRP is received and accepted.
• Certification of information in the FCSI is received and accepted.

14.3 Materiel Management: Acceptable

• All elements of a materiel management framework are evident.
• Governance structures, approval processes and authority limits are documented and disseminated.
• Comprehensive internal policies are documented and disseminated.
• Experience and best practices are shared internally and government-wide.
• Reliable and sufficiently integrated information systems are in place.
• Some indicators of materiel performance are monitored.

15.1 Governance and Oversight: Acceptable

• Business cases, which define expected outcomes, are required to support proposals for major projects.
• There is no evidence that the organization has exceeded Treasury Board project approval limits, or failed to notify TB/TBS when it did.

15.2 Effective Management of Project Resources: Acceptable

• 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.
• The funding models used for projects support the achievement of expected project outcomes and cost estimates are generated at the work package level and consider historical data and/or industry benchmarks.
• There is no evidence that the organization has failed to meet TB conditions regarding projects.

15.3 Effective Management of Project Results: Acceptable

• The organization requires that project milestones, deliverables and outcomes are documented for major projects.
• There is evidence that the organization monitors project performance and uses this information to support corrective action.

16.1 Governance and Oversight: Acceptable

• 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).
• Some procurement planning.

16.2 Meeting Operational Requirements: Acceptable

• Informed decision making and oversight exist.
• Efficient and integrated procurement information systems and processes are in place.
• Results and reviews are used to continuously adjust current procurement management activities and future procurement plans.
• Qualified procurement human resources exist.
• Consistent procurement training is evident.
• Mandatory training underway.
• Some staff enrolled in the Professional Development and Certification program.
• Timely and accurate procurement financial and non-financial reports have been submitted.
• Clear links to human resources planning are established (e.g., succession planning and recruitment strategies for procurement staff).
• Procurement processes that contribute to cost savings and value for money are in use.

Following relatively recent internal audits, Industry Canada launched a significantly new functional model for procurement.  As a result, a number of new measures have been launched and some are under development.  The impact of these changes remains to be seen.  A notable development is the strong potential for the contract review committee to mature into a full-fledged governance body.

17.1 Authorities and Policies: Strong

• Audit report results show evidence of good financial management practices.
• Departmental procedures, tools, training and support for those individuals delegated with Section 34 authority show evidence of solid financial management practices.
• Departmental processes for classification of moneys, internal controls for receiving and recording money and depositing money show evidence of solid 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 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 shows only a few omissions in relation to reporting guidelines.

17.2 Public Accounts Reporting: Strong

• Minimal Central Financial Management Reporting System (CFMRS) coding errors.
• Ninety to 96% (Grade A) of Public Accounts reporting plates submitted on time.
• No errors found during the course of the OAG Public Accounts audit.

17.3 Management Capacity: Acceptable

• A reasonable amount of training is provided for the financial management organization.
• A reasonable proportion of FIs and management team members in the financial management organization have current, approved learning plans.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a low proportion of the positions on the management team of the financial management organization.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a reasonable proportion of the FI segment of the financial management organization.
• Some processes in support of a sound succession plan for key positions are in place.
• There is a strong functional relationship between the CFO/SFO and FI positions that exist outside the financial management organization. *This row is only applicable where the department or agency indicates there are FI positions outside the financial management organization.
• There is not a position established in the financial management organization that is dedicated to community management and development.

17.4 Financial Statements: Strong

• All concerns identified in the audit readiness assessment are addressed in a detailed action plan.
• Most significant known financial internal control weaknesses are remedied.
• 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: Strong

• The internal financial reporting package is accompanied by a comprehensive discussion and analysis.
• The internal financial reporting package is presented to senior management less than one month 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 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 organization has identified financial management initiatives in such areas as policies, reporting, systems and community development.

While the department maintained an overall Strong rating, its rating for compliance with financial legislative authorities and policies decreased and its rating for the quality of its organizational financial statements and progress towards realizing audited financial statements increased.

18.1 Internal Audit governance: Strong

• There is an approved Internal Audit Charter in line with the 2006 Policy on Internal Audit.
• The Implementation Plan covers all of the required policy elements.
• Ongoing monitoring of, and progress in implementing, key elements of the plan are on track with planned timelines.
• Chief Audit Executive reports solely and exclusively to the Deputy Head.
• An independent Departmental Audit Committee is in place.
• There is an approved Departmental Audit Committee Charter in line with the 2006 Policy on Internal Audit.
• There is an approved Departmental Audit Committee Annual Plan for fiscal year 2008-2009.
• The Departmental Audit Committee has met at least four times over the past twelve months.
• A Departmental Audit Committee (DAC) Annual Report addressing some or all of the eight areas of DAC responsibility has been prepared for fiscal year 2007-2008.
• The Departmental Audit Committee Annual Report for 2007-2008 has been submitted to the Deputy Head and the Office of the Comptroller General.

18.2 Internal Audit Professional Practices: Acceptable

• The Risk-Based Audit Plan was approved by the Deputy Head and sent to the Office of the Comptroller General in a timely manner.
• Annual Risk-Based Audit Plan methodology is evident and applied.
• There is evidence of preparation to provide for holistic assurance.
• All post-engagement follow-up activities are clearly identified.
• There is complete and comprehensive identification of planned use of all audit function resources.
• Vast majority of planned work is on audit assurance versus other types of activities.
• Continuity of previous years work is identified with status or rationale.
• Approved assurance products meet or exceed policy and internal audit standards requirements.
• Reasonable completion rate of assurance products (number of assurance audit reports) against 2007-2008 Risk-Based Audit Plan.
• Internal Quality Assurance and Improvement Program is documented and is in the process of being implemented.
• Assurance products (reports) are produced in a somewhat timely manner.
• Approved assurance products are made accessible to the public in a reasonably timely manner.
• Post-engagement follow-up process is well documented, and all recommendations are followed up using a risk-based approach.
• The department or agency provides notification to the Treasury Board Secretariat on issues of importance on an ad hoc basis or is aware of this requirement.
• The department or agency provides limited notification to the Treasury Board Secretariat on the posting of reports.

18.3 Administration of the Internal Audit Function: Acceptable

• Recruitment and external resourcing activities are guided by a documented Human Resources Plan.
• Investment in Certified Internal Auditor certification, learning and training does not meet the basic requirement of 4% of FTE salaries.
• Planned spending,*, was given to the Office of the Comptroller General. When comparing current spending of 2008-2009 with planned financial resources of 2007-2008, resource levels have dropped comparatively to resource levels identified n 2007.
• Planned FTEs dedicated to internal audit have grown comparatively to 2007-2008. They exceed the resource level identified in the planned internal audit function’s budget for 2008-2009.

18.4 Internal Audit Performance: Strong

• A Chief Audit Executive Annual Report for 2007-2008 was presented to the Departmental Audit Committee and the Deputy Head and submitted to the Office of the Comptroller General.
• Extensive periodic reporting on the follow-up of Management Action Plans is evident.

The department has made further progress in the areas of Internal Audit (IA) Governance, Professional Practices and Reporting on IA Performance. In particular, the DAC is established andthe department maintained a reasonable rate of internal audit report completion. The CAE produced an Annual Report for 2007-2008 and there is extensive periodic reporting on the follow-up of management action plans to the DAC.

19.1 Departmental Security Program: Acceptable

• Organization has in place a fully developed security program that comprises key policy elements and is administered by an appointed Departmental Security Officer (DSO) who is positioned to provide strategic advice and guidance to senior management.
• No significant deficiencies in meeting key policy requirements for the departmental security program.

19.2 Management of IT Security (MITS): Acceptable

• Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS) and complies with most MITS requirements.
• No significant deficiencies in meeting key MITS requirements.

19.3 Business Continuity Planning (BCP): Strong

• Organization has a fully developed and sustainable ability to provide for the continuity of critical business operations and services.
• Completed and approved plans are in place for Pandemic and Information Management/Information Technology emergency preparedness.

20.1 Management Engagement – Service and CLF: Acceptable

• There are expectations set by senior management for an institutional focus on meeting the needs of clients, specifically with respect to service standards and client satisfaction measurement.
• There are priorities and goals for service, but not always at the institutional level; these limited priorities and goals are set by senior management based on the use of limited performance evidence.
• 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 limited monitoring of progress by senior management towards the achievement of the goals for service, making course correction difficult.
• There is routine monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is used to make timely and proactive decisions or course correction.

20.2 Public/client views: Acceptable

• Evidence of incorporating feedback in the implementation of its services, programs, policies or initiatives.
• Few tools used to obtain views from clients.
• Little evidence of making consultation results available to the public.
• There are plans to obtain views from clients.
• There is a clearly identified target clientele for public consultations.

20.3 Official Languages: Acceptable

• Analysis of the Annual Review on OL shows the institution is generally able to meet its obligations.
• Audits reveal numerous shortcomings in active offer and service delivery in both OL.
• No complaint or minimal number of founded complaints exits.
• The institution has initiated the necessary follow-ups to improve service delivery in both OL.
• The institution has the necessary linguistic capacity to serve the public in both OL.