Common menu bar
Breadcrumb
2006 Integrated Management Accountability Framework Assessment – Management Action Plan
This document provides the Department’s action plan in response to the Treasury Board Secretariat (TBS) Round IV Management Accountability Framework (MAF) assessment. Human Resources and Social Development Canada (HRSDC) remains committed to sound and accountable management and results for Canadians.
- TBS Assessment of the Department of Human Resources and Social Development Canada (Round IV - 2006-2007)
- TB Management Accountability Framework
Public Service Values: Through their actions, departmental leaders continually reinforce the importance of public service values and ethics in the delivery of results to Canadians (e.g. democratic, professional, ethical and people values).
Indicator
1. Values-Based Leadership and Organizational Culture
Summary of TBS Assessment
The Department was rated as Opportunity for Improvement:
The assessment is based exclusively on the perceptions of employees from the 2005 Public Service Employee Survey (PSES). TBS noted that HRSDC must now work toward ensuring the effectiveness and utility of the tools for employees who face ethical dilemma/value conflict.Management Initiatives and Supporting Action Plan
In response to the assessment the Department will develop and communicate an action plan based on results from the 2005 PS Employee Survey, the Service Canada Culture Survey, and HRSDC employee surveys. The Department will identify areas that have not been resolved to date, track and report on progress and measure value and effectiveness of communication plan.
Initiatives that respond to issues raised in the above mentioned surveys will be incorporated into one overall departmental HR strategy which includes Public Service (PS) Renewal. The strategy will lead to a departmental action plan tailored to the various portfolios of the organization, taking into consideration their individual circumstances and business environments.
The Service Canada Culture Survey is a key tool in strengthening Service Canada's culture of service excellence. The results will help establish a benchmark for the current state of our workplace culture, track progress, and address some of the issues highlighted by the PSES.
The Department will also promote and measure utility and use of the Values and Ethics web site activities, Values and Ethics awareness activities, and disclosure of wrongdoing processes.
The Department has undertaken the following activities in relation to Disclosure of Wrongdoing processes:
- Review implications of the new Public Servants Disclosure Protection Act (PSDPA) on the Department and ensure that internal processes for dealing with disclosures comply.
- Ensure employees are aware of the legislation, how it works, and are aware of its protections.
- Ensure employees are aware of the mechanisms and processes for internal disclosure.
Indicator
2. Utility of the Corporate Performance Framework
3. Integrity of Corporate Management Structure
4. Effectiveness of Extra- Organizational Contribution
Summary of TBS Assessment
The Department was rated Acceptable in all three indicators:
The assessment recognizes that the restructuring of the organizations during recent years has created a challenge for the department, with regards to the alignment of the Report on Plans and Priorities and the Departmental Performance Report. Treasury Board Portfolio (TBP) acknowledged the department is well aware of this challenge and has demonstrated over the years the ability to present plans, priorities and report in a transparent and result-oriented way.
It should be noted in the covering context piece of the MAF assessment TBP commended the department for its progress in the area of governance identified in the 2005 MAF as a management priority. TBP noted that a new governance structure was established with the creation of the department. The structure seems to be effective in addressing some of the communication and decision-making challenges resulting from organizational change and uncertainty. It does, however, need time to evolve, and will require ongoing development.
Management Initiatives and Supporting Action Plan
No further action required.
Indicator
5. Quality of Programs and Policy Analysis
Summary of TBS Assessment
The Department was rated as Opportunity for Improvement:
TBP noted the quality of program and policy analysis is generally acceptable to strong in the Memoranda to Cabinet (MC) process, however there is room for improvement in the preparation of Treasury Board submissions, including the presentation of the story-line or rationale, articulation of the business case for investments, and implications of proceeding with a submission or not. In both the MC and the Treasury Board submission process, further work could be done in identifying and exploring viable options. Strengthening the overall Treasury Board Submission process would include the development of a strategic and corporate approach to agenda management, timely engagement of other parties, and internal quality control.Management Initiatives and Supporting Action Plan
The Department will work collaboratively with Treasury Board Secretariat Program Sector to reinforce TB submission requirements and implement procedures to improve internal training and control processes for joint HRSDC/SC TB submissions.
The Department will improve TB Submissions by working with TBS Program Sector to reinforce TB submission requirements and strengthen policy capacity among staff. Three TBS-led sessions have been held for approximately 100 employees (including Service Canada) to improve quality and timeliness of TB submission process. Further sessions will be scheduled based on demand.
The HRSDC CFOB Grants and Contributions Centre of Excellence now reviews and signs off on all HRSDC Grants and Contributions TB submissions before they are submitted to TBS.
A TB Business List is distributed Departmentally at the Senior Executive level and to TBS on a weekly basis. The TBS business list is discussed at Director Generals' Corporate Management Committee (DG CMC) on a biweekly basis and at Executive Management Committee (EMC) on a weekly basis. Discussions with TBS at the DG level to take place on a regular basis and as required on individual TB submissions at the Financial Director\Officer level.
The Department will foster greater coordination and coherence between TB Submissions and Memoranda to Cabinet through internal policy committees.
Strategic Policy and Research Branch will work to strengthen the Memoranda to Cabinet development process internally and improve consultation processes by identifying and engaging stakeholders at appropriate times.
A HRSDC Policy Development Guide (a Web-based tool) will be developed to strengthen HRSDC’s policy development and analysis across the Department. It will also be useful in helping to improve overall management of the departmental Cabinet agenda.
- The section on developing policy and Cabinet documents will outline current processes and approval requirements to improve the development and internal review of MCs, TB submissions and other Cabinet documents in an effort to enhance the policy challenges for all Cabinet destined items. This section will also include guidelines, tips, best practices, case studies, challenge questions and resources available to assist in developing these documents.
- The Policy Development Guide will provide staff with a “one-stop-shop” to information, tools and resources to help them enhance their skills and knowledge about policy, policy development, research and evaluation (and their linkages to policy) and stakeholder engagement. A departmental outreach strategy will be implemented to create awareness of the Guide, which will be easily accessible from analysts’ desktops.
The HRSDC Policy Agenda (including the forward Cabinet Agenda) will become a standing agenda item for discussion at both the DG and ADM Policy Coordination Committees (PCC). Decision support products, including overall strategy notes and detailed critical paths for MCs, will be regularly produced and assessed during these meetings. TB submissions business list with be included in forward agenda of ADM PCC.
Indicator
6. Quality and Use of Evaluation
7. Integration, Use and Reporting of Performance Information (financial and non-financial)Summary of TBS Assessment
The Department was rated Strong for evaluation and Opportunity for Improvement for performance reporting:
TBP noted in its assessment the department overall has a strong evaluation function. TBP also noted the department needs to continue to work to better address performance reporting and in integrating performance information into public reports. The department faces challenges in pulling together key information for decision making on an ongoing basis. HRSDC/Service Canada is part of a single vote, and while there has been a recent improvement, more work is required to ensure a corporate approach to managing within the Vote.Management Initiatives and Supporting Action Plan
The Department will work closely with TBS to improve performance measurement, including contribution to outcomes, and departmental reporting in support of the Management, Resources, and Results Structure (MRRS) Policy.
Update TBS database to reflect approved changes to the department’s Program Activity Architecture and to provide detailed activity descriptions.
Present TBS a revised Program Activity Architecture (PAA) and supporting performance measurement framework that meets the specific requirements outlined in the MRRS policy.
7.1 Extent to which integrated management information from financial, HR, payroll, asset and real property and program performance information systems are readily accessible for corporate decision-making.
Service Canada will create an automated corporate SC platform to support integrated performance information.
Integration of financial and non-financial information: SC will develop a strategy map to create an automated corporate platform to support integrated performance information (financial and assets). SC to complete a Passport Time and Motion study for negotiations with Passport Canada to support funding allocation exercise.
To help reinforce the establishment of sound financial reporting, CFOB created the Centre of Excellence – Performance Measurement & Reporting in order to centralise activities related to the presentation and extraction of financial data for decision making purposes and external reporting.
The first mandate of the Centre of Excellence is to evaluate existing web reports available to the user community, remove reports that are obsolete, and develop a new suite of reports which respond to current needs.
The Centre of Excellence will focus on building upon the automated SC corporate platform to strengthen financial and non-financial linkages. Chief Financial Officer Branch (CFOB) will have to formulate needs concerning these performance indicators and ensure the availability of pertinent data where the Centre of Excellence will handle data extraction, manipulation, and presentation.Indicator
8. Managing Organizational Change
Summary of TBS Assessment
The Department was rated as Strong:
TBP noted that the department has the appropriate structures and capacity to manage the latest reorganization, while continuing to develop and deliver on its core responsibilities. Service Canada's performance in this area is strong, and based on best practices in innovative and effective.
Management Initiatives and Supporting Action Plan
No further action required.
Indicator
9. Risk
Summary of TBS Assessment
The Department was rated as Acceptable:
TBP noted in the assessment the department recognizes the need to strengthen the practice of integrated risk management to effectively manage ongoing strategic and operational risks in delivering services. Risk management, including the monitoring of mitigation strategies, remains a priority for the Department.Management Initiatives and Supporting Action Plan
No further action required.
Indicator
10. Extent to which the Workplace is Fair, Enabling, Healthy and Safe
11. Extent to which the Workforce is Productive, Principled, Sustainable and Adaptable
Summary of TBS Assessment
The Department was rated as Acceptable for both indicators:
This indicator is based on a roll-up of the various data. A key source for the assessment was the 2005 Public Service Employee Survey (PSES). The Department is rated as "acceptable" in terms of the workforce but attention is required as it relates to values and ethics, specifically regarding mechanisms for disclosure of wrongdoing. It is also noted that the Department was rated "strong" for its executive performance management program.Management Initiatives and Supporting Action Plan
The Department will work to improve performance toward "Embracing Change”:
Human Resources and Corporate Management Branch in collaboration with Service Canada will build on the ongoing work of the Employment Equity Working Groups, to make progress on this issue. Branches to integrate, where appropriate, as part of branch HR planning. This issue will be addressed in the response to Indicator 1.Indicator
12. Effectiveness of Information Management
13. Effectiveness of Information Technology Management
Summary of TBS Assessment
The Department received a rating of Acceptable for Effectiveness of Information Management, and a rating of Opportunity for Improvement Effectiveness of Information Technology.
The Department received a rating of Opportunity for Improvement Effectiveness of Information Technology Management, Effectiveness of Asset Management and Effectiveness of Internal Audit Function.
Management Initiatives and Supporting Action Plan
The Department, led by Service Canada, will finalize the IT plan aligned to strategic plans and priorities with measurable outcomes.
The Department continues to implement a number of planning activities to ensure continued alignment with departmental plans and priorities – namely:
- Technology Plan: Establishment of a plan for the consolidation, rationalization and selective replacement of technical or physical aspects of the information systems to meet the Service Canada/HRSDC objectives.
- Client Value Plans: Plans co-developed by Innovation, Information and Technology Branch (IITB) Portfolio groups and their clients to ensure that IITB activities/projects are directly linked to the client business plans. These plans lead to the development of an IITB Operational Plan.
- Client Engagement Model: A new framework which describes how IITB will work with its clients to generate business value. It includes three engagement stages to select, execute and sustain high business value IT initiatives. Roles and responsibilities of both IITB and its clients are outlined within the various types of engagement. This includes new opportunity management processes to ensure any new client work is evaluated, costed, prioritized and approved before moving forward with any development work.
- IT Investment Management Process: A renewed IT Investment Management Process has been developed as a part of the Client Engagement Model. This process was presented to and endorsed by departmental management. In the same way that the Investment Process will help produce a long‑term capital asset plan and assure effective asset management (refer to #14 below), it will also play a role in the effectiveness of IT Management because new IT investment requests will be required to align with the investment plan, and will be assessed on the basis of their investment merits, assuring a return on capital invested and a contribution to the overall strategic objectives of the Department.
Develop and implement methodologies and tools to monitor and justify the contribution of information technology investments and their alignment with departmental strategic outcomes and TBS Management of Information Technology Policy.
As noted above, the renewed IT Investment Management Process will help provide direction for IT investments and will also be used to assess/reassess projects to ensure that the expected benefits (i.e. value) are achieved.
- As a part of the IITB Transformation, IITB will be implementing a Program Management Office to oversee project delivery and benefits realization throughout the life of projects. An associated program management governance structure (which will include senior management client committees) is also being created.
- HRSDC will develop a proposal for IT Architecture to position the department as a centre of excellence.
- With Service Canada, HRSDC will recommend solutions for the implementation of an Enterprise Resource Planning solution within the department (beginning with a new HR System).
- HRSDC has begun development of a long-term IT Strategy. This strategy will guide the development of HRSDC’s IT environment. It will also consolidate a broad range of evolving IT needs and contribute to effective departmental business objectives.
Indicator
14. Effectiveness of Asset Management
Summary of TBS Assessment
The Department received a rating of Opportunity for Improvement for Effectiveness of Asset Management.
TBP stated the development of a long-term capital plan (LTCP) was raised in previous assessments. The lack of this plan is reflected in a number of areas, including the ability to integrate financial and non-financial information.
Management Initiatives and Supporting Action Plan
Based on 2006-07 information technology (IT) equipment assessment, software licenses inventory, real property commitments and plans, and vehicle fleet review, finalize a long‑term capital asset plan.
- Develop and implement Investment Process, which will provide an opportunity to ensure that departmental resources are invested in priority areas from an enterprise wide perspective, aligned with strategic planning, budgeting, and forecasting. Deliverables include investment plan (see below), governance, and reporting mechanism, learning tools and templates.
- Complete a Long-Term Capital Plan for management final consideration and approval. An initial draft has been prepared and will be revised concurrently with the Investment Plan development work.
- Mainframe Upgrade Project will be an element of the departmental LTCP to be presented to TBS in the fourth quarter of fiscal year 2007-2008.
- Complete Investment Plans for IT, Real Property, and Fleet, which reflect the Service Canada three-year work plan /business model. Work on these plans is currently being carried out to refine Rough Order of Magnitude (ROM) estimates and once completed they will be the basis of the Long Term Capital Plan (LTCP) and will be annexed to the LTCP.
Indicator
15. Effective Project Management
16. Effective Procurement
Summary of TBS Assessment
The Department received a rating of Acceptable for Effective Project Management and Effective Procurement.
Management Initiatives and Supporting Action Plan
No further action required.
Indicator
17. Effectiveness of Financial Management and Control
Summary of TBS Assessment
The Department received a rating of Attention Required for Effectiveness of Financial Management and Control. A horizontal audit on the delegation of financial authority noted care is required to ensure the department is meeting key elements of the Treasury Board Policy on Delegation of Authorities (e.g. timely delegation instruments; and ongoing and active monitoring). As indicated in a recent Office of the Auditor General audit report, the Department does not comply with the legislative provisions of the Financial Administration Act (FAA) – Interest and Administrative Regulations, in that it does not charge interest on Old Age Security (OAS) overpayments to recipients.
Management Initiatives and Supporting Action Plan
The Department created the Chief Financial Officer Branch to strengthen the corporate comptrollership function.
CFO Branch will review and assess the structure of financial activities within the Department to ensure sound financial analysis and reporting, with particular attention to the integrity of monitoring and strengthening of the corporate comptrollership function.
17.1 Compliance with approved financial management legislation, policies and directives, including the Transfer Payment Policy. (Attention Required)
The Department will develop appropriate tools and procedures to charge interest on overdue accounts as required by FAA and TBS Policy.
The OAS interest charges issue was addressed legislatively with the Royal Assent of Bill C-36, An Act to amend the Canada Pension Plan and the Old Age Security Act on May 3, 2007. An Order in Council is needed to approve regulations governing the charging of interest that are currently being drafted. The Order in Council must be in place before implementation of the Interest Charges can take place.
A Bill C-36 Implementation Committee meets on a bi-weekly basis and all working groups report to this committee. The penalty and interest working group is one such working group which meets weekly and which is in the process of reviewing the information they have received of previous studies and the Employment Insurance (EI) legislation. A standardized process will be developed and the payment program system will interface with the Departmental Account Receivable System to track OAS penalties and interest consistently as any other program debt.
17.2 Extent to which accounting and reporting, including external reporting, of financial activities are compliant with Government policies, directives and standards (accuracy, timeliness, completeness).
17.6 To be measured when possible this Round: Quality and effectiveness of delegation of financial authorities, as demonstrated by:
- Delegation of authority instruments
- Training in place to upgrade and maintain knowledge & skills of those with delegated financial authority
- Horizontal audit on delegation of authorities (Attention Required)
The Department will renew delegation instruments within the three month timeframe as identified by the Office of the Comptroller General following a change in Minister and Deputy Ministers and regularly monitor authorities.
The new Grants and Contributions delegations were approved and signed by the Minister on April 23rd, 2007.
A revised operating delegation package has been undergoing development for the past five months. Three major revisions have been included in the new package. These are:
- an update of all position titles reflecting significant organizational changes that have occurred in the last two years;
- a compatible and consistent formatting and presentation of delegations; and,
- a comprehensive review of central agency policy and legislation to ensure the delegation instruments are in compliance.
- On November 1, 2007, Minister Solberg approved changes to the HRSDC-SC Delegation of Authority Instrument for Operating Funds.
The last version of the Human Resources Authorities and sub-delegations was signed by Deputy Minister on October 30th, 2006 and is compliant with the new Public Service Employment Act.
The last versions of the Access to Information and Privacy Act delegations were signed by Minister Frulla on April, 2004. The delegations are currently under review by Policy, Partnerships and Corporate Affairs.
The last version of the Employment Insurance delegations was signed by Commissioner for Workers and Commissioner for Employers on October 5, 2005 and also by Deputy Minister on October 19, 2005. The delegations are compliant with the Human Resources and Skills Development legislation Bill C-23.
The last (current) versions of the Old Age Security (OAS)/Canada Pension Plan (CPP) delegations were approved on December 1, 1993. Proposed new delegations are currently under review by Simplification and Standardization (Operations Branch).
Financial training programs will be in place to upgrade and maintain knowledge and skills of those with delegated authority and track compliance.
The Department will lead action plan to address Office of Comptroller General Horizontal audit on delegations.
External reporting is a key function for CFOB:
- CFOB will be working closely with the Receiver General and Department of Finance to simplify this process.
- Deadlines and authorization are always negotiated with central agencies to meet the standards.
- CFOB will initiate discussions with central agencies to make this process more efficient.
Indicator
18. Effectiveness of Internal Audit
Summary of TBS Assessment
The Department received a rating of Opportunity for Improvement for Effectiveness of Internal Audit Function. TBP noted that the department must also continue to work to ensure implementation of the new Internal Audit Policy and improve its risk-based internal audit planning.
Management Initiatives and Supporting Action Plan
The internal audit function within HRSDC is supported by two audit areas: HRSDC’s Internal Audit Services to address policy related audit issues and the Service Canada Internal Audit Branch. Both functions ensure full coverage of the Department’s program, policy and service delivery continuum.
The Department will develop and make progress on implementation of a plan for new Internal Audit Policy.
The HRSDC 2006 Internal Audit Policy Implementation Plan has been reviewed and approved by the Management Audit & Evaluation Committee (MAEC) on June 20, 2007. Plan has been sent to TBS for information purposes. This Plan is an evergreen document and will be reviewed on a regular basis. The MAEC will be updated periodically on Internal Audit Services progress on its implementation.
The Service Canada Policy Implementation Plan has been updated taking into account the lessons learned from the “Base Line Assessment” and was presented at the November 9, 2007 AEC.
The Department will improve risk-based Internal Audit planning.
HRSDC Internal Audit Planning:
- HRSDC 2007-2010 Risk-Based Audit Plan was approved by the MAEC June 8, 2007 and provided to TBS in July 2007.
- This Plan includes an audit universe, risk ranking of the projects and carry-over projects.
- A comprehensive risk-based planning process was undertaken and includes consultations with key stakeholders.
- Adopt a continuous learning approach and allow the planning process to improve and evolve annually.
- Recruitment and training plans were developed to meet expectations of the 2006 Policy on Internal Audit.
Service Canada Internal Audit Planning:
- Service Canada 2007-08 Risk-Based Audit Plan was presented and approved by the AEC on June 19, 2007.
- Environmental Scan and Risk assessment conducted which included both Inherent and residual risk in developing a risk ranked universe for Service Canada.
- Risk statements are now included in the Audit Plan for each project.
- Regular meetings of Internal Audit Branch's (IAB) training committee which has developed extensive training plans to increase the level of professional competencies for auditors.
- Recruitment processes underway to identify potential candidates with audit experience.
- Comprehensive Management Action Plan follow-up process implemented to ensure corrective actions are completed in a timely manner, which inputs into the planning process for future years.
The Department will improve reporting timeliness of internal audit results through the following activities:
HRSDC Internal Audit Reporting: Internal Audit Services is refining its current processes to achieve shorter timeframes for the completion and release of audit reports.
Service Canada Internal Audit Branch has developed an Audit Report Publication Strategy that was approved by the MAEC.
The policy states:
- public disclosure within the standard of 2 to 4 months.
- Completed reports to be sent to the Office of the Comptroller General (OCG).
To date all completed reports have been published within an acceptable timeframe and have been provided to the OCG.
Indicator
19. Organization knows and responds to citizens’/clients’ needs and expectations
Summary of TBS Assessment
The Department was rated positively overall with a rating of Strong.
Human Resources and Social Development Canada (HRSDC) demonstrate a strong commitment to consulting with the public in the design of their service offerings. As well, through Service Canada, HRSDC is a demonstrated leader in numerous inter-departmental and multi-jurisdictional service partnerships.Management Initiatives and Supporting Action Plan
No further action required.
Indicator
20. Alignment of Accountability Instruments
Summary of TBS Assessment
All departments were not assessed on rated this element.
Management Initiatives and Supporting Action Plan
No action required.