ARCHIVED - Audit of Capacity Development - Follow-up Report Status Update as of March 31, 2010

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Action Plan Implementation Status Update Report To The Audit Committee - As of March 31, 2010

Regional Operations, Chief Financial Officer

Audit of Capacity Development (200721)
AEC Approval Date: 03/06/2009

Project Recommendations Action Plan Expected Completion Date Program Response
1. Appoint a strategic lead for Capacity Development and implement a Departmental approach to Capacity Development. Excellence in Capacity Development is key to INAC achieving its mandate and strategic goals, given increased obligations and opportunities coupled with limited resources. An ADM level lead is needed to direct strategic approach to coordinated, effective Capacity Development program development.

As seen in the successful INAC implementation of Gender-Based Analysis, infrastructure and dedicated resources are needed to effectively sup port program design and implementation.

July 2009 Status: In Progress/ Implementation ongoing

Update/Rationale:
As of 30/09/2009:

SADM RO:

SADM RO is working collaboratively with ADM PSD and recently issued a co-joint notice to Department on developing a capacity inventory.

Senior Management, at EXCOMM, supported the Community Development Framework (CDF) which articulates a new approach to capacity development that cuts across programs. The full implications of this CDF need to be further refined. But it is expected that, as programs are renewed, the inclusion of effective supports, incentives and tools to enhance capacity development will be identified. The Department's implementation of the Policy on Transfer Payments is also expected to provide practical guidance to programs on the inclusion of capacity development.

Update/Rationale:
As of 31/03/2010:

AES: The CAEE indicated that work with the CFO and SADM of RO has been well coordinated and recommended that updates on the two audits should cease going to the audit committee, with a follow-up report prepared for fall 2010.

The SADM of RO indicated that a quality management framework has been drafted and will be finalized by June, 2010. Piloting will begin shortly and will take a risk-based program life-cycle approach. Work on the Intervention Policy is also ongoing. Development of a new approach to the implementation of the revised Intervention Policy is ongoing.

The Policy and Strategic Direction Sector is developing several initiatives to address capacity development. A representative from the CFO Sector provided a brief update on the work.

AES: Underway

INAC will leverage internal expertise and resources with improved coordination and collaboration to the end that Capacity Development isn't just viewed as individual programs but a lens used to judge the impact and success of all INAC activities in the same way programs will be reviewed for their Economic Development impact.

For example: FN Land Management may fund a process to get to a land code and ideally a ratification of the code but the "success" of the process is in the development of leadership, community awareness and technical abilities that will allow the community to truly be self sufficient in land management.

April 2010
2. Establish program outcomes and associated performance measures and indicators. Develop program outcomes, performance measures and indicators. At time of program renewal or by March 2011, which ever comes first Status: In Progress/ Implementation ongoing

Update/Rationale:
As of 30/09/2009:

SADM RO:

Capacity development is a component of a large number of programs. Effective performance measurement of investments in capacity development may require a higher level performance measurement framework to be developed. RO and PSD are examining options and issues related to such a framework and will bring recommendations for senior management consideration by March 31, 2011.

AES: Underway

3. Develop performance measurement plans and supporting data collection regimes (e.g., adjust program guides, applications, and reporting templates to support data collection at the project level). Develop performance measurement plans and data collection regimes.

Gather and document baseline measures and indicators at time of renewal.

Develop and implement training on performance measurement and data collection.

Adjust applications, recipient reporting as needed to gather data.

At time of program renewal or by March 2011, which ever comes first Status: In Progress/ Implementation ongoing

Update/Rationale:
As of 30/09/2009:

SADM RO:

Currently, performance measurement plans are part of program development. As a the analysis with respect to a performance measurement framework progresses, greater detail on possible measurement plans, indicators, training, and adjustments to recipient reporting will take place. The program renewal plan of the Department will provide a schedule for any changes in performance measurement. Reducing reporting burden will be considered where possible - noting that the collection of relevant data from recipients is essential. The COF may emerge as a broad-based performance measurement framework.

AES: No comment at this time

4. Undertake a risk assessment with the Region's to determine that each Region's implementation approach ensures the program is delivered as approved; is compliant with the Policy on Transfer Payments and Program Authorities; has effective program management; and mechanisms are in place to monitor and evaluate program performance. Consistent approaches are required across regions for implementation of national programs. INAC is currently working to ensure standardized approaches for new and renewed programs are implemented across regions in accordance with program design and that have performance measurement and risk management strategies as elements of these. April 2010 Status: Implementation ongoing

Update/Rationale:
As of 30/09/2009:

SADM RO:

In response to the audit of Quality Management Program, SADM, RO, in collaboration with the CFO and Program ADM's, will develop a broad, risk-based, Department-wide Quality Management Framework that includes grants and contributions. This risk based approach to quality management activities will, once implemented, provide a consistent framework to monitor and evaluate program management and performance. The QMP will be developed in 2009-2010 and be implemented by June 30, 2010. As programs are renewed, they will include risk-based, quality management principles. Regions will apply quality management regimes that are required under program terms and conditions and management control frameworks. Appropriate segregation of duties will be employed consistently across regions.

Recommend that expected completion be amended to align with QMP delivery dates and Audit action plan of QMP and IP: June 30, 2010.

CFO: Agreed.

AES: Underway

5. Establish a monitoring regime of Regional implementation of programs to confirm that key national elements of the program, including performance measurement, have in fact, been implemented as approved. The Senior ADM, Regional Operations, in collaboration with the CFO and Program ADM's, will develop and operationalize a Department-wide Quality Management Program for Grants and Contributions. The QMP will be designed to address the specific issues regarding roles and responsibilities of key stakeholders and the promotion of a risk-based approach to compliance reviews. Guidance will be developed regarding acceptable staffing/organizational models for compliance reviews with a view to promoting consistency and appropriate segregation of duties. The QMP will be developed by December 31, 2009 and implemented by June 30, 2010. June 30, 2010 Status: In Progress/ Implementation ongoing

Update/Rationale:
As of 30/09/2009:

SADM RO:

This recommendation and action plan should be included with number 4 above.

AES: Underway

6. Align agreement templates and associated source documents (e.g., proposals and work plan templates) with requirements of the Directive on Transfer Payments and with Program T&Cs. Adjust/develop compliant templates including new funding approaches (fixed, flexible, block).

Develop and implement training on use of new funding approaches

Refer to TB approval documents in annual review of Program specific T&C

Adjust proposal /workplan templates to require monthly cash flow forecast by applicants to determine advance requirements

Implementation of Quality Assurance reviews (compliance of funding agreements)

At time of program renewal or by March 2011, which ever comes first Status: Implementation ongoing

Update/Rationale:
As of 30/09/2009:

SADM RO:

Under the broad direction of the PTP ADM Steering Committee, all program ADMs will adjust program-related templates to be consistent with the Policy on Transfer Payments as they are renewed/renovated. Currently, the CFO is maintaining the Departmental list of grants and contributions programs including priorities for renewal and for significant renovation. New funding approaches, cash-flow forecasting requirements and training will be provided as required. Guidance documents will be provided as needed in the context of PTP implementation. With respect to program ts & cs, the department has posted on its website the 3-year plan which identifies the department's plans for the creation of new programs, the continuation, amendment or termination of existing programs and evaluations or reviews.

CFO: Agreed.

AES: Underway

7. Develop and implement a risk-based approach for monitoring recipients and/or projects for compliance with the funding agreement and the Program T&Cs. The Senior ADM, Regional Operations, in collaboration with the CFO and Program ADM's, will develop and operationalize a Department-wide Quality Management Program for Grants and Contributions. The QMP will be designed to address the specific issues regarding roles and responsibilities of key stakeholders and the promotion of a risk-based approach to compliance reviews. Guidance will be developed regarding acceptable staffing/organizational models for compliance reviews with a view to promoting consistency and appropriate segregation of duties. The QMP will be developed by December 31, 2009 and implemented by June 30, 2010. June 30, 2010 Status: Implementation in progress

Update/Rationale:
As of 30/09/2009:

SADM RO:

The response to this recommendation is closely aligned with numbers 4 and 5 above. Compliance improvements are a focus of Quality Management Program, also under development.

Activities under PTP Implementation project will further address risk-based approaches to entering into and monitoring agreements with recipients. Renewing programs to better meet recipient need is part of the challenge faced by each program renewal. In the context of devolved programming managed by recipients, effective relationships will be essential to agreement development, accountability, control, monitoring and reporting regimes.

CFO: Agreed.

AES: Underway

 
 
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