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Management Accountability Framework

ARCHIVED - MAF Assessment: Canada Public Service Agency - 2008

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

Context

This year’s observations by the Treasury Board Portfolio related to the Canada Public Service Agency (the Agency) are improved. In total, for the twenty-one indicators against which the Agency was assessed, it received three “strong” ratings, nine “acceptable” ratings, six “opportunity for improvement” ratings, one “attention required” rating. Two Areas of Management were "unrated". 'Utility of the Corporate Performance Framework' was not rated *. “Quality and Use of Evaluations” was not rated given the Agency's special requirements and limited resources, as a small organization.

While the Agency made improvements in some areas over the past year, it also faced organizational changes and external pressures, resulting in an operational environment of transition and uncertainty. * as a result, significant changes were made to the nature of the Agency’s work. In addition, the Agency faced challenges associated with reductions to its funding base and machinery changes involving a merger into the Treasury Board Secretariat (TBS). Considered together, these factors affected the Agency’s capacity to effectively coordinate its overall activities and created difficulties in its long-term planning process. As the Agency will be assessed as part of TBS in MAF Round VII (2009-2010), consideration should be given to the current assessment and the associated recommendations for improvement.

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

Internal Audit – The Agency established an internal audit governance structure and developed an implementation plan to meet the requirements of the 2006 Policy on Internal Audit. In addition, the Agency produced an approved Corporate Risk Profile and approved Risk-Based Audit Plan.
Contribution to Government-Wide Priorities – During the assessment period, the Agency made clear and substantial contributions to the Web of Rules, Public Service Renewal *. The Agency’s senior management was very engaged throughout.
Financial Management and Control – Significant improvements were made by the Agency to its financial management capacity and quality of internal financial reporting (accuracy, scope, timeliness and frequency of internal reporting to senior management). The Agency should continue its efforts to improve financial management practices related to systems for monitoring and documenting compliance with legislative authorities and policies.

Furthermore, the Agency made some improvements to management priorities identified in last year’s MAF assessment, notably:

Risk Management – The Agency should be commended for developing and approving its first Corporate Risk Profile (CRP) in December 2008. Further efforts should be undertaken to assign accountability for key risks, to disseminate the CRP to all staff and key stakeholders and to integrate risk information and risk management principles into the organization's business planning and processes.

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

Effectiveness of the Corporate Management Structure – The Agency should continue to focus on integrating all its functions and operations into its Corporate Plan and clearly demonstrate how its governance and accountabilities are aligned with its PAA. The Agency’s performance in this Area of Management could be improved if the Agency clarifies its governance structure and continues to document its decisions, thereby improving internal information sharing and ensuring effective oversight of program results and resource reallocation.
Quality of Performance Reporting – This Area of Management could be improved if further efforts are undertaken by the Agency to focus on reporting performance at the program activity level, with a discussion of how each program activity contributes to the strategic outcome. The Agency is encouraged to make comparisons between expected results and actual performance or to provide year-over-year trend information on its performance reporting.

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

Quality of Analysis – This Area of Management was identified as a management priority in last year’s MAF assessment. The Agency made some efforts to improve its internal process for Treasury Board (TB) submissions and to respond to TB conditions; however, further efforts are required. The Agency should focus on strengthening qualitative and quantitative analyses, improving its internal quality-control process for TB submissions and providing evidence-based information and substantiated financial requirements.
Effective Management of Security and Business Continuity – Although the Agency made significant progress in this Area of Management, specifically in the area of Business Continuity Planning, significant efforts are still required with respect to the Departmental Security Program (e.g., broad consultations and senior management approval required), the Departmental Security Policy, the security awareness strategy and strategic action plan.

1. Values-based Leadership and Organizational Culture

Acceptable

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: 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 Managers and staff are encouraged to engage in values and ethics dialogue. Organization has a good understanding of the current state of public service values and ethics as evidenced by qualitative or quantitative information. Public service values and ethics are generally understood.
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: 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

Managers and staff are encouraged to engage in values and ethics dialogue.
Organization has a good understanding of the current state of public service values and ethics as evidenced by qualitative or quantitative information.
Public service values and ethics are generally understood.

Recommendations

2. Utility of the Corporate Performance Framework

Highlights	Opportunities
	CPSA has several outstanding Treasury Board conditions related to the submission of a revised Program Activity Architecture, and has communicated plans to come through the Change Process for 2009. The organization should continue to refine its Performance Measurement Framework (PMF) to bring it in line with the standards set out in the MRRS Instructions. The organization should also ensure that actual data for the indicators in its PMF are being collected and analyzed to gain insights into program performance and to validate the indicators.
Recommendations
CPSA needs to almost completely revise its PAA in order to ensure that it includes a full inventory of its programs, and that all listed elements in the PAA meet the MRRS requirements to be considered a program.

3. Effectiveness of the Corporate Management Structure

Opportunity for Improvement

Highlights	Opportunities
3.1 Business Plan: Opportunity for Improvement Organization has identified the need for a corporate business plan (or TBS accepted equivalent) and is making progress in its development. While progress is being made, the corporate business plan does not adequately integrate human resources, IM/IT, communications or other key corporate plans. 3.2 Governance Structure: Opportunity for Improvement Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly. Recordkeeping is incomplete with little evidence of minutes of meetings or records of discussion, decision, or follow-up activities. Terms of reference for the senior corporate management structure or subordinate governance structure are either incomplete or out of date. The agency has demonstrated some capacity to align its corporate priorities against resources.	The agency should continue its efforts to ensure that its Corporate Plan integrates all its functions and operations, and clearly shows how CPSA’s governance and accountabilities are aligned with its Program Activity Architecture.
Recommendations
TBS recommends that the Agency clarify its governance structure and continue to document its decisions, to improve internal information sharing and ensure effective oversight of program results and resource reallocation.

Highlights

Opportunities

3.1 Business Plan: Opportunity for Improvement

Organization has identified the need for a corporate business plan (or TBS accepted equivalent) and is making progress in its development.
While progress is being made, the corporate business plan does not adequately integrate human resources, IM/IT, communications or other key corporate plans.

3.2 Governance Structure: Opportunity for Improvement

Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.
Recordkeeping is incomplete with little evidence of minutes of meetings or records of discussion, decision, or follow-up activities.
Terms of reference for the senior corporate management structure or subordinate governance structure are either incomplete or out of date.

The agency has demonstrated some capacity to align its corporate priorities against resources.

The agency should continue its efforts to ensure that its Corporate Plan integrates all its functions and operations, and clearly shows how CPSA’s governance and accountabilities are aligned with its Program Activity Architecture.

Recommendations

TBS recommends that the Agency clarify its governance structure and continue to document its decisions, to improve internal information sharing and ensure effective oversight of program results and resource reallocation.

4. Effectiveness of Extra-organizational Contribution

Strong

Highlights	Opportunities
4.2 Participation in Priority Initiatives: Strong The organization shows strength in its participation in priority interdepartmental initiatives. Senior management is actively engaged in the initiatives and is supporting the respective leads. TBS has assessed CPSA with regards to its participation in the following initiatives: Web of Rules (Strong), Public Service Renewal (Acceptable); and, Horizontal Strategic Review of Human Resources Agencies (Strong).	CPSA is encouraged to continue its efforts to renew its workforce and reduce its rules, reporting and administrative processes.
Recommendations

Highlights

Opportunities

4.2 Participation in Priority Initiatives: Strong

The organization shows strength in its participation in priority interdepartmental initiatives.
Senior management is actively engaged in the initiatives and is supporting the respective leads.

TBS has assessed CPSA with regards to its participation in the following initiatives: Web of Rules (Strong), Public Service Renewal (Acceptable); and, Horizontal Strategic Review of Human Resources Agencies (Strong).

CPSA is encouraged to continue its efforts to renew its workforce and reduce its rules, reporting and administrative processes.

Recommendations

5. Quality of Analysis in TB Submissions

Opportunity for Improvement

Highlights	Opportunities
5.1 Supporting Information: Opportunity for Improvement Information on business cases is partial, and the level of detail required is somewhat lacking. Explanation for the level of resources requested is partially sufficient. The information is sometimes accurate and reliable, and partially complete. Emerging capacity to respond appropriately to TBS feedback. 5.2 Analysis: Opportunity for Improvement Business cases may have comprehensive information but demonstrate only partial and incomplete analysis. Appropriate performance measurement or evaluation analysis is incomplete. Partial analysis of value for money, effectiveness or efficiency. Emerging understanding of external pressures is only partial. 5.3 Consultations: Acceptable Established capacity to initiate consultations with TBS with sufficient lead time is evident. Organization is usually able to avoid lateness by predicting and planning for uncontrollable factors. 5.4 Quality control: Acceptable Quality control process is sometimes evident and is partially effective. Submissions usually have SFO or Head of Evaluation sign offs when appropriate. Established capacity for consistency of information throughout documents is evident. Clarity and consistency of language are good. The agency has made some progress in improving its TB submissions internal process and in addressing TBS concerns and responding to TB conditions.	The agency should continue its efforts to provide more relevant information to support its TB submissions by strengthening qualitative and quantitative analyses and improving its internal quality control process for TB submissions.
Recommendations
TBS recommends that the agency make further efforts in strengthening its Treasury Board submissions by providing sound analysis and evidence-based information and substantiated financial requirements.

Highlights

Opportunities

5.1 Supporting Information: Opportunity for Improvement

Information on business cases is partial, and the level of detail required is somewhat lacking.
Explanation for the level of resources requested is partially sufficient.
The information is sometimes accurate and reliable, and partially complete.
Emerging capacity to respond appropriately to TBS feedback.

5.2 Analysis: Opportunity for Improvement

Business cases may have comprehensive information but demonstrate only partial and incomplete analysis.
Appropriate performance measurement or evaluation analysis is incomplete.
Partial analysis of value for money, effectiveness or efficiency.
Emerging understanding of external pressures is only partial.

5.3 Consultations: Acceptable

Established capacity to initiate consultations with TBS with sufficient lead time is evident.
Organization is usually able to avoid lateness by predicting and planning for uncontrollable factors.

5.4 Quality control: Acceptable

Quality control process is sometimes evident and is partially effective.
Submissions usually have SFO or Head of Evaluation sign offs when appropriate.
Established capacity for consistency of information throughout documents is evident.
Clarity and consistency of language are good.

The agency has made some progress in improving its TB submissions internal process and in addressing TBS concerns and responding to TB conditions.

The agency should continue its efforts to provide more relevant information to support its TB submissions by strengthening qualitative and quantitative analyses and improving its internal quality control process for TB submissions.

Recommendations

TBS recommends that the agency make further efforts in strengthening its Treasury Board submissions by providing sound analysis and evidence-based information and substantiated financial requirements.

6. Quality and Use of Evaluation

Highlights	Opportunities
6.1 Quality: GIVEN THE SPECIAL REQUIREMENTS AND LIMITED RESOURCES OF SMALL ORGANIZATIONS, SMALL ORGANIZATIONS WERE NOT ASSESSED FOR MAF ROUND VI IN THE AREA OF QUALITY AND USE OF EVALUATION (AOM 6). SMALL ORGANIZATIONS SHOULD CONSULT THE NEW TREASURY BOARD POLICY ON EVALUATION (2009) FOR EVALUATION REQUIREMENTS IN 2009-10 AND FUTURE YEARS.
Recommendations
The organization is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements.

Highlights

Opportunities

6.1 Quality:

GIVEN THE SPECIAL REQUIREMENTS AND LIMITED RESOURCES OF SMALL ORGANIZATIONS, SMALL ORGANIZATIONS WERE NOT ASSESSED FOR MAF ROUND VI IN THE AREA OF QUALITY AND USE OF EVALUATION (AOM 6). SMALL ORGANIZATIONS SHOULD CONSULT THE NEW TREASURY BOARD POLICY ON EVALUATION (2009) FOR EVALUATION REQUIREMENTS IN 2009-10 AND FUTURE YEARS.

Recommendations

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

7. Quality Reporting to Parliament

Opportunity for Improvement

Highlights	Opportunities
7.1 MRRS Basis: Opportunity for Improvement Linkages between resources and results are adequately demonstrated in the reports. 7.2 Credible information: Opportunity for Improvement DPR generally provides independently verifiable evidence-based performance information. Some information on the validity and credibility of data used is provided. Informative financial tables are included and explained with text, as necessary. Linkages between PA and Strategic Outcome (SO) level performance are not consistently made. 7.3 Context: Acceptable DPR is for the most part balanced. It presents both positive and negative aspects of performance, and substantiation or explanation is consistently provided. DPR uses some comparisons, but they are not effective. Reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities. Use of links in the DPR to further information should be increased.	The DPR should clearly identify expected results for program activities and report on the progress made in meeting those expected results.
Recommendations
The organization should focus on reporting its performance at the program activity level with a discussion of how each program activity contributes to the strategic outcome.

Highlights

Opportunities

7.1 MRRS Basis: Opportunity for Improvement

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

7.2 Credible information: Opportunity for Improvement

DPR generally provides independently verifiable evidence-based performance information. Some information on the validity and credibility of data used is provided.
Informative financial tables are included and explained with text, as necessary.
Linkages between PA and Strategic Outcome (SO) level performance are not consistently made.

7.3 Context: Acceptable

DPR is for the most part balanced. It presents both positive and negative aspects of performance, and substantiation or explanation is consistently provided.
DPR uses some comparisons, but they are not effective.
Reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities.
Use of links in the DPR to further information should be increased.

The DPR should clearly identify expected results for program activities and report on the progress made in meeting those expected results.

Recommendations

The organization should focus on reporting its performance at the program activity level with a discussion of how each program activity contributes to the strategic outcome.

8. Managing Organizational Change

Opportunity for Improvement

Highlights	Opportunities
8.1 Change plan: Opportunity for Improvement An organizational change plan exists, but it is only focused on some areas of the organization. The organization has limited capacity to evaluate whether or not change is required. 8.2 Engagement: Acceptable Individual and organization-wide change-related training programs are available. Employees are engaged in the strategy development phase. 8.3 Assessment: Opportunity for Improvement The organization does not effectively assess change plans. Senior Management at CPSA has shown commitment in managing and assessing change as well as in providing related learning opportunities to its employees in 2008.	CPSA could make further efforts to engage employees and stakeholders in all phases of the development of its change management plan.
Recommendations
TBS recommends that consistent tools be developed to measure the effectiveness of changes implemented at CPSA.

Highlights

Opportunities

8.1 Change plan: Opportunity for Improvement

An organizational change plan exists, but it is only focused on some areas of the organization.
The organization has limited capacity to evaluate whether or not change is required.

8.2 Engagement: Acceptable

Individual and organization-wide change-related training programs are available.
Employees are engaged in the strategy development phase.

8.3 Assessment: Opportunity for Improvement

The organization does not effectively assess change plans.

Senior Management at CPSA has shown commitment in managing and assessing change as well as in providing related learning opportunities to its employees in 2008.

CPSA could make further efforts to engage employees and stakeholders in all phases of the development of its change management plan.

Recommendations

TBS recommends that consistent tools be developed to measure the effectiveness of changes implemented at CPSA.

9. Effectiveness of Corporate Risk Management

Opportunity for Improvement

Highlights	Opportunities
9.1 Engagement: Acceptable Accountability for key risks is assigned to senior management. Senior management encourages effective Risk Management and a risk-smart culture. Senior management has reviewed/approved the Corporate Risk Profile within the past year. Senior management reviews the organization’s Risk Management approach within the current three-year planning cycle. Senior management somewhat ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization. The organization has a common risk assessment approach and it has been approved by senior management. 9.2 Implementation: Opportunity for Improvement Risk Management guidance and tools that enable the organization’s risk management approach are inconsistently made available to staff. The Corporate Risk Profile is systematically (horizontally and vertically) implemented into most operational levels across the organization. The organization’s Risk Management approach is inconsistently communicated to staff and stakeholders. 9.3 Integration: Opportunity for Improvement It is not evident that the organization makes course corrections based on Risk Management performance and new information. Operational level risks are inconsistently prioritized into key risks. Risk information and Risk Management principles are adequately captured in senior management reporting. Risk information and Risk Management principles influence planning and resource allocation decisions. 9.4 Continuous Improvement: Acceptable Corporate risks are consistently linked to the organization’s strategic outcomes. Most 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. 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 most recommendations provided during its last MAF assessment. The Canada Public Service Agency should be commended for its efforts in developing and approving its first Corporate Risk Profile (CRP), which was completed in December 2008. The CRP includes a summary of the organization’s key risks as well as their drivers and a high-level mitigation strategy for each. Since MAF Round V, the organization also drafted a Risk Management Approach Framework, which was approved January 2009.	In order to further advance the organization’s risk management efforts, CPSA should assign accountability for key risks to senior management leads and disseminate the CRP, external scan and related documents to all staff within the organization. CPSA should also begin work to embed risk information and risk management principles into business planning, decision making and reporting processes within the organization.
Recommendations

Highlights

Opportunities

9.1 Engagement: Acceptable

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

9.2 Implementation: Opportunity for Improvement

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

9.3 Integration: Opportunity for Improvement

It is not evident that the organization makes course corrections based on Risk Management performance and new information.
Operational level risks are inconsistently prioritized into key risks.
Risk information and Risk Management principles are adequately captured in senior management reporting.
Risk information and Risk Management principles influence planning and resource allocation decisions.

9.4 Continuous Improvement: Acceptable

Corporate risks are consistently linked to the organization’s strategic outcomes.
Most 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.
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 most recommendations provided during its last MAF assessment.

The Canada Public Service Agency should be commended for its efforts in developing and approving its first Corporate Risk Profile (CRP), which was completed in December 2008. The CRP includes a summary of the organization’s key risks as well as their drivers and a high-level mitigation strategy for each. Since MAF Round V, the organization also drafted a Risk Management Approach Framework, which was approved January 2009.

In order to further advance the organization’s risk management efforts, CPSA should assign accountability for key risks to senior management leads and disseminate the CRP, external scan and related documents to all staff within the organization.

CPSA should also begin work to embed risk information and risk management principles into business planning, decision making and reporting processes within the organization.

Recommendations

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

Acceptable

Highlights	Opportunities
10.1 Fair: Opportunity for Improvement Evidence shows that the organization meets standards of timeliness in payments to employees. The organization is undertaking action to improve the classification program, which is at medium-high to high risk; however, there is evidence that the monitoring program is not yet fully effective. 10.2 Enabling: Strong Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages. Organization is representative of all four employment equity designated groups. Promotions among employment equity groups are 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 communications with employees are always or nearly always available in both official languages. 10.3 Healthy and safe: Acceptable Evidence shows that the organization has an inadequately managed program to protect employees' occupational health and safety. The majority of employees feel recognized for positive performance.	Take action to mitigate classification risks. Take action to ensure Occupational Health and Safety programs are well managed.
Recommendations

Highlights

Opportunities

10.1 Fair: Opportunity for Improvement

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

10.2 Enabling: Strong

Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages.
Organization is representative of all four employment equity designated groups.
Promotions among employment equity groups are 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 communications with employees are always or nearly always available in both official languages.

10.3 Healthy and safe: Acceptable

Evidence shows that the organization has an inadequately managed program to protect employees' occupational health and safety.
The majority of employees feel recognized for positive performance.

Take action to mitigate classification risks.
Take action to ensure Occupational Health and Safety programs are well managed.

Recommendations

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

Acceptable

Highlights	Opportunities
11.1 Productive: Strong A significant number of employees indicate their organization supports their career development and learning needs. 11.2 Principled: Acceptable Communications with and services to the public in both official languages are always or nearly always available. Employees consider that they always or nearly always can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are always or nearly always available. Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position. Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups is less than the organization's average for all employees. Promotions among employment equity groups are less than representation for at least one group. 11.3 Sustainable: Acceptable Evidence indicates human resources planning integrated with business planning is generally in place and governance/organizational infrastructure generally exists to support it. 11.4 Adaptable: Acceptable A sufficient number of employees indicate their organization encourages continuous learning, improvement and innovation.
Recommendations

Highlights

Opportunities

11.1 Productive: Strong

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

11.2 Principled: Acceptable

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

11.3 Sustainable: Acceptable

Evidence indicates human resources planning integrated with business planning is generally in place and governance/organizational infrastructure generally exists to support it.

11.4 Adaptable: Acceptable

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

Recommendations

12. Effectiveness of Information Management

Opportunity for Improvement

Highlights	Opportunities
12.1 Governance: Acceptable IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s). Responsibilities are identified for IM policy development and implementation consistent with the GC IM Strategy and policy instruments. 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. No plan to implement the strategy exists, or it is not resourced and funded. 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 Organization submitted an Annual Report to Parliament but did not address all of the mandatory reporting requirements. Significant collections of personal information under the control of the organization have not been appropriately identified or described in accordance with the Privacy Act. 12.4 Access to Information Act: Opportunity for Improvement A significant number of institution-specific Classes of Records do not meet Treasury Board Secretariat requirements. A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information. Organization submitted an Annual Report to Parliament but did not address all of the mandatory reporting requirements.	Develop a plan and seek approval for resources in order to implement an IM strategy to support the business strategy . 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
Continue to improve descriptions of the CPSA's functions, programs, activities and information holdings, including descriptions of its personal information collections.

Highlights

Opportunities

12.1 Governance: Acceptable

IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects.
IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s).
Responsibilities are identified for IM policy development and implementation consistent with the GC IM Strategy and policy instruments.
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.
No plan to implement the strategy exists, or it is not resourced and funded.
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

Organization submitted an Annual Report to Parliament but did not address all of the mandatory reporting requirements.
Significant collections of personal information under the control of the organization have not been appropriately identified or described in accordance with the Privacy Act.

12.4 Access to Information Act: Opportunity for Improvement

A significant number of institution-specific Classes of Records do not meet Treasury Board Secretariat requirements.
A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information.
Organization submitted an Annual Report to Parliament but did not address all of the mandatory reporting requirements.

Develop a plan and seek approval for resources in order to implement an IM strategy to support the business strategy *.
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

Continue to improve descriptions of the CPSA's functions, programs, activities and information holdings, including descriptions of its personal information collections.

13. Effectiveness of Information Technology Management

Acceptable

Highlights	Opportunities
13.1 Leadership: Acceptable Senior official for information technology has responsibility and accountability for virtually the full scope of information technology responsibilities. Adequate participation in setting government-wide directions for information technology is evident. 13.2 Planning: Acceptable Acceptable information technology plan is in place that aligns with the government-wide directions for information technology and departmental business needs. Organization has aligned corporate and information technology governance structures and has an integrated planning process. 13.3 Value: Strong Organization analyzes and plans for the appropriate use of information technology shared services to an optimal extent. Organization devotes adequate management attention to service costing, asset management, performance measurement and reporting to ensure value delivery.	Contribute to setting GC-wide directions for information technology through participation of the senior official for IT and the management team in designated governance, advisory and working group forums. Continue to strengthen the integrated set of processes and practices for governance, planning and benefits realization in order to monitor and oversee the delivery of business value from IT investments. Continue to work its IT service provider to strengthen the qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.
Recommendations

Highlights

Opportunities

13.1 Leadership: Acceptable

Senior official for information technology has responsibility and accountability for virtually the full scope of information technology responsibilities.
Adequate participation in setting government-wide directions for information technology is evident.

13.2 Planning: Acceptable

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

13.3 Value: Strong

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

Contribute to setting GC-wide directions for information technology through participation of the senior official for IT and the management team in designated governance, advisory and working group forums.
Continue to strengthen the integrated set of processes and practices for governance, planning and benefits realization in order to monitor and oversee the delivery of business value from IT investments.
Continue to work its IT service provider to strengthen the qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.

Recommendations

14. Effectiveness of Asset Management

Acceptable

Highlights	Opportunities
14.1 Investment Planning: Acceptable The investment planning process integrates investments decisions across all asset classes. The organization’s investment planning document has not been approved by the proper authority. The organization’s investment planning process considers investments over multiple years. 14.3 Materiel Management: Acceptable Some elements of a materiel management framework are evident. Governance structures, approval processes and authority limits are documented and disseminated. Operating policies are absent or limited in scope. Reliable and sufficiently integrated information systems are in place.	CPSA should continue with its planned update to its inventory management framework. CPSA should ensure that it implements its integrated information system.
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Acceptable

The investment planning process integrates investments decisions across all asset classes.
The organization’s investment planning document has not been approved by the proper authority.
The organization’s investment planning process considers investments over multiple years.

14.3 Materiel Management: Acceptable

Some elements of a materiel management framework are evident.
Governance structures, approval processes and authority limits are documented and disseminated.
Operating policies are absent or limited in scope.
Reliable and sufficiently integrated information systems are in place.

CPSA should continue with its planned update to its inventory management framework.
CPSA should ensure that it implements its integrated information system.

Recommendations

15. Effective Project Management

Acceptable

Highlights	Opportunities
15.1 Governance and Oversight: Acceptable Business cases support some project proposals, but are not required for all projects. There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented. There is no evidence that the organization has exceeded Treasury Board approval limits. 15.2 Effective Management of Project Resources: Acceptable Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes. The organization recognizes project management as a discipline and supports continuous learning for project management staff through ongoing training and learning opportunities. All staff with project responsibilities have completed project management related training. While there is evidence that some managers prepare a staffing plan, it is not required prior to project execution. 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 of organization-wide procedures and processes which communicate project monitoring and performance information to project managers and project oversight mechanisms. There is no requirement for business cases that define project outcomes and few projects are subject to a review. While lessons learned are used to improve project management governance and oversight in some instances, there is no formal or organization-wide mechanism which supports continuous improvement. While there is evidence of project monitoring and reporting activities, there is no evidence that these activities are ongoing or that the information is used to support corrective action.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Acceptable

Business cases support some project proposals, but are not required for all projects.
There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented.
There is no evidence that the organization has exceeded Treasury Board approval limits.

15.2 Effective Management of Project Resources: Acceptable

Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes.
The organization recognizes project management as a discipline and supports continuous learning for project management staff through ongoing training and learning opportunities. All staff with project responsibilities have completed project management related training.
While there is evidence that some managers prepare a staffing plan, it is not required prior to project execution.

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 of organization-wide procedures and processes which communicate project monitoring and performance information to project managers and project oversight mechanisms.
There is no requirement for business cases that define project outcomes and few projects are subject to a review.
While lessons learned are used to improve project management governance and oversight in some instances, there is no formal or organization-wide mechanism which supports continuous improvement.
While there is evidence of project monitoring and reporting activities, there is no evidence that these activities are ongoing or that the information is used to support corrective action.

Recommendations

16. Effective Procurement

Acceptable

Highlights	Opportunities
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). 16.2 Meeting Operational Requirements: Acceptable Efficient and integrated procurement information systems and processes are in place. Informed decision making and oversight exist. Procurement processes that contribute to cost savings and value for money are in use. Qualified procurement human resources exist. Results and reviews are used to continuously adjust current procurement management activities and future procurement plans. Timely and accurate procurement financial and non-financial reports have been submitted.	There does not appear to be any procurement planning or linkage of projected procurements to the agency's strategic planning and priorities.
Recommendations

Highlights

Opportunities

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).

16.2 Meeting Operational Requirements: Acceptable

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

There does not appear to be any procurement planning or linkage of projected procurements to the agency's strategic planning and priorities.

Recommendations

17. Effectiveness of Financial Management and Control

Acceptable

Highlights

Opportunities

17.1 Authorities and Policies: Attention Required

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

17.2 Public Accounts Reporting: Strong

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

17.3 Management Capacity: Acceptable

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

17.4 Financial Statements: Acceptable

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 well established.
The scope of the internal financial reporting package is reasonable.

17.6 Other Initiatives: Acceptable

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

This agency improved its overall rating from an OFI to an Acceptable in large part on account of its financial management capacity and quality of its internal financial reporting. However, the agency scored poorly on its financial management and control and received an OFI rating.

Recommendations

Financial management practices require attention. Systems for monitoring compliance with legislative authorities and policies need to be documented, monitored and their financial management practices periodically reviewed.

18. Effectiveness of Internal Audit Function

Strong

Highlights	Opportunities
The agency has an implementation plan to meet the requirements of the 2006 Policy on Internal Audit. CPSA has elected to use the Small Departments and Agencies Audit Committee (SDAAC). The agency has an approved Corporate Risk Profile and an approved Risk-Based Audit Plan.	A reminder to the agency to provide annual updates of the Risk-Based Audit Plan to the Office of the Comptroller General (OCG). CPSA should inform the OCG two weeks in advance of posting any audit reports to its website.
Recommendations

19. Effective Management of Security and Business Continuity

Attention Required

Highlights

Opportunities

19.1 Departmental Security Program: Attention Required

Organization has limited or no evidence of leadership, administration, or implementation of a security program that includes key policy elements.
Limited or no evidence that a security organization and governance structure have been put in place to effectively manage the organization's security program.
Limited or no evidence that the organization's security program ensures the coordination of all security policy functions.
Several deficiencies in meeting key policy requirements for the departmental security program.

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

Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS), but does not fully comply with MITS requirements.
Some deficiencies in meeting key MITS requirements.

19.3 Business Continuity Planning (BCP): Acceptable

Organization has in place measures to provide for the continuity of critical business operations and services, and is compliant with most or all the policy requirements.
There are no significant deficiencies in meeting key Business Continuity Planning (BCP) program requirements.
Business Continuity Planning (BCP) program governance has been established.
Business Impact Analysis (BIA) has been completed to identify and prioritize the organization's critical services and assets.
Business continuity plans and arrangements are in place and approved by senior management.
Maintenance cycle has been partially put in place to review, test and audit business continuity plans.
Completed and approved plans are in place for Pandemic and Information Management/Information Technology emergency preparedness.

Update strategic action plan to address all elements of security program and deficiencies identified in the MAF assessment, and to clearly assign implementation responsibilities, and seek senior management approval.
Complete drafting of the Departmental Security Policy, including conducting broad consultation, and obtain senior management approval.
Complete development, obtain senior management approval and continue implementation of security awareness strategy.
Maintain efforts to sustain and improve MITS compliance, including addressing deficiencies related to risk management.
Maintain BCP Program activities to address IM/IT continuity planning, change management, ongoing testing and validation of business continuity plans, and internal audit.

Recommendations

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

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

20.1 Management Engagement – Service and CLF: Opportunity for Improvement

The institution may have committees or sub-committees which consider and/or make decisions about service. Such committees or sub-committees may not be composed of senior management accountable for services. The institution, however, does not have a committee which is responsible for making decisions about and overseeing service at the institutional level.
There are no expectations set by senior management for an institutional focus on meeting the needs of clients, specifically with respect to service standards and client satisfaction measurement.
There 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 has been no monitoring or no steps to set up monitoring of progress towards the achievement of goals by senior management.
There is little monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; there is limited information on which to make decisions and course correction.

20.2 Public/client views: Acceptable

Evidence of incorporating feedback in the implementation of its services, programs, policies or initiatives.
Little 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: Strong

Analysis of the Annual Review on OL shows the institution is fully meeting its obligations.
The institution has the necessary linguistic capacity to serve the public in both OL.
No complaint or minimal number of founded complaints exits.

TBS encourages CPSA to:

Develop a service inventory as a first step towards more comprehensive knowledge of services and clients.
Establish or modify an existing governance structure to provide service oversight at the institutional level.
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.
Use the Common Measurement Tool (CMT) to measure client satisfaction for its key services. Use of the CMT would allow for benchmarking against other similar organizations.
Monitor the progress towards achievement of goals.
Post the results of its consultation activities.

Recommendations

21. Alignment of Accountability Instruments

Strong

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