ARCHIVED - MAF Assessment: Statistics Canada - 2008

1.1 Leadership: Strong

• Regarding Values and Ethics Leadership, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.

1.2 Infrastructure: Strong

• Regarding Values and Ethics Plans, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.

1.3 Culture: Strong

• Regarding the Current State of Organizational Values and Ethics, the organization is maintaining its Round V (2007-08) assessment of Strong. It has submitted a Management Assertion to CPSA that no significant changes have occurred within the organization to affect this rating.

2.1 PAA Consistency: Acceptable

• The Strategic Outcome statement(s) can be understood within and outside the department as a benefit to Canadians, however its/their clarity should be improved.
• The Strategic Outcome(s) indicates an obvious departmental area of influence and clearly align(s) 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:

• The organization has developed a weak performance measurement framework.

3.1 Business Plan: Acceptable

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

3.2 Governance Structure: Acceptable

• Recordkeeping is generally complete and current (minutes of meetings and records of discussion, decision, and follow-up).
• Management oversight of the organization's program activities is clearly evident.
• Organization's corporate governance structure is generally aligned to the organization's PAA.
• Senior corporate management structure (e.g., committees) interacts with and provides oversight to the supporting governance structure.

4.2 Participation in Priority Initiatives: Acceptable

• The organization shows strength in its participation in Public Service Renewal.
• The organization's commitments are clear and are consistent with its role.

TBS has assessed Statistics Canada with regard to its participation in Public Service Renewal - Strong and the Web of Rules Initiative - Acceptable.

5.1 Supporting Information: Acceptable

• Organization has established a capacity to assemble usually accurate, reliable and complete supporting information in TB submissions.
• Policy and budget authorities are always identified.
• Submission contains an adequate level of detail.

5.2 Analysis: Acceptable

• Established capacity for appropriate responses to TBS comments is acceptable.
• Established capacity to analyze value for money, effectiveness and efficiency is evident.

5.3 Consultations: Strong

• Consultations with central agencies are planned and conducted in a timely manner with sufficient lead time.

5.4 Quality control: Acceptable

• All important information is usually included in the first draft.

6.1 Quality: Acceptable

• 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 use multiple lines of evidence. Evaluations reflect the diversity and perspectives of multiple program stakeholders.

6.2 Neutrality: Acceptable

• 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: Acceptable

• Option 1: The organization is working according to its evaluation plan and has shown evidence of moving towards full evaluation coverage of its program base (e.g. over a five-year cycle). Current annual evaluation coverage is between 10-15% of total direct program expenditures.
• The organization has shared its risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA.

6.4 Usage: Acceptable

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

7.2 Credible information: Opportunity for Improvement

• DPR generally provides independently verifiable evidence-based performance information. Some information on the validity and credibility of data used is provided.
• The DPR is somewhat concise. It contains some information relevant to the estimates process.
• The reader has a good sense generally of the source of the data and information in the DPR and its quality.

8.1 Change plan: Strong

• Established and robust capacity is in place to evaluate whether or not change is required.
• An organizational change plan does not exist.

8.2 Engagement: Acceptable

• Change management related training programs are available to some components of the organizations.
• A learning culture exists within the organization.

8.3 Assessment: Strong

• Course adjustments and improvements to strategies are made regularly.

9.1 Engagement: Acceptable

• Senior management has not reviewed the organization’s Risk Management approach within the current three-year planning cycle.
• The organization has a common risk assessment approach but it has not 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.
• Senior management has reviewed/approved the Corporate Risk Profile within the past year.
• Senior management leads by example in this area.
• Accountability for key risks is assigned to senior management.

9.2 Implementation: Strong

• 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 in a variety of ways. This is proactively communicated 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 are adequately captured in senior management reporting.
• Risk information Risk Management principles are ingrained in planning and resource allocation decisions.
• Operational level risks are prioritized into key risks and are adjusted as required.
• The organization makes course corrections on an ongoing basis based on Risk Management performance and new information.

9.4 Continuous Improvement: Acceptable

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

Statistics Canada is to be commended for a number of strong risk management practices, including providing extensive risk management support and training for its staff and actively promoting their usage and strong vertical integration of risk management as reflected in its integrated quadrennial and biennial reporting process.

10.1 Fair: Acceptable

• Classification program is at low to medium risk and an effective classification monitoring program is in place.
• Evidence shows that labour relations matters are consistently and appropriately managed/addressed.
• 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).
• The organization occasionally meets standards of timeliness in payments to employees.

10.2 Enabling: Strong

• Organization demonstrates the necessary linguistic capacity to provide personal and central services and supervision in both official languages.
• 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.

11.1 Productive: Strong

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

11.2 Principled: Strong

• Communications with and services to the public in both official languages are always or nearly always available.
• Employees consider that they always or nearly always can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are always or nearly always available.
• Necessary linguistic capacity is in place as is shown by the vast majority of incumbents of bilingual positions who meet the language requirements of their position.

11.3 Sustainable: Strong

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

11.4 Adaptable: Strong

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

12.1 Governance: Acceptable

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

12.2 Strategy: Opportunity for Improvement

• Minimal evidence of the new GC IM Policy Instruments (Policy on Information Management, Directive on IM Roles and Responsibilities).
• Minimal IM awareness activities are underway to help staff and executives understand their IM roles, responsibilities and accountabilities.

12.3 Privacy Act: Acceptable

• Some 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: Acceptable

• Most of the organization's functions, programs, activities and related information holdings have been appropriately identified and described in its 2008 Chapter of Info Source: Sources of Federal Government Information.

The organization has no overall IM Strategy and implementation plan.

13.1 Leadership: Strong

• Senior official for information technology has responsibility and accountability for virtually the full scope of information technology responsibilities.
• Organization actively participates and demonstrates leadership in setting government-wide directions for information technology.

13.2 Planning: Acceptable

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

13.3 Value: Acceptable

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

14.1 Investment Planning: Acceptable

• The organization has a current long-term investment planning document that has been approved by the proper authority.
• The organization’s investment planning process considers investments over multiple years.
• The organization’s investment planning documents do not cover all asset classes.

14.3 Materiel Management: Acceptable

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

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.
• The organization recognizes project management as a discipline and most employees with project management responsibilities have completed relevant project management training.
• There is no evidence that the organization has failed to meet TB conditions regarding projects.

15.3 Effective Management of Project Results: Acceptable

• The organization requires that outcomes are clearly defined for projects in business case documentation and most projects are subject to a review.
• The organization requires that project milestones, deliverables and outcomes are documented for major projects.
• There is a clear link between the review process and project management governance and oversight mechanisms.

16.1 Governance and Oversight: Strong

• Effective, accountable and integrated procurement management processes and controls have been established and incorporated in the organization’s business cycle. (e.g., contract review mechanisms, documented decision making or proper use of delegated authorities).

16.2 Meeting Operational Requirements: Strong

• Competent (highly qualified or certified) procurement human resources are in place.
• Consistent procurement training and certification programs exist.
• Integrated, timely and accurate procurement financial and non-financial reporting exists.
• Procurement processes that contribute to cost savings and value for money are in use.

Effective and accountable procurement management processes and controls are in place. Qualified procurement human resources exist. Efficient and integrated procurement information systems and processes are in place. Procurement processes that contribute to cost savings and value for money are in use.

17.1 Authorities and Policies: Strong

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

17.2 Public Accounts Reporting: Strong

• Minimal Central Financial Management Reporting System (CFMRS) coding errors.
• Ninety to 96% (Grade A) of Public Accounts reporting plates submitted on time.

17.3 Management Capacity: Strong

• A significant amount of training is provided for the financial management organization.
• All, or almost all, FIs and management team members in the financial management organization have current, approved learning plans.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the FI segment of the financial management organization.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the positions on the management team of the financial management organization.
• Some processes in support of a sound succession plan for key positions are in place.
• There is a position (or positions) established in the financial management organization that is dedicated to community management and development.
• There is an acceptable functional relationship between the CFO/SFO and FI positions that exist outside the financial management organization. *This row is only applicable where the department or agency indicates there are FI positions outside the financial management organization.

17.4 Financial Statements: Acceptable

• "There is evidence of some work undertaken to assess and/or monitor and/or improve internal control over financial reporting."
• 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 eight to nine times per year.
• The internal financial reporting package is presented to senior management less than one month after period end.
• The process for reviewing information before it is presented to senior management to ensure no material errors or omissions is well established.
• The scope of the internal financial reporting package is limited.

17.6 Other Initiatives: Acceptable

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

While the department maintained its overall rating of Acceptable, there were improvements in its compliance with financial legislative authorities and policies and its strength of financial management capacity.

18.1 Internal Audit governance: Attention Required

• An Internal Audit Charter in line with the 2006 Policy on Internal Audit does not exist.
• The Implementation Plan for the required policy elements does not exist.
• Absence of ongoing monitoring of the Implementation Plan and/or progress is not being achieved.
• Chief Audit Executive reports solely and substantively to the Deputy Head.
• An independent Departmental Audit Committee has either recently been established or is scheduled to be in place and is on track with planned timelines.
• A draft Departmental Audit Committee Charter in line with the 2006 Policy on Internal Audit does not exist.

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 an untimely manner.
• Annual Risk-Based Audit Plan methodology is evident and applied.
• There is evidence of preparation to provide for holistic assurance.
• There is partial information on the planned use of all audit function resources.
• Majority of planned work is on audit assurance versus other types of activities.
• Very low completion rate or no assurance products (number of assurance audit reports) against 2007-2008 Risk-Based Audit Plan.
• Internal Quality Assurance and Improvement Program has not been documented.
• Post-engagement follow-up process is in draft or partially documented, and some 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: Acceptable

• Some elements of a comprehensive Human Resources Plan have been documented, and evidence of recruitment and external resourcing activity exists.
• Planned spending, *, was given to the Office of the Comptroller General. When comparing current spending of 2008-2009 with planned financial resources of 2007-2008, resource levels identified maintain the resource levels identified in 2007.
• Planned FTEs dedicated to internal audit have been maintained comparatively to 2007-2008. They meet the resource level identified in the planned internal audit function’s budget for 2008-2009.

18.4 Internal Audit Performance: Attention Required

• Limited periodic reporting on the follow-up of Management Action Plans.

The department has prepared a Risk-Based Audit Plan and has recently staffed the position of Chief Audit Executive (CAE) at the executive level.

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.
• Organization's security strategy is completely aligned and integrated with its corporate priorities and business plan.

19.2 Management of IT Security (MITS): Acceptable

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

19.3 Business Continuity Planning (BCP): Strong

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

20.1 Management Engagement – Service and CLF: Strong

• 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 fully documented and communicated priorities and goals for service at the institutional level; these priorities and goals are set by senior management based on the systematic use of comprehensive performance evidence.
• There is a well-established committee at the institutional level, composed of senior management accountable for service, which has a fully documented and communicated responsibility for making decisions about the overall management of service.
• There is monitoring of progress by senior management towards the achievement of the institution-wide goals for service, with course correction if necessary.
• There is routine monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is used to make timely and proactive decisions or course correction.

20.2 Public/client views: Acceptable

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

20.3 Official Languages: Strong

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