Inform ation Access and Protection

3rd Floor, Commerce Place

Service Alberta 10155-102 Street
Edmonton, Alberta, Canada T5J 4L4
Telephone: 780-422-2657
www.alberta.ca

October 13, 2015

File: SRS 2015-G-0015

James Johnson
5th floor, Federal Building
9820 - 107 St NW
Edmonton, AB T5K 1E7

Email: James.Johnsonffiassemblv.ab.ca

Dear Mr. Johnson:

Re: Freedom of Information and Protection of Privacy (FOIP) Act

This is in response to your request to Seniors, under the FOIP Act fo r the follow ing records:

All current formal written policies that apply to all program areas within the Department.
Time fram e: Current as of August 20, 2015

On September 22, 2015, you excluded policy #COQ605.02 (Contract Policy) as this document
was provided to you in response to FOIP Request SRS 2015-G-0016.

Seniors is pleased to provide full access to the requested records. The decision to grant full
access was made by the delegated authority at Seniors. A copy o f the records is enclosed.

Please be advised that Seniors follows corporate Government o f Alberta policies, procedures
and guidelines and have developed the attached policies to provide fu rth e r guidance to Seniors'
staff. Additional financial and human resource policies can be found on the Treasury Board and
Finance and Corporate Human Resources websites.

You have the right to ask the Office o f the Inform ation and Privacy Commissioner (OIPC) to
review any decision made in regards to a FOIP request under section 65 o f the FOIP Act. To
request a review, you must complete and deliver a Request fo r Review form w ith in 60 days to
the OIPC at 410, 9925 - 109 Street, Edmonton, Alberta, T5K 2J8.

The form is available under the "Resources" tab on the OIPC website at: www.oipc.ab.ca or you
can call them at 780-422-6860 or to ll free at 1-888-878-4044 to request a copy o f the form .

.../2
Mr. Johnson SRS 2015-G-0015
Page 2

If you request a review, please provide the OIPC w ith a copy o f your original request, any letters
o f clarification, a copy o f this le tter and the reason w hy you are requesting a review. Your
request fo r review should not contain any inform ation you do not wish to exchange w ith other
parties.

Cited sections o f the Freedom of Information and Protection of Privacy Act can be found at:
http://w w w .servicealberta.ca/foip/legislation/foip-act.cfm

If you have any questions, please contact Meghan Stewart, Access and Privacy Advisor by
telephone at 780-641-9899, by fax at 780-427-1120 or by e-mail at meghan.stewartfSigov.ab.ca.

Sincerely,

„ , P Services

Providing FOIP Services on behalf of: Agriculture and Forestry, Culture and Tourism, Seniors, and
Service Alberta.

Enclosed: 40 pages
 j* Seniors

Policy #
Policy Title
IT0605.2
Wireless Equipment I
Approved By Deputy Minister - Ernie Hui Signature

POLICY and SCOPE

1. This policy will provide direction to the program areas around wireless voice and data
equipment and offer guidelines with reference to the:
• Administration
• Acquisition/Disposal
• Usage/Maintenance
• Security

For the purpose of this document, "Mobile devices" refers to smartphone phones (cellular and
satellite), pagers, tw o -w ay devices, laptop, and tablets. “Mobile services" refers to direct services
that enable the mobile device operator to connect their mobile device to mobility services.

2. This policy is consistent with the Government of Alberta telecom guidelines established by
Service Alberta - Administrative Services Council.

3. The Financial Services Branch (FSB) and Information Technology Branch (ITB) will liaise
with the program areas, service providers and respective Service Alberta Service
Coordinators, to guide the acquisition of cost effective voice and data equipment,
applicable rate plans and inventory management systems.

Equipment and corporate rate plans established by Service Alberta (SA) will be viewed as
the department preferred standard.

Employees will acquire only equipment that is the Department standard, except where
doing so would negatively impact on service delivery. All exceptions must be approved by
Chief Information Officer

4. Wireless equipment may be issued to an Employee, for exclusive or shared use, when
there is an identified need for conducting government business when:
• Responding to operational emergencies.
• Frequently away from their worksite and required to be on call or readily accessible.
• There is no access to a traditional phone and the use of a calling card is not feasible.
• Wireless access to the network is required.
• Compliance with the Working Alone Safety legislation is required.

5. An Employee must receive prior approval from an Expenditure Officer to acquire

equipment and the associated plan, or when requesting reimbursement upon incurring
expenses on personal equipment.

Policy #: IT 0605.2 Wireless Equipment Revised: Page 1 of

SRS 2015-G-0015 0001

 6. A W ireless Requisition Form (https://forms.qov.ab.ca/: must be completed, on each
occasion when:
Equipment • Leased/Purchased
• Lost/Stolen/Surplus
• Returned/Transferred/Upgraded
Rate Plan • Upgraded (Optimize)
Service • Contract/Re-Contract
• Canceled/Temporary Suspension (Lost/Stolen/Vacation Disconnect)
ESN/Wireless Number • Changed

7. Equipment shali be acquired in accordance with the Direct Purchase Administrative

Practices established by Regulation and adopted by the Department as standard
procurement practices.

8. Equipment that is no longer required, or is not functional and not repairable, must be
disposed of in accordance with the Disposal of Assets policy. Damaged equipment must be
assessed for repair before a replacement or upgrade is considered.

9. W hen equipment is lost or stolen, the employee must immediately contact the Service
Provider, W reless Account Authorization Coordinator (WAAC) and/or Service Request
Coordinator (SRC) to temporarily suspend the service and billing, deactivate the device
and/or data purge (as required).

10. Security must be enabled on all wireless equipment.

The Employee is responsible for safeguarding assigned equipment, including all

information stored in the electronic memory (e.g. e-mails, phone numbers, pictures, etc.),
prior to exchanging, repairing, returning or surplusing the equipment.

Ail images and data are considered a record and are subject to disclosure, in accordance
with the Freedom of Information and Protection of Privacy (FOIP) Act.

II. PROCEDURES
Requestor (Employee)
• Branch Administrator will complete and submit an Application for Mobile Device form for
the requesting employee and submit to their Expenditure Officer (EO) for approval. The
EO will review the equipment and rates information for the following service providers:
• Telus Mobility
• Bell Mobility

SRS 2015-G-0015 0002

Expenditure Officer
• Ensure that the equipment model, rate plan type and contract are cost effective and
appropriately relative to business requirements.
• Review and approve the form.
• Forward the completed form to WAAC for your area.
• Review and approve the Electronic Payment System (EPS) and manual invoices.

WAAC/SRC
• Once the signed form is received from the Expenditure Officer, the WAAC will process the
form in the Electronic Ordering System (EOS).
• WAAC will request products (i.e. iPad, tablet, Blackberry, iPhone, Sim card) and select the
type of plan required for the selected device.
• Once the device is obtained, where the W AAC and SRC are different, the WAAC will notify
the SRC to process the Service Request (SR) to activate device.
• Employee will be provided with set-up instructions via email.

Finance
• Liaise with the W AAC’s of program areas and SA in identifying equipment standards and
rate plans, and provide advice to program areas on managing inventory and monitoring
expenditures.

Roles and Responsibilities:

1) The use of smartphones, including iPads, iPhones and Blackberries, is subject to the
following established GOA policies and regulations:

• Mobile Wireless Products and Services (MWPS)

• GOA Code of Conduct
• Internet and Email Usage
• Chief Information Security Office (CISO) Security Directives
• Record Management Policy & Regulation

2) All information users:

• are accountable for actions associated with their access and privileges and shall employ
reasonable measures to protect Ministry information and technology assets.
• will use information and technology assets for the purposes for which they have been
assigned and in accordance with the conditions established.
• utilizing Ministry information and technology assets for personal use must do so in
accordance with the Use of Government of Alberta Internet and Email Policy and this
use must not interfere with performance of regular business duties.

SRS 2015-G-0015 0003

• shall not tam per with or circumvent established security controls.
• shall report immediately all security information and technology asset incidents
• shall participate in annual Government of Alberta security awareness training.
• are not afforded explicit or implied expectations of privacy for personal information,
including email stored on, processed with or transmitted by Ministry information technology
assets.
• should reimburse the Ministry for accumulated personal charges that exceed $100
annually. Employees are responsible for tracking their personal usage.

Refer to Appendix 1 for Mobile W ireless Device Guidelines for travelling.

3) Under the Alberta Distracted Driving law, it is illegal to use a hand-held mobile device
while driving.

• Although hands-free devices (using headset or speakerphone) are allowed, it is not

encouraged. For more information, visit:
http://www.transportation.alberta.ca/distracteddriving
• Cell phones and other devices are a distraction and increase the risk of collision. Safety
tips from Transport Canada http://www.tc.ac.ca/roadsafetv/ include:
• Letting callers leave a message.
• If there are passengers in the vehicle, let one of them take or make the call
• If you're expecting an im portant call, let someone else drive
• If you have to make or receive a call, look for a safe opportunity to pull over and
park.

Contacts
For smartphones, tablets and laptops, consult your WAAC representative on the devices
available. If you are having issues with an existing device, contact the service desk.

GoA Service Desk

780 427 1462
GOA.servicedesk@qov.ab.ca

LAN Service Desk

ServiceDesk@aet.aov.ab.ca
780 422 1100

Service Alberta Telecom - for cellphones and wireless services

sa.wireless.telecom@qov.ab.ca

SRS 2015-G-Q015 0004

 Appendix 1

Mobile Wireless Device Guidelines while Travelling

• Mobile W ireless Devices (i.e. Blackberry, iPad) can consume data while on and not
being used while on. This can happen when the mobile device is receiving pushed
email or when applications update automatically (e.g. weather app which updates the
forecast).

• W hen travelling, use W -F i where available (e.g. hotel, coffee shop, restaurant, etc.) as
it works well and is almost always cheaper and faster than roaming. If W -F i is not
available then use the cellular data. Caution should be exercised while using cellular
data as, as it can be very expensive in some countries.

Changing the Data Roaming Settings

Data roaming is off by default on most devices. This means that the cellular data will not work.
In order to turn data roaming on, see below:

• iPhone/iPad
W hen you need to check emails or access internet, go to Settings ->
Cellular Data->Turn data roaming on. Once done, turn data roaming off. It is
recommended that it is left turned off most of the time when W -F i connection is not
available. This will help ensure that there is no data trickling in the background when
not in actual use.•

• Blackberry
On the home screen click “Manage Connections" icon. Scroll down to “Options and
Status” section and click “Networks and Connections”. This is where “data services”
and “roaming” functions" can be turned on and off. It is recommended that it is left
turned off most of the time when W -F i connection is not available. This will help ensure
that there is no data trickling in the background when not in actual use.

SRS 2015-G-0015 0005

 Anthority Matrix -
November 2014
SRS 2015-G-0015

Activity CemUmabm Authority

Annual Accommodation Budget Infrastructure Policy
Submission
Accommodation request-RF A
(new or additional space)
Accommodation request -
Protect Approval Request (WS)
Accountable advances
Deputy Minister
Division Head* and Manager, Strategic
Administration Services
Senior Financial Officer
Accountable Advances Type B: used for specific trip, Type B (Temporary Advance):
to Employees Directive to be returned within 30 days o f Employee’s Expenditure Officer
-Treasury Board completion of trip.
Directive 09/82 (as
amended by 04/88) An out-of-province/countiy
travel authority form approved
by the Deputy Minister must
accompany requests for
advances for out-of-province
and country travel.
Departmental Type C: Alberta Treasury Type C (Petty Cash): Senior Financial
Accountable Advances Board and Finance requires Officer and Deputy Minister
Directive - Treasury Deputy Minister approval and recommendation and Alberta Treasury
Board Directive 06/83 therefore this function cannot Board and Finance approval
(as amended by 02/88 be delegated.
and 14/94)

Approved by Deputy Minister. Date: ~*><‘rr>in H r * , M (.

itpoABtn/ccuyid
* umsod non m m ■ pouuun 11121
a wvi i . i — w — j -- - — -■

Activity
Accounting Officer designation?! Financial
and cancellations
Aircraft Use (Government
aircraft or private charter)
Approved by Deputy Minister.
• Division H a d m o m • position d a l reports d b ee ty to
Alberta Seniors
A«thaHty
November 2014
Administration Act
Section 38; Financial
MHWHganeat Manual
Policy for the U « of
Air Transportation
Service md Charter
Aircraft dated October
1,2014
* Arfmhifalnallaii A*ArW«i
Autkortty
Financial Admimatraliop Act Senior Financial Officer recommendation
requires Deputy Minister and Deputy Minister approval
approval-cannot be delegated,
Use of government and charter aircraft -
Use of Government aircraft and Premier
charter aircraft is prioritized as
follows:
Request for use of government and charter
Category 1 - Emergencies aircraft recommended by:
Category 2 - lieutenant Category 1 - Minister and appropriate
Governor emergency personnel (refer to TBD)
Category 3 -Premier Category 2 - Lieutenant Governor or
Category 4 - Members of designate
Executive Council Category 3 - Staff of Premier authorized
Category 5 -Employees by Office of the Premier
authorized by the Minister Category 4 to 6 - Minister or designate
Category 6 -Other
governments authorized by foe
Minister
Approval is based on
appropriate use, cost
effectiveness, aircraft
availability and absence of
scheduled commercial service.
Date: »<•

SRS 2015-G-0015
Activity
Assignment of Crown Debts-
Payroll Garnishees
Attractive Assets Report
(confirmation of Attractive
Assets listing every November
30 for audit purposes)
Bank accounts
Budget Transfers - Transfer of
Administration
Alberta Seniors
Anttorfty M itrfa- FhmnHil A Adialnhlrrttw AdM fla
November 2014
f ttfifnlfnw vguMMh** Authority
Payroll Garnishees must be Accounting Officers
supported by legal Deputy Provincial Treasurer
Financial Management Expenditure Officer ensures Division Head*
Manual attractive assets have been
recorded.
Financial New accounts: Branch Head, Senior
Administration Act Financial Officer, and Alberta Treasury
Section 15 Board and Finance.
Changes: Branch Head and Senior
Financial Officer
Government Inter-departmental:
Organization Act, requires signed agreement Deputy Minister and Senior Financial
Financial Management between ministries. Officer
Manual
Transfers within the Ministry:
Division Heads*
Date:
 Alberta Senion
Authority Matrix - Ftnandal &Administrative Actfvtttos
November 2014
SRS 2015-G-0015

Acitvtip CoutUttuh1—i Authority

Budget Transfers - Transfer for
Administration Agreements
Financial M uy-iw nt Agreement «*nwhh»nthe Deputy Minister or Senior Financial
Manual receiving Mhnstiy to expend Officer.
funds on behalfof another
Ministry for purposes that it has
the expertise, for example,
delivery of a construction
project by Infrastructure on
behalf of Seniors.

Compromise of Amounts Owing Compromise of Department:

Amounts Owing Amounts up to $250,000: Deputy Minister
Directive - Treasury
Board Directive 4/2014 Amounts over $250,000: Treasury Board
Alberta Social H oning Corporation:
Highest ranking executive officer of the
corporation
Disposal of Amounts Owing Disposal of Amounts Hus is money payable to the Minister of Finance may dispose of
Owing Directive - Minister o f Finance and overdue amoimts by selling them.
Treasury Board transferred to Crown Debt
Directive 13/1994 Collection.
Contracts Financial New Accountability Act will Contracts up to SIMMMO: Directors
Administration Act provide additional direction for
Section 78; Treasury sole sourced contracts. Contracts up to S25(MM)0: Executive
Board Directive 02A)5, Directors
Financial Management
Manual ✓ Contracts up to Sl^OMMMO: Division
Head*
Approved by Deputy Minister_______________ 'J b /- __________________________ Date: ------ l .r
• DtvWna Head a position flat report* ifirectly to the
 AnflHwHy M ifrta —Thwnrfnl A A drilM llttw A dhM tl
November 2014
SRS 2015-G-0015

i<e(Mb LegMatba/Guiddtne Aa&ortty

Contracts over Sl^MMNMh Deputy
Minister
All Sole Sourced Contracts:
Deputy Minister..

Daily car allowance Employees are eligible for the Deputy Minister authorizes the allowance.
Travel, Meal and daily car allowance if a
Hospitality Expense personal vehicle is used on
Directive - Treasury government business for
Board Directive frequent short trips on a daily or
04/2012 near daily basis within any city
in Alberta (near daily implies 4
out of 5 days require travel).
Approval from Deputy Minister
should be on file.
Donations/tax receipting Income Tax Act
■ Cash Senior Financial Officer
» Gifts in Kind Branch Director and Division Senior Financial Officer
Head* must authorize prior to
the acceptance o f gifts in kind
and ensure that donated gifts in
ldnd are within the mandate of
the Ministry. There must be
Approved by Deputy Minister.. Date: Z6Ul
uiYwOfl itcra PCB8 1 pranton ebb ycpowi oitBccy p
 Alberta Sorfon
Authority Matrix - Financial A AdmlnhtrallTc Acttvtilm
November 2014
SRS 2015-G-0015

Activity Authority
sufficient budget authority to
cover the value of the item
firing dnmrtait
A gift in land is recorded as an
expense at its fair market value
and offsetting revenue is
pmeaweil m ttwwrinn incruna.
Ex-grcOia payments and Settlem ent n f C laim s A Claim is a claim for money Settlement of Claim;
Settlement o f claims - Directive - Treasury against the Crown where either Up to $230,000: Deputy Minister
Board Directive the legal obligation to pay or
03/2014 die amount required is Over $230,000: Treasury Board
uncertain (but not a claim
arising from termination of Ex Gratia Payments:
employment). Up to $100,000 - Minister or Deputy
An Ex Gratia Request is a Minister
request fin' money from the Over $100,000: Treasury Board
Crown where there is no legal
obligation to pay, excluding a
grant request
No Claim may be settled to the
extent Risk Management Fund
coverage is available.
 Alberta Seniors
Authority Matrix - Ftnandal &AilmlBblntlive Activities
November 2014
SRS 2015-G-0015

Activity
Expenditure Officer authority
Expenditure Officer signing
limits
Financial An Bxpendinire Officer (BO) is
Administration Act given tegifllarivt! authority to
Section 37, Financial initintwiml nppnmm<1tahnepaiimnt
Management Montml, of governmentfunds and is
Security Screening accountableto the Deputy Minister
Directives. fordie transactions approved.
Financial Management All signing limits must be
Manual within budget
Contract invoices are ecaqpf fimn
the authority limits whan tbs
contracthas bean signed in
accordance with contract approval
levels.
Authority
New Designation: Division Head*,
Senior Financial Officer and Deputy
Minister.
Amendment of Designation: Division
Head* and Senior Financial Officer.
Cancellation of Designation: EO’s
supervisor and Senior Financial Officer
Invoices up to $75^000: Managers
Invoices up to $150^)00: Branch
Directors
Invoices up to $250,000: Executive
Director.
Invoices op to $1,000,000: Assistant
Deputy Ministers
Invoices over $1,000,080: AtSUtec:
Deputy Ministers

Date;
 Alberta Seniors
flnllwillji Malili Flasm lalI M a b W n llii ftilliilllin
November 2014
SRS 2015-G-0015

Activity Authority
Government vehicle availability Risk Management & Generally, driven selected Government employees: Divkaon Head
■ non-public servants should have the appropriate
■ overnight use driver’s license and possess a AD ether actMttei: Deputy Minister
■ passengers who are not Infrastructure minimum of three years driving
on government business experience. Exceptions: Deputy Minister
■ government employees.
Driven selected should not
have more than six demerit
points and no criminal code
convictions. A driver’s abstract
must be provided.
Personal use of a government
vehicle will result in a taxable
benefit to the driver.
Vehicles may be issued to
employees if they travel IS,000
or more kilometres per year on
Ministry Business
 Alberta Senion
Authority Matrix - Financial A Administrative Activities
November 2014
SRS 2015-G-0015

Activity SnliM w ConsidrrattBia Authority

Giants Alberta Heath Grant Minister can formally delegate Alberta 8odal Housing Corporation:
Regulation this authority via Ministerial * Approval-Minister
Alberta Social Housing Olden
Act and related ■ Payment - Minister
Regulations Department - Program Grants:
* Approval-Minister
Seniors Benefit Act and ■ Payment-Minister
General Regulation
Alberta Seniors Benefit
Financial ■ Approval - Senion Benefit Act
Administration Act General Regulation
■ Payment-appropriate
Government Expenditure Officer
Organization Act
Financial Management
Manual
Hospitality expenses/woriring Travel, Meal and All hospitality expenses, HOSPITALITY
sessions/corporate events Hospitality Expense working sessions and corporate Up to and Indndfaig $500, inefawMng
Directive - Treasury events must be pro-approved. cost overruns:
Board Directive Events costing more than $200
04/2012 must be formally approved Branch Director
Public Disclosure of prior to the event.
Travel and Expenses Up to $600, tadadingeosi overruns:
Directive-Treasury Division Head*
incurred where food and
Board Directive
beverages are provided to
03/2012 $600 and over, indndlng cost overruns:
guests as a matter of courtesy or Deputy Minister
to facilitate government
business.
Approved by Deputy Minister:_______________________________________________ Date: ^ ?■-tty
• Division H eat m em * • p ortion Hut report* directly 10 the
 Alberta Seniors
AnthoHty Matrix - F h n tM A Administrative AdhrMa
November 2614
SRS 2015-G-0015

Activity
Interest on overdue accounts
Working sessions are defined as
any event where a claimant
incurs a non-travel meal
establishment while in the
course of conducting
gniMwnBil hin'mM. No
alcohol to be included
Corporate events are activities
or events that are planned in the
course of conducting
government business, excluding
establishment
Deputy Minister’s approval
threshold corresponds with the
requirement to publish all
hospitality expenses for $600
and over in the Alberta Gazette.
Treasury Board Interest on utilities that are
Directive 04/85 required to be paid, by
amended 15/94 legislation are exempt from the Up to $5^000: Deputy Minister
approval process.
Authority
WORKING SESSIONS AND
CORPORATE EVENTS:
Up to and fadwHng $500, indnding
cost ovemms: Branch Director
Up to $1,500, indnding coat overruns:
Division Head*
$1,500 or oven
Deputy Minister
AO events indmUng abahob
Minister, Associate Minister, or Deputy
Minister.
Up to $250: Senior Financial Officer
Over $5^000: Treasury Board

Dale:
 AlbertB Sedan
Authority Matrix - Financial A Administrative Activities
November 2014
SRS 2015-G-0015

Activity CmukkmUmu Authority

Non-operational expenses Purchases of a noa-opentianal Division Head’/Board Chair
Manual nature such as gifts, food,
flower arrangements and
personal items are included.
Department non-operational
exposes for staff from budget
appropriations are prohibited
except for provisions under the
Corporate and Department
Recognition programs.
Personal donations are to be
used.
Alberta Social Housing
Corporation non-operational
expenses are allowed as
approved by Board.
Parking Treasury Board Generally, Ministry paid Downtown Edmonton and Downtown
Directive 03/91 parking is only provided for Calgary requests: Infrastructure*
amended 10/94, Justices and Judges,
Parking Policy, government vehicles, All other locations: Division Head* and
Infrastructure handicapped employees or Infrastructure
Guidelines employees with short-term
Parking Directive- medical conditions, employees
Treasury Board in positions at or above Senior
Directive 5/2014 Manager, employees frequently
requiring use of private vehicles
for government business, and
visitor parking.

Approved by Deputy M inister. Date:

" DhrUoo Head m e m ■ p ortion d m report* S tteO y to the
 Alberta Sedan
Authority Matrix - Ftnandil A Administrative Activities
November 2014
SRS 2015-G-0015

Activity Authority
Procurement cards Financial AAnimntirini Monthly stutensgats of »«]»»«*« New Cards: Employee's Expenditure
Act .TreasuryBoard are approved by the Officer, Senior Financial Officer, Deputy
Directive 07/98, Employee's Expenditure Minister.
Government of Alberti Officer. Changes to Cards:
P-Card policy Employee’s Expmditure Officer, Senior
Financial Officer
Remissions Finftnrinl Mmiegement ReminunH am nirfaal where it Up to $25^)00: the Minister
Manual is considered in the public
Financial interest to do so, or where Over S25JOOO: The Lieutenant Governor
Administration Act injustice or great hardship to a in Council or Treasury Board
Sec. 21(1) person will result if a remission
is not granted.
Travel Subsistence, Travel and Prior approval must be obtained Within Alberta: Employee’s Expenditure
Moving Expense for non-routine travel within Officer
Regulation; Tteasury province or out of province.
Board Directive 14/93, Within North America: Deputy Minister
Financial Management
Manual; Outside Ninth America: Ministry
approval from Deputy Minister and
Minister as well as registration with
Intprnntinnnl amt Tntergnvmimantal
Relations.
Write-offUncollectible FinaiVMnl Vfatwym«nt Senior Financial Officer
Accounts Manual

Approved by Deputy Minister:^ Date: ? ,lc " \

* Division Had
 Alberta
Seniors
Enterprise Risk Management Framework

Corporate Planning & Reporting Unit

Alberta Seniors
August 2015

SRS 2015-G-0015 0013

Table of Contents
Overview.................................................................................................................................. 1
Mandate and Commitment.................................................................................................... 1
Purpose of the Framework.....................................................................................................2
Background............................................................................................................................ 2
1) What is risk?................................................................................................................ 2
2) What is ERM?..............................................................................................................3
3) Why manage risk?........................................................................................................3
ISO 31000:2009 Risk Management Standard.................................................................... 4
Risk Management Policy Statement..................................................................................... 5
Guiding Principles................................................................................................................. 5
Roles and Responsibilities.................................................................................................... 6
1) Corporate Planning & Reporting Unit....................................................................... 6
2) Risk Owners................................................................................................................. 7
3) Divisional Risk Managers........................................................................................... 7
4) Executive Director Council......................................................................................... 7
5) Executive Committee.................................................................................................. 8
Applying the ERM Framework............................................................................................. 8
1) Establishing the Context............................................................................................. 8
2) Risk Assessment......................................................................................................... 8
3) Risk Treatment...........................................................................................................11
4) Monitoring and Review............................................................................................. 11
5) Communication and Consultation............................................................................11
Appendix A: Government of Alberta Mandate...................................................................13
Appendix B: Risk Description Form Template..................................................................14

August ii, 2015

Coi’porate Planning & Reporting
Alberta Seniors

SRS 2015-G-0015 0019

Overview
Established in September 2014, Alberta Seniors is responsible for the creation of
affordable housing options for Albertans in need and helping Alberta’s aging
population lead healthy and independent lives. The ministry is composed of three
divisions (Housing, Seniors Services and Strategic Services), two corporate service
branches (Communications and Human Resources), the Alberta Social Housing
Corporation, and the Office of the Deputy Minister.
Prior to June 2015, Seniors did not have a risk management plan or processes. The
document you are reading, the Alberta Seniors Enterprise Risk Management
Framework, is intended to initiate the processes needed to develop a risk-informed
approach to management for the ministry. It sets out the components of a ministry­
wide process to identify and report on major risks to the ministry’s ability to fulfill its
responsibilities and achieve its goals. As enterprise risk management (ERM) is an
ongoing process based on regular monitoring and review, the approach outlined is
intended to support the ministry into the foreseeable future.

Mandate and Commitment

In 2006, the ministries of the Government of Alberta (GoA) were directed by Deputy
Minister’s Council to fully implement ERM frameworks. Each ministry, under the
direction of its Deputy Minister, is responsible for developing and implementing an
ERM process. Although ERM is not tied to legislation, ministries are mandated by the
GoA to apply ERM processes. The mandate document is attached as Appendix A.
GoA ERM implementation guidelines require ministries to:
• Focus on managing risks at the ministry level, including the Ministry and all
entities for which the minister is accountable;
• Integrate ERM with the business planning process;
• Provide evidence that the senior executive team has considered and approved
the key risks and that the key risk mitigating strategies/actions are implemented
in conjunction with the business planning process; and
• Develop an internal ERM report that provides a brief description of each risk; an
assessment of both the likelihood and impact of the risk before mitigating
actions are taken; the key mitigating actions to be taken for each risk; and the
likelihood and impact of each risk after the mitigating strategies/actions are
taken into account.
In March 2015, Alberta Seniors’ Executive Committee directed Strategic Services
Division to move forward on developing an Enterprise Risk Management (ERM)
Framework for the ministry and a process for regular ERM reporting.
The ministry is committed to developing and implementing an effective ERM system
that produces valuable business knowledge to support:
• Strategic decision-making towards integrated outcomes;
• Proactive management and diligent oversight and control of department
operations; and

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 • Innovation and collaboration in day-to-day work.
Indicators of successful implementation of ERM in the Ministry will include:
• Meeting or exceeding the requirements established by the GoA;
• Developing a systematic approach that is based on a recognized model and
documented to the satisfaction of the Office of the Auditor General and the
Corporate Internal Audit Service;
• Involving Executive Committee as active participants;
• Integrating ERM into the business planning process; and,
• Ensuring ministry managers have the skills required, and view ERM as a part of
regular business.

Purposes of the Fram ework

The Seniors’ ERM Framework has two purposes:
1. To establish an integrated and coordinated approach to identifying, mitigating
and reporting on risks in the ministry, including ministry policies and principles.
2. To explain risk management concepts and provide ministry staff with an
understanding of their roles and responsibilities in implementing ERM.
The ERM process will support and be integrated into business, operational, and
strategic planning for the ministry.

Background
1) What is risk?
The commonly accepted modern definition of risk is “the effect of uncertainty on
objectives.” Organizations face uncertainty as a result of internal and external
factors that may influence if and when they will achieve their objectives (i.e.,
strengths, weaknesses, opportunities and threats). The effect of this uncertainty on
objectives is risk. Uncertainty can have positive and/or negative consequences in
relation to reaching objectives.
Risk is characterized in terms of likelihood and impact. It is a combination of the
likelihood that an event will occur and the impact this occurrence will have on an
organization. Determining the likelihood and impact of individual risks enables
comparisons between, and prioritization of, all of the ministry’s risks.
Possible causes of uncertainty for Alberta Seniors might include:
• Related changes in the health or social services system;
• Political/social change at federal, provincial or municipal levels;
• Issues related to public expectations/reactions;
• Changes in staffing, resources, or priorities and stalled progress or change of
scope
• Insecurity related to partner organizations;
• Technological advancements;

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 • Opportunities for innovation and integration; and
• Nature of risk factors/unknowns/sources of risk.

2) W hat is ERM?
Risk management is recognized as a core element of effective public administration,
as it enables organizations to recognize, understand, and capitalize on the
challenges and opportunities that risks present.
The GoA Reference Guide fo r the Enterprise Risk Management Framework defines
ERM as “a continuous, proactive and systematic process to understand, manage and
communicate risk from an organization-wide perspective.” ERM in the GoA refers to the
management of risks at the ministry level, inclusive of the department and all entities for
which the minister is accountable.
ERM is a disciplined approach to:
• Identifying risk, assessing risk, managing risk and communicating about risk;
• Thinking through decisions and looking at options from all angles, viewpoints and
possibilities;
• Considering potential impacts on your objectives and on interdependencies;
• Establishing a common understanding of what needs to go right, what could go
wrong, and where there is uncertainty;
• Making management decisions based on a thorough analysis of the business
context, objectives, threats, opportunities, assumptions and uncertainties
• Monitoring, tracking, and discussing risk and uncertainty; and
• Taking action to lessen risk and its impacts and increase understanding of risk­
taking and risk tolerance.
There is no single standard, methodology for ERM, as every organization’s risk
management framework must reflect its own unique context, priorities and goals.
However, the ERM process developed for Alberta Seniors is primarily based on:
• The GoA Reference Guide fo r the Enterprise Risk Management Framework;
• The principles of ISO 31000: Risk Management - Principles and Guidelines
(an internationally recognized risk management framework recommended
by Treasury Board and Finance); and
• Similar ERM frameworks developed by other GoA ministries. In particular,
the ERM frameworks of Justice and Solicitor General, Infrastructure,
Advanced Education and Technology, and Health were consulted.

3 ) Why m a n a g e
risk?
The application of ERM practices at Alberta Seniors can potentially enable better
organizational decision-making and resource allocation. A successful ERM initiative
can diminish the likelihood of risks occurring and their magnitude. Risk
management can provide the ministry with:
• Capacity to make informed decisions when setting or revising priorities,
allocating resources or assessing opportunities;
• Increased confidence that it will achieve its desired goals;
• Effective constraints on threats, drawing them to acceptable levels;
• Improved operational efficiency and effectiveness; and

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 • Continuous improvement and greater responsiveness to change.
This Framework outlines the steps in the process, including ongoing monitoring
and review to ensure emerging threats and opportunities are considered.

ISO 31000:2009 Risk Management Standard

In 2011, the GoA adopted ISO 31000:2009 as its model for managing strategic,
operational and program risks. ISO 31000 is a risk management standard developed by
the International Organization for Standardization.

ISO 310 0 0 :20 0 9 R isk M a n a g em en t F ra m ew o rk

The purpose of ISO 31000 is to provide principles and guidelines on risk management
that can be applied to any type of risk. ISO 31000 is not intended to promote
uniformity of risk management across organizations, but rather, harmonize risk
management within a given organization by being scalable and adaptable to add value
for the organization. The design and implementation of risk management in an
organization needs to take into account the varying requirements of a specific
organization, its particular objectives, context, structure, operations, processes,
functions, services, assets and specific practices employed.
Adoption of the ISO 31000 standard involves developing and implementing a risk
management framework based on a set of principles and using a risk management
process to systematically identify, assess and treat risks.
Alberta Seniors’ ERM Framework follows this approach laid out in the ISO 31000
framework - an ongoing process with assessing and treating risk at its core.

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Risk Management Policy Statement
Alberta Seniors is committed to risk-informed decision-making in
• Identifying and assessing opportunities;
• Managing challenges and uncertainties;
• Continuous improvement and innovation; and
• Achieving the department’s business objectives.
The ministry is committed to managing risk using the ISO 31000 approach, while
keeping the process tailored and responsive to Seniors’ external and internal contexts
and needs. To meet this commitment, risk management is to be an enterprise-wide
responsibility with specific accountabilities for managing risks outlined in the Roles
and Responsibilities section of this document.
The ministry is committed to building risk management knowledge and capacity and
facilitating continuous improvement of the risk management process.

Guiding Principles
The following guiding principles have been adapted from those of the ISO 31000:2009
Risk Management Standards and other ministries to meet the needs of Alberta Seniors.
They will be applied throughout the risk management process.

1) Risk management is fully supported by senior management.

Executive Committee members champion the development and implementation of
an integrated and aligned risk management approach, and are ultimately
accountable for its success.

2) Risk management is part of decision-making.

Risk management helps decision-makers prioritize actions, distinguish among
alternative courses of action, make informed choices, and anticipate outcomes and
benefits.

3) Risk management is dynamic, iterative and responsive to change.

Risk management continually senses and responds to change. As external and
internal events occur, context and knowledge change, monitoring and review of
risks take place, new risks emerge, some change, and others disappear.

4) Risk management takes human and cultural factors into account.

Risk management recognizes the capabilities, perceptions and intentions of external
and internal people that can facilitate or hinder achievement of the organization's
objectives.

5) Risk management is transparent and inclusive.

Appropriate and timely involvement of stakeholders and, in particular, decision
makers at all levels of the organization, ensures that risk management remains
relevant and up-to-date. Involvement also allows stakeholders to be properly
represented and to have their views taken into account in determining risk criteria.

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 6) Risk management facilitates continual organizational improvement.
Organizations should develop and implement strategies to improve their risk
management maturity alongside all other aspects of their organization.

Roles and Responsibilities

All staff contribute to risk management, at program, policy or ministry levels. In
addition, however, in order for ERM to be effective and integrated with organizational
processes and priorities, specific roles and responsibilities need to be assigned.

S e n io r s E R M A cc o u n ta b ility S tru ctu re

1
5) Executive 2) Risk Owners
Committee (senior mgmt from
business areas)
.

11Corporate •Arrow indicates

direction of
Planning &
Reporting Unit information flow.
■

4}1Executive
Directors
Council

1) Corporate Planning a Reporting Unit

• Develops, implements, maintains, and continually improves the ERM
framework, policy, and reporting mechanisms;
• Consults with Executive Committee, Risk Owners, Executive Directors
Council and Divisional Risk Managers to identify, assess and treat strategic
risks;
• Advises Executive Committee of key strategic risks and provides regular
reporting on strategic risks and any work to mitigate them.
• Ensures identified strategic risks are appropriately managed in accordance
with the GoA Reference Guide fo r the Enterprise Risk Management
Framework and Seniors’ ERM Framework;
• Provides risk-management advice to Risk Owners and Managers, helps
divisions and staff assess risk, and supports implementation of the risk
management framework across the ministry;

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 • Ensures ERM is integrated with ministry strategic, operational and business
continuity planning; and
• Represents the ministry and participates in GoA ERM work and discussions.

2) Risk Owners (senior/executive managers from ministry business areas)

• Have direct oversight of specific risks and responsibility for controls or
mitigating strategies to manage those risks;
• Have accountability for ensuring implementation of risk management
strategies;
• Ensure there are appropriate ongoing operational and corporate-related risk
management activities in place;
• Report on the status of the risk and mitigations as per the process outlined in
the Framework;
• Ensure a common understanding of the risk and specify how the mitigating
strategy is intended to manage the risk;
• Ensure any gaps or changes in the controls and mitigating strategies are
identified and communicated to the appropriate level;
• Track the risk through its lifecycle to closure or sufficient reduction in
likelihood and/or consequence; and
• Ensure risks are identified and managed as part of policy development,
program planning and delivery, operational decisions and allocation of
resources.

3) Divisional Risk Managers (EDC members from business areas)

• Assess strategic risks and the effectiveness of risk treatments, make
recommendations and provide advice to EDC and Corporate Planning &
Reporting on the management of strategic risks;
• Identify, document and report new and existing strategic risks affecting
Seniors’ ability to achieve its mandate and goals to EDC and Corporate
Planning & Reporting;
• Provide risk management advice and process support to their designated
area and liaise between Corporate Planning & Reporting and their areas on
ERM issues; and
• Advise Corporate Planning & Reporting of any divisional developments or
requirements related to ERM, including adequate information and training.

4) Executive Director Council (EDC)

• Advises on the strategic risk management process to ensure it meets the
ministry’s needs, adds value, and is consistent and systematic across the
ministry;
• Reviews and monitors Seniors’ strategic risks and identify emerging or
changing risks and makes recommendations;
• Ensures risk management strategies are incorporated into divisional
operational plans to ensure integration into processes already established;
and
• Considers risk as a part of decision-making processes.

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 5) Executive Committee (EC)
• Oversees the identification, treatment and review of risks that could affect or
influence the department’s ability to achieve its mandate, mission or goals;
• Has accountability for ensuring implementation of effective ERM in
accordance with the ministry’s framework;
• Models, champions, and communicates a culture of risk management;
• Determines the organizational structure for risk management and ensures
appropriate resources are available;
• Determines the best way to implement and integrate risk management in
strategic and operational planning; and
• Aims for continual improvement throughout the ministry on a long-term
basis.

Applying the ERM Framework

In addition to the standards, policies, and responsibilities for ERM at Alberta Seniors,
this framework also outlines the ministry’s process for risk management. This model
does not seek to eliminate risk, but focuses on understanding the individual risks and
determining appropriate treatment.
This model is dependent upon the structure described in the Roles and Responsibilities
section. A process map is included on page 12.
As shown in the ISO 31000: 2009 model earlier in this document, there are seven
separate elements to the risk management process. The first five elements occur
sequentially, while the last two elements - communicate and consult and monitor and
review - occur continuously throughout the process.

1) Establishing the Context

Establishing the context means articulating the ministry’s objectives and
considering any internal and external factors that need to be taken into account.
This sets the scope for the rest of the risk management process, and requires:
• Defining the goal (e.g., from ministry business plan) and desired outcomes of
the risk management activity;
• Considering relevant internal and external factors (SWOT analysis);
• Considering the department’s tolerance for risk;
• Determining any stakeholders that should be involved in the process and/or
communicated with throughout the process;
• Establishing the scope and duration of the risk-assessment process; and
• Defining any other parameters to understand and assess the risk and
treatment.

2) Risk Assessment
This is where risks are identified and prioritized. The final list is limited to those at
an enterprise level and only “those that keep the Minister awake at night”.

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a) Risk Identification
Once the context has been established, the risk assessment process can begin. The
first step of this process is to identify risks, their sources, and potential areas of
impact. The goal of this step is to generate a comprehensive list of risks based on
events that might create, enhance, prevent, degrade, accelerate or delay the
achievement of Seniors’ objectives.
Process: Risk identification occurs in two stages.
• First, there is an initial risk identification that occurs when the ministry
launches a new initiative, unit, or activity.
• Second, continuous risk identification should be a routine element in the
operations of the ministry, including the identification of emerging risks,
changes in existing risks, and risks that have ceased to be relevant.
Methods: There are a number of different ways to identify risks. A commonly used
method is a SWOT analysis, which is a structured process that involves identifying
internal strengths and weaknesses and external threats and opportunities relating
to the ministry. Other methods include examinations of past experience, loss
reports, incident investigations interviews, focus groups and surveys. Employing a
combination of methods is recommended when identifying risks.
Risks are often framed as causes and effects, and can stem from:
• Achievement of business objectives;
• Reputation of the ministry;
• Well-being and safety of clients or citizens;
• Impact on stakeholders;
• Protection of assets (financial, intellectual, property and information);
• Maintaining business continuity;
• Compliance with legislative and regulatory requirements; and
• Achieving leadership and progress.

b) Risk Analysis
After risks have been identified, it is necessary to determine the severity or
opportunity each risk presents. Risk analysis involves consideration of the drivers
of a risk, their consequences, and the impact and likelihood of each, considering
the controls already in place. Divisional Risk Managers, Risk Owners, Executive
Committee and other senior/executive managers all need a chance to discuss and
consider how the identified risks should be assessed.

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 Risk Level = Likelihood x Impact

■
J Moderate

| | M nor

i a j 4 s
Impact

Likelihood: The likelihood is the chance that the risk event will occur during the
next year. Estimating the likelihood that a risk will occur can be done by using any
combination of historical data, future projections, and subjective experience and
knowledge. Risk Managers use a scale to vote on the degree of likelihood.
Impact: The impact of identified risks on ministry goals/priorities will vary
considerably in their nature and severity. In some cases, the impact of a risk may
be multifaceted. A building collapse, for instance, would have a wide range of
impacts, including financial, legal, and safety ramifications. In such incidents, the
overall impact level should reflect the highest level of impact identified. Risk
Managers use a scale to vote on the degree of impact.
By systematically ranking risks, management has clear understanding of which
risks should be prioritized or require immediate attention.

c) Risk Evaluation
The purpose of risk evaluation is to assist in deciding what actions will be taken.
Once risk level has been determined, the next step is to evaluate the risks in light
of the organization’s risk appetite to determine which risks need treatment, the
course of action, and assign priority for the development and implementation of
treatment plans.
Options for course of action:
• Terminate exposure to the risk;
• Transfer part or all of the responsibility for control of the risk;
• Treat the risk to reduce the likelihood of its occurrence and/or mitigate the
consequences; or
• Tolerate the risk as it is.
Other factors such as legal and regulatory requirements, the level of risk borne by
other parties like other ministries, new risks that may be generated by the
treatment itself, and the costs of implementation versus the benefits derived must
be considered.

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3) Risk Treatment
Risk treatment involves selecting one or more options for managing risks, and
implementing those options. Treatment of unacceptable risks should be integrated
into ongoing ministry planning activities. Risks that are not tolerable will require
risk treatment through controls and mitigation strategies. Executive Committee,
Risk Owners, and senior/executive managers need to consider the balance between
costs and efforts of implementation of the risk treatment against the benefits
derived.
This stage of the risk-management process requires the ministry to:
• Monitor and report on the risk and risk treatment to ensure the treatment is
working and to identify opportunities to continually improve how the risk is
being mitigated/treated; and
• Continually monitor progress, communicate with key stakeholders, and
update the ministry risk report as appropriate.
Once a treatment or treatments have been selected, a risk action plan should be
formulated and documented on the risk statement form. The information provided
should include the proposed treatment, the reason for selecting the treatment
option, the resources required, performance measures and constraints, reporting
and monitoring requirements, and a schedule. Risks should be assessed to show
likelihood and impact both before and after they are treated to show the effect of the
mitigating action.
Risk Owners and Risk Managers will provide updates to ensure communication and
an organizational approach to risk management. Risk action plans will be integrated
with existing processes in the ministry, such as business and operational planning
and performance measurement.

4) Monitoring and Review

All aspects of the risk management process should be reviewed annually, while risks
themselves should be subjected to more frequent review. This is a critical element of
the risk management process, as the ministry’s context or risk appetite may change
over time. It is also an important part of ensuring that current risk management
practices are effective.
If it is determined that there has been a substantial change in a risk’s likelihood or
impact, an updated description should be prepared, treatment should be re­
evaluated, and new mitigating measures should be identified, in order to ensure
that the ministry’s risk report is kept up to date. A similar process should be
followed if existing mitigating measures are introduced, cancelled, or significantly
altered.

5) Communication and Consultation

Communication and consultation with external and internal stakeholders should
take place during all stages of the risk management process, as effective
communication with stakeholders helps ensure that the assessment of risk is
proactive and inclusive and involves those who both understand the risks and are
best able to manage them. Communication and consultation must be used in order

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 to ensure that risk reporting goes up to higher levels and that executive decisions
regarding tolerance of risk and priorities for action get communicated back down to
the business unit level.

Process M ap f o r ERM a t A lb e rta S e n io rs

l. Create Framework
•Corporate Planning & Reporting drafts Seniors ERM Framework document
•EDC and EC review and approve framework

2. Establish Process and Roles

•EDC names Divisional Risk Managers to work with Corp. Planning & Reportng on identifying and
assessing risks
•As risks are identified, divisions, business areas and Divisional Risk Managers assign each one a
Risk Owner

3. Understand Ministry Context

•Corp. Planning & Reporting determines and tracks current internal and external context and
challenges using SWOT analysis, environmental scanning, interviews, etc.
•Divisional Risk Managers assess context for their areas through processes such as SWOT analysis

4. Assess Risk
— W W — t u i ■ 11 ■ iim m i w w n m m — — — — — —

• Divisional Risk Managers:

•consult with their business areas to determine comprehensive list of risks for ministry
•complete Risk Description Form for each risk
•prioritize risks by likelihood and impact
•Corporate Planning & Reporting:
•works with Divisional Risk Managers to select which risks are included in ministry risk report
•checks with EDC for feedback on selected risks for inclusion

_______________ 5. Treat Risk_________________ —

•Corp. Planning & Reporting writes ministry risk report based on recommendations from Divisional
Risk Managers and EDC
•Ministry risk report includes:
•description of risk,
•names of Risk Owners,
•explanation of mitigating strategy for each risk
•timeline for each risk
•Risk report submitted to EDC and EC for review and approval
• Divisions and business areas implement risk treatments/mitigations

6. Ongoing Work
•Corp. Planning & Reporting meets with Divisional Risk Managers and representatives from other
areas a few times a year to:
•review identified risks,
•discuss and prioritize new risks, and
•update risk report
•EDC and EC review updated risk report a few times each year to ensure it still reflects ministry
priorities and risks are adequately addressed

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Appendix A: Government of Alberta Mandate
Enterprise Risk Management (ERM): Implementing ERM in the Government of Alberta
February 23, 2007
Introduction
Implementation of the Enterprise Risk Management Framework was approved by the Deputy Ministers’
Committee. ERM processes are to be implemented and documented in all ministries as soon as possible as
part of the 2008-11 business planning cycle.
Requirements
1) In implementing the ERM Framework, Ministries are to focus on the few key strategic risks to the
organization (These might be described as those things that “keep the minister or deputy minister awake
at night”.)
2) The ERM process is to be integrated into the business planning process with risks identified, assessed and
evaluated as part of that process.
3) Ministries are to demonstrate a link between key strategic risks and mitigation strategies that may be
included in the ministry business plan.
4) Key strategic risks are to be monitored and reviewed as part of the ongoing implementation of the
ministry business plan.
5) Each ministry' ERM process must be documented and the process must involve the senior executive team
in each ministry as they are ultimately responsible for developing and implementing risk mitigation
strategies.
6) The internal ministry ERM report will consist of a prioritized list of identified risks and include: a brief
description of the risk; an assessment of both the likelihood and impact of the risk before mitigating
actions taken; the mitigating actions to be taken for each of the risks; and the likelihood and impact of
each risk after the mitigating strategies actions are taken into account (see example A in the ERM
Reference Guide).
7) The risks, mitigating strategies'actions, and the effectiveness of the mitigating strategies/actions should
be reviewed at least once a year. Frequency of risk review should be flexible and appropriate to the
ministry's response to a particular risk.
8) These requirements are to be applied within the high level steps identified in the Government of Alberta
Enterprise Risk Management Framework and ERM Reference Guide or in an established ERM
framework (for example; Committee of Sponsoring Organizations of the Treadway Commission
(COSO), or Guidelines for Managing Risk in the Western Australian Public Sector), except where
otherwise stated in these requirements (see Requirement 9). Ministries have the flexibility to implement
the detailed actions within these high level steps they deem necessary to effectively manage their
ministry’s enterprise risk.
9) A fiscal quantification of the impact of the key strategic risk is not required, nor is the formal setting of
levels of risk tolerance for the ministry as recommended in ERM Frameworks.
In summary, at a minimum, the ERM process must be:
• Developed at the ministry level, and integrated with the business planning process;
• Documented, providing evidence that the senior executive team had considered and approved the key
risks and that risk mitigating strategies/actions are implemented in conjunction with the business planning
process; and
• Supported by an internal ERM report that provides a brief description of the risk; an assessment of both
the likelihood and impact of the risk before mitigating actions are taken; the key mitigating actions to be
taken for each of the risks; and the likelihood and impact of each risk after the mitigating
strategies/actions are taken into account.
To assist ministries in implementing ERM processes, the framework documents identified above can be found
on the following website: http://intemal.gov.ab.ca/finance enterprise risk mgmt/index.html.

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Appendix B: Risk Description Form Tem plate
Risk Descri ition Form_____________
Date:________________________________
Division Business Area:_________________
Name of Submitter:___ ___ _______ ______
Risk (outlined in one sentence):

Describe the risk (including the following):

• Affected parties (stakeholders, clients, staff)
• Financial repercussions
• Timeframe
• Effect on the ministry and GoA

On a scale o f 1-10, what is the likelihood of this happening?

On a scale of 1-10, how large would the impact on the ministry be?

What is already being done (or has been done) to address or mitigate this
risk?
• By the ministry
• By anyone else

If these mitigating actions continue to be taken, on a scale of 1-10, what is

the likelihood of this happening?

If these mitigating actions continue to be taken, on a scale of 1-10, how

large would the impact on the ministry be?

Name of the manager who has accountability as Risk Owner:

What else should be/needs to be done to address or mitigate this risk?

Further comments to consider?

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 Seniors

Policy # HR001 Date May Jo, 2015

Policy Title OVERTIME GUIDELINES y f

Approved By Deputv Minister - Ernie Hui Signature /I /

Overview
Overtime refers to all authorized hours worked in excess of normal daily hours, deluding authorized
travel time. In accordance with Article 17 of the Master Agreement and the Overtime Directive
established by Corporate Human Resources, the following process is established as a guideline for
employees in the Ministry of Seniors who are required to work overtime.

Scope

This policy applies to ail opted out and excluded and bargaining unit employees in permanent,
temporary salaried and wage positions within Alberta Seniors. The purpose is to provide guidelines
to all Ministry staff around working and managing overtime.

Guideline

Prior supervisory approval is required for ail overtime worked by employees eligible for overtime
compensation. The employee’s supervisor/manager is responsible for maintaining a clear record of
approvals granted for overtime

Responsibilities

Employee:

• When overtime is required to complete an assigned task/project, the employee must submit
the request for overtime to the supervisor in writing and receive written confirmation of
approval.
• Employees must indicate their preference between compensatory time off or monetary
compensation for overtime worked. Such preference shall be subject to approval by the
supervisor/manager.
• Overtime hours worked must be entered into the GoA time entry system in the pay period
they are worked
• Employees who choose to take compensatory time-off for earned overtime, must record such
absences on the GoA time entry system.
• Where compensatory time off is approved and where it cannot be scheduled before the end of
the month following the month in which the overtime was worked, it shall be paid out
accordingly.
• Compensatory time off may be carried forward from month to month only in exceptional
circumstances by mutual agreement. In the absence of mutual agreement, payment for
overtime will be made by the end of the following month.

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 Seniors

Policy # HR001
Policy Title OVERTIME GUIDELINES

Approved By Deputy Minister - Ernie Hui Signature

Employees who are required to travel to remote sites for meetings outsitfelthe normal hours of
work will make arrangements to stay overnight and travel back to their home base during
regular office hours the next day. Alternate arrangements will be reviewed and approved by
the Supervisor, taking into account the safety of the employee and branch budget.
Travel time does not include time spent travelling to and from an employee’s residence and
normal place of work.

Supervisor:

• Ensure that overtime is approved only if it is absolutely necessary to meet a business

objective.
• Employees are recording their overtime hours accurately in the GoA time entry system.
• Monitor employee compliance with overtime guidelines.
• Ensure operational requirements are met as first priority.
• Ensure service to the public and stakeholders are maintained.
• Review overtime liability on an ongoing basis to mitigate accumulation of excessive overtime
liability.

Option to Alter Start Time

Where employees are frequently required to travel and accept invitations to events occurring outside
normal business hours (8:15 a.m. - 4.30 p.m ), employees have the option of discussing a later start
to their work day with their supervisor/manager. This arrangement will be mutually agreed to by
employee and supervisor. This option supports our commitment to providing work-life balance and
helps reduce accumulation of overtime hours.

Questions
For more information or questions please contact your HR Representative.

References

■ Public Service Act •section 21(c)

• Public Service Employment Regulation - sections 55, 56, and 57
■ Master Agreement Article 17
• Government of Alberta Overtime

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 Seniors

Policy # HR002 Date Aonl 21.2015

Policy Title FLEXIBLE WORK ARRANGEMENT OPTIONS yf
Approved By Deputy Minister - Ernie Hui Sianature V] k
Alberta Seniors believes in the importance o f work-life balance and supports the needs of employe- ;s to balance their
work and personal life while ensuring operational requirements are met.

The guideline for Flexible Work Options available to Alberta Seniors employees is outlined below. The process for
initiating and implementing any o f the identified options will be aligned with the values of the APS.

APS VALUES AND FLEXIBLE WORK ARRANGEMENTS

R e s p e c t We fo s te r an e n v iro n m e n t in w h ic h e ach in d iv id u a l is v a lu e d a n d h e a rd
When a Flexible Work Option is requested, all affected parties will be valued and heard throughout the process

A c c o u n ta b ility : We are re s p o n s ib le f o r o u r a c tio n s a n d fo r c o n tr ib u tin g to th e e ffe c tiv e n e s s o f th e P u b lic

S e rvice .

The effectiveness and success of Flexible Work Options is a shared responsibility of work team members

In te g rity : We b e h a ve e th ic a lly a n d a re o p e n , h o n e s t a n d fa ir.

Work team members will remain open and honest about their perspectives and fair and consistent in their commitment to the
success of Flexible W ork Options.

E x c e lle n c e : We u se in n o v a tio n a n d c o n tin u o u s im p ro v e m e n t to a c h ie v e e x c e lle n c e a t w o rk

Work team members will attempt to seek innovative work arrangements that will enable employees to continue to be healthy,
committed, productive, and fully engaged which will contribute to achieving excellence at work

CONSIDERATIONS

The following are to be considered when reviewing Flexible Work Option requests

■ The department’s operational requirements must be met as first prionty

■ Service to the public and clients must be maintained (i.e. offices must remain open between 8 15 am and 4:30
pm) as per the Office Hours and Hours of Work Directive
■ For any arrangement that results in an employee working alone, Working Alone requirements must be
integrated
■ Any resulting options explored/administered must fall within directive guidelines
• As per the Flexible Hours Directive under the flex time system, the flexible periods are

7:30am-9:00am
11:30am- 1:30pm
3:30pm-530pm

Employees must be in the office under the core periods as follows

9:00am-11:30am
1:30pm-3 30pm

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• As every circumstance may be different, directors are provided latitude to address Flexible Work Arrangement
requests on an ad-hoc basis or longer term, ongoing arrangements.

■ Directors are accountable for managing their staff and work demands. There may be times, due to the area's
operational requirements, that pre-approved arrangements may be temporarily modified or discontinued. When
the area's work flow or service demands lessen, the original flexible work arrangement will be accommodated

■ Directors are to consult with HR when implementing longer term Flexible Work Arrangements for consistency
purposes and ensuring all options for staff are fully explored. As well, arrangements intended to be ongoing, will
have formal written documentation through consultation with HR.

* When addressing “one-oF or “ad hoc" situations, the director will consult with HR.

■ Flexible arrangements will be reviewed on an ongoing basis and as part of ongoing Performance Excellence
meetings.
■ Flexible arrangements are not transferable when an employee's role changes.

ELIGIBILITY

Full-time employees in permanent and temporary positions are eligible to request the flexible arrangements
outlined in the Flexible Work Arrangements Guidelines.

Wage employees may be eligible to request modified hours of work based on operational requirements only

Performance matters To be eligible for a flexible opportunity, employees must meet or exceed the performance
expectations for their jobs.
ARRANGEMENT OPTIONS

1. Flextime with Tracked Banked Time

This option allows for time to be earned and banked within the GOA core hours and is applicable to non­
management employees only.

With prior approval from the director, the employee will work extra hours and bank/track the time on the
“Flextime Record."

The flextime record is to be submitted every month by the employee to their supervisor As per the Flexible
Hours Directive a maximum of 10 hours, surplus or deficit, can be carried over to the next month The
employee will be able to take time off dependent upon the area’s operational requirements and the number of
hours that have been banked.

If a full day off (i.e. 7 .25 consecutive hours) cannot be granted due to operational requirements,
alternate arrangements will be made between the director and employee to account for the additional
time worked. Arrangements must be such that core period times are maintained. Examples of
alternate arrangements may include:

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lourli
Taking longer lunch hours to use up the additional time (e.g. lunch hourJfrom
1:30pm)
11:30am to

Arrangement to leave work earlier while ensuring core periods are maintained (e.g. leaving
work at 3:30pm, until employee’s tracked bank time is used up)

Im plem e ntatio n:

A Flexible Work Arrangement request must be completed and given to the employee’s supervisor.
The arrangements will be discussed with and approved by the director.

Once an agreement has been reached, a signed copy of the request will be sent to Human
Resources.

The flextime report is to be completed for tracking additional hours worked every month and signed off
by both the employee and supervisor.

2. Modified Hours of Work

This option gives an employee the ability to alter their start and end time while working their daily work
hours. Depending on the situation and with the prior approval of the director, modified work hours may
be arranged which are different than the standard hours of 8:15am-4:30pm. The
employee will still work 5 days per week with the standard 7.25 hours per day. An example could be
having the employee arrive to work 30 minutes later (i.e. 8:45am), but leave work at 5:00pm to
account for the time alteration.
The agreed upon hours of work will be consistent, and will not fluctuate from day to day. Under this
arrangement, the time periods which are recommended to be used for flexibility are:
• 7:30 a.m. to 9:00 a.m.
• 11:30 a.m. to 1:30 p.m.
• 3:30 p.m. to 5:30 p.m.

Im plem e ntatio n:

A Flexible Work Arrangement request must be completed and given to the employee’s supervisor.
Modified work hour arrangements must be discussed with and approved by the director after
consultation with Human Resources.
Once an agreement has been reached, a signed copy of the request will be sent to Human
Resources.

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3. Compressed Work Week

Compressed work week provides an employee the ability to increase the daiiy work hours and take
one day off every three weeks. An example would be for an employee to work an extra half an hour
per day and take every third Friday off. Under this arrangement all entitlements will be pro-rated
based on a 7.77 hours work day rather than a 7.25 hour work day. This arrangement is to be
discussed with the Assistant Deputy Minister and Human Resources and approved only if
operationally feasible, and is not applicable to management.

Im plem e ntatio n.

A Flexible Work Arrangement request must be completed and given to the employee’s supervisor
Compressed Work Week must be discussed with and approved by the ADM in consultation with
Director and Human Resources.

Once an agreement has been reached, a signed copy of the request will be sent to Human
Resources.

4. Flexibility for Managers

Managers, like any other employee, need to pursue and strive for work-life balance and set the
example for a healthy, supportive workplace for staff A manager, as a legal agent for the employer,
must meet regulatory mandates (including alignment with the Collective Agreement), policy directives,
and set procedural standards, while being responsible for workplace satisfaction, productivity and
excellence. Managers are results/performance driven and therefore, compensated via salary to
achieve the employer’s deliverables. Managers also receive a 5-day supplement to offset their extra
time spent on the job While the Office Hours and Hours of W ork Directive states that managers do not
have set hours, discussions around flexibility may occur, keeping operational feasibility in mind

Employee - Process Steps:

1 If you are interested in one of the Flexible Work Arrangements, please discuss your ideas with your
supervisor.
2 Review the Flexible Work Arrangement guidelines and/or directives and complete the Flexible Work
Arrangement request.
3. As your Flexible Work Arrangement may impact others, please ensure your work team is aware of
your proposal.
4. Submit your written request to your supervisor for approval

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Supervisor Considerations:
1. Flexible Work Arrangements guidelines support the achievement of operational priorities and
demands.

2 Ensuring the employee takes responsibility for completing the request encourages employee
accountability for exploring benefits and potential impacts.
3. A number of factors could affect the success of Flexible Work Arrangements. These
include: personal circumstances, team members, workload, and operational requirements.
4. Performance, attendance challenges, or other personal matters apply.

5. Flexible Work Arrangements are an ongoing process which will require regular review.

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