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Management Accountability Framework

ARCHIVED - MAF Assessment: Canadian Radio-television and Telecommunications Commission - 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 Secretariat for the Canadian Radio-television and Telecommunications Commission (CRTC) are mixed. In total, the CRTC received three “strong” ratings, eight “acceptable” ratings, six “opportunity for improvement” ratings, and three “attention required” ratings for the 20 indicators against which it was assessed. As a small organization, the CRTC participates in MAF assessments every three years; MAF methodology has changed since the CRTC was last assessed, making comparisons to previous assessments difficult. Nonetheless, using broad comparisons, the commission has made improvements in some areas, but it continues to face management challenges in several others. It should be noted that the Treasury Board Secretariat's MAF observations were constrained since the CRTC did not submit sufficient documentation for several assessment categories.

The CRTC is a small organization that works on high-profile public issues. Recently, the CRTC underwent noteworthy change as a result of implementing "Future Directions," an organizational change management plan that pursues four transformative areas: new structures to address convergence, focused and streamlined rules and regulations, effective outreach, and human resources. Additionally, to act on direction from the Government to accelerate deregulation, the CRTC brought forward improved service standards for its hearing processes. These enhancements allow better decision delivery and will result in greater certainty for industry partners. Additionally, the Commission launched the National Do Not Call List in September 2008, constituting new program delivery for the CRTC. Canadians value this new initiative, and the CRTC continues to focus efforts to ensure its success.

The Commission should be recognized for its successes in a number of areas, including:

Managing Organizational Change - The CRTC developed a robust organizational change plan, regularly communicated the plan with both management and employees using a variety of tools, and had clear assessment plans to guide its ongoing change process.
Effect to which the Workforce is Productive, Principled, Sustainable and Adaptable - The Commission supported employees’ career development and learning needs and had adequate linguistic capacity in both official languages. Human resource planning was integrated with business planning and the governance and organizational infrastructure existed to support it.
Effectiveness of Financial Management and Control - The procedures, tools, training and support at the CRTC allowed for good financial management practices, which led to success in contributing to government-wide financial reporting.

There are areas, however, where the Commission should aim to make further progress:

Values-based Leadership and Organizational Culture - Executive leadership at the CRTC regularly communicated and encouraged ongoing dialogue on public service values and ethics among employees, however, follow-up action by management to mitigate risks with regard to values and ethics was sporadic. The CRTC had limited dialogue on public service values and ethics.
Effectiveness of the Corporate Management Structure - The CRTC’s three-year plan adequately addressed the organization’s priorities & related action plans, but it was not fully evident how the organization's corporate governance structure was aligned to its PAA. Increasing the transparency of reallocation decisions would help demonstrate whether management decisions and interventions are consistently proactive.
Effectiveness of Information Management - It is not clear how the CRTC’s developing IM strategy supports departmental business priorities and operations, nor how it integrates with other corporate strategies, plans, and planning cycles.
Effectiveness of Asset Management - Investment planning processes at the Commission were inadequate and there was no evidence of a material management framework.
Effective Project Management - The CRTC required that project milestones, deliverables and outcomes were documented for major projects, and there were consistent links between approved projects and the strategic plans and priorities of the organization. The CRTC's project governance and oversight mechanisms were limited.
Effectiveness of Internal Audit Function - There was a commitment from the Commission’s Senior Management to integrate an internal audit function into the CRTC but there is no confirmation of funds needed for key activities to take place.

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

Quality of Performance Reporting - The CRTC should improve its performance reports by clearly identifying performance expectations and indicators and comparing them against actual performance in the Departmental Performance Report. Reporting at the Program Activity level would make the Commission’s reporting more effective.
Effectiveness of Corporate Risk Management - The CRTC should document its risk management approach, demonstrating how its existing risk management practices are tailored to its organizational needs. This should include an articulation of the organization's process for risk identification and assessment, and the development, implementation, monitoring and reporting of risk mitigation strategies.
Effectiveness of Information Technology Management - The Commission should develop an IT plan that is aligned to their strategic directions to reduce IT complexity, promote alignment, and optimize service delivery.

TBS will assist the CRTC in moving forward on these priorities in a constructive and sustainable manner.

1. Values-based Leadership and Organizational Culture

Opportunity for Improvement

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: Opportunity for Improvement Follow-up action by management to mitigate risks with regard to values and ethics is sporadic. The plan provides for minimal leadership participation and involvement. 1.3 Culture: Opportunity for Improvement Organization communicates public service values and ethics, but there is limited dialogue and understanding. Organization has a good understanding of the current state of public service values and ethics as evidenced by qualitative or quantitative information.	Within the context of its priorities and resources, the organization is encouraged to address the following opportunities: Develop a Values and Ethics 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. Assess and document V and E risks; follow up with mitigation plans and action by management. Assess the current state of values and ethics using validated qualitative or quantitative information.
Recommendations
Develop a values and ethics strategy that includes risk mitigation strategies.

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: Opportunity for Improvement

Follow-up action by management to mitigate risks with regard to values and ethics is sporadic.
The plan provides for minimal leadership participation and involvement.

1.3 Culture: Opportunity for Improvement

Organization communicates public service values and ethics, but there is limited dialogue and understanding.
Organization has a good understanding of the current state of public service values and ethics as evidenced by qualitative or quantitative information.

Within the context of its priorities and resources, the organization is encouraged to address the following opportunities:

Develop a Values and Ethics 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.
Assess and document V and E risks; follow up with mitigation plans and action by management.
Assess the current state of values and ethics using validated qualitative or quantitative information.

Recommendations

Develop a values and ethics strategy that includes risk mitigation strategies.

2. Utility of the Corporate Performance Framework

Acceptable

Highlights	Opportunities
2.1 PAA Consistency: Acceptable The Strategic Outcome(s) is/are measurable and represents an end-state. The Strategic Outcome(s) reflects the departmental area of influence and is/are adequately aligned with the organization’s mandate. 2.2 Measurability: Acceptable All elements of the Program Activity Architecture are in alignment with the Strategic Outcome(s). An adequate Program Activity Architecture has been developed with some issues to be resolved. 2.3 Quality: An incomplete or inadequate performance measurement framework has been developed.	The organization should review its inventory of programs along with the Management, Resources and Results Structure Instructions to determine whether its two identified programs are, in fact, separate entities or if they should be rolled up into one distinct program activity. The organization should continue to refine its Performance Measurement Framework to bring it in line with the standards set out in the Management, Resources and Results Structure Instructions. The organization should also ensure that actual data for the indicators in its Performance Measurement Framework are being collected and analyzed to gain insights into program performance and to validate the indicators.
Recommendations

Highlights

Opportunities

2.1 PAA Consistency: Acceptable

The Strategic Outcome(s) is/are measurable and represents an end-state.
The Strategic Outcome(s) reflects the departmental area of influence and is/are adequately aligned with the organization’s mandate.

2.2 Measurability: Acceptable

All elements of the Program Activity Architecture are in alignment with the Strategic Outcome(s).
An adequate Program Activity Architecture has been developed with some issues to be resolved.

2.3 Quality:

An incomplete or inadequate performance measurement framework has been developed.

The organization should review its inventory of programs along with the Management, Resources and Results Structure Instructions to determine whether its two identified programs are, in fact, separate entities or if they should be rolled up into one distinct program activity.
The organization should continue to refine its Performance Measurement Framework to bring it in line with the standards set out in the Management, Resources and Results Structure Instructions. The organization should also ensure that actual data for the indicators in its Performance Measurement Framework are being collected and analyzed to gain insights into program performance and to validate the indicators.

Recommendations

3. Effectiveness of the Corporate Management Structure

Opportunity for Improvement

Highlights	Opportunities
3.1: The CRTC’s three-year plan adequately addressed the organization’s priorities and related action plans. 3.2: Based on the information provided, it was not fully evident how the organization's corporate governance structure was aligned to its PAA.	The integration of areas such as IM/IT, communications, financial plans and risk management could be improved. Transparency of reallocation decisions would help determine if management decisions and interventions are consistently proactive or timely.
Recommendations
Incorporate the areas mentioned above into the next version of the three-year plan. Provision of documents (minutes/ROD) would help demonstrate the transparency and timeliness of management decisions.

Highlights

Opportunities

3.1: The CRTC’s three-year plan adequately addressed the organization’s priorities and related action plans.

3.2: Based on the information provided, it was not fully evident how the organization's corporate governance structure was aligned to its PAA.

The integration of areas such as IM/IT, communications, financial plans and risk management could be improved.

Transparency of reallocation decisions would help determine if management decisions and interventions are consistently proactive or timely.

Recommendations

Incorporate the areas mentioned above into the next version of the three-year plan.

Provision of documents (minutes/ROD) would help demonstrate the transparency and timeliness of management decisions.

4. Effectiveness of Extra-organizational Contribution

Acceptable

Highlights	Opportunities
4.2 Participation in Priority Initiatives: Acceptable The organization contributes effectively to Public Service Renewal. TBS has assessed the Canadian Radio-television and Telecommunications Commission with regard to its participation in the Public Service Renewal (Acceptable) Initiative.	TBS encourages CRTC to further describe resources allocated to the Public Service Renewal Initiative. TBS encourages CRTC to regularly engage employees with regards to renewal, and act upon feedback provided.
Recommendations

Highlights

Opportunities

4.2 Participation in Priority Initiatives: Acceptable

The organization contributes effectively to Public Service Renewal.

TBS has assessed the Canadian Radio-television and Telecommunications Commission with regard to its participation in the Public Service Renewal (Acceptable) Initiative.

TBS encourages CRTC to further describe resources allocated to the Public Service Renewal Initiative.
TBS encourages CRTC to regularly engage employees with regards to renewal, and act upon feedback provided.

Recommendations

5. Quality of Analysis in TB Submissions

Acceptable

Highlights	Opportunities
5.1 The submission was accurate & reliable. 5.2 The submission had sufficient detail and analysis. Challenges included policy authorities and resistance to TBS comments. 5.3 The CRTC met all required timelines. 5.4 TBS would benefit from an understanding of the CRTC’s internal review process.	Future TB submissions should incorporate appropriate policy authorities, linkages to the PAA and performance measurement. hey would also benefit from fair consideration and incorporation of TBS comments. Maintain strength in managing timelines and communicating with TBS.
Recommendations
Integrate areas mentioned above, such as policy authorities and PAA linkages. Future submissions should better address TBS comments.

Highlights

Opportunities

5.1 The submission was accurate & reliable.

5.2 The submission had sufficient detail and analysis. Challenges included policy authorities and resistance to TBS comments.

5.3 The CRTC met all required timelines.

5.4 TBS would benefit from an understanding of the CRTC’s internal review process.

Future TB submissions should incorporate appropriate policy authorities, linkages to the PAA and performance measurement. hey would also benefit from fair consideration and incorporation of TBS comments.

Maintain strength in managing timelines and communicating with TBS.

Recommendations

Integrate areas mentioned above, such as policy authorities and PAA linkages.

Future submissions should better address TBS comments.

6. Quality and Use of Evaluation

Highlights	Opportunities
6.1 Quality: GIVEN THE SPECIAL REQUIREMENTS AND LIMITED RESOURCES OF SMALL ORGANIZATIONS, SMALL ORGANIZATIONS WERE NOT ASSESSED FOR MAF ROUND VI IN THE AREA OF QUALITY AND USE OF EVALUATION (AOM 6). SMALL ORGANIZATIONS SHOULD CONSULT THE NEW TREASURY BOARD POLICY ON EVALUATION (2009) FOR EVALUATION REQUIREMENTS IN 2009-10 AND FUTURE YEARS.
Recommendations
CRTC is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements in 2009-2010 and future years.

Highlights

Opportunities

6.1 Quality:

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

Recommendations

CRTC is encouraged to consult the new Treasury Board Policy on Evaluation (2009) for evaluation requirements in 2009-2010 and future years.

7. Quality Reporting to Parliament

Attention Required

Highlights	Opportunities
7.1 MRRS Basis: Attention Required Some linkages between resources and results are made in the reports. Some performance is reported against plans and expected results from the RPP. 7.2 Credible information: Attention Required DPR is not sufficiently based on the PAA, i.e. performance is not reported consistently by Program Activity (PA) or at the PA level. DPR rarely provides independently verifiable evidence-based performance information. 7.3 Context: Attention Required DPR is not balanced – the positive performance reported is not well- substantiated and few negative aspects of performance are reported.	The organization could improve its performance reports in future by clearly identifying performance expectations and indicators and comparing them against actual performance in the DPR in a rigorous manner. The DPR could be more effective if reporting was happening at the PA level, was results-focused and drew links between PA and SO level performance instead of reporting on activities and outputs. Furthermore, the DPR could be improved if it integrated more evidence-based performance information (including referencing findings from audit and evaluation) and consistently provided sources for this information. Lastly, the organization could improve by producing a more balanced report that candidly acknowledges instances of negative performance and discusses ways of improving performance. The discussion of lessons learned could be enhanced.
Recommendations
The organization should ensure that reporting in the DPR is results-focused and is happening consistently at the PA level. The DPR should enhance the integration of lessons learned and discussions of negative performance.

Highlights

Opportunities

7.1 MRRS Basis: Attention Required

Some linkages between resources and results are made in the reports.
Some performance is reported against plans and expected results from the RPP.

7.2 Credible information: Attention Required

DPR is not sufficiently based on the PAA, i.e. performance is not reported consistently by Program Activity (PA) or at the PA level.
DPR rarely provides independently verifiable evidence-based performance information.

7.3 Context: Attention Required

DPR is not balanced – the positive performance reported is not well- substantiated and few negative aspects of performance are reported.

The organization could improve its performance reports in future by clearly identifying performance expectations and indicators and comparing them against actual performance in the DPR in a rigorous manner. The DPR could be more effective if reporting was happening at the PA level, was results-focused and drew links between PA and SO level performance instead of reporting on activities and outputs. Furthermore, the DPR could be improved if it integrated more evidence-based performance information (including referencing findings from audit and evaluation) and consistently provided sources for this information. Lastly, the organization could improve by producing a more balanced report that candidly acknowledges instances of negative performance and discusses ways of improving performance. The discussion of lessons learned could be enhanced.

Recommendations

The organization should ensure that reporting in the DPR is results-focused and is happening consistently at the PA level. The DPR should enhance the integration of lessons learned and discussions of negative performance.

8. Managing Organizational Change

Strong

Highlights	Opportunities
8.1 The CRTC developed a robust organizational change plan. 8.2 The CRTC regularly communicated with both management and employees using a variety of tools. 8.3 The CRTC had clear assessment plans to guide its ongoing change process. Efforts were being made to implement new learning and training strategies.	Clarify if change plans are identified in senior management’s performance agreements. Maintain strength in this area, particularly in communications and employee engagement.
Recommendations
Confirm the presence of change plans within executive performance agreements.

Highlights

Opportunities

8.1 The CRTC developed a robust organizational change plan.

8.2 The CRTC regularly communicated with both management and employees using a variety of tools.

8.3 The CRTC had clear assessment plans to guide its ongoing change process. Efforts were being made to implement new learning and training strategies.

Clarify if change plans are identified in senior management’s performance agreements.

Maintain strength in this area, particularly in communications and employee engagement.

Recommendations

Confirm the presence of change plans within executive performance agreements.

9. Effectiveness of Corporate Risk Management

Attention Required

Highlights	Opportunities
9.1 Engagement: Opportunity for Improvement It is not evident that senior management encourages Risk Management and a risk-smart culture. It is not evident that the organization has a common risk assessment approach. It is not evident whether senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization. 9.3 Integration: Opportunity for Improvement It is not evident that risk information or Risk Management principles are captured in senior management reporting. Risk information and Risk Management principles somewhat influence planning and resource allocation decisions. Risk information is inconsistently considered and consulted for senior management decision-making. 9.4 Continuous Improvement: Attention Required It is not evident that the organization has implemented any recommendations provided during its last MAF assessment.	To support its risk management initiatives, the organization should further establish and document its approach, ensuring that risk management strategies are tailored to organizational needs and add value, rather than burden, to organizational processes.
Recommendations
The organization should further establish and document its risk management approach, including steps for risk identification and assessment, and the development, implementation, monitoring and reporting of risk mitigation strategies.

Highlights

Opportunities

9.1 Engagement: Opportunity for Improvement

It is not evident that senior management encourages Risk Management and a risk-smart culture.
It is not evident that the organization has a common risk assessment approach.
It is not evident whether senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization.

9.3 Integration: Opportunity for Improvement

It is not evident that risk information or Risk Management principles are captured in senior management reporting.
Risk information and Risk Management principles somewhat influence planning and resource allocation decisions.
Risk information is inconsistently considered and consulted for senior management decision-making.

9.4 Continuous Improvement: Attention Required

It is not evident that the organization has implemented any recommendations provided during its last MAF assessment.

To support its risk management initiatives, the organization should further establish and document its approach, ensuring that risk management strategies are tailored to organizational needs and add value, rather than burden, to organizational processes.

Recommendations

The organization should further establish and document its risk management approach, including steps for risk identification and assessment, and the development, implementation, monitoring and reporting of risk mitigation strategies.

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

Acceptable

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. 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. Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages. 10.3 Healthy and safe: Acceptable Evidence shows that the organization has an inadequately managed program to protect employees' occupational health and safety. The majority of employees feel recognized for positive performance.	Take action to achieve representation in all four Employment Equity groups.
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.
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.
Work instruments, electronic systems and communications with employees are always or nearly always available in both official languages.

10.3 Healthy and safe: Acceptable

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

Take action to achieve representation in all four Employment Equity groups.

Recommendations

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

Strong

Highlights	Opportunities
11.1 Productive: Strong A significant number of employees indicate their organization supports their career development and learning needs. 11.2 Principled: Acceptable 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. 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. Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups is less than the organization's average for all employees. Promotions among employment equity groups are greater than or equal to representation. 11.3 Sustainable: Acceptable Evidence indicates human resources planning integrated with business planning is generally in place and governance/organizational infrastructure generally exists to support it. 11.4 Adaptable: Strong A significant number of employees indicate their organization encourages continuous learning, improvement and innovation.
Recommendations

Highlights

Opportunities

11.1 Productive: Strong

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

11.2 Principled: Acceptable

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.
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.
Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups is less than the organization's average for all employees.
Promotions among employment equity groups are greater than or equal to representation.

11.3 Sustainable: Acceptable

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

11.4 Adaptable: Strong

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

Recommendations

12. Effectiveness of Information Management

Opportunity for Improvement

Highlights	Opportunities
12.1 Governance: Acceptable IM requirements are integrated as a part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. IM is represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s). Responsibilities are identified for IM policy development and implementation consistent with the GC IM Strategy and policy instruments. 12.2 Strategy: Opportunity for Improvement 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. A plan to implement the strategy is in development but it lacks timelines or resource estimates. IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities. 12.3 Privacy Act: Acceptable Most of the organization’s collections of personal information are described in registered Personal Information Banks and/or Classes of Personal Information in accordance with the requirements of the Privacy Act. 12.4 Access to Information Act: Opportunity for Improvement A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information. Although the overall rating for CRTC is Opportunity for Improvement, the organization has met most of the assessed statutory requirements of the Privacy Act.	Continue with promulgation of IM accountabilities, roles, and responsibilities throughout the organization. Finalize and implement the IM strategy. Ensure IM strategy integration to more fully support the business strategy. Address all mandatory reporting requirements in Annual Reports to Parliament. Ensure that all information relevant to the institution's functions, programs, activities and related information holdings is described in the Info Source publications. Review institution-specific Classes of Records to ensure that all descriptions in Info Source are comprehensive, complete, up-to-date, and comply with Treasury Board Secretariat requirements.
Recommendations
Complete and implement the IM strategy. Continue to improve descriptions of the CRTC'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 represented in the corporate-wide governance structure and/or in the corporate-wide governance or approval committee(s).
Responsibilities are identified for IM policy development and implementation consistent with the GC IM Strategy and policy instruments.

12.2 Strategy: Opportunity for Improvement

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.
A plan to implement the strategy is in development but it lacks timelines or resource estimates.
IM awareness activities are underway in the department to help staff and executives understand their IM roles, responsibilities and accountabilities.

12.3 Privacy Act: Acceptable

Most of the organization’s collections of personal information are described in registered Personal Information Banks and/or Classes of Personal Information in accordance with the requirements of the Privacy Act.

12.4 Access to Information Act: Opportunity for Improvement

A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information.

Although the overall rating for CRTC is Opportunity for Improvement, the organization has met most of the assessed statutory requirements of the Privacy Act.

Continue with promulgation of IM accountabilities, roles, and responsibilities throughout the organization.
Finalize and implement the IM strategy.
Ensure IM strategy integration to more fully support the business strategy.
Address all mandatory reporting requirements in Annual Reports to Parliament.
Ensure that all information relevant to the institution's functions, programs, activities and related information holdings is described in the Info Source publications.
Review institution-specific Classes of Records to ensure that all descriptions in Info Source are comprehensive, complete, up-to-date, and comply with Treasury Board Secretariat requirements.

Recommendations

Complete and implement the IM strategy. Continue to improve descriptions of the CRTC's functions, programs, activities and information holdings.

13. Effectiveness of Information Technology Management

Attention Required

Highlights	Opportunities
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: Attention Required No evidence of information technology plan exists. No efforts have been made to align corporate and information technology governance structures and planning processes. 13.3 Value: Attention Required No evidence exists of analysis and planning for the appropriate use of information technology shared services. No evidence exists of service costing, asset management, performance measurement and reporting.	Contribute to setting GC wide directions for information technology through participation of the senior official for IT and their management team in designated governance, advisory and working group forums. Develop an 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. Develop a 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
Ensure IT plan is aligned to the organization’s business and GC-wide strategic directions to reduce IT complexity and duplication, promote alignment and interoperability and optimize service delivery within the organization and across the GC.

Highlights

Opportunities

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: Attention Required

No evidence of information technology plan exists.
No efforts have been made to align corporate and information technology governance structures and planning processes.

13.3 Value: Attention Required

No evidence exists of analysis and planning for the appropriate use of information technology shared services.
No evidence exists of service costing, asset management, performance measurement and reporting.

Contribute to setting GC wide directions for information technology through participation of the senior official for IT and their management team in designated governance, advisory and working group forums.
Develop an 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.
Develop a 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

Ensure IT plan is aligned to the organization’s business and GC-wide strategic directions to reduce IT complexity and duplication, promote alignment and interoperability and optimize service delivery within the organization and across the GC.

14. Effectiveness of Asset Management

Opportunity for Improvement

Highlights	Opportunities
14.1 Investment Planning: Opportunity for Improvement The organization’s investment planning documents do not cover all asset classes. 14.3 Materiel Management: Opportunity for Improvement There is no evidence of a materiel management framework. The Canadian Radio-television and Telecommunications Commission developed a basic IM/IT three-year plan that lists planned investments but does not include costing, and does not provide a ranking of prioritized investments.	Further develop investment planning processes and assess and prioritize all planned investments that are materiel and capture these planned investments in a multi-year investment plan. Document current materiel management practices, identify gaps in current practices and develop a work plan to address identified gaps.
Recommendations
Develop investment planning processes and a materiel management framework appropriate to the holdings of the organization.

Highlights

Opportunities

14.1 Investment Planning: Opportunity for Improvement

The organization’s investment planning documents do not cover all asset classes.

14.3 Materiel Management: Opportunity for Improvement

There is no evidence of a materiel management framework.

The Canadian Radio-television and Telecommunications Commission developed a basic IM/IT three-year plan that lists planned investments but does not include costing, and does not provide a ranking of prioritized investments.

Further develop investment planning processes and assess and prioritize all planned investments that are materiel and capture these planned investments in a multi-year investment plan.
Document current materiel management practices, identify gaps in current practices and develop a work plan to address identified gaps.

Recommendations

Develop investment planning processes and a materiel management framework appropriate to the holdings of the organization.

15. Effective Project Management

Opportunity for Improvement

Highlights	Opportunities
15.1 Governance and Oversight: Opportunity for Improvement Business cases are not required and there is no evidence that they are used to support project proposals. 15.2 Effective Management of Project Resources: Attention Required There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution. 15.3 Effective Management of Project Results: Opportunity for Improvement The organization requires that project milestones, deliverables and outcomes are documented for major projects. There is evidence of organization-wide procedures and processes which communicate project monitoring and performance information to project managers and project oversight mechanisms. There is evidence that the organization monitors project performance and uses this information to support corrective action. There is no requirement for business cases that define project outcomes and few projects are subject to a review. While lessons learned are used to improve project management governance and oversight in some instances, there is no formal or organization-wide mechanism which supports continuous improvement.	Although there is a clear link between approved projects and the strategic plans and priorities of the organization, there is an opportunity to enhance formal project governance and oversight mechanisms.
Recommendations
The organization is encouraged to ensure that project proposals are supported by business cases that clearly identify expected project outcomes.

Highlights

Opportunities

15.1 Governance and Oversight: Opportunity for Improvement

Business cases are not required and there is no evidence that they are used to support project proposals.

15.2 Effective Management of Project Resources: Attention Required

There is no evidence of project managers creating staffing plans and authorization for necessary resources is not secured before project execution.

15.3 Effective Management of Project Results: Opportunity for Improvement

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

Although there is a clear link between approved projects and the strategic plans and priorities of the organization, there is an opportunity to enhance formal project governance and oversight mechanisms.

Recommendations

The organization is encouraged to ensure that project proposals are supported by business cases that clearly identify expected project outcomes.

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 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). Organization prepares an annual procurement plan. 16.2 Meeting Operational Requirements: Acceptable Procurement processes that contribute to cost savings and value for money are in use. Timely and accurate procurement financial and non-financial reports have been submitted. Annual procurement plans were aligned with corporate plans and strategic priorities. Effective procurement management and controls were in place. Procurement processes that contribute to cost savings and value for money are in use. Timely and accurate procurement financial and non-financial reports have been submitted.	Develop training and development plans as soon as possible for all staff involved in procurement activities.
Recommendations

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 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).
Organization prepares an annual procurement plan.

16.2 Meeting Operational Requirements: Acceptable

Procurement processes that contribute to cost savings and value for money are in use.
Timely and accurate procurement financial and non-financial reports have been submitted.

Annual procurement plans were aligned with corporate plans and strategic priorities. Effective procurement management and controls were in place. Procurement processes that contribute to cost savings and value for money are in use. Timely and accurate procurement financial and non-financial reports have been submitted.

Develop training and development plans as soon as possible for all staff involved in procurement activities.

Recommendations

17. Effectiveness of Financial Management and Control

Acceptable

Highlights

Opportunities

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 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.
The reporting of external user fee information shows only a few omissions in relation to reporting guidelines.

17.2 Public Accounts Reporting: Strong

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

17.3 Management Capacity: Acceptable

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

17.4 Financial Statements: Acceptable

The Financial Statements are compliant with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and reporting deadlines were met.

17.5 Internal Reporting: Acceptable

The internal financial reporting package is accompanied by a weak 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 limited.

17.6 Other Initiatives: Acceptable

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

While this organization achieved an overall rating of acceptable, the quality, timeliness and accuracy of the trial balance and Public Accounts plates submitted for purposes of government-wide reporting is consistently strong.

Recommendations

18. Effectiveness of Internal Audit Function

Opportunity for Improvement

Highlights	Opportunities
There is a commitment from senior management to integrate an internal audit function into the CRTC but there is no confirmation of funds needed for key activities to take place.	The CRTC should clearly indicate what plans are established for the implementation of the 2006 Policy on Internal Audit should funding requests be denied.
Recommendations
The Commission should develop a Corporate Risk Profile and ensure a systematic review process of its control environment is implemented.

19. Effective Management of Security and Business Continuity

Acceptable

Highlights

Opportunities

19.1 Departmental Security Program: Acceptable

Organization has in place a fully developed security program that comprises key policy elements and is administered by an appointed Departmental Security Officer (DSO) who is positioned to provide strategic advice and guidance to senior management.
No significant deficiencies in meeting key policy requirements for the departmental security program.

19.2 Management of IT Security (MITS): Acceptable

Organization has achieved the three priority objectives that form the foundation for Management of Information Technology Security (MITS) and complies with most MITS requirements.
No significant deficiencies in meeting key MITS requirements.

19.3 Business Continuity Planning (BCP):

Organization has conducted a Business Impact Analysis (BIA) and has determined that it does not provide critical services to the public and private sectors.

Note: The assessment methodology for Line of Evidence 19.3 will be revised for MAF Round VII. Please refer to the assessment for details.

Develop work plan to support continuous improvement of the departmental security program, and address deficiencies and improvement opportunities identified in the MAF Round VI assessment.
Maintain ongoing efforts to sustain and improve MITS compliance, including addressing deficiencies related to ITS Resources and System Development Life Cycle, Risk Management, and Incident Management.
Plans, measures and arrangements should be put in place to support business continuity.

Recommendations

20. Citizen-focused Service

Acceptable

Highlights

Opportunities

20.1 Management Engagement – Service and CLF: Opportunity for Improvement

There are limited 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 is a committee at the institutional level, composed of senior management accountable for service, which has a documented and communicated responsibility for making decisions about the overall management of service.
There is limited monitoring of progress by senior management towards the achievement of the goals for service, making course correction difficult.
There is monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is generally used to make timely and proactive decisions and course correction.

20.2 Public/client views: Acceptable

Evidence of incorporating feedback in the implementation of its services, programs, policies or initiatives.
Evidence of making consultation results available to the public.
Few tools used to obtain views from clients.
Minor 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.
No complaint or minimal number of founded complaints exits.
The institution has the necessary linguistic capacity to serve the public in both OL.

TBS encourages CRTC to:

Develop a comprehensive inventory of services as a foundation for future improvement efforts.
Set service standards for key services and measure client satisfaction using the Common Measurements Tool (CMT) developed by the Institute for Citizen-Centred Service.
Use service performance information including the results of client satisfaction measurement and performance related to service standards, to identify goals and priorities for the improvement of its services at the institutional level.
Make information on its major consultations available on the Canada site and set plans to obtain the views of its clients.

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