Governance Capacity Planning Tool

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Introduction

The Governance Capacity Planning Tool (GCPT) was developed to allow First Nations communities to create a community‐focussed, long‐term plan for governance capacity development. The GCPT will help you to create a five year road map to governance capacity development based on your community's current capacities, assets and priorities. The plan you create will be a "living" document that you can add to or modify in the future. It will also serve as a reference document for you to measure and report on your successes.

The GCPT focuses on 10 core functions that all governments, regardless of structure or type undertake on a regular basis. These functions encompass activities that are performed by both the community leadership and community administrators. The core functions of government are the foundation upon which all other activities and functions are built. As such, it is critically important that as much effort as possible is placed on ensuring this foundation is strong and sound. The 10 core functions are:

  1. Leadership ‐ includes the selection and compensation of community leaders, as well as meetings of council and decision making. Examples of activities under this function include: leadership selection/election codes, leadership selection activities, meetings and roles and responsibilities for Chiefs and Councillors.

  2. Membership – involves recognition of First Nation (band) membership. Note that the determination of Status under the Indian Act is not dealt with in the GCPT. Activities under this function may include custom First Nation membership codes, registration of First Nations members and the maintenance of membership lists.

  3. Planning and Risk Management – includes developing priorities and goals, and measurement and reporting of government activities to foster continuous improvement, accountability and results. This function includes visioning, risk management, strategic planning, community planning and the monitoring, evaluation and reporting of program performance.

  4. Community Involvement – activities that allow community members to participate in government decision-making, and that keep the community informed of decisions and changes. This function includes policies and tools for communicating with First Nation members, community consultation, appeal mechanisms and dispute resolution measures.

  5. Law-Making – involves the establishment of bylaws required to regulate economic and social activity in the community. Examples of activities that are part of this function include, drafting new bylaws or amendments to existing bylaws, council decisions regarding passing or amending bylaws, and recording or registering bylaws.

  6. Financial Management – is the planning, implementation of budgets and monitoring of assets, liabilities, revenues and expenditures. This function includes the development of budgets and financial policies, the tracking of financial transactions, the development and distribution of audited financial statements, the collection of revenues and the tendering/awarding of contracts.

  7. Human Resource Management – includes hiring, retaining, training and compensation of the skilled personnel required to meet community goals. This function includes the development of policies (including a code of ethics and conflict of interest policies), the administration of salaries and benefits, the development of job descriptions, the administration and support of volunteers, and the recruitment and hiring of staff.

  8. Information Management and Information Technology – includes the hardware, software and business practices required to collect, store and distribute information. This function includes data security, access to information and privacy policies, document management, and computer hardware and software.

  9. External Relations – involves the community's relationship with other government organizations, non-government organizations and corporations. This function includes participation in intergovernmental forums and professional associations, communications with the public and other governments, and negotiations with stakeholders on land claims, resource rights and public-private partnerships.

  10. Basic Administration – encompasses the activities required to run an efficient central office. For example, general office policies, procedures and services, compensation of First Nation administrators and administrative assistants, management of utilities for the First Nation office, office security systems, etc.

The GCPT is structured as a step-by-step approach to governance capacity development planning and reporting. The GCPT is composed of six major sections: Preparation, Inventory of Existing Policies & Tools, Needs Identification, Prioritization, a Development Plan and Reporting.

When completing the GCPT workbook, you should keep in mind all of the 10 core functions of government, particularly in regards to their relationship to all the work that goes on within your administration.

Using the GCPT to Apply for Capacity Development Funding

Plans completed with the Governance Capacity Planning Tool can be used to support a proposal for governance capacity development funding from AANDC.

Many communities have already completed governance assessments or developed comprehensive community plans or strategic plans that include governance. In some cases, these plans may also be used to apply for capacity development funding from AANDC. You will soon be able to find out more about minimum requirements and how to adapt an existing plan as part of a capacity development funding proposal on the same website listed above.

 






A Step‐By-Step Approach

This workbook will assist you with the task of identifying, prioritizing and planning the development of governance capacities you may need, and / or strengthening existing governance abilities.

STEP 1: Preparation
Will help you to organize the contacts and information you need to complete the GCPT workbook and organize your time and efforts as effectively as possible. 

STEP 2: Inventory of Information and Existing Tools
Will help you establish a reference library of key information and documents related to your community governance. As noted earlier, your community may already have undertaken similar processes or projects that would benefit elements of this GCPT workbook.   

STEP 3: begins after you've set yourself up to fill out the GCPT. This will entail determining what specific elements of the 10 core functions and activities of government require strengthening and / or development through a Needs Identification.

Some questions are structured in terms of "yes" and "no" answers such as those intended to determine whether your community has a policy or mechanism in place. Some are structured as a "check-box" or list of particular items your community may have.  Where more detail may be useful, space has been provided (and you should feel free to insert additional pages – this is your tool and you may be referring back to it from time to time in the future and additional notes might be helpful).

To the degree possible, the questions have been structured to prompt objective answers. However, there are a few that may be based on your opinion or experience.

Community circumstances differ from one to another and so do priorities, particularly around development efforts. Having identified what your community governance needs are, you can then go through STEP 4: which is a Prioritization exercise, to determine how and in what order these needs can be addressed.

STEP 5: is the process of interpreting the information of the previous steps into a Development Plan. The Development Plan is based on a five year horizon and will therefore need to be flexible and adaptable. This will mean course adjustments and in some cases, reprioritization of projects and initiatives identified in the Development Plan during the course of its implementation. The Development Plan also allows you to identify a budget for each of the projects being contemplated.

STEP 6: is the creation of a proper Reporting framework that is built right into the Development Plan; is simple in nature; is updated as part of the regular course of business on an incremental basis; includes appropriate indicators and measures; and follows a logic model tied to the Development Plan and not just the specific project or initiative – it includes results, outputs and outcomes.






Step 1: Preparation

This workbook is designed to take approximately 3-5 hours for an individual who is familiar with their community's policies and procedures to complete on their own. It may take more or less time depending on your familiarity with those policies and procedures and the complexity of the governance systems already in place in your community.  

You may also choose to involve more people in completing the workbook. Added input may be helpful if you are less familiar with your community's governance system, and may provide a sounding board to discuss the questions in the workbook. Although this will likely produce a more reliable plan in the end, it may require some additional time and organization in the beginning.  

Once you have chosen your strategy, plan for enough time to complete the workbook in one or more sessions throughout the week, giving yourself or your team enough time to think through the ideas with limited interruptions.

If you have decided to complete the workbook as an individual, take the time to think of the key contacts, including community leaders, key staff members or other knowledgeable individuals who may be able to help you answer some of the questions, or give you useful history and background knowledge.

Your information:
First Nation / Organization Name:
GCPT Completed By:  
Phone Number:    
Email:  
Position:  
Notes:  


Key Contacts:
Key Contact 1
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  
Key Contact 2
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  
Key Contact 3
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  
Key Contact 4
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  
Key Contact 5
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  
Key Contact 6
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  
Key Contact 7
Contact Name:  
Phone Numbers:    
Email:  
Position:  
Notes:  







Step 2: Inventory of Information and Existing Tools

The next step in creating your governance capacity development plan is to take stock of the tools and policies your community already has on hand.  Below, you will find a list of the most common policies, procedures, guidelines and other documentation in use by First Nation communities.

Take the time to collect a copy of each of the documents listed below that are available in your community. You will use them to answer questions in Step 3.  Your community may have additional documents that are central.

Document Created  In Use
Leadership / Election Codes and / or Policies    
Code of Ethics – Chief and Council    
Code of Ethics – Administrators    
Roles and Responsibilities– Chief and Council    
Roles and Responsibilities – Administrators    
Organizational Chart    
Comprehensive Community Plan    
Community Capital Plan    
Membership Registry    
Privacy Policy    
Strategic Plan(s)    
Operational Business Plan(s)    
Performance Framework    
Community Vision Statement      
Government Vision / Mission Statement    
Constitution    
Human Resources Policy    
Job Descriptions – Administration Positions    
Council Meeting Procedures Document    
Land Use Plans    
Community Principles Document    
Orientation Package – Chief and Council    
Orientation Package – Administration    
By-law Ratification Procedures    
Conflict of Interest Guidelines – Chief and Council    
Conflict of Interest Guidelines – Administration    
Membership Code    
Community Consultation Procedures    
Appeal / Redress Procedures    
Community Participation Procedures    
Risk Management Framework    
Financial Administration Policies    
Financial Administration Codes    
Audit Procedures    
Information Management Plan    
Information Technology Plan    
By-Laws – Financial    
By-Laws – Other    
Administration Meeting Procedures Document    
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     

Please use spaces provided to list any other documents that might be helpful.

 






Step 3: Needs Identification

OBJECTIVES OF THIS SECTION

The objectives of this section of the tool is to identify the governance related needs of your community in terms of products and processes you already have, as well as those you may not have. The purpose of this tool is to assist in taking a structured and pragmatic approach to filling governance capacity needs where there is a need, and strengthening existing abilities. As such, you can determine, later on in the process, the priority you would like to assign to these needs (developing capacity and strengthening existing abilities) relative to addressing them.  

PROCESS

This section is organized by the 10 functions and activities of government, namely:

  1. Leadership
  2. Membership
  3. Planning and Risk Management
  4. Community Involvement
  5. Law-Making
  6. Financial Management
  7. Human Resources Management
  8. Information Management and Information Technology
  9. External Relations
  10. Basic Administration

The questions that follow in this section are grouped under each of the functions and activities above. Please use any extra space you may need to detail your answers if you feel notations or explanatory notes are needed. Later on, you will be asked to prioritize your responses as far as how great the need is in each specific area. Thorough answers will be of benefit to you when you come back and prioritize them.

SECTION 1: LEADERSHIP

Involves the processes used for the selection and compensation of leaders, as well as meetings of council and decision making. Examples of activities under this function include: leadership selection / election codes, leadership selection activities, meetings, roles and responsibilities for chiefs and councillors.

SECTION 1:  LEADERSHIP
Number Question Yes No
1  (a) Does your community have a custom leadership or election code?    
2  (a) If your community has a custom leadership or election code, was it voted on by the community (if your community does not have a custom leadership / election code, please proceed to question 4)?    
(b) When was the vote (please provide details below)?      
(c) Have any changes been made to it since its acceptance by the community?    
(d) Were the changes voted on by the community?    
(e) How were the changes communicated if they were not voted on (please provide details below)?    
3  (a)
What feedback methods were used with the membership when creating or revising the leadership / election code?

Surveys / Questionnaires
Town Hall / Membership Meetings
Focus Group / Workshops
Suggestion Box
One-on-One Discussions


Other (please provide details below):


   
3  (b)
Who participated in creating or revising the leadership / election code?

On-Reserve
Elders 
Youth (12 to 17 years old)
General Membership

Off-Reserve
Elders 
Youth (12 to 17 years old)
General Membership
   
4
If your community does not have a formalized custom leadership/election code, are Chief and Council elected through:

Indian Act (sections 76-79)
Unwritten custom leadership


Other (please provide details below):

   
5
Has your community developed, and do you use any of the following guidelines during your electoral/leadership process?

Codes of Ethics
Removal from Office
Nomination Procedures
Appeal Mechanism
Ballot Counting
Recall Procedures
Special Elections
Orientation for
Newly Elected Councils
General Election Procedures (for the membership)
Voting Eligibility
Off-reserve Procedures
Posting / Communicating Election Results On-Reserve
Posting / Communicating Election Results Off-Reserve
Leadership Oath
   
6
How are off reserve election ballots collected?

Mail-In
Ballot Box (please describe process):


Other (please provide details below):

   
7  (a)
How does your community's leadership communicate with members on-reserve regarding elections?

Mail-In
Community  Internet
Site (www page)
Newsletter
Radio
Community Newspaper
Flyers / Circulars


Other (please provide details below):

   
(b)
How does your community's leadership communicate with members off-reserve regarding elections?

Community  Internet Site (www page)
Radio
Newspaper
Mail-outs


Other (please provide details below):

   
8  (a)
How does your community's leadership communicate with members on-reserve regarding Council meetings?

Community  Internet Site (www page)
  Newsletter
Radio
Community Newspaper
Flyers / Circulars
Does not communicate with members on this subject


Other (please provide details below):

   
8  (b)
How does your community's leadership communicate with members off-reserve regarding Council meetings?

Community  Internet Site (www page)
Radio
Newspaper
Mail-outs


Other (please provide details below):

   
9  (a) Have there been cases where community leadership selection was contested (ex: election appealed)?    
(b)
How was the situation(s) dealt with?

The community has guidelines in place within the
election code and it was used to resolve the issue.

The issues were resolved in accordance with the Indian Act.

The issue was taken to court.

The issue was not resolved.


Other (please provide details below):

   
10
Where can the membership view or obtain a copy of the election/leadership code?

Administration Office
Community web-site
Community
Library / Resource Centre
Not Available


Other (please specify below):

   
11
Are council meetings open to the membership?

Always
Monthly
Quarterly
Semi-annually
Annually
Depending on subject
   

SECTION 2: MEMBERSHIP

Membership involves recognition of First Nation (band) membership. Activities under this function may include First Nation membership decisions, registration of First Nations members and the maintenance of membership lists.

SECTION 2: MEMBERSHIP
Number Question Yes No
12 Does your community have a membership code?    
13
Does the membership code cover the following criteria/subjects/provisions?

Birth
Marriage
Reinstatement
Application for Membership
Loss of Membership
Direct Descendent
Adoptions
Voting
False or Misleading Information
Traditional Ceremony
   
14  (a) If your community does have a membership code, was it voted on by the community?    
(b) When was the vote (please provide details below)?    
(c) Have any changes been made to it since initially accepted by the community?    
(d) Were the changes voted on by the community?    
(e) How were the changes communicated if they were not voted on (please provide details below)?    
15
What feedback methods were used with the membership when creating or revising the membership code?

Surveys / Questionnaires
Town Hall / Membership Meetings
Focus Group / Workshops
Suggestion Box
One-on-One Discussions


Other (please provide details below):

   
16
Who participated in creating or revising the membership code?

On-Reserve
Elders 
Youth (12 to 17 years old)
General Membership

Off-Reserve
Elders 
Youth (12 to 17 years old)
General Membership
   
17 Are the rights and responsibilities of the members explained in the membership code?    
18 Is there an appeal process in place?    
19 (a)
What is the general response from applicants who apply for membership about the process?

The code is:
Straightforward / Clear
Lengthy
Costly
Biased
Too Complicated
Fair


Other (please provide details below):

   
(b)
Where can applicants get the membership application form?

On-line (community web-site)

Request in writing to the
First Nation Administration Office

In person at the
First Nation Administration Office


Other (please specify below):

   
20
Where can the membership obtain a copy of the membership code?

Administration Office
Community web-site
Community Library / Resource Centre


Other (please specify below):

   
21 How often is your membership code updated (please describe below)?    
22  (a)
What measures does your community have in place to protect personal information of members and applicants?

Policies on access to information and privacy
Guidelines outlining how to request access to the registry
A records management policy for administrators
Guidelines explaining how personal information can and cannot be used
Records management training for staff
   
(b)
Are the measures in question 22 (a) actively used?

   
(c) What other security measures does your community employ to protect personal information relative to applying for or being listed on the registry?    

SECTION 3: PLANNING AND RISK MANAGEMENT

Planning and Risk Management includes the planning and monitoring of government activities to foster continuous improvement, success and accountability in community programs. This function includes visioning, risk management, strategic planning, community planning and the monitoring, evaluation and reporting of program performance.

SECTION 3:  PLANNING AND RISK MANAGEMENT 
Number Question Yes No
23  (a) Does your community have a "strategic plan" or other document that sets out long term objectives of the community?    
(b) If your community has such a document, what is it called (please provide details below)?    
(c) When was it last updated (please provide details below)?    
24
Does your community's strategic plan (or other similar document) include:

A Vision Statement
A Mission Statement
A Statement
of Principles / Values
A section on organizational strengths and weaknesses
Goals, objectives and / or targets
An analysis of opportunities and risks
   
25  (a)
Who participated in the creation of your community's strategic plan or similar document?

 On-Reserve
Elders 
Youth (12 to 17 years old)
General Membership

Off-Reserve
Elders 
Youth (12 to 17 years old)
General Membership
   
(b)
Who participates in the amendments to your
community's strategic plan or similar document?

 On-Reserve
Elders
Youth (12 to 17 years old)
General Membership

Off-Reserve
Elders 
Youth (12 to 17 years old)
General Membership
   
26 What process was used to achieve community consensus on issues in the plan such as long term community goals (please provide details below)?    
27 In terms of community projects – in the planning stages of these projects, does your community have a process to assess risks?    
28 In terms of the over-all long term plan – does your community have a process to assess risks?    
29 How do you measure whether the goals and objectives in your long term plan are being achieved (please provide details below)?    
30  (a)
Please indicate which of the following elements are included in your community's risk management framework, in relation to your community's long term plan:

Indicators for each goal or target
Procedures on how data for the indicators are to be collected
Identification of how often data is collected for each indicator
Identification of who has access to results of evaluations / assessments
   
(b) Do you have any other methods of identifying risk (please describe below)?    
31 What are some of the typical barriers your community encounters when trying to implement elements of your long term plan (please describe the element, such as for example a project and what barriers are associated with that element)?    

SECTION 4: COMMUNITY INVOLVEMENT

Community Involvement describes activities that allow community members to participate in government decision making, and that keep the community informed of decisions and changes. This function includes policies and tools for communicating with First Nation members, community consultation, appeal mechanisms and dispute resolution measures.

SECTION 4:  COMMUNITY INVOLVEMENT
Number Question Yes No
32  (a) Does your community have a document that details how community participation is sought in the various processes that are undertaken by your community's government (formal process)?    
(b) If the answer to question 32 above was "No", does your community have an informal process that it uses to ensure participation? Please describe this process:    
33
Who participates in the community involvement process?

On-Reserve
Elders 
Youth (12 to 17 years old)
 General Membership

Off-Reserve
Elders 
Youth (12 to 17 years old)
 General Membership
   
34
What elements does your formal or informal community involvement process include?

Description of decision making process

On-going documentation of best-practices

Identification of when community
involvement is required
 
Methods that promote language and cultural integrity / practices

Identification of how information is distributed to membership

Description of how particular groups are involved (ex: Elders)

Mechanisms for disputes

Agendas for Public Meetings

Records of Minutes of Public Meetings


Other (please describe below):

   
35
Where can the membership view or obtain information about the community involvement process?

Administration Office
Community web-site
Community Library
/ Resource Centre
Not Available


Other (please specify below):

   
36
Where can the membership view or obtain information about
the results of a community involvement process?

Administration Office
Community web-site
Community Library
/ Resource Centre
Not Available


Other (please specify below):

   
37 (a) In cases where your community's engagement process does not attain consensus on an issue, how are disputes resolved (please describe below)?    
(b) In these instances (where consensus is not reached), who decides the way forward (please describe below)?    

SECTION 5: LAW-MAKING

Law-Making entails the establishment of bylaws required to regulate economic and social activity in the community. Examples of activities that are part of this function include, drafting proposed bylaws, council decisions regarding passing or amending bylaws, and recording or registering bylaws.

SECTION 5:  LAW-MAKING 
Number Question Yes No
38 Does your community have a Constitution or similar document (ex: Code of Rules)?    
39
Which of the following features does your community Constitution or similar document contain?

A section on rights and freedoms of members

Description of the restrictions of government authorities

A process for amendments

A process for ratification

Description of the historical and cultural context, and customs

A section on Treaty rights

Guidelines on language preservation

A description of the process used to draft new laws

Law enforcement processes


Other (please specify below):

   
40
Who participated in creating your community Constitution or similar document?

On-Reserve
Elders 
Youth (12 to 17 years old)
 General Membership

Off-Reserve
Elders 
Youth (12 to 17 years old)
 General Membership
   
41
Where can the membership view or obtain a copy of your community's Constitution or similar document? election/leadership code?

Administration Office
Community web-site
Community Library / Resource Centre
Not Available


Other (please specify below):

   
42  (a) Does your community have guidelines for passing by-laws and legislation?    
(b)
Do the guidelines for passing by-laws and legislation include any of the following elements?

Rules on public notice
Council process relative to by-law development 
Process for the amendment of by-laws
Rules on public consultation


Other (please specify below):

   
43  (a) Does your community have any by-laws in place?    
(b)
Are community by-laws enforced by way of the following mechanisms:
 

By community by-law officers
By an external law enforcement agency via a contractual agreement 
Rarely enforced
Never enforced

Other (please specify below):

   
44(a)
How often are by-laws reviewed and/or updated?
 

Quarterly
Semi-Annually
Annually
Only as required
   
(b) Does your community have a policy on by-law development?    
45 Does your community's government consider their Strategic Plan (or long term plan) when developing and passing by-laws?    

SECTION 6: FINANCIAL MANAGEMENT

Financial Management entails the planning, implementation and monitoring of assets, liabilities, revenues and expenditures. This function includes the development of budgets and financial policies, the tracking of financial transactions, the development and distribution of audited financial statements, the collection of revenues and the tendering / awarding of contracts.

SECTION 6:  FINANCIAL MANAGEMENT
Number Question Yes No
46  (a) Does your community have a Financial Management Plan or similar plan?    
(b)
How often is the Financial Management Plan reviewed and/or updated?

Quarterly
Semi-Annually
Annually
Only as required


   
(c) When was the Financial Management Plan last updated / revised?    
47
Is the Financial Management Plan integrated with
any of the following
community based plans?

Human Resources Plan
Capital Plan
Strategic Plan
Information Management / Information Technology Plan


Other (please describe below):

   
48 Does your community's Financial Management Plan include any of the following elements (please check appropriate boxes):

□  annual budget preparation procedures
□  a budget
□  financial procedures
□  data management procedures
□  debt management procedures
□  guidelines on Honouraria
□  record keeping procedures
□  audit procedures
□  disclosure guidelines
□  travel policies and procedures
□  policy on payment processing
□  list of signing authorities
□  staff certification requirements
□  salary tables
□  policies for loans
□  policies on advances
□  policies on procurement / awarding of contracts

Other (please describe below):

   
49 (a)
Where can the membership view or obtain information about the First Nation's finances including how funds are distributed for community services? election/
leadership code?

Administration Office
Community web-site
Community Library / Resource Centre
Not Available


Other (please specify below):

   
(b) How does the membership obtain information specific to the remuneration of elected officials (please describe)?    
50 Does Council approve borrowing?    
51
What features does your financial management system include?

Tracking process for information on receipts, cash disbursements and salaries

A manual accounting ledger

Cataloguing of bank statements

Day to day  tracking of accounts receivable and payable

Information / tracking of Trust accounts

Information / tracking of expense accounts (individual travel, expense claims, etc.)


Other (please specify below):

   

SECTION 7: HUMAN RESOURCE MANAGEMENT

Human Resource Management includes all activities required to hire, retain, train and compensate the skilled personnel required to meet organizational goals. This function includes the development of policies (including a code of ethics and conflict of interest policy), the administration of salaries, benefits and training, the development of job descriptions, the administration and support of volunteers, and the recruitment and hiring of First Nation / community staff.

SECTION 7:  HUMAN RESOURCE MANAGEMENT 
Number Question Yes No
52 (a) Do you have a Human Resource manual or materials?    
(b) When was the manual / materials last updated (please provide details below)?    
53 Do your Human Resource manual include policies and procedures that cover:

□  employee recruitment
□  disciplinary measures
□  salary grids
□  conflict of interest guidelines
□  job qualifications / classification grid
□  training / development guidelines
□  code of values and ethics
□  annual budget preparation procedures
□  probation
□  grievance and appeal processes
□  attendance guidelines
□  harassment / discrimination guidelines
□  promotion guidelines
□  benefits
□  retirement planning and procedures
□  hours of work
□  language and cultural practices in the workplace guidelines
□  performance guidelines
□  succession planning guidelines
   
54
How are changes to human resource management policies and procedures communicated to employees?

Via email

Provided with hard copies

Orally at staff meetings


Other (please provide details):
   
55 Are hours of work established and employees aware of them?    
56 Do employees have adequate access to training and development?    
57 Are employees subjected to performance evaluations on an annual (at a minimum) basis?    
58 Does your grievance and appeal process:

□  include a clearly articulated dispute resolution process
□  follow a methodology that incorporates identifying remedies
□  provide a clear definition of harassment and discrimination
□  we do not have a grievance and appeal process
   
59 (a) Are competitions for jobs with the First Nation administration advertised?    
(b)
How are they advertised?

Community  Internet Site (www page)
Community Newsletter
Radio
Newspaper
Mail-outs (flyers)


Other (please provide details below):
   
60 Are workplace accidents recorded in accordance with provincial, territorial or federal laws?    

SECTION 8: INFORMATION MANAGEMENT / INFORMATION TECHNOLOGY

Information Management / Information Technology (IM / IT) includes both the physical systems and business practices required to administer reliable, secure and accessible information. This function includes data security, access to information and privacy policies, document management, and computer hardware and software.

SECTION 8: INFORMATION MANAGEMENT / INFORMATION TECHNOLOGY
Number Question Yes No
61 Do you have an Information Management plan?    
62 Do you have an Information Technology plan?    
63
Does your Information Management / Information Technology plan address:

Your current information needs

Disaster recovery

Purging / archiving

IT infrastructure maintenance and upgrading

How the role of IM / IT is communicated to staff

Employee IM / 
IT
skills development

Information retention

Records and information control

Privacy and protection of personal information

Systems development and software purchasing
   
64 Do you have an employee or group of employees dedicated to your IM / IT needs; or
Do you contract IM / IT services?
   
65
Does your IM / IT group or contractor:

Meet regularly with members of the Administration to understand the business objectives

Meet regularly with Chief and Council to understand their needs
Update the system regularly and fix problems as they arise
Train others

   
66
What evaluation procedures are in place to monitor IM/IT performance?

IM / IT is a component in the Strategic Management Plan

A process is in place that assists in identifying information that is out of date

A process is in place whereby Council is notified of records and information that is to be disposed of or archived

Mechanisms are in place that restrict access to inappropriate or offensive materials

Technology upgrades are regular and major upgrades are planned for
   
67
How often is software and/or hardware updated?

Every 3 years
Every 5 years
Every 10 years
When it fails and not before


Other (please describe):

   
68
How does staff obtain IM/IT training (initial and on-going skills development)?

Sent away on training courses
Training contracted into the office
Self-training


Other (please describe):

   
69 (a) Is your community web-site content updated frequently enough to be current?    
70 Does your administration utilize any of the following technology:

□  a local access network
□  printers for each computer station
□  shared network printers
□  a fax machine
□  mobile cellular service in the community
□  internet access
□  word processing software
□  spreadsheet software
□  computer stations for each employee
□  a pool of laptop / portable computers
□  a black and white copier(s) – not a printer
□  a colour copier(s) – not a printer
□  a scanner(s)
□  e-mail

Other technology (please describe):

 

 

SECTION 9: EXTERNAL RELATIONS

External Relations involve the community's relationship with other government organizations, non-government organizations and corporations. This function includes participation in intergovernmental forums and professional associations, communications with the public and other governments, and negotiations with stakeholders on land claims, resource rights and public-private partnerships.

SECTION 9:  EXTERNAL  RELATIONS
Number Question Yes No
71 Does Council have a clear vision or strategy regarding its relationship with other stakeholders?    
72 Does your strategic or community plan include a section on intergovernmental issues or relations?    
73 On balance, does your community have open and cooperative relations with:
Neighbouring municipal governments
Neighbouring municipal residents
The provincial government
The federal government
 
   
74 (a) Does your community have shared servicing agreements with local municipal governments in which the local municipal government provides services to your First Nation?    
(b) Do these agreements respect / are compatible with your community's policies and / or by-laws?    
(c) Does your community have shared servicing agreements with local municipal governments in which your First Nation provides services to the local municipality?    
(d) Do these agreements respect / are compatible with the municipality's policies and / or by-laws?    
(e) Does your community have shared servicing agreements with another First Nation in which your community is provided services by that  First Nation?    
75 Does your administration have a dedicated intergovernmental coordinator position;
or
is this responsibility part of another position?
   
76 Are there any internal intergovernmental committees in your community set up to maintain relations with other governments on subjects such as:

Culture
Heritage
Land use / land planning
Environment
Natural resources
Economic development
Emergency measures
Dispute resolution


Other (please describe):

   
77
Apart from service agreements with local municipalities and/or other First Nations, does your community have any other types of intergovernmental agreements in place or is involved in intergovernmental forums such as those described below?

Multilateral Agreements: typically used by federal and provincial governments working with 3rd parties – are generally used in urban development agreements. The parties enter into these agreements as partners and risk is spread equally.

 Community Partnership Table: tables where municipal, provincial (and or territorial), federal and First Nation leaders discuss common interests and issues. All parties have equal say.

 Inter-sectoral Committees: based on integrated and collaborative processes designed to facilitate service delivery to the community. Composition is predominantly municipal, provincial (and or territorial), federal and First Nation officials but can include representation from others such as school boards, policing services providers, health service providers and Aboriginal organizations.

Community Accords: are between a First Nation and a neighbouring community to describe current and future government relations.

Other Agreements: (please describe)


   

SECTION 10:    BASIC ADMINISTRATION

Basic Administration encompasses the activities required to run an efficient central office. For example, general office policies, procedures and services, compensation of First Nation administrators and administrative assistants, management of utilities for the First Nation office, office security systems, etc.

SECTION 10: BASIC ADMINISTRATION
Number Question Yes No
78 (a) Does your administration have an operations manual?    
(b) Does the operations manual include sections on:

□  office procedures
□  hospitality guidelines
□  travel guidelines
□  purchasing guidelines
□  an organizational chart of the administration (by area)
□  emergency preparedness procedures
□  contracting procedures and information
□  maintenance and asset management

Other (please describe):


   
(c) Is your operational manual updated regularly and kept current?    
(d) Are the office procedures outlined in the manual followed?    

 

 





Step 4: Prioritization

Having completed the Needs Identification, you can now determine what areas you may wish to focus effort on, or prioritize in terms of investing capacity development. To ensure that your individual situation is accommodated, your prioritization should be considered over a five year time frame. This will allow for a strategic approach to your planning and provide you with the opportunity to determine the best approach to development in relation to your circumstances.

Prioritization should follow a format consistent with planning and reporting. As such, priorities should be identified in terms of:

  • The function and activities associated with governing (Leadership, Membership, Planning and Risk Management, Community Involvement, Law‐Making, Financial Management, Human Resource Management, Information Management and Information Technology, External Relations, Basic Administration);
  • need; and
  • the timeframe, in terms of which year (over a five year period) you believe it most advantageous to focus on the particular need.
Note: If you have not completed the Needs Identification and have completed a governance assessment such as, for example, that offered by the Aboriginal Financial Officers Association – you should be able to prioritize your needs with the same approach. However, it is still advisable to go through the GCPT to see if there are any other opportunities you can take advantage of.

PRIORITIZATION OF NEEDS BY FUNCTION

 The following tables will assist in converting the information you've collected in the previous section (Needs Identification) into a description of how those needs would be filled and the timing that is most appropriate.

FUNCTION / ACTIVITY*
Identify category of need
NEED
Describe what is required
YEAR IN WHICH DEVELOPMENT SHOULD OCCUR 
Identify the year in which the efforts should be made to address the need
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     

* Refers to: Leadership, Membership, Planning and Risk Management, Community Involvement,
Law‐Making, Financial Management, Human Resources Management, Information Management and Information Technology, External Relations, or Basic Administration.

 

 






Step 5: Development Plan and Step 6: Reporting

At this stage, you have:

  • identified your needs;
  • selected which needs are of greatest priority; and
  • determined the appropriate timing to address those needs.

In "Step 4", you identified your needs in terms of functions and activities associated with governing (Leadership, Membership, Strategic Planning, Community Involvement, Law‐Making, Financial Management, Human Resource Management, Information Management and Information Technology, External and Intergovernmental Relations, Basic Administration and Operations)

The next step is to develop a plan that re‐describes your needs as development projects. Using the information in the PRIORITIZATION OF NEEDS BY FUNCTION chart on the previous page, describe the projects required to address your needs in the template contained in ANNEX "A": PROJECT IDENTIFICATION AND REPORTING. This template will also be used for the final step ‐ Reporting. Once finalized, ANNEX "A": PROJECT IDENTIFICATION AND REPORTING will serve as an evergreen project plan, project proposal and reporting form.

 






Annex "A": Project Identification and Reporting

PROJECT IDENTIFICATION AND REPORTING TEMPLATE

Planning Horizon: Year 1 (__________) to Year 5 (__________)

DESCRIPTION OF
PRIORITY
CORRESPONDING
PROJECT(S)
VALUE YEAR ANTICIPATED
OBJECTIVES
MEASURES TIME
FRAME
ACTUAL NOTES
        Results:

       
        Outputs:

       
        Outcomes:

       

EXPLANATION OF TEMPLATE

DESCRIP-
TION OF
PRIORITY
CORRES-
PONDING
PROJECT(S)
VALUE YEAR ANTICI-
PATED
OBJECTIVES
MEASURES TIME
FRAME
ACTUAL NOTES
Description of
priority,
corres-
ponding to
one of the 10
functions and
activities of
government*
Description of project /
initiative that will
strengthen areas of
weakness related to
priority area identified
in preceding column.
required
to
undertake
project or
initiative.
Year in
which
project
or
activity
will be
initiated.
Results:

Activities to be
undertaken.
Mostly
quantifiable.
Im-
mediate
Actual results
achieved.
 
Outputs:

Products
resulting from
activities.
A mix of
quantified and
qualitative.
Im-
mediate
to 3rd year.
Actual outputs
achieved.
 
Outcomes:

Benefit realized
from the
application of the
products.
Mostly
qualitative.
Beyond 3
years.
Actual outcomes
achieved.
 

* The 10 Functions and activities of government are Leadership, Membership, Law‐Making, Planning and Risk Management, Financial Management, Human Resource Management, Information Management and Information Technology, Community Involvement, External Relations, and Basic Administration.

SAMPLE

PROJECT IDENTIFICATION AND REPORTING TEMPLATE ‐ Planning Horizon: Year 1 (2010‐11) to Year 5 (2015‐16)

DESCRIP-
TION OF
PRIORITY
CORRES-
PONDING
PROJECT(S)
VALUE YEAR ANTICI-
PATED
OBJECTIVES
MEASURES TIME
FRAME
ACTUAL NOTES
Financial
Mana-
gement
Development of
financial codes and
processes. Project will
include:

‐ the development of
codes;

‐ the development of
roles and
responsibilities for Chief
& Council, and
administrative staff;
and

‐ 2 workshops for Chief
& Council and
administrative staff on
implementation.
$30K
















$20K
1
















2
Results:

‐ Financial codes.
‐ Roles and
respon-
sibilities
document.
‐ Training of
leadership and
administration.
‐ Completed
codes and
related
supporting
documen-
tation.
‐ Comple-
ted
workshops.

Year 1






Year 2

See "Notes"
column.
The "Actual" column
would be comple-
ted
on an evergreen basis
(at least annually) and
would identify the
actual results, outputs
and outcomes.
Outputs:

‐ Articulated and
defined processes
and systems that
are part of the
daily
administration
‐ Codes made
publicly
available
to the
membership.
Year 2 See "Notes"
column.
Outcomes:

‐ Strengthened
financial
management.
‐ Increased
financial
accountability to
membership.
‐ Reduction of
tran-
sactional
errors.
‐ Improved
financial
health
(evident
through
audits).
‐ Trans-
parency
with
membership.
Year 2


Year 3



Year 3
See "Notes"
column
.