Treasury Board of Canada Secretariat
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2011-12 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's (LAC) management capacity are generally positive overall. In total, for the eight Areas of Management (AoM) on which the department was assessed, LAC received one "strong" rating, five "acceptable" ratings, and two "opportunity for improvement" ratings. Overall, LAC has maintained its "strong" rating for AoM 6 (Evaluation) compared to last year's assessment and has improved its performance by reducing its "opportunity for improvement" ratings from four to two.

During this Management Accountability Framework (MAF) period, LAC continued with the ongoing implementation of its modernization initiative which began in 2009. The initiative includes digitizing LAC's holdings so that more Canadians can access its materials and programming on-line regardless of geographic location. LAC also participated in the government's deficit reduction action plan which generated savings proposals consistent with the modernization initiative. In addition, LAC developed and submitted its departmental investment plan to TBS.

In terms of the core Areas of Management (AoMs 1, 5, 6, 7, 9, 10), the organization's ratings went up in AoM 5, 7 and 9 (all from "opportunity for improvement" to "acceptable"). LAC maintained its "strong" rating for AoM 6 and "acceptable" rating for AoM 10, however, declined in its AoM 1 rating from "acceptable" to "opportunity for improvement". Note that AoMs 5, 7 and 8 were identified as management priorities last year.

  • AoM 5 Internal Audit: Last year LAC was encouraged to develop and implement a Quality Assurance and Improvement Program to better monitor and execute internal audit functions. TBS also recommended that LAC establish sufficient human resources capacity within its internal audit function. LAC has addressed both recommendations resulting in an improved "acceptable" rating. Although LAC has developed the framework and partially implemented its Quality Assurance and Improvement Program, the department is encouraged to fully implement the program next year.
  • AoM 7 Financial Management: Last year TBS recommended that LAC address weaknesses related to compliance with Treasury Board financial policies, costing practices and financial reporting. LAC has addressed most issues identified which has resulted in an improved rating of "acceptable". LAC is encouraged to make further improvements in the area of internal control related to financial reporting.
  • AoM 9 Risk Management: Last year TBS encouraged LAC to implement the targets established within its corporate risk profile across the organization, as well as fully develop and implement a risk management framework. LAC has addressed these areas since last year and as a result has improved its rating from "opportunity for improvement" to "acceptable". LAC is encouraged to implement its three-year Integrated Risk Management action plan.

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

  • AoM 12 Information Management: In this area, LAC has maintained its rating of "acceptable", however, the organization is encouraged to continue to improve its recordkeeping practices and finalize its plan regarding the retention and disposition of documents.
  • AoM 8 Management of Security: LAC has addressed most issues that were identified last year such as increasing its human resources capacity in the area of security and meeting standard requirements of the management of information technology security. LAC is encouraged to finalize and fully develop and implement its Departmental Security Plan for next year.

The Treasury Board Secretariat has identified the following new management priority for next year related to core AoMs:

  • AoM 1 Values and Ethics: LAC is encouraged to develop an action plan that will address related areas of weakness in the 2011 Public Service Employee Survey.

In addition, the Treasury Board Secretariat has identified the following area for follow-up work in 2012-13:

  • AoM 8 Security: Given the department's mandate, development and approval of the Departmental Security Plan should be a management priority.

1. Values and Ethics

  Opportunity for Improvement    
Highlights Opportunities

1.1 Culture: Opportunity for Improvement

  • While recognizing the efforts undertaken, the organization demonstrated to a limited extent that it reflects and supports public service values and ethics. Additional information is contained in the following bullets.
  • The organization achieved a satisfactory score on the PSES question measuring to what extent employees perceive that their department/agency treats them with respect.
  • The organization achieved a satisfactory score on the PSES question measuring employee perception of how hard their department/agency works to create a workplace that prevents harassment.
  • The organization scored low on the PSES question measuring whether employees feel they can initiate a formal recourse process without fear of reprisal.
  • The organization scored low on the PSES question measuring employee perception of whether discussions about values and ethics occur in their workplace.
  • There is substantial evidence to demonstrate that the organization is developing a culture based on values and ethics.
  • There is insufficient evidence to demonstrate how managers and employees apply values and ethics principles in their daily work.

1.2 Leadership: Opportunity for Improvement

  • While recognizing the efforts undertaken, the organization demonstrated to a limited extent that its leaders promote and visibly support values and ethics. Additional information is contained in the following bullets.
  • The organization scored low on the PSES question measuring whether employees perceive that senior managers lead by example in ethical behaviour.
  • There is minimal evidence showing how the organization’s leaders have promoted values and ethics and how leaders have demonstrated their support and commitment to values and ethics.
  • There is sufficient evidence of how the organization’s leaders have demonstrated and communicated expected ethical behaviours and consequences of non-compliance.

1.3 Governance: Opportunity for Improvement

  • While recognizing the efforts undertaken, the organization demonstrated to a limited extent that it supports a values and ethics framework/infrastructure. Additional information is contained in the following bullets.
  • The organization achieved a satisfactory score on the PSES question measuring employee satisfaction in the way in which informal complaints on workplace issues are resolved in the work unit.
  • The organization achieved a satisfactory score on the PSES question measuring whether employees know where to go for help in resolving an ethical dilemma or a conflict between values in the workplace.
  • The organization achieved a satisfactory score on the PSES question measuring employee satisfaction with the way in which the organization responds to matters related to harassment and discrimination.
  • The organization achieved a satisfactory score on the PSES question measuring employee satisfaction with the way in which his/her work unit responds to matters related to harassment and discrimination.
  • There is minimal evidence to demonstrate that results have been achieved following the implementation of values and ethics plans, activities and commitments.

Based on the findings of the Public Service Employee Survey and relevant examples submitted in response to the additional questions, Library and Archives Canada received an overall rating of Opportunity for Improvement. The score obtained was in the upper part of this scale.

Using various tools (surveys, statistics, etc), Library and Archives Canada could take a closer look at the results achieved since the first steps were taken in the area of values and ethics, and at the impact of this infrastructure on employees. It would be a good idea for the organization to provide additional evidence showing how employees apply values and ethical principles in their day-to-day work.

It would be beneficial for the organization to review in more detail the 2011 Public Service Employee Survey (PSES) areas for which it received lower scores and to undertake activities to address these issues.

Recommendations

2. Managing for Results

    Acceptable  
Highlights Opportunities

This area was not assessed this year for this organization. The rating from the last year this area was assessed is carried-over to the current year.

 

Recommendations

3. Governance and Planning


 
     
Highlights Opportunities

This area is no longer assessed.

Recommendations

4. Citizen-focused Service

    Acceptable  
Highlights Opportunities

This area was not assessed this year for this organization. The rating from the last year this area was assessed is carried-over to the current year.

Recommendations

5. Internal Audit

    Acceptable  
Highlights Opportunities

5.1 Sustainability: Acceptable

  • The quality of internal audit reports meets most expectations.
  • Ongoing internal assessments are conducted; and an external assessment (Quality Assessment Review/Practice Inspection) is completed or planned.
  • There is adequate capacity and capability for the effective delivery of internal audit services.
  • There is a fully demonstrated commitment to growth, development, and improvement through systematic and on-going learning and professional development.

5.2 Performance: 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.
  • The progressive value-added impact of the internal audit activity is illustrated through its reporting on the results of identified risk, control and governance processes.
  • The Departmental Audit Committee’s provision of advice helps to support the Deputy Head as the accounting officer.
  • The internal audit completion rate relative to the 2011-12 Risk-based Audit Plan is moderate.
  • Internal Audit is addressing most areas of highest risk and significance, thereby contributing to improved organizational performance.
  • Most recommendations arising from internal audit work are implemented by management.

The internal audit regime at the Library and Archives of Canada is providing objective and independent assurance and advice on identified departmental risk management, control and governance processes.

  • Continued progress in deploying human resources retention strategies is encouraged.
  • Continued progress in following up on management action plans is suggested.
  • Continued progress in strengthening the quality assurance improvement program is encouraged.
Recommendations

6. Evaluation

      Strong
Highlights Opportunities

6.2 Governance and Support of the Evaluation Function: Strong

  • The Head of Evaluation has explicit authority to submit evaluation reports directly to the Deputy Head and has regular and unencumbered access to the Deputy Head.
  • All resources dedicated to evaluations are directed by the head of evaluation.
  • The 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.
  • Active, documented and systematic tracking of the development and implementation of Performance Measurement Strategies is in place. Regular reporting on the status of implementation is in place and available.

6.3 Evaluation Coverage: Strong

  • An assessment of evaluation needs is completed. An appropriate plan (or similar documentation outlining the organization’s evaluation needs) has been implemented.
  • The organization has clearly demonstrated that it is 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 Use of Evaluation: Acceptable

  • There are no relevant evaluation results available to be brought for consideration in TB submissions.
  • There are no relevant evaluation issues and/or results available to be brought for consideration in Memoranda to Cabinet.
  • 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.
  • There are no relevant evaluation results available to be brought for consideration in the organization’s expenditure reviews.

6.1 - LAC has not submitted any evaluation reports to TBS for MAF 2011-12. As no major changes in the evaluation function at LAC have taken place, the organization’s rating of "acceptable" for this line of evidence has been carried forward from 2010-11.

Recommendations

7. Financial Management and Control

    Acceptable  
Highlights Opportunities

7.1 Performance of the Planning Cycle: Strong

  • The performance of the planning cycle is strong.
  • 7.1.1 Forecasting: Strong
    • Management has strong forecasting practices of their year-end expenditures in place.
  • 7.1.2 Budget Management: Strong
    • Fund centre managers received access to their approved budgets within 30 days from July 1, which is a strong practice.
  • 7.1.3 Planning of Specific Reviews: Acceptable
    • The plan for periodic reviews of external user fees appears capable of providing management with an adequate level of internal control and information to make informed decisions about program delivery and resource allocations.

7.2 Performance of the Operations Cycle: Acceptable

  • The performance of the operations cycle is acceptable.
  • 7.2.1 Compliance: Acceptable
    • While processes supporting section 33 certification under the Financial Administration Act are adequate, prudent stewardship of public funds could be enhanced.
    • Processes supporting the exercise of section 32 authorities under the Financial Administration Act are strong thereby strengthening prudent stewardship of public funds.
    • Processes supporting credit card banking arrangements established by the Receiver General are strong thereby strengthening prudent stewardship of public funds.
    • Departmental business processes for the timely payment of supplier invoices are acceptable.
  • 7.2.2 Internal Control over Financial Reporting: Opportunity for Improvement
    • The organizational management of effectiveness of its internal controls over financial reporting is adequate but more progress can be made in the areas of documentation, design and operating effectiveness testing as appropriate.
  • 7.2.3 Financial Systems: Opportunity for Improvement
    • Based on the Guideline on Common Financial Management Business Process to Pay Administration (PAM) the amount of resources allocated to review and implement a plan for PAM could be improved.

7.3 Performance of the Reporting Cycle: Acceptable

  • The performance of the reporting cycle is acceptable.
  • 7.3.1 Fiscal monitor and Public Accounts of Canada: Acceptable
    • The information provided in the accounts of Canada and for the Public Accounts of Canada is generally reliable.
    • The information provided in the accounts of Canada and for the Public Accounts of Canada is in many instances not adequately monitored.
    • The information for the Public Accounts of Canada is provided on a timely basis.
  • 7.3.2 Organizational Financial Statements: Acceptable
    • The financial statements are easily accessible through the DPR web link, which helps support the accessibility of the information presented.
    • The financial statements presentation is in compliance with TBAS 1.2. The compliance helps support the stewardship, management and oversight of public resources.
    • The organizational financial statements were submitted on time.
  • 7.3.3 Organizational Quarterly Financial Reports: Acceptable
    • Organization’s QFRs are easily accessible on the organization’s website.
    • Organization’s QFRs were made public within 60 days after the end of the reporting period, supporting the timely oversight of government expenditures.
    • Organization’s QFRs meet most of the presentation requirements as per Treasury Board Accounting Standard 1.3 and other relevant sources of guidance. However improvement (s) would help to better align with the reporting objectives.
  • 7.3.4 Internal Control over Financial Reporting: Opportunity for Improvement
    • The organization is making some progress in developing a plan to support its assessment of the effectiveness of its internal controls over financial reporting.

7.4 Performance Sustainability: Acceptable

  • The ability to sustain performance within the planning, operating and reporting cycles is acceptable.
  • 7.4.1 Financial Management Governance: Strong
    • Effective financial management governance is acceptable.
    • Responsibilities assigned to the CFO position are consistent with the principles of financial management governance.
  • 7.4.2 Internal financial reporting: Strong
    • The internal financial reporting package reports on a breadth of key measures significant on all levels and across all operations.
    • The internal financial reporting package has moderate qualitative value because its in-depth analysis and discussion of key measures is adequate.
    • The internal financial reporting package is always provided on a timely basis.
    • The internal financial reporting process is reliable.
  • 7.4.3 Capacity of the Financial Management Community: Acceptable
    • The financial management organization has demonstrated a commitment to learning, training and development.
    • The financial management organization has demonstrated stability.
    • The average experience level of senior financial officers is comparatively less than that of the community overall.
  • 7.4.4 Financial Systems Governance: Acceptable
    • Investments made in financial management systems are aligned across government and are in compliance with Treasury Board directions.
    • There are investments in a solution that is GC standard and/or investments that would take the DFMS closer to a GC-approved configuration.
    • DFMS direct and indirect costs are provided in the plan.
    • There is strong leadership and strategic direction for the Departmental Financial Management System (DFMS).
    • The DFMS plan has been approved by the CFO.
    • There is inadequate consultation with users for the DFMS plan.

LAC has made a remarkable progress in the performance of its financial management practices over the last 2 years.

Recommendations

8. Management of Security

  Opportunity for Improvement    
Highlights Opportunities

8.1 Governance and Planning: Opportunity for Improvement

  • Governance is in place to set strategic direction, support decision making and provide ongoing oversight for the organization's security program.
  • Governance is in place to support the development, approval, implementation and maintenance of the Departmental Security Plan.
  • The security program is administered by an appointed Departmental Security Officer who is positioned to provide strategic advice and guidance to senior management.
  • Respective responsibilities and accountabilities of stakeholders have been identified where security responsibilities are delegated to another organization.
  • There is limited or no evidence that approval of the Departmental Security Plan will be achieved before June 2012.
  • A Departmental Security Plan has been developed but does not fully meet the expected level of completion for MAF 2011-12.
  • The Departmental Security Plan does not provide an integrated view of organizational security risks and requirements.
  • An annual work plan is in place, funded and approved to establish priorities for the organizational security program.

8.2 Capacity and Processes: Acceptable

  • A security organization with adequate resources, people and processes is in place to support implementation of the Departmental Security Plan and to effectively manage the organization's security program.
  • The organization has 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.

8.5 Leadership (for Strong rating only): Not Applicable

  • The organization demonstrates some leadership and innovation, and contributes to the government-wide security program.

LAC should:

  • Complete the development and seek deputy head approval of the Departmental Security Plan.
  • Focus on completing the activities related to its Departmental Security Program. This issue is outstanding from Round VII and should be completed.
Recommendations

Development and approval of the Departmental Security Plan should be assigned a high priority.

9. Integrated Risk Management

    Acceptable  
Highlights Opportunities

9.1 Governance and Leadership: Acceptable

  • The Deputy Head and senior management provide leadership, establish, and communicate expectations for integrated risk management.
  • The organization has initiated work towards the development of risk tolerance levels.
  • There is some evidence that accountability for corporate risks is considered, but it is not clearly articulated or formally assigned.

9.2 Implementation: Acceptable

  • Risk management practices and principles are integrated into most of the organization's operational and functional activities.
  • Risk information is collected, prioritized, and aggregated and key risks are documented in a corporate risk profile or similar tool.
  • There is some evidence that the organization monitors risk responses although it is unclear how progress and performance of those responses is reviewed and reported.
  • It is unclear if progress and performance on risk responses is used to make adjustments to those responses over the course of the year.
  • The organization undertakes activities to assure the quality and consistency of risk identification, assessment and response across the organization.

9.3 Results and Continuous Improvement: Acceptable

  • The organization has considered and addressed most of the opportunities for improvement identified in its previous MAF assessment.
  • There is some evidence that the organization communicates adjustments to its integrated risk management approach to staff.

To maintain and demonstrate a tailored and proactive IRM approach, it is recommended that LAC consider the following opportunities:

For 2012–13:

  • Implement mechanisms for monitoring, adjusting and proactively communicating responsibilities and risk response measures.
  • Finalize, approve, implement and communicate the 2011–2014 three-year action plan (including the communication plan and the vision and guidance document).

For subsequent years:

  • Put in place its IRM performance measurement strategy to assess the efficiency of progress reporting measures.
  • Measure the progress of the CRP to ensure that expected outcomes are achieved and that it fosters decision-making.
  • Ensure formal and ongoing dialogue on IRM with the entire federal government.
Recommendations

10. People Management

    Acceptable  
Highlights Opportunities

Overall score

Library and Archives Canada (LAC) received an overall score of 58.37 and a rating of Acceptable. Last year, LAC's performance was rated Acceptable for AoM 10

Library and Archives showed particular strength with respect to Official Languages as demonstrated by positive results on the Public Service Employee Survey (PSES). In addition, the organization reports high employee retention rates. LAC's commitment to diversity is evidenced by both employees' perceptions and by the administrative measures regarding Employment Equity promotions.

In comparison to MAF 2010-2011, LAC's ratings have increased in Workload and Workforce Planning Effectiveness and decreased notably in Employee Engagement and Executive Leadership.

Contextual information

The organization continues to update 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 are moving towards digital technology. Considering the economic context, the institution embarked on creating alternative learning opportunities for employees, such as coaching, job shadowing and mentoring.

LAC is constantly looking for new ways to increase its employment equity (EE) representation. A self-identification campaign was launched that allows employees to access and complete the Employee Self-Identification questionnaire directly from the Human Resources Information System self-service tool. Special measures to help correct under-representation of members from EE groups are systematically applied in recruitment. The outcome of these special measures is monitored through LAC's corporate Dashboard, which is presented to Management Board on a quarterly basis.

Areas for improvement include Performance and Talent Management and Executive Leadership, particularly employees’ lack of confidence in and effectiveness of their senior management as expressed through the PSES results. In addition, employees report a need for meaningful recognition and supervisors report a lack of effective mechanisms in place to deal with poor performers. LAC could also benefit from improving its representation of Aboriginal peoples and visible minorities and the promotion rate of persons with disabilities.

Recommendations

Please consult the Public Service Management Dashboard which contains more than 250 measures on people management to support Deputy Heads.

You may also want to consult your organization’s workforce profile as well as the Achieving a High Performing Public Service Series, both available on GCForums:

11. Procurement

      Strong
Highlights Opportunities

This area was not assessed this year for this organization. The rating from the last year this area was assessed is carried-over to the current year.

Recommendations

12. Information Management

    Acceptable  
Highlights Opportunities

12.1 IM Governance: Acceptable

  • The 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 a governance framework and there is significant IM representation in organization-wide governance and/or approval committees.
  • Employee IM roles and responsibilities are defined and communicated to staff.
  • 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 Strategy Planning and Implementation: Acceptable

  • The 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 towards meeting established milestones.
  • The organization has an IM Awareness Strategy which includes IM training and demonstrates appreciable progress in its implementation.

12.3 IM Practice: Opportunity for Improvement

  • The organization has a complete inventory of structured and unstructured repositories and has documented some practices for the consistent management of information within those repositories, including business rules/processes to support the routine search and retrieval of information.
  • The organization has documented recordkeeping practices for capturing, classifying, and accessing information and has demonstrated progress towards integrating these practices into day-to-day activities; there is an approved classification structure or taxonomy that is in use across most of the organization.
  • The organization is developing Retention and Disposition Plans; the disposition process is documented but is not implemented consistently.

12.4 Access to Information: Acceptable

  • Treasury Board Secretariat acknowledges the significant efforts the organization has made to improve and revise its most recent Info Source chapter and recognizes that additional revisions will continue to be made to ensure compliance with TBS requirements.
  • There is significant evidence that the organization has taken action to address most access to information-related issues identified in the previous MAF assessment.

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.
  • Evidence demonstrates that the organization provides some ATIP training activities for ATIP specialists.
  • There is little or no evidence that the organization provides ATIP training activities for non-specialists.
  • Evidence demonstrates that the organization is engaged in reducing processing times for ATI requests and in improving the administration of the ATI and Privacy program in the organization and/or across government.
  • Monitor IM strategy implementation through regular reporting, and adjust strategy as required.
  • Develop a complete inventory of electronic information repositories.
  • Initiate identification of information resources of business value.
  • Ensure that retention and disposition schedules are in place and that disposition is being carried out.
  • Ensure that institution-specific Class or Records and Personal Information Banks are reviewed and updated as required.
Recommendations

13. Information Technology Management

    Acceptable  
Highlights Opportunities

This area was not assessed this year for this organization. The rating from the last year this area was assessed is carried-over to the current year.

Recommendations

14. Asset Management

    Acceptable  
Highlights Opportunities

This area was not assessed this year for this organization. The rating from the last year this area was assessed is carried-over to the current year.

Recommendations

15. Investment Planning and Management of Projects

    Acceptable  
Highlights Opportunities

This area was not assessed this year for this organization. The rating from the last year this area was assessed is carried-over to the current year.

Recommendations