ARCHIVED - MAF Assessment: Indian and Northern Affairs Canada - 2008

1.1 Leadership: Acceptable

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

1.2 Infrastructure: Acceptable

• Organization has a plan that includes a strategy championed by senior management with medium-term activities to raise awareness of the importance of public service values and ethics.
• Risks in regard to possible breaches in public service values and ethics are regularly assessed, documented and followed up with mitigation plans and action by management.

1.3 Culture: Acceptable

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

2.1 PAA Consistency: Acceptable

• The Strategic Outcome(s) is/are (a) clear outcome statement(s) that can be understood within and outside the department as a benefit to Canadians.
• 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.
• An inventory of programs has been developed and most of the listed programs meet the definition of a program.

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.
• Outputs are not clearly identified as products/services and are seldom aligned with their expected results.

3.1 Business Plan: The department's business plan (its RPP) adequately aligns resources with priorities. The department is currently developing a corporate strategic plan which would be followed by a corporate business plan.

3.2 Governance Structure: The department's governance structure is adequately linked to the PAA and provides adequate management oversight.

4.1 Leadership of Priority Initiatives: Acceptable

• The organization has established effective management structures for the initiatives, and roles and responsibilities of all parties are clear.
• The organization is effectively leading its priority interdepartmental initiatives.

4.2 Participation in Priority Initiatives: Acceptable

• The organization contributes effectively to priority interdepartmental initiatives.
• The organization contributes effectively to Public Service Renewal.
• The organization is providing support to the initiative leads.

4.3 Portfolio Coordination: Acceptable

• Information validated by Deputy Minister is complete and accurate.
• The Department’s portfolio coordination is effective.

TBS has assessed Indian and Northern Affairs Canada with regards to its leadership of the Northern Strategy (Strong) and the First Nations Water and Wastewater Action Plan (Acceptable), as well as its participation in the Public Service Renewal (Acceptable) and Web of Rules (Strong) initiatives.

• The department is working towards improved consistency in the accuracy, completeness and timeliness of submissions through the implementation of new tools and processes.  Recent submissions are starting to show improvement.
• Performance analysis and risk analysis remain challenges.
• The department has a strong, positive and ongoing relationship with TBS.

6.1 Quality: Acceptable

• Evaluations submitted to TBS sometimes but not consistently address questions of program relevance, success and effectiveness.
• Evaluations submitted to TBS sometimes include a management response and an action plan. Action plans are usually limited in scope.
• Evaluations submitted to TBS sometimes use multiple lines of evidence. Evaluations sometimes reflect the diversity and perspectives of multiple program stakeholders.
• 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 include analysis of the limitations of the methodology and data sources used.

6.2 Neutrality: Acceptable

• Evaluation function resourcing is commensurate with the organizational evaluation plan.
• Head of Evaluation has explicit authority to submit evaluation reports directly to the deputy head. Head of Evaluation has access to the deputy head, as required.
• 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.
• Some resources dedicated to evaluations are directed by the Head of Evaluation, some resources are directed by the program base.

6.3 Coverage: Acceptable

• The organization has shown evidence of moving towards full coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. Year to year percent coverage indicates organization is on track to achieve 100% coverage.
• The organization has shared its risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA.

6.4 Usage: Acceptable

• Active, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.
• Only between 40% to 60% of RMAFs are implemented.
• The results of evaluations are usually brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.

7.1 MRRS Basis: Acceptable

• Good links between performance and plans are present.
• Strong linkages between resources and results are consistently demonstrated in the reports.

7.2 Credible information: Strong

• DPR consistently provides independently verifiable evidence-based performance information.

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

8.1 Change plan: Acceptable

• Organizational change plan exists and is consistent with the scope of change identified.

8.2 Engagement: Acceptable

• Employees are engaged in the strategy development phase.

8.3 Assessment: Opportunity for Improvement

• The organization does not effectively assess change plans.

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 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.

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 inconsistently implemented into operational levels across the organization.
• The organization’s Risk Management approach is inconsistently communicated to staff and stakeholders.

9.3 Integration: Acceptable

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

9.4 Continuous Improvement: Acceptable

• Corporate risks are consistently linked to the organization’s strategic outcomes.
• Key risk information was adequately gathered from internal sources of the organization for preparing the CRP.
• Most relevant external sources are consulted during the development of the organization’s 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 Department of Indian and Northern Affairs should be commended for its high level of senior management engagement in establishing and promoting risk management.
In MAF Round VI, INAC demonstrated senior management commitment to risk management as a way of doing business, rather than as an end in itself. This sets the foundation for sustainable risk management practice at INAC in future, provided appropriate follow-through occurs.

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: Opportunity for Improvement

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

10.3 Healthy and safe: Acceptable

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

11.1 Productive: Acceptable

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

11.2 Principled: Opportunity for Improvement

• Adequate linguistic capacity is generally in place as shown by the majority of incumbents of bilingual positions who meet the language requirements of their position.
• Employees consider that they generally can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are generally available.
• 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 greater than or equal to representation.
• Some deficiencies in communications with and services to the public in both official languages.

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.

12.1 Governance: Acceptable

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

12.2 Strategy: Acceptable

• A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles.
• An IM strategy implementation plan, including some timelines and resources, is underway and some achievements to date are identified.
• IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.

12.3 Privacy Act: Opportunity for Improvement

• 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 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.

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: Acceptable

• Organization is making efforts to appropriately use and plan for further use of information technology shared services.
• Organization devotes adequate management attention to service costing, asset management, performance measurement and reporting to ensure value delivery.

14.1 Investment Planning: Opportunity for Improvement

• The organization does not have a current investment planning document.
• The organization’s investment planning documents do not cover all asset classes.
• The organization’s investment planning document has not been approved by the proper authority.
• Investment planning processes are inadequate or projects that are not referenced in the approved planning document are regularly implemented.
• The organization’s investment planning process does not consider investments over multiple years.

14.2 Real Property Management: Opportunity for Improvement

• Some elements of a real property management framework have been implemented.
• There is no evidence that approval processes and authority levels are broadly communicated.
• Internal operating policies have not been implemented or internal policies are limited in scope.
• Information systems are in place but real property information is not reliable or integrated with other systems.
• Certification of information in the DFRP is received and accepted.
• Certification of information in the FCSI is not received and accepted.
• Contaminated site management practices are not consistent with policy or program guidelines, or significant weaknesses are evident.
• Some indicators of real property performance are monitored.
• Evidence exists that property holdings do not align to programs or that special purpose real property is not administered by the program organization.

14.3 Materiel Management: Acceptable

• Comprehensive internal policies are documented and disseminated.
• Governance structures, approval processes and authority limits are documented and disseminated.
• Some elements of a materiel management framework are evident.
• Some indicators of materiel performance are monitored.

15.1 Governance and Oversight: Opportunity for Improvement

• Business cases are not required and there is no evidence that they are used to support project proposals.
• Project governance and oversight mechanisms are limited and there are inconsistent links between approved projects and the strategic plans and priorities of the organization.
• There are no obvious links between approved projects and the strategic program plans and priorities of the organization.
• There is no evidence that the organization has exceeded Treasury Board project approval limits, or failed to notify TB/TBS when it did.

15.2 Effective Management of Project Resources: Opportunity for Improvement

• Little or no project management related training is available to employees.
• The organization’s funding models, which do not generate cost estimates at the work package level or consider historical and/or industry benchmarks, are not complete and project funds are not fully committed.
• There is evidence of some processes and procedures which support resource management. However, these are largely informal and do not extend across the organization.
• There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution.
• There is no evidence that the organization has failed to meet TB conditions regarding projects.

15.3 Effective Management of Project Results: Opportunity for Improvement

• There is no evidence of project monitoring and reporting activities or of a project review mechanism.
• There is no evidence that project managers and project oversight mechanisms have access to relevant project monitoring and performance information.
• There is no evidence that project milestones, deliverables and outcomes are documented.
• 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.

16.1 Governance and Oversight: Opportunity for Improvement

• Few or no links exist between procurement activities and organization-wide program plans, priorities and long-term investments.
• No procurement planning.

16.2 Meeting Operational Requirements: Opportunity for Improvement

• Inefficient procurement information systems and processes are in place.
• Links to human resources planning are inconsistent (e.g., insufficient succession planning and recruitment strategies for procurement staff).
• Little improvement in the use of procurement processes contributing to cost savings and value for money has been identified.
• Procurement training is done on an ad hoc basis.
• Some qualified procurement human resources exist.
• Some results or reviews are used to adjust current procurement management activities and future procurement plans.

17.1 Authorities and Policies: Acceptable

• Audit report results show evidence of good financial management practices.
• Departmental procedures, tools, training and support for those individuals delegated with Section 34 authority show evidence of solid financial management practices.
• Departmental processes for classification of moneys, internal controls for receiving and recording money and depositing money show evidence of solid financial management practices.
• Departmental processes for informing those delegated with Section 33 authority of their responsibilities and dealing with requests for payments that are problematic show evidence of good financial management practices.
• Departmental processes to provide individuals delegated Section 33 authority with the information necessary to assess and approve specific transactions and to assess the adequacy of Section 34 account verification show evidence of solid financial management practices.
• The reporting of external user fee information shows some omissions in relation to reporting guidelines.

17.2 Public Accounts Reporting: Attention Required

• A significant number Central Financial Management Reporting System (CFMRS) coding errors.
• Eighty to 89% (grade B) of Public Accounts reporting plates submitted on time.
• Few significant errors found during the course of the OAG Public Accounts audit.

17.3 Management Capacity: Opportunity for Improvement

• A relatively minor amount of training is provided for the financial management organization.
• All, or almost all, FIs and management team members in the financial management organization have current, approved learning plans.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a low proportion of the positions on the management team of the financial management organization.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a very low proportion of the FI segment of the financial management organization.
• Some processes in support of a sound succession plan for key positions are in place.
• There is a position (or positions) established in the financial management organization that is dedicated to community management and development.
• There is a weak 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 one month after period end.
• The internal financial reporting package is presented to senior management ten or more times per year.
• The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is well established.
• The scope of the internal financial reporting package is comprehensive.

17.6 Other Initiatives: Acceptable

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

While the department improved its overall rating from an OFI to an Acceptable, the quality, timeliness and accuracy of the trial balance and Public Accounts plates submitted for purposes of government-wide reporting require attention and key segments of the financial management organization lack stability.

18.1 Internal Audit governance: Acceptable

• There is an approved Internal Audit Charter in line with the 2006 Policy on Internal Audit.
• The Implementation Plan covers all of the required policy elements.
• Ongoing monitoring of, and progress in implementing, key elements of the plan are on track with planned timelines.
• Chief Audit Executive reports solely and exclusively to the Deputy Head.
• An independent Departmental Audit Committee has either recently been established or is scheduled to be in place and is on track with planned timelines.
• There is a Departmental Audit Committee Charter in line with the 2006 Policy on Internal Audit.
• There is an approved Departmental Audit Committee Annual Plan for fiscal year 2008-2009.
• The Departmental Audit Committee will have met at least four times within twelve months of its inception.
• 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 a timely manner.
• 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 very little or no information of the planned use of all audit function resources.
• Majority of planned work is on audit assurance versus other types of activities.
• Continuity of previous years work is clearly identified with status and rationale.
• Approved assurance products are not consistent with policy and internal audit standards requirements, containing one key methodological deficiency.
• 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 well documented and in place.
• Assurance products (reports) are produced in a reasonably timely manner.
• Approved assurance products are not made accessible to the public in a timely manner.
• Post-engagement follow-up process is well documented, and recommendations are followed up using a risk-based approach.
• The department or agency provides limited notification to the Treasury Board Secretariat on issues of importance.
• 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

• Investment in Certified Internal Auditor certification, learning and training exceeds 10% of FTE salaries.
• Planned spending, * was given to the Office of the Comptroller General. When comparing current spending of 2008-2009 with planned financial resources of 2007-2008, resource levels identified exceeds the resource level identified in 2007.
• Some elements of a comprehensive Human Resources Plan have been documented, and evidence of recruitment and external resourcing activity exists.
• Planned FTEs dedicated to internal audit have grown comparatively to 2007-2008. They exceed the resource level identified in the planned internal audit function’s budget for 2008-2009.

18.4 Internal Audit Performance: Acceptable

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

The Chief Audit Executive reports solely and exclusively to the Deputy Head. A CAEE Annual Report was produced for 2007-2008.

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): 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 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.

20.1 Management Engagement – Service and CLF: Opportunity for Improvement

• Senior management has set priorities and goals in an ad hoc or informal fashion or not at the institutional-level.
• There are no expectations set by senior management for an institutional focus on meeting the needs of clients, specifically with respect to service standards and client satisfaction measurement.
• There has been no monitoring or no steps to set up monitoring of progress towards the achievement of goals by senior management.
• There is 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 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: Acceptable

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

20.3 Official Languages: Acceptable

• Analysis of the Annual Review on OL shows the institution is generally able to meet its obligations.
• Audits reveal numerous shortcomings in active offer and service delivery in both OL.
• In general, the institution has adequate resources to serve the public in both OL.
• No complaint or minimal number of founded complaints exits.