ARCHIVED - MAF Assessment: Public Works and Government Services 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.
• 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.

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(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.
• An inventory of programs has been developed and most of the listed programs meet the definition of a program.

2.3 Quality:

• Expected results are adequately clear and distinct, and are adequately appropriate to their respective program descriptions.
• Most outputs are clearly identified as products/services and are usually aligned with their expected results.
• The performance indicators are not clear and cannot be used for data collection to provide reliable insight into program effectiveness.

3.1 Business Plan: Acceptable

• Corporate business plan generally integrates human resources, IM/IT, communications or other key corporate plans.

3.2 Governance Structure: Acceptable

• Adequate management oversight of the organization's program activities and underlying programs is evident.
• Organization's corporate governance structure is generally aligned to the organization's PAA.
• Recordkeeping is generally complete and current. (minutes of meetings and records of discussion, decision, and follow-up).
• Resource reallocation is generally proactive when or where required.
• Senior corporate management structure (e.g., committees) interacts with and provides oversight to the supporting governance structure.
• Terms of reference are generally current and complete.
• Senior corporate management structure or subordinate governance structure (e.g., committees) meet regularly.

The corporate business plan integrates key corporate plans. Adequate management oversight of the organization’s activities and underlying programs is evident. Senior corporate management provides oversight to the supporting governance structure. In response to the MAF V Action Plan, PWGSC reviewed the corporate management and governance structure to ensure effectiveness, and created a new Corporate Oversight Branch.

4.1 Leadership of Priority Initiatives: Acceptable

• Senior management actively steers the initiatives, engages participants and responds proactively to participant feedback.
• The organization has established an effective management structure for its initiative, and roles and responsibilities of all parties are clear.

4.2 Participation in Priority Initiatives: Acceptable

• Senior management is engaged in all the initiatives.
• The organization contributes effectively to Public Service Renewal.

4.3 Portfolio Coordination: Strong

• Substantial attention is paid to the responsibility for portfolio affairs.
• The Department’s portfolio coordination displays deliberate and effective leadership.

TBS has assessed PWGSC with regard to its leadership of the Greening Government Initiative (Acceptable) and the Procurement Renewal Initiative (Acceptable), and its participation in the Web of Rules effort (Acceptable) and in the Public Service Renewal (Acceptable) Initiative.

5.1 Supporting Information: Acceptable

• Policy and budget authorities are usually identified.
• Adequate explanation for the level of resources requested is partially sufficient.

5.2 Analysis: Opportunity for Improvement

• Generally, the correct policy authorities are used.
• Partial analysis of value for money, effectiveness or efficiency.
• Some links to MRRS, strategic objectives, etc., are present.

5.3 Consultations: Acceptable

• Established capacity to initiate consultations with TBS with sufficient lead time is evident.
• Consultations are sometimes late (less than six weeks before TB meetings).

5.4 Quality control: Opportunity for Improvement

• Moderate clarity exists and consistent language is used.
• Important information is only sometimes included in the first draft.

The establishment of a departmental quality control process and internal TB submission tools, as well as the continuation of a departmental planning process, have improved the timeliness and accuracy of draft submissions.

6.1 Quality: Strong

• All evaluations submitted to TBS employ appropriate methodologies to gather data and inform the analysis.
• All evaluations submitted to TBS include a management response and an action plan detailing implementation strategies, timelines and management accountabilities.
• All evaluations submitted to TBS include analysis of the limitations of the methodology and data sources used. Evaluations also include mitigation strategies to address the limitations.
• All evaluations submitted to TBS present findings, conclusions and recommendations that are supported by the evidence found in the evaluation report. The report also discusses the degree of validity and reliability of the evidence.
• 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.
• The large majority of evaluations submitted to TBS consistently address relevance, success, and effectiveness. They also address cost-effectiveness.

6.2 Neutrality: Strong

• All resources dedicated to evaluations are directed by the Head of Evaluation.
• Evaluation function resourcing is commensurate with the organizational evaluation plan.
• Head of Evaluation has explicit authority to submit evaluation reports directly to the Deputy Head and has direct and regular access to the deputy head.
• Senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products. The committee is chaired by the deputy head or senior level designate. The committee meets regularly during the year and is attended by designated committee members.

6.3 Coverage: Acceptable

• Option 1: The organization has committed to moving toward full evaluation coverage of their program base (e.g. over a five-year cycle). However, relatively low number of evaluations are completed each year and they cover less than 10%.
• The organization has shared its multi-year, risk-based evaluation plan with TBS. The evaluation plan has information on evaluations planned, completed and carried over. It also includes links to the organization's PAA. As well, there is evidence to indicate that the organization has calibrated its evaluation efforts and/or approaches according to program context.

6.4 Usage: Strong

• Active, documented, systematic and regular tracking of management action plans arising from evaluation recommendations is in place.
• Majority of evaluations submitted to TBS incorporate data from a performance measurement system to support the evaluation. Submitted evaluations sometimes cite data availability and/or quality as constraints.
• The results of evaluations are almost always brought for consideration in TB submissions, Memorandum to Cabinet, RPPs, DPR and Strategic Reviews.

7.1 MRRS Basis: Strong

• Clear performance expectations in the RPP are all tracked and rigorously reported on in the DPR.
• Strong linkages between resources and results are consistently demonstrated in the reports.

7.2 Credible information: Acceptable

• DPR generally provides independently verifiable evidence-based performance information. Some information on the validity and credibility of data used is provided.
• Several relevant findings from audit and evaluation are included.
• The DPR is concise. It contains an adequate amount of information relevant to the estimates process.

7.3 Context: Acceptable

• Comparisons are generally effectively and consistently used in the DPR.
• DPR is for the most part balanced. It presents both positive and negative aspects of performance, and substantiation or explanation is consistently provided.

8.1 Change plan: Acceptable

• An organizational change plan exists, but it is only focused on some areas of the organization.
• The organization has limited capacity to evaluate whether or not change is required.

8.2 Engagement: Acceptable

• Change management related training programs are available to some components of the organizations.
• Engagement of employees is limited.
• Individual and organization-wide change-related training programs are available.

8.3 Assessment: Acceptable

• Assessment plans exist and are broad in scope and detail.
• Change plans and strategies are included in Performance Management Agreements of Senior Executives.
• Change plans and strategies are priorities across the organization.

9.1 Engagement: Acceptable

• Accountability for key risks is assigned to senior management and performance is assessed.
• Senior management encourages effective Risk Management and a risk-smart culture.
• Senior management ensures that the organization’s Risk Management approach is tailored to the specific needs of the organization.
• Senior management has reviewed/approved the Corporate Risk Profile within the past year.
• Senior management leads by example in this area.
• 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.

9.2 Implementation: Acceptable

• Risk Management guidance and tools that enable the organization’s risk management approach are made available to staff.
• The Corporate Risk Profile is systematically (horizontally and vertically) implemented into most operational levels across the organization.
• The organization’s Risk Management approach is regularly communicated to staff and stakeholders.

9.3 Integration: Acceptable

• Operational level risks are prioritized into key risks and are adjusted as required.
• Risk information and Risk Management principles are ingrained in senior management reporting.
• Risk information is adequately consulted for senior management decision-making.
• Risk information Risk Management principles are ingrained in planning and resource allocation decisions.
• The organization makes adequate course corrections based on Risk Management performance and new information.

9.4 Continuous Improvement: Acceptable

• 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.
• It is not evident whether external sources are consulted during the development of the organization’s CRP.
• The CRP provides a reliable assessment of the quality of risk information used.
• The organization explicitly builds on past experience, better practice, and adjusts to fit any changes in management structures, priorities or strategic direction.
• The organization has implemented most recommendations provided during its last MAF assessment.

PWGSC is continuing to move towards an enterprise risk management approach that embeds consideration of risk and makes explicit linkages between its mandate, business planning, investments and accountability for key risks. PWGSC should be commended for ongoing efforts to ingrain risk information and risk management principles in senior management reporting, and for its proactive renewal of risk management policies, guides and tools.

10.1 Fair: Strong

• Evidence shows that labour relation matters are proactively and innovatively managed/addressed.
• Evidence shows that the organization exceeds standards of timeliness in payments to employees.
• Evidence shows that the organization is proactively seeking labour relations policy direction (terms and conditions of employment, collective agreements and/or applicable legislation).

10.2 Enabling: 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 communication tools are generally available in both official languages.

10.3 Healthy and safe: Acceptable

• Employees 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.

11.1 Productive: Acceptable

• A sufficient 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 generally available.
• Employees consider that they generally can communicate in the official language of their choice within their organization and work instruments, electronic systems and communications in both official languages are generally available.
• Organization is representative of all four employment equity designated groups.
• Progress against the previous year's performance on recruitment, promotion and separation for employment equity groups equal the organization's average for all employees.
• Promotions among employment equity groups are 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: Acceptable

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

12.1 Governance: Acceptable

• IM requirements are somewhat 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.
• Participation is evident in GC-wide approaches and initiatives related to developing, implementing, sharing, and leveraging IM policies and practices.

12.2 Strategy: Acceptable

• A current and active IM strategy identifies support to business priorities and operations, information needs and accountabilities, IM policy considerations and is partially integrated with other corporate strategies, plans and planning cycles.
• 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.
• The new GC IM Policy Instruments are cited in evidence (Policy on Information Management, Directive on IM Roles and Responsibilities).

12.3 Privacy Act: Opportunity for Improvement

• Significant collections of personal information under the control of the organization have not been appropriately identified or described in accordance with the Privacy Act.

12.4 Access to Information Act: Opportunity for Improvement

• A significant number of institution-specific Classes of Records do not meet Treasury Board Secretariat requirements.
• A significant number of the organization's functions, programs, activities and related information holdings have not been appropriately identified or described in its 2008 Chapter of Info Source: Sources of Federal Government Information. This information is a requirement of the Access to Information Act to facilitate public access to federal government information.

13.1 Leadership: Strong

• The senior official has responsibility and accountability for the full scope of information technology responsibilities and ensures that information technology supports organizational outcomes.
• Organization actively participates and demonstrates leadership in setting government-wide directions for information technology.

13.2 Planning: Strong

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

13.3 Value: Strong

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

14.1 Investment Planning: Opportunity for Improvement

• The organization does not have a current investment planning document.
• The organization’s investment planning documents do not cover all asset classes.
• The organization’s investment planning process does not consider investments over multiple years.

14.2 Real Property Management: Acceptable

• Comprehensive internal policies are documented and disseminated.
• All elements of a real property management framework are implemented.
• Certification of information in the DFRP is received and accepted.
• Certification of information in the FCSI is received and accepted.
• Indicators of real property performance are monitored and performance measurement is ongoing.

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: Opportunity for Improvement

• Business cases support some project proposals, but are not required for all projects.
• There is evidence of formal project governance and oversight mechanisms and that approved projects are generally linked with the strategic plans and priorities of the organization through established organization-wide procedures. Approval and corrective action decisions are documented.
• There is evidence that the department exceeded Treasury Board project approval limits, and failed to notify TB/TBS.

15.2 Effective Management of Project Resources: Acceptable

• The funding models used for projects support the achievement of expected project outcomes and cost estimates are generated at the work package level and consider historical data and/or industry benchmarks.
• There is evidence of some processes and procedures which support resource management. However, these are largely informal and do not extend across the organization.
• There is no evidence that the organization has failed to meet TB conditions regarding projects.
• While project management related training is made available by the organization for employees, there are no processes to ensure that employees with project management responsibilities are encouraged to complete relevant training and the number of qualified project managers is unknown.
• While there is evidence that some managers prepare a staffing plan, it is not required prior to project execution.

15.3 Effective Management of Project Results: Acceptable

• There is no evidence of formal processes or procedures which ensure that project managers and project oversight mechanisms have access to relevant project monitoring information.
• 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.
• While there is evidence of project monitoring and reporting activities, there is no evidence that these activities are ongoing or that the information is used to support corrective action.
• While there is evidence that project milestones, deliverables and outcomes are documented for some projects, it is not a requirement across the organization.

16.1 Governance and Oversight: Acceptable

• 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

• Consistent procurement training is evident.
• Efficient and integrated procurement information systems and processes are in place.
• Informed decision making and oversight exist.
• Mandatory training underway.
• Procurement processes that contribute to cost savings and value for money are in use.
• Results and reviews are used to continuously adjust current procurement management activities and future procurement plans.

17.1 Authorities and Policies: Acceptable

• 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 good financial management practices.
• Departmental processes to provide individuals delegated Section 33 authority with the information necessary to assess and approve specific transactions and to assess the adequacy of Section 34 account verification show evidence of solid financial management practices.
• The reporting of external user fee information shows some omissions in relation to reporting guidelines.

17.2 Public Accounts Reporting: Acceptable

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

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.
• Many processes in support of a sound succession plan for key positions are in place.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a reasonable proportion of the FI segment of the financial management organization.
• Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise all, or almost all, of the positions on the management team of the financial management organization.
• 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

• Several known financial internal control weaknesses remain unremedied.
• All concerns identified in the audit readiness assessment are addressed in a detailed action plan.
• The Financial Statements are compliant with Treasury Board Accounting Standard 1.2 – Departmental and Agency Financial Statements and reporting deadlines were met.

17.5 Internal Reporting: Strong

• The internal financial reporting package is accompanied by a comprehensive discussion and analysis.
• The internal financial reporting package is presented to senior management 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 well established.
• The scope of the internal financial reporting package is comprehensive.

17.6 Other Initiatives: Acceptable

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

While the department maintained its overall rating of Acceptable, there were improvements in the quality, timeliness and accuracy of reporting for the Public Accounts and in the strength of its financial management capacity.

18.1 Internal Audit governance: Strong

• There is an approved Internal Audit Charter in line with the 2006 Policy on Internal Audit.
• The Implementation Plan covers all of the required policy elements.
• Ongoing monitoring of, and progress in implementing, key elements of the plan are ahead of schedule.
• Chief Audit Executive reports solely and exclusively to the Deputy Head.
• An independent Departmental Audit Committee is in place.
• There is an approved Departmental Audit Committee Charter in line with the 2006 Policy on Internal Audit.
• There is an approved Departmental Audit Committee Annual Plan for fiscal year 2008-2009.
• The Departmental Audit Committee has met at least four times over the past twelve months.
• The Departmental Audit Committee Annual Report for 2007-2008 has been submitted to the Deputy Head and the Office of the Comptroller General.

18.2 Internal Audit Professional Practices: Acceptable

• The Risk-Based Audit Plan was approved by the Deputy Head and sent to the Office of the Comptroller General in a timely manner.
• Annual Risk-Based Audit Plan methodology is, for the most part, evident and applied.
• There is evidence of preparation to provide for holistic assurance.
• Most post-engagement follow-up activities are identified.
• There is partial information on the planned use of all audit function resources.
• Planned work is generally focused on audit assurance versus other types of activities.
• Continuity of previous years work is identified with status or rationale.
• Approved assurance products are consistent with policy and internal audit standards requirements.
• Low completion rate of assurance products (number of assurance audit reports) against 2007-2008 Risk-Based Audit Plan.
• Internal Quality Assurance and Improvement Program is well documented and in place.
• Assurance products (reports) are not produced in a timely manner.
• Post-engagement follow-up process is well documented, and all recommendations are followed up using a risk-based approach.
• Approved assurance products are not made accessible to the public in a timely manner.
• The department or agency provides limited notification to the Treasury Board Secretariat on the posting of reports.

18.3 Administration of the Internal Audit Function: Strong

• The Internal Audit Human Resources Plan is linked to the business plan, and includes an elaborated recruitment action plan and an external resourcing strategy that are being actioned in a formal manner.
• Investment in Certified Internal Auditor certification, learning and training represents a minimum of 5% of FTE salaries.
• Planned spending, * was given to the Office of the Comptroller General. When comparing current spending of 2008-2009 with planned financial resources of 2007-2008, resource levels identified exceeds the resource level identified in 2007.
• Planned FTEs dedicated to internal audit have grown comparatively to 2007-2008. They exceed the resource level identified in the planned internal audit function’s budget for 2008-2009.

18.4 Internal Audit Performance: Strong

• A comprehensive Chief Audit Executive Annual Report for 2007-2008 was presented to the Departmental Audit Committee and the Deputy Head and submitted to the Office of the Comptroller General.
• Extensive periodic reporting on the follow-up of Management Action Plans is evident.

The department has maintained ongoing momentum in the achievement of the fundamental requirements of the 2006 Policy on Internal Audit. Progress has been made in Internal Audit Governance, Professional Practices, Management of the Internal Audit Function and Reporting on Audit Results.

19.1 Departmental Security Program: Strong

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

• Organization has partially developed measures to provide for the continuity of critical business operations and services.
• Some deficiencies in meeting key BCP program requirements.
• Business Continuity Planning (BCP) program governance has been 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 put in place to review, test and audit business continuity plans.

20.1 Management Engagement – Service and CLF: Acceptable

• 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 are priorities and goals for service, but not always at the institutional level; these limited priorities and goals are set by senior management based on the use of limited performance evidence.
• There has been no monitoring or no steps to set up monitoring of progress towards the achievement of goals by senior management.
• 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 routine monitoring by senior management to ensure that the requirements of CLF 2.0 are being met institution-wide; this information is used to make timely and proactive decisions or course correction.

20.2 Public/client views: Acceptable

• Evidence of incorporating feedback in the implementation of its services, programs, policies or initiatives.
• Little or no evidence of making consultation results available to the public.
• 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: Acceptable

• Analysis of the Annual Review on OL shows the institution is generally able to meet its obligations.
• Audits reveal few 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.