CSA - Modern Comptrollership Evaluation

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Modern Comptrollership Evaluation

Audit, Evaluation and Review

December 4, 2003

	Introduction
	Executive Summary
	Summary of Results
	Overview of Results
	Detailed Results by Criteria
	Appendix A: List of Reviewers
	Appendix B: Acronyms used in this document

Introduction

In accordance with the Government of Canada's commitment to modernize management practices, the Canadian Space Agency (CSA) is committed to migrating towards a modern comptrollership and management accountability framework environment.

To initiate this migration, PWC Consulting completed a modern comptrollership baseline assessment for the CSA in February 2002. The scope of this assessment was founded on the capacity check model, a Treasury Board Secretariat (TBS) methodology that was used for the baseline assessment of pilot federal departments and for all other departments and agencies. The final report from PWC Consulting, CSA Modern Comptrollership Capacity Assessment Final Report, was submitted in April 2002. The CSA Executive Committee approved the report on May 16, 2002, and afterwards a copy of the report was sent to the Treasury Board Modern Comptrollership Office.

The report from PWC Consulting has been the key element for the CSA Management Modernization Action Plan. The plan, approved by the Executive Committee on September 25, 2002, addressed all priority areas and key recommendations that will strengthen management within the Agency.

In December 2002, an interim capacity assessment was performed. The results were presented to the CSA Executive Committee in January 2003; they were discussed and a copy of the report was provided to Treasury Board Secretariat Modern Comptrollership Office.

On December 4, 2003, there was a second evaluation of modern management capacity using the TBS modern comptrollership capacity methodology (33 criteria). The focus group was composed of 19 people with 11 members of the Executive Committee.

Audit, Evaluation and Review

Executive Summary

The evaluation of modern comptrollership capacity was based on the Treasury Board capacity check model that was used for the CSA modern comptrollership capacity assessment. The model is comprised of 33 criteria organized under seven elements:

Strategic leadership
Shared values and ethics
Mature risk management
Motivated people
Clear accountability
Integrated performance information
Rigorous stewardship

Since the approval of the CSA Management Modernization Action Plan the Agency has improved in all seven Modern Comptrollership elements. The Agency shows an advance in the practice of mature risk management; it shows good management practices for strategic leadership, shared values and ethics, clear accountability and rigorous stewardship. The least developed elements are with motivated people and integrated performance information.

Summary of Results

The following chart shows the improvement made since the PWC capacity assessment in April 2002.

Click to enlarge

Overview of Results

Click to enlarge

Stars indicate December 2003 evaluation

Detailed Results by Criteria

Strategic Leadership

Criteria

Commitment by Leadership

The awareness of, and commitment to, the need for implementing and establishing a modern management practices environment by deputy head and senior management.

Key Points

Strong leadership was demonstrated at senior level:
- Appointment of modern comptrollership project leader and funding of Modern Comptrollership Project Office.
- Executive Committee approved the CSA Capacity Assessment Report and the CSA Management Modernization Action Plan.
- Project Office presented progress associated with Modern Comptrollership each quarter to the Executive Committee .
- Monthly CSA management modernization progress report presented to President and Senior Vice-President.
Director Generals and Directors invited the Project Office to present to their staff information associated with Modern Comptrollership, CSA Management Capacity and to present the CSA Management Modernization Action Plan.
During general staff meetings the CSA President discussed his commitment to modern comptrollership (MC) and invited the Project Office to present results of the capacity assessment in light of progress on the Action Plan.
Senior management has supported annual evaluation on progress associated with MC and results were presented to Executive Committee.
Modern Comptrollership Office established an intranet site associated with MC and periodic messages provided information to staff. The Project Office monitored the number of visitors in the intranet site and included this information in the monthly report.
CSA was invited by Treasury Board to provide information associated with CSA experience on several aspects of MC such as risk management, action plan development.
The CSA President was the lead for the organization review and follow on changes.
The Senior Vice-President was invited to join the ADM Modern Comptrollership Council.
CSA invited Treasury Board Secretariat Modern Comptrollership Director to present the Management Accountability Framework to the Executive Committee in October 22, 2003.

Topic	Leadership Commitment The awareness of, and commitment to, the need for implementing and establishing a modern management practices environment by deputy head and senior management.
1	Deputy head and senior management have only limited knowledge of the modern management practices focus.
2	Deputy head and senior management have a broad understanding of the concept of modern management practices, and recognize the need for change. Deputy head has initiated steps to report performance on an integrated and consolidated basis, including financial and non-financial. Deputy head has developed a short- and longer-term plan to improve modern management practices, and has put in place an organization to promote modern management practices. Performance information, accountability and stewardship are high on senior management's agenda.
3	Deputy head and senior management are highly committed and supportive of modern management practices mindset, and commit resources to implementing modern management best practices. Senior management has established mechanisms to report performance on an integrated and consolidated basis. Deputy head is able to report on extent to which government-wide standard for modern management practices has been met in the department, and makes periodic representations to the Minister and central agencies.
4	A modern-management practice ethos permeates the department and its decision-making process. Deputy head and senior management have created a climate wherein creativity and responsible risk-taking are encouraged, barriers are broken down between functions, and business decisions are challenged. Risks are discussed openly by senior management. Senior management actively reviews service delivery mechanisms. Deputy head is able to report to the Minister and Parliament with confidence on performance results achieved.
5	Department is recognized amongst peers for leadership in implementing modern management practices. Deputy head has earned a high level of trust from central agencies and Parliamentarians, who have high level of confidence in the effectiveness and integrity of the systems used to administer programs, and in the accuracy and completeness of the information about that administration. Deputy head and senior management have established a forward-looking approach to modern management practices to assess department's capacity to sustain desired performance levels in the future

Opportunities for sustaining Phase

There is an opportunity to continue the development of its leadership commitment to advance practice level as part of the transition to the Management Accountability Framework implementation.

Managerial Commitment

Awareness by managers of their modern management practice responsibilities, and their commitment to implementing them.

Key Points

Managers and specialists participated in the development of the CSA Management Modernization Action Plan.
More than 60 managers participated at CSA in the CCMD "Making it real for managers" in November 2002.
Increased horizontal management with participation of specialists.
Increased managers involvement in the development of operational plans.
Participation in sectors briefings.
Management modernization associated with modern comptrollership (MC) is part of Management Agreement.
There had been 3,274 visitors to the CSA MC intranet site as of November 30. 2003.
Ninety-five CSA employees participated in the MC survey. Some 86.3% indicated that CSA demonstrates that implementing MC is a priority and a worthy initiative and 72% of the managers indicated that they are committed to MC.
Excellent horizontal representation associated with several working groups to improve management practices, i.e., CIMIS working group, costs management working group.
Team approach is implemented for project management.
Twenty one CSA employees took the Modern Comptrollership Course provided by CCMD (G-198) and Public Service Commission (C-102).
Human Resources Director presented the Government Human Resources Modernization initiative to the Executive Committee on November 12, 2003.

Topic	Managerial commitment Awareness by managers of their modern management practice responsibilities, and their commitment to implementing them.
1	Control is seen as "compliance" and is still considered the main ingredient of comptrollership by both operational and financial managers. Operational managers focus on running the business and count on "corporate" to ensure that the rules, regulations and reporting requirements are being met. They are not familiar with modern management best practices. Financial concerns primarily evolve around availability of funds to carry out initiatives.
2	Managers understand their management authorities, (e.g., financial, contracting) and those of their staff. They are aware of their responsibilities for probity and prudence and the protection of assets under their control. Plans and initiatives are not subject to a business case analysis beyond the funding issue. Program initiatives are developed without any specialist input. Managers are not always familiar with functional specialties and vice versa.
3	Managers see the continuous improvement of management practices as part of the job and seek the support of functional specialists. Managers are aware of their modern management responsibilities, and accept accountability for resources entrusted to them. Management implications (e.g., financial, HR, information technology, asset management) are assessed in operational plans and new program initiatives.
4	Managers are highly committed and supportive of the modern management practices mindset, and have committed resources to implementing improved management practices. Managers develop and integrate the supporting modern management practices (e.g., financial, HR, IT, procurement, asset management) when implementing new program or service delivery initiatives.
5	Managers see controls as mechanisms to identify risks, opportunities and respond to the unexpected. They apply modern management concepts in their day-to-day operations. Managers integrate financial and non-financial information in their decision-making. Managers are always seeking new and innovative management practices, and share best practices across the organization.

Opportunities for sustaining phase

Continue definition of CSA manager competencies profile to meet organization needs.
When competencies definition completed, proposed the development of a training program for managers

Senior Departmental Functional Authorities

Extent to which senior departmental functional authorities and supporting organizations are used for objective commentary and independent advice.

Key Points

Senior departmental functional authorities sit on the senior management committees such as Executive Committee, PRAB.
Executive members play active role in strategic planning and decisions.
The President created in February 2002 a number of tiger teams to review the organization. The recommendations resulted in organizational changes with implementation starting in April 2003.
The President informed the CSA staff of the proposed organizational changes and provided periodic status during implementation.
The President is working with the two Vice-Presidents to optimize resources within the Agency.
A conversion program was created to establish a balance between government staff and the contractual support required at CSA.
Corporate management carried out and presented to the Executive Committee a post mortem of the 2003-2004 fiscal year work-plan exercise.

Topic	Senior departmental functional authorities Extent to which senior departmental functional authorities and supporting organizations are used for objective commentary and independent advice
1	No clear functional authorities (e.g., SFO, HR, CIO) within the organization. Role of functional authorities is seen primarily as transaction- or process-oriented (e.g., maintaining records and controls, processing). Advice is focussed mainly on the process.
2	Senior departmental functional authorities and staff assist the executive team in assessing the management implications of major decisions (e.g., financial, HR). Senior functional authorities are often called upon to provide strategic advice, while supporting organization is primarily transaction- or process-oriented.
3	Senior departmental functional authorities and staff are senior members of the executive team, and are often called upon to provide strategic advice and support in new program initiatives/changes. Scope includes not only functional matters, but also effectiveness/efficiency of service delivery and management controls and practices required.
4	Senior departmental functional authorities and organization are playing a leadership role in integrating processes and systems to ensure the department is making sound business decisions, maintaining controls, managing long-term risks, and achieving high standards of performance. Role of functional authority is well understood and highly valued.
5	The senior departmental functional authorities and their organizations are recognized as leaders among peers, and are perceived within the department as having strong technical and strategic expert advisory capabilities.

Opportunities for sustaining phase

Improved and increased consultation at management level prior decision at the Executive Committee or PRAB.
Better understanding and definition of the role of the experts/specialists in the decision process.

Planning

Strategic, business and operational planning, the linkages between these and the connection to resource allocation.

Key Points

The Integrated Planning System (IPS) was developed and used in support of strategic planning. IPS is recognized as a critical planning tool in the decision-making.
Starting with 2003-2004, CSA improved the work-plan (operational plan) to meet modern comptrollership requirements. Such development will continue for 2004-2005.
CSA has consulted its stakeholders (departments, industries and scientists) in the development of the Canadian Space Strategy.
The President invited CSA employees to provide input and recommendations on the draft Canadian Space Strategy through their Executive Committee representative.
The Canadian Space Strategy was approved by the Executive Committee on November 12, 2003.
Draft strategic plan thrusts are in development. Following consultation with stakeholders the strategic plans are set to be approved by the end of March 2004.
Human Resources is in the process of developing an HR strategic plan. The draft is scheduled to be released by the end of December 2003 for consultation.
CSA has established an annual priority review.
CSA is proactive in revising its performance reporting accountability structure (PRAS) in liaison with TBS analyst.
CSA management cycle approved by the Executive Committee in November 2003.
Communications is developing a Communication strategic plan in consultation with CSA sectors.

Topic	Planning Strategic, business and operational planning, the linkages between these and the connection to resource allocation.
1	Business plans are developed independently of strategic plan. Little or no effort is made to reconcile the two. Business planning is done on an inconsistent basis across the organization. Corporate business plan meets central agency reporting requirements but is primarily focused on financial information. No effort is made to link/reconcile branch business plans. Plans, once prepared, are seldom used in support of program delivery.
2	Strategic and business plans are prepared independently. Branches prepare business plans independently. Business plans are primarily focused on meeting central agency reporting requirements. HR, IM, and other horizontal issues are addressed on a project-by-project basis, and are only partially reflected in business plans. Some effort is made to ensure consistency between business plans and strategic plan or to reconcile branch business plans.
3	Desired results, strategic priorities and resources are clearly stated in business plans. Strong linkages exist between strategic objectives and priorities, business plans, and operational plans and budgets. Business plans are comprehensive and reflect resources from all functional areas. Resources are adjusted annually to reflect priorities. Strong linkages between branch business plans. Results achieved in business plans are monitored against strategic priorities.
4	Strategic and business plans highlight organization-wide issues, major risks, and the resource implications. Assumptions are periodically challenged to ensure continued relevance. Plans reflect needs of clients and stakeholders who are consulted as part of the process. Business plan resources and performance targets reflect strategic priorities. Results achieved are monitored on a trend basis against strategic priorities. Plans and resources are adjusted to reflect performance results.
5	Clients participate in the business planning process. Plans are used as an integral component in program management. Program outcomes are reported regularly against both strategic and business plans on a trend basis. The plans and process are highly integrated. Plans are cascaded across the organization, and are easily accessible through organization-wide information system. Plans and resources are revised periodically to reflect performance results.

Opportunities for sustaining phase

Strategic development director to present to the Executive Committee with the proposed Strategic Planning and Reporting Framework and associated plans and documents.
Strategic Development Directorate continues to develop the strategic plan thrusts to be approved by Executive Committee before end of March 2004.
Corporate Management to continue the development of a revised PRAS or equivalent document responding to TBS direction.
Strategic Development Directorate will continue the review and definition of the programs alignment.
Corporate Management must continue the improvement of the work-plan during the future fiscal years exercises to improve the integration of risk management, accountability and integrated performance.

Resource Management

Mechanisms for ranking program options, identifying funding requirements and allocating resources, and budgeting and forecasting.

Key Points

CSA is in the process of streamlining the Project Approval Management Framework (PAMF). A letter was sent to TBS analyst with recommendations. CSA will proceed with phase three of the streamlining process post TBS approval of CSA recommendations. Audit, Evaluation and Review Branch has carried out an audit of the PAMF and the draft report is expected shortly for review.
IPS report is used by the Executive Committee for allocating resources and budgeting.
Work-plan approval and monitoring at the Executive Committee.
President has established an annual priority review.
PRAB and CFCP review of proposed programs and projects.
The senior managers are looking at ways to optimize Human Resources and reduce resource duplication.
A life-cycle cost model was briefed at the Executive Committee on November 26, 2003.
Extended Security Information Administration (E-SIA) is being used by several organizations for human resources management and planning.
Human Resources is in the process of developing its strategic plan. The draft is scheduled to be released prior the end of December 2003 for consultation.

Topic	Resource management Mechanisms for ranking program options, identifying funding requirements and allocating resources, and budgeting and forecasting
1	No systematic/formal approach or process to resource allocation, budgeting or forecasting. Resource levels are adjusted on an incremental basis from year to year. Budgets are primarily concerned with allocating expenditure or cash targets. Limited consultation or involvement of operational staff in budgeting and forecasting. No commentary on budget or forecasts, and assumptions are not documented. Financial information and analysis is not integrated into the evaluation of program options and priorities.
2	Resource levels are reviewed periodically through program and other funding reviews. Resource levels are adjusted for new activities/priorities, and are managed independently by each organizational unit (e.g., branch, region). There is a clear formal process for budgeting. Budgets and forecasts are prepared by finance based on a broad understanding of longer-term plans and base assumptions provided by operational staff. Forecasts are not reviewed for realistic assumptions. Actual results rarely correspond to forecasts. Revised forecasts are infrequently prepared and in little detail. There is limited commentary prepared for the financial assumptions.
3	Resource-planning models are used to estimate resource requirements. Mechanisms are in place to facilitate resource re-allocations between branches/regions. A business-case approach is used to allocate resources. Budgets are prepared by operational staff with advice and input from finance staff, and are clearly linked to strategic/business plans. SFO and staff develop the budget framework and communicate it to managers. The budget clearly identifies objectives and assumptions. Elements are budgeted on basis of assumed consumption. Lifecycle costing is used to identify the full resources required. Forecasts are reviewed for realism of assumptions, and quarterlyre-forecasts made. Managers conduct variance analysis and justify variances. SFO and staff provide both a challenge and advisory function to managers.
4	Mechanisms are in place at the organization level to help make choices between competing priorities and to reflect changes in business plan objectives/assumptions. Managers at all levels are involved in resource allocation/re-allocation decisions. Budget re-allocations decisions are fully transparent. The resource-allocation culture supports openness and flexibility. Budgets are closely linked to the costing approach, and link resources to activity and program/product costs. The processes for budgeting and forecasting are streamlined. Data is input directly into a financial planning mode (e.g., what-if analysis). Managers are held accountable for budget variances, and are rewarded/ penalized accordingly.
5	Resources are re-allocated between programs based on priorities that reflect results achieved and "value for money." All management levels are highly committed to, and participate actively in, the resource-allocation process. The budget approach is closely focused on outcomes and results. Budgets are closely linked with resource-allocation priorities and performance results achieved.

Opportunities for sustaining phase

To continue the development for the actions identified in the Key Points section for the criteria.

Management of Partnerships

Partnerships are used extensively by the organization in support of service delivery by leveraging the capabilities of external stakeholders, partners, and other government organizations.

Key Points

CSA consulted 19 government departments in the development of Canadian Space Strategy.
CSA consulted its stakeholders in the development of the Canadian Space Strategy.
External Relations is developing an ndustry Strategic Plan.
CSA is maintaining active communications with industrial partners and scientific community.
For managers, the Modern Comptrollership Office in collaboration with External Relations developed a Collaborative Arrangement Guide in both official languages. The guide will help the External Relations develop a policy to be presented to the Executive Committee.
RMAF and RBAF are being implemented.
The CSA Liaison Office in Ottawa is establishing portfolio management responsibilities to improve relation and support to other departments.

Topic	Management of partnerships Partnerships are used extensively by the organization in support of service delivery by leveraging the capabilities of external stakeholders, partners, and other government organizations
1	Roles and responsibilities as they pertain to identifying and implementing partnerships are generally not well understood. No formal mechanisms exist for the organization to manage its relationship with partners, or to measure the extent of benefits/cost savings. Information on the success of partnership arrangements is mainly anecdotal.
2	The department proactively reviews its activities and services to assess where partnerships are appropriate. Managers see partnerships as one way of doing business better but have only a broad understanding of their benefits and risks. Guidelines are in place to help managers implement new partnerships. A clear decision-making process is in place for authorizing major partnerships. A formal consultation process exists for stakeholders to provide input at critical stages of a project. All new partnership arrangements are supported by a business case and risk assessment.
3	The department proactively reviews its activities and services to assess where partnerships are appropriate. Managers see partnerships as one way of doing business better but have only a broad understanding of their benefits and risks. Guidelines are in place to help managers implement new partnerships. A clear decision-making process is in place for authorizing major partnerships. A formal consultation process exists for stakeholders to provide input at critical stages of a project. All new partnership arrangements are supported by a business case and risk assessment.
4	The department has a long-term plan and has committed resources at the corporate level to support new service delivery methods including partnerships. Major partnership risks are identified in strategic and business plans, and the assessment of partnerships is an integral part of business planning and on-going decision-making. The organization has experimented with new types of governance and financing arrangements. Partnership opportunities are identified on a cross-functional basis. Processes are in place at the project level to allocate risks to the parties. Partnership risks are monitored on an on-going basis. Tools and techniques are well developed and used consistently across the department. Performance information on governance arrangements is readily accessible.
5	The department is recognized across government for innovation, efficiency and success in implementing new service delivery methods. The department is benchmarked against and often called upon to provide advice to other departments on the benefits and risks of implementing partnerships. The organization has earned a high level of trust from stakeholders. Significant risks and implications are communicated to stakeholders regularly. Performance results on governance arrangements are an integral part of overall departmental performance reporting. Tools and models are assessed continually and updated based on new trends and technology.

Opportunities for sustaining phase

External Relations to continue development of a policy on management of partnerships.
CSA to update its inventory of MOUs and agreements to clearly identify liabilities.

Client Relationship Management

Commitment to consciously strengthening relationships with client organizations, and to integrating and coordinating how client services are developed and delivered.

Key Points

David Florida Laboratory (DFL) has a system to conduct questionnaires with, and obtain feedback from, clients.
RADARSAT program is consulting its clients and government clients.
Internal measurement of client satisfaction.
Corporate management organizations are developing client service standards.
Space Technology Directorate provides evaluation of technology program.
Result-based Management and Accountability Frameworks (RMAFs) have been produced for the ESA program and the CASSIOPE contribution program.

Topic	Client relationship management Commitment to consciously strengthening relationships with client organizations, and to integrating and coordinating how client services are developed and delivered.
1	There is no formal client management role in the department. Relations with clients/stakeholders are primarily at the individual level. The department has limited systems and infrastructure to support the operations of the client management function.
2	A client management function (e.g., client managers, client relationship teams) has been established where warranted by the scale and complexity of a client's interactions with the department. Personnel from key operational, program and supporting policy and functional groups work together to serve key clients. Basic information exists on key clients and stakeholders. Clients are aware of whom to contact in the case of issues or new service requirements.
3	The department liaises with key client organizations to address existing and new service requirements, promote new services, and to share information on clients' future plans and priorities. Client service plans have been developed for key clients. A client management function marshals and coordinates resources from across the department to ensure service delivery commitments are satisfied and service delivery problems are resolved.
4	The department develops close client relationships directed toward fully understanding clients' needs. The client management function sets objectives for the department with key clients, and monitors existing service delivery performance and client satisfaction. Client organizations participate directly in planning sessions. Products and pricing are well understood by clients. The supporting infrastructure is in place-systems that track client intelligence, record client activity, service levels. The performance of the department is tracked for each key client account.
5	The department has an in-depth knowledge of the client's business. The client management function has had a positive impact on the volume of client business and client satisfaction. Departmental services are seen to be "seamless" by clients. Client intelligence and lessons learned are shared throughout the organization. Program and service delivery staff work closely together to best serve the client, regardless of where they are in the organizational structure.

Opportunities for sustaining phase

SLAGs to continue to provide input and feedback on performance of our programs.
CSA Liaison Office to interface with departments to measure client relationship.
To encourage managers to coordinate with the CSA Ottawa Liaison Office for initiative involving government departments.
An evaluation of ESA program will be done in the 2004-2005 fiscal year.

Shared Values and Ethics

Criterion

Values and Ethics Framework

Leadership of policies and activities that visibly support the ethical stewardship of public resources and give priority to "modern management practices."

Key Points

CSA's mission statement includes CSA values.
President appointed the Senior Vice-President as the values and ethics champion.
CSA appointed a workplace wrongdoing person.
A large number of CSA staff consulted the values and ethics champion for advice on values and ethics.
The Senior Vice-President promoted Public Service Values and Ethics during the 2003 National Public Service Week. More than 300 people visited the intranet site associated with the message.
The new Values and Ethics Code for the Public Service was distributed to all staff in August 2003.
Scott Serson, President of the Public Service Commission briefed the values and ethics guide to all CSA staff.
Project Office promoted the CCMD values and ethics course. Seven CSA employees took the value and ethics course in 2003 and five CSA employees are registered for this course in 2004.
Orientation sessions include Public Service Values and Ethics.
Manager staffing course giving at CSA is mandatory for Managers and included staffing values.
The new Senior Administrative Support to the Senior Vice-President will be appointed the public service integrated officer. He/she will establish an intersectorial committee on values and ethics.

Topic	Values and ethics framework Leadership of policies and activities that visibly support the ethical stewardship of public resources and give priority to "modern management practices"
1	No clearly enunciated ethics and values policy. Policy statements are issued on an ad hoc basis. Limited attention has been given to values and ethics. No clear direction has been provided. There is an absence of dialogue on the subject. The organization follows minimum guidelines such as a code of conduct.
2	Values and ethics are recognized as an issue. The organization has engaged staff in a dialogue on ethics and values. Leadership has been demonstrated in championing values and ethics-for example, a champion has been identified. The organization participates in government-wide surveys involving values and ethics. The organization may have a values and ethics statement.
3	The department has put a structure in place and resourced it to promote values and ethics (e.g., champions, ombudsman, ethics counsellor). Written policies have been communicated across the organization, and are generally understood. Values and ethics are incorporated in departmental training programs. The organization is developing a better understanding of how to deal with ethical dilemmas.
4	Ethics and values principles/guidelines are well understood by staff, and are reflected in organization-wide documents and communications. Senior managers demonstrate a consistent ethical leadership. There is consistent application of processes on values and ethics. Demonstrated ethical behaviours are assessed in performance evaluation. An atmosphere of mutual trust exists at all levels. There is ongoing monitoring, assessment and evaluation of trends in values and ethics.
5	The organization is recognized externally as a leader in establishing an ethics and values program. Ethics and values are consistently reflected in organization practices and actions. All levels in the organization participate in the development of ethics and compliance related policies and programs. Values and ethics are integrated into processes and the workplace in general. There are consistent behaviours at large. Ethics and values assessments and surveys are carried out regularly.

Opportunities for sustaining phase

To continue the efforts leading to good management practice associated with values and ethics.

Mature Risk Management

Criteria

Integrated Risk Management

Measures are in place to identify, assess, understand, act on, and communicate risk issues in a corporate and systematic fashion.

Key Points

CSA Senior Management supports and encourages a risk management culture. CSA Executive Committee approved the PAMF streamlining plan in October 30, 2002.
CSA has a five-year risk assessment and commitment control plan managed by the Executive Committee. The plan is reviewed periodically during the fiscal year. Risk and contingency reserves are maintained to cover for programs/projects risks.
Risk information and assessment system (RIAS) supports the risk management associated with CSA projects.
TBS selected CSA as a case model for risk management. CSA was also invited by TBS to present, as a panel member, the CSA risk management approach during the Annual Modern Comptrollership conference.
Briefing on modern comptrollership regarding performance identification, reinforces the importance of risk identification and management.
Active monitoring policy is being implemented. The Vice-President of Science, Technology & Programs conducts monthly programs/projects review providing senior management monitoring of performance.
Risk-based audit framework (RBAF) is implemented.
Project approval document (PAD) included risk identification and must be presented and approved by PRAB.
During the last year, 10 CSA employees took a risk management course.
A CSA risk management familiarization course is under development.
CSA is participating in the Science and Technology Risk Management Network. CSA's representative is from the project management support group.
The life cycle cost model included risk management.

Topic	Integrated risk management Measures are in place to identify, assess, understand, act on, and communicate risk issues in a corporate and systematic fashion
1	No formal risk management measures are in place. Concept of risk management is not well understood.
2	Risk management policies and guidelines are in place for specific operational areas. Risk assessment is done extensively at the operational level. Risk management is applied primarily to major initiatives involving significant resources. No policy or guidelines exist at the department-wide level. Department-wide issues are dealt with on a "one-off" basis as they arise. Contingency/reserve funds are in place to deal with unforeseen events. Potential liabilities have been identified and strategies have been developed and implemented to manage them. The organization is beginning to use a common risk management language.
3	An integrated risk management framework is in place. The department maintains a corporate risk profile. Management direction on risk management and organizational risk tolerance is communicated, and senior managers champion risk management. Major risks are identified and plans developed to manage risks. Risk management is integrated into decision-making. Managers are trained in and apply risk management concepts, techniques and tools. A common risk management process is applied at all levels. There is a consistent understanding of what risk management means. Consultation with stakeholders is ongoing. Evaluation and reporting mechanisms are being developed to report on risk performance.
4	Integrated risk management is embedded in the department's corporate strategy and shapes the department's risk culture. Continuous risk management learning is encouraged. The results of risk management are integrated in organizational policies, plans and practices. Learning from experience is valued, and lessons are shared. Various tools and methods are used for managing risk (e.g., risk maps, modeling tools). The department reviews its risk tolerance over time. Sharing best practices and experiences is used to increase manager's knowledge base. Advisors help integrate a corporate focus on risk management.
5	Risk management supports a cultural shift to a risk-smart workforce and environment. The integration of risk management into decision-making is supported by a corporate philosophy and culture that risk management is everyone's business. The department embraces innovation and responsible risk-taking. Results of risk management are used to support innovation, learning and continuous improvement. The department is seen as a leader in risk management.

Opportunities for sustaining phase

To continue the development and improve Corporate Risk Management beyond programs/projects.
To develop and improve the focus on integrated corporate risk management.
Standardize Risk Management at Corporate level.

Integrated Management Control Framework

Appropriateness of management controls in place, and linkages between controls through an integrated control framework.

Key Points

The project approval management framework (PAMF) has been reviewed and streamlining is in progress. The PAMF document will be reviewed to reflect TBS decision.
The integrated planning system (IPS) is supporting the decision-making at the Executive Committee level.
The Executive Committee approved the project phase definition and implementation approach on May 21, 2003. This improves the definition of roles and responsibilities and the accountability of the different operational organization.
Corporate management is performing a CSA policy on sampling, on transactions.
Financial delegated authorities are clearly documented.
CSA is now planning for the transition to Enterprise (version 4.7 of SAP) and investigating the use of PS module as mean of greater integration of information.
Vice-President Science, Technology and Programs is conducting monthly projects/programs review (active monitoring).
The Executive Committee approved on July 16, 2003, the virtual collaboration tool and information retrieval engine (VICTOIRE). The project will help CSA to meet applicable legislation, such as the National Archives of Canada Act, the Access to Information Act, the Privacy Act, and with TB requirements.

Topic	Integrated management control framework Appropriateness of management controls in place, and linkages between controls through an integrated control framework
1	Transaction controls are largely paper based. Multiple approval levels in place. Account verification is done on a 100% basis without regard to materiality or risk. Revenue controls are weak. Fixed asset records are incomplete, verification is not done regularly. Delegation records are not regularly maintained. Controls are perceived to be impeding decision-making and managers' ability to fulfill their accountabilities. Policies and procedures are not up-to-date.
2	Systems are in place to control overspending, manage accounts receivable and assets. Limited systems integration, and controls redundancies exist in operating systems. Limited use of statistical sampling based on risk. Approval levels and authorities are documented and reviewed periodically. The authority structure is seen as a control instrument rather than a strategic tool. Authorities are applied inconsistently across the department.
3	Effective systems in place and integrated or interfaced where necessary. Taking materiality, sensitivity and risk into account, there is an adequate system of internal control over assets, liabilities, revenues, expenditures, contracts and contribution agreements. All legislation, regulations and executive orders are complied with, and spending limits are observed. Comprehensive authority structure exists for most functions of the organization, and is updated periodically. Delegation of authorities is consistent with operating responsibilities.
4	Control framework is in place and fully integrated. Controls are built into, not onto processes. Controls are working as intended, and are integrated functionally to avoid unnecessary duplication. Controls are regularly reviewed as to risk (potential benefit or amount of exposure to loss). Processes are in place to ensure that corrective action is taken. Alternative controls are developed, where appropriate. Strong fit exists between the authority structure and the corporate values and culture of the organization. Authorities support responsive service delivery to clients.
5	Managers conduct self-assessments of controls required. Managers are made aware of potential control weaknesses. Control framework is used strategically to support strong ethics and values in the organization. Authority structure is closely related to the organization-wide policy on risk management. Authorities are used as a strategic enabler in the management of the organization.

Opportunities for sustaining phase

To continue the development of the criterion "Integrated management control framework."

Motivated People

Criteria

Modern Management Practices Competencies

Extent to which modern management practices competencies are defined and managers have access to training.

Key Points

Project Management Institute (PMI) pre-certification training is provided to agencies managers and specialists.
Project management support group presents monthly management topics.
Human Resources (HR) is in contact with Public Service Commission to define the management competencies profile required for CSA managers. HR received a proposal which is under consideration.
CSA Middle Manager Network presentations were initiated in 2003.
Different training courses presented by Human Resources, i.e., harassment, staffing for managers, EAP, equity.
HR has been providing guidance consultation on career management since April 2003.
HR made a demographic profile and presented it to the Executive Committee, August 20, 2003.
Public Service Modernization Act (PSMA) will change the manner that the federal public service hires and manages its employees. HR will develop an action plan for the implementation of this new legislation at the CSA.
To date, 21 CSA employees have taken the MC course.

Topic	Modern management practices competencies Extent to which modern management practices competencies are defined and managers have access to training
1	Little or no information exists on competency requirements for modern management practices for either functional specialists or managers.
2	Modern management practices competencies have been defined. Additional knowledge requirements for modern management practices have been identified. Skills gaps have been established. There has been limited focus on improving modern management practices competencies (e.g., training, sharing of best practices).
3	Manager skill gaps in modern management practices are being addressed. Learning plans have been developed. Training requirements on modern management practices are being sourced. There is cross-fertilization between functional specialists and line managers. Mechanisms are in place to share best practices.
4	Managers are applying modern management practices in their day-to-day operations. Training and funding in modern management practices have high priority. Functional specialists and managers have been trained. Modern management practices are an integral element of the departmental training program.
5	Modern management practices competencies and training are an integral component of goal setting/performance evaluation. Managers have suitable knowledge of modern management practices, and are knowledgeable of functional disciplines and legislation. Functional specialists are knowledgeable of programs and operations.

Opportunities for sustaining phase

Human Resources to continue the identification of the CSA manager's competencies profiles.
Human Resources will develop CSA management training to meet the management competencies profile. Training development to be proposed and initiated during 2004-2005.
Human Resources will develop an action plan for the implementation of the new legislation (Public Service Modernization Act) at CSA.
Develop an approach to ensure better understanding of modern comptrollership at lower level of the organization.

Employee Satisfaction

Mechanisms in place to monitor employee morale and staff relations.

Key Points

President's Suggestion Box is very active.
President holds general staff meetings to share vision and brief on changes.
There is a formal agenda item at the Executive Committee asking members to share the concerns of staff.
CSA's participation in different surveys (PS employee survey, survey on staffing) as part of Staffing Performance Report to PSC.
CSA Continuous Improvement Plan Committee will review the result surveys and action plans.
Sectors are required to provide improvement plan in response to PS survey 2002.
All sectors have regular staff meetings.
CSA has monthly meeting with all Unions and three times a year, with Public Service Alliance of Canada (PSAC).

Topic	Employee satisfaction Mechanisms in place to monitor employee morale and staff relations
1	Information on employee satisfaction is collected on an informal and ad hoc basis.
2	Different arrangements for surveying employee satisfaction exist across the organization. Limited monitoring and analysis of results on a trend basis.
3	Formal mechanisms are in place to survey employee satisfaction on a regular basis, and results are tracked over time. Results are communicated across the organization. Improvement teams are created to develop plans to address high priority issues.
4	Employee satisfaction is a key consideration in strategic and business planning, and in the performance evaluation of managers. Employee satisfaction issues are addressed on an ongoing basis. Results of employee satisfaction surveys have been improving.
5	Employee satisfaction survey tools are regularly reviewed and improved. New programs are introduced as appropriate to improve employee satisfaction. The linkage between employee satisfaction and organizational performance is quantified. The organization is recognized externally for its leadership in this area.

Opportunities for sustaining phase

Consultations with employees regarding staffing practices.
Recommend increasing informal visits by the President and the Vice-Presidents of Agency sectors.

Enabling Work Environment

Practices for communication, wellness, safety and support that enable staff to provide client-focused delivery while reaching their full potential.

Key Points

Equity employment committee established in 2002
Periodic enlarged executive committee.
CSA is proceeding with conversion program.
President confirmed matrix management and requires team approach for project management.
Establishment of the Vice-President Science Technology & Programs position.
President invited staff to provide input on the Canadian Space Strategy.
Human Resources signed a partnership agreement with Employee Development Centre of Health Canada to offer career management services to CSA employees.
Human Resources Directorate has re-organized the Agency's in-house language training courses.
Human Resources created a meditation room for prayer, meditation or simple reflection.
Safety committee and sub-committees are well established and active.

Topic	Enabling work environment Practices for communication, wellness, safety and support that enable staff to provide client-focused delivery while reaching their full potential
1	The prevailing culture reinforces compliance and risk averse behaviour where staff are expected to follow orders and defined procedures. Communication tends to be downward, with management controlling and limiting information to staff. Changes are decided by management and communicated as necessary to staff. Staff have little input into decisions. Cross-functional communication is limited. Staff have little influence over their work or work environment.
2	Though there is management control, staff is encouraged to increase productivity and look for efficiencies. Staff provides input and is allowed to make suggestions when changes occur. Information is available for monitoring purposes and shared amongst functions where interrelationships exist. Newsletters and bulletins are used to keep staff informed of changes and initiatives. Work/life balance is emphasized.
3	Staff is acknowledged as a key asset and programs are implemented to allow growth on the job. Staff is given opportunities to provide input, to modify procedures and to make decisions regarding their immediate work. Staff are consulted before major decisions are made, and are often enrolled in cross-functional taskforces to recommend solutions. Information flows freely within functional areas, and is shared between functional areas.
4	The importance of employees is emphasized through the supportive role of management. Open and rapid communication and information flow are apparent. Staff have access to process and client service data so they can make decisions independently for continuous improvement. Communication with clients and stakeholders is open and constant, with information and decisions being shared in partnership arrangements. Staff are involved in all decisions regarding their work environment.
5	Staff are treated as partners in the business with managers. Both can share ideas and assist each other in service delivery. Continuous learning is emphasized. Internal information systems are constantly used to share information, give feedback and celebrate achievements and initiatives. External communication and media use are highly rated by stakeholders. Individuals and teams are challenged to take decisions or make suggestions on any process or product that would improve client service.

Opportunities for sustaining phase

Improve the consultation process within the Agency.
Improve communication within employees via the Managers staff meetings.
Insure that Executive Committee information is provided to all level of managers.

Sustainable Workforce

The energies of staff are managed wisely to help sustain the organization's viability.

Key Points

Matrix management was re-confirmed by the President and team management approach was re-enforced.
Executive Committee approved definition of responsibilities for the management of project phases.
Several committees, CIMIS, Costs Management, invited inputs from staff from all sectors.
The Employment Equity Consultative Committee invited all staff to a conference about balancing work and family (March 12, 2003).
Human Resources will provide information on flexible work arrangements.
Corporate Management Organizations will establish service standards by April 2004.
CSA has a low turn over.

Topic	Sustainable workforce The energies of staff are managed wisely to help sustain the organization's viability
1	No measures exist for determining productivity or expected outputs. Work assignment is based on incoming volume with little consideration of capacity or priorities.
2	Work measurement methods have been applied to determining approximate times for completion of some tasks and work volumes are assigned on this basis. Standards are adjusted for new technology and experience gained.
3	Workloads and deadlines are assigned in accordance with performance standards and business plans. Staff have input into establishing standards that are used to measure their productivity and rate performance. Climate surveys are used to obtain staff feedback on pace and volume of work. The organization provides for flexibility in how work is carried out (e.g., flexible work arrangements).
4	Performance contracting is practiced for establishing agreed-to performance standards and expected outcomes. Staff are involved in the process and may request adjustment for unforeseen delays and other priorities. Managers survey staff to ensure workload expectations are reasonable, and to look for signs of stress and assist employees in coping.
5	Individual differences are acknowledged in both staff and clients, and workloads are adjusted accordingly. Teamwork is encouraged and work distributed in line with individual competencies and preferences. Balance between work and personal lives is encouraged and managers model the personal workload management they expect from staff. Staff surveys show that workload demands are considered reasonable and controllable.

Opportunities for sustaining phase

Facilitate the Matrix Management Approach.
Measure workload of employees on a periodic basis.

Valuing People's Contributions

Extent to which the organizational culture fosters staff participation, team building, sharing of ideas, risk taking, innovation, and continuous learning; and rewards or provides incentives for such behaviour.

Key Points

CSA has an award program and success celebration.
Agency has a policy on inventions/patents to ensure that the benefits are accrued to staff.
Human Resources created an orientation session for new employees and students.
President has created staff development positions.
CSA has a formal reward and recognition program that recognizes both individual and team excellence.
Long Service Awards recognition on annual basis.

Topic	Valuing peoples' contributions Extent to which the organizational culture fosters staff participation, team building, sharing of ideas, risk taking, innovation, and continuous learning; and rewards or provides incentives for such behaviour
1	Traditional "we-they" relationship exists between management and staff. Considerable resistance to change. High level of scepticism exists within organization. Mixed messages are given to staff. New initiatives tend to be delayed or never implemented. Little or no interaction between organizational units. Rewards, recognition and incentives programs are not perceived to be linked to peoples' contributions.
2	People are consulted and given opportunity to participate in major change initiatives. A cautious approach is taken to implementing change. People tend to be risk averse. Organizational units tend to work independently with some interaction. Government-wide rewards, recognition and incentive programs are applied.
3	People in the organization are treated with value and respect. People are able to speak out and participate in discussions without fear of reprimand. Information is shared openly within the organization, and with external clients/stakeholders. Strong sense of teamwork exists across the organization. A mix of national and local rewards, recognition and incentive programs are in place. A strong link exists between incentives, rewards, recognition and peoples' contribution.
4	People are empowered to take responsible risks, and are encouraged to be innovative. Culture barriers that prevent efficient delivery of services by staff are removed. Organization fosters a culture of continuous learning and participation. Pro-active effort is made to share new ideas and approaches across the organization. Major investments are made in the development of people. Incentives are place to reward consistently high performers.
5	People are highly committed to the success of the organization. High level of pride exists in the organization. Strong fit exists between organizational and individual aspirations. People are continuously cited for their exemplary behaviour. Organization is continuously renewing competencies required. Value of human capital in the organization is measured and tracked over time. Incentive, rewards and recognition systems are constantly being improved, and customized to the needs of the organization.

Opportunities for sustaining phase

Human Resources will promote merit awards fund in 2004-2005.
Develop matrix management team-building opportunities.
Improve and increase consultation at management level prior decision at the Executive Committee or PRAB.

Clear Accountability

Criteria

Clarity of Responsibilities and Organization

Clarity of assignment of responsibilities and accountabilities throughout the organization.

Key Points

Tiger teams made recommendations to the President with regard to optimization of resources. The recommendations lead to a reorganization and the establishment of the Vice-President Science, Technology & Programs.
CSA committees structure is under review and will be presented to the Executive Committee in December 2003.
Improved management agreement.
Work-plan improved the identification of accountability.
CSA is working with TBS on the development of a revised PRAS.
RMAF and RBAF implementation are in progress.
Service lines have been revised, through the development of the Strategy.
Increase team approach (specialists and managers) in project management.

Topic	Clarity of responsibilities and organization Clarity of assignment of responsibilities and accountabilities throughout the organization
1	Management and specialists roles and responsibilities are generally not well understood in the organization. Confusion exists in accountabilities for achieving and reporting results.
2	Some confusion exists as to responsibilities of management and specialists. Some overlap in roles and responsibilities among managers and/or specialists. Not clear as to who has final authority for resource allocation in case of disagreement.
3	Authority, responsibility, and accountability are clearly defined and aligned with the organization's objectives. Accountabilities are clearly defined at each management and specialist level, and are well understood throughout the organization. Little or no overlap in responsibilities. Accountability issues are resolved quickly. Accountabilities for controlling resources, and reporting and achieving results are clearly delineated.
4	Responsibility within the department for dealing with new and emerging financial and non-financial issues is clear. There is a clear understanding of responsibilities that provides the framework for modern management practices such as resource management and performance reporting.
5	Management and specialist responsibilities are constantly reviewed in light of external client/stakeholder and central agency requirements. Changes to structure and responsibilities are made pro-actively.

Opportunities for sustaining phase

Review of program structure at CSA to have a better understanding.
Continue the definition of manager accountability.
Develop a strategy associated with the transition from service line to the thrusts identified in the Canadian Space Strategy.
To address HR delegation associated with HR modernization initiative.

Performance Agreements and Evaluations

Extent to which the achievement of financial and operating results is embedded in performance agreement.

Key Points

Human Resources improved the performance appraisal process report.
Performances are both non-financial and financial.
Management agreements are now linked to the work-plan.
Management agreement revised.
Human Resources Director presented the CSA EX Performance Management Program to Executive Committee on November 26, 2003.
Corporate management represents CSA on the Science and Technology Performance Management Network.

Topic	Performance agreements and evaluations Extent to which the achievement of financial and operating results is embedded in performance agreements
1	No performance agreements are in place.
2	Performance agreements are in place for senior executives that define accountabilities, and establish priorities and measures of performance vis-à-vis accountabilities. Achievement versus performance agreements is a key consideration in the evaluation of the performance of the senior executives of the organization. Systems to consolidate and report performance information against financial and operating goals are not yet in place.
3	Performance agreements are in place on a widespread basis for most managers. The agreements reflect organizational objectives, and are closely aligned with business plans, work plans and budgets. Performance agreements are seen as a key driver of business planning and performance reporting, and form the principal basis for the evaluation of performance of managers. Performance information is collected to measure achievement of financial and operating results specified in performance agreements.
4	The performance agreements at the various management levels are closely linked. Information in performance agreements is shared openly between managers and staff. Managers' performance agreements are adjusted, as required, to reflect changes to priorities and business and work plans, due to changes in the environment. Performance information is available on a trend basis to measure achievement of financial and operating results specified in performance agreements.
5	Priorities and performance targets in performance agreements are cascaded to the individual objectives and goals of staff. Performance agreements are revised periodically to reflect new organizational priorities and changes in strategic and business plans. Performance reporting systems and accountability agreements are closely aligned. Achievement of modern management practices responsibilities is assessed and deviations explained.

Opportunities for sustaining phase

Performances will be fully linked to Results for Canadians in the RPP in 2005-2006.
Review the schedule cycle of the PREA and the management agreement process.
To investigate if management agreement used for EX level could be used for managers.

Specialist Support

Availability of top-flight counsel to help managers make judgment calls on modern management and operational issues.

Key Points

Conversion exercise will improve the support required from specialists.
Service standards exist in most of the corporate organizations.
Increased horizontal communications and consultation in the development of the work-plan.
Specialists were involved in the development of Canadian Space Strategy.
Increased specialists involvement in project development.
Human Resources developed service standards and were presented to the Executive Committee to better support priorities.
Corporate Management involvement in preparation of PRAB and Executive Committee submission has increased and has been recognized as value added.

Topic	Specialist support Availability of top-flight counsel to help managers make judgment calls on modern management and operational issues
1	Role of specialists is primarily transaction processing. Functional specialists carry out basic analysis of information required by management to support decision-making in response to specific requests and as part of their control mandate.
2	Departmental capacity in analytical techniques has been updated within specialists' organizations. Specialists respond to requests from managers for both process and strategic advice. Specialists are not always familiar with the operations. The quality of service is inconsistent between functional areas.
3	Service is responsive. Specialists' advice is readily available when required. Functional specialists are technically competent and work with line managers in providing both strategic and process analysis and advice. Are seen as value added partners in analysis and decision-making rather than a barrier. Specialists are proactive in suggesting new tools and techniques to managers.
4	Specialists work closely with managers by providing value added information, technical and citizen-responsive advice for priority setting, planning, decision-making and program design. Specialists are very familiar with the operations, and knowledgeable of the analytical techniques to support the line manager. Specialists maintain a current knowledge of related policy areas. Specialists are aware of trends in their discipline.
5	Challenge and expert advisory role of specialists is valued by by all levels of management. Specialists are seen as key enablers in initiating change, and are often asked to assume a leadership role in change initiatives. Functional specialists are often called upon by their peers to provide advice and support in other organizations, or to speak at conferences on new trends or best practices.

Opportunities for sustaining phase

Continue to be pro-active with regard to specialist support.
Corporate organizations to complete their service standards.

External Reporting

Extent to which Parliamentary, central agency and key stakeholder information-reporting requirements are met.

Key Points

CSA is pro-active in proceeding with the revision of the PRAS.
CSA has developed an integrated planning system providing timely information to decision-making.
Improved work-plan will be more consistent with RPP and DPR.
CSA Management Cycle will improve the external reporting.
Improved performance indicators linking financial and non-financial performance in work-plan.
CSA integration management information system working group (CIMIS) will help to identify the requirements for reporting.
RMAF is improving the quality of information from program execution.
The content of DPR has improved and compliant with TBS requirements.

Topic	External reporting Extent to which Parliamentary, central agency and key stakeholder information reporting requirements are met
1	Information reported satisfies minimum external reporting requirements.
2	Process for consolidating financial and non-financial information required for external reporting is reviewed on a regular basis. Close contacts are maintained with central agencies, Parliamentarians and key stakeholders to ensure information meets their requirements. External reports are aligned with planning and accountability structures within the department.
3	Organization is recognized by external agencies (e.g., TBS), Parliamentarians (e.g., Public Accounts Committee), and key stakeholders (e.g., provincial agencies) for producing useful, consistent, and credible financial and non-financial information in a user-friendly format. External reports are easily understood and are meaningful to users. Information in external reports is reported on a trend basis so that changes can be monitored over time.
4	Strong linkages exist between information reported externally and strategic and business plans. Integrated information input by functional specialists and managers in strategic and business plans is used to prepare external reports. Senior management plays an active role in preparing and communicating external reports.
5	Department is seen as a leader in the quality of its external reporting documents. External reports demonstrate innovation. The department is often used as a pilot site for government-wide changes to external reporting processes.

Opportunities for sustaining phase

New Canadian Space Strategy and the revision of the PRAS will improve the reporting framework for the 2005-2006 fiscal year.

Integrated Performance Information

Criteria

Integrated Departmental Performance Reporting

Key measures exist to monitor overall organization performance and best-value results.

Key Points

Results-based performance measurement is in development to be used for work plan.
Wide consultations with SLAGs and other stakeholders.
RMAF is being implemented.
PRAS is under review to better respond to CSA performance reporting.
Performance measurement training provided by corporate management every year.
Executive Committee approved CSA's management cycle, on November 12.
Better link between RPP and DPR.
CSA is developing an improved Financial Management Report (FMR) linking IPS with SAP.
Canadian Space Strategy was developed and approved.
Thrust strategic plans will provide objectives/goals for 5-, 10-, 15-year terms, including performance indicators and expected results.
CSA will transition from a one-year to a three-year work-plan.

Topic	Integrated departmental performance reporting Key measures exist to monitor overall organization performance and best-value results
1	No departmental performance measures.
2	Each Branch measures performance at organization-wide level independently. Department-wide priority areas to be measured have been identified. Departmental performance measures have been organized in a organization-wide reporting framework (e.g., balanced scorecard). The methods of collecting the information, and sources of information, have been identified.
3	High-level strategic measures for the department are in place, and are linked to strategic vision and priorities. Linkages between measures are evident. Performance measures have been communicated, and agreed upon. Staff have received training Measures cover both financial and non-financial, and provide historical and future oriented view. Information on the results of the performance measures is available in part. A mix of quantitative and anecdotal information is used.
4	Performance results are reported for the organization as a whole over time. Results are monitored against targets and the department's strategic objectives. Information is valued by senior management and the Minister, and is often used for decision-making and external reporting. Results are used to make trade offs in organization-wide priorities. Departmental measures are refined on an ongoing basis.
5	Performance results indicate positive improvement. Strategic and business plans are modified accordingly based on results achieved. Information is readily accessible through executive information systems. Information needs and systems are periodically reassessed based on changing business needs and identified reporting gaps. Performance information is available so that the department can report performance to stakeholders on a horizontal portfolio basis, e.g., health portfolio.

Opportunities for sustaining phase

CSA will develop relevant report to respond to government and CSA needs.
Performance measurement would be consistent with Canadian Space Strategy.

Operational Information

Measures and systems to monitor service quality and efficiency of program delivery.

Key Points

Improved management agreement.
Integrated planning system (IPS) provides key horizontal information for decision-making at senior level and multi-year budget planning.
Corporate management provides training on performance measurement, every year.
Work-plan links non-financial and financial performances.
Management agreement performance report provides integrated department performance.
Vice-President Science, Technology & Programs review projects and programs on a monthly basis.
Bilateral meeting at Vice-Presidents' level.
Strategic thrusts are under development.
The mid-year work-plan reports help corporate management to validate the performance indicators of all sectors.
Satellite Operations (SAT OPS) measures performances associated with product delivery.
DFL monitors and provides statistics on facility usage.

Topic	Operating information Measures and systems to monitor service quality and efficiency of program delivery
1	Information on operating measures is not collected or reported on a systematic basis. Systems used for tracking operating results are either non-existent, unreliable or incompatible.
2	Operating measures exist to varying degrees by organizational unit (e.g., branch). Operating performance is monitored on an ongoing basis. Formal systems are in place to track operational performance, though systems do not always have full functionalities required. In some cases, managers maintain separate records for management purposes in addition to formal systems. System links and data flows are not well understood.
3	High-level information is available for key operational indicators but with limited "drill-down" capability. Operating performance measures and targets are in place in most organizational units. Operating results are monitored on an ongoing basis, and actions are initiated by program managers to improve results. Staff receive training in use of performance measurement systems. Formal systems in place to track operating results are considered timely, accurate and reliable. Systems are "stovepiped," however system links and data flows are well understood.
4	Information on operating results is easily accessible in organization-wide performance information systems. Service delivery teams use information on an ongoing basis to initiate process improvements. Strong linkages exist between operating results and business plans. Information is an integral element of resource allocation decisions. Operating systems are linked and interfaced/ integrated with financial and other systems. Re-keying and manual intervention is rarely needed. Customized reports are available with limited effort.
5	Operating results are monitored over time. Key operational measures show positive or stable trends in results. Different measures are in place for different client groups. Measures are added and deleted as priorities change. Operating measures are cascaded throughout the organization and are linked to strategic objectives and priorities. Staff can easily obtain the operating information they require through online access to drill down facilities or simple user friendly report writers. The information is accurate and timely.

Opportunities for sustaining phase

Work plan will systematically link financial and non-financial performance in 2005-2006. CIMIS will support the definition of the requirements.

Measuring Client Satisfaction

Utilization of client survey information on satisfaction levels, and importance of services.

Key Points

IT and DFL have questionnaires to measure client satisfaction.
SAP has created a client liaison position to provide better response to users.
Audit, Evaluation and Review Directorate provides client satisfaction measurement as part of internal audit.
Directors General and Directors exchange on service satisfaction.
NASA and other agencies recognized CSA for its services.
Senior Vice-President asked the corporate sectors to review client satisfaction.
SLAGs request from members to provide with self-evaluation of group operations.
Science external advisory committee provides inputs on program performance.

Topic	Measuring client satisfaction Utilization of client survey information on satisfaction levels, and importance of services
1	Client satisfaction information is collected on an informal and ad hoc basis.
2	Approaches to collecting client satisfaction vary across the department, and tend to vary from year to year depending on management priorities. Limited monitoring and analysis of results. Information collected is not always seen to be useful.
3	Formal systems exist across department to survey clients on level of satisfaction. Results are tracked over time, and are considered in strategic and business planning. Limited analysis of results on a department-wide basis. Complaint information is consolidated and reported, and a complaint resolution process exists.
4	Client satisfaction information is collected through a wide range of techniques. Information is collected on a consistent basis across program areas. Results are consolidated on a department-wide basis, and overall trends analyzed. Results are a key element of strategic and business planning, and are used to assess service standards and service improvements.
5	Client satisfaction results indicate positive trends. Client satisfaction measures are published externally, and are well known to clients. Client satisfaction is a key driver of strategic and business planning, and is considered in performance evaluation and incentives. Techniques used to collect client satisfaction information are constantly being improved.

Opportunities for sustaining phase

Corporate organizations to measure client satisfaction.
Monitor and identify the adequacy of the CSA internal surveys.

Service Standards

Monitoring against client service standards and maintaining and updating standards.

Key Points

Service standards are developed in administration and Human Resources and are being developed in corporate management.
Audit, Evaluation and Review Directorate developed audit and evaluation policies.

Topic	Service standards Monitoring against client service standards and maintaining and updating standards.
1	No formal service standards exist. Quality of service is monitored on an informal basis.
2	Service level arrangements and standards exist on an inconsistent basis across the organization. Systems to collect and maintain service level information are still being developed. Clients have been involved to varying degrees in development of standards.
3	Formal service level arrangements and standards have been established for each business line, and results are tracked and analyzed over time. Overall department standards are well known. Clients participate in the development of the standards. Results are used to identify service improvements.
4	Service standards are periodically reviewed with clients/stakeholders and improved to reflect changing priorities. Service standards are re-assessed based on cost of service delivery. Service standards reflect different priorities of client groups. Results are a continuing source of pressure for new service and quality improvement initiatives.
5	Results of service standards show positive or stable results. Service standards of the organization are published externally, and are well known to clients. Achievement of service standards is a key consideration of management in strategic and business planning.

Opportunities for sustaining phase

Corporate management to continue the development of service standards by April 2004, and be included as performance indicators in work plan.

Evaluative Information

Use of non-financial information related to program effectiveness and outcomes.

Key Points

RMAF is being implemented within the organization.
The Executive Committee approved the Audit, Evaluation and Review Plan. The evaluations are being performed.
PRAS is under review.
Program evaluation is integrated in DPR.
Consultation groups (extranet) are providing opinions and recommendations on proposed programs.

Topic	Evaluative information Use of non-financial information related to program effectiveness and outcomes
1	No formal approach to program evaluation. Evaluations are carried out on an ad hoc basis. Information on program outcomes is limited. Methodologies for collecting the information need to be put in place.
2	Evaluation frameworks are in place for some program areas. Evaluations are carried out as issues arise. Information on some program outcomes is available in some program areas. An evaluation plan is in place, and is based on strategic priorities.
3	Evaluation frameworks, and data gathering procedures, are in place for all major program areas. Program delivery outcomes are clearly defined and are linked to the strategic priorities of the department. Performance measures are in place to measure these outcomes, and performance information is collected to measure these outcomes. Evaluative information is included in external reporting documents.
4	Methodologies for measuring outcomes are periodically re-assessed. Evaluation results are commonly used by managers for decision-making and input into strategic and business planning. Evaluation is seen as an integral part of program/regional management. Evaluation prioritization is closely linked to business planning and the department's risk profile.
5	The department is seen as a leader in measuring program outcomes. Methodologies are "state of the art." Linkages between program outcomes and resource allocation are considered in strategic and business planning. Evaluation results play a major role in redirecting focus of program design, and in determining the type of information required by the organization to measure its success.

Opportunities for sustaining phase

Improve the communication regarding evaluation information.

Financial Information

Reliable financial information is available in a timely and useful fashion.

Key Points

SAP is on line and available to managers.
Receiver General for Canada congratulated CSA for the quality of the information provided with regard to the opening balance in the 2003-2004 trial balance.
Coding financial structure is under review for the 2004-2005 fiscal year.
IPS is in place and used for strategic planning and will be developed to provide access on-line.
CSA will transition to SAP Enterprise (version 4.7) and will integrate PS module.
CIMIS will help to eliminate parallel systems.

Topic	Financial information Reliable financial information is available in a timely and useful fashion
1	Voluminous hard copy reporting dictated by financial reporting timetable with monthly, quarterly, or annual reporting taking up to six weeks. Commentary on results prepared solely by finance. There are persistent problems with data accuracy. Standard reporting from financial accounting system but its inadequacies lead managers to maintain their own records and reports which are not checked for consistency with other sources of information.
2	Mostly hard copy reporting to financial timetables with some on-line access to supporting data. Reporting based on information from various sources but coordination is haphazard and data integrity not assured. Detail to support high level information is not readily accessible. Finance prepares commentary on results with limited input from operational staff. Financial reporting cycles are not always in sync with operating information reporting cycles. Finance is responsible for meeting overall organization financial information requirements.
3	Appropriate reporting frequency. Monthly information available within one to five days. All reports and data available in appropriate media. Data availability and accuracy are seldom an issue. Financial information is available from a single source, but requires manual intervention for interfacing with other operating information. Finance works closely with operational managers to understand results and jointly prepare commentary. Managers have strong sense of ownership of financial information. External reporting requirements (e.g., Parliament) are consistently met.
4	Fully integrated on-line, real-time systems with flexible reporting. All transactions in financial, asset, human resource and other operating systems (e.g., outputs, cycle time, workload) are linked and interfaced/integrated to meet business requirements. Re-keying and other manual intervention is rarely needed for data gathering. Financial information is considered to be a corporate asset, and is fully transparent across the organization.
5	Information is integrated from various sources (e.g., data warehouse) with data integrity assured and with senior management clearly responsible for integrity of output. Reporting systems are linked to allow drill-down to appropriate level of detail. Low cost transaction processing providing accurate and timely information.

Opportunities for sustaining phase

To continue the development of IPS on line.
To review and improve the structure of the line object in IPS.

Cost Management Information

Mechanisms for using activity-, product-, results-based costs

Key Points

The cost management working group has developed the model and the rules for the cost identification (direct, indirect and G&A;). The presentation is at the corporate management level.
CSA is looking at systems for staff time management.
Life cycle cost model was presented to the Executive Committee on November 26, 2003.
The financial coding structure is under review.

Topic	Cost management information Mechanisms for using activity-, product-, results-based costs
1	Cost information is maintained based on traditional object-based ledger (e.g., salaries, travel, O&M;) for each organizational unit.
2	Cost information is available at the activity level across the organization. Activity costs are rolled up to provide costs at the program level. Systems are in place to maintain this activity cost information. Additional analysis is done to obtain useful cost information for decision-making.
3	Costing systems are in place that trace costs from resources (salaries, O&M;) to activities, and then from activities to specific products, services or programs. Employees update time spent on activities on a periodic basis. Product and service cost information is used for planning purposes.
4	Costing systems are in place that trace costs from activities to results. Costing systems consolidate cost information from many sources. Employees update time spent through an automated interface. Cost information is readily accessible through the server. Costing information is used to guide management decisions. Costing systems and budgeting approach are closely linked.
5	Activity, product, service, and results cost information is an integral part of management decision-making. Cost information is readily accessible to all managers in a format that can be customized for process improvement, outsourcing decisions, cost recovery, business planning and performance measurement.

Opportunities for sustaining phase

Corporate management will present the work of the cost management working group to the Executive Committee.
To continue the definition of approach associated with time spent by employees on activities.

Rigorous Stewardship

Criteria

Business Process Improvement

Extent to which processes are clearly understood, are conducted in a uniform fashion, and are continuously improved in line with best practices.

Key Points

PAMF streamlining is in progress. CSA has submitted a letter to TBS to amend the authority that was granted for CSA project management.
Internal consultations were made for PAMF streamlining.
Audit, Evaluation and Review Directorate carried out an audit of the PAMF. The report will form the base from future actions.
The Executive Committee approved the role and responsibilities associated with project management during the different phases of a project.
Space Station (MSS operations) phase "E" has developed an implementation plan.
RMAF is being implemented for Grants and Contributions and other programs such as MSS Operations.
David Florida Laboratory is ISO 9002 certified and was certified to the next level (ISO 9001)
Integrated Planning System (IPS) was developed and used in decision-making at the Executive Committee level.
Business rules were established and reviewed for IPS.
CSA is doing an evaluation to establish the capacity maturity of project management at the Agency.
The work plan is the base for establishing management agreement.
Executive Committee and PRAB terms of reference are under review to improve accountability and management process.

Topic	Business process improvement Extent to which processes are clearly understood, are conducted in a uniform fashion, and are continuously improved in line with best practices
1	Major differences exist in the way services are delivered among regions/programs. Processes are not well defined. There are no systems or processes which support the analysis and assessment of service delivery options.
2	Processes are defined to varying degrees depending on service area. Process improvement projects are initiated on an ad hoc basis. No or limited work done regarding "most efficient organization." Little change in processes in last three years.
3	Main service delivery processes are well documented and understood across the organization within each service area. Some best practice assessment has been carried out and processes updated. Major process improvements and/or most-efficient organization analyses are underway to improve program delivery. Key processes are monitored to ensure consistency in program delivery.
4	There are systems and processes to identify and assess service delivery options. Processes are improved on an ongoing basis. A variety of analytical techniques are used to support process improvement including best practice reviews and benchmarking. Processes are assessed on a cross functional or cross organizational basis, with client/stakeholder involvement. Parts of the organization are ISO 9000 accredited.
5	The department is recognized across government for innovation and success in its service delivery processes. The organization is commonly benchmarked against, and is often called upon to provide advice and participate in interdepartmental forums to explain its business processes. Major parts of the organization are ISO 9000 accredited.

Opportunities for sustaining phase

Continue PAMF streamlining.

Management Tools and Techniques

Range of analytical techniques (e.g., cost–benefit, sensitivity, life cycle, benchmarking) available to managers.

Key Points

The Project Management Support Group made an inventory of project management tools at CSA.
Lessons learned from the Canadian Space Station Program were part of the evaluation report presented to the Executive Committee and the report is available to all sectors.
Creation of CSA integrated management information system (CIMIS) working group responsible to identify requirements and proposed information architecture.
Used of intranet to inform users of tools available including a point of contact.
Intranet is used as the window for information to CSA personnel.
IPS is a strategic integration tool and support decision-making at the executive level.
Work plan integrates financial and non-financial performance and required close coordination of specialists and managers.
CSA's participation in Science and Technology Network for risk management and performance management.

Topic	Management tools and techniques Range of analytical techniques (e.g., cost–benefit, sensitivity, life cycle, benchmarking) available to managers
1	Limited tools and techniques available at a departmental level to assist managers in conducting business case analysis. Managers tend to use their own individual approach.
2	Techniques such as life cycle costing, cost–benefit analysis and benchmarking are primarily financially focused. Departmental capacity in analytical techniques is maintained within the organization of the functional authority.
3	Managers at all levels are exposed to tools and techniques. Managers have access to various analytical models and techniques (e.g., project management) and decision making support tools that integrate financial and non-financial information. Managers use tools in close partnership with functional specialists.
4	Well developed and a wide range of decision support tools and techniques are available and fully understood and used by all staff. Tools are an integral part of decision-making by managers. Analysis is done using integrated information. A consistent suite of tools is used across the department.
5	Managers have on-line access to information through sophisticated decision support tools and models. Tools and models are assessed on a periodic basis and updated based on the most recent trends and technology. A consistent suite of tools is used government-wide.

Opportunities for sustaining phase

Integrated Planning System (IPS) will be on the WEB for use to all CSA sectors.
Review and communicate the science and technology network report (risk and performance measurement).
Increase cost benefits of programs.
CIMIS to recommend costs effective tools.

Knowledge Management

Performance/management information is readily accessible to internal and external users via technology, and lessons learned are shared across the organization.

Key Points

Lessons learned from the Canadian Space Station program is available to all sectors and were part of the evaluation report presented to the Executive Committee for approval.
Audit, Evaluation and Review reports are on the CSA Website.
Intranet as a window of information.
RPP and DPR are on the CSA Website.
Team approach in project management increase the share of information.
The approval of the virtual collaboration tool and information retrieval engine (VICTOIRE) will improve the share of management information.
Organized research information system (ORIS) developed by External Relations is a source of information.
CSA is using the integrated record information management system (IRIMS).

Topic	Knowledge management Performance/management information is readily accessible to internal and external users via technology, and lessons learned are shared across the organization
1	The organizational culture is not conducive to a knowledge-sharing environment and limited information management processes are in place. Mechanisms or structures to encourage organizational learning or the acquisition and dissemination of modern management practices related knowledge are not evident.
2	Deployment of the organizational learning concept has been initiated and processes exist to support information acquisition and storage. Access to intellectual capital and knowledge sharing across organizational boundaries is limited.
3	Organizational learning initiatives are widespread at the organizational unit level. Senior management recognizes the importance of knowledge sharing and is supportive of collaborative mechanisms and structures to encourage knowledge transfer and lessons learned.
4	Organization-wide, knowledge-sharing technologies (e.g. groupware) have been implemented to capture, create and disseminate knowledge and best practices. The sharing of knowledge and best practices to support modern management practices is encouraged and rewarded.
5	The concept of organizational learning is incorporated into the values of the organization and is consistently applied to improve all management processes. Organizational learning processes within the organization are continuously assessed and revised in light of world class practices.

Opportunities for sustaining phase

To continue the implementation of the virtual collaboration tool and information retrieval engine (VICTOIRE) over the next three years.
Establish lessons-learned database on intranet.

Accounting Practices

Records of financial transactions are kept on a consistent and useful basis for purposes of audit and reporting, and are consistent with generally accepted accounting practices and the financial information strategy (FIS).

Key Points

Financial information strategy (FIS) is in place.
The year-end financial closure and reporting have improved.
Year-end and monthly closing procedures are in place.
The coding structure is being reviewed. A committee was set up to review this requirement. Recommendations will be presented to corporate management in December.
Receiver General Office congratulated CSA for its excellent performance (89%) in 2003 for timeliness and accuracy of information provided in the 2003 Public Accounts.

Topic	Accounting practices Records of financial transactions are kept on a consistent and useful basis for purposes of audit and reporting, and are consistent with generally accepted accounting practices and the financial information strategy (FIS)
1	Basic financial records are maintained. The program structure does not reflect the organization and responsibility of the organization. Significant effort is required each year to produce basic government reporting requirements including the public accounts. Cost information, when used, is expenditure based. Records are maintained primarily to meet the needs of the finance organization. Little or no use of technology enablers (i.e., credit cards) for process consolidation.
2	Legislative procedural and control requirements are met and transactions are accounted for as required. The program structure reflects the organization and responsibilities for program delivery. Costing information is primarily expenditure and/or FTE based. Coding structures are basic and do not meet the needs of managers for financial information. The department has taken initial steps to implement GAAP/FIS.
3	The cost assignment framework is largely aligned to the activities of the organization. Acceptable level of accuracy in costing records is maintained. Most of manager's needs are met. Records are maintained on a consistent and useful basis for purposes of audit and reporting. Chart of accounts reflects the organizational structure, and is regularly reviewed. Accounting is done in accordance with GAAP/FIS. Line managers are familiar with fundamental accounting practices.
4	Low cost transaction processing providing accurate and timely payments fully integrated with purchasing. High level of accuracy in costing records. All government accounting and reporting policies, directives and procedures are complied with. Specialists and line managers are fully aware of GAAP/FIS requirements and implications. Managers use the information in support of informed decision-making. Auditable financial statements are prepared in accordance with GAAP.
5	Accounting practices are state of the art. Information is available quickly relative to government-wide standards. High integration exists with departmental information systems. Information is used in support of planning, budgeting, and performance measurement. Maximum use of electronic applications and interfaces (e.g., EDI, EAA, purchasing cards).

Opportunities for sustaining phase

Corporate management will present the account verification policy (including the sampling plan) to PPP Committee for approval in January.

Management of Assets

Assets are managed and utilized efficiently based on a lifecycle approach, records of assets are maintained, and assets are accounted for on an accrual basis according to GAAP/FIS.

Key Points

SAP training on asset management module was provided to financial specialists.
Administration and DFL will update the CSA long-term building plan.
The automated materiel management information system (AMMIS) is available for responsibility center managers and designated personnel to manage materiel (control assets and inventory) in their sector.
Life cycle cost is approved and will be used as part of program/ procurement management. Implementation process will be initiative.

Topic	Management of assets Assets are managed and utilized efficiently based on a lifecycle approach, records of assets are maintained, and assets are accounted for on an accrual basis according to GAAP/FIS
1	Asset policies exist but are not understood or applied in a consistent manner. Assets are managed on a fragmented basis across the organization. Information on the asset inventory is not up-to-date. A number of assets exceed their target life expectancy, and rust-out is a major concern. A number of assets are obsolete and do not meet program requirements. Safety, reliability and supply integrity are major concerns.
2	Asset management policies are clear and well understood. Service standards have been established, and asset replacement cycles have been established. Up-to-date information is available on the asset inventory and the value of the assets. Periodic inspections are made of the condition of the assets. Assets meet minimum health, safety and environmental requirements.
3	Assets meet program operational requirements in a reliable and timely manner. Assets are managed using a lifecycle approach. A long-term asset management plan is in place, and is closely aligned with the departmental strategic and business plans. A lifecycle approach is taken to determining the funding level required to sustain the assets. Accounting of assets is done on an accrual basis as per FIS. Asset funding decisions are supported by a business case and risk assessment.
4	Asset management is closely integrated with program management and decision-making. Asset planning is done on an integrated basis for all assets (e.g., facilities, equipment) across the department. Assets are replaced in a timely manner so as to minimize lifecycle costs and "rust-out." Efforts are made to improve service levels and seek savings (e.g., energy reduction, consumption reduction). Close integration between asset inventory, procurement, financial and operational information.
5	Facilities and equipment foster a more efficient and productive work environment. Asset lifecycle costs are decreasing while reliability and responsiveness are improving. Best practices are followed to minimize the impact on the environment, and to foster employee health and well being. The department is recognized as a leader amongst its peers.

Opportunities for sustaining phase

Corporate management will update the CSA long-term capital plan.

Internal Audit

Strong internal audit program is in place, and audit results are a critical input to management decision-making.

Key Points

Audit, Evaluation and Review Directorate provides assurance reports based on audit criteria.
Audit, Evaluation and Review Directorate has increased its standards such as working papers format, time measurement, etc.
TBS has rated "A" CSA's audit, evaluation and review organization.
Audit reports are available on CSA Web Site.
The PPP Committee approved the two policies regarding internal audit and program evaluation presented by the Audit, Evaluation and Review director.
New follow-up procedures were put in place.
CSA increased A base funding for internal audit.

Topic	Internal audit Strong internal audit program is in place, and audit results are a critical input to management decision-making
1	No formal approach to internal audit. Audits are carried out on an ad hoc basis. There is limited understanding of and use of, modern audit techniques and tools. No departmental audit committee exists to discuss findings and ensure follow-up where required.
2	A yearly audit plan is developed with input from branch managers. Main focus of audits is on compliance. The head of internal audit is unimpaired to carry out responsibilities. The internal audit function has unlimited access to all departmental documents. The internal audit function in its operations respects the spirit and intent of the Access to Information and Privacy Acts. Audit conclusions are based on a set of suitable criteria. Audit reports are issued in a timely manner and are accessible by the public with minimal formality in both official languages. Reports respect federal government internal audit reporting standards. Audit reports include a statement of assurance by the internal auditor where appropriate.
3	Audit provides assurance of financial and non-financial performance information used by management, and effectiveness of control mechanisms. Audit results are used by managers as an integral part of program management. Audit plan addresses department-wide issues and risks as well as specific branch issues. Audits are comprehensive, and focus on all aspects of service delivery. Audit methodologies are in place and understood by managers. Reports are reviewed by an audit committee chaired by a senior departmental executive, and a formal process exists for follow up action and continuous monitoring. A mutual respect exists between management and the internal auditor. A high level of audit standards is maintained.
4	Audits have a results-based focus and audit results play a role in identifying improvements to program delivery, and in determining the type of performance reporting that should be used by the organization. The internal audit approach and integrated risk management framework are aligned. Audit methodologies are constantly being refined and updated. The departmental internal audit plan identifies the expected level of assurance to be provided. The internal audit function is called on to assist managers with non-assurance services including consulting studies, and management assistance engagements.
5	Innovation is pursued in audit approaches and methodologies (e.g., self-assessment teams). The audit organization is seen as a leader in internal audit among its peers. Audit is seen as an attractive waypoint for top operational managers in their career progression.

External Audit

Process for ensuring adequate attention to results and recommendations of external audits of department operations.

Key Points

CSA was proactive with the Office of the Auditor General (OAG) report.
Collaboration between internal and external audit is evident.
CSA management modernization supports in part the OAG report.
Corporate Management is following up on actions associated with the OAG report and provide status to the Executive Committee.
President appeared at the Public Account Committee.
CSA has provided response to Parliament following the recommendations from the Public Account Committee.
CSA is following up on the recommendations of the Public Service Commission following its revue of the CSA annual report on staffing delegation.

Topic	External audit Process for ensuring adequate attention to results and recommendations of external audits of department operations
1	Results of external audits are responded to on a one-off basis.
2	Coordination is carried out to ensure results of external audits are disseminated to managers, and follow-up is done.
3	Results of external audits are used as input into strategic and business plans. Action plans are developed to address audit findings, and project implementation teams are created where appropriate. Good linkages exist between internal audit and external audit and review. A good working relationship exists between the external and internal auditor. A formal coordination role exists in the department to monitor external audit activity.
4	Detailed follow-up is made to ensure decisions and plans resulting from external audits are implemented in the long term, and results are reported back to external auditors. The department is proactive in identifying priority areas to be addressed by external auditors.
5	External audits are seen as a critical source of information for management, and are used to initiate changes to program delivery processes and performance measurement systems. A mutual respect exists between management and the external auditor.

Opportunities for sustaining phase

Modern Comptrollership Office in support to corporate management to status on actions associated with the OAG report after the December 2003 evaluation report.
CSA provides full support to the AOG Office.

Appendix A: Reviewers (Focus Group Members)

Pierre Richard, Senior Vice-President
Jha Virendra, Vice-President ,Science, Technology and Programs
Raynald Boileau, Team Leader, Audit, Evaluation and Review
Jacques Bruneau, Director, Corporate Management
Roger Colley, Director General, Space Science
Jean-Guy Desrosiers, Director, Audit, Evaluation and Review
Hugues Gilbert, Director, Strategic Development
Joan Harvey, Head, Research and Analysis, External Relations
Gilles Leclerc, Director General, Space Technology
Rolf Mamen, Director, Space Operations
Benoît Marcotte, Director of Operations Engineering and Program Manager
Claude Ouellet, Coordinator, Planning and Performance
Savi Sachdev, Director General, Space Programs
Matthew Symonds, Director, Human Resources
Michel Vachon, Director, Canadian Astronaut Office
Alain Dubeau, Project Manager, Modern Comptrollership
Louise Amyot, Analyst, Modern Comptrollership
Michèle Hivon, Coordinator, Marketing and Outreach
Denise Kingsbury, Secretary, Modern Comptrollership

Appendix B: Acronyms used and what they stand for

AOG	Office of the Auditor General
CCMD	Canadian Centre for Management Development
CFCP	Core function coordination panel
CIMIS	CSA integrated management information system
CSA	Canadian Space Agency
DFL	David Florida Laboratory
DPR:	Departmental performance report
ESA	European Space Agency
EX	Executive
FIS	Financial information strategy
GAAP	Generally accepted accounting principles
HR	Human Resources
ISO	International Standards Organization
IPS	Integrated planning system
MC	Modern comptrollership
MOU	Memorandum of Understanding
MSS	Mobile Space Station
NASA	National Aeronautics and Space Administration
PAD	Project approval document
PAMF	Project approval management fFramework
PMI	Project Management Institute
PPP	Policy, procedures and processes
PRAB	Project review advisory board
PRAS	Performance reporting and accounting structure
PS	Public service
PSC	Public Service Commission
RBAF	Risk based audit framework
RPP	Report on Plans and Priorities
RMAF	Results-based management and accountability framework
SLAG	Service line advisory group
TBS	Treasury Board Secretariat

Updated: 2004/05/07

Important Notices