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Management Accountability Framework

ARCHIVED - MAF Assessment: Royal Canadian Mounted Police - 2008

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

Context

This year’s observations by the Treasury Board Portfolio related to the Royal Canadian Mounted Police (RCMP) are relatively positive. In total, for the 21 indicators against which the RCMP was assessed, it received 3 “strong” ratings, 10 “acceptable” ratings and 8 “opportunity for improvement” ratings, and 1 “attention required” ratings. Two indicators have improved ratings compared to last year’s assessment, and 3 indicator ratings have declined. While the RCMP has made improvements, it continues to face management issues in several areas.

The past year was one of significant challenge for the RCMP as it dealt with ongoing implementation of recommendations resulting from the Task Force on Governance and Cultural Change in the RCMP (the Brown Task Force), the Public Accounts Committee (PAC) Report and the O’Connor Inquiry. The RCMP’s implementation of an effective change management program continues to be important as are addressing human resources challenges and fostering a sustainable, healthy, and productive workplace. Such challenges will continue to require significant senior leadership and management oversight.

The RCMP should be congratulated for the improvements it has made related to management priorities identified in last year’s MAF assessment, including:

Quality of Analysis in TB Submissions – The RCMP has established a capacity to coordinate TB submissions and has demonstrated improvements in the coordination and processing of TB submissions. Information on business cases is partial, and the level of detail required is somewhat lacking. The RCMP is encouraged to improve the quality of the contents of its TB submissions and the planning of them, as well as to provide and articulate options analyses systematically and provide a rationale for the favoured option or for resourcing requirements in order to ensure that submissions require less protracted exchanges with TBS and, thus, leading to TB making decisions that require conditions less frequently.

Quality and Use of Evaluation – As noted previously in MAF V, the RCMP continues to build its capacity to support its evaluation commitments and requirements. The current evaluation function resources are not commensurate with the organization’s evaluation plan (gap of approximately 13 FTEs). The governance for the evaluation function is adequate. The RCMP implements a systematic evaluation of the program base along with a consistent focus on value for money, generating a body of evaluation evidence that is valued by the senior management and is acknowledged to be objective and reliable.
The RCMP has successfully participated in the pilot phase of implementation for the Investment Planning Policy – Assets and Acquired Services and in the Government of Canada policy suite, and should be congratulated on that work.

Notwithstanding the above, there are areas where the RCMP should aim to make further progress in the coming year:

Contributions to government-wide priorities and portfolio coordination – TBS encourages RCMP to continue its efforts to reduce rules, reporting and administrative processes in support of the Web of Rules effort. The RCMP has demonstrated a limited capacity to report performance expectations in the RPP clearly and to track and report on performance expectations in the DPR on an MRRS basis. The organization’s commitments to priority interdepartmental initiatives are not clear.

Security and Business Continuity – The RCMP has a comprehensive security program that is managed in an integrated manner and is aligned with the organization’s strategic objectives and priorities. The RCMP continues to provide leadership and to contribute to the government-wide security program, and demonstrates a strong commitment to continuously improving its security program and proactively managing security risks. However since MAF V, there has been significant slippage in all areas of the BCP Program and pandemic planning. Currently, significant deficiencies remain related to the establishment of business continuity plans and arrangements. Continued attention and sustained efforts will be required in order to achieve full compliance for the BCP Program. The RCMP should also maintain on-going efforts to achieve and sustain MITS compliance.

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

Effectiveness of Internal Audit Function – Vacancies at the executive levels of the Internal Audit function have impacted the level of progress made in implementing the 2006 Policy on Internal Audit. As noted previously in MAF V, an approved Internal Audit Implementation Plan and approved Departmental Audit Committee Charter are required. Additionally, the Risk-Based Audit Plan could be improved by including more detailed information on follow-up and carry-over engagements. Assurance audit reports require consistent detailed descriptions of evidence to support findings. The Internal Quality Assurance and Improvement Program should be re-implemented, and the CAE should prepare an Annual Report on the performance of the audit function. It is recommended that priority attention should be given to implementing Internal Audit Governance.

Effectiveness of Financial Management and Control – Systems for monitoring compliance with financial legislative authorities and policies are acceptable. There is progress in the RCMP taking corrective action when necessary. Internal and external financial reporting practices are acceptable. There is an acceptable financial management capacity to provide management with support by providing options, analysis, and advice on resource utilization. For the purposes of government-wide reporting, the quality, timeliness and accuracy of the trial balance and Public Accounts plates submitted are acceptable. However, these have slipped from a strong rating to an acceptable one.

Effectiveness of Information Management – Although the RCMP was developing a strategy for information management (IM), its implementation is incomplete and roles and responsibilities for records management are unclear. As noted previously in MAF IV and V, the RCMP is encouraged to complete its IM strategy and ensure integration in order to more fully support the business strategy. It is also encouraged to increase its participation in Government of Canada IM activities in order to leverage and share IM best practices, and integrate IM requirements into planning, approval, management, operational, and evaluation activities.
The RCMP should ensure that it is meeting its obligations under the Privacy Act by developing descriptions of all personal information holdings under its control. In addition, the RCMP can improve its administration of Access to Information Act by comprehensively describing the institution, with particular attention on ensuring an adequate description of all the records created, collected and maintained as evidence of the RCMP’s mandated programs and activities.

1. Values-based Leadership and Organizational Culture

Acceptable

Highlights	Opportunities
1.1 Leadership: Acceptable Executive leadership regularly communicates and encourages ongoing dialogue on public service values and ethics among employees. 1.2 Infrastructure: Acceptable Regarding Values and Ethics Risk Assessment and Mitigation, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating. Organization has a plan that includes a strategy championed by senior management with medium-term activities to raise awareness of the importance of public service values and ethics. 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: Acceptable Organization has a good understanding of the current state of public service values and ethics as evidenced by qualitative or quantitative information.
Recommendations

Highlights

Opportunities

1.1 Leadership: Acceptable

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

1.2 Infrastructure: Acceptable

Regarding Values and Ethics Risk Assessment and Mitigation, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.
Organization has a plan that includes a strategy championed by senior management with medium-term activities to raise awareness of the importance of public service values and ethics.
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: Acceptable

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

Recommendations

2. Utility of the Corporate Performance Framework

Opportunity for Improvement

Highlights	Opportunities
2.1 PAA Consistency: Opportunity for Improvement The Strategic Outcome(s) does/do not represent (an) outcome statement(s) that is/are understood within and outside the department as a benefit to Canadians. 2.2 Measurability: Opportunity for Improvement A Program Activity Architecture has been developed with major issues to be resolved. A partial inventory of programs has been developed but many listed programs do not meet the definition of a program. 2.3 Quality: The organization has developed a weak performance measurement framework.	The organization has not made modifications to its PAA over the past year to address to any issues previously identified. Minimal progress towards a complete PMF has been made since an initial, incomplete draft was submitted. The organization should make changes to the PAA to remove activities and ensure a full inventory of programs is represented within a logical structure. Revised programs within this structure should be clearly and uniquely titled and identify the rationale for the program and how it works within the description. The organization should complete its PMF to bring it in line with the MRRS Instructions for a robust performance measurement document. The organization should begin to collect data for the indicators, use it in decision making and incorporate the associated learning back into the PMF.
Recommendations
RCMP is encouraged to work with TBS to resolve the outstanding Program Activity Architecture issues as part of the 2010-11 MRRS update process.

Highlights

Opportunities

2.1 PAA Consistency: Opportunity for Improvement

The Strategic Outcome(s) does/do not represent (an) outcome statement(s) that is/are understood within and outside the department as a benefit to Canadians.

2.2 Measurability: Opportunity for Improvement

A Program Activity Architecture has been developed with major issues to be resolved.
A partial inventory of programs has been developed but many listed programs do not meet the definition of a program.

2.3 Quality:

The organization has developed a weak performance measurement framework.

The organization has not made modifications to its PAA over the past year to address to any issues previously identified. Minimal progress towards a complete PMF has been made since an initial, incomplete draft was submitted.
The organization should make changes to the PAA to remove activities and ensure a full inventory of programs is represented within a logical structure. Revised programs within this structure should be clearly and uniquely titled and identify the rationale for the program and how it works within the description.
The organization should complete its PMF to bring it in line with the MRRS Instructions for a robust performance measurement document. The organization should begin to collect data for the indicators, use it in decision making and incorporate the associated learning back into the PMF.

Recommendations

RCMP is encouraged to work with TBS to resolve the outstanding Program Activity Architecture issues as part of the 2010-11 MRRS update process.

3. Effectiveness of the Corporate Management Structure

Acceptable

Highlights	Opportunities
3.1 Business Plan: Acceptable Corporate business plan generally aligns resources and accountabilities to priorities. Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans. While progress is being made, the corporate business plan does not adequately align resources and accountabilities to priorities. 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. Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly. Terms of reference are generally current and complete. While the RCMP does have an approved PAA, which is under review in consultation with internal contributors and TBS representatives to improve MRRS compliance, an interim PAA was used for the RCMP Strategic Review.	The RCMP is encouraged to make progress on a fully integrated approach to business planning, at all levels within the RCMP. The RCMP is encouraged to continue activities with a view to being in a position to demonstrate the organization's Corporate Governance Structure’s alignment to the organization’s PAA.
Recommendations

Highlights

Opportunities

3.1 Business Plan: Acceptable

Corporate business plan generally aligns resources and accountabilities to priorities.
Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans.
While progress is being made, the corporate business plan does not adequately align resources and accountabilities to priorities.

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.
Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.
Terms of reference are generally current and complete.

While the RCMP does have an approved PAA, which is under review in consultation with internal contributors and TBS representatives to improve MRRS compliance, an interim PAA was used for the RCMP Strategic Review.

The RCMP is encouraged to make progress on a fully integrated approach to business planning, at all levels within the RCMP.

The RCMP is encouraged to continue activities with a view to being in a position to demonstrate the organization's Corporate Governance Structure’s alignment to the organization’s PAA.

Recommendations

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.2 Participation in Priority Initiatives: Acceptable The organization contributes effectively to priority interdepartmental initiatives. The organization contributes effectively to Public Service Renewal. RCMP has been assessed for its participation in the following initiatives: Web of Rules - Acceptable; Public Service Renewal - Acceptable; and Afghanistan - Acceptable.	TBS encourages RCMP to continue its efforts to reduce rules, reporting and administrative processes in support of the Web of Rules effort. TBS encourages RCMP to set clear and measurable outcomes for each of the activities and tasks that have been assigned to it relative to its participation in the Canadian-led Provincial Reconstruction Team in Afghanistan
Recommendations

Highlights

Opportunities

4.2 Participation in Priority Initiatives: Acceptable

The organization contributes effectively to priority interdepartmental initiatives.
The organization contributes effectively to Public Service Renewal.

RCMP has been assessed for its participation in the following initiatives: Web of Rules - Acceptable; Public Service Renewal - Acceptable; and Afghanistan - Acceptable.

TBS encourages RCMP to continue its efforts to reduce rules, reporting and administrative processes in support of the Web of Rules effort.
TBS encourages RCMP to set clear and measurable outcomes for each of the activities and tasks that have been assigned to it relative to its participation in the Canadian-led Provincial Reconstruction Team in Afghanistan

Recommendations

5. Quality of Analysis in TB Submissions

Acceptable

Highlights	Opportunities
5.1 Supporting Information: Acceptable Explanation for the level of resources requested is partially sufficient. Information on business cases is partial, and the level of detail required is somewhat lacking. 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. 5.2 Analysis: Opportunity for Improvement Generally, the correct policy authorities are used. 5.3 Consultations: Acceptable Consultations are sometimes late (less than six weeks before TB meetings). 5.4 Quality control: Acceptable Description of resource requirements is moderately clear.
Recommendations

Highlights

Opportunities

5.1 Supporting Information: Acceptable

Explanation for the level of resources requested is partially sufficient.
Information on business cases is partial, and the level of detail required is somewhat lacking.
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.

5.2 Analysis: Opportunity for Improvement

Generally, the correct policy authorities are used.

5.3 Consultations: Acceptable

Consultations are sometimes late (less than six weeks before TB meetings).

5.4 Quality control: Acceptable

Description of resource requirements is moderately clear.

Recommendations

6. Quality and Use of Evaluation

Acceptable

Highlights	Opportunities
6.1 Quality: Acceptable All evaluations submitted to TBS use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders. Non-stakeholder perspective is also included. Evaluations submitted to TBS sometimes include a management response and an action plan. Action plans are usually limited in scope. Evaluations submitted to TBS usually present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report. The majority of evaluations submitted to TBS consistently address questions of program relevance, success and effectiveness. The majority of evaluations submitted to TBS consistently employ appropriate methodologies to gather data and inform the analysis. The majority of evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used. 6.2 Neutrality: Opportunity for Improvement Evaluation function resourcing is not commensurate with the organizational evaluation plan. Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year. The majority of resources dedicated to evaluations are directed by the Head of Evaluation. 6.3 Coverage: Opportunity for Improvement The organization has committed to moving towards full evaluation coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. However, relatively low number of evaluations of G&Cs are completed each year and they cover less than 10%. 6.4 Usage: Acceptable Active, 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 occasionally requests extension from TBS. Most RMAFs are implemented (i.e. between 60-89%). Program managers are required to commit to implementation timelines. Some evaluations submitted to TBS incorporate data from a performance measurement system to support the evaluation. Submitted evaluations usually cite data availability and/or quality as constraints. The results of evaluations are sometimes brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPRs and Strategic Reviews.	In many cases, the foundations for improving the overall quality of the evaluation function are being put into place, including: Plans for continued increases in resources available for the evaluation function. Plans to formally follow-up on management action plans.
Recommendations

Highlights

Opportunities

6.1 Quality: Acceptable

All evaluations submitted to TBS use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders. Non-stakeholder perspective is also included.
Evaluations submitted to TBS sometimes include a management response and an action plan. Action plans are usually limited in scope.
Evaluations submitted to TBS usually present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report.
The majority of evaluations submitted to TBS consistently address questions of program relevance, success and effectiveness.
The majority of evaluations submitted to TBS consistently employ appropriate methodologies to gather data and inform the analysis.
The majority of evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used.

6.2 Neutrality: Opportunity for Improvement

Evaluation function resourcing is not commensurate with the organizational evaluation plan.
Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year.
The majority of resources dedicated to evaluations are directed by the Head of Evaluation.

6.3 Coverage: Opportunity for Improvement

The organization has committed to moving towards full evaluation coverage of all ongoing programs of grants and contributions over a five year cycle as per 42.1 of the FAA. However, relatively low number of evaluations of G&Cs are completed each year and they cover less than 10%.

6.4 Usage: Acceptable

Active, 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 occasionally requests extension from TBS.
Most RMAFs are implemented (i.e. between 60-89%). Program managers are required to commit to implementation timelines.
Some evaluations submitted to TBS incorporate data from a performance measurement system to support the evaluation. Submitted evaluations usually cite data availability and/or quality as constraints.
The results of evaluations are sometimes brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPRs and Strategic Reviews.

In many cases, the foundations for improving the overall quality of the evaluation function are being put into place, including:

Plans for continued increases in resources available for the evaluation function.
Plans to formally follow-up on management action plans.

Recommendations

7. Quality Reporting to Parliament

Opportunity for Improvement

Highlights	Opportunities
7.1 MRRS Basis: Opportunity for Improvement Some linkages between resources and results are made in the reports. 7.2 Credible information: Opportunity for Improvement DPR is not sufficiently based on the PAA, i.e. performance is not reported consistently by Program Activity (PA) or at the PA level. 7.3 Context: Opportunity for Improvement DPR is not balanced – a few negative aspects of performance may be reported but insufficient explanation is provided. There is insufficient discussion of lessons learned.	The DPR could demonstrate closer alignment to the Management, Resources and Results Structure (MRRS); the performance story could be further strengthened by discussing plans and performance by Program Activity, especially in section II. Instances where expected results (or key performance goals) were not achieved could be better explained. Lessons learned could be incorporated through balanced reporting of evaluation findings.
Recommendations
Plans, expected results and results achieved should be reported by Program Activity. Both the negative and positive aspects of performance should be explained and lessons learned should be identified.

Highlights

Opportunities

7.1 MRRS Basis: Opportunity for Improvement

Some linkages between resources and results are made in the reports.

7.2 Credible information: Opportunity for Improvement

DPR is not sufficiently based on the PAA, i.e. performance is not reported consistently by Program Activity (PA) or at the PA level.

7.3 Context: Opportunity for Improvement

DPR is not balanced – a few negative aspects of performance may be reported but insufficient explanation is provided.
There is insufficient discussion of lessons learned.

The DPR could demonstrate closer alignment to the Management, Resources and Results Structure (MRRS); the performance story could be further strengthened by discussing plans and performance by Program Activity, especially in section II. Instances where expected results (or key performance goals) were not achieved could be better explained. Lessons learned could be incorporated through balanced reporting of evaluation findings.

Recommendations

Plans, expected results and results achieved should be reported by Program Activity. Both the negative and positive aspects of performance should be explained and lessons learned should be identified.

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. 8.2 Engagement: Acceptable Employees are engaged in the strategy development phase. 8.3 Assessment: Acceptable Assessment plans exist and are broad in scope and detail. Change plans and strategies are priorities across the organization.
Recommendations

Highlights

Opportunities

8.1 Change plan: Acceptable

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

8.2 Engagement: Acceptable

Employees are engaged in the strategy development phase.

8.3 Assessment: Acceptable

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

Recommendations

9. Effectiveness of Corporate Risk Management

Acceptable

Highlights	Opportunities
9.1 Engagement: Acceptable Senior management reviews the organization’s Risk Management approach within the current three-year planning cycle. The organization has a common risk assessment approach and it has been approved by senior management. Senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization and is adjusted as required. Each year, senior management reviews/approves the Corporate Risk Profile more than once. Accountability for key risks is assigned to senior management. Senior management encourages effective Risk Management and a risk-smart culture. 9.2 Implementation: Acceptable The organization’s Risk Management approach is regularly communicated to staff and stakeholders in a variety of ways. 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 made available to staff. 9.3 Integration: Acceptable Risk information is routinely consulted in senior management decision-making. This is done systematically and explicitly. Risk information and Risk Management principles somewhat influence planning and resource allocation decisions. Operational level risks are prioritized into key risks and are adjusted as required. Risk information and Risk Management principles are adequately captured in senior management reporting. The organization makes adequate course corrections based on Risk Management performance and new information. 9.4 Continuous Improvement: Opportunity for Improvement Most relevant external sources are consulted during the development of the organization’s CRP. Key risk information was adequately gathered from internal sources of the organization for preparing the CRP. Corporate risks are consistently linked to the organization’s strategic outcomes. The CRP provides an inconsistent assessment of the quality of risk information used. The organization inconsistently builds on past experience, better practice, and adjusts to fit any changes in management structures, priorities or strategic direction. The organization has implemented most recommendations provided during its last MAF assessment. The RCMP continues to show strength in a number of important areas of risk management, namely ensuring that risk assessments explicitly inform key senior management decisions, proactively communicating its risk approach to staff and stakeholders, and ensuring that operational risks are prioritize into key risks.	The RCMP should strengthen its quality assurance function for risk information and mechanisms for continuous improvement. Practices such as linking audit and evaluation plans to the CRP and giving the risk management function a mandate to exercise a challenge function on risk information and in some instances providing a statement on the quality of the risk information in the CRP should be considered.
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 and is adjusted as required.
Each year, senior management reviews/approves the Corporate Risk Profile more than once.
Accountability for key risks is assigned to senior management.
Senior management encourages effective Risk Management and a risk-smart culture.

9.2 Implementation: Acceptable

The organization’s Risk Management approach is regularly communicated to staff and stakeholders in a variety of ways.
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 made available to staff.

9.3 Integration: Acceptable

Risk information is routinely consulted in senior management decision-making. This is done systematically and explicitly.
Risk information and Risk Management principles somewhat influence planning and resource allocation decisions.
Operational level risks are prioritized into key risks and are adjusted as required.
Risk information and Risk Management principles are adequately captured in senior management reporting.
The organization makes adequate course corrections based on Risk Management performance and new information.

9.4 Continuous Improvement: Opportunity for Improvement

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

The RCMP continues to show strength in a number of important areas of risk management, namely ensuring that risk assessments explicitly inform key senior management decisions, proactively communicating its risk approach to staff and stakeholders, and ensuring that operational risks are prioritize into key risks.

The RCMP should strengthen its quality assurance function for risk information and mechanisms for continuous improvement. Practices such as linking audit and evaluation plans to the CRP and giving the risk management function a mandate to exercise a challenge function on risk information and in some instances providing a statement on the quality of the risk information in the CRP should be considered.

Recommendations

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

Opportunity for Improvement

Highlights	Opportunities
10.1 Fair: Acceptable Organization is undertaking action to improve the classification program in accordance with its level of risk. Evidence shows that labour relations matters are consistently and appropriately managed/addressed. Evidence shows that the organization exceeds standards of timeliness in payments to employees. Evidence shows that the organization is in compliance with Labour Relations and Compensation Operations direction (terms and condition of employment, collective agreements and/or applicable legislation). 10.2 Enabling: Opportunity for Improvement Organization demonstrates a generally adequate linguistic capacity to provide personal and central services and supervision in both official languages. Organization is under-representative in one or more of the four employment equity designated groups. Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups. Promotions among employment equity groups are equal or less than previous year's performance. Separations among employment equity groups are equal or greater than previous year's performance. Some deficiencies in the availability of work instruments, electronic systems and communications with employees in both official languages exist. 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 employees’ linguistic rights are supported. Take action to achieve representation in all four Employment Equity groups. Take action to ensure that employees feel recognized for their contribution.
Recommendations

Highlights

Opportunities

10.1 Fair: Acceptable

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

10.2 Enabling: Opportunity for Improvement

Organization demonstrates a generally adequate linguistic capacity to provide personal and central services and supervision in both official languages.
Organization is under-representative in one or more of the four employment equity designated groups.
Organization progress remains unchanged from the previous year in representation, recruitment, promotions and separations of the four employment equity groups.
Promotions among employment equity groups are equal or less than previous year's performance.
Separations among employment equity groups are equal or greater than previous year's performance.
Some deficiencies in the availability of work instruments, electronic systems and communications with employees in both official languages exist.

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 employees’ linguistic rights are supported.
Take action to achieve representation in all four Employment Equity groups.
Take action to ensure that employees feel recognized for their contribution.

Recommendations

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

Opportunity for Improvement

Highlights	Opportunities
11.1 Productive: Opportunity for Improvement An insufficient number of employees indicate their organization supports their career development and learning needs. 11.2 Principled: Opportunity for Improvement Adequate linguistic capacity is generally in place as shown by the majority of incumbents of bilingual positions who meet the language requirements of their position. Employees consider that they 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. Some deficiencies in communications with and services to the public in both official languages. Organization is under-represented in one or more of the four employment equity designated groups. 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: Opportunity for Improvement Evidence indicates some human resources planning integrated with business planning exists. Support by means of governance/organizational infrastructure is not always present. 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. Take action to ensure the organization has the linguistic capacity to meet its obligations. Take action to enhance organizational capacity to do integrated human resources and business planning.
Recommendations
Continue progress made in integrating human resources and business planning, which will help address other issues.

Highlights

Opportunities

11.1 Productive: Opportunity for Improvement

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

11.2 Principled: Opportunity for Improvement

Adequate linguistic capacity is generally in place as shown by the majority of incumbents of bilingual positions who meet the language requirements of their position.
Employees consider that they 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.
Some deficiencies in communications with and services to the public in both official languages.
Organization is under-represented in one or more of the four employment equity designated groups.
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: Opportunity for Improvement

Evidence indicates some human resources planning integrated with business planning exists.
Support by means of governance/organizational infrastructure is not always present.

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.
Take action to ensure the organization has the linguistic capacity to meet its obligations.
Take action to enhance organizational capacity to do integrated human resources and business planning.

Recommendations

Continue progress made in integrating human resources and business planning, which will help address other issues.

12. Effectiveness of Information Management

Opportunity for Improvement

Highlights	Opportunities
12.1 Governance: Acceptable IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. IM is somewhat represented in the corporate-wide governance or approval committee(s). Participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices. 12.2 Strategy: Acceptable The IM strategy is in development but it is not clear how it supports departmental business priorities and operations nor how it integrates 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. Organization submitted an Annual Report to Parliament but did not address all of the mandatory reporting requirements.	Complete IM strategy and ensure integration in order to more fully support the business strategy. Increase participation in GC IM activities in order to leverage and share IM best practices. More wholly integrate IM requirements into planning, approval, management, operational and evaluation activities. Address all mandatory reporting requirements in Annual Reports to Parliament. Develop and register Personal Information Banks and/or Classes of Personal Information to ensure all personal information under institution's control is appropriately described in accordance with Privacy Act. Ensure all information relevant to institution's functions, programs, activities and related information holdings is described in Info Source publications.
Recommendations
Continue to improve descriptions of the RCMP's functions, programs, activities and information holdings.

Highlights

Opportunities

12.1 Governance: Acceptable

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

12.2 Strategy: Acceptable

The IM strategy is in development but it is not clear how it supports departmental business priorities and operations nor how it integrates 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.
Organization submitted an Annual Report to Parliament but did not address all of the mandatory reporting requirements.

Complete IM strategy and ensure integration in order to more fully support the business strategy.
Increase participation in GC IM activities in order to leverage and share IM best practices.
More wholly integrate IM requirements into planning, approval, management, operational and evaluation activities.
Address all mandatory reporting requirements in Annual Reports to Parliament.
Develop and register Personal Information Banks and/or Classes of Personal Information to ensure all personal information under institution's control is appropriately described in accordance with Privacy Act.
Ensure all information relevant to institution's functions, programs, activities and related information holdings is described in Info Source publications.

Recommendations

Continue to improve descriptions of the RCMP's functions, programs, activities and information holdings.

13. Effectiveness of Information Technology Management

Acceptable

Highlights	Opportunities
13.1 Leadership: Acceptable Senior official for information technology has only a partial scope of responsibility and accountability for information technology. Organization actively participates and demonstrates leadership in setting government-wide directions for information technology. 13.2 Planning: Acceptable Acceptable information technology plan is in place that aligns with the government-wide directions for information technology and departmental business needs. Organization has aligned corporate and information technology governance structures and has an integrated planning process. 13.3 Value: Opportunity for Improvement 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.	Review and expand the span of control of the senior official for IT in order to reduce complexity and duplication, enable the adoption of common and shared services, promote alignment and interoperability and optimize service delivery within the organization. Continue to strengthen integrated set of processes and practices for governance, planning and benefits realization in order to monitor and oversee the delivery of business value from IT investments. Continue to strengthen qualitative and quantitative set of Key Performance Indicators and techniques to assess performance that provide metrics to guide better decision making, increase performance levels and enable continuous improvement.
Recommendations

Highlights

Opportunities

13.1 Leadership: Acceptable

Senior official for information technology has only a partial scope of responsibility and accountability for information technology.
Organization actively participates and demonstrates leadership in setting government-wide directions for information technology.

13.2 Planning: Acceptable

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

13.3 Value: Opportunity for Improvement

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.

Review and expand the span of control of the senior official for IT in order to reduce complexity and duplication, enable the adoption of common and shared services, promote alignment and interoperability and optimize service delivery within the organization.
Continue to strengthen integrated set of processes and practices for governance, planning and benefits realization in order to monitor and oversee the delivery of business value from IT investments.
Continue to strengthen 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 An evergreen and fully integrated long-term investment plan has been approved by the proper authority and is in use operationally. The investment planning process identifies program needs across the organization and considers all investments in assets and acquired services. The investment planning process includes continuous improvement mechanisms based on performance information for investment planning. Best practices and lessons learned are shared internally and government-wide. 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. Certification of information in the DFRP is received and accepted. Certification of information in the FCSI is received and accepted. Reliable and integrated information systems are in place. Experience and best practices are shared internally and government-wide. 14.3 Materiel Management: Strong All elements of a materiel management framework are evident. Comprehensive internal policies are documented and disseminated. Experience and best practices are shared internally and government-wide. Reliable and sufficiently integrated information systems are in place. A culture of continuous improvement is evident.	Develop performance indicators to assess functionality, more specifically the relationship between real property assets and program needs.
Recommendations

Highlights

Opportunities

14.1 Investment Planning: Strong

An evergreen and fully integrated long-term investment plan has been approved by the proper authority and is in use operationally.
The investment planning process identifies program needs across the organization and considers all investments in assets and acquired services.
The investment planning process includes continuous improvement mechanisms based on performance information for investment planning.
Best practices and lessons learned are shared internally and government-wide.

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.
Certification of information in the DFRP is received and accepted.
Certification of information in the FCSI is received and accepted.
Reliable and integrated information systems are in place.
Experience and best practices are shared internally and government-wide.

14.3 Materiel Management: Strong

All elements of a materiel management framework are evident.
Comprehensive internal policies are documented and disseminated.
Experience and best practices are shared internally and government-wide.
Reliable and sufficiently integrated information systems are in place.
A culture of continuous improvement is evident.

Develop performance indicators to assess functionality, more specifically the relationship between real property assets and program needs.

Recommendations

15. Effective Project Management

Strong

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 evidence of formal and effective organization-wide governance and oversight mechanisms. There is no evidence that the organization has exceeded Treasury Board approval limits. 15.2 Effective Management of Project Resources: Acceptable Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes. Funding models, which generate effective cost estimates at the work package level and consider historical data and industry benchmarks, are complete and project funds are fully committed. The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training. There is evidence that most project managers prepare a staffing plan to secure authorization for necessary resources prior to project execution. 15.3 Effective Management of Project Results: Strong All projects are subject to ongoing monitoring and reporting activities. There is evidence that this information is consistently used to support corrective action and decisions are documented. The organization consistently documents the achievement of project milestones, deliverables and outcomes for all projects and this information is regularly communicated organization-wide. The organization has formal, organization-wide procedures and processes that systematically provide project managers and project oversight mechanisms with all relevant project monitoring and performance information and this information is demonstrably used to support project decisions. There is a clear link between the review process and project management governance and oversight mechanisms.
Recommendations

Highlights

Opportunities

15.1 Governance and Oversight: Strong

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 evidence of formal and effective organization-wide governance and oversight mechanisms.
There is no evidence that the organization has exceeded Treasury Board approval limits.

15.2 Effective Management of Project Resources: Acceptable

Adequate processes/procedures exist to ensure that planned projects have the required resources to achieve expected outcomes.
Funding models, which generate effective cost estimates at the work package level and consider historical data and industry benchmarks, are complete and project funds are fully committed.
The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training.
There is evidence that most project managers prepare a staffing plan to secure authorization for necessary resources prior to project execution.

15.3 Effective Management of Project Results: Strong

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

Recommendations

16. Effective Procurement

Acceptable

Highlights	Opportunities
16.1 Governance and Oversight: Acceptable Clear links have been established between procurement activities and the organization-wide program plans, priorities and long-term investments. 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: Acceptable Consistent procurement training and certification programs exist. Continuous links to human resources planning are in place (e.g., succession planning and recruitment strategies for procurement staff). Efficient and integrated procurement information systems and processes are in place. Efficient, effective and integrated procurement information systems and processes are evident. Informed decision making and oversight exist. Mandatory training underway. Procurement processes that contribute to cost savings and value for money are in use. Qualified procurement human resources exist. Results and reviews are used to continuously adjust current procurement management activities and future procurement plans. Some staff enrolled in the Professional Development and Certification program. Timely and accurate procurement financial and non-financial reports have been submitted.	The RCMP contracting will experience increasing pressure to fulfill requirements for the Vancouver 2010 Olympics. The department could consider seconding, deploying and contracting for procurement specialists from other departments to assist it to meet these challenges.
Recommendations
The department should undertake an internal audit of its non-Olympic contracting within the next 12 months and continue to implement its action plan in response to the report of the Auditor General and the Public Accounts Committee.

Highlights

Opportunities

16.1 Governance and Oversight: Acceptable

Clear links have been established between procurement activities and the organization-wide program plans, priorities and long-term investments.
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: Acceptable

Consistent procurement training and certification programs exist.
Continuous links to human resources planning are in place (e.g., succession planning and recruitment strategies for procurement staff).
Efficient and integrated procurement information systems and processes are in place.
Efficient, effective and integrated procurement information systems and processes are evident.
Informed decision making and oversight exist.
Mandatory training underway.
Procurement processes that contribute to cost savings and value for money are in use.
Qualified procurement human resources exist.
Results and reviews are used to continuously adjust current procurement management activities and future procurement plans.
Some staff enrolled in the Professional Development and Certification program.
Timely and accurate procurement financial and non-financial reports have been submitted.

The RCMP contracting will experience increasing pressure to fulfill requirements for the Vancouver 2010 Olympics. The department could consider seconding, deploying and contracting for procurement specialists from other departments to assist it to meet these challenges.

Recommendations

The department should undertake an internal audit of its non-Olympic contracting within the next 12 months and continue to implement its action plan in response to the report of the Auditor General and the Public Accounts Committee.

17. Effectiveness of Financial Management and Control

Opportunity for Improvement

Highlights

Opportunities

17.1 Authorities and Policies: Acceptable

Audit report results show evidence of deficiencies that are of serious concerns.
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 good 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 transactions and to assess the adequacy of Section 34 account verification show evidence of good financial management practices.
Insufficient response to management letter recommendations.
The reporting of external user fee information shows some omissions in relation to reporting guidelines.

17.2 Public Accounts Reporting: Acceptable

Eighty to 89% (grade B) of Public Accounts reporting plates submitted on time.
Minimal Central Financial Management Reporting System (CFMRS) coding errors.

17.3 Management Capacity: Acceptable

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

17.4 Financial Statements: Acceptable

Minor areas of non-compliance with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and/or some non-compliance with reporting deadlines related to the submission of annual departmental financial statements.
Several known financial internal control weaknesses remain unremedied.
The organization lacks a detailed action plan to address concerns identified in the financial audit readiness assessment.

17.5 Internal Reporting: Acceptable

The internal financial reporting package is accompanied by a comprehensive discussion and analysis.
The internal financial reporting package is presented to senior management less than one month after period end.
The internal financial reporting package is presented to senior management six to seven 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.

The department saw a decrease in its overall rating by scoring low overall on the Acceptable scale. Had they submitted any new initiatives, they would have achieved an Acceptable rating.

By submitting new initiatives in financial management worthy of consideration, the department would have obtained an overall score of Acceptable.

Recommendations

18. Effectiveness of Internal Audit Function

Opportunity for Improvement

Highlights

Opportunities

18.1 Internal Audit governance: Attention Required

There is an approved Internal Audit Charter in line with the 2006 Policy on Internal Audit.
The Implementation Plan for the required policy elements does not exist.
There is limited ongoing monitoring in implementing key elements and progress is not on track with planned timelines.
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 evident and applied.
There is evidence of preparation to provide for holistic assurance.
There is limited identification of post-engagement follow-up activities.
There is limited information of the planned use of all audit function resources.
Majority of planned work is on audit assurance versus other types of activities.
Continuity of previous years work is identified with status or rationale.
Approved assurance products are not consistent with policy and internal audit standards requirements, containing one key methodological deficiency.
Moderate completion rate of assurance products (number of assurance audit reports) against 2007-2008 Risk-Based Audit Plan.
An Internal Quality Assurance and Improvement Program has been drafted.
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 all 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.

18.3 Administration of the Internal Audit Function: Opportunity for Improvement

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 does not meet the basic requirement of 4% of FTE salaries.
Planned spending, * was given to the Office of the Comptroller General. When comparing current spending of 2008-2009 with planned financial resources of 2007-2008, resource levels identified exceeds the resource level identified in 2007.
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: Opportunity for Improvement

Regular periodic reporting on the follow-up of Management Action Plans is evident.

Vacancies at the executive levels of the Internal Audit function have impacted the level of progress made in implementing the 2006 Policy on Internal Audit.

As noted previously, in MAF Round V, an approved Internal Audit Implementation Plan and approved Departmental Audit Committee Charter are required.

Additionally, the Risk-Based Audit Plan could be improved by including more detailed information on follow-up and carry-over engagements. Assurance audit reports require consistent detailed descriptions of evidence to support findings. The Internal Quality Assurance and Improvement Program should be re-implemented, and the CAE should prepare an Annual Report on the performance of the audit function.

Recommendations

Priority attention should be given to implementing Internal Audit Governance.

19. Effective Management of Security and Business Continuity

Opportunity for Improvement

Highlights

Opportunities

19.1 Departmental Security Program: Strong

Organization's security program is fully developed and sustainable, and comprises all key policy elements.
Organization demonstrates leadership and contributes to the government-wide security program.
Organization's security strategy is completely aligned and integrated with its corporate priorities and business plan.

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

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

19.3 Business Continuity Planning (BCP): Opportunity for Improvement

Organization has partially developed measures to provide for the continuity of critical business operations and services.
Several deficiencies in meeting key BCP program requirements.
Business Continuity Planning (BCP) program governance has not been fully established.
Business Impact Analysis (BIA) has been completed to identify and prioritize the organization's critical services and assets.
Significant deficiencies in establishing business continuity plans and arrangements.
Maintenance cycle has been partially put in place to review, test and audit business continuity plans.

Pursue ongoing initiatives to continue improving the departmental security program, including evolution of the security organization, governance and policy framework, and activities related to compliance monitoring and risk management.
Maintain ongoing efforts to achieve and sustain MITS compliance, including addressing deficiencies related to incident management and continuity planning.
Continue activities currently underway related to business continuity planning, including completing the establishment of program governance and advancing the development of plans and arrangements.
Continue to participate in government-wide security initiatives and to share best practices with other federal institutions to assist them in establishing and improving their security.

Recommendations

Deficiencies regarding the BCP Program and MITS should be addressed on a priority basis.

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 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 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 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 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: Opportunity for Improvement

Analysis of the Annual Review on OL shows some shortcomings.
Audits reveal numerous shortcomings in active offer and service delivery in both OL.
In general, the institution has adequate resources to serve the public in both OL.
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.

TBS encourages the RCMP to:

Establish and communicate service standards for its key services and measure performance relative to those standards.
Use performance information, specifically performance relative to service standards, to identify service improvement priorities and goals.
Put in place client feedback mechanisms so that clients have the opportunity to submit comments, complaints, compliments and suggestions.
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