Canadian Human Rights Tribunal
Modern Comptrollership Capacity Assessment
FINAL
REPORT
JUNE
2002
Table of Contents
Overview
of the Assessment Process
Key
Themes by Comptrollership Element
Priority
Areas for Improvement
Appendices:
Appendix A:
Detailed Results by Criteria
Appendix B: List of
Interviewees and Focus Group Participants
The Modern Comptrollership initiative was launched in 1997 with the publication of the Report of the Independent Review Panel on the Modernization of Comptrollership in the Government of Canada containing the recommendations of a private-public sector Panel. From April 1998 to March 31, 2001 modern comptrollership was introduced in 13 departments and 2 agencies as part of a pilot phase. In the summer of 2001, Treasury Board Secretariat announced modern comptrollership as a government-wide initiative that needed to be adopted by all federal departments and agencies.
In simple terms, modern comptrollership is about sound organizational management through the effective partnering of functional specialists and operational managers. One of the key messages of the Independent Panel’s report is that the task of achieving a state of modern comptrollership no longer rests with financial specialists and managers but rather, must be embraced by the entire organization.
The essential elements of modern comptrollership as defined by the Treasury Board Secretariat are:
·
Strategic Leadership – consists of the commitment to
create and sustain a climate for change that promotes the integration of modern
comptrollership concepts into day-to-day decision-making;
·
Motivated People - refers to a public sector
environment that promotes continuous learning, ensures that people have the
required competencies and skills to perform their jobs well and discharge their
responsibilities, and provides appropriate incentives for achieving results;
· Shared Ethics and Values – refers to the promotion and adoption of ethical behaviors, attitudes and decisions;
· Integrated Performance Information- focuses on combining financial and non-financial information to support decision-making coupled with results management and reporting;
· Mature Risk Management - consists of a risk management framework (methodology, tools, etc) that is an intrinsic part of the decision-making process and consistently applied to manage risks;
·
Rigorous Stewardship – refers to responsibilities
associated with the effective safeguarding and management of public resources;
and
· Clear/Improved Accountability – consists of increased transparency, clear internal accountability tied to performance management, more thorough and concise reporting to Parliament, and heightened public confidence in the public service.
The CHRT demonstrates particular strengths in the areas of Strategic Leadership and Motivated People. It is also starting to show good management practices in some of the criteria under Integrated Risk Management, Clear Accountability, Integrated Performance Information and Rigorous Stewardship. However, capabilities in these areas are generally in the formative stages and considerable work is required to advance the status quo. The least mature capabilities are in the area of Shared Values and Ethics primarily due to the absence of formal mechanisms to promote a set of shared values and ethical practices and ensure consistency in application.
The table below summarizes key observations and recommendations by Modern Comptrollership element. Recommendations in italics are considered to be of the highest priority. It is important to note that while recommendations have been presented for each comptrollership element, they need to be approached in an integrated fashion taking into account the inter-relationships between different elements.
|
Modern
Comptrollership Element |
Key Observations |
Key Recommendations (italics represent priority recommendations) |
|
Strategic Leadership |
·
The
Chairperson of the Tribunal has a broad understanding of MC and is committed
to its implementation in order to further improve the management of the
Tribunal and the services provided to clients/stakeholders. ·
Awareness
of modern comptrollership amongst managers is starting to develop primarily
due to discussions and presentations on the baseline assessment. While managers do not necessarily
understand the theoretical aspects of MC, in practice they are already
applying many of the concepts underlying the initiative. ·
There are
clear functional authorities for Finance, IT and Corporate Services. Heads of functional areas are members of
the senior management team for Registry Operations. The roles of functional authorities are well understood and
highly valued within the organization. ·
Business
planning is primarily aimed at meeting central agency requirements. Business
plans are not prepared below the corporate level. ·
There is a clear and formal budgeting process. Each manager is required to prepare a
budget for his/her area. Resource
levels are adjusted from year-to-year primarily based on the expected volume
and types of cases. ·
The Tribunal is very sensitive to the needs
of its primary clients and continually updates or changes its processes and
procedures to better meet the needs of clients. |
·
Actively communicate the anticipated benefits
of MC, how the Tribunal will go about implementing MC and how MC will impact
the roles and responsibilities of managers. ·
Prepare business plans for Registry Operations, Corporate Services,
Networks and Systems and Finance that are tied to the Report on Plans and
Priorities (RPP) and budgets and develop mechanisms
to track and report results against these plans. ·
Strengthen
the linkage between priorities, desired outcomes and allocation of budgets. |
|
Shared Values and Ethics |
· Formal values and ethics statements aimed at ensuring consistent behaviors do not exist. Values and ethics are implicitly understood. The Chairperson leads by example by demonstrating equity and fairness in the hearing and decision process. |
·
Develop
and/adapt values and ethics statements for the CHRT based on the Principles
of the Public Service of Canada. |
|
Mature Risk Management |
·
Risks within the context of the CHRT are well understood. Managers are aware of the legal, political
and other ramifications of the risks facing the organization. ·
The management control framework consists of both manual and system
controls. Controls are seen as both
effective and sufficient. ·
Given the
size of the Tribunal and the number of employees, integration of systems is
not critical at this time. |
·
Provide formal risk
management training to new managers and staff as part of their orientation to
the CHRT. ·
Document key controls, processes and policies. Periodically review or audit controls to
identify weaknesses or problems that are not readily apparent. |
|
Motivated People |
·
Modern management competency requirements have not been developed for
either managers or functional specialists. ·
The CHRT follows the same cycle as the Public Service for conducting
employee surveys. In addition, managers
informally monitor employee satisfaction on an ongoing basis. Some managers are tracking proxy employee
satisfaction measures such as leave and attendance. ·
There is
good flow of information throughout the Tribunal. Regular staff meetings are held and a “chron” file is
distributed to keep everyone apprised of new developments. ·
The
Tribunal has identified significant succession planning issues and has
initiated dialogue on how to address them. ·
Work/life
balance is encouraged. Flexible work
arrangements are in place and include compressed workweek, flexible start and
end times and telework. ·
Although
there are no formal measures of productivity or workload, case assignments
are based on capacity considerations and equitable work distribution. |
·
Proactively delegate activities/tasks currently
performed by the Registrar to other managers, within Registry Operations, to
broaden their roles and responsibilities, advance their decision-making
skills and develop new capabilities. ·
Create a comprehensive succession planning
document (e.g., identify key positions, qualifications required, potential
candidates, training requirements, etc) aimed at addressing current
succession planning issues. ·
Define relevant modern management
competencies for management positions within the CHRT. ·
Develop training plans for all Tribunal staff
and managers. |
|
Clear Accountability |
·
Roles and responsibilities are clearly defined down to the most
junior levels of the organization. ·
Performance agreements are not in place for all Registry staff. The Registrar has an agreement in place
with the Chairperson regarding corporate objectives. -
Performance evaluations are done verbally and, in some instances, in
written form. ·
The role of
specialists is primarily transaction processing and provision of information. ·
External
reports are of high quality and submitted on a timely basis. |
·
Formally articulate results expectations for all managers in light of
the strategic outcomes of the CHRT. ·
Establish performance accords for managers entitled to performance
pay and link accords to the RPP. ·
Develop a more disciplined approach to performance evaluations and
ensure that all staff receive a written evaluation at least once a year. |
|
Integrated Performance
Information |
·
The
Tribunal reports performance based on the planned results/strategic outcomes
identified in its RPP. However, it
has not developed an organization-wide performance measurement framework that
delineates outputs and outcomes by key activity areas and clearly articulates
associated performance measures. ·
The Tribunal closely tracks operational information related to cases.
Spreadsheets are used to track information on the progress of each case,
identify slippage and take corrective action as necessary. ·
Formal mechanisms do not exist to measure client satisfaction. Informal feedback is obtained through the
interaction between Registry Officers and clients. ·
The CHRT
has established two measurable goals regarding the quality of services it
provides to clients (i.e., Render Tribunal decisions within four months of
the conclusion of the hearing 90% of the time; have hearings commence within
five months of referral 80% of the time).
·
The CHRT
implemented an in-house financial management system (Freebalance) on April 1,
2002. The system is considered to be
user-friendly and accurate. ·
Detailed
cost information is maintained on salaries and O&M for all areas of the
Tribunal. Detailed O&M
information is also maintained on each case.
This information is analyzed on a trend basis and used for planning
and forecasting purposes. |
·
Develop a comprehensive performance
measurement framework that applies to all of the activities of the Tribunal
and delineates a set of relevant performance measures and targets. ·
Provide selected staff with performance measurement training. ·
Develop a user-friendly report that provides information on the
extent to which client/stakeholder goals are being met, on a regular basis
(e.g., quarterly). |
|
Rigorous Stewardship |
·
Service delivery processes are well understood and documented. Service delivery improvements occur on a
continual basis. Changes to
procedures occur either in response to amendments to the Canadian Human
Rights Act or on the basis of staff/client suggestions. ·
There are
few tools available to managers. These include budget templates and case
tracking tools. ·
Senior management recognizes the importance of effective knowledge
sharing within the Tribunal. A number
of mechanisms have been established to actively share knowledge and lessons
learned both internally and with external stakeholders/clients. ·
The Tribunal has implemented the Financial Information Strategy (FIS)
and is compliant with Generally Accepted Accounting Practices (GAAP). ·
The Auditor General last audited the Tribunal in 1998. No major deficiencies were identified in
this audit. |
· Identify tools and techniques that would be most useful to managers in their day-to-day work and make these available on an organization-wide basis. |
In accordance with the Government of Canada’s commitment to modernize
management practices, the CHRT is committed to migrating towards a modern
comptrollership environment. To
initiate this migration, PwC Consulting has completed a modern comptrollership
baseline assessment for the CHRT.
The scope of this assessment is founded on the Capacity Check Model, a Treasury Board Secretariat approved methodology that was used for the baseline assessments of the pilot federal departments and agencies. To ensure comparability of results across federal government organizations, the model is the standard for all other departments and agencies.
The objective of this assessment is to help CHRT gauge the current status of modern comptrollership within the organization and identify areas requiring attention in order to advance the modern comptrollership initiative. Results will provide the foundation for developing a modern comptrollership action plan for the CHRT.
The Capacity Check Model
Our approach was based on assessing the modern comptrollership capacities of the CHRT against the criteria specified in the Capacity Check Model. The Model sets out thirty-three criteria within the following seven key areas:
· Strategic Leadership
· Shared Values and Ethics
· Mature Risk Management
· Motivated People
· Clear Accountability
· Integrated Performance Information
· Rigorous Stewardship
Key assessment criteria in each area are presented in the table below.
|
Comptrollership Element |
Assessment Criteria |
|
Strategic
Leadership |
·
Senior management’s awareness of and commitment to establishing and
implementing a modern management practices environment ·
Awareness of managers of their modern management practices,
responsibilities and commitment to implementing them ·
Extent to which senior departmental functional authorities are used
for objective commentary and independent advice ·
Linkages between strategic, business and operational planning ·
Robustness of mechanisms for ranking program options, identifying
funding requirements and allocating resources, and for budgeting and
forecasting ·
Degree to which partnerships are used to support service delivery ·
Commitment to consciously strengthening relationships with client
organizations, and to integrating and coordinating how client services are
developed and delivered |
|
Shared
Values and Ethics |
·
Visibility of policies and activities that support the ethical
stewardship of public resources and give priority to modern management
practices |
|
Mature
Risk Management |
·
Extent to which measures are in place to identify, assess,
understand, act on and communicate risk issues in a corporate and systematic
fashion ·
Appropriateness of management controls in place, and linkages between
controls through an integrated control framework |
|
Motivated People |
·
Extent to which modern management practices competencies are defined
and managers have access to training ·
Mechanisms used to monitor employee morale and staff relations ·
Effectiveness of communication, wellness, safety and support
practices in enabling staff to provide client-focused delivery while reaching
their full potential ·
Extent to which the organizational culture fosters staff
participation, team building, sharing of ideas, risk taking, innovation and
continuous learning |
|
Clear
Accountability |
·
Clarity of assignment of responsibilities and accountabilities
throughout the organization ·
Extent to which the achievement of financial and operating results is
embedded in performance agreements ·
Availability of top-flight counsel to help managers make judgment
calls on modern management practices issues ·
Extent to which Parliamentary, central agency and key stakeholder
information reporting requirements are met |
|
Integrated
Performance Information |
·
Existence of measures to monitor overall organization-wide performance,
service quality and efficiency of program delivery ·
Utilization of non-financial information related to program
effectiveness and outcomes ·
Availability and use of reliable financial information ·
Mechanisms used to cost activities/products/results |
|
Rigorous
Stewardship |
·
Extent to which processes are clearly understood, conducted in a
uniform fashion and continuously improved in line with best practices ·
Range of analytical tools and techniques available to managers ·
Availability of performance/management information ·
Extent to which 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) ·
Strength of the internal audit program and extent to which audit
results inform management decisions |
The
Capacity Check is not a review or audit.
It is based on interviews with a representative cross-section of an
organization’s managers complemented by document review.
The 33
criteria underlying the seven broad elements of Modern Comptrollership are
assessed on a rating scale of 1 to 5.
Each criteria has a set of capability descriptions derived from the Independent Panel’s Report on Modern
Comptrollership and public and private sector best practices. The
assessment is carried-out by comparing the capabilities of the organization to
the generic capability described in the Capacity Check.
The CHRT
can choose any of the levels between 1 and 5 to guide the development of its
modern comptrollership capabilities.
The Capacity Check Model does not stipulate a “one size fits all” approach and recognizes that the appropriate
level of capability will be a function of the nature, complexity, and
priorities of each entity.
Descriptions of the ratings associated with the Model are provided
below.
 |
We followed the following key steps in conducting this assessment:
· Project Planning – during the Planning Phase of the project, we worked with the CHRT project team to finalize the list of interviewees, developed customized interview guides and attended an orientation briefing whereby CHRT staff briefed the PwC Consulting team on the Tribunal’s organizational structure, key processes and current challenges.
· Interviews – we conducted a total of six interviews during May 2002. The list of interviewees is provided in Appendix B.
· Document Review – we reviewed selected documents to identify lines of inquiry and complement the information obtained through interviews. These documents included, but were not limited to:
- 2001/02 and 2002/03 Report on Plans and Priorities (RPP)
- 2001/02 Departmental Performance Report (DPR)
- 2001 Annual Report
- Departmental Assessment
- 1999 Employee Survey
- Financial Signing Authorities Chart
- Report of the Auditor General of Canada (September 1998, Chapter 10)
· Consolidation and analysis –we integrated, analyzed and summarized information obtained through interviews and the document review for each of the 33 criteria.
· Validation – we conducted a one-day focus group session with a group of CHRT managers to review and validate the results of the assessment, agree upon the ratings for each criteria of the Capacity Check and prioritize areas for improvement. The assessment ratings in this report reflect the consensus reached by the focus group participants. The list of focus group participants is provided in Appendix B.
· Reporting – we prepared a draft and final report detailing the results of the assessment and presented the results to the Chairperson and members.
The chart below
provides a snapshot of assessment results for the seven elements of modern
comptrollership based on the underlying criteria. The criteria ratings are
meant to provide an indication of the extent of maturity of modern
comptrollership capabilities.
·
The Chairperson of the Tribunal has a broad understanding of Modern
Comptrollership (MC) and is committed to its implementation. The Chairperson sees MC as an opportunity to
assess current management practices and identify opportunities for
strengthening the organization.
· Awareness of modern comptrollership amongst managers is starting to develop primarily due to discussions and presentations on the baseline assessment. While managers do not necessarily understand the theoretical aspects of MC, in practice managers are already applying many of the concepts underlying the initiative.
·
There are clear functional authorities for Finance, IT and Corporate
Services. Heads of functional areas are
members of the senior management team for Registry Operations. The roles of functional authorities are well
understood and highly valued within the organization. Functional authorities have a good understanding of the business
of the CHRT as most have held positions as Registry Officers.
· The CHRT’s planning documents consist of the Report on Plans and Priorities and the Annual Reference Level Update (ARLU). Business planning is primarily aimed at meeting central agency requirements; business plans are not prepared below the corporate level.
· There is a clear and formal budgeting process. Resource levels are adjusted from year-to-year primarily based on the expected volume and types of cases. Budgets are closely monitored on an ongoing basis by the Registrar to identify funding shortfalls due to fluctuations in the volume of cases or unforeseen events as well as to alert Treasury Board Secretariat to the potential lapsing of funds.
· Given the mandate of the Tribunal, there are no services or activities that are delivered in partnership with other organizations or parties.
The Tribunal is very sensitive to the needs of its primary clients and continually updates or changes its processes and procedures to better meet the needs of clients. For example:
the Tribunal introduced pre-hearing questionnaires to address the needs of a hearing impaired party who could not participate in conference calls.
Similarly, a teletypewriter system has been installed to accommodate people with hearing disabilities
the Chairperson met with counsel who regularly appear before the Tribunal to obtain feedback on the Interim Rules of Procedure introduced in 1999.
a web-site has been developed with a powerful search engine that provides rapid access to Tribunal decisions and procedural rulings as well as providing general information about the Tribunal’s services and mandate
·
Formal values and ethics statements aimed at ensuring consistent
behaviors do not exist. However, there are a number of mitigating measures to
promote values and ethics with the CHRT.
These include:
- highly experienced, veteran staff who have been with the CHRT for many years and can draw on their significant experience to deal with ethical issues
- a Chairperson who leads by example by demonstrating equity and fairness in the hearing and decision process
- a detailed code of conduct for the members of the Tribunal and Registry Officers
- avenues for addressing ethical issues such as discussions with the Chairperson and/or Registrar
· Risks within the context of the CHRT are well understood. Managers are aware of the legal, political and other ramifications of the risks facing the organization.
· Although the CHRT does not have a formal risk management framework and relevant risk management policies, a number of mechanisms are in place to manage risks. Specifically:
- procedures are in place to govern the actions/behaviors of Registry Officers in order to minimize/avoid legal risks
- formal analyses/business cases are prepared for significant risks such as the impact of potential legislative changes on the operations of the Tribunal
- workload is monitored on a continual basis to ensure that there are sufficient human and financial resources for the expedient processing of cases
· The management control framework consists of both manual and system controls. Controls are seen as both effective and sufficient. Controls are reviewed as part of day-to-day operations and/or as issues arise.
Motivated People
·
Modern management competency requirements have not been developed for
either managers or functional specialists.
Managers have received limited formal training related to improving
their management practices.
· Mechanisms for monitoring employee satisfaction include formal surveys as well as informal monitoring by managers on an ongoing basis. Some managers are tracking proxy employee satisfaction measures such as leave and attendance.
· Staff are recognized as key assets of the organization.
- There is good flow of information throughout the Tribunal. Regular staff meetings are held and a “chron” file is distributed to keep everyone apprised of new developments.
- Staff are consulted on changes in operations and procedures especially where there will be a direct impact on one or more individuals.
- Work/life balance is encouraged. For example, the assignment of cases to the registry officers takes into account the extent of travel done by individual officers.
·
Although there are no formal measures of productivity or workload, case
assignments are based on capacity considerations and equitable work
distribution.
· The Tribunal has identified significant succession planning issues and has initiated dialogue on how best to address them.
·
Flexible work arrangements are in place and include compressed workweek,
flexible start and end times and telework.
· The Tribunal has an awards and recognition program that recognizes staff for going above and beyond the call of duty.
Clear Accountability
· Roles and responsibilities are clearly defined down to the most junior levels of the organization. While accountabilities for controlling resources are clear, accountabilities for achieving results are not clearly articulated and linked to corporate objectives and outcomes.
· Performance agreements are not in place for all Registry staff. The Registrar has an agreement in place with the Chairperson regarding corporate objectives.
- Performance evaluations are done verbally and, in some instances, in written form.
·
The role of specialists is primarily transaction processing and
provision of information.
· The Tribunal’s external requirements are driven by both central agencies and the Canadian Human Rights Act. Reports such as the RPP and DPR are considered to be of high quality.
Integrated Performance Information
· The Tribunal reports performance based on the planned results/strategic outcomes identified in its RPP. However, the CHRT has not developed an organization-wide performance measurement framework that delineates outputs and outcomes by key activity areas and clearly articulates performance measures for each activity area and outcome.
- Performance measures are primarily focused on the adjudication process and registry operations. There are no specific measures for areas such as corporate services, IT and Finance.
·
Operating performance measures and targets exist for the adjudication
process. The Tribunal closely tracks operational information related to cases.
Spreadsheets are used to track information on the progress of each case,
identify slippage and take corrective action as necessary.
· Formal mechanisms do not exist to measure client satisfaction. Informal feedback is obtained through the interaction between Registry Officers and clients. The CHRT is committed to undertaking a review of client satisfaction starting in the summer of 2002.
· The CHRT has established the following measurable goals regarding the quality of services it provides to clients:
render Tribunal decisions within four months of the conclusion of the hearing 90% of the time
have hearings commence within five months of referral 80% of the time
· The Tribunal does not have a formal evaluation framework and evaluations are not carried out. Notwithstanding, program outcomes are monitored on an ongoing basis.
·
The CHRT implemented an in-house financial management system
(Freebalance) on April 1, 2002. The
system has been customized to meet the requirements of the CHRT and was
developed with input from users. Both
hard copy and on-line reports are available to managers.
·
Detailed cost information is maintained on salaries and O&M for all
areas of the Tribunal. Detailed O&M
information is also maintained on each case.
This information is analyzed on a trend basis and used for planning and
forecasting purposes.
Rigorous Stewardship
· Service delivery improvements occur on a continual basis. Changes to procedures occur either in response to amendments to the Canadian Human Rights Act or on the basis of staff and client suggestions. Recent changes to the service delivery process include:
Sending out questionnaires to parties to schedule hearings rather than trying to schedule a conference call for this purpose. This has reduced the time it takes to schedule hearings by one to three months
E-mailing decisions in addition to couriering them to ensure all parties receive the decision at the same time
Provision of interim rules of procedures to parties involved in a hearing. These rules have reduced logistical problems and facilitated the handling of legal and procedural motions
Installation of a teletypewriter (TTY) system for people with hearing impairment
Imposition of tighter restrictions on the planning, scheduling and granting of adjournments and postponements
· There are few tools available to managers. These include budget templates and case tracking tools.
·
Senior management recognizes the importance of effective knowledge
sharing within the Tribunal and externally.
Mechanisms to share knowledge include:
- Bi-weekly meetings of full-time members to discuss case issues, best practices and lessons learned
- Informal discussions
- Weekly staff meetings
- The CHRT web-site (includes all decisions and rulings rendered by the Tribunal since 1998)
- Records management system (case files, reports on cases, etc)
· The Tribunal has implemented the Financial Information Strategy (FIS) and is compliant with Generally Accepted Accounting Practices (GAAP). Knowledge of accounting practices resides primarily in Finance; other managers have some familiarity with these practices.
· The Tribunal maintains an up-to-date inventory of IT assets. A lifecycle approach is used to replace IT assets but there is no long-term capital asset plan.
· There is no in-house internal audit capability due to the size of the Tribunal and resource considerations.
·
The Auditor General last audited the Tribunal in 1998. No major deficiencies were identified in
this audit. The CHRT has addressed the
observations of the Auditor General related to enhancing its performance
reporting.
Detailed assessment information by criteria is included in Appendix A of this report.
|
The following
are recommendations for advancing modern comptrollership within the CHRT that
have been identified by the Validation Focus Group as having the highest
priority with regard to implementation. Strategic
Leadership · Actively communicate the anticipated benefits of MC, how the Tribunal will go about implementing MC and how MC will impact the roles and responsibilities of managers. Integrated Performance Information · Develop a comprehensive performance measurement framework that applies to all of the activities of the Tribunal and delineates a set of relevant performance measures and targets. Motivated People ·
Proactively delegate
activities/tasks currently performed by the Registrar to other managers,
within Registry Operations, to broaden their roles and responsibilities,
advance their decision-making skills and develop new capabilities. ·
Create a comprehensive succession
planning document (e.g., identify key positions, qualifications required,
potential candidates, training requirements, etc) aimed at addressing current
succession planning issues. · Define relevant modern management competencies for management positions within the CHRT. · Develop training plans for all Tribunal staff and managers. |
|
||
Key
Recommendations
Strategic Leadership ·
Prepare business plans for Registry Operations, Corporate Services,
Networks and Systems and Finance that are tied to the RPP and budgets and
develop mechanisms to track and report results against these plans. ·
Strengthen
the linkage between priorities, desired outcomes and allocation of budgets. ·
Provide on-the-job training to the manager of Finance and eventually
delegate the budget analysis and monitoring function to her. Shared Ethics and Values ·
Develop
and/adapt values and ethics statements for the CHRT based on the Principles
of the Public Service of Canada. Mature Risk Management ·
Provide formal risk
management training to new managers and staff as part of their orientation to
the CHRT. ·
Document key controls, processes and policies. Periodically review or audit controls to
identify weaknesses or problems that are not readily apparent. |
|
Clear Accountability ·
Formally articulate results expectations for all managers in light of
the strategic outcomes of the CHRT. ·
Establish performance accords for managers entitled to performance
pay and link accords to the RPP. ·
Develop a more disciplined approach to performance evaluations and
ensure that all staff receive a written evaluation at least once a year. Integrated Performance Information ·
Provide selected staff with performance measurement training. ·
Explore options to automate operating information through the use of
software such as MS Project. ·
Develop a user-friendly report that provides information on the
extent to which client/stakeholder goals are being met on a regular basis
(e.g., quarterly). ·
Establish service standards for Finance, IT and Corporate
Services. Rigorous Stewardship · Identify tools and techniques that would be most useful to managers in their day-to-day work and make these available on an organization-wide basis. · Develop an organization-wide long-term asset management plan. |
|
|
Criteria |
|
Strengths |
|
|
|
· The Chairperson of the Tribunal and Registrar are committed to implementing modern comptrollership in order to further improve the management of the Tribunal and the services provided to clients/stakeholders. · There is a clear resource management process and budgets are monitored closely to respond to changing circumstances. · Client relationships are effectively managed. The Tribunal continually changes/updates its processes and procedures to better meet the needs of clients. |
|
Key Information |
|
Issues/Opportunities |
|
·
The Chairperson of the Tribunal
has a broad understanding of Modern Comptrollership (MC) and is
committed to its implementation in order to further improve the management of
the Tribunal and the services provided to clients/stakeholders. -
Chairperson sees MC as an opportunity to assess current management
practices and identify opportunities for strengthening the organization. · A project has been initiated to promote and implement modern comptrollership. |
|
·
There is an opportunity for the Chairperson to more actively
communicate the anticipated benefits of MC and how the Tribunal will go about
implementing MC. |
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
Leadership
Commitment Awareness and commitment of deputy head and senior management to
establishing and implementing a modern management practices environment |
|
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. |
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. |
A
modern management practices 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 is actively reviewing
service delivery mechanisms. Deputy head is able to report to the Minister
and Parliament with confidence on performance results achieved. |
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 |
|
Key Information |
|
Issues/Opportunities |
|
·
Awareness of modern comptrollership amongst managers is starting to
develop primarily due to discussions and presentations on the baseline
assessment. While managers do not
necessarily understand the theoretical aspects of MC, in practice they are
already applying many of the concepts underlying the initiative. ·
Managers generally understand their authorities and responsibilities
for probity and prudence as well their overall management authorities. ·
Plans and initiatives are thoroughly analyzed but formal business
cases are generally not prepared – the majority of decisions that the CHRT
takes do not warrant a formal business case.
Specialist input is sought as required. · Given the small size of the Tribunal, managers are familiar with functional specialists (e.g., Finance, IT, Corporate Services). |
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·
Some concern exists among managers regarding the relevance of the
initiative given the size of the Tribunal. ·
Opportunity exists to engage managers in dialogue regarding their
role in implementing modern management practices in the Tribunal. |
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Managerial commitment Awareness of managers of their modern management practices
responsibilities, and commitment to implementing them. |
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. |
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. |
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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The CHRT has only recently established an in-house Finance
capability. Previously, the Office of
the Commissioner for Federal Judicial Affairs (FJA) was providing the
Tribunal with these services through a contractual agreement. ·
HR services are being obtained through PWGSC. The Tribunal is in the process of staffing
an in-house HR position. ·
There are clear functional authorities for Finance, IT and Corporate
Services. Heads of functional areas
are members of the senior management team. ·
The roles of functional authorities are well understood and highly
valued within the organization. ·
Functional authorities have a good understanding of the business of
the CHRT. The heads of IT and
Corporate Services both worked as registry officers. · Functional authorities are asked to contribute to decisions outside of their areas of expertise as part of the consultation process for decision-making as well as for developmental purposes. |
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· In view of forthcoming retirements, an opportunity exists to
delegate more responsibilities to the heads of functional areas and broaden
their roles to include strategic decisions. |
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Senior departmental functional authorities Extent to which senior departmental functional authorities and
supporting organizations are used for objective commentary and independent
advice |
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 focused mainly on the process. |
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. |
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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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The CHRT’s planning documents consist of the Report on Plans and
Priorities (RPP) and the Annual Reference Level Update (ARLU). -
Business planning is primarily aimed at meeting central agency
requirements -
Business plans are not prepared below the corporate level ·
The RPP articulates the strategic outcomes of the Tribunal and how
the outcomes will be met. It also
identifies risks and challenges as well as planned spending for the Fiscal
Year. |
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· An opportunity exists to prepare business plans for Registry Operations, Corporate Services, Networks and Systems and Finance that are tied to the RPP and budgets and to develop mechanisms to track and report results against these plans. |
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Planning Strategic, business and operational planning, and the linkages
between them and to resource allocation |
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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. |
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. |
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/ stakeholders who are
consulted as part of the process. Business plan resources/ performance
targets reflect strategic priorities. Results achieved are monitored on a
trend basis against strategic priorities.
Plans/ resources are adjusted to reflect performance results. |
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. |
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Key Information |
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Issues/Opportunities |
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·
There is a clear and formal budgeting process. Each manager is required to prepare a
budget for his/her area. Templates
and verbal guidelines are provided to facilitate the budgeting process. ·
Resource levels are adjusted from year-to-year primarily based on the
expected volume and types of cases. ·
Budgets are reviewed and challenged by the Registrar and additional
funding requirements are discussed in terms of options, costs, etc. The Registrar approves budgets. ·
Significant expenditures may require a report justifying the need,
outlining options and associated costs, and identifying the risks or
consequences of not proceeding. ·
Managers are responsible for monitoring and managing their budgets
and preparing forecasts. ·
Budgets are also closely monitored on an ongoing basis by the
Registrar to identify funding shortfalls due to fluctuations in the volume of
cases or unforeseen events as well as to alert Treasury Board to the
potential lapsing of funds. |
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·
There are opportunities to: -
strengthen the linkage between priorities, desired outcomes and
allocation of budgets -
provide on-the-job training to the manager of Finance and eventually
delegate the budget analysis and monitoring function to her |
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Resource management Mechanisms for ranking program options, identifying funding
requirements and allocating resources, and budgeting and forecasting |
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. |
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 realism of assumptions. Actual results rarely correspond to
forecasts. Reforecasts are infrequently prepared and in little detail. There is limited commentary prepared for
the financial assumptions. |
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 budgeting 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 quarterly
re-forecasts made. Managers conduct
variance analysis and justify variances.
SFO and staff provide both a challenge and advisory function to
managers. |
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. |
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
budgeting approach is closely focused on outcomes and results. Budgets are closely linked with resource allocation priorities
and performance results achieved. |
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Key Information |
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Issues/Opportunities |
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· Given the mandate of the Tribunal, there are no services or activities that are delivered in partnership with other organizations or parties. |
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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 |
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. |
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. |
Managers
regularly consider options in terms of service delivery methods including partnership
opportunities. Functional specialists play a pro-active role in assisting
managers with the assessment and implementation of partnership arrangements.
The HR strategy for affected staff is well developed and understood. Training
programs are in place for managers and specialists. Toolkits exist to guide managers at each stage of the
process. Systems are in place to
monitor the performance of external partners, with incentives and
sanctions. Benchmarking is done to
compare costs with external suppliers.
Risk management policies are in place for major partnerships. A consistent approach is used throughout
the Department to track the overall performance of governance/ partnership
arrangements. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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The primary clients of the CHRT consist of complainants and respondents to cases as well as the Canadian Human Rights Commission. Other clients/stakeholders include the Human Rights community, government, and taxpayers. The decisions of the Tribunal have national impact and are read widely by federal employers, provincial human rights tribunals and special interest groups.
Registry Operations and the Registrar formally manage client relationships. For every case that is referred to the CHRT, a letter is issued to the parties involved informing them of points of contact. Registry officers and the Registrar are the main points of contact for the parties involved in a case. Registry officers maintain detailed files on each case to which they are assigned.
The Tribunal is very sensitive to the needs of its primary clients and continually updates or changes its processes and procedures to better meet the needs of clients. For example:
the Tribunal introduced pre-hearing questionnaires to address the needs of a hearing impaired party who could not participate in conference calls. similarly, a teletypewriter system has been installed to accommodate people with hearing disabilities
the Chairperson met with counsel who regularly appear before the Tribunal to obtain feedback on the Interim Rules of Procedure introduced in 1999
the Tribunal has developed a web-site with a powerful search engine that provides rapid access to its decisions and procedural rulings as well as providing general information about its services and mandate
·
Historically, there have been very few
complaints regarding the CHRT’s processes and procedures. The Tribunal regularly consults with legal
counsel involved in cases to improve its processes and procedures. |
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Client relationship management Commitment to consciously strengthening relationships with client
organizations, and to integrating and coordinating how client services are
developed and delivered. |
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. |
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. |
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. |
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. |
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. |
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Criteria |
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Strengths |
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·
Values and ethics are promoted by example through the
actions of the Chairperson and Registrar. |
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Key Information |
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Issues/Opportunities |
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·
Formal values and ethics statements aimed at ensuring consistent
behaviors do not exist. Values and ethics are implicitly understood. -
Most staff have been with the CHRT for many years and have
significant experience that they can draw on to deal with ethical
issues. ·
The Chairperson leads by example by demonstrating equity and fairness
in the hearing and decision process. · A detailed code of conduct exists for the members of the Tribunal; an ethics counselor has briefed all members. The Tribunal also has a code of conduct for Registry Officers that outlines appropriate behaviour during hearings. · There is a clearly understood mechanism for addressing ethical issues in that these are discussed with the Chairperson and/or Registrar. Chairperson and Registrar are viewed as champions for ethics and values. · Expectations regarding ethics and values are discussed at staff meetings, as required. |
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An opportunity exists to develop and/adapt values and ethics statements for the CHRT based on the Principles of the Public Service of Canada. This is especially important given the potential retirement of key staff such as the Registrar. |
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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” |
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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. |
The
department has put a structure in place and resourced it to promote values
and ethics (e.g., champions, ombudsman, ethics counselor). 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. |
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 behaviors 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. |
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 is consistent behaviour at
large. Ethics and values assessments
and surveys are carried out regularly. |
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Strengths |
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· Risks within the context of the CHRT are well understood. Managers are aware of the legal, political and other ramifications of the risks facing the organization. · Mechanisms exist to manage and mitigate the majority of risks facing the CHRT. · A management control framework consisting of both manual and system controls is in place. |
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Key Information |
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Issues/Opportunities |
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· Risks within the context of the CHRT are well understood. Managers are aware of the legal, political and other ramifications of the risks facing the organization. · Although the CHRT does not have a formal risk management framework and relevant risk management policies, a number of mechanisms are in place to manage risks. For example: - Procedures are in place to govern the actions/behaviors of Registry Officers in order to minimize/avoid legal risks - Formal analyses/business cases are prepared for significant risks such as the impact of potential legislative changes on the operations of the Tribunal - Workload is monitored on a continual basis to ensure that there are sufficient human and financial resources for the expedient processing of cases · Reserve funds are established on a yearly basis based on the difference between the projected workload and the CHRT’s appropriation. · The top three risks identified by the CHRT are: -
Impact of the potential changes to the Canadian Human Rights Act (CHRA). The Department of Justice is in the process of reviewing the
recommendations of the CHRA Review Panel, which include allowing claimants to
bring their cases directly to Tribunal.
This would mean that the Tribunal would undertake both the initial
screening and investigation phases, which are currently conducted by the
Canadian Human Right Commission (CHRC).
This would increase the caseload of the Tribunal from about 100 to
potentially over 500 per year. The
CHRT has developed and costed various scenarios to address the impact of the
recommendations and has provided this information to the Department of
Justice. -
Institutional Independence. The CHRT
is awaiting the decision of the Supreme Court of Canada regarding its institutional
independence and impartiality. This
decision will have a major impact on the future of the Tribunal. -
Workload. The CHRT must deal with a fluctuating caseload. It essentially has no control over the
number of cases and rate of settlements.
It is managing this risk through ongoing and proactive communication
with the CHRC to obtain the best available information on a timely basis. |
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·
As veteran managers and staff retire, an opportunity will arise to
provide formal risk management training to new managers and staff as part of
their orientation to the CHRT. |
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Integrated risk management Measures are in place to identify, assess, understand, act on, and
communicate risk issues in a corporate and systematic fashion |
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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 u5nforeseen 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. |
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. |
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 managers knowledge base. Advisors help integrate a corporate focus
on risk management. |
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. |
Integrated Management Control Framework
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Key Information |
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Issues/Opportunities |
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·
The management control framework consists of both manual and system
controls. Controls are seen as both
effective and sufficient. ·
Controls are reviewed as part of day-to-day operations and/or as
issues arise. ·
The 1998 Auditor General’s report found financial controls to be
generally satisfactory. · An up-to-date delegation instrument exists for financial signing authorities. Managers maintain their delegation is appropriate. Financial authorities are understood and complied with. · Due to the low volume of transactions, account verification is done on a 100% basis. · In most instances, the Tribunal relies on Treasury Board polices. The only Tribunal-specific policy is the Internet policy. In-house HR and finance policies and procedures are being developed. · Asset inventories are maintained for IT assets and electronic equipment. · Given the size of the Tribunal and the number of employees, integration of systems is not critical at this time. |
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·
As the Tribunal continues to expand and establish in-house functions
such as Finance, consideration should be given to: -
documenting key controls, processes and policies -
periodically reviewing or auditing controls to identify weaknesses or
problems that are not readily apparent. |
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Integrated management control framework Appropriateness of management controls in place, and linkages between
controls through an integrated control framework |
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. |
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. |
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 are consistent
with operating responsibilities. |
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. |
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. |
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Criteria |
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Strengths |
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·
Employee satisfaction is monitored through both
formal and informal means. ·
Staff are regarded as key assets of the organization. ·
Workload is monitored and proactively managed to
ensure equitable distribution. ·
Succession planning has been recognized as a critical
issue and is starting to be addressed. |
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Key Information |
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Issues/Opportunities |
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·
Modern management competency requirements have not been developed for
either managers or functional specialists. ·
Managers have received limited formal training related to improving
their management practices. |
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·
As managers retire, an opportunity will exist to define relevant
modern management competencies for management positions within the CHRT. · An opportunity exists to develop training plans for all Tribunal staff and managers. |
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Modern management practices competencies Extent to which modern management practices competencies are defined
and managers have access to training |
Little
or no information exists on competency requirements for modern management
practices for either functional specialists or managers. |
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). |
Managers’
skills 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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
An internal employee survey was conducted in 1999. The results were analyzed and shared with
staff. No major issues were
identified in the survey; results were generally positive. ·
The CHRT will be participating in the current year PS survey. ·
In addition to surveys, managers informally monitor employee
satisfaction on an ongoing basis.
Some managers are tracking proxy employee satisfaction measures such
as leave and attendance. ·
The Tribunal has not been in a situation that has required the
establishment of improvement teams; issues are addressed on an ongoing basis. |
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Employee satisfaction Mechanisms in place to monitor employee morale and staff relations |
Information
on employee satisfaction is collected on an informal and ad hoc basis. |
Different
arrangements for surveying employee satisfaction exist across the
organization. Limited monitoring and
analysis of results on a trend basis. |
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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
Staff are recognized as key assets of the organization. ·
There is good flow of information throughout the Tribunal. Regular staff meetings are held and a
“chron” file is distributed to keep everyone apprised of new developments. ·
Staff are consulted on changes in operations and procedures
especially where there will be a direct impact on one or more individuals. · Work/life balance is encouraged. For example, the assignment of cases to the registry officers takes into account the extent of travel done by individual officers. |
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· There is significant reliance on the capabilities of the Registrar in the day-to-day operations of the Tribunal. An opportunity exists to delegate selected tasks to other managers to advance their decision-making and other skills. |
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Enabling work environment Practices for communication, wellness, safety and support that enable
staff to provide client-focused delivery while reaching their full potential |
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. |
Though
there is management control, staff are encouraged to increase productivity
and look for efficiencies. Staff
provide input and are 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. |
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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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
Although there are no formal measures of productivity or workload,
case assignments are based on capacity considerations and equitable work
distribution. ·
Caseloads are tracked and adjustments to the workload of registry
officers are made based on scheduling considerations, complexity of cases
(which may not be readily apparent at the start of a case) and travel
requirements. ·
Work tends to be fairly stable in Corporate Services, Finance and
IT. Responsible managers and the
Registrar monitor workload in these areas on an informal basis. ·
A hearing assignment schedule for members is also maintained and
monitored. ·
The CHRT is facing significant succession planning issues. -
the Chairperson and the Vice Chair have approximately one year and 18
months left in their terms, respectively -
the Registrar is eligible to retire within the next two years -
the manager of Registry Operations is eligible to retire within the
next five years -
a senior registry officer is eligible to retire in the next two to
three years ·
Flexible work arrangements are in place and include compressed
workweek, flexible start and end times and telework. |
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·
While the CHRT has proactively identified succession planning issues
and has started thinking about how to best address them, a formal succession
plan has not been developed. ·
An opportunity exists to create a comprehensive succession planning
document (e.g., identification of key positions, qualifications required,
identification of possible candidates, training requirements) to guide
efforts in this area. |
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Sustainable workforce The energies of staff are managed wisely to help sustain the
organization’s viability |
No
measures exist for determining productivity or expected outputs. Work assignment is based on incoming
volume with little consideration of capacity or priorities. |
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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). |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The culture of the CHRT promotes openness, information sharing and
participation. There is also good
teamwork. ·
Staff are treated with respect and they are valued. ·
The Registrar has an open door policy, and managers and staff alike are
encouraged to bring concerns to his attention. ·
Staff are encouraged to suggest possible improvements to service
delivery, which often result in streamlining of procedures. ·
Managers maintain that staff are receiving appropriate training. · The Tribunal has an awards and recognition program that recognizes staff for going above and beyond the call of duty. |
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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 |
Traditional
“we-they” relationship exists between management and staff. Considerable resistance to change. High level of skepticism 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. |
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. |
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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 in place to reward
consistently high performers. |
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 behavior.
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. |
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Criteria |
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Strengths |
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· Roles and responsibilities are clearly defined down to the most junior levels of the organization. · All external reporting requirements are met. |
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Key Information |
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Issues/Opportunities |
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·
Roles and responsibilities are clearly defined down to the most
junior levels of the organization. |
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·
While accountabilities for controlling resources are clear,
accountabilities for achieving results are not clearly articulated and linked
to the corporate objectives and outcomes. ·
An opportunity exists to formally articulate results expectations for
all managers in light of the strategic outcomes of the CHRT. |
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Clarity of responsibilities and organization Clarity of assignment of responsibilities and accountabilities
throughout the organization |
Management
and specialist roles and responsibilities are generally not well understood
in the organization. Confusion exists
in accountabilities for achieving and reporting results. |
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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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
Performance agreements are not in place for all Registry staff. The Registrar has an agreement in place
with the Chairperson regarding corporate objectives. ·
Performance evaluations are done verbally and, in some instances, in
written form. ·
Guidelines and/or policies on performance agreements and evaluations
do not exist. |
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·
Opportunities exist to: -
establish performance accords for managers entitled to performance
pay and link accords to the RPP -
develop a more disciplined approach to performance evaluations and
ensure that all staff receive a written evaluation at least once a year |
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Performance agreements and evaluations Extent to which the achievement of financial and operating results is
embedded in performance agreements |
No
performance agreements are in place. |
Performance
agreements are in place for senior executives that define accountabilities,
and establish priorities and measures of performance vis-ŕ-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. |
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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The role of specialists is primarily transaction processing and
provision of information. ·
There are 4 FTEs providing specialists services; the majority of
these FTEs (3 out of the 4) perform clerical functions. ·
Managers see having Finance and IT staff on site as very positive. |
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·
Managers maintain that staff are not aware of all the HR services that
PWGSC is contracted to provide them.
Accordingly, CHRT is exploring the possibility of bringing an HR
representative on site to coordinate the provision of PWGCS services (e.g.,
training plans) to Tribunal staff. |
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Specialist support Availability of top-flight counsel to help managers make judgment
calls on modern management and operational issues |
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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. |
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. |
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. |
Challenge
and expert advisory role of specialists is valued 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. |
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Key Information |
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Issues/Opportunities |
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·
The Tribunal’s external requirements are driven by both central
agencies and the Canadian Human Rights Act. ·
The Report on Plans and Priorities (RPP) and the Performance Report
(DPR) are based on the Planning and Reporting Accountability Structure (PRAS)
approved by Treasury Board Secretariat. ·
The Tribunal also prepares an annual report that summarizes decisions
rendered and provides updates on ongoing activities. ·
Reports such as the RPP and DPR are prepared diligently and are of
high quality. ·
Funding submissions are very thorough and contain accurate and
complete costing information. Close
contact is maintained with TB to address funding requirements as they arise. · All external reports are submitted on a timely basis. |
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External reporting Extent to which Parliamentary, central agency and key stakeholder
information reporting requirements are met |
Information
reported satisfies minimum external reporting requirements. |
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. |
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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. |
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. |
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Criteria |
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Strengths |
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· The Tribunal reports performance based on the planned results/strategic outcomes identified in its RPP. · The CHRT has established measurable goals regarding the quality of services it provides to clients. · The CHRT is committed to undertaking a review of client satisfaction with service levels, through a survey. The Tribunal expects to commence this exercise in the summer of 2002. · The Tribunal recently implemented an in-house financial system that meets the requirements of users. |
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Key Information |
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Issues/Opportunities |
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·
The Tribunal reports performance based on the planned
results/strategic outcomes identified in its RPP. ·
Progress towards the achievement of some of these outcomes (e.g.,
timeliness of the hearing and decision-making process) is monitored
throughout the year and appropriate adjustments/trade-offs are made. ·
Performance is reported using both quantitative and qualitative
information. ·
Trends in performance information such as the average time to
complete a case and the average time to render a decision after completion of
the hearing are monitored against targets. |
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·
The CHRT has not developed an organization-wide performance
measurement framework that delineates outputs and outcomes by key activity
areas and clearly articulates performance measures for each activity area and
outcome. -
Performance measures are primarily focused on the adjudication
process and registry operations.
There are no specific measures for areas such as corporate services,
IT and Finance. ·
Staff have not received training in performance measurement and have
minimal expertise/experience to draw on. ·
An opportunity exists to develop a comprehensive performance
measurement framework that applies to all of the activities of the Tribunal
and delineates a set of relevant performance measures, targets and data
sources. ·
An opportunity also exists to provide selected staff with performance
measurement training. |
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Integrated departmental performance reporting Key measures exist to monitor overall organization-wide performance
and best-value results |
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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. |
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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The Tribunal closely tracks operational information related to cases.
Spreadsheets are used to track information on the progress of each case,
identify slippage and take corrective action as necessary. ·
Operating performance measures and targets exist for the adjudication
process. Operating measures do not
exist for other activities of the Tribunal. ·
Linkages exist between operating results and the RPP, which is the
corporate business plan. |
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·
Explore options to automate operating information through the use of
software such as MS Project. |
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Operating information Measures and systems to monitor service quality and efficiency of
program delivery |
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. |
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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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
Formal mechanisms do not exist to measure client satisfaction. Informal feedback is obtained through the
interaction between Registry Officers and clients. -
Client feedback is considered as part of the business planning
process ·
The CHRT is committed to undertaking a review of client satisfaction,
with service levels, through a survey.
This survey will be sent to individuals involved in hearings over the
past three to four years. The
Tribunal expects to start this exercise in the summer of 2002. ·
The CHRT has posted a survey on its Web site to determine whether or
not the site is meeting the needs and expectations of visitors. |
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·
Once the Tribunal gathers survey information, an opportunity will
exist to analyze results, and explore revising current processes/services in
line with issues raised by clients. |
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Measuring client satisfaction Utilization of client survey information on satisfaction levels, and
importance of services |
Client
satisfaction information is collected on an informal and ad hoc basis. |
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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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The CHRT has established the following measurable goals regarding the
quality of services it provides to clients:
render Tribunal decisions within four months of the conclusion of the
hearing 90% of the time
have hearings commence within five months of referral 80% of the time ·
The Tribunal is gathering statistics that allows it to report against
these goals. ·
The Registrar and the Chairperson analyze results against service
standards to identify issues/reasons impacting the CHRT’s ability to meet
goals. ·
There are no formal service standards for Finance, IT and Corporate
Services. |
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·
External factors, such as the complexity of a case and the degree to
which parties cooperate, may impact the Tribunal’s ability to meet its
quality of service goals. ·
Opportunity exists to: -
develop a user-friendly report that provides information on the extent
to which goals are being met on a regular basis (e.g., quarterly) -
establish service standards for Finance, IT and Corporate
Services. |
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Service Standards Monitoring against client service standards and maintaining and
updating standards. |
No
formal service standards exist.
Quality of service is monitored on an informal basis. |
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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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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· The Tribunal does not have a formal evaluation framework and evaluations are not carried out. Notwithstanding, program outcomes are monitored on an ongoing basis. |
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Evaluative information Utilization of non-financial information related to program
effectiveness and outcomes |
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. |
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. |
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. |
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. |
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. |
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Key Information |
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Issues/Opportunities |
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·
The CHRT implemented an in-house financial management system
(Freebalance) on April 1, 2002. ·
The system has been customized to meet the requirements of the CHRT
and was developed with input from users. ·
Hard copy and on-line reports are available to managers. On-line access is limited as the Tribunal
only has five licenses. However,
Finance produces reports for managers who do not have on-line access, on an
as required basis. ·
Monthly reports provide information on expenditures (by RC and
project code), commitments, and projected surplus/deficit. Detail to support high-level information
is readily available. ·
Reports are user-friendly and easy to understand. ·
Data accuracy is considered to be good. |
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Financial information Reliable financial information is available in a timely and useful
fashion |
Voluminous
hard copy reporting dictated by financial reporting timetable with monthly/
quarterly/ 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. |
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. |
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. |
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. Rekeying
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. |
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. |
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Key Information |
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Issues/Opportunities |
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· Detailed cost information is maintained on salaries and O&M for all areas of the Tribunal. ·
Detailed O&M information is also maintained on each case. This information is analyzed on a trend
basis and used for planning and forecasting purposes. ·
Costing information is also produced on the level of effort required
to perform the tasks and duties involved in the planning and conduct of
hearings. However, this information
is produced manually and is based on the experience of registry officers. |
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Cost management information Mechanisms for using activity/product/results-based costs |
Cost
information is maintained based on traditional object-based ledger (e.g.,
salaries, travel, O&M) for each organizational unit. |
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. |
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. |
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.
|
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. |
|
Criteria |
|
Strengths |
|
|
|
· Service delivery processes are well understood and documented. Service delivery improvements occur on a continual basis. · Senior management recognizes the importance of effective knowledge sharing within the Tribunal. A variety of mechanisms exist to share knowledge. · The Tribunal has implemented the Financial Information Strategy (FIS) and is compliant with Generally Accepted Accounting Principles (GAAP). |
|
Key Information |
|
Issues/Opportunities |
|
·
Service delivery processes are well understood and documented. ·
A Registry Procedures Manual consolidates all procedures related to
hearings – as procedures change, updates are added to the manual. The manager of Registry Operations is in
the process of preparing an updated version of the manual. ·
Checklists are used to ensure that Registry officers deliver services
in a consistent manner. ·
Service delivery improvements occur on a continual basis. Changes to procedures occur either in
response to amendments to the Canadian Human Rights Act or on the
basis of staff/client suggestions.
·
The Tribunal’s case management procedures enable it to schedule a
hearing soon after a case is referred by the Canadian Human Right
Commission. The Tribunal can hold a
hearing on any issue within five days and, sometimes, within 24 hours of
receiving a referral or motion. ·
Recent changes to the service delivery process include:
Sending out questionnaires to parties to schedule hearings rather
than trying to schedule a conference call for this purpose. This has reduced the time it takes to
schedule hearings by one to three months.
E-mailing decisions in addition to couriering them to ensure all
parties receive the decision at the same time.
Provision of interim rules of procedures to parties involved in a
hearing. These rules have reduced
logistical problems and facilitated the handling of legal and procedural
motions
Installation of a teletypewriter (TTY) system for people with hearing
impairment
Imposition of tighter restrictions on the planning, scheduling and
granting of adjournments and postponements ·
The CHRT is in the process of developing a layperson’s guide to how
the Tribunal works. This guide along with other documents that explain the
Tribunal’s operations in plain language will be available in Braille. |
|
|
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
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 |
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. |
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. |
|
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. |
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 fora to explain its business processes. Major parts of the
organization are ISO 9000 accredited. |
|
Key Information |
|
Issues/Opportunities |
|
· There are few tools available to managers. These include budget templates and case tracking tools. · Managers tend to use their own approaches for conducting analyses depending on the requirement. |
|
·
An opportunity exists to identify tools and techniques that would be
most useful to managers in their day-to-day work and make these available on
an organization-wide basis. |
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
Management tools and techniques Range of analytical techniques (e.g., cost-benefit, sensitivity, life
cycle, benchmarking) available to managers |
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. |
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. |
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. |
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. |
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. |
|
Key Information |
|
Issues/Opportunities |
|
·
Senior management recognizes the importance of effective knowledge
sharing within the Tribunal.
Mechanisms to share knowledge include: -
Bi-weekly meetings of full-time members to discuss case issues, best
practices and lessons learned -
Informal discussions -
Weekly staff meetings -
The CHRT web-site (includes all decisions and rulings rendered by the
Tribunal since 1998) -
Records management system (case files, reports on cases, etc) ·
The Registrar involves his direct reports in specific processes and
projects in order to share and transfer knowledge. |
|
·
Given the
potential retirement of several key Registry staff and the possible
replacement of the Chairperson and the Vice-Chair at the end of their terms,
continued efforts to effectively share and capture corporate knowledge are
critical to the future of the organization. |
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
Knowledge management Performance/management information is readily accessible to internal
and external users via technology, and lessons learnt are shared across the
organization |
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. |
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. |
|
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. |
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. |
|
Key Information |
|
Issues/Opportunities |
|
·
The Tribunal has implemented the Financial Information Strategy (FIS)
and is compliant with Generally Accepted Accounting Practices (GAAP). ·
GAAP Financial Statements will be produced for Fiscal Year 2001/2002
by Federal Judicial Affairs. ·
The chart of accounts has recently been updated. ·
Major assets have been capitalized and will be depreciated on a
monthly basis. To date, they have
been depreciated on an annual basis. ·
The accuracy of accounting records is considered to be high. ·
Knowledge of accounting practices resides primarily in Finance; other
managers have some familiarity with these practices. |
|
|
|
TOPIC |
1 |
2 |
|
4 |
5 |
|
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) |
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. |
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. |
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. |
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. |
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). |
|
Key Information |
|
Issues/Opportunities |
|
·
The Tribunal maintains an up-to-date inventory of IT assets. ·
A lifecycle approach is used to replace IT assets. ·
The Tribunal has three capital assets. ·
Asset funding decisions are generally made informally, and do not
require a formal business case or risk assessment. ·
A policy on accounting for capital assets, consistent with accrual
accounting, has been developed. |
|
·
An opportunity exists to develop an organization-wide long-term asset
management plan. |
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
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 |
|
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. |
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. |
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. |
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. |
|
Key Information |
|
Issues/Opportunities |
|
· There is no in-house internal audit capability due to the size of the Tribunal and resource considerations. |
|
·
Treasury Board Secretariat is working with the small agencies to set
up a mechanism that will enable easy access to internal audit services (e.g.,
through a standing offer). TB is also
expected to provide funding to support internal audit activities in small
agencies. ·
An opportunity exists to tap into the TB mechanism (once it is
established) and funding to conduct periodic audits in areas such as internal
control systems and efficiency/effectiveness of service delivery processes. |
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
Internal audit Strong internal audit program is in place, and audit results are a
critical input to management decision-making |
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. |
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. |
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. |
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. |
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. |
|
Key Information |
|
Issues/Opportunities |
|
·
The CHRT has not had any recent external audits. ·
The Auditor General last audited the Tribunal in 1998. No major deficiencies were identified in
this audit. The CHRT has addressed
the observations of the Auditor General related to enhancing its performance
reporting. |
|
|
|
TOPIC |
1 |
2 |
3 |
4 |
5 |
|
External audit Process for ensuring adequate attention to results and
recommendations of external audits of department operations |
Results
of external audits are responded to on a “one-off” basis. |
Coordination
is carried out to ensure results of external audits are disseminated to
managers, and follow-up is done. |
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. |
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
pro-active in identifying priority areas to be addressed by external
auditors. |
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. |
Appendix B: List of
Interviewees and Focus Group Participants
