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Management Accountability Framework

2010-11 MAF Results - Library and Archives Canada

* An asterisk appears where sensitive information has been removed in accordance with the Access to Information Act and Privacy Act.

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 (TBS) related to Library and Archives Canada (LAC) management capacity are mixed. In total, for the eleven Areas of Management (AoM) on which the department was assessed, LAC received one “strong” rating, six “acceptable” ratings, and four “opportunity for improvement” ratings. LAC has maintained its “strong” rating for AoM 11- Procurement, as well as increasing the ratings for AoM 6- Evaluation to "strong" and AoM 2- Managing for Results to “acceptable”.

During this Management Accountability Framework (MAF) period, LAC identified a new strategic direction for the organization and commenced a change management agenda to help meet the challenges related to the ongoing transformation of information, technology, digitalization of materials, and recordkeeping. The change management agenda has resulted in re-organization within LAC’s corporate function and the launch of twelve modernization initiatives. Of note, during this period, LAC took custody of its new Nitrate Preservation Facility which will safeguard Canada’s cellulose nitrate-based documentary heritage such as film, photos and negatives some of which pre-date World War I.

In terms of the core areas, the organization’s performance in the areas of financial management, internal audit, security management and integrated risk management remained unchanged at “opportunity for improvement” since the previous MAF assessment, an indication that additional management attention is required.

AoM 5 Effectiveness of Internal Audit – While LAC’s internal audit governance structure is fully developed, LAC continues to struggle implementing audit plans, improving the quality of audit reports, and establishing a full human resources (HR) capacity to oversee audit functions within the organization.
AoM 7 Effectiveness of Financial Management and Control – LAC requires improvements in a number of areas including: compliance with Treasury Board policies, costing practices, and strengthening internal controls over financial reporting. LAC is encouraged to undertake as a priority the necessary work to address these deficiencies.
AoM 9 Effectiveness of Integrated Risk Management – LAC has established an adequate Integrated Risk Management approach, as well as developed a corporate risk profile. However, further progress is needed to ensure that the targets established within the corporate risk profile are implemented across the organization and that a risk management framework is developed and implemented.

Two areas have been identified as fundamental to the mandate of the organization. LAC has retained an “acceptable” rating for Information Management and an “opportunity for improvement” for the Management of Security.

AoM 12 Effectiveness of Information Management – LAC has adequate Information Management (IM) governance and accountability structures in place. LAC also has a current approved IM Strategy. The implementation of the IM Strategy across the organization is underway. LAC is encouraged to continue its efforts to enhance its IM practice across the organization and to ensure targets developed within its IM Strategy are met.
AoM 8 Effective Management of Security – LAC has a departmental security program in place to address corporate security and protect collections under its legislative mandate. However, LAC meets only some of the Management of Information Technology Security (MITS) requirements. Deficiencies have been identified in risk management, continuity planning, audit, monitoring and assessments. It is recommended that LAC continue efforts to address all MITS deficiencies, as well as fully develop its Departmental Security Plan.

TBS notes that LAC improved its performance in two areas that required improvement from last year. However, progress was not made in the three areas identified by TBS last year as priorities for LAC, and as a result these same three areas remain as management priorities for the coming year:

AoM 5 Effectiveness of Internal Audit – TBS recommends that LAC implement the Quality Assurance and Improvement Program to better monitor and execute internal audit functions. TBS also recommends that LAC establish sufficient HR capacity within its internal audit function.
AoM 7 Effectiveness of Financial Management and Control – TBS recommends that LAC, on a priority basis, address weaknesses noted in this AoM, including compliance with Treasury Board policies, costing practices and financial reporting.
AoM 8 Effective Management of Security – TBS recommends that LAC improve its management of IT security, as well as ensure compliance with respect to the TBS security standards, specifically in the areas of Security in System Development Life Cycle, Incident Management, and Continuity planning.

1. Values-based Leadership and Organizational Culture

Acceptable

Highlights	Opportunities
1.1 Culture of respect, integrity and professionalism: Acceptable The organization has implemented activities to foster a general understanding of values and ethics among employees, including awareness of conflict of interest obligations, and to ensure that values and ethics principles are embedded into the organization and its business lines/processes. Consequently, the organization provided evidence of a culture of mutual respect, integrity and professionalism. 1.2 Leadership: Acceptable Senior and middle management, senior officers and senior officials have adequately fulfilled their values and ethics responsibilities by often encouraging dialogue among employees and fully developing and implementing a comprehensive values and ethics plan. Consequently, the organization provided evidence that their leadership adequately demonstrates and promotes values and ethics behaviours. 1.3 Continuous Improvement: Opportunity for Improvement The organization has sought to identify some common values and ethics issues and solutions from organizations across the public service or other jurisdictions and has occasionally communicated lessons learned from ethical breaches (either its own or other organizations’ breaches) throughout the organization. Consequently, the organization insufficiently demonstrates that it practices continuous improvement in the area of values and ethics.	Library and Archives Canada (LAC) demonstrated that many activities on values and ethics are taking place across the organization and tailored to its needs. This good work should certainly continue. Activities in relation to the development of an organizational Code of conduct have been identified for next fiscal year as LAC is waiting for the Public Sector Code and the Conflict of Interest Policy to be in place prior to beginning its activities. A number of the identified activities could have been started this year. LAC could identify ethical risks related to its business and mandate. A risks assessment exercise could be used for the development of LAC’s Code of conduct. LAC could exploit tools developed by other federal organizations as some ethical risks are common and can be tailored to LAC’s reality. Values and ethics could be taken into consideration more in LAC’s planning exercises.
Recommendations

Highlights

Opportunities

1.1 Culture of respect, integrity and professionalism: Acceptable

The organization has implemented activities to foster a general understanding of values and ethics among employees, including awareness of conflict of interest obligations, and to ensure that values and ethics principles are embedded into the organization and its business lines/processes.
Consequently, the organization provided evidence of a culture of mutual respect, integrity and professionalism.

1.2 Leadership: Acceptable

Senior and middle management, senior officers and senior officials have adequately fulfilled their values and ethics responsibilities by often encouraging dialogue among employees and fully developing and implementing a comprehensive values and ethics plan.
Consequently, the organization provided evidence that their leadership adequately demonstrates and promotes values and ethics behaviours.

1.3 Continuous Improvement: Opportunity for Improvement

The organization has sought to identify some common values and ethics issues and solutions from organizations across the public service or other jurisdictions and has occasionally communicated lessons learned from ethical breaches (either its own or other organizations’ breaches) throughout the organization.
Consequently, the organization insufficiently demonstrates that it practices continuous improvement in the area of values and ethics.

Library and Archives Canada (LAC) demonstrated that many activities on values and ethics are taking place across the organization and tailored to its needs. This good work should certainly continue. Activities in relation to the development of an organizational Code of conduct have been identified for next fiscal year as LAC is waiting for the Public Sector Code and the Conflict of Interest Policy to be in place prior to beginning its activities. A number of the identified activities could have been started this year.

LAC could identify ethical risks related to its business and mandate. A risks assessment exercise could be used for the development of LAC’s Code of conduct. LAC could exploit tools developed by other federal organizations as some ethical risks are common and can be tailored to LAC’s reality.

Values and ethics could be taken into consideration more in LAC’s planning exercises.

Recommendations

2. Managing for Results

Acceptable

Highlights	Opportunities
2.1 Quality of the Strategic Outcome(s) and PAA: Acceptable The Strategic Outcome(s) represent(s) (an) adequate outcome statement(s) that is/are appropriate given the mandate and resources of the organization. The Program Activity Architecture represents a logical structure that can align its programs to the achievement of the Strategic Outcome(s). 2.2 Quality of the Performance Measurement Framework: Acceptable A performance measurement framework has been developed, however some elements have not been provided Most performance indicators are clear and valid measures for their respective strategic outcome(s), expected results and outputs. 2.3 Quality of Performance Reporting: Acceptable Financial information in the Departmental Performance Report is sufficiently clear and explained with text, as necessary. Linkages between resources and results are adequately demonstrated. 2.4 MRRS Information: Unrated The organization collects actual data against the majority of the measures in its performance measurement framework. MRRS information is not being used to support documents submitted to central agencies to justify funding decisions. Results information is not being used to support financial and resource allocations and/or other program management decisions in the department. Results information is occasionally being used in making appropriate adjustments.	LAC is encouraged to continue working with Treasury Board Secretariat in order to further refine its Strategic Outcomes & Program Activity Architecture. LAC is also encouraged to continue working with Treasury Board Secretariat to refine its Performance Measurement Framework. Specifically, targets should be provided for all of the organization’s programs in the correct format. LAC is encouraged to collect and use MRRS information to support planning and decision making. The organization is encouraged to use results from audits or evaluations to substantiate performance claims throughout the DPR.
Recommendations

Highlights

Opportunities

2.1 Quality of the Strategic Outcome(s) and PAA: Acceptable

The Strategic Outcome(s) represent(s) (an) adequate outcome statement(s) that is/are appropriate given the mandate and resources of the organization.
The Program Activity Architecture represents a logical structure that can align its programs to the achievement of the Strategic Outcome(s).

2.2 Quality of the Performance Measurement Framework: Acceptable

A performance measurement framework has been developed, however some elements have not been provided
Most performance indicators are clear and valid measures for their respective strategic outcome(s), expected results and outputs.

2.3 Quality of Performance Reporting: Acceptable

Financial information in the Departmental Performance Report is sufficiently clear and explained with text, as necessary. Linkages between resources and results are adequately demonstrated.

2.4 MRRS Information: Unrated

The organization collects actual data against the majority of the measures in its performance measurement framework.
MRRS information is not being used to support documents submitted to central agencies to justify funding decisions.
Results information is not being used to support financial and resource allocations and/or other program management decisions in the department.
Results information is occasionally being used in making appropriate adjustments.

LAC is encouraged to continue working with Treasury Board Secretariat in order to further refine its Strategic Outcomes & Program Activity Architecture.
LAC is also encouraged to continue working with Treasury Board Secretariat to refine its Performance Measurement Framework. Specifically, targets should be provided for all of the organization’s programs in the correct format.
LAC is encouraged to collect and use MRRS information to support planning and decision making.
The organization is encouraged to use results from audits or evaluations to substantiate performance claims throughout the DPR.

Recommendations

3. Governance and Planning

Acceptable

Highlights	Opportunities
This Area of Management (AoM) was not assessed in the current Round for this organisation as it is an AoM assessed on a rotational basis. Therefore, the rating is carried over from the last Round this organization was assessed on that AoM.
Recommendations

4. Citizen-focused Service

Acceptable

Highlights	Opportunities
This Area of Management (AoM) was not assessed in the current Round for this organisation as it is an AoM assessed on a rotational basis. Therefore, the rating is carried over from the last Round this organization was assessed on that AoM.
Recommendations

5. Effectiveness of Internal Audit Function

Opportunity for Improvement

Highlights	Opportunities
5.1 Internal Audit Governance Structure: Acceptable The independence of the Chief Audit Executive is demonstrated through full compliance with section 4.1.2 of the Directive on Chief Audit Executives, Internal Audit Plans, and Support to the Comptroller General. There is an independent Departmental Audit Committee in place that meets on a regular scheduled basis. The Departmental Audit Committee has established an Annual Work Plan that considered a review of all core areas of responsibility. The Departmental Audit Committee provides advice and recommendations to the deputy head as demonstrated through the implementation of the Annual Work Plan. The Internal Audit Human Resources Plan is documented and implemented. Professional development and training activities are linked to competency gaps at the individual level and related to that individual’s projects. 5.2 Policy and Directives on Internal Audit: Opportunity for Improvement Risk-based Audit Plan is based on a risk assessment exercise that prioritizes all audit engagements and addresses the most significant risks over the planning period. Risk-based Audit Plan identifies the audit engagements to be performed and includes the type (assurance or advisory), timing and cost for most engagements in the first year of the Plan. The internal audit completion rate relative to the 2009-2010 Risk-based Audit Plan is high. The quality of audit reports meets some expectations. Internal Audit reports are reviewed by the Departmental Audit Committee, approved by the Deputy Head and submitted to the Office of the Comptroller General in a timely manner. An internal quality assessment process is not performed regularly (documented; however, not implemented): and an external assessment (Quality Assessment Review / Practice Inspection) is completed or planned. 5.3 Contribution to Improvements: Acceptable Annual Report of the Chief Audit Executive demonstrates progress of the internal audit function in contributing to improvements in risk, control, governance and organizational performance. Annual Report of the Departmental Audit Committee is aligned with its core areas of responsibility and provides a brief perspective on risk management, control and governance processes Notwithstanding the capacity challenges, LAC continues to make progress to a mature regime. Continuous improvement efforts are notable.	Continued progress is suggested in strengthening the quality assurance improvement program. Recruitment and retention strategies should be implemented to mitigate the human resources shortfall.
Recommendations
The quality of internal audit reports could be improved by consistently applying OCG guidance in regard to the statement of assurance and ensuring that management action plans are complete.

Highlights

Opportunities

5.1 Internal Audit Governance Structure: Acceptable

The independence of the Chief Audit Executive is demonstrated through full compliance with section 4.1.2 of the Directive on Chief Audit Executives, Internal Audit Plans, and Support to the Comptroller General.
There is an independent Departmental Audit Committee in place that meets on a regular scheduled basis.
The Departmental Audit Committee has established an Annual Work Plan that considered a review of all core areas of responsibility.
The Departmental Audit Committee provides advice and recommendations to the deputy head as demonstrated through the implementation of the Annual Work Plan.
The Internal Audit Human Resources Plan is documented and implemented.
Professional development and training activities are linked to competency gaps at the individual level and related to that individual’s projects.

5.2 Policy and Directives on Internal Audit: Opportunity for Improvement

Risk-based Audit Plan is based on a risk assessment exercise that prioritizes all audit engagements and addresses the most significant risks over the planning period.
Risk-based Audit Plan identifies the audit engagements to be performed and includes the type (assurance or advisory), timing and cost for most engagements in the first year of the Plan.
The internal audit completion rate relative to the 2009-2010 Risk-based Audit Plan is high.
The quality of audit reports meets some expectations.
Internal Audit reports are reviewed by the Departmental Audit Committee, approved by the Deputy Head and submitted to the Office of the Comptroller General in a timely manner.
An internal quality assessment process is not performed regularly (documented; however, not implemented): and an external assessment (Quality Assessment Review / Practice Inspection) is completed or planned.

5.3 Contribution to Improvements: Acceptable

Annual Report of the Chief Audit Executive demonstrates progress of the internal audit function in contributing to improvements in risk, control, governance and organizational performance.
Annual Report of the Departmental Audit Committee is aligned with its core areas of responsibility and provides a brief perspective on risk management, control and governance processes

Notwithstanding the capacity challenges, LAC continues to make progress to a mature regime. Continuous improvement efforts are notable.

Continued progress is suggested in strengthening the quality assurance improvement program. Recruitment and retention strategies should be implemented to mitigate the human resources shortfall.

Recommendations

The quality of internal audit reports could be improved by consistently applying OCG guidance in regard to the statement of assurance and ensuring that management action plans are complete.

6. Quality and Use of Evaluation

Strong

Highlights	Opportunities
6.1 Quality of Evaluation Reports: Acceptable All evaluation reports submitted to TBS address program relevance and performance. All evaluations submitted to TBS employ appropriate methodologies (relative to program risk) to gather data and inform the analysis. A minority of evaluations submitted describe the limitations of the evaluation. The large majority of evaluations submitted to TBS present findings and conclusions that flow logically from the evidence presented in the report. All evaluation reports submitted to TBS include recommendations that are focused and practical, address significant findings and flow logically from findings and conclusions. All evaluations submitted to TBS include a management response and action plan. The action plan provides specific actions, timelines for action and management accountabilities. 6.2 Governance and Support for the Evaluation Function: Strong Head of evaluation has explicit authority to submit evaluation reports directly to the deputy head. Head of evaluation has unencumbered access to the deputy head, as required. The large majority of resources dedicated to evaluations are directed by the head of evaluation. Evaluation function resourcing appears to be commensurate with the organizational evaluation plan and supports monitoring and oversight demands. The large majority of planned evaluations are complete. A senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products, in a manner that is fully consistent with Annex B of the Policy on Evaluation (2009). The committee is chaired by the deputy head. Submitted evaluations usually cite the availability or quality of performance data, which is collected by program managers, as a constraint of the evaluation. 6.3 Evaluation Coverage: Strong The organization has shown evidence of moving towards full evaluation coverage of all its ongoing programs of grants and contributions over a five year cycle as per section 42.1 of the FAA. Average annual evaluation coverage of Gs&Cs is 20% (or higher). 6.4 Usage: Acceptable The results of evaluations are almost always brought for consideration in the organization’s RPP and DPR. Active, documented and systematic tracking of management action plans arising from evaluation recommendations is in place. Periodic reporting on the status of implementation of the evaluation recommendations is in place and available. A large majority of actions from management response and action plans are fully implemented or completed, as planned. A large majority of completed evaluation reports are submitted to TBS in a timely manner.
Recommendations

Highlights

Opportunities

6.1 Quality of Evaluation Reports: Acceptable

All evaluation reports submitted to TBS address program relevance and performance.
All evaluations submitted to TBS employ appropriate methodologies (relative to program risk) to gather data and inform the analysis.
A minority of evaluations submitted describe the limitations of the evaluation.
The large majority of evaluations submitted to TBS present findings and conclusions that flow logically from the evidence presented in the report.
All evaluation reports submitted to TBS include recommendations that are focused and practical, address significant findings and flow logically from findings and conclusions.
All evaluations submitted to TBS include a management response and action plan. The action plan provides specific actions, timelines for action and management accountabilities.

6.2 Governance and Support for the Evaluation Function: Strong

Head of evaluation has explicit authority to submit evaluation reports directly to the deputy head. Head of evaluation has unencumbered access to the deputy head, as required.
The large majority of resources dedicated to evaluations are directed by the head of evaluation.
Evaluation function resourcing appears to be commensurate with the organizational evaluation plan and supports monitoring and oversight demands. The large majority of planned evaluations are complete.
A senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations and evaluation related products, in a manner that is fully consistent with Annex B of the Policy on Evaluation (2009). The committee is chaired by the deputy head.
Submitted evaluations usually cite the availability or quality of performance data, which is collected by program managers, as a constraint of the evaluation.

6.3 Evaluation Coverage: Strong

The organization has shown evidence of moving towards full evaluation coverage of all its ongoing programs of grants and contributions over a five year cycle as per section 42.1 of the FAA. Average annual evaluation coverage of Gs&Cs is 20% (or higher).

6.4 Usage: Acceptable

The results of evaluations are almost always brought for consideration in the organization’s RPP and DPR.
Active, documented and systematic tracking of management action plans arising from evaluation recommendations is in place. Periodic reporting on the status of implementation of the evaluation recommendations is in place and available.
A large majority of actions from management response and action plans are fully implemented or completed, as planned.
A large majority of completed evaluation reports are submitted to TBS in a timely manner.

Recommendations

7. Effectiveness of Financial Management and Control

Opportunity for Improvement

Highlights	Opportunities
7.0 Summary: While the organization’s performance, risk and sustainability of its planning, operations and reporting cycles is adequate for the most part, it requires improvements in specific areas. 7.1 Performance of the Planning Cycle: Acceptable The performance of the planning cycle is acceptable. Effective departmental planning and budgeting supported by effective financial management governance including CFO model is strong as evidenced by: The CFO signs off on all of ARLU, Main and Supplementary Estimates information, departmental budget forecasts or new funding initiatives. Responsibilities assigned to the CFO position, are consistent with principles of financial management governance. The principles of the guideline on CFO and DCFO qualifications are strong. Fund centre managers received access to their approved budgets within 60 days from the start of the fiscal year, which is a strong practice. Key controls are in place but documentation and testing remain for the most part to be completed. Decision making, accountability for public resources and information to support policy and program delivery is acceptable as evidenced by: Management has taken the necessary steps to ensure the adequacy of financial information that is used to support decision making (e.g. periodically assessing its continued relevance and usefulness). The scope of the internal financial reporting package, including depth and breadth of information is acceptable. 7.2 Sustainability of the Planning Cycle: Opportunity for Improvement While the performance of the planning cycle is sustainable for the most part, there are opportunities to improve in specific areas. While key controls are in place, systems of internal control over financial planning and budgeting could be improved as evidenced by: Key controls are in place, were identified and documented for the most part and progress is being made on testing. Additional steps could be taken by management in several areas to ensure the sustainable provision of decision-support information, as evidenced by the degree of alignment with the TBS Guide to Costing, and the state of costing methodologies and training. Additional steps could be taken by management in specific areas to promote, collectively, professional development and succession planning within the financial management organization as evidenced by: Not all members of the management team of the financial management organization have current, approved learning plans. There are few processes in support of sound succession planning for key positions that are in place. There is an acceptable level of leadership and strategic direction for the Departmental Financial Management System (DFMS) as evidenced by: There is a DFMS plan and it has been approved by the CFO or equivalent. An acceptable consultation and analysis process for new requirements has taken place for the DFMS plan. An acceptable strategic plan or business case including funding profiles for major upgrades. 7.3 Performance of the Operations Cycle: Opportunity for Improvement While the performance of the operations cycle is sustainable for the most part, there are opportunities to improve in specific areas. Aspects related to the FAA, regulations and policy instruments require attention in several areas as evidenced by: While processes supporting s.33 of the FAA are adequate in some areas, several other areas require attention. Policies and procedures for the approval and monitoring of hospitality are strong. Additional steps could be taken by management to ensure adequate procedures for the periodic preparation, distribution and review of accounts receivable ageing reports. Improvements could be made to ensure an adequate level of review, update and approval of the delegation of financial authorities and associated controls. Processes to ensure that suppliers are paid in a timely fashion are acceptable. Internal controls over Specified Purpose Accounts are strong. While the department has an established system of internal control over financial reporting, attention is required in several areas as evidenced by: Key controls are in place but documentation and testing remain to be completed for the most part and requires attention in order to minimize losses due to waste, abuse, mismanagement errors, frauds, omissions and other irregularities. The plan for periodic reviews of external user fees puts management in an acceptable position to ensure effective program delivery and appropriate resource allocations. For the most part the organization has demonstrated that key elements of the Policy or Directive on Transfer Payments are in place as evidenced by: The approved risk management framework for ensuring that the administrative requirements on recipients are proportionate to the associated risk levels. Departmental processes to ensure consistent application of the risk management framework are acceptable. Departmental process to ensure effective service standards framework are acceptable. Investments made in FMS are aligned across government and are generally consistent with TB directions as evidenced by: Investment in a solution that is GC standard and would take the DFMS closer to GC approved configuration. 7.4 Sustainability of the Operations Cycle: Attention Required While the sustainability of the operations cycle is adequate in some areas, attention is required in several other areas. While the department has an established system of internal control over financial reporting, attention is required in several areas as evidenced by: Key controls are in place and progress is being made on their documentation but testing remains to be completed. The stability and depth and breadth of experience of the financial management function requires attention as evidenced by: Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a very low proportion of the FI segment of the financial management organization. On average, senior financial officers' experience in the department is limited. On average, senior financial officers' experience in their substantive positions is limited. The proportion of individuals on the management team that are not appointed indeterminately to their positions requires attention. Considered collectively, the depth of the management team’s experience in the department, as executives and in their substantive positions is recent. 7.5 Performance of the Reporting Cycle: Acceptable Performance of the reporting cycle is acceptable. For the most part, external financial information is reliable, adequately monitored and reported on a timely basis as evidenced by: Reporting of service level and financial information for external user fees is adequate and for the most part meets requirements and guidelines. There are specific areas for improvement of financial statement presentation consistency with TBAS 1.2 as evidenced by: Both draft and final financial statements were submitted on time. The information provided for the accounts of Canada and the Public Accounts of Canada is acceptable. The information provided for the accounts of Canada and the Public Accounts of Canada is not adequately monitored. The information submitted for the Public Accounts of Canada is for the most part provided on a timely basis. Managers with financial authorities have reliable or timely information in support of effective decision making as evidenced by: The internal financial reporting package is provided on a timely basis. Fund centre managers received access to their approved budgets within 60 days from the start of the fiscal year. The Pay Administration Model (PAM) has not been reviewed 7.6 Sustainability of the Reporting Cycle: Attention Required While the sustainability of the reporting cycle is adequate in some areas, attention is required in several other areas. While the department has an established system of internal control over financial reporting, attention is required in several areas as evidenced by: Significant financial statements accounts taking account of risks, materiality and key locations, processes and IT applications need to be identified. Documentation of the key controls is commenced in one area but does not yet cover the remaining levels of key controls. Design effectiveness testing has not yet commenced in the majority of control levels. Operating effectiveness testing is not yet commenced in the majority of control levels. No information on the results and action plan from the assessment provided to the DAC or equivalent. The department has taken action to prepare for the production of the new departmental quarterly financial reports.	LAC is starting to identify its key accounts and has moved, in some areas, towards documentation of its key controls. Over time, it is expected that additional efforts will be needed to sustain progress towards design and operating effectiveness testing.
Recommendations

Highlights

Opportunities

7.0 Summary:

While the organization’s performance, risk and sustainability of its planning, operations and reporting cycles is adequate for the most part, it requires improvements in specific areas.

7.1 Performance of the Planning Cycle: Acceptable

The performance of the planning cycle is acceptable.
Effective departmental planning and budgeting supported by effective financial management governance including CFO model is strong as evidenced by:
- The CFO signs off on all of ARLU, Main and Supplementary Estimates information, departmental budget forecasts or new funding initiatives.
- Responsibilities assigned to the CFO position, are consistent with principles of financial management governance.
- The principles of the guideline on CFO and DCFO qualifications are strong.
Fund centre managers received access to their approved budgets within 60 days from the start of the fiscal year, which is a strong practice.
Key controls are in place but documentation and testing remain for the most part to be completed.
Decision making, accountability for public resources and information to support policy and program delivery is acceptable as evidenced by:
- Management has taken the necessary steps to ensure the adequacy of financial information that is used to support decision making (e.g. periodically assessing its continued relevance and usefulness).
- The scope of the internal financial reporting package, including depth and breadth of information is acceptable.

7.2 Sustainability of the Planning Cycle: Opportunity for Improvement

While the performance of the planning cycle is sustainable for the most part, there are opportunities to improve in specific areas.
While key controls are in place, systems of internal control over financial planning and budgeting could be improved as evidenced by:
- Key controls are in place, were identified and documented for the most part and progress is being made on testing.
Additional steps could be taken by management in several areas to ensure the sustainable provision of decision-support information, as evidenced by the degree of alignment with the TBS Guide to Costing, and the state of costing methodologies and training.
Additional steps could be taken by management in specific areas to promote, collectively, professional development and succession planning within the financial management organization as evidenced by:
- Not all members of the management team of the financial management organization have current, approved learning plans.
- There are few processes in support of sound succession planning for key positions that are in place.
There is an acceptable level of leadership and strategic direction for the Departmental Financial Management System (DFMS) as evidenced by:
- There is a DFMS plan and it has been approved by the CFO or equivalent.
- An acceptable consultation and analysis process for new requirements has taken place for the DFMS plan.
- An acceptable strategic plan or business case including funding profiles for major upgrades.

7.3 Performance of the Operations Cycle: Opportunity for Improvement

While the performance of the operations cycle is sustainable for the most part, there are opportunities to improve in specific areas.
Aspects related to the FAA, regulations and policy instruments require attention in several areas as evidenced by:
- While processes supporting s.33 of the FAA are adequate in some areas, several other areas require attention.
- Policies and procedures for the approval and monitoring of hospitality are strong.
- Additional steps could be taken by management to ensure adequate procedures for the periodic preparation, distribution and review of accounts receivable ageing reports.
- Improvements could be made to ensure an adequate level of review, update and approval of the delegation of financial authorities and associated controls.
- Processes to ensure that suppliers are paid in a timely fashion are acceptable.
- Internal controls over Specified Purpose Accounts are strong.
While the department has an established system of internal control over financial reporting, attention is required in several areas as evidenced by:
- Key controls are in place but documentation and testing remain to be completed for the most part and requires attention in order to minimize losses due to waste, abuse, mismanagement errors, frauds, omissions and other irregularities.
The plan for periodic reviews of external user fees puts management in an acceptable position to ensure effective program delivery and appropriate resource allocations.
For the most part the organization has demonstrated that key elements of the Policy or Directive on Transfer Payments are in place as evidenced by:
- The approved risk management framework for ensuring that the administrative requirements on recipients are proportionate to the associated risk levels.
- Departmental processes to ensure consistent application of the risk management framework are acceptable.
- Departmental process to ensure effective service standards framework are acceptable.
Investments made in FMS are aligned across government and are generally consistent with TB directions as evidenced by:
- Investment in a solution that is GC standard and would take the DFMS closer to GC approved configuration.

7.4 Sustainability of the Operations Cycle: Attention Required

While the sustainability of the operations cycle is adequate in some areas, attention is required in several other areas.
While the department has an established system of internal control over financial reporting, attention is required in several areas as evidenced by:
- Key controls are in place and progress is being made on their documentation but testing remains to be completed.
The stability and depth and breadth of experience of the financial management function requires attention as evidenced by:
- Positions, the duties of which are being performed by an individual indeterminately appointed to that position, comprise a very low proportion of the FI segment of the financial management organization.
- On average, senior financial officers' experience in the department is limited.
- On average, senior financial officers' experience in their substantive positions is limited.
- The proportion of individuals on the management team that are not appointed indeterminately to their positions requires attention.
- Considered collectively, the depth of the management team’s experience in the department, as executives and in their substantive positions is recent.

7.5 Performance of the Reporting Cycle: Acceptable

Performance of the reporting cycle is acceptable.
For the most part, external financial information is reliable, adequately monitored and reported on a timely basis as evidenced by:
- Reporting of service level and financial information for external user fees is adequate and for the most part meets requirements and guidelines.
There are specific areas for improvement of financial statement presentation consistency with TBAS 1.2 as evidenced by:
- Both draft and final financial statements were submitted on time.
- The information provided for the accounts of Canada and the Public Accounts of Canada is acceptable.
- The information provided for the accounts of Canada and the Public Accounts of Canada is not adequately monitored.
- The information submitted for the Public Accounts of Canada is for the most part provided on a timely basis.
Managers with financial authorities have reliable or timely information in support of effective decision making as evidenced by:
- The internal financial reporting package is provided on a timely basis.
- Fund centre managers received access to their approved budgets within 60 days from the start of the fiscal year.
- The Pay Administration Model (PAM) has not been reviewed

7.6 Sustainability of the Reporting Cycle: Attention Required

While the sustainability of the reporting cycle is adequate in some areas, attention is required in several other areas.
While the department has an established system of internal control over financial reporting, attention is required in several areas as evidenced by:
- Significant financial statements accounts taking account of risks, materiality and key locations, processes and IT applications need to be identified.
- Documentation of the key controls is commenced in one area but does not yet cover the remaining levels of key controls.
- Design effectiveness testing has not yet commenced in the majority of control levels.
- Operating effectiveness testing is not yet commenced in the majority of control levels.
- No information on the results and action plan from the assessment provided to the DAC or equivalent.
- The department has taken action to prepare for the production of the new departmental quarterly financial reports.

LAC is starting to identify its key accounts and has moved, in some areas, towards documentation of its key controls. Over time, it is expected that additional efforts will be needed to sustain progress towards design and operating effectiveness testing.

Recommendations

8. Effective Management of Security

Opportunity for Improvement

Highlights	Opportunities
8.1 Governance and Planning: Opportunity for Improvement Governance is in place to support the development, implementation and maintenance of the Departmental Security Plan. Governance was partially in place to set strategic direction, support decision making and provide on-going oversight for the organization's security program. The security program is administered by an appointed Departmental Security Officer who is positioned to provide strategic advice and guidance to senior management. Development of a Departmental Security Plan (DSP) was in-progress and approval was scheduled within the next year. Respective responsibilities and accountabilities of stakeholders have been identified where security responsibilities are delegated to another organization. 8.2 Capacity and Processes: Acceptable Resources, people and processes were at least partially put in place to support implementation of the Departmental Security Plan and manage the organization's security program. Organization had a partially developed security program that contains some of the required policy elements. Measures are in place to ensure training of security practitioners. The security awareness program is developed. Measures are in place to ensure effective management of security incidents. 8.3 Monitoring, Performance Measurement & Reporting: Acceptable Organization has measures in place for on-going monitoring, performance measurement and reporting to senior management on risks, policy compliance and effectiveness of security control framework. Organization has conducted a MITS and BCP self-assessment in the past year. 8.4 Results: Attention Required Some deficiencies in meeting key security policy requirements. Significant deficiencies in meeting Management of Information Technology Security requirements. Organization has measures in place to provide for the continuity of critical business operations and services. Organization has made good progress in the departmental security program in the last year. Some deficiencies identified in previous MAF rounds and through other means had been addressed and some progress was made regarding planned activities.	LoE 8.1 LAC should focus on addressing the deficiencies associated with establishing security responsibilities for shared services, and ensuring that an approved work plan is in place and funded. LoE 8.2 LAC was rated as Acceptable for this LoE. The organization has identified deficiencies with respect to having a security program being in place with established policies, procedures and practices to implement security policy. The deficiencies for this element should be addressed. LoE 8.3 LAC was rated as Acceptable for this LoE. The organization should focus on establishing the required elements to ensure consistent monitoring of new and existing TBS Security Standards. LoE 8.4 LAC should focus on addressing the deficiencies that were identified for MITS.
Recommendations
The LAC assessment indicates that significant deficiencies are present in elements related to planning and compliance to the MITS Standards. The organization will not improve on its overall rating in future rounds, if these deficiencies are not addressed.

Highlights

Opportunities

8.1 Governance and Planning: Opportunity for Improvement

Governance is in place to support the development, implementation and maintenance of the Departmental Security Plan.
Governance was partially in place to set strategic direction, support decision making and provide on-going oversight for the organization's security program.
The security program is administered by an appointed Departmental Security Officer who is positioned to provide strategic advice and guidance to senior management.
Development of a Departmental Security Plan (DSP) was in-progress and approval was scheduled within the next year.
Respective responsibilities and accountabilities of stakeholders have been identified where security responsibilities are delegated to another organization.

8.2 Capacity and Processes: Acceptable

Resources, people and processes were at least partially put in place to support implementation of the Departmental Security Plan and manage the organization's security program.
Organization had a partially developed security program that contains some of the required policy elements.
Measures are in place to ensure training of security practitioners.
The security awareness program is developed.
Measures are in place to ensure effective management of security incidents.

8.3 Monitoring, Performance Measurement & Reporting: Acceptable

Organization has measures in place for on-going monitoring, performance measurement and reporting to senior management on risks, policy compliance and effectiveness of security control framework.
Organization has conducted a MITS and BCP self-assessment in the past year.

8.4 Results: Attention Required

Some deficiencies in meeting key security policy requirements.
Significant deficiencies in meeting Management of Information Technology Security requirements.
Organization has measures in place to provide for the continuity of critical business operations and services.
Organization has made good progress in the departmental security program in the last year.
Some deficiencies identified in previous MAF rounds and through other means had been addressed and some progress was made regarding planned activities.

LoE 8.1 LAC should focus on addressing the deficiencies associated with establishing security responsibilities for shared services, and ensuring that an approved work plan is in place and funded.
LoE 8.2 LAC was rated as Acceptable for this LoE. The organization has identified deficiencies with respect to having a security program being in place with established policies, procedures and practices to implement security policy. The deficiencies for this element should be addressed.
LoE 8.3 LAC was rated as Acceptable for this LoE. The organization should focus on establishing the required elements to ensure consistent monitoring of new and existing TBS Security Standards.
LoE 8.4 LAC should focus on addressing the deficiencies that were identified for MITS.

Recommendations

The LAC assessment indicates that significant deficiencies are present in elements related to planning and compliance to the MITS Standards. The organization will not improve on its overall rating in future rounds, if these deficiencies are not addressed.

9. Integrated Risk Management

Opportunity for Improvement

Highlights	Opportunities
9.1 Governance and Leadership: Opportunity for Improvement Senior management provides some leadership for integrated risk management, but expectations are not clear. Accountability for corporate risks is clearly articulated and formally assigned. Mechanisms for reporting against accountabilities for corporate risks are in development. 9.2 Implementation: Opportunity for Improvement The organization consistently collects, prioritizes and aggregates risk information to document its key risks in the form of a corporate risk profile or similar tool. The organization has initiated a monitoring process to track progress of key risk responses, but it is not yet in use. There is some evidence of activities being undertaken to assure the quality and consistency of risk information, as the organization continues to develop a coherent integrated risk management approach. 9.3 Results and Continuous Improvement: Opportunity for Improvement There is some evidence that the opportunities for improvement identified in the organization’s previous MAF assessment have been considered and incorporated. The organization inconsistently reviews and adjusts its overall integrated risk management approach. Information on key risks, as contained in the corporate risk profile or similar tool, is inconsistently used to support improvements to organizational performance.
Recommendations
LAC is encouraged to maintain momentum on the implementation of the Modernization Agenda, and to continue building a foundation of risk management capacity within the organization.

Highlights

Opportunities

9.1 Governance and Leadership: Opportunity for Improvement

Senior management provides some leadership for integrated risk management, but expectations are not clear.
Accountability for corporate risks is clearly articulated and formally assigned.
Mechanisms for reporting against accountabilities for corporate risks are in development.

9.2 Implementation: Opportunity for Improvement

The organization consistently collects, prioritizes and aggregates risk information to document its key risks in the form of a corporate risk profile or similar tool.
The organization has initiated a monitoring process to track progress of key risk responses, but it is not yet in use.
There is some evidence of activities being undertaken to assure the quality and consistency of risk information, as the organization continues to develop a coherent integrated risk management approach.

9.3 Results and Continuous Improvement: Opportunity for Improvement

There is some evidence that the opportunities for improvement identified in the organization’s previous MAF assessment have been considered and incorporated.
The organization inconsistently reviews and adjusts its overall integrated risk management approach.
Information on key risks, as contained in the corporate risk profile or similar tool, is inconsistently used to support improvements to organizational performance.

Recommendations

LAC is encouraged to maintain momentum on the implementation of the Modernization Agenda, and to continue building a foundation of risk management capacity within the organization.

10. Excellence in People Management

Acceptable

Highlights	Opportunities
Overall score Library and Archives Canada (LAC) received an overall score of 62.4 and a rating of Acceptable. Last round, its performance was rated Acceptable for AoM 10. Library and Archives showed particular strength with respect to Employee Engagement and Official Languages. In addition its employment equity promotions are at par with the organization’s overall promotion rate. LAC encourages development of its employees by providing opportunities for learning through experience and a low overtime use. Its executive performance management regime is well aligned with its established performance criteria and the department is promoting strongly its employees. In comparison to MAF VII, LAC’s ratings have improved in Employee Engagement, Employee Learning and Staffing, and have decreased for Performance Management and Workload and Workforce Planning Effectiveness. Contextual information The organization is in the process of updating its business processes, refocusing its mandate and reviewing policies in order to better respond to the changing environment where documentary production, dissemination, preservation and access to documents is moving towards digital technology. In addition, the senior management team underwent a reorganization in the Spring 2010, which might have adversely affected its score under related measures, such as executive stability. LAC created a new framework to respond to the above issues and PSES results with a focus on: commitment and satisfaction, career opportunities and development, executive leadership, and harassment and discrimination.	Areas for improvement include Workload and Workforce Planning Effectiveness (succession planning effectiveness and long term acting assignments), which might be partly explained by the reorganization. In addition, demonstrating results/outcomes of its PSES Action Plan and addressing HR specific issue, executive churn and its performance management process participation rate are also areas where there are opportunities for improvement. A low score on training investments indicates a possible need for the organization to re-evaluate its resource allocation in order to succeed in attracting, developing and retaining its employees. With respect to Employment Equity, the organization could improve the representation of Visible Minorities and promotions of Women.
Recommendations

Highlights

Opportunities

Overall score

Library and Archives Canada (LAC) received an overall score of 62.4 and a rating of Acceptable. Last round, its performance was rated Acceptable for AoM 10.

Library and Archives showed particular strength with respect to Employee Engagement and Official Languages. In addition its employment equity promotions are at par with the organization’s overall promotion rate. LAC encourages development of its employees by providing opportunities for learning through experience and a low overtime use. Its executive performance management regime is well aligned with its established performance criteria and the department is promoting strongly its employees.

In comparison to MAF VII, LAC’s ratings have improved in Employee Engagement, Employee Learning and Staffing, and have decreased for Performance Management and Workload and Workforce Planning Effectiveness.

Contextual information

The organization is in the process of updating its business processes, refocusing its mandate and reviewing policies in order to better respond to the changing environment where documentary production, dissemination, preservation and access to documents is moving towards digital technology. In addition, the senior management team underwent a reorganization in the Spring 2010, which might have adversely affected its score under related measures, such as executive stability.

LAC created a new framework to respond to the above issues and PSES results with a focus on: commitment and satisfaction, career opportunities and development, executive leadership, and harassment and discrimination.

Areas for improvement include Workload and Workforce Planning Effectiveness (succession planning effectiveness and long term acting assignments), which might be partly explained by the reorganization. In addition, demonstrating results/outcomes of its PSES Action Plan and addressing HR specific issue, executive churn and its performance management process participation rate are also areas where there are opportunities for improvement. A low score on training investments indicates a possible need for the organization to re-evaluate its resource allocation in order to succeed in attracting, developing and retaining its employees. With respect to Employment Equity, the organization could improve the representation of Visible Minorities and promotions of Women.

Recommendations

11. Effective Procurement

Strong

Highlights	Opportunities
11.1 Governance, Leadership and Planning: Strong Clear and continually updated links between procurement activities and the organization-wide program plans, priorities and long-term investments are evident. Clear links are established between procurement activities and the organization-wide program plans, priorities and long-term investments. Effective and accountable procurement management processes, communications and controls are in place. 11.2 Capacity, Implementation and Outcomes: Acceptable Qualified procurement human resources exist. Consistent procurement training is evident. Clear links to human resources planning are established (e.g., succession planning and recruitment strategies for procurement staff). Nearly all procurement reporting is timely and accurate. Procurement processes that contribute to cost savings and value for money are in use. Performance measures are developed for the majority of national objectives. Lessons learned are used to adjust future procurement plans.	LAC should report on contracts awarded within Comprehensive Land Claims Agreements settlement areas to INAC. LAC is encouraged to solicit client feedback to determine their level of satisfaction with procurement within the organization. LAC is encouraged to continue their mandatory training course for managers that is currently in a pilot phase.
Recommendations

Highlights

Opportunities

11.1 Governance, Leadership and Planning: Strong

Clear and continually updated links between procurement activities and the organization-wide program plans, priorities and long-term investments are evident.
Clear links are established between procurement activities and the organization-wide program plans, priorities and long-term investments.
Effective and accountable procurement management processes, communications and controls are in place.

11.2 Capacity, Implementation and Outcomes: Acceptable

Qualified procurement human resources exist.
Consistent procurement training is evident.
Clear links to human resources planning are established (e.g., succession planning and recruitment strategies for procurement staff).
Nearly all procurement reporting is timely and accurate.
Procurement processes that contribute to cost savings and value for money are in use.
Performance measures are developed for the majority of national objectives.
Lessons learned are used to adjust future procurement plans.

LAC should report on contracts awarded within Comprehensive Land Claims Agreements settlement areas to INAC.
LAC is encouraged to solicit client feedback to determine their level of satisfaction with procurement within the organization.
LAC is encouraged to continue their mandatory training course for managers that is currently in a pilot phase.

Recommendations

12. Effectiveness of Information Management

Acceptable

Highlights	Opportunities
12.1 IM Governance: Acceptable Designated IMSO has accountability for development, implementation and monitoring compliance to organizational or GC-wide IM policies and their role in corporate governance structures is clear. IM governance and accountability structures are in place, based on an established governance framework and there is significant IM representation in organization-wide governance and/or approval committees. Some employee IM roles and responsibilities are defined. The organization is extensively participating in GC-wide IM committees and is leveraging and contributing to the development of IM policies and best practices across the GC. 12.2 IM Strategy Planning and Implementation: Acceptable Organization has a current, formally approved IM Strategy that is current, active, and reviewed on a regular basis. IM Strategy implementation is underway and there is appreciable progress toward meeting established milestones. Organization has an IM Awareness Strategy which includes IM training and demonstrates appreciable progress in its implementation. 12.3 IM Practice: Opportunity for Improvement Organization has a partial inventory of structured or unstructured repositories and has documented some practices for the consistent management, search, and retrieval of information found within those repositories. Organization has some documented recordkeeping practices for capturing, classifying, and accessing information; there is minimal progress toward integrating the practices in to day-to-day activities; a classification structure or taxonomy is only used in part of the organization or is under development. Organization is developing Retention & Disposition Plans; the disposition process is documented but not consistently implemented. 12.4 Access to Information: Acceptable Most of the organization's functions, programs, and activities have been appropriately identified and described in its Chapter of Info Source: Sources of Government and Employee Information. 12.5 Privacy: 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 Privacy Act. There is significant evidence that the organization has taken action to address most privacy-related issues identified in the previous MAF assessment. 12.6 ATIP Governance and Capacity: Acceptable Evidence demonstrates that an appropriate governance structure is in place and roles and responsibilities are defined.	Ensure governance structures enable full consideration of IM impacts in corporate decision-making. Define and communicate comprehensive IM roles and responsibilities for all employees. Monitor IM strategy implementation through regular reporting, and adjust strategy as required. Document all information repositories and processes for managing them throughout their lifecycle. Initiate identification of information resources of business value to ensure appropriate maintenance & accessibility. Ensure that Retention and Disposition Schedules are in place for all resource types across the organization. Ensure that all Class of Record descriptions and related Personal Information Banks are appropriately linked to the relevant sub-activities in the Info Source chapter.
Recommendations

Highlights

Opportunities

12.1 IM Governance: Acceptable

Designated IMSO has accountability for development, implementation and monitoring compliance to organizational or GC-wide IM policies and their role in corporate governance structures is clear.
IM governance and accountability structures are in place, based on an established governance framework and there is significant IM representation in organization-wide governance and/or approval committees.
Some employee IM roles and responsibilities are defined.
The organization is extensively participating in GC-wide IM committees and is leveraging and contributing to the development of IM policies and best practices across the GC.

12.2 IM Strategy Planning and Implementation: Acceptable

Organization has a current, formally approved IM Strategy that is current, active, and reviewed on a regular basis.
IM Strategy implementation is underway and there is appreciable progress toward meeting established milestones.
Organization has an IM Awareness Strategy which includes IM training and demonstrates appreciable progress in its implementation.

12.3 IM Practice: Opportunity for Improvement

Organization has a partial inventory of structured or unstructured repositories and has documented some practices for the consistent management, search, and retrieval of information found within those repositories.
Organization has some documented recordkeeping practices for capturing, classifying, and accessing information; there is minimal progress toward integrating the practices in to day-to-day activities; a classification structure or taxonomy is only used in part of the organization or is under development.
Organization is developing Retention & Disposition Plans; the disposition process is documented but not consistently implemented.

12.4 Access to Information: Acceptable

Most of the organization's functions, programs, and activities have been appropriately identified and described in its Chapter of Info Source: Sources of Government and Employee Information.

12.5 Privacy: 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 Privacy Act.
There is significant evidence that the organization has taken action to address most privacy-related issues identified in the previous MAF assessment.

12.6 ATIP Governance and Capacity: Acceptable

Evidence demonstrates that an appropriate governance structure is in place and roles and responsibilities are defined.

Ensure governance structures enable full consideration of IM impacts in corporate decision-making.
Define and communicate comprehensive IM roles and responsibilities for all employees.
Monitor IM strategy implementation through regular reporting, and adjust strategy as required.
Document all information repositories and processes for managing them throughout their lifecycle.
Initiate identification of information resources of business value to ensure appropriate maintenance & accessibility.
Ensure that Retention and Disposition Schedules are in place for all resource types across the organization.
Ensure that all Class of Record descriptions and related Personal Information Banks are appropriately linked to the relevant sub-activities in the Info Source chapter.

Recommendations

13. Effectiveness of Information Technology Management

Acceptable

Highlights	Opportunities
13.1 Leadership: Strong Senior official for information technology has responsibility and accountability for virtually the full scope of information technology responsibilities. Effective relationships and definition of accountability exists between the senior official for IT and the Web presence authority. Organization demonstrates leadership and actively contributes to desired government-wide outcomes. Organization demonstrates sharing, re-using or leveraging across the government for ideas, best practices, assets and implementations. 13.2 Planning: Acceptable A comprehensive Information Technology Plan is in place and aligns with the government-wide directions for information technology and with departmental business needs. Organization effectively analyzes, plans for, and appropriately uses information technology shared services. 13.3 Value: Acceptable Organization has processes to report progress against planned information technology activities. Organization is making efforts to establish performance measurement tools and performance reporting to guide decision-making (includes the use of metrics, an IT costing model, and performance indicator benchmarks). The management of information technology is strong in the area of leadership and acceptable in planning and delivery of value from information technology investments. The organization is continuing its development of service costing tools. The organization participates well in government-wide information technology initiatives.	Commended for their progress and encouraged to continue development of service costing and asset management for Information Technology to guide better decision making, increase performance levels and enable continuous improvement.
Recommendations

Highlights

Opportunities

13.1 Leadership: Strong

Senior official for information technology has responsibility and accountability for virtually the full scope of information technology responsibilities.
Effective relationships and definition of accountability exists between the senior official for IT and the Web presence authority.
Organization demonstrates leadership and actively contributes to desired government-wide outcomes.
Organization demonstrates sharing, re-using or leveraging across the government for ideas, best practices, assets and implementations.

13.2 Planning: Acceptable

A comprehensive Information Technology Plan is in place and aligns with the government-wide directions for information technology and with departmental business needs.
Organization effectively analyzes, plans for, and appropriately uses information technology shared services.

13.3 Value: Acceptable

Organization has processes to report progress against planned information technology activities.
Organization is making efforts to establish performance measurement tools and performance reporting to guide decision-making (includes the use of metrics, an IT costing model, and performance indicator benchmarks).

The management of information technology is strong in the area of leadership and acceptable in planning and delivery of value from information technology investments. The organization is continuing its development of service costing tools. The organization participates well in government-wide information technology initiatives.

Commended for their progress and encouraged to continue development of service costing and asset management for Information Technology to guide better decision making, increase performance levels and enable continuous improvement.

Recommendations

14. Effectiveness of Asset Management

Acceptable

Highlights	Opportunities
This Area of Management (AoM) was not assessed in the current Round for this organisation as it is an AoM assessed on a rotational basis. Therefore, the rating is carried over from the last Round this organization was assessed on that AoM.
Recommendations

15. Investment Planning and Management of Projects

Acceptable

Highlights	Opportunities
This Area of Management (AoM) was not assessed in the current Round for this organisation as it is an AoM assessed on a rotational basis. Therefore, the rating is carried over from the last Round this organization was assessed on that AoM.
Recommendations

Management Response