Audit of Natural Resources Canada's Communication Function
Presented to the Departmental Audit Committee (DAC)
September 29, 2020
Table of Contents
Executive Summary
Introduction
In a broad sense, communication in an organization is a mechanism through which relevant information can be conveyed to both internal and external stakeholders regarding organizational policies, priorities, programs, and services. Strategic communications is defined as how an organization leverages communications to fulfill their mission.Footnote 1
The Treasury Board Policy on Communications and Federal Identity (the Policy), effective May 11, 2016, outlines the requirements for ensuring that departmental communications are effectively managed, well-coordinated, and responsive to the needs and interests of stakeholders. The Policy seeks to ensure that departmental identities are visible and recognizable, and adhere to a standardized approach. The Directive on the Management of Communications supports the Policy and describes the key requirements for departmental communications.
At Natural Resources Canada (NRCan), the Communications and Portfolio Sector (CPS) is responsible for departmental communication activities. CPS provides communication expertise/services that enable the Department to communicate its priorities, launch new programs, highlight departmental achievements, and reach audiences on the media, platforms and channels they are already engaging with – including through both digital and traditional avenues.
CPS consists of three branches: the Public Affairs Branch (PAB), the Digital and Engagement Branch (DEB), and the Portfolio Management and Corporate Secretariat Branch (PMCSB). The PAB and the DEB serve the Department in different areas of communications, whereas the PMCSB manages relations with NRCan’s portfolio agencies, and also includes NRCan’s Access to Information and Privacy directorate, and Executive Documents Unit. The range of services and products offered by PAB and DEB are broad, and the nature of these activities has evolved in recent years, as a result of an increased focus on the use of technology, data and digital communications through the web and social media.
The Audit of NRCan’s Communication Function was included in the Integrated Audit and Evaluation Plan for 2019-2024, approved by the Deputy Minister on April 10, 2019.
The objective of the audit was to assess the adequacy and effectiveness of the management of NRCan’s communication function.
Strengths
There are governance structures and mechanisms within CPS that provide direction for communication activities at the operational level. In addition, there are processes in place that support NRCan’s communication activities and needs, and facilitate compliance with government policies and guidance.
Areas for Improvement
There is an opportunity for enhanced strategic planning to outline the longer-term direction for CPS that would enable it to better plan and prioritize its activities in support of departmental priorities. There are also opportunities to engage with all sector clients on the newly clarified roles and responsibilities, and to document key communication processes, including monitoring and reporting. Some initiatives to address these areas for improvement are being developed and have supporting activities underway.
Internal Audit Conclusion and Opinion
NRCan has many of the key elements in place that enable a well-managed communication function, including governance structures and mechanisms to provide direction for communication activities, and processes to support the Department’s communication activities and needs. There are opportunities to communicate CPS’ newly clarified roles, responsibilities and service expectations to all sector clients, and to improve the effectiveness of strategic and operational planning processes to better support the management of NRCan’s communication function.
Statement of Conformance
In my professional judgement as Chief Audit and Evaluation Executive, the audit conforms with the Institute of Internal Auditors’ International Standards for the Professional Practice of Internal Auditing and the Government of Canada’s Policy on Internal Audit, as supported by the results of the Quality Assurance and Improvement Program.
Michel Gould, MBA, CPA, CIA
Chief Audit and Evaluation Executive
September 29, 2020
ACKNOWLEDGEMENTS
The audit team would like to thank those individuals who contributed to this project and, particularly employees who provided insights and comments as part of this audit.
Introduction
In a broad sense, communication in an organization is a mechanism through which relevant information can be conveyed to both internal and external stakeholders regarding organizational policies, priorities, programs, and services. Strategic communications is defined as how an organization leverages communications to fulfill their mission.Footnote 1 This definition emphasises the importance of integrating communications into all aspects of operations and considering it in all activities, to ensure alignment with organizational objectives and coherent messaging. With the increasingly important role of digital platforms, the speed at which information travels and citizens’ expectations for timely, relevant information, communications increasingly impacts policy agendas in real time – further underscoring the need to effectively leverage the power of digital in order to achieve departmental goals.
The Treasury Board (TB) Policy on Communications and Federal Identity (the Policy), effective May 11, 2016, outlines the requirements for ensuring that departmental communications are effectively managed, well-coordinated, and responsive to the needs and interests of stakeholders. The Policy seeks to ensure that departmental identities are visible and recognizable, and adhere to a standardized approach. The Directive on the Management of Communications supports the Policy and describes the key requirements for departmental communications, including the roles, responsibilities, and authorities of departmental heads of communication, and the roles and responsibilities of other government departments. Included within the Directive are Appendices that prescribe mandatory procedures for advertising, public opinion research, and social media and web communications.
At NRCan, the Communications and Portfolio Sector (CPS) is responsible for departmental communication activities. CPS provides communication expertise/services that enable the Department to communicate its priorities, launch new programs, highlight departmental achievements, and reach audiences on the media, platforms and channels they are already engaging with – including through both digital and traditional avenues. CPS provides advice to the Minister’s Office and the Deputy Minister’s Office, and works with departmental sectors to advance communication priorities; plans and coordinates communications activities; and supports issues management. They also develop products to ensure that NRCan employees and the general public have a better understanding of issues related to natural resources, and of the department’s priorities and results. In addition, CPS supports the Department in communicating how it is achieving policy and program objectives to both internal and external audiences.
CPS consists of three branches: the Public Affairs Branch (PAB), the Digital and Engagement Branch (DEB), and the Portfolio Management and Corporate Secretariat Branch (PMCSB). The PAB and the DEB serve the Department in different areas of communications, whereas the PMCSB manages relations with NRCan’s portfolio agencies, and also includes NRCan’s Access to Information and Privacy (ATIP) directorate, and Executive Documents Unit. The range of services and products offered by PAB and DEB are broad, and the nature of these activities has evolved in recent years, as a result of an increased focus on the use of technology, data and digital communications through the web and social media.
The PAB’s core activities include, but are not limited to: strategic communications; issues management; ministerial events and announcements; speechwriting; media relations and monitoring; public opinion research; and editing and translation. The DEB’s core activities include, but are not limited to: internal communications; managing NRCan’s web presence and social media; video production and photography; graphic design work; event management; production of materials and coordination for exhibits/tradeshows/events; public opinion research; managing corporate identity; managing public consultations and engagement; and advertising and publishing services.
The Audit of NRCan’s Communication Function wasincluded in the Integrated Audit and Evaluation Plan for 2019-2024, approved by the Deputy Minister on April 10, 2019.
Audit Purpose and Objectives
The audit assessed the adequacy and effectiveness of the management of NRCan’s communication function.
Specifically, the audit assessed:
- Whether there are effective governance structures and mechanisms in place that enable and provide strategic direction for communication activities;
- Whether there are effective processes that support NRCan’s communication activities and needs, and facilitate compliance with GOC policies and guidance; and
- Whether there are adequate resource planning and monitoring mechanisms in place, and that these are operating effectively to support CPS’ activities.
Audit Considerations
A risk-based approach was used in establishing the objectives, scope, and approach for this audit engagement. A summary of the key underlying potential risks that could impact the effective management of the communication function include:
- Effective governance structures that enable and define the strategic direction for the Department’s communication function and communication activities;
- Effective planning processes that align with TB Policies and outline roles, responsibilities, and accountabilities in order to enhance efficiency, coordination, and collaboration across sectors and Regions;
- Effective resource planning and allocation methods that support and sustain departmental operations; and
- Business processes that effectively and efficiently support NRCan’s communication activities and needs.
Scope
The audit focused on CPS’ ability to leverage communications to advance departmental priorities and support the Minister and Deputy Minister – including through the development of strategic messaging for use within and outside the Department.
The audit examined the period from April 2017 to November 2019, in order to include the most recent operational activities and processes. The audit did not assess the content of communications products and/or messages.
Consideration was also given to the results of previous advisory and audit projects on related topics to avoid duplication of efforts. The audit did not examine scientific publishing activities due to recent audit coverage in this area. Further, Open Government was not included in the scope of this audit, as there is an Audit of the Implementation of NRCan's Open Government Strategy underway.
In addition, the audit excluded the work of the Portfolio Management and Corporate Secretariat Branch, since the branch’s functions (policy-related work with portfolio agencies; coordination and monitoring of executive correspondence; and ATIP Secretariat) are not directly involved in the management of NRCan’s communication function.
Approach and Methodology
The approach and methodology followed the Institute of Internal Auditors' International Standards for the Professional Practice of Internal Auditing and the Government of Canada’s Policy on Internal Audit. These standards require that the audit be planned and performed in such a way as to obtain reasonable assurance that audit objectives are achieved. The audit included tests considered necessary to provide such assurance. Internal auditors performed the audit with independence and objectivity as defined by the International Standards for the Professional Practice of Internal Auditing.
The audit included the following key tasks:
- Interviews with key personnel from CPS and other representatives from sectors (and the Deputy Minister’s Office);
- Review and analysis of a sample of communication planning documents (i.e. CPS Calendar of events, Dashboard, Issues Management Chart, Funding Chart), business processes, and communication products;
- Consultation with selected federal departments and agencies to obtain an understanding of how they manage their communication function and activities, and to identify best practices;
- Administration of an internal survey, with a focus on internal communications mechanisms and processes. The survey was administered over a two-week period, and received 680 responses; and
- Focus group sessions with employees who had expressed an interest in sharing their views after the completion of the survey. The purpose of these sessions was to further explore the results of the internal communications survey.
The conduct phase of this audit was substantially completed in November 2019.
Criteria
Please refer to Appendix A for the detailed audit criteria. The criteria guided the audit fieldwork and formed the basis for the overall audit conclusion.
FINDINGS AND RECOMMENDATIONS
Governance and Strategic Direction
Summary Finding
There are governance structures and mechanisms within CPS to provide direction for communication activities at the operational level. There is an opportunity for enhanced strategic planning to outline the longer-term direction for CPS, in support of departmental priorities. Additionally, CPS should engage with all sector clients on the newly clarified communications-related roles, responsibilities, and key accountabilities.
Supporting Observations
Effective governance structures and mechanisms provide strategic direction for the Department’s communication activities. The audit sought to determine whether governance structures and mechanisms for communication activities are clearly defined, and are used to provide oversight and strategic direction to enable effective coordination between CPS, sectors, the Minister’s Office and the Deputy Minister’s Office. Additionally, the audit examined whether communication roles and responsibilities are defined, documented and communicated to all parties to ensure key accountabilities are clear.
Priorities and Strategic Direction
Within CPS, the audit team observed that governance mechanisms provide direction and coordination mechanisms for CPS’ activities at the operational level, and are intended to keep CPS staff and management well-informed of priorities of the day. CPS governance mechanisms include:
- A daily meeting between the Minister’s Office and CPS to discuss issues management, as well as the status of ministerial events and the required communications products;
- A daily priorities meeting chaired by the Assistant Deputy Minister (ADM) of CPS and attended by Directors General (DGs), Directors, Managers, and Senior officers (all CPS employees can observe);
- A bi-weekly DG issues committee meeting that provides the opportunity for sector DGs to share issues and concerns or ministerial priorities that require communications support; and
- A weekly planning meeting chaired by the Deputy Minister to discuss upcoming events and priorities.
Most oversight and strategic direction for communications activities occurs through frequent meetings at various levels of authority. Teams within CPS also have regular meetings in their divisions to stay informed and to share updates. Within CPS, there is also a quarterly Extended Management Team for CPS management to discuss the future vision for the sector, including human resource priorities such as staffing, training, and succession planning. These meetings were established at the beginning of fiscal year 2019-2020.
Efforts were made in 2018 to begin the development of a strategic communications plan that outlines the overall longer-term direction for CPS’ activities. However, overall strategies or plans that capture the results of governance discussions or set CPS long-term priorities are not in place. The audit team acknowledges that communication is a fast-paced environment that is impacted by a constantly changing landscape, which increases the complexity of long-term planning; however, in the absence of a strategic plan that supports the delivery of departmental priorities, it may be difficult for CPS to effectively manage its resources and activities in support of the Department’s communication needs. In addition, the sectors indicated that they did not have a clear understanding of the mechanisms and processes used by CPS for engaging with sectors to solicit their needs and priorities.
In an effort to strengthen relationships with NRCan’s sectors, in October 2019, CPS undertook a reorganization, which included the development of a Marketing & Accounts Team in DEB. This team serves as the main point of contact for sector clients, and is intended to work closely with their counterparts in PAB to coordinate and support sectors’ communications needs. The team also has plans to work with sectors in the new fiscal year to identify their needs and to develop a high-level marketing plan for each sector.
The audit team conducted a consultation exercise with selected science-based departments and agencies to observe how other government departments (OGDs) manage and deliver their communications activities. Based on this review, some OGDs perform strategic planning exercises on a multi-year cycle to determine their priorities for future years. These strategic planning exercises result in strategic communication documents, which guide annual planning exercises to identify key communications activities at the operational level.
The Audit of NRCan’s Strategic and Operational Planning Process, completed in April 2019, highlighted the importance of establishing an integrated departmental planning and reporting approach, including how it will support the development of a departmental strategic plan. The results of this planning and reporting approach could serve as an alignment tool for CPS to develop its own communications plan or strategy.
Roles and Responsibilities
The TB Policy on the Management of Communications prescribes mandatory procedures for which the departmental head of communications is responsible. These include: advertising; public opinion research; social media and web communications. Outside of these mandatory procedures, the Policy does not distinguish whether departmental communication functions or departmental sectors are responsible for undertaking and implementing communications activities. There is no departmental guidance that differentiates activities that CPS and sectors are each responsible for undertaking. This has contributed to a differing understanding between CPS and sectors regarding their roles and responsibilities.
The main point of contact and conduit between CPS and sectors is the strategic communications managers and advisors in the Issues & Events Management Division within PAB. As such, sector use of and access to CPS services is intended to be through the strategic communications manager and advisors, as they direct sector clients to those who can support them with their communications needs (e.g. strategic advice, execution of communication activity).
Interviews with sectors indicated that there was a lack of understanding of CPS’ suite of service offerings, and expectations regarding CPS involvement in development of sector communications plans. Sectors indicated that they would benefit from more strategic communications advice, and view the role of CPS as being responsible for executing and implementing communications plans and activities; however, this is a joint responsibility between CPS and the sectors. This illustrates the need to clarify roles, responsibilities, and service expectations.
The audit also found that in some cases, unclear expectations and the availability of CPS resources to support sectors has resulted in sectors looking to address their needs by assigning tasks to their own program staff or by procuring communication services externally.
During the course of the audit, CPS began to implement initiatives that seek to clarify its roles and responsibilities. Actions taken include: updating NRCan’s intranet site, The Source, to include descriptions of the services of various teams and units in CPS; and a series of articles published on The Source that highlight communication functions and the teams that support these functions. It is expected that The Source updateswould serve to clarify CPS’ roles and responsibilities to the sectors.
Through the consultation exercise, the audit team noted that some departments have developed guides to their communications services. Documents of this nature outline the structure of the communication function, their approach to service delivery, a description of their service offerings, and estimated times for completion.
Engagement and Consultation with Sectors
CPS primarily solicits sector needs and priorities through the Creative Services planning and production system for services such as web design, graphics, videos, exhibits and publishing needs. Sectors submit their requests through this system for review and approval. Projects are triaged and prioritized after discussions with sectors to assess what services and products can be provided to produce the greatest impact, dependent on the budget available. Requests from the Minister’s and Deputy Minister’s Office are entered into the system by Publishing staff, and are assigned a high priority; a significant amount of resources are dedicated to supporting these requests. Going forward, it is expected that the account managers on the Marketing & Accounts Team are going to be the liaison between sector clients and DEB.
Many communications products are developed in-house; however, the volume of requests and the timelines for development do not always render this possible. Oftentimes, CPS assists sectors in procuring communications services through external service providers by reviewing Statements of Work, liaising with Procurement and providing advice. Upon completion of the work, CPS will recover the expenses from the sectors. However, there have been challenges with workflow, sectors’ expectations and developing accurate cost and timeline estimates with the sectors.
An additional mechanism utilized by CPS for soliciting sector needs and priorities is the attendance of strategic communications advisors at sector management planning meetings. This allows CPS to have a representative who is aware of sector needs and can coordinate with other communications units, as required, in order to prepare and develop communication products for sectors. The audit noted that this is not standard practice across all sectors; the level of CPS’ involvement with sector strategic planning varies from sector to sector, and from program to program within sectors.
Audit interviews with sectors and regions conveyed an interest in having more two-way coordination with CPS, and some indicated that this is their expectation. From a regional perspective, having a structured coordination mechanism will enable them to make well-informed decisions. From a sector perspective, there is limited coordination with CPS. Ultimately, the use of effective coordination mechanisms and structures impacts the ability of sectors and regions to share relevant information in a timely manner in order to support informed decision making.
NRCan has a regional communications team that works in NRCan regional offices nationally, serving multiple sectors and programs. Regional communications representatives are well integrated with and involved in the strategic and operational planning of regional communication activities. However, the audit team found that there are opportunities to strengthen the coordination between the regional communications team and CPS in the National Capital Region. During the recent reorganization, this team was integrated into DEB, where they will work with the social media and Simply Science (NRCan’s online science magazine) teams on science promotion and outreach. It is expected that this change will help address coordination challenges.
RISK AND IMPACT
Without clearly understood roles, responsibilities and service expectations, there is a risk that communications-related activities will be duplicated by CPS, sectors and regions, resulting in resource inefficiencies and inconsistent quality of products and services. In the absence of a strategic communications plan, the ability of CPS to effectively manage its resources and activities and provide communications support to the sectors may be impacted.
RECOMMENDATIONS
Recommendation 1: It is recommended that the ADM of CPS communicate CPS’ newly clarified roles, responsibilities, and service expectations to all sector clients.
Recommendation 2: It is recommended that the ADM of CPS, in coordination with sectors, establish an approach for communications planning for the sector through the development of a strategic plan that sets out the priorities and direction for CPS, to improve effectiveness and support the Department’s priorities.
MANAGEMENT RESPONSE AND ACTION PLAN
Management agrees with Recommendation #1
CPS agrees with this finding. In fact, before the audit began, the sector had undertaken a significant reorganization to better integrate its strategic and digital functions in an effort to modernize, break down silos and provide an easier, clearer entry point for clients. Specifically, a new team in DEB – the Marketing & Accounts team – was set up to work hand-in hand with Analysts in Strategic Communications to provide clients with a single window for all of their needs. The Marketing & Accounts team has already taken a number of steps to communicate its newly clarified roles, responsibilities, and service expectations to sector clients.
While a number of in-person outreach and engagement events were in development as recently as March 2020, CPS has pivoted to a series of virtual events and emails to sector clients to help them understand and navigate our new structure and service offerings. For example, the CPS ADM sent emails to all her ADM colleagues with this information, while the Marketing & Accounts team began in February 2020 to coordinate meetings (in person and virtual) with sector colleagues to explain our services and processes. These emails and sessions are not simply meant to download information, but to take input received from sectors and continue refining our processes and materials in an effort to continuously adapt and improve how we work together.
An entirely new, easy-to-navigate section which explained and clarified all our communications services was posted to The Source in August/September 2019. This content has also been updated based on the latest organizational structure.
Additionally, we are planning and implementing the following targeted actions:
Cost Recovery Model
In April 2020, ADM of CPS formalized and began implementing the CPS Cost Recovery Approach that had been in development over the last 18 months. An email from CPS ADM was sent in April 2020 to sector ADMs and their Chiefs of Staff to introduce the role of the new Marketing & Accounts team and provide clear direction on how CPS would move from cost recovery on a case-by-case basis to a full cost-recovery model for outsourced products and services.
Marketing & Accounts Management
As mentioned above, following the creation and introduction of the new Marketing & Accounts team in October 2019, outreach has begun to introduce the team and demonstrate how the integration of our strategic communications and digital shops will better serve sector clients. While these are rolling out, Marketing Account Managers and Strategic Communications advisors continue to meet regularly with their sector clients on longer-term planning and/or on day-to-day communications projects. The team has also concentrated on role informing, collaboration and establishing processes within CPS.
Given the majority of NRCan employees will likely be working remotely for months to come, CPS will continue engaging with sector colleagues to communicate CPS’ roles, responsibilities, and services in an interactive way. This will also serve as an opportunity to begin building the foundation for the Departmental Annual Marketing Strategy.
Position responsible: DGs, DEB and PAB, CPS
Timing: Implementation of the CPS Cost Recovery Approach of April 2020 and ongoing. Ongoing engagement with sectors to communicate roles from February 2020 through March 2021.
Management agrees with Recommendation #2
While there is value in good and robust long-term planning, priorities in a communications shop often shift, subject to shifting political priorities, the news cycle, often-unexpected current events, and many other external factors. Strategic planning in this context has more to do with corporate functions – resourcing, service offerings as mentioned above, long-term projects such as web renewal, etc. – rather than an overall strategic plan that informs all our communications plans and products. That said, we do have an important role to play to support strategic planning across the Department, specifically to ensure that our communications products and activities are linked to the overarching direction of the Department. CPS has undertaken a number of actions to contribute to the Department’s longer-term, strategic vision. For example:
Departmental Narratives
In an effort to better set out the direction of departmental communications, CPS regularly develops and produces overall departmental narratives that help inform and guide our external communications. Last year, we produced an Energy Vision narrative to coincide with Clean Energy Ministerial and Mission Innovation, a major international Ministerial event Canada was hosting in an effort to communicate Canada’s energy vision to a range of domestic and international stakeholders. We also produced a narrative in early 2020, which laid out the Department’s priorities in the context of the Budget 2020 process. Later, in June 2020, CPS began developing a narrative, which lays out how Canada and its natural resource sectors are ideally positioned to lead an energy transformation and help Canada achieve its goal of achieving net-zero by 2050 – especially as the country begins to recover from the pandemic. The narrative, which will be completed in July, will help inform communications products going forward, including the first Departmental Annual Marketing Strategy. The development of these narratives is an ongoing, evergreen process that aligns with shifting external and political priorities. CPS will continue to develop these departmental narratives in an effort to be strategic and tie our communications plans and products to something broader.
Consulting on Budget proposals and Treasury Board Submissions
Over the last 8 months, CPS has been working diligently with the Department’s Corporate Management and Services Sector (CMSS) to be an active participant in the budget proposal and TB Submission processes. In fall 2019, CPS ADM and DGs participated in all Policy and Science Integration Committee (PSIC) meetings where Budget 2020 proposals were evaluated and more recently, CPS has been a key player in reviewing TB Submissions supporting economic recovery. Through these exercises, CPS is able to get a better understanding of departmental plans and priorities; anticipate workloads; and input into the costing process to ensure resources are readily available when needed.
Social Media Strategy & Simply Science Brand Refresh
CPS is developing a more focused and strategic approach to managing NRCan’s official social media presence. The goal is to build a stronger following, develop engaging curated content tailored to audience interests, and showcase NRCan’s science by extending Simply Science’s reach. The approach, which will be launched in September 2020, aims to better showcase our science with science-specific platforms, strong visuals, storytelling, all while measuring performance and adapting to our audience.
In preparation for the launch and to help sustain the momentum after, CPS will look for ways to engage more closely with NRCan’s scientists and experts, possibly including a focused town hall and workshops to support scientists on how to use social media for their work. The development of this strategy will also inform the strategic marketing and communications planning exercise.
Strategic Marketing & Communications Planning Exercise
CPS intends to develop a Departmental Annual Strategic Marketing Plan in close collaboration with sector colleagues. Due to the delayed 2020 Budget and its effect on key projects and programs, CPS is undertaking a phased approach to our strategic planning. Phase 1, underway as of April 2020, provides an opportunity to establish roles, meet with senior management and key communications players from each sector to discuss their priorities, target audiences, overarching narratives and communications goals, particularly in the COVID context, and use this data to begin developing the marketing plan structure.
This will set the team up for success in Phase 2, which will begin post-Budget 2020 (likely Fall/Winter 2020). Working hand in hand with their strategic communications colleagues, Marketing & Accounts will be equipped to use the information gathered from sectors as the foundation of a more comprehensive communications and marketing plan for the Department, in alignment with Government of Canada priorities and NRCan mandate.
Position responsible: DGs, DEB and PAB, CPS
Timing: Departmental narrative to be complete in July 2020. Consulting on Budget proposals and TB Submissions began in October 2019 and will be ongoing moving forward. Launch of the science-focused social media strategy in fall 2020. The development of the first Departmental Annual Strategic Marketing Plan to begin in March 2021 and will be ongoing.
Communication Processes
Summary Finding
There are processes in place that support NRCan’s communication activities and needs, and facilitate compliance with government policies and guidance; however, these processes could be better defined and documented. There is an opportunity to enhance monitoring and reporting processes to help enable informed decision making for operational planning and resourcing.
Supporting Observations
Documentation of processes and procedures helps to maintain consistency in service delivery, and provides guidance and training to employees. Monitoring of activities creates a baseline for performance measurement and provides information to senior management for planning and decision making. The audit sought to determine whether there were effective planning and monitoring processes to guide the direction of the Department’s communication activities, and whether there was regular engagement and consultation with the Department and sectors. The audit also examined whether processes were developed, implemented, and operating as intended to enable communications staff to effectively fulfil their duties and to manage the administration of the communications function.
Planning and Monitoring
CPS has created tools for tracking the process and development of communications products for events and announcements. Key performance indicators such as web traffic and volume of downloads are tracked for some major campaigns, but not all communications activities. The analytics team within the DEB reports on digital communications data and provides training on the purpose and use of analytics. This team has been working to support data-driven decision making within CPS, such as providing insight for the redesign of the departmental intranet (The Source). The team has developed a draft analytics approach for communications activities.
The audit team found that there is no performance measurement framework or process in place for regular monitoring of communication activities. The monitoring and measuring of performance for key activities can support informed decision making on operational planning and resourcing.
Resourcing and Human Resource Planning
CPS’ Operations and Maintenance (O&M) budget and employee salaries are funded through a combination of permanent (A-based) funding, and temporary (C-based) funding allocated to programs and initiatives through Federal Budget commitments. Financial planning and budgeting is conducted at the divisional level, where CPS Directors and DGs meet regularly with the ADM’s Office to discuss staffing and budget needs. Operational planning is based on departmental priorities, and without an overall strategic communication plan, it is difficult to align operational financial planning and budgeting activities with departmental priorities.
In order to help plan and manage its resources better, CPS initiated a pilot project for cost recovery with certain sectors in fiscal year 2019-2020. The costs for five externally incurred expenses (e.g. accessibility of web publications over a certain word limit; translation and editing of publications over a certain word limit; hardware costs for physical banners and displays; logistical costs for events and conferences; and printing costs for physical items) would be recovered from the sectors on a case-by-case basis. This was communicated to sector ADMs with an accompanying dashboard that depicted the sector’s publishing requests and cost estimates for the fiscal year. The intention is to use this model to help sectors better plan based on an understanding of CPS’ estimated service costs. At the end of the audit conduct phase, this initiative had yet to be fully implemented for all sectors.
In order to ensure that appropriate measures and adequate resources are recommended to meet planned communications objectives for departmental programs, CPS is required to functionally review all departmental Memoranda to Cabinet (MC) and TB submissions. These two processes are managed by the Strategic Policy and Innovation Sector and the Chief Financial Officer respectively. Having sufficient time and resources for these processes has been a recognized challenge for all functional reviewers, including CPS.
The audit team confirmed that although CPS has specific roles as a function reviewer for the development of MCs and TB submissions, not all sectors consult with CPS during the development of the submissions. Proactive involvement from CPS in the MC and TB submission review process and collaboration with sectors to ensure they are carefully considering and framing their communications requirements would help ensure that appropriate measures and adequate resources are recommended to meet planned communications objectives, as per the requirements of the Directive on the Management of Communications (Section 6.8). Additionally, early involvement would enable CPS to plan and budget their own resources and priorities accordingly, and the sectors would benefit from receiving CPS’ strategic advice at the early planning stages of program development.
CPS has developed a Human Resource (HR) Strategy, which was shared with management at the April 2019 Sector Extended Management Meeting. The presentation of the Strategy included a discussion on sector goals and a sector training plan for the fiscal year. The Strategy demonstrates that CPS management is taking steps to improve HR planning processes. At the end of the audit conduct phase, CPS was working towards developing an Information Services (IS) specific development program to be launched in fiscal year 2020-2021. The timely implementation of a comprehensive HR strategy would help to support and sustain CPS operations effectively.
The Audit on Human Resource Planning, completed in October 2018, emphasizes the importance of establishing appropriate HR planning processes. Implementing recommendations from the audit will enable CPS to define its resource needs to help fulfil its communication responsibilities.
Communication Processes
Issues & Event Management
The Issues and Events Management Division consists of five strategic communications teams that provide communications support to the Sectors for ministerial events and stakeholder engagements. The teams play the lead on all communications products for the events, with the strategic communications advisors also acting as the conduit or point of contact between their sector clients and the other communications units and services in CPS.
The audit team found that there are no formally documented processes for the Issues & Event Management Division. The importance of documented processes is heightened due to the critical role of the division in coordinating communications activities within the sector and across the Department.
Social Media
Departmentally, NRCan has a presence on various social media platforms. In addition, NRCan senior management use social media to promote the Department’s activities and initiatives. The Social Media Unit is responsible for managing NRCan’s official social media accounts on Twitter, Facebook, LinkedIn, Instagram and YouTube. The team manages content creation and delivery to the Department's official social media channels and coordinates the development of social media postings to maximize reach and secure approval for additional social media channels. When required, the team will coordinate with other CPS units and branches to develop and obtain approval for content. The use of these digital platforms enables the Department to promote a variety of information regarding Canada’s natural resources, to engage with users and conduct live streams of events and important project launches, and to highlight the research and fieldwork done by NRCan’s scientists.
The audit team found that some processes have been developed and implemented for the management of social media. The processes are operating as intended, and enable staff to fulfil their duties. The audit examined NRCan’s official social media accounts and found that they were in compliance with TB policies and directives. As the Department increases its use of digital communication to reach a broader audience and to better engage with stakeholders, documentation of all key processes, including the consultation with sector clients, could help maintain sustainability of operations and consistency in service delivery.
Internal Communications
Internal Communications refers to Department-wide communications disseminated through NRCan’s official communication channels, such as NRCan’s intranet site (The Source), all-staff emails, and digital displays installed in common areas of NRCan buildings. The audit team found that while formalized, documented processes for internal communications exist, they are limited in nature; those that are documented are clear and support the execution of the related internal communications activities. The audit team also noted that process documents do not cover the whole range of services provided by Internal Communications, and are not updated on a regular basis. Some progress is being made in this area, specifically with the introduction of a proposal to guide the use of All-Staff emails. CPS has also indicated that they are considering developing new processes to reflect revised operations, but are currently focused on addressing operational challenges.
The audit team conducted a Department-wide internal communications survey to ascertain whether information provided by CPS as well as communications modes and frequency meet employee needs. The audit team found that respondents were generally satisfied with the frequency (60% agreed) and timeliness (53% agreed) of internal communications indicating that it met their information needs. Respondents indicated that they felt informed on the achievement of the Department’s people and projects (60% agreed), and services and resources (51% agreed), but less informed on departmental plans and results (39% agreed). The 2019 Public Service Employee Survey asked respondents whether they felt that their “department or agency does a good job of communicating its vision, mission and goals.” NRCan had a 62% positive response (strongly agree or somewhat agree), which is unchanged from the 2018 survey results on the same question. For NRCan’s internal communications, survey results indicated various views on the quality of communications, whether this was meeting information needs, and whether departmental communication to employees considers the different needs of diverse groups of people. In terms of tools and channels used to communicate with departmental employees, most preferred the All-Staff email approach.
In tandem with the internal communications survey, the audit team held focus group sessions with interested employees to ascertain how their information needs were being met by CPS and their views on communications modes and frequency. Focus group participants indicated that the volume of information received may cause employees to disconnect from all internal communications received (e.g. a level of disinterest due to a feeling of being overwhelmed with information). Participants felt that information should be prioritized based on what employees want and/or need to know, with the ability to subscribe to topics of interest. Overall, it was indicated that internal communications could be more concise, consolidated, and streamlined. However, generally, participants’ information and communication needs are being met. Participants highlighted that communication tools and channels were working, but that greater consideration should be given to enabling access to information with ease, the volume of information communicated, and the ability to customize information tailored to user needs. The audit team noted that the views of the focus group participants may not represent the views of the majority of survey respondents.
RISK AND IMPACT
Without developing and monitoring key performance indicators and the proactive involvement with sectors in the MC and TB Submission process, there is a risk that decisions for planning, prioritizing, and resourcing communications activities may not align with Department’s strategic objectives. Proper documentation of all key processes, including the coordination with other CPS teams, is necessary for effective and efficient operations, maintain consistency in service delivery, and provide guidance and training to employees.
Additionally, the lack of sufficiently updated and documented processes may not allow for the sustainability of CPS’ operations, the retention of corporate knowledge, and effective employee training on the performance of their duties.
RECOMMENDATION
Recommendation 3: It is recommended that the ADM of CPS establish an approach for operational planning for the sector through:
- the development and implementation of a performance monitoring framework for communications activities;
- proactive involvement in the MC and TB submission review process and collaboration with sectors to ensure they are carefully considering and framing their communications requirements so that adequate resources are recommended to meet planned communications objectives; and
- the development and documentation of processes for key communication activities.
MANAGEMENT RESPONSE AND ACTION PLAN
Management agrees with Recommendation #3
- The Marketing & Accounts team sets key performance indicators at the beginning of any new communications initiative, working closely with the analytics, web, social media, engagement, strategic communications and regional communications teams to measure the performance of each campaign. As we move from campaign to campaign, the team will be amassing lessons learned to be applied in future campaigns. They will also maintain a repository of campaign reports to inform future campaigns with similar audiences and tactics.
While it can be challenging to accurately measure the impact of traditional ministerial announcements, the COVID context may allow for greater performance measurement opportunities as virtual events become the norm. CPS will look to develop and track key performance indicators for virtual events moving forward.
Position responsible: DGs, DEB and PAB, CPS
Timing: Using the data and lessons learned gathered, the team will be positioned to establish a more formal framework as part of the development of the departmental annual marketing strategy beginning in March 2021 and on. - CPS agrees that it is important for true communications requirements for new initiatives to be carefully thought out and planned at the MC and TB Submission phase, so that adequate resources can be identified. Success in this regard requires that sectors reach out to CPS early on in the process of developing a new program or policy, so that CPS can provide its advice and adequately plan to support communications needs.
CPS has done significant work this year to ensure adequate communications resourcing in NRCan programs by actively participating in departmental budget planning in fall 2019 and the TB Submission process. This resulted in a robust review and update of CPS’ costing packages for communications services offered to sectors. In December 2019, CPS worked with CMSS to implement a 1.4 percent allocation of program salary costs and program O&M towards communication activities; in addition, as part of Budget 2020 proposals, $150K was allocated towards economic stimulus proposals (including additional full time employees as appropriate). Additionally, the new cost recovery approach for external expenses was communicated to all sectors and ADMs in April 2020, and work continues to ensure sectors understand the new process through regular client meetings on communications initiatives and informal discussions. This will be further reinforced by the Sector Management Committee presentations to be rolled out as of January 2021 and ongoing.
CPS will continue to work closely with CMSS counterparts at all levels to maintain a line of sight on TB submissions in development across the department, and retain the ability to review all funding requests for communications considerations.
Position responsible: DGs, DEB and PAB, CPS
Timing: October 2020 and ongoing. - The updating of digital, creative, marketing and engagement processes, which began in fall 2019, is already well underway, with many of these residing on CPS intranet pages. As of spring 2020, the team is making concerted efforts to ensure all internal processes are housed within newly developed shared drives for ease of access.
On the public affairs side of the team, an effort to ensure the latest media lines are organized and stored on a shared drive began in Summer 2019 to ensure members of the team working on different files (e.g. media relations, strategic communications, parliamentary affairs, etc.) all have access to the most up-to-date and accurate information. Beginning in March 2020, the COVID context has also required the development of additional process documents and standards, such as a virtual event check list. Additional guidance documents, such as approval processes, are also regularly updated and shared with the CPS team.
Position responsible: DGs, DEB and PAB
Timing: This process began in March 2020 and will be ongoing.
APPENDIX A – AUDIT CRITERIA
The audit criteria were developed primarily from the key controls set out in the TB Core Management Controls, the TB Policy on Communications and Federal Identity, and the associated Directive on the Management of Communications. The criteria will guide conduct phase activities and will form the basis for the overall audit conclusion.
The objective of the audit was to assess the adequacy and effectiveness of the management of NRCan’s communication function.
The following audit criteria were used to conduct the audit:
| Audit Sub-Objectives | Audit Criteria |
|---|---|
| Sub-Objective #1: To determine whether there are effective governance structures and mechanisms in place to enable and provide strategic direction for communication activities. |
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| Sub-Objective #2 To determine whether there are effective processes that support NRCan’s communication activities and needs, and facilitate compliance with Government of Canada policies and guidance. |
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| Sub-Objective #3 To determine whether there are adequate resource planning and monitoring mechanisms in place, and that these are operating effectively to support CPS’ activities. |
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