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Response of Library and Archives Canada to the Round VIII Management Accountability Framework
Action Plan 2011—2012

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Stewardship

The Government of Canada expectations for stewardship are to ensure that every institution has a "departmental control regime (assets, money, people, services, etc.)" that is "integrated and effective," and that its "underlying principles are clear to all staff."

Stewardship includes a large number of administrative, control and institutional planning functions. LAC undertakes to institute the required tools and mechanisms that will help it engage in integrated resource management and achieve the best possible outcomes. The institution will also ensure that sound management is taken up by all employees and that it has developed an internal mandatory training course targeting managers' core accountabilities.

LAC is actively working at putting in place a fully developed and sound management system; at ensuring effective financial management and control practices; at providing a security management framework that contributes to the effectiveness of government by protecting employees, information and assets and ensuring the continuity of government and services; at improving its operational efficiency through proactive measures (LAC's assessment already highlights excellence in efficient procurement); at becoming a leader in Information Management(IM); at being more efficient, effective and innovative in IT management to contribute to LAC's business strategy and government-wide objectives; at ensuring a good asset management system; and, finally, at putting in place sound investment planning and management of projects to contribute to the achievement of value for money and sound stewardship in government program delivery.

Area of Management TBS evaluation
Effectiveness of Internal Audit Function (AoM 5) Opportunity for Improvement
Effectiveness of Financial Management and Control (AoM 7) Opportunity for Improvement
Effective Management of Security (AoM 8) Opportunity for Improvement
Effective Procurement (AoM 11) Strong
Effectiveness of Information Management (AoM 12) Acceptable
Effectiveness of Information Technology Management (AoM 13) Acceptable
Effectiveness of Asset Management (AoM 14) Acceptable
Investment Planning and Management of Projects (AoM 15) Acceptable

TBS Recommendations:

Effectiveness of Internal Audit Function

  • LAC should strengthen the quality assurance improvement program.
  • LAC should implement recruitment and retention strategies to mitigate the HR shortfall.
  • The quality of internal audit reports could be improved by consistently applying Office of the Comptroller General guidance in regard to the statement of assurance.

Effectiveness of Financial Management and Control
Planning Cycle:

  • LAC should improve systems of internal control over financial planning and budgeting.
  • Management should ensure the sustainability provision of decision-support information and should also promote, collectively, professional development and succession planning within the financial management organization.

Operations Cycle:

  • LAC should pay attention to the aspects related to the Financial Administration Act, regulations and policy instruments.
  • Management should take additional steps to ensure adequate procedures for the periodic preparation, distribution and review, update and approval of the delegation of financial authorities and associated controls.
  • Documentation and testing related to key controls should be completed to minimize losses due to irregularities.
  • Attention should be paid to the stability, depth and breadth of experience of the financial management function.
  • All employees should have a personal approved learning plan.
  • A succession plan should be in place and communicated. There should be a reduction of interim positions.

Reporting Cycle:

  • Significant financial statements taking account of risks, materiality and key locations, processes and IT applications need to be identified.
  • Documentation of the key controls should cover all levels of the key controls.
  • Operating effectiveness testing has not yet started in the majority of control levels. There is no information on the results and Action Plan from the assessment provided to the Departmental Audit Committee or equivalent.
  • Effort will be required to advance progress in the future on the assessment of the effectiveness of internal controls over financial reporting.

Effective Management of Security

  • LAC should focus on addressing the deficiencies associated with establishing security responsibilities for shared services, and ensuring that an approved work plan is in place and funded.
  • LAC should also focus on addressing the deficiencies with respect to having a security program in place with established policies, procedures and practices to implement the security policy.
  • LAC should establish the required elements to ensure consistent monitoring of new and existing TBS Security Standards.
  • LAC should focus on addressing the deficiencies that were identified for Management of Information Technology Security (MITS).

Effective Procurement

  • LAC should report on contracts awarded within Comprehensive Land Claims Agreements (CLCA) settlement areas to Indian and Northern Affairs Canada (INAC).
  • LAC is encouraged to solicit client feedback to determine the level of satisfaction with procurement within the organization.
  • LAC is encouraged to continue its mandatory training course for managers, which is currently in a pilot phase.

Effectiveness of Information Management

  • LAC should ensure governance structures that enable full consideration of IM impacts in corporate decision making.
  • LAC should define and communicate comprehensive IM roles and responsibilities for all employees.
  • LAC should monitor IM strategy implementation through regular reporting, and adjust strategy as required.
  • LAC should document all information repositories and processes for managing them throughout their lifecycles and should initiate identification of information resources of business value to ensure appropriate maintenance and accessibility.
  • LAC should ensure that Retention and Disposition Schedules are in place for all resource types across the organization.
  • LAC should ensure that all Class of Record descriptions and related Personal Information Banks are appropriately linked to the relevant sub-activities in the Info Source chapter.

Effectiveness of Information Technology Management

  • LAC should continue the development of service costing and asset management for IT to guide better decision making, increase performance levels and enable continuous improvement.

Effectiveness of Asset Management

The AoM 14 was not assessed in the current Round as it is assessed on a rotational basis. Therefore, the rating is carried over from the last Round that LAC was assessed on that AoM.

Investment Planning and Management of Projects

The AoM 15 was not assessed in the current Round as it is assessed on a rotational basis. Therefore, the rating is carried over from the last Round that LAC was assessed on that AoM.

LAC Action Plan:

Effectiveness of Internal Audit Function

  1. A manual of procedures and models to use according to the Internal Audit Policy requirements will be developed and completed in 2011-2012.
  2. LAC will implement its HR Plan for Internal Audit and Evaluation in 2011-2012.

Effectiveness of Financial Management and Control

  1. LAC will modify the monthly financial reports to meet TBS requirements.
  2. LAC will define its costing practices and required process for the Chief Financial Officer approval.
  3. LAC will define a specific position in the institution that will include a variety of management functions and succession planning for the financial management community.
  4. LAC finance managers will have to include a variety of learning and development activities in their learning plans.
  5. LAC will revise and publish its user fees in the Gazette.
  6. LAC will revise its protocol for Section 33 to include a monthly report of error.
  7. LAC will define its accounts receivable process and will update its Delegation of Financial Signing Authorities.
  8. LAC will establish an annual checking process of the signing cards.
  9. LAC will establish processes linked to the Specified Purpose Account Directive.
  10. LAC will implement the Internal Control Policy.
  11. LAC will publish its quarterly financial statements.
  12. LAC will ensure timely availability of internal financial reports to support decision making.
  13. LAC will develop a mid-term plan to identify the key controls to monitor in a given year.

Effective Management of Security

  1. The LAC Departmental Security Plan will be submitted for approval by MB by the end of fiscal year 2011-2012 as per the requirement of the Policy on Government Security.
  2. LAC will revise all Building Emergency Plans and will work to have them submitted to Human Resources and Skills Development Canada (HRSDC) for approval by the end of the fiscal year. An implementation plan will be developed for each of the facilities once approval is received by HRSDC.
  3. LAC will develop a Hazard Prevention Program, which is an Occupational Health and Safety component as per the Canada Labour Code Part II.
  4. LAC is committed to developing a Disaster Recovery Plan for key IT systems.
  5. LAC will introduce centralized control of group membership and account creation through enhanced identity management.
  6. In support of TBS recommendations, LAC will complete the required elements to comply with MITS.

Effective Procurement

  1. LAC will report to INAC on contracts awarded within CLCA settlement areas on a quarterly basis.
  2. LAC will solicit feedback from clients via electronic survey.
  3. LAC will continue to offer its mandatory integrated training to managers.

Effectiveness of Information Management

  1. LAC will define and communicate comprehensive IM roles and responsibilities for all employees.
    • IM Policy (defining Roles and Responsibilities)
    • IM Awareness Plan 2011-2012 (communicating Roles and Responsibilities)
  2. LAC will regularly report progress on the IM Strategy to senior management.
  3. LAC will document all repositories of Information Resources having Business Value.
  4. LAC will put in place Retention and Disposition Schedules for these resource types across the organization: committee content types; project content types; administrative business unit content types.
  5. LAC will create a project plan for compliance with the Standard on Metadata.
  6. LAC will complete a new file plan based on institutional functions and activities.
  7. LAC will develop and approve an Internal IM Policy by the end of 2011-2012.
  8. LAC will establish a four-year plan for the completion of an Electronic Document and Records Management System and will establish the framework and requirements of a pilot implementation.
  9. LAC will develop a mechanism to ensure that no database containing personal information will be created without first having been correctly described. A Privacy Framework, a Privacy Impact Assessment Framework and accompanying policies and procedures will be developed and implemented.
  10. LAC will conduct a complete inventory of its personal information banks so as to describe them in Info Source.

Effectiveness of Information Technology Management

  1. LAC will further develop a portfolio management approach through selection, prioritization methodology, monitoring and reporting, and associated LAC IT governance structure and process.
  2. LAC will develop a list of IT key performance indicators based on industry best practices.
  3. LAC will develop an IT services program (e.g., services catalogue, service levels).

Effectiveness of Asset Management

  1. LAC is currently developing a comprehensive Custody Transfer Plan for its special purpose facilities in line with TBS direction.
  2. LAC will develop a real property management framework.
  3. LAC will develop measurable performance targets consistent with the asset inventory.
  4. LAC will link its asset management information to the financial system.

Investment Planning and Management of Projects

  1. LAC will present its Investment Plan to the TBS.
  2. LAC will begin the implementation of project management offices.
  3. LAC will initiate the identification of best practices and will begin the development of tools.
  4. LAC will initiate the Organizational Project Management Capacity Assessment that will be incorporated into the revised Investment Plan and a mechanism for assessing the Project Complexity and Risk will be formalized.
  5. LAC will further develop the IT Project Management Office.

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