ARCHIVED - Evaluation Plan 2007-2008 to 2011-2012

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Author: Evaluation, Performance Measurement and Review Branch Audit and Evaluation Sector
Date: (September, 1997)

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Table of Contents




Introduction

Purpose

This document presents Indian and Northern Affairs Canada's (INAC) plan to assess the value for money of its programs, policy frameworks and approaches. The Evaluation Plan covers the five year period from 2007-2008 to 2011-2012.

The plan proposes increased coverage from recent years to address the requirements of the Transfer Payment Policy and the Federal Accountability Act. The Act calls for a "review", i.e., evaluation, of all direct spending, including transfer payment programs to be covered each five years.

Purpose of Evaluation

The role of the evaluation function is to provide Ministers, central agencies and Deputy Ministers with regular evidence-based assessments of the performance of programs and other initiatives as well as insights on whether they continue to be relevant. It should be a key source of neutral performance information.

Evaluation is expected to inform decisions about new program and policy approaches, provide guidance on necessary policy and program improvements, and support departmental accountability to Parliament and Canadians by helping deputy heads to manage for results.

The evaluation function is currently guided by Treasury Board's 2001 Evaluation Policy. A revised policy, expected in fall 2007, will increase evaluation requirements to support Treasury Board's renewed expenditure management system. The proposed policy has been respected in the drafting of this plan.

The policy's expected results are:

With the requirement for additional evaluation coverage, Treasury Board has expanded its definition of evaluation instruments and approaches. Reviews and management consulting studies can now be considered "value-for-money" evaluations.


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Evaluation Planning Approach

The 2007-2008 to 2011-2012 Evaluation Plan proposes a strategic, risk-based approach to the assessment of the department's programs and activities.

It covers all grant and contribution programs and in many cases proposes a strategic approach of program clusters. This approach allows for the evaluation function to study and conclude on entire policy areas, using an optimized number of studies focused on broader horizontal issues. This approach also supports annual reporting along the structure of the department's Program Activity Architecture.

The plan also proposes a series of special studies to address horizontal risks and factors that affect, either directly or indirectly, achievement of the department's intended results by assessing some of the complexities of INAC's operating environment and strengths of current practices, instruments and approaches.

Planning Assumptions

A number of assumptions have been made in developing the plan:

Planning Method

Documentation of INAC's "evaluation universe" was a critical first step in developing the plan to ensure its comprehensiveness. An analysis was done of the department's Program Activity Architecture, its grant and contribution programs, their authorities and expiry dates, and the department's major policies and policy frameworks.

The plan reflects INAC's Program Activity Architecture (PAA) elements / strategic outcomes and its grant and contribution programs.

A second step was to identify past commitments to and central agency expectations for evaluations, which required a review of departmental Treasury Board submissions, program authorities; management responses to Auditor General audits, and recent evaluation plans.

In addition, an analysis was done of issues and risks related to achievement of expected outcomes based on management risk discussions, evaluation and audit findings, including the Office of the Auditor General audit findings; reports, and other documentation of program design and delivery issues facing the department .

Some major risk factors related to INAC programming are discussed below. A crosswalk has been done to identify links

between these risks and the evaluation projects, these are shown in the plan that begins on page 9.


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The Five-Year Evaluation Plan

The INAC Evaluation Plan, 2007-2008 to 2011-2012 proposes comprehensive and sustainable coverage of the department's programs and activities.

Coverage

The plan proposes a total of 38 evaluation projects over a five-year period, focussed on INAC's key policy and program areas. Of these, 33 projects provide evaluation coverage of the department's approximate 55 grant and contribution authorities and five special studies to assess factors that cut across programs and policies and that affect, either directly or indirectly, achievement of the department's objectives.

Tables in the next section present evaluation projects and special studies. Appendix A presents evaluation projects by sector and year.

Risk Considerations

The Treasury Board policy requires that evaluation plans take account of risk. The following bullets suggest risk factors for INAC. They have been considered in the identification of evaluation projects and will be further considered in the identification of evaluation issues for individual projects. It should be noted that many of these risk factors are closely interrelated.


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INAC Evaluation Plan 2007-2008 - 2011-2012

Socio-Economic Policy and Regional Operations

PAA Program Activity /Policy Area Risk considerations Evaluation Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Social development
  • Federal coordination
  • Interjurisdictional relationships
  • Complex delivery
  • Accountabilities
  • Capacity and governance
  • Financial and Legal issues

1. Income Assistance, National Child Benefit Reinvestment (A program-led review of Assisted Living is underway)

X        

Grants to provide income support to indigent on-reserve residents / 2008 / $10,000

Contributions to provide income support to indigent on-reserve residents / 2008/ $767,990,000

Contributions to provide programming for low income reserve residents with children under the National Child Benefit Reinvestment Initiative / 2008 / $52,000,000

Social Development: The Way Forward

2. Family Violence Prevention       X   Contributions to support culturally appropriate prevention and protection services for Indian children and families resident on-reserve / 2012 / $30,400,000
3. Child Welfare (includes Child and Family Services)       X   Contributions to support culturally appropriate prevention and protection services for Indian children and families resident on-reserve / 2012 / $487,000,000
4. Labrador-Innu Comprehensive Healing Strategy (Program-led review involving Health Canada)   X       Funding through following authorities – Policy and Consultation, Education, Social Development, Capital Facilities and Maintenance, Lands and Estate Management
Education Interjurisdictional relationships
  • Accountabilities
  • Functional guidance
  • Capacity and governance
  • Financial and Legal Issues
5. Elementary and Secondary Education       X  

Payments to support Indian, Inuit and Innu for the purpose of supply public services in education / 2008 / $1,424,255,000 (includes elementary and secondary education, special education, cultural centres and youth employment strategy)

Grants to Indians and Inuit to provide elementary and secondary educational support services / 2008 / $150,000

Grants to Inuit to support their cultural advancements / 2008 / $45,000

Contributions under the First Nations SchoolNet Program / 2009 / $5,800,000

2005 Education Action Plan

6 Post Secondary Education       X   Grants to Indians and Inuit to support their post-secondary educational advancements / 2008 / $1,100,000
Community Infrastructure
  • Clarity and strategic direction
  • Accountabilities
  • Interjurisdictional relationships
  • Funding instruments
  • Capacity and governance
  • Financial and Legal Issues
  • Clarity and strategic direction
  • Accountabilities
  • Interjurisdictional relationships
  • Funding instruments
7. First Nations Water Management (TOR in development) X         Payments to support Indians, Inuit and Innu for the purpose of supplying public service in capital facilities and maintenance / 2010 / $1,068,505,000
  • INAC Long Term Capital Plan
  • Federal government Policy Framework on Water
  • Plan of Action on Drinking Water
  • Housing Policy
  • Bill C-12
8. Long-term Capital
Planning
    X    
9. On-Reserve Housing (joint INAC /CMHC)   X      
10. First Nations Infrastructure Fund (involving Infrastructure Canada)       X  
11. Housing Policy X        
12. Emergency Management         X Bill C-12



Claims and Indian Government

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Claims Settlements and Cooperative Relationships
  • Performance and results
  • Clarity and strategic direction
  • Processes and authorities
  • Federal coordination
  • Financial and Legal Issues

13. Comprehensive Land Claims Agreements Impacts Evaluation

X X      

Contributions to support the negotiation process for comprehensive, specific and special claims and self-government initiatives / 2010 / $45,349,000

Grants to support First Nations, Inuit, tribal councils, organizations or other level of government for the implementation activities as stipulated in the various agreements / 2010 / $113,666,000

Payments to self-governing Aboriginal organizations, pursuant to comprehensive land claim agreements, self-government agreements or treaty legislation / 2010 / $74,415,000

Contributions to beneficiaries and various implementing bodies for implementing comprehensive land claim agreements / 2010 / $161,955,000

14 Comprehensive Land Claims Agreements

Evaluation of Negotiation and Implementation

        X  
15 Specific Claim Agreements   X      

Payments to the Government of the Northwest Territories to facilitate the implementation of comprehensive land claim settlements / 2009 / $1,742,000

Grants to support the beneficiaries/organizations for the settlement of specific and special claims / 2010 / $310,644,000

Grant to the Nunatsiavut Government for the implementation of the Labrador Inuit Land Claim Agreement pursuant to the Labrador Inuit Land Claims Agreement Act / 2015 / $17,987,000

Comprehensive Land Claims Policy Inherent Right Policy Outstanding Business: A Native Claims Policy

 
  • Performance and results
  • Clarity and strategic direction
  • Processes and authorities
  • Federal coordination
  • Financial and Legal Issues
16. Self Government Agreements   X      

Grants to the Sechelt Indian Band pursuant to the Sechelt Self-Government Act / 2010 / $4,245,000

Grant to the Westbank First Nation to support the implementation of the Westbank First Nation Self-Government Agreement / 2010 / $4,124,000

Payments to Yukon First Nations pursuant to individual self-government agreements / 2011 / $45,096,000

Grant to the Miawpukek Indian Band to support designated programs / 2010 / $9,075,000 (SEPRO)

Grants for Mi'kmaq Education in Nova Scotia / 2010 / $32,858,000

17. Treaty Related Measures     X     Contributions to First Nations, their organizations, provinces and third parties for Interim Measures and British Columbia Treaty Related Measures / 2010 / $7,479,000



Lands and Trust Services

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
- Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Governance and Institutions of Government / Co-operative relationships
  • Capacity and governance
  • Accountabilities
  • Funding instruments
  • Performance and results
18. First Nations Land Management (program-led) X        

Contributions to implement the First Nations Land Management Act / 2008 / $13,600,000

First Nations Land Management Act

19. Indian Government
Support
      X  

Grant for Band Support Funding / 2010 / $227,843,000

Payments to support Indians, Inuit and Innu for the purpose of supplying public services in Indian Government Support / 2008 / $125,090,000

Contributions to support the building of strong governance, administrative and accountability systems / 2010 / $24,300,000

20. First Nations Fiscal and Statistical Management         X

Contributions to First Nations institutions for the purpose of enhancing good governance / 2008 / $9,581,000

Grant to the First Nations Financial Authority / 2011 / 850,000

Management of Individual Affairs   21. Registration and Administration     X    

Contributions to Indian bands for land and estates management / 2010 / $13,145,000

Contributions to Indian bands for registration and administration / 2010 / $6,519,000

Responsible Federal Stewardship   22. Contaminated Sites X         Contributions to First Nations for the management of contaminated sites / 2008 / $10,950,000



Policy and Strategic Direction

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Governance and Institutions of Government
  • Clarity and strategic direction
  • Accountabilities
23. Representative Organizations and Consultation and Policy Development   X      

Contributions for the purpose of consultation and policy development / 2010 / $24,824,000

Contributions to support the basic organization capacities of representative Aboriginal Organizations / 2012 / $12,633,881

24. Gender-Based Analysis X         Gender-based Analysis Policy
25. National Aboriginal Achievement Foundation (PCH led evaluation)   X       Contributions to the National Aboriginal Achievement Foundation / 2010 / $817,000



Aboriginal Economic Development

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Economic Development
  • Clarity and strategic direction
  • Authorities and process
  • Funding instruments
  • Performance and results
  • Unclear accountabilities
  • Processes and authorities
  • Functional guidance
26. Community Economic/ Aboriginal Business Development X        

Payments to support Indians, Inuit and Innu for the purpose of supplying public services in economic development / 2010 / $109,587,000

Aboriginal Business Development Program / 2008 / $38,000,000

Partnering Strategy for Aboriginal Economic Development




Northern Affairs

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Northern Economy and Governance
  • Interjurisdictional relationships
  • Performance and results
  • Functional guidance
27. Northern Economic Development and Governance X X      

Contributions for promoting regional development in Canada's three territories / 2010 / $22,457,200 (Strategic Investment)

Contributions for promoting the safe use, development, conservation and protection of the North's natural resources / 2010 / $24,416,100

Grant for the advancement of scientific knowledge of the North / 2010 / $1,085,500

Contributions for promoting the Political, Social, and Scientific Development of Canada's Three Territories / 2010 / $329,100

Northern Land and Resources
  • Interjurisdictional relationships
  • Performance and results
  • Functional guidance
28. ecoENERGY for Aboriginal and Northern Communities         X

29. Northern Environment

International Polar Year component (program-led formative evaluation)

 

X


X

     
Healthy Northern Communities
  • Interjurisdictional relationships
  • Performance and results
  • Functional guidance
30. Health Care and Counselling and Healthy Communities   X      

Contributions for Inuit Counselling in the South / 2010 / $80,000

Grants to the Government of the Northwest Territories and the Government of Nunavut for Health Care of Indians and Inuit / 2010 / $45,490,000

Food Mail




Office of the Federal Interlocutor

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Management of Métis Aboriginal Rights Issues and Operation of OFI
  • Clarity and strategic direction
  • Capacity and governance
31. Office of the Federal Interlocutor X         Federal Interlocutor's Contribution Program / 2008 / $13,504,000 Inherent Right Policy Supreme Court of Canada's Powley Decision
Economic Development
  • Capacity and governance level
  • Federal coordination
32. Urban Aboriginal Strategy       X   Urban Aboriginal Strategy / 2012 / $10,095,000



Chief Financial Officer

PAA Program Activity /Policy Area Risk considerations Evaluation Timeframe Fiscal Year Coverage
-Authority /year of expiry/
-Annual allocation (07/08)
-Policy framework
07/08 08/09 09/10 10/11 11/12
Departmental Management and Administration
  • Capacity and governance
33. Intervention Policy     X     Intervention Policy Framework



Special Studies – Chief Audit and Evaluation Executive

Issue Study Timeframe Fiscal Year
07/08 08/09 09/10 10/11 11/12
Funding Instrument Study An analysis of the effectiveness/appropriateness of funding arrangements available to the department for its programs/initiatives (Alternative Funding Arrangements, Flexible Transfer Payments, Contribution Agreements, Comprehensive Funding Arrangements) in the context of the government's/ department's broad policy objectives for its work with Aboriginal peoples.     X    
Regional delivery/functional guidance study An analysis of departmental processes for coordination and delivery of departmental program/initiatives via regional offices, including performance monitoring and progress reporting.   X      
Accountabilities study An assessment of the accountability provisions in departmental funding arrangements and whether satisfactory arrangements are being made for progress reporting by INAC to Parliament and Canadians and progress reporting by Aboriginal organizations to their communities.     X    
Comprehensive community planning study An analysis of the extent to which there is comprehensive community planning by Aboriginal organizations and an assessment of impact of comprehensive community planning projects now underway.       X  
Departmental performance monitoring/results reporting review (to be done annually) Each year, an assessment of performance information being collected by the department and its usefulness for departmental results reporting purposes will be prepared, with a particular emphasis on performance information for programs due to be evaluated in the following year. X X X X X
 

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Evaluation Management and Costs

Evaluation projects are led by Senior Evaluation Managers, with support from other staff of the department's Audit and Evaluation Sector and, in most cases, consulting resources. The project evaluation teams will seek input from other departmental officials, especially departmental officials with management responsibilities related to the program being evaluated, as needed.

The Senior Evaluation Managers will generally call on consulting companies to do fieldwork related to evaluations, e.g., literature reviews, interviews, case studies and expert focus groups.

Costs of consulting resources will vary, depending on project's scope and complexity. A preliminary per project estimate could range from $175,000 to $500,000. Project consulting costs will be borne by the responsible sector and Audit and Evaluation Sector. A detailed cost estimate will be developed by the Senior Evaluation Manager prior to its commencement, a part of the project terms of reference. Once Terms of Reference are approved by departmental senior management, sectors will be expected to arrange for the transfer of their share of project costs.

Costs of special projects that are not sector- or authority-specific will be borne by Audit and Evaluation Sector.

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Consultations

Consultations on the proposed strategic approach have taken place with Treasury Board's Centre of Excellence for Evaluation, which endorses it.

The plan was discussed with the senior management of all sectors in INAC to ensure that it provides for needed coverage and that the approach is sound.

Feedback on the plan was requested from, and discussions were held with, all Assistant Deputy Ministers and their management teams. Meetings were also held with a number of Directors General, and their suggestions were accommodated.

Indian and Northern Affairs Canada Evaluation Plan

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Updating the PLan

The plan will be updated and tabled at the Audit and Evaluation Committee annually, to take account of evolving needs for coverage and strategic information. Because it is a rolling plan, annual update will also identify evaluation activities for the fifth year of the plan.

The updated plan will reflect work not completed as planned and carried over to another fiscal year.

Indian and Northern Affairs Canada Evaluation Plan

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Appendix A

Evaluative Work by Year by Sector

2007-2008
Evaluation Sector
Comprehensive Land Claims Impacts Claims and Indian Government
Income Assistance, National Child Benefit Reinvestment Socio-Economic Policy and Regional Operations
First Nations Water Management Strategy Socio-Economic Policy and Regional Operations
Housing Policy Socio-Economic Policy and Regional Operations
Gender-Based Analysis Policy and Strategic Direction
Contaminated Sites Lands and Trust Services
Community Economic/Aboriginal Business Development Aboriginal Economic Development
Northern Economic Development and Governance Northern Affairs
Office of the Federal Interlocutor Office of the Federal Interlocutor
Departmental performance monitoring/results reporting review (to be done annually) Special Study - Chief Audit and Evaluation Executive



2008-2009
Evaluation Sector
Comprehensive Land Claims Impacts Claims and Indian Government
Specific Claims Claims and Indian Government
Self-Government Agreements Claims and Indian Government
On-Reserve Housing Socio-Economic Policy and Regional Operations
Northern Environment Northern Affairs
Health Care and Counselling and Healthy Communities Northern Affairs
Northern Economic Development and Governance Northern Affairs
Representative Organizations and Consultation and Policy Development Policy and Strategic Direction
Regional delivery/functional guidance study Special Study - Chief Audit and Evaluation Executive
Departmental performance monitoring/results reporting review (to be done annually) Special Study - Chief Audit and Evaluation Executive



2009-2010
Evaluation Sector
Long term Capital Planning Socio-Economic Policy and Regional Operations
Comprehensive Land Claims Impacts Claims and Indian Government
Treaty Related Measures Claims and Indian Government
Registration and Administration Lands and Trust Services
Intervention Policy Chief Financial Officer
Funding Instrument Study Special Study - Chief Audit and Evaluation Executive
Accountabilities study Special Study - Chief Audit and Evaluation Executive
Departmental performance monitoring/results reporting review Special Study - Chief Audit and Evaluation Executive



2010-2011
Evaluation Sector
Family Violence Prevention Socio-Economic Policy and Regional Operations
Child Welfare Socio-Economic Policy and Regional Operations
Elementary and Secondary Education Socio-Economic Policy and Regional Operations
Post Secondary Education Socio-Economic Policy and Regional Operations
First Nations Infrastructure Fund Socio-Economic Policy and Regional Operations
Urban Aboriginal Strategy Office of the Federal Interlocutor
Indian Government Support Lands and Trust Services
Comprehensive community planning study Special Study - Chief Audit and Evaluation Executive
Departmental performance monitoring/results reporting review Special Study - Chief Audit and Evaluation Executive



2011-2012
Evaluation Sector
ecoENERGY for Aboriginal and Northern Communities Northern Affairs
First Nations Fiscal and Statistical Management Lands and Trust Services
Emergency Management Socio-Economic Policy and Regional Operations
Departmental performance monitoring/results reporting review Special Study - Chief Audit and Evaluation Executive

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