MAF 2015 to 2016 methodology for small departments and agencies
Table of contents
Methodology overview
The annual MAF assessment for small departments and agencies aims to improve oversight and management practices in departments as well as to support the Government of Canada’s strategic direction for management.
Small departments and agencies are included in the MAF assessment process on an annual basis. MAF 2015-16 will be the second annual MAF assessment within the pre-determined three-year cycle.
Small departments and agencies have a tailored methodology that includes specific indicators drawn from central systems. These areas will be assessed under management performance. Indicators do not duplicate areas included within Core Control Audits.
Benchmarking and comparability across small departments and agencies
The metrics and reporting format allow for comparison and benchmarking amongst same size organisations which provides an opportunity to share leading practices amongst small departments and agencies.
Questionnaire
Financial management
External financial reporting
Outcomes statement: Transparency and accountability for how government is spending public funds is supported by providing reliable and timely financial information (for the reporting period ending up to ).
Rationale pertaining to questions below: Canadians and parliamentarians expect timely and reliable reporting that provides transparency and accountability for how government spends public funds to achieve results. The MAF assessment will provide deputy heads with useful information that will help them ensure effective measures are in place to support these responsibilities related to financial reporting.
Fiscal Monitor and Public Accounts of Canada
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Financial Administration Act, 65 |
Existing data within the central agency (RG) |
Performance |
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Financial Administration Act, 65 |
Existing data within the central agency (Office of the Auditor General (OAG)) |
Performance |
Resource management
Outcomes statement: Management of public funds is supported by effective planning, budgeting and monitoring.
Rationale pertaining to questions below: Management of public funds is supported by effective planning, budgeting, monitoring and reporting which are based on reliable information and the sound analysis of that information.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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(Internal Services Indicator) |
Existing data within the central agencies (Expenditure Management System (EMS) and Central Financial Management Reporting System (CFMRS)) |
Performance |
Internal control management
Outcomes statement: Stewardship of public resources is adequately managed through effective internal controls.
Rationale pertaining to questions below: Policy on Internal Control is a foundational element to effective financial management and has been assessed as a core element of MAF (AoM7) since its inception. Therefore the state of progress in completing the initial assessments is a key indicator of maturity both to DHs and to the government. Once departments have completed initial design and operating effectiveness testing in all three control areas, they put in place a program to continuously monitor effectiveness of their internal controls. Having an Internal Control Management Framework in place (building from MAF 13-14) is another maturity indicator in how departments have internally instituted the roles, responsibilities, disclosure and governance of effective internal controls. Engagement of DACs is a compliance measure.
The late payments and related payment of interest is a frequent issue arising from suppliers and in particular small suppliers. This issue is one of compliance with the Directive on Payment Requisitioning and Cheque Control. The benefit for deputy heads is that this information supports their oversight of timeliness of payments.
Further, Deputy Heads oversee departmental travel spending and reporting.
Management of accounts receivable
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Directive on Receivables Management, 6.1.6 (Internal Services Service Standard indicator) |
Existing data within the central agencies (Public Accounts Preparation System (PAPS)) |
Performance |
Financial community capacity
Outcomes statement: Strengthen public sector financial management and its leadership within the financial community and within departments thereby contributing to appropriate stewardship of public resources, effective decision making, and efficient policy and program delivery.
Rationale pertaining to questions below: Financial Community Capacity is essential to supporting a sound financial departmental function.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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|
Policy on Financial Management Governance, 5.1.8 |
Attestation |
Practice |
People management
Employee Retention and Work Culture
Employee turnover is a normal part of the business cycle. High consistent turnover rates however might signal challenges within an organization. A range of measures is used to better understand the work culture and identify underlying causes that affect employee retention.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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N/A |
Incumbent Data Files, Mobility file and PSC Appointments File No evidence is to be submitted for this measure Separate employers must provide data for sub-measure 5.1 only. |
Performance |
|
N/A |
Employee Leave Reporting System No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
Recruitment and Employment Equity
Recruitment is an essential component of workforce planning. These measures are about having the right people at the right place at the right time including being representative of Canadian workforce and offering equal opportunities to each employee.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Measures 3 to 6: Employment Equity Representation, Recruitment, Promotion, and Turnover of Designated Groups Rationale: To measure the extent to which departments and agencies meet the legislative requirements of the EE act. Calculation of measure: This calculation is done separately for each of the four designated groups. The result is displayed separately for each of the four indicators. Representation: Number of designated group members (divided by) Total number of employees The representation of a designated group will be displayed next to the workforce availability of that designated group calculated for the department or agency. Employee tenure: Indeterminate (including seasonal) employees and term employees who have been with the organization for more than three consecutive months. Employee status: Active Period: Snapshot as of Recruitment: Number of designated group members recruited (divided by) Total number of employees recruited The recruitment of a designated group will be displayed next to the workforce availability of that designated group calculated for the department or agency. Employee tenure: New Indeterminate (including seasonal) and term employees Employee status: N/A Period: – Promotions: Number of designated group members promoted internally (divided by) Total number of promotions during the 12 month period The promotions of a designated group will be displayed next to the representation of that designated group in the department. Employee tenure: Indeterminate (including seasonal) employees and term employees who have been with the organization for more than three consecutive months. Employee status: Active Period: – Turnover: Number of designated group members that left the organization (divided by) Total number of employees who left the organization during the 12 month period The turnover of a designated group will be displayed next to the representation of that designated group in the department. Employees who left due to retirement or due to workforce adjustment will be excluded from the calculation of the measure for turnover. Employee tenure: Indeterminate (including seasonal) employees and term employees who have been with the organization for more than three consecutive months. Employee status: Active Period: – Workforce availability: The estimated availability of people in designated groups as a percentage of the Canadian workforce population. For federal public service purposes, workforce availability is based on the population of Canadian citizens who are active in the workforce and work in those occupations that correspond to the occupations in the public service. The estimates are derived from the 2011 National Household Survey (i.e. “Census”) and the 2012 Canadian Survey on Disabilities. The workforce availability estimates used in these measures are the ones calculated for each department and agency. |
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Employment Equity Act and the Policy on Employment Equity |
Incumbent Data File and Employment Equity Data Bank No evidence is to be submitted for this measure Separate employers who must submit all data elements for this measure. |
Performance |
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Employment Equity Act and the Policy on Employment Equity |
Incumbent Data File and Employment Equity Data Bank No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
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Employment Equity Act and the Policy on Employment Equity |
Incumbent Data File and Employment Equity Data Bank No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
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Employment Equity Act and the Policy on Employment Equity |
Incumbent Data File and Employment Equity Data Bank No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
Leadership and employee engagement
Outcomes statement: Seasoned leaders that generate employee engagement.
Leadership
The depth and breadth of knowledge of the organizational business by executives has an impact on the ability to deliver on the organization’s mandate.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Table 7 Notes
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N/A |
Incumbent Data Files No evidence is to be submitted for this measure |
Performance |
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N/A |
Incumbent Data Files No evidence is to be submitted for this measure |
Performance |
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N/A |
Incumbent Data Files No evidence is to be submitted for this measure |
Performance |
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N/A |
Incumbent Data Files No evidence is to be submitted for this measure |
Performance |
Performance management and employee learning
Outcomes statement: A skilled and agile workforce that has the knowledge and flexibility to meet the needs of an evolving public service.
Performance and Talent Management
Successful performance management facilitates the effective delivery of strategic and operational goals. For the process to work, employees must understand the process and its purpose and witness its applicability on a daily basis.
Note: Data for measures below will be pulled from the Performance Management System. There are some special circumstances where all or a subset of employees within a department or agency may not be using the new performance management system. These departments or agencies may have to submit the required data as part of their submission.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Performance Management Directive |
Performance Management System No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
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Performance Management Directive |
Performance Management System No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
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Performance Management Directive |
Performance Management System - No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
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Performance Management Directive |
Performance Management System No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
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Performance Management Directive |
Performance Management System No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
Learning and Development
Ensuring that the public service is equipped to meet the challenges of the 21st century requires employee learning, training and professional development. Organization’s commitment to various ways of learning is the foundation of employee development and performance improvement.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Performance Management Directive |
Performance Management System No evidence is to be submitted for this measure Separate employers must submit all data elements for this measure |
Performance |
Service Standards
The TB Policy on Service defines service standard as: “Public commitment to a measurable level of performance that clients can expect under normal circumstances”
Outcomes statement: Achieve excellence in human resources management services to ensure they are client-centred and efficient.
Rationale pertaining to questions below: Service standards are essential for maintaining efficient and effective client-centred services that support achievement of program delivery objectives.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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|
N/A |
TBS Central Systems – Position Classification Information System (PCIS) |
Performance |
Management of Integrated Risk, Planning and Performance
Creation of quality performance information
Outcomes statement: Department or agency has clear collection strategies in place to create quality performance information.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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MRRS Instructions, Section 5 |
TBS to assess as part of annual review process of departmental PMFs of record, based on criteria identified in the MRRS Instructions No Evidence to Submit |
Performance |
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Policy on MRRS MRRS Instructions, 6.3.1 |
Performance indicator methodology template and evidence of calculation by the established methodology. If methodologies have been submitted through HYLX, a note to that effect can be used as evidence instead of the methodology template but evidence of calculation must still be provided. Up to Two Pieces of Evidence |
Performance |
Internal and external performance reporting
Outcomes statement: Department or agency has performance information available for internal and external reporting.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Guide on Internal Services Expenditures, 3.2 |
TBS to assess as part of submission of departmental 2014-15 Actual Financial and FTE data sheets and the 2014-15 DPR. No Evidence to Submit |
Performance |
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TBS to assess as part of submission of departmental 2014-15 Actual Results data sheets and the 2014-15 DPR. No Evidence to Submit |
Performance |
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Evidence of calculation by the established methodology (Source: 2013-14 and 2014-15 DPR) The 2013-14 fiscal year will serve as a baseline year One Piece of Evidence |
Performance |
Information Management and Information Technology (IM/IT) Management
IM stewardship
Outcomes statement: Departments and agencies develop and implement strategies and plans to effectively manage information assets to deliver on programs, services and Government of Canada (GC) priority initiatives.
Indicators and Calculation Method (where applicable) | Policy Reference | Evidence Source and Document Limit | Category |
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Completed RKAT assessment Document Limit: 1 |
Performance |
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Disposition Plan applicable for fiscal year 2014-2015 Disposition Log / Activity Tracker for fiscal year 2014-2015 Document Limit: 2 |
Performance |
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Disposition Log / Activity Tracker for fiscal year 2014-2015 Document Limit: 1 |
Performance |
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