2008-2009 Management Accountability Framework

Utility of the Corporate Performance Framework

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.

Effectiveness of the Corporate Management Structure

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.

Contributions to Government-wide priorities and portfolio coordination

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.

Utility of the Corporate Performance Framework

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.

Effectiveness of the Corporate Management Structure

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.

Contributions to Government-wide priorities and portfolio coordination

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

Quality and Use of Evaluation

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.

Quality of Performance Reporting

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.

Quality and Use of Evaluation

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.

Quality of Performance Reporting

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.

Extent to which the Workplace is Fair, Enabling, Healthy and Safe

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.

Extent to which the Workforce is Productive, Principled, Sustainable and Adaptable

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.

Extent to which the Workplace is Fair, Enabling, Healthy and Safe

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.

Extent to which the Workforce is Productive, Principled, Sustainable and Adaptable

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.

Effectiveness of information Management

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.

Effectiveness of Information Technology Management

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.

Effectiveness of Asset Management

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.

Effective Project Management

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.

Effective Procurement

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.

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.

Effectiveness of Internal Audit

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.

Effective Management of Security and Business Continuity

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.

Effectiveness of Information Management

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.

Effectiveness of Information Technology Management

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.

Effectiveness of Asset Management

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.

Effective Project Management

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.

Effective Procurement

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.

Effectiveness of Financial Management and Control

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

Effectiveness of Internal Audit

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.

Effective Management of Security and Business Continuity

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.