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Management Accountability Framework

ARCHIVED - MAF Assessment: Transport Canada - 2008

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

Context

This year’s observations by the Treasury Board Portfolio related to Transport Canada are very positive. The department has made significant improvements in its management practices. Of the 21 Areas of Management against which the department was assessed, it received nine “strong” ratings, 10 “acceptable” ratings and two “opportunity for improvement” ratings. Eight Areas of Management have improved ratings compared to last year’s assessment, and only one rating has worsened.

The department should be recognized for its work in a number of areas including:

Values-based Leadership and Organizational Culture – The department has improved its rating from “acceptable” to “strong” in 2008. Transport Canada, through its comprehensive and continuous assessments, reviews, plans and ongoing communication between senior management and employees, has demonstrated significant commitment to fostering a renewed and strengthened ethical environment to foster such an environment.
Security and Business Continuity - The department has improved its rating from “acceptable” to “strong” in 2008. Transport Canada has made significant progress with respect to completing their Business Continuity Plans (BCP) and Arrangements and BCP Readiness requirements. In addition, a pandemic plan has been completed and approved by management.
Effective Procurement – The department has improved its rating from “acceptable” to “strong” in 2008. Transport Canada’s procurement governance and oversight has been enhanced through the department’s significant effort to identify opportunities for improvement and adoption of best practices.

Transport Canada has made marked improvement in addressing the priorities identified in last year’s Management Accountability Framework (MAF) assessment:

Utility of the Corporate Performance Framework – In 2007, the department was advised to ensure that the redesign of its Program Activity Architecture meets the requirements of the MRRS policy and becomes an effective tool for internal and external use. Transport Canada’s MRRS, including their revamped Program Activity Architecture (PAA), provides insights into the performance and effectiveness of all of its programs. The organization uses performance information for decision-making, reflective of results-based management. As a result, the department has improved its rating from “opportunity for improvement” to “strong”.
Effectiveness of the Corporate Management Structure – In 2007, the department was encouraged to continue its work in implementing integrated strategic and business planning to strengthen and align decision making with its PAA, the associated performance and results frameworks and corporate priorities. The department has made some progress in this area, as evidenced by the development of an Integrated Planning Framework, a precursor to developing an integrated corporate plan, and a new PAA that is well aligned to the department’s governance structure. Although Transport Canada was rated “opportunity for improvement” again this year, TBS acknowledges the positive work the department is doing. TBS expects that with the development of an integrated corporate plan, in the next review period, the department will be in an enhanced position to effectively allocate resources to priorities, align activities to outcomes, and manage accountabilities.
Quality of Analysis in TB Submissions – In 2007, in recognition of the challenge that Transport Canada faced in managing a high volume of Treasury Board business and submissions, the department was encouraged to implement processes that strengthen its ability to handle many submissions and facilitate the establishment of submission priorities. As well, the department was encouraged to continue to collaborate with TBS to ensure submissions were of consistently high quality, were accurate and were delivered within appropriate timeframes. Transport Canada’s many efforts in this area including developing a protocol to prioritize submissions, has increased their rating to “acceptable”. Given the high volume of submissions, the department is encouraged to use this protocol towards ensuring that consultations with central agencies are planned and conducted in a timely manner to ensure sufficient lead time.

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

Effectiveness of the Corporate Management Structure - The department will want to continue to work towards fully integrating all functional and operational planning into a corporate business plan.
Internal Audit - The department should focus on improving the overall quality, timeliness and accessibility of audit reports.

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 Organization monitors risks in regard to possible breaches of public service values and ethics, and risk management is integrated into decision making. Values and ethics plans or strategies are tailored to an organization's work, span several years, and measure results and are used to inform senior management on the state of the organization's values and ethics. 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

Organization monitors risks in regard to possible breaches of public service values and ethics, and risk management is integrated into decision making.
Values and ethics plans or strategies are tailored to an organization's work, span several years, and measure results and are used to inform senior management on the state of the organization's values and ethics.

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

Strong

Highlights	Opportunities
2.1 PAA Consistency: Strong The Strategic Outcome(s) is/are measurable and clearly represent(s) an end-state the organization is trying to achieve. The Strategic Outcome(s) indicates an obvious departmental area of influence and clearly align(s) with the organization’s mandate. 2.2 Measurability: Acceptable An adequate Program Activity Architecture has been developed with some issues to be resolved. 2.3 Quality: An adequate and complete performance measurement framework is in place; however some minor issues still need to be resolved. The performance indicators are adequately clear and can usually be measured to provide reliable insight into program effectiveness. Targets are not stated appropriately as a performance level of the indicator.	Transport Canada worked very closely with TBS to develop a new Program Activity Architecture for 2009-2010. As a result TC has a PAA that is vastly improved and more fully adheres to the requirements of MRRS, with only minor issues to resolve. 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

Highlights

Opportunities

2.1 PAA Consistency: Strong

The Strategic Outcome(s) is/are measurable and clearly represent(s) an end-state the organization is trying to achieve.
The Strategic Outcome(s) indicates an obvious departmental area of influence and clearly align(s) with the organization’s mandate.

2.2 Measurability: Acceptable

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

2.3 Quality:

An adequate and complete performance measurement framework is in place; however some minor issues still need to be resolved.
The performance indicators are adequately clear and can usually be measured to provide reliable insight into program effectiveness.
Targets are not stated appropriately as a performance level of the indicator.

Transport Canada worked very closely with TBS to develop a new Program Activity Architecture for 2009-2010. As a result TC has a PAA that is vastly improved and more fully adheres to the requirements of MRRS, with only minor issues to resolve.
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

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. 3.2 Governance Structure: Acceptable Adequate management oversight of the organization's program activities and underlying programs is evident. 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). 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. Terms of reference are generally current and complete. Transport Canada does not have a corporate plan, however, TBS recognizes the department’s progress towards this goal in its establishment of integrated planning entities and intentions to test the Integrated Planning Framework.	Particularly in the absence of a corporate plan, TC is encouraged to place increased emphasis on integrating human resources, information management and technology, and communications plans.
Recommendations
Given the department's progress in this area, TC is well positioned to accelerate timelines towards the development and implementation of a fully integrated corporate plan.

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.

3.2 Governance Structure: Acceptable

Adequate management oversight of the organization's program activities and underlying programs is evident.
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).
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.
Terms of reference are generally current and complete.

Transport Canada does not have a corporate plan, however, TBS recognizes the department’s progress towards this goal in its establishment of integrated planning entities and intentions to test the Integrated Planning Framework.

Particularly in the absence of a corporate plan, TC is encouraged to place increased emphasis on integrating human resources, information management and technology, and communications plans.

Recommendations

Given the department's progress in this area, TC is well positioned to accelerate timelines towards the development and implementation of a fully integrated corporate plan.

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.1 Leadership of Priority Initiatives: Strong The organization has established a highly effective management structure for each initiative, including clear roles and responsibilities, outcomes and an engagement strategy. The organization shows strength in leadership of its priority interdepartmental initiatives. 4.2 Participation in Priority Initiatives: Acceptable Senior management is engaged in all the initiatives. An internal management structure has been established to manage the organization’s participation in priority initiatives. The organization contributes effectively to priority interdepartmental initiatives. 4.3 Portfolio Coordination: Acceptable Substantial attention is paid to the responsibility for portfolio affairs. The Department’s portfolio coordination is effective. TBS has assessed Transport Canada with regard to its leadership of the Marine Security Initiative - Strong and three Gateway and Corridor Initiatives - all rated Strong, with regard to its participation in Public Service Renewal - Acceptable, the Web of Rules Initiative - Acceptable, and the Clean Air – Climate Change Agenda - Strong, and with regard to its portfolio coordination responsibilities.	Consider further describing the resources allocated to the achievement of Web of Rule commitments. Adopt a more systematic approach to collecting and utilizing employee feedback to drive Public Service Renewal implementation. As noted in MAF Round V, an opportunity exists for the department to give uniform attention to the performance and activities of all its portfolio entities, especially where a shared policy interest exists. Transport Canada is encouraged to work with its portfolio entities, such as Marine Atlantic Incorporated and the Federal Bridge Corporation Limited, where deficiencies in areas such as financial management, oversight and governance have been identified.
Recommendations

Highlights

Opportunities

4.1 Leadership of Priority Initiatives: Strong

The organization has established a highly effective management structure for each initiative, including clear roles and responsibilities, outcomes and an engagement strategy.
The organization shows strength in leadership of its priority interdepartmental initiatives.

4.2 Participation in Priority Initiatives: Acceptable

Senior management is engaged in all the initiatives.
An internal management structure has been established to manage the organization’s participation in priority initiatives.
The organization contributes effectively to priority interdepartmental initiatives.

4.3 Portfolio Coordination: Acceptable

Substantial attention is paid to the responsibility for portfolio affairs.
The Department’s portfolio coordination is effective.

TBS has assessed Transport Canada with regard to its leadership of the Marine Security Initiative - Strong and three Gateway and Corridor Initiatives - all rated Strong, with regard to its participation in Public Service Renewal - Acceptable, the Web of Rules Initiative - Acceptable, and the Clean Air – Climate Change Agenda - Strong, and with regard to its portfolio coordination responsibilities.

Consider further describing the resources allocated to the achievement of Web of Rule commitments.
Adopt a more systematic approach to collecting and utilizing employee feedback to drive Public Service Renewal implementation.
As noted in MAF Round V, an opportunity exists for the department to give uniform attention to the performance and activities of all its portfolio entities, especially where a shared policy interest exists.
Transport Canada is encouraged to work with its portfolio entities, such as Marine Atlantic Incorporated and the Federal Bridge Corporation Limited, where deficiencies in areas such as financial management, oversight and governance have been identified.

Recommendations

5. Quality of Analysis in TB Submissions

Acceptable

Highlights	Opportunities
5.1 Supporting Information: Acceptable Adequate explanation for the level of resources requested is partially sufficient. Adequate information is submitted for business cases. Funding information aligns fairly well with project authorities. Information aligns fairly well with TBS financial data. 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. Response to TBS comments is appropriate. Submission contains an adequate level of detail. 5.2 Analysis: Acceptable Appropriate and complete links to MRRS, strategic objectives, etc., are used. Business cases may have comprehensive information but demonstrate only partial and incomplete analysis. Established capacity for appropriate responses to TBS comments is acceptable. Established capacity in the understanding of external pressures exists. Generally, the correct policy authorities are used. 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: Acceptable Description of resource requirements is clear. Established capacity for consistency of information throughout documents is evident. Generally rigorous and effective quality control process is in place and is usually followed for TB submissions. Submissions usually have SFO or Head of Evaluation sign offs when appropriate. TBS feedback is usually fully addressed.
Recommendations

Highlights

Opportunities

5.1 Supporting Information: Acceptable

Adequate explanation for the level of resources requested is partially sufficient.
Adequate information is submitted for business cases.
Funding information aligns fairly well with project authorities.
Information aligns fairly well with TBS financial data.
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.
Response to TBS comments is appropriate.
Submission contains an adequate level of detail.

5.2 Analysis: Acceptable

Appropriate and complete links to MRRS, strategic objectives, etc., are used.
Business cases may have comprehensive information but demonstrate only partial and incomplete analysis.
Established capacity for appropriate responses to TBS comments is acceptable.
Established capacity in the understanding of external pressures exists.
Generally, the correct policy authorities are used.

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: Acceptable

Description of resource requirements is clear.
Established capacity for consistency of information throughout documents is evident.
Generally rigorous and effective quality control process is in place and is usually followed for TB submissions.
Submissions usually have SFO or Head of Evaluation sign offs when appropriate.
TBS feedback is usually fully addressed.

Recommendations

6. Quality and Use of Evaluation

Strong

Highlights	Opportunities
6.1 Quality: Acceptable 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 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: Strong 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. All resources dedicated to evaluations are directed by the Head of Evaluation. Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year. 6.3 Coverage: Acceptable The organization has shown evidence of moving towards full coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. Year to year percent coverage indicates organization is on track to achieve 100% coverage. The organization has shared its multi-year, risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA. As well, there is evidence to indicate that the organization has calibrated its evaluation efforts and/or approaches according to program context. 6.4 Usage: Strong Active, documented, systematic and regular tracking of management action plans arising from evaluation recommendations is in place. Evaluation commitments, plans and requirements are delivered on time or extensions are due to circumstances beyond the department's control. Organization rarely requests extension from TBS. The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.
Recommendations

Highlights

Opportunities

6.1 Quality: Acceptable

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 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: Strong

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.
All resources dedicated to evaluations are directed by the Head of Evaluation.
Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year.

6.3 Coverage: Acceptable

The organization has shown evidence of moving towards full coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. Year to year percent coverage indicates organization is on track to achieve 100% coverage.
The organization has shared its multi-year, risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA. As well, there is evidence to indicate that the organization has calibrated its evaluation efforts and/or approaches according to program context.

6.4 Usage: Strong

Active, documented, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.
Evaluation commitments, plans and requirements are delivered on time or extensions are due to circumstances beyond the department's control. Organization rarely requests extension from TBS.
The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.

Recommendations

7. Quality Reporting to Parliament

Acceptable

Highlights	Opportunities
7.2 Credible information: Acceptable DPR is based on the PAA, i.e. performance is usually reported by Program Activity (PA) at the PA level. Linkages between PA and Strategic Outcome (SO) level performance are generally made in the DPR. The DPR is concise. It contains an adequate amount of information relevant to the estimates process.	The department would benefit from clearly demonstrating how expected results were achieved by reporting performance against indicators and targets or performance benchmarks at the PA level. In addition, including a "rolled-up" or synthesized discussion of organizational performance at the PA and SO level would be beneficial.
Recommendations

Highlights

Opportunities

7.2 Credible information: Acceptable

DPR is based on the PAA, i.e. performance is usually reported by Program Activity (PA) at the PA level.
Linkages between PA and Strategic Outcome (SO) level performance are generally made in the DPR.
The DPR is concise. It contains an adequate amount of information relevant to the estimates process.

The department would benefit from clearly demonstrating how expected results were achieved by reporting performance against indicators and targets or performance benchmarks at the PA level. In addition, including a "rolled-up" or synthesized discussion of organizational performance at the PA and SO level would be beneficial.

Recommendations

8. Managing Organizational Change

Acceptable

Highlights	Opportunities
8.1 Change plan: Acceptable Organizational change plan exists and is consistent with the scope of change identified. The organization has the capacity to evaluate whether or not change is required. 8.2 Engagement: Acceptable 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: Opportunity for Improvement Change plans and strategies are included in Performance Management Agreements of Senior Executives. Change plans and strategies are included in Performance Management Agreements of Senior Executives. Change plans and strategies are priorities across the organization. Change plans and strategies are priorities for the whole organization. Results are not apparent. Generally, Transport Canada manages change well. The department has a document that describes its change initiatives, intended to facilitate employee uptake.
Recommendations
It is important for Transport Canada to measure the progress of its change initiatives and ensure employee engagement.

Highlights

Opportunities

8.1 Change plan: Acceptable

Organizational change plan exists and is consistent with the scope of change identified.
The organization has the capacity to evaluate whether or not change is required.

8.2 Engagement: Acceptable

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: Opportunity for Improvement

Change plans and strategies are included in Performance Management Agreements of Senior Executives.
Change plans and strategies are included in Performance Management Agreements of Senior Executives.
Change plans and strategies are priorities across the organization.
Change plans and strategies are priorities for the whole organization.
Results are not apparent.

Generally, Transport Canada manages change well. The department has a document that describes its change initiatives, intended to facilitate employee uptake.

Recommendations

It is important for Transport Canada to measure the progress of its change initiatives and ensure employee engagement.

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 encourages effective Risk Management and a risk-smart culture. Accountability for key risks is assigned to senior management. 9.2 Implementation: Acceptable 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: Acceptable Risk information is adequately consulted for senior management decision-making. Risk information and Risk Management principles influence planning and resource allocation decisions. Operational level risks are prioritized into key risks. Risk information and Risk Management principles are 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. 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. Transport Canada has completed its CRP and appointed senior management leads for its top five risks. The department is taking an active approach to implementing the CRP into its operational levels, and has engaged all groups and regions in the development of the CRP. Furthermore, TC is making steady progress in incorporating risk information into senior management decision making, planning and reporting.	TC is encouraged to document a Risk Management Framework to situate all its risk management activities into a coherent context which would, among setting direction and leadership on risk management, set expectations for all staff responsibilities regarding risk management. TC could also develop and implement ongoing RM learning and monitoring activities to enable course corrections to risk mitigation strategies throughout a given cycle based on the acquisition of risk information and tracking of risk management performance. CRP risks could be more explicitly linked with strategic outcomes and the organization’s PAA, and the organization could work towards demonstrating these alignments in future CRPs, RPPs and DPRs. Additional tools and guidance material could be developed, and/or provided to encourage staff to engage in risk management.
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 encourages effective Risk Management and a risk-smart culture.
Accountability for key risks is assigned to senior management.

9.2 Implementation: Acceptable

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: Acceptable

Risk information is adequately consulted for senior management decision-making.
Risk information and Risk Management principles influence planning and resource allocation decisions.
Operational level risks are prioritized into key risks.
Risk information and Risk Management principles are 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.
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.

Transport Canada has completed its CRP and appointed senior management leads for its top five risks. The department is taking an active approach to implementing the CRP into its operational levels, and has engaged all groups and regions in the development of the CRP. Furthermore, TC is making steady progress in incorporating risk information into senior management decision making, planning and reporting.

TC is encouraged to document a Risk Management Framework to situate all its risk management activities into a coherent context which would, among setting direction and leadership on risk management, set expectations for all staff responsibilities regarding risk management.

TC could also develop and implement ongoing RM learning and monitoring activities to enable course corrections to risk mitigation strategies throughout a given cycle based on the acquisition of risk information and tracking of risk management performance.

CRP risks could be more explicitly linked with strategic outcomes and the organization’s PAA, and the organization could work towards demonstrating these alignments in future CRPs, RPPs and DPRs.

Additional tools and guidance material could be developed, and/or provided to encourage staff to engage in risk management.

Recommendations

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

Acceptable

Highlights	Opportunities
10.1 Fair: Strong Organization is undertaking action to improve the classification program in accordance with its level of risk. Evidence shows that labour relation matters are proactively and innovatively managed/addressed. Evidence shows that the organization exceeds standards of timeliness in payments to employees. Evidence shows that the organization is proactively seeking labour relations policy direction (terms and conditions of employment, collective agreements and/or applicable legislation). 10.2 Enabling: Acceptable Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages. Organization has made progress in comparison to the previous year's representation, recruitments and promotions of the four employment equity groups. Organization is representative of all four employment equity designated groups. Promotions among employment equity groups are greater than or equal to previous year's performance. Separations among employment equity groups are less than or equal to previous year's performance. Work instruments, electronic systems and communication tools are generally available in both official languages. 10.3 Healthy and safe: Opportunity for Improvement A considerable number of employees do not 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.	Take action to ensure that employees feel recognized for their contribution.
Recommendations

Highlights

Opportunities

10.1 Fair: Strong

Organization is undertaking action to improve the classification program in accordance with its level of risk.
Evidence shows that labour relation matters are proactively and innovatively managed/addressed.
Evidence shows that the organization exceeds standards of timeliness in payments to employees.
Evidence shows that the organization is proactively seeking labour relations policy direction (terms and conditions of employment, collective agreements and/or applicable legislation).

10.2 Enabling: Acceptable

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

10.3 Healthy and safe: Opportunity for Improvement

A considerable number of employees do not 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.

Take action to ensure that employees feel recognized for their contribution.

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: Acceptable Communications with and services to the public in both official languages are generally available. Employees consider that they can not regularly communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are not consistently available. Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position. Organization is representative of all four employment equity designated groups. Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups equal 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.	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: Acceptable

Communications with and services to the public in both official languages are generally available.
Employees consider that they can not regularly communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are not consistently available.
Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position.
Organization is representative of all four employment equity designated groups.
Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups equal 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.

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 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. 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 Transport Canada is Acceptable, the department has not met several of the assessed statutory requirements of the Access to Information and Privacy Acts.	Continue sharing best practices in order to strengthen IM across the enterprise. 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.
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

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.
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 Transport Canada is Acceptable, the department has not met several of the assessed statutory requirements of the Access to Information and Privacy Acts.

Continue sharing best practices in order to strengthen IM across the enterprise.
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.

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: Strong A comprehensive information technology plan is in place and it aligns with the government-wide directions for information technology and with departmental business needs. Information technology management position is held by a highly engaged senior official designated within the corporate governance structure and related planning processes. 13.3 Value: Strong Organization analyzes and plans for the appropriate use of information technology shared services to an optimal extent. Organization demonstrates management commitment to service costing, asset management, performance measurement and reporting to ensure value delivery.	Commended for its progress and encouraged to share its 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: Strong

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

13.3 Value: Strong

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

Commended for its progress and encouraged to share its 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: Strong The organization has a current long-term investment planning document that has been approved by the proper authority. The organization has a planning document that ranks priority investments. The investment planning process includes continuous improvement mechanisms based on performance information for investment planning. Organizational priorities and areas of highest risk are identified and guide investment decisions. 14.2 Real Property Management: Acceptable All elements of a real property management framework are implemented. Governance structures, approval processes and authority limits are documented and disseminated. Comprehensive internal policies are documented and disseminated. 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. Indicators of real property performance are monitored and performance measurement is ongoing. 14.3 Materiel Management: Strong All elements of a materiel management framework are evident. Governance structures, approval processes and authority limits are documented and disseminated. Comprehensive internal policies are documented and disseminated. Some indicators of materiel performance are monitored. Reliable and sufficiently integrated information systems are in place. New and evolving best practices are introduced.	Transport Canada should improve the timeliness of submission of the annual contaminated sites management plan.
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Strong

The organization has a current long-term investment planning document that has been approved by the proper authority.
The organization has a planning document that ranks priority investments.
The investment planning process includes continuous improvement mechanisms based on performance information for investment planning.
Organizational priorities and areas of highest risk are identified and guide investment decisions.

14.2 Real Property Management: Acceptable

All elements of a real property management framework are implemented.
Governance structures, approval processes and authority limits are documented and disseminated.
Comprehensive internal policies are documented and disseminated.
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.
Indicators of real property performance are monitored and performance measurement is ongoing.

14.3 Materiel Management: Strong

All elements of a materiel management framework are evident.
Governance structures, approval processes and authority limits are documented and disseminated.
Comprehensive internal policies are documented and disseminated.
Some indicators of materiel performance are monitored.
Reliable and sufficiently integrated information systems are in place.
New and evolving best practices are introduced.

Transport Canada should improve the timeliness of submission of the annual contaminated sites management plan.

Recommendations

15. Effective Project Management

Acceptable

Highlights	Opportunities
15.1 Governance and Oversight: Strong 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. The organization has established procedures that require all project proposals to be supported by business cases which clearly define project outcomes. There is no evidence that the organization has exceeded Treasury Board project approval limits, or failed to notify TB/TBS when it did. 15.2 Effective Management of Project Resources: Acceptable Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes. Cost estimates are generated at the work package level only and do not use historical data or industry benchmarks. The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training. There is evidence that the organization has not met all TB conditions regarding projects. 15.3 Effective Management of Project Results: Acceptable The organization requires that outcomes are clearly defined for projects in business case documentation and most projects are subject to a review. There is a clear link between the review process and project management governance and oversight mechanisms. There is evidence that the organization monitors project performance and uses this information to support corrective action. There is no evidence of formal processes or procedures which ensure that project managers and project oversight mechanisms have access to relevant project monitoring information.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Strong

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.
The organization has established procedures that require all project proposals to be supported by business cases which clearly define project outcomes.
There is no evidence that the organization has exceeded Treasury Board project approval limits, or failed to notify TB/TBS when it did.

15.2 Effective Management of Project Resources: Acceptable

Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes.
Cost estimates are generated at the work package level only and do not use historical data or industry benchmarks.
The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training.
There is evidence that the organization has not met all TB conditions regarding projects.

15.3 Effective Management of Project Results: Acceptable

The organization requires that outcomes are clearly defined for projects in business case documentation and most projects are subject to a review.
There is a clear link between the review process and project management governance and oversight mechanisms.
There is evidence that the organization monitors project performance and uses this information to support corrective action.
There is no evidence of formal processes or procedures which ensure that project managers and project oversight mechanisms have access to relevant project monitoring information.

Recommendations

16. Effective Procurement

Strong

Highlights	Opportunities
16.1 Governance and Oversight: Strong 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). 16.2 Meeting Operational Requirements: Strong Competent (highly qualified or certified) procurement human resources are in place. Consistent procurement training and certification programs exist. Informed decision making and oversight exist. Integrated, timely and accurate procurement financial and non-financial reporting exists. Results and reviews are used to continuously adjust current procurement management activities and future procurement plans. Effective and accountable procurement management processes and controls are in place. Qualified procurement human resources exist. Consistent procurement training is evident. Informed decision making and oversight exist. Results and reviews are used to continuously improve procurement function.	TC can share best practices with other departments.
Recommendations

Highlights

Opportunities

16.1 Governance and Oversight: Strong

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).

16.2 Meeting Operational Requirements: Strong

Competent (highly qualified or certified) procurement human resources are in place.
Consistent procurement training and certification programs exist.
Informed decision making and oversight exist.
Integrated, timely and accurate procurement financial and non-financial reporting exists.
Results and reviews are used to continuously adjust current procurement management activities and future procurement plans.

Effective and accountable procurement management processes and controls are in place. Qualified procurement human resources exist. Consistent procurement training is evident. Informed decision making and oversight exist. Results and reviews are used to continuously improve procurement function.

TC can share best practices with other departments.

Recommendations

17. Effectiveness of Financial Management and Control

Strong

Highlights

Opportunities

17.1 Authorities and Policies: Strong

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

17.2 Public Accounts Reporting: Opportunity for Improvement

Less than 79% (grade C or D) of Public Accounts reporting plates submitted on time.
Minimal Central Financial Management Reporting System (CFMRS) coding errors.
No errors found during the course of the OAG Public Accounts audit.

17.3 Management Capacity: Strong

A reasonable 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 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.
There is a position (or positions) established in the financial management organization that is dedicated to community management and development.
There is a strong functional relationship between the CFO/SFO and FI positions that exist outside the financial management organization. *This row is only applicable where the department or agency indicates there are FI positions outside the financial management organization.

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 comprehensive discussion and analysis.
The internal financial reporting package is presented to senior management eight to nine times per year.
The internal financial reporting package is presented to senior management less than one month after period end.
The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is well established.
The scope of the internal financial reporting package is comprehensive.

17.6 Other Initiatives: Strong

Evidence of some initial measures taken towards implementing the Guide to Costing.
The organization has identified financial management initiatives in such areas as policies, reporting, systems and community development.

While the department maintained its overall rating of Strong, the quality, timeliness and accuracy of its trial balance and Public Accounts plates submitted for purposes of government-wide reporting requires improvements.

Recommendations

18. Effectiveness of Internal Audit Function

Opportunity for Improvement

Highlights

Opportunities

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.
There is limited ongoing monitoring in implementing key elements and progress is not on track with planned timelines.
Chief Audit Executive reports solely and substantively 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.
A draft Departmental Audit Committee Charter exists and is in line with the 2006 Policy on Internal Audit.

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.
All post-engagement follow-up activities are clearly identified.
There is partial information on 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 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 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 has not been documented.
Assurance products (reports) are produced in a somewhat timely manner.
Approved assurance products are made accessible to the public in a somewhat 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 notification to the Treasury Board Secretariat on issues of importance on an ad hoc basis or is aware of this requirement.
The department or agency provides limited notification to the Treasury Board Secretariat on the posting of reports.

18.3 Administration of the Internal Audit Function: Acceptable

Recruitment and external resourcing activities are guided by a documented Human Resources Plan.
Investment in Certified Internal Auditor certification, learning and training 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 maintain the resource levels identified in 2007.
Planned FTEs dedicated to internal audit have been maintained comparatively to 2007-2008. They meet 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 Departmental Audit Committee (DAC) is nearing completion with the department anticipating the co-recommendation of two external members in April 2009 and one in June 2009 for a common DAC shared with Infrastructure Canada

The Risk-Based Audit Plan (RBAP) requires a further developed, defined and risk-ranked audit universe. The RBAP could be improved by including more detailed information on carry-overs. Audit reports should include a statement of assurance, sufficient description of evidence to support findings, and identify the criteria used in the course of the audit. The timeliness and accessibility of assurance products (Audit Reports) should be improved. TC could increase periodic reporting on the follow-up of management action plans to the audit committee.

Recommendations

The department should focus on the quality of assurance products.

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 continue improving the departmental security program, including addressing deficiencies related to security training, development and implementation of the Security Awareness Communications Action Plan, and establishment of measures to monitor compliance and assess effectiveness on an ongoing basis.
Maintain efforts to sustain and improve MITS compliance, including completing risk assessments on legacy systems and testing of the IM/IT continuity plan.
Continue activities currently underway to maintain and strengthen the BCP function, including obtaining senior management approval of disaster recovery options.
Continue to share best practices with other federal government departments and agencies.

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 routine monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is used to make timely and proactive decisions or course correction.

20.2 Public/client views: Acceptable

Evidence of incorporating feedback in the implementation of its services, programs, policies or initiatives.
Few tools used to obtain views from clients.
Little or no evidence of making consultation results available to the public.
Many plans to obtain views from all target clients.
There is a clearly identified target clientele for public consultations.

20.3 Official Languages: Acceptable

Analysis of the Annual Review on OL shows some shortcomings.
Audits reveal few shortcomings in active offer and service delivery in both OL.
Small number of complaints deemed founded by the Commissioner of Official Languages.
The institution has initiated the necessary follow-ups to improve service delivery in both OL.
The institution has the necessary linguistic capacity to serve the public in both OL.

TBS encourages TC to:

Continue to develop a complete service inventory and a corporate understanding of services delivered to Canadians.
Measure client satisfaction using the Common Measurements Tool.
Set goals for service improvement based on performance data and measurement results.
Continue to set service standards for its key services.
Make its major consultations available on the Canada site.
Post results of its consultation activities.

Recommendations

21. Alignment of Accountability Instruments

Strong

Highlights	Opportunities
	All departments and agencies should place a heightened focus on clear accountabilities, face to face, mid-year review and performance improvement plans.
Recommendations