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ARCHIVED - Round VI (2008) Management Accountability Framework Assessment and Management Response by Area of Management

Public Service Values

Area of Management

• 1. Values Based Leadership and Organizational Culture
• 1.1 Leadership (Acceptable)
• 1.2 Infrastructure (Acceptable)
• 1.3 Culture (Opportunity for Improvement)

Summary of TBS Assessment

The Department was rated Acceptable.

Human Resources and Skills Development Canada (HRSDC) is effective at demonstrating and communicating Public Service Values and ethics to all staff in the Department. The Office of Values and Ethics is establishing a values and ethics infrastructure that is understood and effective. The executive leadership regularly communicates and encourages ongoing dialogue on Public Service values and ethics among employees. HRSDC has a plan that includes a strategy championed by senior management with medium-term activities to raise awareness. HRSDC has a good understanding of the current state of Public Service values and ethics as evidenced by qualitative and quantitative information.

Management Response

The Department has assessed the current ethical climate and culture across the Department. The Office of Values and Ethics, amongst other initiatives, plans to conduct employee surveys to establish a baseline of the organizational culture, which in turn will further support the development of an organizational culture reflective of Public Service Values and Ethics.

Governance and Strategic Directions

Area of Management

• 2. Utility of the Corporate Performance Framework
• 2.1 PAA Consistency (Acceptable)
• 2.2 Measurability (Acceptable)
• 2.3 Quality (Unrated)

Summary of TBS Assessment

The Department was rated Acceptable.

The organization’s Management, Resources and Results Structure (MRRS) has most of the elements to provide insights into program effectiveness and it is being used in decision-making. Organizational programs and resources are adequately aligned with Strategic Outcomes and the Department is well-placed to manage for results. The Strategic Outcome statements can be understood within and outside the Department as a benefit to Canadians. Treasury Board Secretariat (TBS) suggests further refinement of the Program Activity Architecture, program titles and descriptions. HRSDC should continue to refine its Performance Measurement Framework.

HRSDC maintains a generally integrated corporate system of decision-making that involves planning, scanning, reporting and a revised governance structure. For 2008-2011, the Department has developed an Integrated Business Plan that aligns accountabilities to departmental priorities, and that incorporates the three business lines of the portfolio organization.

Management Response

In response to the assessment, the Department:

• Undertook a rigorous and formal department-wide process in identifying and selecting appropriate performance measures indicators;
• Completed a Department-wide exercise to further improve the robust and comprehensive Departmental Performance Measurement Framework, which engaged programs, policy, evaluation, research, and service delivery.
• Engaged key Senior Management and cross-functional areas such as Strategic Policy, Policy Research, Evaluation, and the Chief Financial Officer Branch, among others, to review and validate the performance indicators.
• Developed Strategic Outcome Storylines and articulated Expected Results at the Strategic Outcome and Program Activity levels to support the development of performance measures and indicators.

Area of Management

• 3. Effectiveness of the Corporate Management Structure
• 3.1 Corporate Business Plan is aligned to corporate priorities (Acceptable)
• 3.2 Corporate Governance Structure aligned to the organization’s PAA (Acceptable)

Summary of TBS Assessment

The Department was rated Acceptable.

The organization’ corporate governance structure is generally aligned to the Program Activity Architecture (PAA). The resource allocation is generally proactive. The management decisions and interventions are proactive and timely. Senior corporate management structure or governance committees meet regularly.

Management Response

Priority setting for the Department is conducted through an ADM Strategic Outcome Table process wherein priorities are discussed, set and then used as the basis for the Departmental Integrated Business Plan. The Department has a comprehensive governance structure.

Area of Management

• 4. Contributions to Government-wide priorities and portfolio coordination.
• 4.1 Leading Horizontal Initiatives (N/A)
• 4.2 Participation in Priority Initiatives (Strong)
• 4.3 Portfolio Coordination (Acceptable)

Summary of TBS Assessment

The Department was rated Strong.

TBS has assessed HRSDC with regard to its participation in the Public Service Renewal, Web of Rules and Northern Strategy initiatives.

The organization is providing support to the initiative leads. The organization shows strength in its participation in priority interdepartmental initiatives.

TBS encourages the Department to continue its effective participation in the Public Service Renewal and the Web of Rules Initiative. The Department’s portfolio coordination is effective, and the commitments are clear, measurable, and consistent.

Management Response

HRSDC continues its effective participation and contribution to the Public Service Renewal and Web of Rules initiatives.

Policy and Programs

Area of Management

• 5. Quality of Analysis in TB Submissions
• 5.1 Accuracy and Reliability (Acceptable)
• 5.2 Quality, adequacy and soundness of analysis (Acceptable)
• 5.3 Timeliness (Acceptable)
• 5.4 Quality Control Process (Acceptable)

Summary of TBS Assessment

The Department was rated as Acceptable.

The organization has the capacity to respond effectively to most TBS feedback. Appropriate consideration is given to a range of issues, such as gender-based analysis and sustainable development implications. Submissions are usually timely. The clarity and consistency of the language, as well as the description of resource requirements are good.

HRSDC continues to work at ensuring TB submissions are consistently compliant with TB guidelines and has developed practices to engage TBS earlier in the process. To ensure a rigorous quality control process and that approval process is smooth and efficient, the Department is encouraged to strengthen internal collaboration between program and financial areas in developing TB submissions.

Management Response

To ensure that a rigorous quality control process is in place and the approval process is smooth and efficient, the Department continues to strengthen the internal collaboration between programs, policy, service delivery and financial areas in developing TB submissions.

Results and Performance

Area of Management

• 6. Quality and Use of Evaluation
• 6.1 Quality (Strong)
• 6.2 Neutrality (Acceptable)
• 6.3 Coverage (Acceptable)
• 6.4 Usage (Strong)

Summary of TBS Assessment

The Department was rated Strong.

HRSDC continues to demonstrate a high degree of competence within its evaluation function. Noteworthy is the Department’s continued and effective use of evaluation to inform decision-making and support organizational learning.

The evaluations submitted to TBS present findings, conclusions and recommendations supported by the evidence found in reports. The evaluations address relevance, success and effectiveness. The evaluations submitted to TBS use appropriate methodologies to gather data and inform the analysis. A senior management committee is in place to support, oversee and monitor the evaluation function and management accountabilities arising from evaluations. A documented and regular tracking of management action plans arising from evaluation recommendations is in place.

Management Response

The Departmental Evaluation Committee (DEC) continues to meet on a regular basis to ensure timely review and approval of reports.

The Department continues to effectively use the evaluations to inform decision-making and support organizational learning.

Area of Management

• 7. Quality of Performance Reporting
• 7.1 MRRS Basis (Acceptable)
• 7.2 Credible Performance Information (Acceptable)
• 7.3 Context (Acceptable)

Summary of TBS Assessment

The Department was rated as Acceptable.

The organization’s reports to Parliament clearly demonstrate that performance expectations in the Report on Plans and Priorities are tracked and reported on in the Departmental Performance Report. The linkages between plans and expected and actual results, and the planning and performance context are clear and concise. There is balanced reporting on results achieved, adequately integrating evidence-based performance information to substantiate performance claims. Parliament and Canadians are presented with a clear picture of the Department’s achievements and shortcomings, and the progress the Department is making towards achieving enduring benefits for Canadians.

Management Response

The Department improved its performance reporting by ensuring that sources are consistently provided for performance-based information presented, as well as for the audits and evaluations referenced.

Learning Innovation and Change Management

Area of Management

• 8. Managing Organizational Change
• 8.1 Change Plan (Strong)
• 8.2 Engagement (Strong)
• 8.3 Assessment, demonstrates results, engagement (Acceptable)

Summary of TBS Assessment

The Department was rated as Strong.

The Department was encouraged to continue its comprehensive approach to Change Management that focuses on people. With the development of a new Change Management Strategy to provide guidance and tools to assist planning, implementing and monitoring large scale change initiatives and further strengthening of initiatives such as the Friends of Transformation Group, HRSDC illustrates a commitment to change management.

Management Response

The Department is continuing its comprehensive approach to change management and further strengthening activities that support change management. The Organizational Effectiveness Strategy contributes to managing change (tools, training and consultations are in progress).

Risk Management

Area of Management

• 9. Risk Management
• 9.1 Engagement (Acceptable)
• 9.2 Implementation (Acceptable)
• 9.3 Integration (Acceptable)
• 9.4 Continuous Improvement (Acceptable)

Summary of TBS Assessment

The Department was rated as Acceptable.

HRSDC has completed significant work over the last year to establish a coordinated Risk Management (RM) function, the undertaking of, and follow up on, an internal RM audit. HRSDC plans to update its Integrated Risk Management approach over the coming months to include a departmental logic model, success indicators, a data collection strategy and an overall coordination strategy for its risk management function. The Risk Management approach is regularly communicated to staff and stakeholders, through the activities of the Corporate Risk Management division.

Management Response

Risk-based approaches to decision making are being implemented throughout the Department and considerations of risk are being further integrated into the corporate planning process. Efforts to update the departmental Integrated Risk Management Strategy are continuing with meaningful progress achieved to date. The Corporate Planning and Accountability group continues to provide internal training, support and guidance to departmental risk practitioners.

People

Area of Management

• 10. Extent to which the Workplace is Fair, Enabling, Healthy and Safe
• 10.1 Fair (Acceptable)
• 10.2 Enabling (Acceptable)
• 10.3 Healthy and safe (Opportunity for Improvement)

Summary of TBS Assessment

The Department was rated as Acceptable.

The organization has performed above expectations with respect to HR business processes and systems. The organization is undertaking actions to improve the classification program in accordance to its level of risk. Labour relations matters are consistently and appropriately managed. HRSDC has met expectations with respect to classification, labour relations, linguistic rights, support for diversity and a healthy and safe workplace. Evidence shows that the organization exceeds standards in timeliness in paying its employees. Evidence indicates that the organization has in place a well-managed program to protect employees’ occupational health and safety.

HRSDC has met expectations with respect to diversity, official languages and integrated human resources and business planning.

TBS recommends that the Department take action to ensure that more employees feel recognized for their contribution and positive performance.

Management Response

The Department has launched a harmonized Pride and Recognition policy. DM Awards of Excellence ceremony will be held in November, 2009. Ongoing activities include: Long Service Awards Program, Day-to-day Recognition, and Retirement Certificates.

Area of Management

• 11. Extent to which the Workforce is Productive, Principled, Sustainable and Adaptable
• 11.1 Productive (Opportunity for Improvement)
• 11.2 Principled (Acceptable)
• 11.3 Sustainable (Acceptable)
• 11.4 Adaptable (Opportunity for Improvement)

Summary of TBS Assessment

The Department was rated as Acceptable.

HRSDC’s internal rates for recruitment, promotion and/or separations are in line with expectations. Communications with and services to the public in both official languages are available. Evidence indicates HR planning integrated with business planning is in place and governance/organizational infrastructure supports it. HRSDC has an approved official HR plan which integrates business goals, has been distributed to employees, and is posted on the intranet. Business goals are clearly identified with links to established human resources and business strategies and priorities.

HR plans generally take into consideration recruitment, staffing, learning/development and succession management to address identified gaps and also include consideration of Employment Equity and Official Languages. A strategy exists for the recruitment, development and advancement of visible minorities, Aboriginal peoples and persons with disabilities, setting out how to achieve representation in support of the Clerk’s priorities.

Management Response

Human Resources Services Branch has an Organizational Effectiveness Strategy in place to create a common approach for the organization in three modules:

• Providing a healthy workplace (Draft framework completed)
• Building a learning organization
• Managing Change (Tools and training in progress, consultations in progress)

The Organizational Effectiveness Module Package for Managers is in progress.

Stewardship

Area of Management

• 12 Effectiveness of information Management
• 12.1 Governance (Opportunity for Improvement)
• 12.2 Strategy (Opportunity for Improvement)
• 12.3 Privacy Act (Opportunity for Improvement)
• 12.4 Access to Information Act (Opportunity for Improvement)

Summary of TBS Assessment

The Department received a rating of Opportunity for Improvement.

An Information Management (IM) Senior Official has been designated and evidence demonstrates that some IM accountabilities, roles, and responsibilities have been established in the Department.

The IM Functions have been consolidated into a single organizational unit under the Chief Information Officer (CIO). IM requirements are integrated as part of the approval, development, implementation, evaluation, and reporting of departmental policies, programs, services, or projects. IM roles and responsibilities are still under development and an IM Policy Framework is in the process of being crafted. The CIO is a standing member of departmental governance committees that: share information, collaborate and draw linkages across the portfolio, set priorities, provide strategic oversight and directions. The IM Strategy (under development) will address governance and roles and responsibilities. The organization is active in Government-wide IM committees, working groups, workshops and is sharing and leveraging best practices across the Government.

The Department submitted an Annual Report to Parliament on the Privacy Act, but did not address all of the mandatory requirements.

A significant number of institution-specific Classes of Records do not meet TBS requirements on the Access to Information Act.

Management Response

In response to the assessment, the Department has:

• Prepared a 3-tier IM Policy Framework, including IM Governance Model.
• Drafted an IM Strategy offering a consolidated departmental vision to Information Management / Records Management.
• Developed an IM Awareness Campaign.
• Developed an Information Classification Structure and retention schedule meeting the Library and Archives Canada targets.
• Been working with TBS to ensure that all Personal Information Banks and institution-specific Classes of Records are comprehensive, up-to-date and comply with requirements concerning the Access to Information Act.
• As requested by TBS in June 2009, emphasis on the content of Personal Information Banks and Classes of Records will be the focus of the 2010 InfoSource update.
• The Department tabled its annual reports to Parliament on the administration of the Privacy Act and on the administration of the Access to Information Act on October 9, 2009, within legislated timeframes. The reports address all of the mandatory requirements.

Area of Management

• 13. Effectiveness of Information Technology Management
• 13.1 Leadership (Strong)
• 13.2 Planning (Acceptable)
• 13.3 Value (Strong)

Summary of TBS Assessment

The Department received a rating of Strong.

The management of information technology (IT) is adequate in the areas of leadership, planning and delivery of value from IT investments. The senior official has responsibility and accountability for the full scope of IT responsibilities and ensures that IT supports organizational outcomes. The organization actively participates and demonstrates leadership in setting government-wide directions for IT.

An IT Plan is in place. The organization has aligned corporate and IT governance structures and has an integrated planning process. Plans for the appropriate use of IT shared services to an optimal extent, demonstrating management commitment to service costing, asset management, performance measurement and reporting.

Management Response

The Department is continuing to strengthen integrated processes and practices for IT governance and planning.

The Investment Review Board has been put in place to support strategic investments across the Department.

Area of Management

• 14. Effectiveness of Asset Management
• 14.1 Investment Planning (Acceptable)
• 14.2 Materiel Management (Acceptable)

Summary of TBS Assessment

The Department received a rating of Acceptable.

HRSDC now has a long-term investment plan, which covers key assets dealing with information technology, real property and fleet. The associated strategies were developed taking into consideration resource constraints, strategic priorities and the Department's changing responsibilities.

The Department has a materiel management framework including policies, an integrated management system and performance information on its assets. HRSDC also contributes to the materiel management community, as evidenced by active participation on an interdepartmental materiel management working group.

Management Response

The Department continues to strengthen enterprise management of asset as framed by the TB Assets and Acquired Services Framework. This work links key planning processes, including investment and asset plans to contract review and implementation processes and oversight processes. The professionalization of the accommodation and asset communities of practice is advancing. And, the underlying business management practices to support the effective delivery of asset management continue to evolve with government wide direction.

Area of Management

• 15. Effective Project Management
• 15.1 Governance and Oversight (Acceptable)
• 15.2 Effective Management of Project Resources (Acceptable)
• 15.3 Effective Management of Project Results (Opportunity for Improvement)

Summary of TBS Assessment

The Department received a rating of Acceptable.

HRSDC’s Investment Review Board (IRB) has enterprise-wide responsibility for providing independent decision-making and oversight to all projects over $1M for the Department. The decision-making process of the IRB is aligned with the strategic plans and priorities of the Department, and IRB decisions are documented.

The investment management process guide outlines the roles and responsibilities of project stakeholders throughout the development and implementation of the investment/project and includes a description of the IRB. The investment management process guide provides evidence of the Department’s process for the management of projects. However, there is no evidence that all projects across the organization are subject to the process.

Departmental records of gate decisions and approvals are included in the business case documentation for consideration at the Next Gate approval stage. There is evidence that the Department tracks and monitors project progress based on an approved plan which details the allocation of resources committed at each gate, links resources to decision gates, and outlines project performance. There is evidence that monitoring information is used to support project decisions and that project decisions are documented. There is some evidence of a commitment to continuous improvement through lessons learned reports, which are part of the newly established project management process.

Management Response

To improve management, monitoring, budgeting and scheduling of projects, the Department continues to:

• Conduct monthly project forecasting and reporting in support of quarterly updates to the Investment Review Board (IRB).
• Consider dedicated project controllers for large projects to establish the budget estimates of projects and maintain financial performance information.
• Develop a common project control and reporting framework to measure and report on the performance of all projects.
• Review corrective actions required by a project; and
• Provide training to Project Managers.

To improve Project Management Governance and Oversight Mechanisms organization-wide for all projects:

• Review of all project activities within the Department and manage all projects over $1M through the IRB.
• Annual review of lessons learned with recommendations on how to strengthen project management will be presented to IRB.

Area of Management

• 16. Effective Procurement
• 16.1 Governance and Oversight (Acceptable)
• 16.2 Meeting Operational Requirements (Acceptable)

Summary of TBS Assessment

The Department received a rating of Acceptable.

The organization has a process in place to link procurement activities to its program plans and investments, with a defined contract review process and transparent records of its decisions. The Department meets operational requirements using: qualified procurement staff, timely and accurate procurement information systems and processes; and reports and reviews that feed into continuous improvement. The Department's procurement makes a contribution to the achievement of the organization's program outcomes and to government-wide priorities.

Management Response

The Department continues to strengthen enterprise management of procurement as framed by the TB Assets and Acquired Services Framework. This work links key planning processes, including investment and asset plans to contract review processes and oversight processes. The professionalization of the procurement community of practice is advancing. And, the underlying business management practices to support the effective delivery of procurement continue to evolve with government-wide direction.

Area of Management

• 17. Effectiveness of Financial Management and Control
• 17.1 Authorities and Policies (Strong)
• 17.2 Public Accounts Reporting (Strong)
• 17.3 Management Capacity (Acceptable)
• 17.4 Financial Statements (Strong)
• 17.5 Internal reporting (Acceptable)
• 17.6 Other Initiatives (Acceptable)

Summary of TBS Assessment

The Department received a rating of Acceptable for the Effectiveness of Financial Management and Control:

The organization demonstrates well-documented systems for monitoring compliance with financial legislative authorities and policies and good progress in taking corrective action when necessary. The Department shows acceptable internal and external financial reporting with appropriate mitigation strategies to correct internal control weaknesses, as well as a good financial management capacity. As a consequence, financial information and advice is reasonably timely and accurate for effective decision making and accountability.

Departmental processes for classification of moneys, internal controls for receiving and recording money and depositing money show evidence of solid financial management practices.

Management Response

The Department is working to foster more collaboration between the CFO and FIs that exist outside the Chief Financial Officer Branch.

Area of Management

• 18. Effectiveness of Internal Audit
• 18.1 Internal Audit Governance (Strong)
• 18.2 Internal Audit Professional Practices (Acceptable)
• 18.3 Administration of the Internal Audit Function (Strong)
• 18.4 Internal Audit Performance (Acceptable)

Summary of TBS Assessment

The Department received a rating of Acceptable.

Overall, the Department has made reasonable progress in implementing key elements of the 2006 Policy on Internal Audit (IA). The Departmental Audit Committee (DAC) is in place with three external members. The Internal Audit Charter and DAC Charter are in line with the Policy. The Implementation Plan is on track in the majority of areas. A Risk-Based Audit Plan (RBAP) was completed, and a risk-based methodology is evident. Resources are clearly identified. The completion rate of assurance products is moderate based on the Risk-Based Audit Plan. The overall quality of the internal audit reports is reasonable. An internal Quality Assurance and Improvement Program is documented and implemented.

Management Response

Internal Audit Services Branch continues to focus its efforts on strengthening its organization, developing and delivering on the annual risk-based internal audit plan, providing support to the Departmental Audit Committee, and complying with the Policy on Internal Audit.

Area of Management

• 19. Effective Management of Security and Business Continuity
• 19.1 Departmental Security Program (Acceptable)
• 19.2 Management of IT Security (MITS) (Opportunity for Improvement)
• 19.3 Business Continuity Planning (BCP) (Opportunity for Improvement)

Summary of TBS Assessment

The Department received a rating of Opportunity for Improvement.

The organization has an established 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. Some deficiencies remain related to security training and, to a lesser extent, sharing of information and assets and incident management.

HRSDC meets the three priority objectives which form the foundation of the Management of Information Technology Security (MITS). Deficiencies remain in meeting the requirements.

The Information Technology Security (ITS) program is currently under review as part of the Departmental IT Security Program modernization Initiative’s 5-year plan. Ongoing activities include the development of a Departmental ITS policy and ITS Risk Management Framework.

HRSDC meets most of the requirements related to BCP Governance, Plans and Arrangements and BCP Readiness.

Management Response

In response to the assessment, the Department has undertaken the following activities:

• Created an Internal Integrity and Security Directorate reporting to the Departmental Security Officer, which is implementing a comprehensive Department-wide approach to Security planning and Program implementation.
• Held annual series of IT Security Awareness days in several locations to emphasize IT security in the Department.
• Created an Information Technology Security (ITS) Modernization initiative
• Created an IT Security Risk Management Framework

To improve Business Continuity Planning (BCP), the Department has:

• Assigned a National BCP Coordinator;
• Developed and implemented a BCP within the context of the broader HRSD Security Program Planning.
• Developed awareness and training courses for BCP.
• Researched and discussed with Public Safety and other GoC partners regarding possible automated tools underway for use in developing and documenting BCP data with GoC linkages.

Client-Focused Services

Area of Management

• 20. Citizen-focused Service
• 20.1 Management Engagement – Service and CLF (Acceptable)
• 20.2 Public / Client views (Strong)
• 20.3 Official Languages (Acceptable)

Summary of TBS Assessment

The Department received a rating of Acceptable.

HRSDC has established a committee that has the mandate to oversee service across the portfolio. Senior management generally uses performance information to identify priorities for the improvement of its services.

Service Canada has a Client Segment Strategy which is a strategic and operational approach to using client information and feedback to design and bundle services.

Senior management has generally set and communicated, to its staff, expectations for meeting the needs of clients. The institution conducts limited client satisfaction measurement for some of its services. There is monitoring by senior management to ensure that the requirements of Common Look and Feel (CLF) 2.0 are being met institution-wide.

The Department has adequate resources to serve the public in both official languages. A small number of complaints were deemed founded by the Commissioner of Official Languages.

Management Response

The Department is undertaking the following activities to further enhance services to citizens:

• Development of a comprehensive inventory of services, client segment profiles, Gs & Cs programs, service standards and existing client satisfaction surveys for the entire department as a foundation for subsequent improvement efforts.
• Improve departmental service standards
• The Department will align with the guidelines on client satisfaction measurement and service standards.
• The Office for Client Satisfaction conducts regular client satisfaction surveys that measures client satisfaction across services and service delivery channels.
• Some HRSDC programs conduct annual client satisfaction surveys with either their clients or the service delivery partners which are viewed as clients.
• Other HRSDC programs measure satisfaction through client interviews or have stakeholder engagement strategies underway to seek input from clients of the service provided.
• Extensive work was completed to bring the client facing services and tools of Job Bank to CLF 2.0. Work continues to ensure that all subordinate infrastructure and software supporting the client facing portion of Job Bank also meets CLF 2.0 standards.

Accountability

Area of Management

• 21. Effectiveness of the Performance Management Program for Executives

Summary of TBS Assessment

The Department received a rating of Strong.

Management Response

No action required

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Date Modified:

2011-12-23