Skip to content Skip to institutional links

Common menu bar links

Management Accountability Framework

2011-12 MAF Results - Department of Foreign Affairs and International Trade

* 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

Treasury Board Secretariat's observations related to the Department of Foreign Affairs and International Trade's (DFAIT) management capacity are positive. Of the eight Areas of Management (AoM) on which DFAIT was assessed this round, it received one "strong", and seven "acceptable" ratings. Ratings decreased from "strong" to "acceptable" in AoM 1 Value and Ethics and AoM 14 Asset Management.

During 2011-12, DFAIT managed a very busy agenda. Departmental officials continue to adapt to new priorities and new approaches to departmental business. The department continued to contribute to international security and stability through its leading role in Canada's engagement in Libya and Afghanistan, and has coordinated a whole-of-government effort to strengthen security, stability and reconstruction in Haiti. DFAIT has also worked closely with partners towards the establishment of a new Foreign Policy Plan, which will set priorities for Canada's international engagements and interests on a whole-of-government basis. DFAIT is working to diversify Canada's trade partnerships through the Canada-European Union Comprehensive Economic and Trade Agreement (CETA), Trans-Pacific Partnership, and various other trade agreements throughout the Americas and Asia. DFAIT also devoted significant effort to conducting its Strategic and Operating Review to realign resources around priorities and establish new and innovative approaches to its business.

In terms of the core Areas of Management (AoMs 1, 5, 6, 7, 9, 10), the organization maintained a "strong" rating in AoM 6, and "acceptable" ratings in AoMs 5, 7, 9 and 10. The organization decreased from a "strong" to an "acceptable" rating in AoM 1. The following summarizes the findings for the core AoMs:

AoM 1 Values and Ethics: DFAIT has satisfactorily demonstrated that its organizational culture, leadership, and governance support public service values and ethics. Managers and employees continue to apply values and ethics principles in their daily work. Some results of the Public Service Employee Survey (PSES ) contributed to the decrease in rating from "strong" to "acceptable", as employee responses indicate perceived issues around the ability to initiate formal recourse without fear of reprisal, and concerns around the way informal complaints are resolved within work units.
AoM 5 Internal Audit: The quality of internal audit is consistent with requirements and DFAIT retains an "acceptable" rating. While funding constraints remain a challenge, DFAIT maintains adequate capacity and capability for effective delivery of audit services. Internal audit findings have also led to concrete actions taken by senior management aimed at improving risk management, control and governance processes.
AoM 6 Evaluation: DFAIT continues to perform well in this area, and maintained its "strong" rating. DFAIT's evaluation function is mature and is well-positioned to address the requirements of the Treasury Board Policy on Evaluation. Areas of strength include governance, the production of comprehensive evaluation reports based on sound methodology, and demonstrated use of results to support decision-making.
AoM 7 Financial Management: DFAIT has retained its rating of "acceptable" with particular strengths in budget management, quarterly financial reporting and financial management governance. However, improvements are required in areas such as forecasting, stability of the department's financial management community, and Financial Management Office (FMO) monitoring of performance of financial management functions throughout the department.
AoM 9 Integrated Risk Management: Overall, DFAIT demonstrates integrated risk management (IRM) practices that are well-developed as compared to other federal organizations of its size. DFAIT maintains an overall rating of acceptable but has shown improvements in Governance and Leadership and Continuous Improvement performance thanks to a focused commitment to IRM over the last year.
AoM 10 People Management: DFAIT's overall rating remains "acceptable" with demonstrated strength in Employment Equity, Employee Engagement, Executive Churn and Executive Experience. A broad range of opportunities for improvement remain, including Performance and Talent Management, Workload and Workforce Planning Effectiveness; and as reflected in the PSES , employee confidence in senior managements' decisions.

DFAIT was also assessed on two department-specific AoMs: AoM 8 Management of Security and AoM 14 Asset Management. While AoM 8 remained acceptable, the draft Departmental Security Plan could be improved. DFAIT's AoM 14 rating decreased from "strong" to "acceptable" for both the real property and materials management components. While the department demonstrated a commitment to continuous improvement by conducting audits on both real property and material management in 2011, the ratings decrease reflects the fact that key recommendations of these audits have not yet been fully implemented. We understand that DFAIT has a Management Action Plan in place to address them. TBS also notes that DFAIT is working to finalize its first Investment Plan which, once approved, will provide a cornerstone to further strengthen asset management practices.

The Treasury Board Secretariat has identified the following management priorities for 2012-13:

AoM 7 Financial Management: This AoM was highlighted as a priority area in last year's MAF and DFAIT has made good progress in rebalancing resources to ensure better alignment with priorities. The Strategic and Operating Review will build upon efforts to improve financial management practices and establish a more sustainable financial footing. However, implementation will be challenging in that it represents an extensive modernization and streamlining of its operations, requiring significant change to be achieved in a relatively short period of time. TBS will work closely with DFAIT though the implementation period in support of the department's efforts to manage its resources effectively.
AoM 10 People Management: TBS anticipates that the implementation of new ways of doing business will have significant impacts on human resources and will require shifts in departmental culture and business practices. DFAIT's successful implementation of its transformational agenda from a people management perspective will be a key focus for the department in 2012-13.

1. Values and Ethics

Acceptable

Highlights	Opportunities
1.1 Culture: Acceptable The organization demonstrated to a satisfactory extent that it reflects and supports public service values and ethics. Additional information is contained in the following bullets. The organization scored high 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 achieved a satisfactory score 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 substantial evidence to demonstrate how managers and employees apply values and ethics principles in their daily work. 1.2 Leadership: Strong The organization demonstrated beyond expectations that its leaders promote and visibly support values and ethics. Additional information is contained in the following bullets. The organization achieved a satisfactory score on the PSES question measuring whether employees perceive that senior managers lead by example in ethical behaviour. There is substantial evidence of 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 substantial evidence of how the organization's leaders have demonstrated and communicated expected ethical behaviours and consequences of non-compliance. 1.3 Governance: Acceptable The organization demonstrated to a satisfactory extent that it supports a values and ethics framework / infrastructure. Additional information is contained in the following bullets. The organization scored low 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 substantial evidence to demonstrate that results have been achieved following the implementation of values and ethics plans, activities and commitments. Based on the Public Service Survey Results and evidence submitted in response to the supplementary questions, Foreign Affairs and International Trade, which includes results from Passport Canada, received an overall rating of Acceptable with the score being at the upper end of the Acceptable range.	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

Highlights

Opportunities

1.1 Culture: Acceptable

The organization demonstrated to a satisfactory extent that it reflects and supports public service values and ethics. Additional information is contained in the following bullets.
The organization scored high 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 achieved a satisfactory score 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 substantial evidence to demonstrate how managers and employees apply values and ethics principles in their daily work.

1.2 Leadership: Strong

The organization demonstrated beyond expectations that its leaders promote and visibly support values and ethics. Additional information is contained in the following bullets.
The organization achieved a satisfactory score on the PSES question measuring whether employees perceive that senior managers lead by example in ethical behaviour.
There is substantial evidence of 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 substantial evidence of how the organization's leaders have demonstrated and communicated expected ethical behaviours and consequences of non-compliance.

1.3 Governance: Acceptable

The organization demonstrated to a satisfactory extent that it supports a values and ethics framework / infrastructure. Additional information is contained in the following bullets.
The organization scored low 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 substantial evidence to demonstrate that results have been achieved following the implementation of values and ethics plans, activities and commitments.

Based on the Public Service Survey Results and evidence submitted in response to the supplementary questions, Foreign Affairs and International Trade, which includes results from Passport Canada, received an overall rating of Acceptable with the score being at the upper end of the Acceptable range.

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. A practice inspection was conducted indicating "generally conforms" to the Internal Auditing Standards for the Government of Canada. There is adequate capacity and capability for the effective delivery of internal audit services. 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 value-added impact of the internal audit activity is clearly illustrated through the communication of emerging risks, and challenges to the organization. The progressive value-added impact of the Departmental Audit Committee is somewhat illustrated. 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. Internal Audit is providing the Deputy Head with assurance and advice in the context of the mandate, priorities, and risk profile of the Department.	Continued progress in executing planned priorities within the context of resource constraint is encouraged.
Recommendations

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.
A practice inspection was conducted indicating "generally conforms" to the Internal Auditing Standards for the Government of Canada.
There is adequate capacity and capability for the effective delivery of internal audit services.

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 value-added impact of the internal audit activity is clearly illustrated through the communication of emerging risks, and challenges to the organization.
The progressive value-added impact of the Departmental Audit Committee is somewhat illustrated.
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.

Internal Audit is providing the Deputy Head with assurance and advice in the context of the mandate, priorities, and risk profile of the Department.

Continued progress in executing planned priorities within the context of resource constraint is encouraged.

Recommendations

6. Evaluation

Strong

Highlights	Opportunities
6.1 Quality of Evaluation Reports: Strong All evaluation reports submitted to TBS address program relevance and performance. All evaluations submitted to TBS explain the selection of and employ appropriate methodologies relative to program risk to gather data and inform the analysis. All evaluation reports submitted to TBS describe the limitations of the evaluation. The report clearly states the implications of the limitations on the validity of the findings and how the evaluation attempted to overcome the limitations. All 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 of the Evaluation Function: Strong The Head of Evaluation has explicit authority to submit evaluation reports directly to the Deputy Head. The Head of Evaluation has unencumbered access to the Deputy Head, as required. 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. 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. The organization reports that the availability and/or quality of performance information to support evaluation are sometimes sufficient. 6.3 Evaluation Coverage: Acceptable The organization has shared its five-year approved evaluation plan with TBS. The plan demonstrates progress towards achieving full evaluation coverage of direct program spending and several good practices in evaluation planning, with only some minor weaknesses in the plan. The organization has shown evidence of moving towards full evaluation coverage of its direct program spending over a five-year cycle. Average annual evaluation coverage of direct program spending is between 10%-19%. The organization has partially 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 between 10%-19%. 6.4 Use of Evaluation: Acceptable The results of evaluations are brought for consideration in all TB submissions. The results of evaluations are almost always brought for consideration in the organization’s RPP and DPR. Relevant evaluation issues and/or results are rarely brought into consideration in Memoranda to Cabinet. There is a comprehensive level of relevant evaluation results available to be brought for consideration in the organization’s expenditure reviews. 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 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. A minority of completed evaluation reports are posted on the organizational website in a timely manner. 6.2 - Ad hoc and/or uneven tracking of the development and implementation of Performance Measurement Strategies is in place, but regular reporting on the status of implementation still occurs.
Recommendations

Highlights

Opportunities

6.1 Quality of Evaluation Reports: Strong

All evaluation reports submitted to TBS address program relevance and performance.
All evaluations submitted to TBS explain the selection of and employ appropriate methodologies relative to program risk to gather data and inform the analysis.
All evaluation reports submitted to TBS describe the limitations of the evaluation. The report clearly states the implications of the limitations on the validity of the findings and how the evaluation attempted to overcome the limitations.
All 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 of the Evaluation Function: Strong

The Head of Evaluation has explicit authority to submit evaluation reports directly to the Deputy Head. The Head of Evaluation has unencumbered access to the Deputy Head, as required.
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.
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.
The organization reports that the availability and/or quality of performance information to support evaluation are sometimes sufficient.

6.3 Evaluation Coverage: Acceptable

The organization has shared its five-year approved evaluation plan with TBS. The plan demonstrates progress towards achieving full evaluation coverage of direct program spending and several good practices in evaluation planning, with only some minor weaknesses in the plan.
The organization has shown evidence of moving towards full evaluation coverage of its direct program spending over a five-year cycle. Average annual evaluation coverage of direct program spending is between 10%-19%.
The organization has partially 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 between 10%-19%.

6.4 Use of Evaluation: Acceptable

The results of evaluations are brought for consideration in all TB submissions.
The results of evaluations are almost always brought for consideration in the organization’s RPP and DPR.
Relevant evaluation issues and/or results are rarely brought into consideration in Memoranda to Cabinet.
There is a comprehensive level of relevant evaluation results available to be brought for consideration in the organization’s expenditure reviews.
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 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.
A minority of completed evaluation reports are posted on the organizational website in a timely manner.

6.2 - Ad hoc and/or uneven tracking of the development and implementation of Performance Measurement Strategies is in place, but regular reporting on the status of implementation still occurs.

Recommendations

7. Financial Management and Control

Acceptable

Highlights	Opportunities
7.1 Performance of the Planning Cycle: Opportunity for Improvement While the performance of the planning cycle is adequate for the most part, there are opportunities to improve in specific areas. 7.1.1 Forecasting: Attention Required Management’s forecasting practices of their year-end expenditures requires attention. 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: Strong The frequency and coverage of planned periodic reviews of external user fees appears capable of providing management with robust 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: Opportunity for Improvement Processes supporting section 33 certification under the Financial Administration Act are strong thereby strengthening prudent stewardship of public funds. Processes supporting the exercise of section 32 authorities under the Financial Administration Act are strong thereby strengthening prudent stewardship of public funds. Departmental business processes for the timely payment of supplier invoices could be enhanced. 7.2.2 Internal Control over Financial Reporting: Acceptable The organization demonstrates good management practices for the effectiveness of its internal controls over financial reporting. 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. 7.2.4 Compliance with Policy on Transfer Payments: Acceptable For the most part, the organization has demonstrated that key elements of the Policy or Directive on Transfer Payments are in place. 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 in many instances not reliable. The information provided in the accounts of Canada and for the Public Accounts of Canada is generally 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: Strong 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 all of the reporting requirements and even surpasses them. 7.3.4 Internal Control over Financial Reporting: Acceptable The organizational Public Annex, to the Statement of Management Responsibility Including Internal Control Over Financial Reporting as required by the Policy on Internal Control, was quite good in terms of clarity and completeness of the results, action plan and progress against the prior-year’s plan. 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. There was consultation with the OCG when staffing or making modifications to the CFO position. 7.4.2 Internal financial reporting: Acceptable The internal financial reporting package reports adequately 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: Opportunity for Improvement The financial management organization has demonstrated a strong commitment to learning, training and development. The financial management organization has demonstrated some weakness in the area of stability. The average experience level of senior financial officers is comparatively less than that of the community overall. There are opportunities to strengthen the functional relationship between the financial management organization and FI positions that exist outside of it. 7.4.4 Financial Systems Governance: Strong Investments made in financial management systems are aligned across government and are, on many occasions, 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. The costing information in the plan is acceptable. There is strong leadership and strategic direction for the Departmental Financial Management System (DFMS). The DFMS plan has been approved by the CFO. A strong consultation and analysis process for new requirements has taken place for the DFMS plan. While the Department retained its overall rating of acceptable, some areas could be improved
Recommendations

Highlights

Opportunities

7.1 Performance of the Planning Cycle: Opportunity for Improvement

While the performance of the planning cycle is adequate for the most part, there are opportunities to improve in specific areas.

7.1.1 Forecasting: Attention Required
- Management’s forecasting practices of their year-end expenditures requires attention.
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: Strong
- The frequency and coverage of planned periodic reviews of external user fees appears capable of providing management with robust 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: Opportunity for Improvement
- Processes supporting section 33 certification under the Financial Administration Act are strong thereby strengthening prudent stewardship of public funds.
- Processes supporting the exercise of section 32 authorities under the Financial Administration Act are strong thereby strengthening prudent stewardship of public funds.
- Departmental business processes for the timely payment of supplier invoices could be enhanced.
7.2.2 Internal Control over Financial Reporting: Acceptable
- The organization demonstrates good management practices for the effectiveness of its internal controls over financial reporting.
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.
7.2.4 Compliance with Policy on Transfer Payments: Acceptable
- For the most part, the organization has demonstrated that key elements of the Policy or Directive on Transfer Payments are in place.

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 in many instances not reliable.
- The information provided in the accounts of Canada and for the Public Accounts of Canada is generally 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: Strong
- 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 all of the reporting requirements and even surpasses them.
7.3.4 Internal Control over Financial Reporting: Acceptable
- The organizational Public Annex, to the Statement of Management Responsibility Including Internal Control Over Financial Reporting as required by the Policy on Internal Control, was quite good in terms of clarity and completeness of the results, action plan and progress against the prior-year’s plan.

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.
- There was consultation with the OCG when staffing or making modifications to the CFO position.
7.4.2 Internal financial reporting: Acceptable
- The internal financial reporting package reports adequately 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: Opportunity for Improvement
- The financial management organization has demonstrated a strong commitment to learning, training and development.
- The financial management organization has demonstrated some weakness in the area of stability.
- The average experience level of senior financial officers is comparatively less than that of the community overall.
- There are opportunities to strengthen the functional relationship between the financial management organization and FI positions that exist outside of it.
7.4.4 Financial Systems Governance: Strong
- Investments made in financial management systems are aligned across government and are, on many occasions, 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.
- The costing information in the plan is acceptable.
- There is strong leadership and strategic direction for the Departmental Financial Management System (DFMS).
- The DFMS plan has been approved by the CFO.
- A strong consultation and analysis process for new requirements has taken place for the DFMS plan.

While the Department retained its overall rating of acceptable, some areas could be improved

Recommendations

8. Management of Security

Acceptable

Highlights	Opportunities
8.1 Governance and Planning: Acceptable 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. A Departmental Security Plan has been developed and mostly meets the expected level of completion for MAF 2011-12. Approval of the Departmental Security Plan is anticipated to occur before June 2012. 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 in place a fully developed security program that comprises key 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. DFAIT has established some effective security practices that could be of benefit to other organizations within the Government of Canada. The organization is encouraged to share these practices (i.e. training and awareness) as appropriate.	Complete the development and seek deputy head approval of the Departmental Security Plan. Implement priorities established in the Departmental Security Plan, including those related to improving security in missions abroad.
Recommendations

Highlights

Opportunities

8.1 Governance and Planning: Acceptable

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.
A Departmental Security Plan has been developed and mostly meets the expected level of completion for MAF 2011-12.
Approval of the Departmental Security Plan is anticipated to occur before June 2012.
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 in place a fully developed security program that comprises key 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.

DFAIT has established some effective security practices that could be of benefit to other organizations within the Government of Canada. The organization is encouraged to share these practices (i.e. training and awareness) as appropriate.

Complete the development and seek deputy head approval of the Departmental Security Plan.
Implement priorities established in the Departmental Security Plan, including those related to improving security in missions abroad.

Recommendations

9. Integrated Risk Management

Acceptable

Highlights	Opportunities
9.1 Governance and Leadership: Strong The Deputy Head and senior management across the organization take a proactive leadership role and routinely communicate their commitment to, and vision of, integrated risk management throughout the organization. Effective governance structures to proactively and sustainably embed risk management into management and decision making processes are in place and are used across the organization. 9.2 Implementation: Acceptable The organization’s corporate risk profile or similar tool contains timely and reliable risk information. The organization engages relevant internal and external partners and stakeholders and has initiated the development of coordinated approaches and common tools to the management of shared risks. Risk management awareness is included as a key element of employee learning and development opportunities. 9.3 Results and Continuous Improvement: Strong Exceptional improvements have been implemented by the organization based on all of the opportunities for improvement identified in its previous MAF assessment, and results can be clearly demonstrated. The organization consistently builds on lessons learned, and reviews and adjusts its overall integrated risk management approach regularly to ensure continued relevance. The organization demonstrates an ongoing commitment to improve and adjust its IRM approach.	In MAF 2012-13, DFAIT is encouraged to: Ensure a sustainable and simplified CRP refresh process based on lessons learned in 2011-12. Continue to monitor its risks and effectiveness of mitigation strategies, making adjustments as necessary. In Future Years: Phase-in the development of performance indicators to minimize reporting burden, take advantage of synergies with planning and scanning, and identify practical and informative indicators that provide quality information. Proactively use existing governance structures and working groups to ensure that all employees are able to raise risk management issues. Continue to align change management messaging with IRM messaging so that it remains clear how decision-making is informed by risks, as both threats and opportunities.
Recommendations

Highlights

Opportunities

9.1 Governance and Leadership: Strong

The Deputy Head and senior management across the organization take a proactive leadership role and routinely communicate their commitment to, and vision of, integrated risk management throughout the organization.
Effective governance structures to proactively and sustainably embed risk management into management and decision making processes are in place and are used across the organization.

9.2 Implementation: Acceptable

The organization’s corporate risk profile or similar tool contains timely and reliable risk information.
The organization engages relevant internal and external partners and stakeholders and has initiated the development of coordinated approaches and common tools to the management of shared risks.
Risk management awareness is included as a key element of employee learning and development opportunities.

9.3 Results and Continuous Improvement: Strong

Exceptional improvements have been implemented by the organization based on all of the opportunities for improvement identified in its previous MAF assessment, and results can be clearly demonstrated.
The organization consistently builds on lessons learned, and reviews and adjusts its overall integrated risk management approach regularly to ensure continued relevance.
The organization demonstrates an ongoing commitment to improve and adjust its IRM approach.

In MAF 2012-13, DFAIT is encouraged to:

Ensure a sustainable and simplified CRP refresh process based on lessons learned in 2011-12.
Continue to monitor its risks and effectiveness of mitigation strategies, making adjustments as necessary.

In Future Years:

Phase-in the development of performance indicators to minimize reporting burden, take advantage of synergies with planning and scanning, and identify practical and informative indicators that provide quality information.
Proactively use existing governance structures and working groups to ensure that all employees are able to raise risk management issues.
Continue to align change management messaging with IRM messaging so that it remains clear how decision-making is informed by risks, as both threats and opportunities.

Recommendations

10. People Management

Acceptable

Highlights	Opportunities
Overall score Foreign Affairs and International Trade (DFAIT) received an overall score of 58.00 and a rating of Acceptable (ACC). Last year, its performance was rated Acceptable for AoM10. DFAIT demonstrated strength in Employment Equity, specifically with respect to the equitable share of promotions given to Aboriginal peoples. DFAIT also showed strength in Employee Engagement, as evidenced by positive results in both the administrative measures and the Public Service Employee Survey (PSES ) measures. DFAIT also showed strong results on the executive churn and executive experience in the organization measures. In comparison to MAF 2010-2011, DFAIT’s ratings decreased for Employee Engagement, Executive Leadership, and Employee Learning. The decrease was, for the most part, driven by results on the PSES . Contextual information Last year, DFAIT outlined its intention to realign the mix of the department's rotational and non-rotational workforce. Therefore, during the reporting period, a staffing pool management strategy was created. It was anticipated that this new business model would enable greater mobility for employees within and between headquarters, missions and regional offices. The pool management concept offers a more flexible workplace where employees can move easily between jobs on a more predictable basis and enables employees to broaden their professional experience. The pool management concept was initially only available to employees in the CO and EC classifications. This solution is now being expanded to all other non-rotational communities in a phased approach. This pool of employees offers greater flexibility to managers when reassigning employees to handle work surges or shifts in priorities.	An area for improvement includes Performance and Talent Management, specifically the performance management process participation rate and supervisors’ perceptions of the availability of effective mechanisms to deal with poor performance. Additionally, Workload and Workforce Planning Effectiveness could be improved as employees indicated that constantly changing priorities, a lack of stability, and the availability of fewer resources adversely affect the quality of their work. Additionally, DFAIT could benefit from improving employees’ confidence in senior management, their perceptions surrounding senior managers making effective and timely decisions, the representation of Aboriginal peoples, and the promotion rate of visible minorities and 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: Workforce profiles Achieving a High Performing Public Service Series

Highlights

Opportunities

Overall score

Foreign Affairs and International Trade (DFAIT) received an overall score of 58.00 and a rating of Acceptable (ACC). Last year, its performance was rated Acceptable for AoM10.

DFAIT demonstrated strength in Employment Equity, specifically with respect to the equitable share of promotions given to Aboriginal peoples. DFAIT also showed strength in Employee Engagement, as evidenced by positive results in both the administrative measures and the Public Service Employee Survey (PSES ) measures. DFAIT also showed strong results on the executive churn and executive experience in the organization measures.

In comparison to MAF 2010-2011, DFAIT’s ratings decreased for Employee Engagement, Executive Leadership, and Employee Learning. The decrease was, for the most part, driven by results on the PSES .

Contextual information

Last year, DFAIT outlined its intention to realign the mix of the department's rotational and non-rotational workforce. Therefore, during the reporting period, a staffing pool management strategy was created. It was anticipated that this new business model would enable greater mobility for employees within and between headquarters, missions and regional offices. The pool management concept offers a more flexible workplace where employees can move easily between jobs on a more predictable basis and enables employees to broaden their professional experience.

The pool management concept was initially only available to employees in the CO and EC classifications. This solution is now being expanded to all other non-rotational communities in a phased approach. This pool of employees offers greater flexibility to managers when reassigning employees to handle work surges or shifts in priorities.

An area for improvement includes Performance and Talent Management, specifically the performance management process participation rate and supervisors’ perceptions of the availability of effective mechanisms to deal with poor performance. Additionally, Workload and Workforce Planning Effectiveness could be improved as employees indicated that constantly changing priorities, a lack of stability, and the availability of fewer resources adversely affect the quality of their work.

Additionally, DFAIT could benefit from improving employees’ confidence in senior management, their perceptions surrounding senior managers making effective and timely decisions, the representation of Aboriginal peoples, and the promotion rate of visible minorities and 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

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

12. Information 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

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
14.1 Real Property Management: Acceptable Governance structure is documented. The organization demonstrates practices that are innovative and noteworthy or display excellence in real property management. Governance structure is communicated. Internal policies are up to date and documented. Internal policies are communicated. Reliable information is used in the decision-making process. Indicators of real property performance are monitored and performance measurement is ongoing. The condition of most essential assets is known. Certification of information in the DFRP is accepted. Certification of information in the FCSI is accepted. Contaminated site management is consistent with policy and program guidelines. 14.2 Materiel Management: Acceptable The governance structure is documented. The governance structure is communicated. Internal policies are communicated. Reliable information is used in the decision making process. Few indicators of materiel performance are monitored. Human resource capacity is sustainable for the organizational materiel management program operations. 14.2 Materiel Management Foreign Affairs and International Trade Canada (DFAIT) has a number of policy instruments for materiel management, however, the effective dates are not evident.	The Department is encouraged to implement all of the recommendations of the real property audit, in particular the recommendations relating to governance, policy compliance, performance measurement and human resource management. DFAIT is encouraged to implement the Space Utilization Index as a performance indicator for real property. DFAIT is further encouraged to ensure all recommendations from the 2011 internal audit on materiel management are implemented. It is suggested that DFAIT provide examples of indicators used in the performance measurement of its materiel assets
Recommendations

Highlights

Opportunities

14.1 Real Property Management: Acceptable

Governance structure is documented.
The organization demonstrates practices that are innovative and noteworthy or display excellence in real property management.
Governance structure is communicated.
Internal policies are up to date and documented.
Internal policies are communicated.
Reliable information is used in the decision-making process.
Indicators of real property performance are monitored and performance measurement is ongoing.
The condition of most essential assets is known.
Certification of information in the DFRP is accepted.
Certification of information in the FCSI is accepted.
Contaminated site management is consistent with policy and program guidelines.

14.2 Materiel Management: Acceptable

The governance structure is documented.
The governance structure is communicated.
Internal policies are communicated.
Reliable information is used in the decision making process.
Few indicators of materiel performance are monitored.
Human resource capacity is sustainable for the organizational materiel management program operations.

14.2 Materiel Management

Foreign Affairs and International Trade Canada (DFAIT) has a number of policy instruments for materiel management, however, the effective dates are not evident.

The Department is encouraged to implement all of the recommendations of the real property audit, in particular the recommendations relating to governance, policy compliance, performance measurement and human resource management.
DFAIT is encouraged to implement the Space Utilization Index as a performance indicator for real property.
DFAIT is further encouraged to ensure all recommendations from the 2011 internal audit on materiel management are implemented.
It is suggested that DFAIT provide examples of indicators used in the performance measurement of its materiel assets

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