ARCHIVED - MAF Assessment: Public Service Commission of Canada - 2008

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

• Organization, on an ongoing basis, uses employee feedback from across the entire organization to measure its values and ethics culture and employee engagement.

2.1 PAA Consistency: Strong

• 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.

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:

• An incomplete or inadequate performance measurement framework has been developed.
• The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.

3.1 Business Plan: Strong

• Organization's corporate business plan is well aligned to corporate priorities.
• Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans.
• Sector priorities, accountabilities, business plans and resource allocations are fully aligned.

3.2 Governance Structure: Strong

• Management oversight of the organization's program activities is clearly evident.
• Organization's corporate governance structure is fully aligned to the organization's PAA.
• Recordkeeping is complete and timely. It clearly outlines accountabilities for follow-up action.
• Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.
• Senior management sets priorities for and is briefed regularly on the work of the supporting governance structure.
• Terms of reference for all levels in the governance structure are current and complete.

4.2 Participation in Priority Initiatives: Strong

• Senior management actively steers the Public Service Renewal, engages participants and responds proactively to participant feedback.
• The organization shows strength in its participation in priority interdepartmental initiatives.
• The organization's commitments to the initiative are clear, measurable, and consistent with its role, and an internal management structure has been established.

PSC was assessed with regard to its participation in the Web of Rules and Public Service Renewal initiatives.

5.1 Supporting Information: Strong

• Explanation for the level of resources requested is fulsome.
• Information for business cases is well-developed.
• Supporting information in TB submissions is always very accurate, reliable and complete.
• The organization is highly responsive to TBS feedback.

5.2 Analysis: Strong

• Business cases have comprehensive information and demonstrate robust analysis.
• Established capacity for appropriate performance measurement or evaluation analysis is evident.
• Sustained capacity for analysis on implementation is very evident.
• Sustained capacity for appropriate responses to TBS comments is demonstrated.
• Sustained capacity for options analysis is demonstrated.
• Sustained capacity in understanding of external pressures is strong.
• Sustained capacity to analyze value for money, effectiveness and efficiency is strong.

5.3 Consultations: Strong

• Consultations are always on time (6 weeks or earlier before TB meetings).
• Consultations with central agencies are planned and conducted in a timely manner with sufficient lead time.
• Organization is always, or virtually always, able to avoid lateness by predicting and planning for uncontrollable factors.

5.4 Quality control: Strong

• A highly rigorous and effective quality control process is followed for all TB submissions.
• All important information is always included in the first draft.
• Clarity and consistency of language are good.
• Description of resource requirements is clear.
• Sustained capacity for consistency of information throughout documents is evident.
• TBS feedback is always fully addressed.
• Very good writing and translation standard has been demonstrated.

6.1 Quality: Acceptable

• Evaluations submitted to TBS sometimes but not consistently employ appropriate methodologies to gather data and inform the analysis.
• Evaluations submitted to TBS usually present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report.
• The large majority of evaluations submitted to TBS consistently address relevance, success, and effectiveness. They also address cost-effectiveness.
• 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: Opportunity for Improvement

• All resources dedicated to evaluations are directed by the Head of Evaluation.
• Evaluation function resourcing is not commensurate with the organizational evaluation plan.
• Head of Evaluation has no explicit authority to submit evaluation reports directly to the deputy head and rarely has access to the Deputy Head.
• 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 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.
• The results of evaluations are usually brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.
• Very few evaluations submitted to TBS incorporate data from a performance measurement system to support the evaluation. Submitted evaluations almost always cite data availability and/or quality as constraints.

7.1 MRRS Basis: Acceptable

• Good links between performance and plans are present.
• Linkages between resources and results are adequately demonstrated in the reports.

7.2 Credible information: Acceptable

• DPR consistently provides independently verifiable evidence-based performance information.
• DPR reflects extensive inclusion of findings from audit and evaluation which increase results-focus and credibility.

7.3 Context: Strong

• 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: Strong

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

8.2 Engagement: Strong

• A learning culture exists within the organization.
• Employees and stakeholders are actively engaged at all phases and are committed to advancing strategies and initiatives.

8.3 Assessment: Acceptable

• Assessment plans exist and are broad in scope and detail.
• Change plans and strategies are priorities across the organization.
• Results are apparent.

The Public Service Commission (PSC) manages change well.  The PSC has the capacity to evaluate if organizational change is required, assesses the results of organizational change plans, and encourages change-related learning.

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 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 has reviewed/approved the Corporate Risk Profile within the past year.

9.2 Implementation: Acceptable

• Risk Management guidance and tools that enable the organization’s risk management approach are made available to staff.
• 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.

9.3 Integration: Acceptable

• Risk information and Risk Management principles are ingrained 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 course corrections on an ongoing basis based on Risk Management performance and new information.
• Operational level risks are prioritized into key risks.

9.4 Continuous Improvement: Acceptable

• 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 explicitly 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.
• Most relevant external sources are consulted during the development of the organization’s CRP.
• Corporate risks are inconsistently linked to the organization’s strategic outcomes.

The Public Service Commission should be commended for its efforts to embed risk information and risk management principles in senior management reporting. The PSC prepares quarterly progress reports to update the organization’s Operational Plan. These progress reports are informed by risk and help senior management scrutinize progress made against planned results.

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: Strong

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

10.3 Healthy and safe: Opportunity for Improvement

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

11.1 Productive: Acceptable

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

11.2 Principled: Acceptable

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

11.3 Sustainable: Strong

• Evidence indicates human resources planning is integrated with business planning and there is ongoing support by means of governance/organizational infrastructure.

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 fully represented in the corporate-wide governance structure and in the corporate-wide governance or approval committee(s).
• Responsibilities are identified for IM policy development and implementation is wholly consistent with the GC IM Strategy and policy instruments.
• Participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices.

12.2 Strategy: Acceptable

• A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles.
• 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 institution-specific Classes of Records do not meet Treasury Board Secretariat requirements.
• A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information.
• Organization submitted an Annual Report to Parliament and addressed all of the mandatory reporting requirements.

13.1 Leadership: Acceptable

• The senior official has responsibility and accountability for the full scope of information technology responsibilities and ensures that information technology supports organizational outcomes.
• Adequate participation in setting government-wide directions for information technology is evident.

13.2 Planning: Acceptable

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

13.3 Value: 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: Acceptable

• The organization has a planning document that ranks priority investments.
• The organization has a current long-term investment planning document that has been approved by the proper authority.
• Organizational priorities and areas of highest risk are identified and guide investment decisions.
• The investment planning process integrates investments decisions across all asset classes.
• The organization’s investment planning process considers investments over multiple years.

14.3 Materiel Management: Acceptable

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

15.1 Governance and Oversight: Acceptable

• Business cases are not required and there is no evidence that they are used to support project proposals.
• There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented.
• There is no evidence that the organization has exceeded Treasury Board 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.
• 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.
• While project management related training is made available by the organization for employees, there are no processes to ensure that employees with project management responsibilities are encouraged to complete relevant training and the number of qualified project managers is unknown.

15.3 Effective Management of Project Results: Acceptable

• There is evidence of organization-wide procedures and processes which communicate project monitoring and performance information to project managers and project oversight mechanisms.
• There is evidence that the organization monitors project performance and uses this information to support corrective action.
• While lessons learned are used to improve project management governance and oversight in some instances, there is no formal or organization-wide mechanism which supports continuous improvement.
• While there is evidence that project milestones, deliverables and outcomes are documented for some projects, it is not a requirement across the organization.

16.1 Governance and Oversight: Acceptable

• Effective and accountable procurement management processes and controls are in place (e.g., contract review mechanisms, documented decision making, guidance documents, appropriate delegation instruments or proper use of delegated authorities).
• Clear links have been established between procurement activities and the organization-wide program plans, priorities and long-term investments.

16.2 Meeting Operational Requirements: Acceptable

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

The PSC appears to make good use of large framework agreements, such as standing offers and provides good guidance with respect to delegations.

An in-house Contract Management System that captures procurement/contracting information electronically and which is linked to its financial system appears to have been developed.

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 good 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 meets or nearly meets the requirements of the reporting guidelines.

17.2 Public Accounts Reporting: Strong

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

17.3 Management Capacity: Acceptable

• 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.

17.4 Financial Statements: Strong

• The Financial Statements are compliant with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and reporting deadlines were met.
• The organization received an ‘unqualified audit opinion' with respect to its financial statements.
• There are no known financial internal control weaknesses.

17.5 Internal Reporting: Strong

• The internal financial reporting package is accompanied by a good discussion and analysis.
• The internal financial reporting package is presented to senior management less than 15 calendar days after period end.
• The internal financial reporting package is presented to senior management ten or more times per year.
• The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is established.
• The scope of the internal financial reporting package is comprehensive.

17.6 Other Initiatives: Acceptable

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

While the PSC maintained an overall rating of Strong some improvements could be made in the strength of its financial management capacity.

18.1 Internal Audit governance: Acceptable

• There is an approved Internal Audit Charter in line with the 2006 Policy on Internal Audit.
• Chief Audit Executive reports solely and substantively to the Deputy Head.
• An independent Departmental Audit Committee is in place.
• There is a Departmental Audit Committee Charter in line with the 2006 Policy on Internal Audit.
• There is a draft annual Departmental Audit Committee Plan for fiscal year 2008-2009.
• The Departmental Audit Committee has met at least four times over the past twelve months.
• A Departmental Audit Committee (DAC) Annual Report addressing some or all of the eight areas of DAC responsibility has been prepared for fiscal year 2007-2008.
• The Departmental Audit Committee Annual Report for 2007-2008 has been submitted to the Deputy Head and the Office of the Comptroller General.

18.2 Internal Audit Professional Practices: Acceptable

• The Risk-Based Audit Plan was approved by the Deputy Head and sent to the Office of the Comptroller General in a timely manner.
• Annual Risk-Based Audit Plan methodology is evident and applied.
• There is evidence of preparation to provide for holistic assurance.
• Most post-engagement follow-up activities are 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 clearly identified with status and rationale.
• Approved assurance products are consistent with policy and internal audit standards requirements.
• High 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 very timely manner.
• Approved assurance products are made accessible to the public in a very timely manner.
• Post-engagement follow-up process is well documented, and all recommendations are followed up using a risk-based approach.
• The department or agency provides limited notification to the Treasury Board Secretariat on the posting of reports.

18.3 Administration of the Internal Audit Function: Acceptable

• Some elements of a comprehensive Human Resources Plan have been documented, and evidence of recruitment and external resourcing activity exists.
• No evidence of a recruitment action plan or an external resourcing strategy exists, and there is no evidence of activity in the two areas.
• Investment in Certified Internal Auditor certification, learning and training represents a minimum of 5% 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 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.

Internal Audit Committee has been in place since 2006 and the Chief Audit Executive reports solely and exclusively to the Deputy Head. Reports are posted online in a timely manner.

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): Opportunity for Improvement

• Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS) and complies with most MITS requirements.
• Some deficiencies in meeting key MITS requirements.

19.3 Business Continuity Planning (BCP): Strong

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

20.1 Management Engagement – Service and CLF: Opportunity for Improvement

• The institution may have committees or sub-committees which consider and/or make decisions about service. Such committees or sub-committees may not be composed of senior management accountable for services. The institution, however, does not have a committee which is responsible for making decisions about and overseeing service at the institutional level.
• There are 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 generally documented and communicated priorities and goals for service at the institutional level; these priorities and goals are generally set by senior management based on the use of performance evidence.
• There is little monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; there is limited information on which to make decisions and course correction.
• 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.
• There is monitoring of progress by senior management towards the achievement of the institution-wide goals for service, with course correction if necessary.

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: Strong

• Analysis of the Annual Review on OL shows the institution is fully meeting its obligations.
• Audits reveal few shortcomings in active offer and service delivery in both OL.
• No complaint or minimal number of founded complaints exits.
• The institution has the necessary linguistic capacity to serve the public in both OL.