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ARCHIVED - Round V (2007) Management Accountability Framework Assessment and Management Response by Area of Management
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Public Service Values
Area of Management
1. Values-Based Leadership and Organizational Culture
Summary of TBS Assessment
The department was rated as Acceptable:
Human Resources and Social Development Canada is performing at an Acceptable level. Within the context of departmental priorities and resources, the organization is encouraged to address the following opportunities:
- Evaluate the effectiveness of activities to address fear of reprisal;
- Monitor risk and integrate risk management into decision making. Train managers to apply risk management; and
- Develop values and ethics plans/strategies that span several years and measure results to inform senior management of the state of organization's values and ethics.
Management Response
Efforts will continue to maintain or improve the rating.
Governance and Strategic Directions
Area of Management
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 organization’s Management, Resources and Results Structure has most of the elements to provide insights into program effectiveness and there is some evidence that it is being used in decision-making. As a consequence organizational programs and resources are adequately aligned with strategic outcomes and the department is well placed to do results based management.
Human Resources and Social Development Canada and Service Canada have each created their first integrated business plans for 2007-08 that describe their priorities by program activity and generally link with the overall mandate and direction of the department. The documents are acceptable in incorporating some human resources and Information Management / Information Technology requirements related to the priorities, but resource allocation information is not fully evident in the plans themselves. The department notes that the 2 plans combine with resource allocations in the 08-09 Reports on Plans and Priorities and will form the basis of one overall departmental business plan for 2008-09 - a senior management priority. Treasury Board Secretariat is supportive of this direction.
The corporate governance structures of the department align to its Program Activity Architecture and there is adequate evidence of regular meetings of key senior management committees to review program activities, priorities and performance.
Treasury Board Secretariat has rated the department as "acceptable" with regards to its extra-organizational contributions: the organization gives attention, support and direction to its extra-organizational initiatives. Leadership of these activities is deliberate, structured, appropriate and consistent with the organization's mandate or with the nature of the portfolio.
Management Response
Efforts will continue to maintain or improve the ratings.
In response to the assessment, the Department will:
- Complete the process for amending the 2009-2010 Program Activity Architecture, including Strategic Outcomes.
- Update the list of program activities listed in its Program Activity Architecture based on Treasury Board Secretariat guidelines.
Policy and Programs
Area of Management
5. Quality of Programs and Policy Analysis
Summary of TBS Assessment
The department was rated as Acceptable:
The Department has made improvements in the quality, timeliness and engagement of Treasury Board Secretariat’s Program Sector over the past year on its more than 30 submissions processed during this timeframe. There is an increased awareness of the overall submission process and the need for adequate time for due diligence by Treasury Board Secretariat’s program analysts and policy centres. In general, the Department has been supportive and responsive in responding to requests for supporting information in both the development of the Treasury Board submission as well as for the presentation of the submission to Treasury Board Ministers.
In addition, the weekly sharing of the departmental Treasury Board submission forecast list, coupled with regular and ongoing dialogue with the Comptrollers Offices has facilitated the coordination and resolution of financial issues arising in many Treasury Board submissions. Continued focus on increasing internal collaboration between departmental program and financial areas in developing Treasury Board submissions will further improve this process as the Comptrollers Offices will be aware of all developing issues.
Management Response
Efforts will continue to maintain or improve the rating.
Results and Performance
Area of Management
6. Quality and Use of Evaluation
7. Reporting to Parliament
Summary of TBS Assessment
The department was rated Strong for evaluation and Acceptable for performance reporting:
Treasury Board Portfolio noted in its assessment the department overall has a strong evaluation function. The organization appears adequately resourced. An active governance body is in place with credible evidence of a system for monitoring recommendations and management responses. Service Canada’s recently established evaluation unit demonstrates acceptable practices in its governance, resources and use of evaluation findings to support management decision-making.
The Departmental Performance Report integrates credible performance information (beyond activities and outputs to results) to a low degree. The majority of the reporting is focused on activities, although some reporting on outputs and outcomes is present. An increased results-focus for the organization’s public reports is required.
The organization demonstrates an adequate capacity to provide context for its plans and performance, to develop a balanced report to Parliament and to use comparisons, discuss lessons learned and link to further information. This is evidenced by the presence of the following characteristics: The reports adequately present the strategic context and operating environment information including challenges, risks, opportunities and capacities; comparisons are generally effectively and consistently used in the Departmental Performance Report; the Departmental Performance Report is generally balanced – the report presents both positive and negative aspects of performance and substantiation or explanation is generally provided; and the Departmental Performance Report provides links to further information.
Management Response
Efforts will continue to maintain or improve the rating.
In response to the assessment, the Department has undertaken various initiatives to strengthen its Departmental Performance Report, including: the development of an Instruction Guide for departmental reporting; a department-wide performance measurement initiative to strengthen Branch-level performance measurement frameworks; and the inclusion of verifiable data sources in the 2007-2008 Departmental Performance Report.
Learning Innovation and Change Management
Area of Management
8. Managing Organizational Change
Summary of TBS Assessment
The department was rated as Strong:
Treasury Board Portfolio 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. Particular note was given to the Department’s commitment to engaging employees at all levels and areas to the change agenda. Furthermore the organization has established teams, partnerships with external change management experts and specific training programs to ensure a harmonized implementation of its change agenda.
Management Response
Efforts will continue to maintain the rating.
Risk Management
Area of Management
1. Risk Management
Summary of TBS Assessment
The department was rated as Acceptable:
Treasury Board Portfolio noted in the assessment that the department has continued to make promising progress in implementing Integrated Risk Management in 2007, an achievement made possible by continuing and sustained senior management commitment, supported by skilled facilitators. It was also noted that the Department should develop and approve an Integrated Risk Management framework and endeavour to situate core risk and risk-related activities in that broader entity-wide context for improved corporate coherence. The value proposition of, and motivation for, integrated risk management needs to be clarified for each managing level of the Department to garner better quality risk information and support.
Management Response
Efforts will continue to maintain or improve the rating.
People
Area of Management
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 workplace and Strong for workforce:
Treasury Board Portfolio noted that the Department generally has the support necessary to ensure diversity and respect for employees’ linguistic rights, and can reasonably assure the psychological health of its employees. As a consequence, the organization has the capacity to attract and retain quality people.
However, the Department needs to pay particular attention to the areas of compensation and classification. The organization does not meet standards of timeliness in payments to employees and the classification self-assessment report does not demonstrate that risks are clearly identified.
Human Resources and Social Development Canada has fully integrated plans, programs and systems in place to renew its workforce, and its workforce-related decisions are continuously guided by the principles of the Public Service. As a consequence, the organization ensures that its workforce has the attributes required to deliver its mandate, now and in the future, and has the capacity to innovate.
Management Response
Efforts will continue to maintain or improve the rating.
In response to the assessment, the Department has identified the compensation and benefits function as one that is, as of Fiscal Year 2008-2009, managed on an enterprise-wide basis. Bringing on strength (i.e., Initial payment) and taking off strength (i.e., final payment) actions will be managed on a simplified and standardized basis as part of overall national workload management.
The Department will undertake the following initiatives in relation to the compensation and benefits function:
- National service standards are being developed.
- National Compensation & Benefit employees will be hired to ensure community capacity in line with evolving demands.
- Consistent and timely training will be provided to employees to ensure a competent and confident workforce.
- Introduce workload management system in order to track workload pressures, facilitate distribution of work, ongoing review of service levels and subsequent response identified to performance issues.
- Classification Monitoring Report to be completed and submitted to Treasury Board Secretariat.
Stewardship
Area of Management
12. Effectiveness of Information Management
13. Effectiveness of Information Technology Management
Summary of TBS Assessment
The department received a rating of Acceptable for both the Effectiveness of Information Management and Effectiveness of Information Technology indicators:
Treasury Board Portfolio has noted that all of the requirements for the effective management of the organization’s information assets are present. Human Resources and Social Development Canada is effective in meeting most of the requirements of the Access to Information and Privacy Acts.
The management of information technology is adequate in the areas of leadership, planning and delivery of value from information technology investments. As a consequence, the contribution of information technology to the organization’s business strategy is demonstrable and the organization participates acceptably in government-wide information technology initiatives. However, there is room for improvement within the Information Management planning function. More specifically, the Information Technology Plan should contain: risk based approach; implementation planning details; and a portfolio management approach.
Management Response
Efforts will continue to maintain or improve the ratings.
In response to the assessment, the Department has undertaken the following initiatives to improve its participation in setting government-wide strategic information technology directions and integration of information technology investment plans with overall business plans:
- Capital Asset requirements have been determined and outlined in the Long Term Capital Plan. Embedded in the Long Term Capital Plan is the Technology Plan, a detailed segment outlining required assets, funding, and timelines for acquisition/ implementation over the next five (5) years.
- The Investment Management Process to ensure the clear prioritization of Information Technology investment.
Area of Management
14. Effectiveness of Asset Management
Summary of TBS Assessment
The department received a rating of Opportunity for Improvement for Effectiveness of Asset Management
Treasury Board Portfolio stated the development of a long-term capital plan was raised in previous assessments. Although a plan and investment processes are currently under development; the plan is long overdue indicating a weakness in sound investment planning.
The Department has most of the elements of a materiel management framework and is an active participant in the materiel management working group.
Management Response
In response to the assessment, the Department has undertaken the following initiatives to ensure effective asset management supports the organization’s business strategy and delivery of programs and services:
- Investment and Procurement Review Committee was created in spring 2008 to provide Assistant Deputy Minister-level oversight. It is a key control point for Treasury Board Submissions requiring expenditure authority in compliance with Treasury Board Project Approval Policy.
Furthermore, the Department’s Chief Financial Officer will be consulting with Assistant Deputy Minister-level colleagues on the departmental Long-Term Capital Plan. These consultations will lead to an established target date for a completed Long-Term Capital Plan.
Area of Management
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.
The essentials of effective project management including organization-wide project governance, rigorous resource management and results-focused oversight are mostly present. There is a reasonable level of assurance that project risks will be mitigated and results achieved within scope in an effective, efficient and economical manner. Some projects of an IM/IT nature require additional oversight to improve the achievement of results but the organization is making progress to improve these activities through its new investment planning process.
The organization links procurement activities to its program plans and investments, with a defined contract review process and transparent records of its decisions. It meets operational requirements using: qualified procurement staff, timely and accurate procurement information systems and processes; and reports and reviews that feed into continuous improvement. As a consequence, its efficient, effective and economical procurement makes a demonstrable contribution to the achievement of the organization's program outcomes and to government-wide priorities.
Management Response
Efforts will continue to maintain or improve the ratings.
In response to the assessment, the Department has undertaken the following initiatives to ensure effective management of project resources and project results:
- In February 2008, the Department adopted the “Stage-Gate” process for its investment review process. The process provides visibility across all major investments by aligning priorities, investments and projects. All large departmental projects must go through the “Stage-Gate” process, which ensures that projects are compliant with Treasury Board policies and with delegated project authorities.
Area of Management
17. Effectiveness of Financial Management and Control
Summary of TBS Assessment
The department received a rating of Acceptable for the Effectiveness of Financial Management and Control:
Treasury Board Portfolio noted that the department has adequate practices and policies in place with regards to: transfer payment analysis; costing/charging analysis; the quality, timeliness, and accuracy of trial balance and Public Accounts plates submitted for purposes of government-wide reporting; and the accuracy, scope and frequency of internal reporting to senior management is adequate.
While the department has established a direct reporting relationship between the Chief Financial Officer and the Deputy Minister, and has a significant proportion of permanent incumbents with professional accounting designations in key positions, continuing effort is needed to improve the proportion of Financial Administration positions filled with permanent incumbents.
Overall, the department is acknowledged for demonstrating significant initiative in the areas of Financial Management Policies and Financial Reporting.
Management Response
Efforts will continue to maintain or improve the rating.
Area of Management
18. Effectiveness of Internal Audit
Summary of TBS Assessment
The department received a rating of Acceptable for Effectiveness of Internal Audit Function.
Overall, the Department has made reasonable progress in implementing key elements of the Internal Audit Policy, particularly in the areas of Internal Audit governance and a Risk-Based Audit Plan.
Management Response
Efforts will continue to maintain or improve the rating.
In response to the assessment, the Internal Audit Services Branch of Human Resources and Social Development Canada has strengthened the audit planning process through establishing a more comprehensive Risk-Based Internal Audit Plan for 2008-2011.
Area of Management
19. Security and Business ContinuitySummary of TBS Assessment
The department received a rating of Acceptable for Security and Business Continuity.
The organization recently merged two Departmental Security Officer offices thus demonstrating a commitment to further enhancing its security organization. The department has established a comprehensive security program that is managed in an integrated manner, and includes a governance structure with supporting committees, policies and procedures and a comprehensive security awareness program.
Treasury Board Portfolio found no significant deficiencies for the Department meeting its Information Technology Security requirements. Minor deficiencies were noted in the areas of risk management and other technical and operational safeguards.
The Department fully meets Treasury Board Business Continuity Planning governance requirements and is making progress towards complying with the Business Impact Analysis, Business Impact Analysis and Business Continuity Planning Readiness requirements.
Management Response
Efforts will continue to maintain or improve the rating.
In response to the assessment, the Department has undertaken the following activities to ensure the organization has in place measures to provide for the continuity of critical business operations and services during emergency situations:
- Maintain and improve initiatives relating to effective management of security and business continuity program.
- Continue implementation of the Emergency Management Plan.
- Departmental Security Office created a policy review and analysis group to ensure that existing and draft versions of security policy meet the needs of the Department and all Treasury Board guidelines.
- Departmental Security Office created an Information Technology Oversight group to liaise with the Information Technology Security Coordinator to ensure Information Technology Security Policies are recreated to address all requirements and are effective at an operational level.
Client-Focused Service
Area of Management
20. Citizen-focused Service
Summary of TBS Assessment
The department received a rating of Acceptable for Citizen-focused Service
Human Resources and Social Development Canada shows a strong commitment to consulting its clients and stakeholders in the development of programs and services. The department also shows an adequate commitment to measuring and communicating client satisfaction using the Common Measurements Tool and to delivering its services in both official languages. HRSDC should improve setting, measuring and communicating service standards for each of its services. The Department should also ensure full compliance to Common Look and Feel 2.0 by increasing accessible web development and having a monitoring program in place.
Management Response
Efforts will continue to maintain or improve the rating.
Accountability
Area of Management
21. Alignment of Accountability Instruments
Summary of TBS Assessment
This Area of Management was unrated in Round V
Management Response
No action required