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Management Accountability Framework

ARCHIVED - MAF Assessment: Department of Foreign Affairs and International Trade - 2008

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* An asterisk appears where sensitive information has been removed in accordance with the Access to Information Act and Privacy Act.

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

Context

The observations by the Treasury Board Portfolio relating to the 2008-09 MAF assessment for the Department of Foreign Affairs and International Trade (DFAIT) are generally positive and denote continued improvements over the last two years’ MAF. The ratings for seven areas of management improved compared to last year’s MAF while none declined. For the twenty one areas of management, DFAIT received:

seven "strong" ratings
thirteen "acceptable" ratings
one "opportunity for improvement" rating, and
no "attention required" rating.

* through a Transformation Agenda, an initiative aimed at refocusing DFAIT on its core business, to strengthen its main value-added component - the network of Canadian missions abroad - and to provide key services to Canada and Canadians in a timelier and more cost-effective manner.

DFAIT conducted this vast and ambitious undertaking at the same time as it was confronted by geopolitical and economic challenges: 1) sustained pressure on a policy agenda in time of global volatility (e.g., Afghanistan and other failed and fragile states); 2) an ambitious trade negotiation plan and the continued challenge of the Canada US softwood lumber file; 3) continued preparation for the next phase of the Western Hemispheric Travel Initiative; and, 4) the global economic downturn.

The MAF assessment of DFAIT’s corporate management will help guide the department in planning and responding to these challenges as they put pressure on the financial, capital and human resources of its programs, as well as on its corporate management infrastructure.

DFAIT should be recognized for its work to improve management in a number of areas since last year, including:

Effectiveness of the Corporate Management Structure*: The absence of a dedicated and integrated department-wide business plan was identified in the last MAF as an area where the Department should make further progress. DFAIT launched an integrated business planning process in the fall of 2008 which has resulted in a first draft of an integrated plan in April 2009.

Quality and Use of Evaluation: DFAIT continues to display a continued commitment to quality evaluation and has taken several steps intended to bring the function to full maturity. Should these efforts be successful and sustained, the Department is well positioned to build on its current capabilities and further develop its leadership role in the evaluation community.

Quality of Performance Reporting*: This area of management was also identified in the last MAF as an area where the Department should make further progress. In this latest assessment, DFAIT has demonstrated a capacity to clearly communicate performance expectations in the Report on Plans and Priorities that are tracked and reported on in the Departmental Performance Report along Management Resources and Results Structures.

Extent to which the Workplace is Fair, Enabling, Healthy and Safe: The Department has performed above expectations with respect to HR business processes and systems and employee linguistic rights. The organization has met expectations with respect to classification, effective labour relations, and employee recognition. However, opportunities for improvement are identified with regard to diversity and ensuring a healthy and safe workplace.

Effectiveness of Information Management*: TheMAF recognizes the significant efforts by the Department since its previous MAF assessment to improve its administration of requirements under the Access to Information Act, especially as it faces sustained workload increases related to information access and consultation requests on Canada's efforts in Afghanistan. The Department was also the first institution to re-write its entire Info Source Chapter using its Program Activity Architecture structure in accordance with new TBS recommendations.

Effectiveness of Financial Management and Control*: This area of management was identified in the last MAF as an area of priority for the Department. The Department did improve its overall rating from an "opportunity for improvement" to an acceptable rating as evidenced by: well-documented systems for monitoring compliance with financial legislative authorities and policies and good progress in taking corrective action when necessary, acceptable internal and external financial reporting with appropriate mitigation strategies to correct internal control weaknesses and a well- developed financial management capacity.

Effective Management of Security and Business Continuity: Since the last MAF, DFAIT sustained its performance regarding the Department’s security program and the Management of its IT Security (MITS), and has made good progress in its Business Continuity Planning (BCP) which was assessed as "strong". DFAIT is now compliant with almost all requirements of the BCP Program standard and has a Pandemic Influenza Preparedness Plan in place. Activities are underway to ensure plans remain evergreen.

However, the Department should aim to make further progress in the coming year in the following area:

Effectiveness of the Internal Audit Function*: This was also identified as an area where the Department should make further progress and it has made progress in the implementation of the 2006 Policy on Internal Audit: some elements of Internal Audit Governance are in place and there is a restructured Internal Audit function providing for the Chief Audit Executive position to report directly to the Deputy Head. There is a clear commitment to achieve the fundamental requirements of the 2006 Policy on Internal Audit by April 1, 2009. Opportunities for improvement have also been identified as they relate to internal audit professional practice and priority should be given to the development of a comprehensive risk-based audit plan and increasing assurance report completion and quality.

In addition to and in support of addressing the concerns noted above, the following management areas priorities are suggested for the coming year. Work on many of these is already underway:

Effectiveness of the Corporate Management Structure: The Department should continue to build on its business planning process to sustain efforts created by this new process to achieve effective and transparent planning, resource allocation and decision making.

Quality of Analysis of TB submission: In response to concerns raised in this MAF Assessment, DFAIT committed to developing an action plan to strengthen internal practices as they relate to the quality control of submissions and timeliness. DFAIT should fully develop the Plan and implement it throughout the organization. Progress on this front will be monitored regularly by TBS and DFAIT and this will inform future MAFs.

Managing Organizational Change: Over the last two years, significant effort and resources have been marshalled to develop and implement the Transformation Agenda. Progress remains to be seen on the rebalancing of staff from HQ to the field, the centerpiece of the transformation. Implementation will take time and more results are yet to be seen.

Effectiveness of Financial Management and Control: While the rating for this area of management improved over the last two MAFs, DFAIT still faces challenges in the full implementation of the Chief Financial Officer function and should continue to pursue adequate resourcing of this important function.

Effectiveness of Information Management: Although the overall rating for DFAIT is "Acceptable" and the Department has made notable progress in the last review period, some assessed statutory requirements of the Access to Information and Privacy Acts are not always met. The Department should also continue to pursue adequate resourcing of the ATIP program.

Effectiveness of Asset Management and Project Management: The Department demonstrates a strong and sustained capacity in these areas and shows strength in both real property and materiel management. However, as it is beginning the transition to the Policy on Investment Planning - Assets and Acquired Services, it will be important to maintain that strong organizational capacity.

The Department should be commended for its assistance and helpful advice to TBS/Office of the Comptroller General in the development of the new Policy on Transfer Payments as it relates to the nature and implementation of transfer payments in an international context. Useful guidance by DFAIT has helped clarify expectations and streamline future Treasury Board submissions for the benefit of the government as a whole.

The Department should also be recognized for its ongoing work in support of Canada’s engagement in Afghanistan, namely, in its support of mission operations as a common service provider and as a key member of the whole-of-government team, responsible for leading efforts in three Government priority areas: rule of law, border security, and political reconciliation.

With Regards to Passport Canada

It should be noted that while the MAF assessed the corporate management practices of DFAIT, Passport Canada’s corporate management performance is not assessed. TBS recommends that, for future MAF assessment, information should be submitted in areas where Passport Canada has its own corporate practices and processes. Furthermore, as noted in last year's MAF, DFAIT and Passport Canada should revisit the 1994 Framework Agreement to reflect current collaboration and accountabilities.

* Denotes management priorities identified in last year’s MAF assessment

1. Values-based Leadership and Organizational Culture

Strong

Highlights	Opportunities
1.1 Leadership: Strong Regarding Values and Ethics Leadership, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating. 1.2 Infrastructure: Strong Regarding Values and Ethics Plans, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating. Regarding Values and Ethics Risk Assessment and Mitigation, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating. 1.3 Culture: Strong Regarding the Current State of Organizational Values and Ethics, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.
Recommendations

Highlights

Opportunities

1.1 Leadership: Strong

Regarding Values and Ethics Leadership, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.

1.2 Infrastructure: Strong

Regarding Values and Ethics Plans, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.
Regarding Values and Ethics Risk Assessment and Mitigation, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.

1.3 Culture: Strong

Regarding the Current State of Organizational Values and Ethics, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.

Recommendations

2. Utility of the Corporate Performance Framework

Acceptable

Highlights	Opportunities
2.1 PAA Consistency: Acceptable The Strategic Outcome(s) is/are measurable and represents an end-state. 2.2 Measurability: Acceptable An adequate Program Activity Architecture has been developed with some issues to be resolved. 2.3 Quality: Expected results are not clear and distinct, and are not appropriate to their respective program descriptions. The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.	DFAIT has a clear Program Activity Architecture (PAA) that does a good job of describing its mission and vision. However additional clarity could be sought by ensuring that all of DFAIT’s programs are represented in its PAA. The organization should continue to refine its Performance Measurement Framework (PMF) to bring it in line with the standards set out in the MRRS Instructions. The organization should also ensure that actual data for the indicators in its PMF are being collected and analyzed to gain insights into program performance and to validate the indicators. DFAIT has provided a draft PMF to TBS for review which is currently underway. DFAIT's PMF could benefit from a better coordination and integration of input throughout the whole department to obtain more timely closure.
Recommendations

Highlights

Opportunities

2.1 PAA Consistency: Acceptable

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

2.2 Measurability: Acceptable

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

2.3 Quality:

Expected results are not clear and distinct, and are not appropriate to their respective program descriptions.
The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.

DFAIT has a clear Program Activity Architecture (PAA) that does a good job of describing its mission and vision. However additional clarity could be sought by ensuring that all of DFAIT’s programs are represented in its PAA.
The organization should continue to refine its Performance Measurement Framework (PMF) to bring it in line with the standards set out in the MRRS Instructions. The organization should also ensure that actual data for the indicators in its PMF are being collected and analyzed to gain insights into program performance and to validate the indicators.
DFAIT has provided a draft PMF to TBS for review which is currently underway. DFAIT's PMF could benefit from a better coordination and integration of input throughout the whole department to obtain more timely closure.

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 Organization's corporate governance structure is generally aligned to the organization's PAA. Recordkeeping is generally complete and current (minutes of meetings and records of discussion, decision, and follow-up). Resource reallocation is generally proactive when or where required. 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. Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly. Terms of reference for all levels in the governance structure are current and complete.	Continue to solidify the business planning process to fully integrate it into ongoing business cycle and governance. Sustain effort created by the new business planning process to achieve effective and transparent planning, resource allocation and decision making across the department.
Recommendations
Building on the progress over the last year in the development of a first integrated business plan, the department should ensure that the plan is finalized and fully communicated throughout the organization.

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

Organization's corporate governance structure is generally aligned to the organization's PAA.
Recordkeeping is generally complete and current (minutes of meetings and records of discussion, decision, and follow-up).
Resource reallocation is generally proactive when or where required.
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.
Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.
Terms of reference for all levels in the governance structure are current and complete.

Continue to solidify the business planning process to fully integrate it into ongoing business cycle and governance.
Sustain effort created by the new business planning process to achieve effective and transparent planning, resource allocation and decision making across the department.

Recommendations

Building on the progress over the last year in the development of a first integrated business plan, the department should ensure that the plan is finalized and fully communicated throughout the organization.

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.1 Leadership of Priority Initiatives: Acceptable The organization is effectively leading its priority interdepartmental initiative. 4.2 Participation in Priority Initiatives: Acceptable The organization contributes effectively to Public Service Renewal. The organization’s commitments are somewhat clear. 4.3 Portfolio Coordination: Acceptable Adequate attention paid to developing coherent policy or program approaches across portfolio. The Department’s portfolio coordination is effective. DFAIT has been assessed on its leadership of the Americas Strategy - Acceptable, and its participation in Web of Rules - Acceptable; Public Service Renewal - Strong; Afghanistan - Acceptable; Francophone Summit - Acceptable; and Clean Air Agenda - Acceptable.	As noted in MAF Round V, an opportunity exists for the department to establish more cooperative arrangements with its portfolio entities. DFAIT is encouraged to continue working with other Canadian and international stakeholders to ensure progress on Afghanistan-related reporting and performance measurement.
Recommendations

Highlights

Opportunities

4.1 Leadership of Priority Initiatives: Acceptable

The organization is effectively leading its priority interdepartmental initiative.

4.2 Participation in Priority Initiatives: Acceptable

The organization contributes effectively to Public Service Renewal.
The organization’s commitments are somewhat clear.

4.3 Portfolio Coordination: Acceptable

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

DFAIT has been assessed on its leadership of the Americas Strategy - Acceptable, and its participation in Web of Rules - Acceptable; Public Service Renewal - Strong; Afghanistan - Acceptable; Francophone Summit - Acceptable; and Clean Air Agenda - Acceptable.

As noted in MAF Round V, an opportunity exists for the department to establish more cooperative arrangements with its portfolio entities.
DFAIT is encouraged to continue working with other Canadian and international stakeholders to ensure progress on Afghanistan-related reporting and performance measurement.

Recommendations

5. Quality of Analysis in TB Submissions

Acceptable

Highlights	Opportunities
5.1 Supporting Information: Acceptable Minor inaccuracies in information relative to TBS financial data exists. Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions. Organization has the capacity to respond effectively to most TBS feedback. Policy and budget authorities are usually identified. Responses to TBS comments are incomplete. 5.2 Analysis: Acceptable Analysis of value for money is partially effective or efficient. Business cases may have comprehensive information and demonstrate good analysis. Established capacity for analysis on implementation is evident. Established capacity for options analysis is demonstrated. Established capacity in the understanding of external pressures exists. Generally, the correct policy authorities are used. Responses to TBS comments are incomplete. Some links to MRRS, strategic objectives, etc., are present. 5.3 Consultations: Opportunity for Improvement Consultations are sometimes late (less than six weeks before TB meetings). Emerging capacity to plan and to initiate consultations with TBS with sufficient lead time is lacking. Organization should be better able to predict factors that lead to occasional lateness. 5.4 Quality control: Opportunity for Improvement Consistency of information throughout documents is lacking. Important information is only sometimes included in the first draft. Quality control process is sometimes evident and is partially effective. Response to TBS feedback is uneven across submissions. Writing and translation standards are fair.	The plan to extend financial management advisors into programs should assist them in developing TB submissions.
Recommendations
The department would benefit from regular use of the tools it has developed for the quality control and review of TB submissions and its Action Plan proposes to develop these further.

Highlights

Opportunities

5.1 Supporting Information: Acceptable

Minor inaccuracies in information relative to TBS financial data exists.
Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions.
Organization has the capacity to respond effectively to most TBS feedback.
Policy and budget authorities are usually identified.
Responses to TBS comments are incomplete.

5.2 Analysis: Acceptable

Analysis of value for money is partially effective or efficient.
Business cases may have comprehensive information and demonstrate good analysis.
Established capacity for analysis on implementation is evident.
Established capacity for options analysis is demonstrated.
Established capacity in the understanding of external pressures exists.
Generally, the correct policy authorities are used.
Responses to TBS comments are incomplete.
Some links to MRRS, strategic objectives, etc., are present.

5.3 Consultations: Opportunity for Improvement

Consultations are sometimes late (less than six weeks before TB meetings).
Emerging capacity to plan and to initiate consultations with TBS with sufficient lead time is lacking.
Organization should be better able to predict factors that lead to occasional lateness.

5.4 Quality control: Opportunity for Improvement

Consistency of information throughout documents is lacking.
Important information is only sometimes included in the first draft.
Quality control process is sometimes evident and is partially effective.
Response to TBS feedback is uneven across submissions.
Writing and translation standards are fair.

The plan to extend financial management advisors into programs should assist them in developing TB submissions.

Recommendations

The department would benefit from regular use of the tools it has developed for the quality control and review of TB submissions and its Action Plan proposes to develop these further.

6. Quality and Use of Evaluation

Strong

Highlights	Opportunities
6.1 Quality: Strong 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. The majority of evaluations submitted to TBS include a management response and an action plan detailing timelines and management accountabilities. The majority of evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used. The majority of evaluations submitted to TBS use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders. 6.2 Neutrality: Acceptable 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 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. 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%. 6.4 Usage: Acceptable Active, systematic and regular tracking of management action plans arising from evaluation recommendations is in place. Less than 40% of RMAFs are implemented. 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. The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews. DFAIT continues to demonstrate a high degree of competence and professionalism in its evaluation function. Over the last year, DFAIT continued to display its commitment to quality evaluation and took several steps intended to bring the function to full maturity. Should these efforts be successful and sustained, DFAIT is well positioned to build on its current capabilities and further develop its leadership role in the evaluation community.	DFAIT is exploring the establishment of a unit tasked with supporting programs in Results-Based Management. This may, in turn, support the overall quality and rate of implementation of RMAFs and/or other performance measurement systems in support of evaluation.
Recommendations
DFAIT should consider improving the use of multiple Lines of Evidence in evaluations and the implementation of performance measurement systems at the program level that better support evaluation.

Highlights

Opportunities

6.1 Quality: Strong

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.
The majority of evaluations submitted to TBS include a management response and an action plan detailing timelines and management accountabilities.
The majority of evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used.
The majority of evaluations submitted to TBS use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders.

6.2 Neutrality: Acceptable

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

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.
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%.

6.4 Usage: Acceptable

Active, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.
Less than 40% of RMAFs are implemented.
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.
The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.

DFAIT continues to demonstrate a high degree of competence and professionalism in its evaluation function. Over the last year, DFAIT continued to display its commitment to quality evaluation and took several steps intended to bring the function to full maturity. Should these efforts be successful and sustained, DFAIT is well positioned to build on its current capabilities and further develop its leadership role in the evaluation community.

DFAIT is exploring the establishment of a unit tasked with supporting programs in Results-Based Management. This may, in turn, support the overall quality and rate of implementation of RMAFs and/or other performance measurement systems in support of evaluation.

Recommendations

DFAIT should consider improving the use of multiple Lines of Evidence in evaluations and the implementation of performance measurement systems at the program level that better support evaluation.

7. Quality Reporting to Parliament

Acceptable

Highlights	Opportunities
7.1 MRRS Basis: Acceptable Any changes in resources are apparent, and the DPR discusses some of them and how they affected results. Linkages between resources and results are adequately demonstrated in the reports. 7.2 Credible information: Opportunity for Improvement Linkages between PA and Strategic Outcome (SO) level performance are not consistently made. 7.3 Context: Acceptable DPR provides a few links to further information. There is adequate discussion of lessons learned.	Additional linkages between Program Activity level performance and strategic outcomes would help ensure a more strategic focus. Additional weblinks to further information would help to reduce the amount of activities/outputs-focused information.
Recommendations

Highlights

Opportunities

7.1 MRRS Basis: Acceptable

Any changes in resources are apparent, and the DPR discusses some of them and how they affected results.
Linkages between resources and results are adequately demonstrated in the reports.

7.2 Credible information: Opportunity for Improvement

Linkages between PA and Strategic Outcome (SO) level performance are not consistently made.

7.3 Context: Acceptable

DPR provides a few links to further information.
There is adequate discussion of lessons learned.

Additional linkages between Program Activity level performance and strategic outcomes would help ensure a more strategic focus. Additional weblinks to further information would help to reduce the amount of activities/outputs-focused information.

Recommendations

8. Managing Organizational Change

Acceptable

Highlights	Opportunities
8.1 Change plan: Strong Comprehensive organizational change plan exists and matches the scope of change that has been identified. Established and robust capacity is in place to evaluate whether or not change is required. 8.2 Engagement: Acceptable A learning culture exists within the organization. Change management related training programs are available to some components of the organizations. Employees are engaged in the strategy development phase. Individual and organization-wide change-related training programs are available. 8.3 Assessment: Acceptable Assessment plans exist and are broad in scope and detail. Change plans and strategies are included in Performance Management Agreements of Senior Executives. Change plans and strategies are priorities across the organization. Results are apparent.
Recommendations

Highlights

Opportunities

8.1 Change plan: Strong

Comprehensive organizational change plan exists and matches the scope of change that has been identified.
Established and robust capacity is in place to evaluate whether or not change is required.

8.2 Engagement: Acceptable

A learning culture exists within the organization.
Change management related training programs are available to some components of the organizations.
Employees are engaged in the strategy development phase.
Individual and organization-wide change-related training programs are available.

8.3 Assessment: Acceptable

Assessment plans exist and are broad in scope and detail.
Change plans and strategies are included in Performance Management Agreements of Senior Executives.
Change plans and strategies are priorities across the organization.
Results are apparent.

Recommendations

9. Effectiveness of Corporate Risk Management

Acceptable

Highlights	Opportunities
9.1 Engagement: Acceptable Senior management reviews the organization’s Risk Management approach within the current three-year planning cycle. The organization has a common risk assessment approach and it has been approved by senior management. Senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization. Senior management has reviewed/approved the Corporate Risk Profile within the past year. Senior management somewhat encourages Risk Management and a risk-smart culture. Accountability for key risks is assigned to senior management. 9.2 Implementation: 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 inconsistently made available to staff. 9.3 Integration: Opportunity for Improvement Risk information is inconsistently considered and consulted for senior management decision-making. Risk information and Risk Management principles influence planning and resource allocation decisions. Operational level risks are inconsistently prioritized into key risks. Risk information and Risk Management principles are adequately captured in senior management reporting. The organization makes inconsistent course corrections based on Risk Management performance and new information. 9.4 Continuous Improvement: Acceptable Most relevant external sources are consulted during the development of the organization’s CRP. Key risk information was adequately gathered from internal sources of the organization for preparing the CRP. Corporate risks are consistently linked to the organization’s strategic outcomes and are adjusted as required. The CRP provides a reliable assessment of the quality of risk information used. The organization adequately builds on past experience, better practice, and adjusts to fit any changes in management structures, priorities or strategic direction. The organization has implemented some recommendations provided during its last MAF assessment. DFAIT corporate risks are consistently linked to the organization’s strategic outcomes and are adjusted as required. Additionally, DFAIT uses risk information and risk management principles to influence planning and resource allocation decisions. DFAIT senior management has reviewed and approved the CRP within the past year and the CRP appears to be systematically implemented into most operational levels across the organization.	A key area of focus for DFAIT's improvement would be to develop an overarching Risk Management framework document, and/or policy. DFAIT could work towards the gathering and subsequent prioritization of operational level risks into key risks. The organization could also develop its own risk assessment methodology and/or risk-rating criteria to appropriately express DFAIT senior management risk tolerance throughout the organization. DFAIT is furthermore encouraged to incorporate progress on risk mitigation strategies into future DPRs.
Recommendations

Highlights

Opportunities

9.1 Engagement: Acceptable

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

9.2 Implementation: 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 inconsistently made available to staff.

9.3 Integration: Opportunity for Improvement

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

9.4 Continuous Improvement: Acceptable

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

DFAIT corporate risks are consistently linked to the organization’s strategic outcomes and are adjusted as required. Additionally, DFAIT uses risk information and risk management principles to influence planning and resource allocation decisions. DFAIT senior management has reviewed and approved the CRP within the past year and the CRP appears to be systematically implemented into most operational levels across the organization.

A key area of focus for DFAIT's improvement would be to develop an overarching Risk Management framework document, and/or policy.

DFAIT could work towards the gathering and subsequent prioritization of operational level risks into key risks.

The organization could also develop its own risk assessment methodology and/or risk-rating criteria to appropriately express DFAIT senior management risk tolerance throughout the organization.

DFAIT is furthermore encouraged to incorporate progress on risk mitigation strategies into future DPRs.

Recommendations

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

Acceptable

Highlights	Opportunities
10.1 Fair: Acceptable Organization is undertaking action to improve the classification program in accordance with its level of risk. Evidence shows that labour relations matters are consistently and appropriately managed/addressed. Evidence shows that the organization exceeds standards of timeliness in payments to employees. Evidence shows that the organization is in compliance with Labour Relations and Compensation Operations direction (terms and condition of employment, collective agreements and/or applicable legislation). 10.2 Enabling: Acceptable Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages. Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups. Promotions among employment equity groups are greater than or equal to previous year's performance. Separations among employment equity groups are equal or greater than previous year's performance. The organization is under-represented in more than one of the four employment equity designated groups. 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 ensure Occupational Health and Safety programs are well managed.
Recommendations

Highlights

Opportunities

10.1 Fair: Acceptable

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

10.2 Enabling: Acceptable

Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages.
Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups.
Promotions among employment equity groups are greater than or equal to previous year's performance.
Separations among employment equity groups are equal or greater than previous year's performance.
The organization is under-represented in more than one of the four employment equity designated groups.
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 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: Opportunity for Improvement An insufficient number of employees indicate their organization supports their career development and learning needs. 11.2 Principled: Opportunity for Improvement 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. Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position. Organization is under-represented in one or more of the four employment equity designated groups. 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: Acceptable A sufficient number of employees indicate their organization encourages continuous learning, improvement and innovation.	Take action to ensure that employees feel the organization supports learning and career development.
Recommendations

Highlights

Opportunities

11.1 Productive: Opportunity for Improvement

An insufficient number of employees indicate their organization supports their career development and learning needs.

11.2 Principled: Opportunity for Improvement

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.
Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position.
Organization is under-represented in one or more of the four employment equity designated groups.
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: Acceptable

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

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

Recommendations

12. Effectiveness of Information Management

Acceptable

Highlights	Opportunities
12.1 Governance: Strong IM requirements are fully integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, and projects and mechanism are in place to continuously evaluate and modify the requirements. IM is fully represented in the corporate-wide governance structure and in the corporate-wide governance or approval committee(s). Extensive participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices. 12.2 Strategy: Strong An approved and resourced IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is integrated with corporate strategies, plans, and planning cycles. An IM strategy implementation plan, including timelines and resources, is underway and achievements are evident. Mechanisms are in place to continuously evaluate and modify the plan. An IM awareness campaign or strategy is underway and all staff and executives are informed of their IM roles, responsibilities and accountabilities, and most have attended awareness/training sessions. 12.3 Privacy Act: Opportunity for Improvement Some 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. Although the organization has made several improvements to its 2008 Chapter of Info Source: Sources of Federal Government Information, revisions are still necessary to meet all Treasury Board Secretariat requirements. Although the overall rating for DFAIT is Acceptable, the Department has not met several of the assessed statutory requirements of the Access to Information and Privacy Acts.	Develop an IM governance framework to more clearly articulate IM representation in corporate governance. Organization is encouraged to develop an overall IM Awareness strategy to ensure employee awareness of IM responsibilities. 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. Ensure that all information relevant to the institution's functions, programs, activities and related information holdings 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

Highlights

Opportunities

12.1 Governance: Strong

IM requirements are fully integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, and projects and mechanism are in place to continuously evaluate and modify the requirements.
IM is fully represented in the corporate-wide governance structure and in the corporate-wide governance or approval committee(s).
Extensive participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices.

12.2 Strategy: Strong

An approved and resourced IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is integrated with corporate strategies, plans, and planning cycles.
An IM strategy implementation plan, including timelines and resources, is underway and achievements are evident. Mechanisms are in place to continuously evaluate and modify the plan.
An IM awareness campaign or strategy is underway and all staff and executives are informed of their IM roles, responsibilities and accountabilities, and most have attended awareness/training sessions.

12.3 Privacy Act: Opportunity for Improvement

Some 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.
Although the organization has made several improvements to its 2008 Chapter of Info Source: Sources of Federal Government Information, revisions are still necessary to meet all Treasury Board Secretariat requirements.

Although the overall rating for DFAIT is Acceptable, the Department has not met several of the assessed statutory requirements of the Access to Information and Privacy Acts.

Develop an IM governance framework to more clearly articulate IM representation in corporate governance.
Organization is encouraged to develop an overall IM Awareness strategy to ensure employee awareness of IM responsibilities.
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.
Ensure that all information relevant to the institution's functions, programs, activities and related information holdings 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

13. Effectiveness of Information Technology Management

Strong

Highlights	Opportunities
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: 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: 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.	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. Commended for its progress and encouraged to share its 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: 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: 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: 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.

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.
Commended for its progress and encouraged to share its 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

Strong

Highlights	Opportunities
14.1 Investment Planning: Acceptable 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: Strong All elements of a real property management framework are implemented. Comprehensive internal policies are documented and disseminated. Reliable and integrated information systems are in place. Certification of information in the DFRP is received and accepted. Certification of information in the FCSI is received and accepted. Contaminated site management is consistent with policy and program guidelines. Indicators of real property performance are monitored and performance measurement is ongoing. 14.3 Materiel Management: Strong Comprehensive internal policies are documented and disseminated. All elements of a materiel management framework are evident. Governance structures, approval processes and authority limits are documented and disseminated. Reliable and sufficiently integrated information systems are in place. New and evolving best practices are introduced. A culture of continuous improvement is evident. Experience and best practices are shared internally and government-wide.	DFAIT is encouraged to incorporate investments in acquired services into their investment plan and to elaborate on risk planning. Further, the department is encouraged to begin its transition to the new Policy on Investment Planning - Assets and Acquired Services.
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Acceptable

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: Strong

All elements of a real property management framework are implemented.
Comprehensive internal policies are documented and disseminated.
Reliable and integrated information systems are in place.
Certification of information in the DFRP is received and accepted.
Certification of information in the FCSI is received and accepted.
Contaminated site management is consistent with policy and program guidelines.
Indicators of real property performance are monitored and performance measurement is ongoing.

14.3 Materiel Management: Strong

Comprehensive internal policies are documented and disseminated.
All elements of a materiel management framework are evident.
Governance structures, approval processes and authority limits are documented and disseminated.
Reliable and sufficiently integrated information systems are in place.
New and evolving best practices are introduced.
A culture of continuous improvement is evident.
Experience and best practices are shared internally and government-wide.

DFAIT is encouraged to incorporate investments in acquired services into their investment plan and to elaborate on risk planning. Further, the department is encouraged to begin its transition to the new Policy on Investment Planning - Assets and Acquired Services.

Recommendations

15. Effective Project Management

Strong

Highlights	Opportunities
15.1 Governance and Oversight: Strong Business cases, which define expected outcomes, are required to support proposals for major projects. Effective organization-wide decision-making processes and procedures ensure that all projects are aligned with the strategic plans and priorities of the organization and all relevant decisions are documented. There is evidence of formal and effective organization-wide governance and oversight mechanisms. There is no evidence that the organization has exceeded Treasury Board approval limits. 15.2 Effective Management of Project Resources: Strong Funding models, which generate effective cost estimates at the work package level and consider historical data and industry benchmarks, are complete and project funds are fully committed. The organization has well-defined processes and procedures which ensure that required resources are available and committed and that these requirements are directly linked to HR planning, infrastructure capacity, and budgetary planning documents. The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training. There is no evidence that the organization has failed to meet TB conditions regarding projects. 15.3 Effective Management of Project Results: Strong All projects are subject to ongoing monitoring and reporting activities. There is evidence that this information is consistently used to support corrective action and decisions are documented. The organization has formal, organization-wide procedures and processes that systematically provide project managers and project oversight mechanisms with all relevant project monitoring and performance information and this information is demonstrably used to support project decisions. The organization requires that project milestones, deliverables and outcomes are documented for major projects. There is a clear link between the review process and project management governance and oversight mechanisms.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Strong

Business cases, which define expected outcomes, are required to support proposals for major projects.
Effective organization-wide decision-making processes and procedures ensure that all projects are aligned with the strategic plans and priorities of the organization and all relevant decisions are documented.
There is evidence of formal and effective organization-wide governance and oversight mechanisms.
There is no evidence that the organization has exceeded Treasury Board approval limits.

15.2 Effective Management of Project Resources: Strong

Funding models, which generate effective cost estimates at the work package level and consider historical data and industry benchmarks, are complete and project funds are fully committed.
The organization has well-defined processes and procedures which ensure that required resources are available and committed and that these requirements are directly linked to HR planning, infrastructure capacity, and budgetary planning documents.
The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training.
There is no evidence that the organization has failed to meet TB conditions regarding projects.

15.3 Effective Management of Project Results: Strong

All projects are subject to ongoing monitoring and reporting activities. There is evidence that this information is consistently used to support corrective action and decisions are documented.
The organization has formal, organization-wide procedures and processes that systematically provide project managers and project oversight mechanisms with all relevant project monitoring and performance information and this information is demonstrably used to support project decisions.
The organization requires that project milestones, deliverables and outcomes are documented for major projects.
There is a clear link between the review process and project management governance and oversight mechanisms.

Recommendations

16. Effective Procurement

Acceptable

Highlights	Opportunities
16.1 Governance and Oversight: Acceptable Effective, accountable and integrated procurement management processes and controls have been established and incorporated in the organization’s business cycle. (e.g., contract review mechanisms, documented decision making or proper use of delegated authorities). Some procurement planning. 16.2 Meeting Operational Requirements: Strong Results and reviews are being used to continuously adjust and improve current procurement management activities and future procurement plans. Qualified procurement human resources exist. Clear links to human resources planning are established (e.g., succession planning and recruitment strategies for procurement staff). Consistent procurement training and certification programs exist. Efficient, effective and integrated procurement information systems and processes are evident. Integrated, timely and accurate procurement financial and non-financial reporting exists. Following an audit in 2004, DFAIT launched a new contracting management control framework. The department continues, in systematic fashion, to develop and enhance the framework’s features. Considerable efforts focused on: governance structures; ensuring qualified staff is in place with mandatory training and complemented by continuous learning; providing accessible, user-friendly tools; and developing information systems.	DFAIT's management of procurement is very good, and it is on the verge of being Strong. With the fundamentals of true governance (not simply transactional review), qualified human resources complemented by continuous learning, tools and information systems that facilitate monitoring and data collection, the department is positioned to move from reactive procurement to the hallmark of strong procurement management–planning. Should the department develop annual procurement plans, the information generated will allow the department to forecast its requirements, aggregate demand, provide projected data for mandatory commodities to Public Works and Government Services Canada and develop strategic procurement instruments. Finally, if DFAIT could publish an annual procurement plan, the department would meet the new hortatory requirements in emerging trade agreements.
Recommendations
DFAIT should consider developing procurement plans for each of its Centres of Expertise with the ultimate objective, over time, of producing an annual, departmental procurement plan.

Highlights

Opportunities

16.1 Governance and Oversight: Acceptable

Effective, accountable and integrated procurement management processes and controls have been established and incorporated in the organization’s business cycle. (e.g., contract review mechanisms, documented decision making or proper use of delegated authorities).
Some procurement planning.

16.2 Meeting Operational Requirements: Strong

Results and reviews are being used to continuously adjust and improve current procurement management activities and future procurement plans.
Qualified procurement human resources exist.
Clear links to human resources planning are established (e.g., succession planning and recruitment strategies for procurement staff).
Consistent procurement training and certification programs exist.
Efficient, effective and integrated procurement information systems and processes are evident.
Integrated, timely and accurate procurement financial and non-financial reporting exists.

Following an audit in 2004, DFAIT launched a new contracting management control framework. The department continues, in systematic fashion, to develop and enhance the framework’s features. Considerable efforts focused on: governance structures; ensuring qualified staff is in place with mandatory training and complemented by continuous learning; providing accessible, user-friendly tools; and developing information systems.

DFAIT's management of procurement is very good, and it is on the verge of being Strong. With the fundamentals of true governance (not simply transactional review), qualified human resources complemented by continuous learning, tools and information systems that facilitate monitoring and data collection, the department is positioned to move from reactive procurement to the hallmark of strong procurement management–planning. Should the department develop annual procurement plans, the information generated will allow the department to forecast its requirements, aggregate demand, provide projected data for mandatory commodities to Public Works and Government Services Canada and develop strategic procurement instruments. Finally, if DFAIT could publish an annual procurement plan, the department would meet the new hortatory requirements in emerging trade agreements.

Recommendations

DFAIT should consider developing procurement plans for each of its Centres of Expertise with the ultimate objective, over time, of producing an annual, departmental procurement plan.

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 deficiencies that are of some concern.
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.
The reporting of external user fee information shows only a few omissions in relation to reporting guidelines.

17.2 Public Accounts Reporting: Strong

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

17.3 Management Capacity: Acceptable

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

17.4 Financial Statements: Acceptable

All concerns identified in the audit readiness assessment are addressed in a detailed action plan.
Several known financial internal control weaknesses remain unremedied.
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 good discussion and analysis.
The internal financial reporting package is presented to senior management less than 15 calendar days after period end.
The internal financial reporting package is presented to senior management ten or more times per year.
The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is established.
The scope of the internal financial reporting package is reasonable.

While the Department improved its overall rating from an OFI to an Acceptable rating, the quality, timeliness and accuracy of the trial balance and Public Accounts plates submitted for purposes of government-wide reporting require improvement.

Recommendations

18. Effectiveness of Internal Audit Function

Opportunity for Improvement

Highlights

Opportunities

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 ahead of schedule.
Chief Audit Executive reports solely and exclusively to the Deputy Head.
An independent Departmental Audit Committee has either recently been established or is scheduled to be in place and is on track with planned timelines.
There is an approved Departmental Audit Committee Charter in line with the 2006 Policy on Internal Audit.
There is a draft annual Departmental Audit Committee Plan for fiscal year 2008-2009.
There is a written statement indicating that a Departmental Audit Committee Annual Report will be produced for fiscal year 2008-2009 and future years.

18.2 Internal Audit Professional Practices: Opportunity for Improvement

The Risk-Based Audit Plan was approved by the Deputy Head and sent to the Office of the Comptroller General in an untimely manner.
The Risk-Based Audit Plan does not include a defined audit universe and there is no risk-ranking of projects.
Annual Risk-Based Audit Plan methodology is somewhat evident and applied.
There is evidence of preparation to provide for holistic assurance.
Most post-engagement follow-up activities are identified.
There is partial information on the planned use of all audit function resources.
Vast majority of planned work is on audit assurance versus other types of activities.
Continuity of previous years work is not clearly identified, or there is limited identification of status and rationale.
Approved assurance products are not consistent with policy and internal audit standards requirements, containing two or more key methodological deficiencies or no reports have been submitted.
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 somewhat timely manner.
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

Some elements of a comprehensive Human Resources Plan have been documented, and evidence of recruitment and external resourcing activity exists.
Investment in Certified Internal Auditor certification, learning and training represents a minimum of 5% of FTE salaries.

18.4 Internal Audit Performance: Acceptable

A comprehensive 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.
Limited periodic reporting on the follow-up of Management Action Plans.

The department has taken steps to restructure the Internal Audit function with a direct Chief Audit Executive reporting relationship to the Deputy Head.

As noted previously in MAF Round V, improvement can be made in the timeliness of the release of the approved Risk-Based Audit Plan (RBAP) and ongoing improvements in the quality of approved audit reports.

Additionally, the department should focus on increasing the number of completed audit assurance reports. The RBAP could be improved by including more detailed information on carry-over engagements. The Internal Quality Assurance and Improvement Program should be finalized.

Recommendations

Priority attention should be given to Professional Practices (a comprehensive Risk-Based Audit Plan and increasing assurance report completion and quality).

19. Effective Management of Security and Business Continuity

Strong

Highlights

Opportunities

19.1 Departmental Security Program: Acceptable

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

19.2 Management of IT Security (MITS): 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.

Pursue ongoing initiatives to maintain and continue improving the departmental security program.
Maintain ongoing efforts to achieve and sustain MITS compliance, including addressing deficiency related to risk management.
Continue activities currently underway to maintain and strengthen the BCP function.
Continue to participate in government-wide security initiatives and to share best practices with other federal institutions.

Recommendations

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

20.1 Management Engagement – Service and CLF: Acceptable

There are expectations set by senior management for an institutional focus on meeting the needs of clients, specifically with respect to service standards and client satisfaction measurement.
There are 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 monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is generally used to make timely and proactive decisions and course correction.

20.2 Public/client views: Strong

Evidence of incorporating feedback in the implementation of its services, programs, policies or initiatives.
Evidence of making consultation results available to the public.
Many tools are used to obtain views from some clients.
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.
Small 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 encourages DFAIT to:

Develop a comprehensive inventory of its services as the foundation for subsequent improvements.
Continue to measure client satisfaction measurement using the Common Measurements Tool, and inform clients of the results
Establish and communicate service standards for key services and regularly measure performance relative to those standards.
Systematically use the results of performance information, including the results of client satisfaction measurement and performance relative to service standards, to identify priorities and goals for the improvement of its services at the institutional level.
Make information on its major consultations available on the Canada site.
Post results of its consultation activities.

Recommendations

DFAIT should focus on setting institution-wide service improvement priorities and goals while establishing performance measurement systems to ensure senior management is informed of performance information and can enact timely course correction.

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