ARCHIVED - Audit of On-Reserve Community Infrastructure - Follow-up Report Status Update as of September 30, 2011

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Action Plan Implementation Status Update Report to the Audit Committee - As of September 30, 2011

Regional Operations

Audit of On-Reserve Community Infrastructure
Approval Date: 02/22/2011

Project
Recommendations
Action Plan Expected
Completion Date
Program
Response
1. The Senior Assistant Deputy Minister, Regional Operations Sector, should ensure that implementation of the Performance Measurement Strategy is completed on a timely basis. Community Infrastructure Branch will work to completely implement the Performance Measurement Strategy for the Capital Facilities and Maintenance Program in a timely manner including identification of baselines and targets for each of the 20 indicators, revising of program tools in order to ensure proper measurement of the performance indicators, and reporting back on a number of ongoing pilot projects that will further support the effective implementation of the performance measurement strategy. Of the 20 Key Performance Indicators (KPI) for the Capital Facilities and Maintenance Program, only 5 KPIs currently have no established targets or baselines. An additional 3 KPIs (relating to housing and schools) will have targets and baselines between now and Fall 2012. The delay for these 3 KPIs is related to the need to develop new infrastructure asset inspection tools and processes in order to ensure capacity to capture proper performance information. Finally, 2 KPIs (fire protection Level of Service Standards and O&M capacity) will require significant work to develop entirely new data collection methodologies and tools so that accurate data can be captured in support of establishing proper performance targets and baselines. This work is anticipated to be completed by March 2013. March 2013 Status: On-going

Update/Rationale:
As of 30/09/2011:

Community Infrastructure Branch identified baselines and targets for each of the 20 indicators of the PMF. Key Performance Indicators (KPIs) and draft targets for the CFM Program, were incorporated into the department's draft 2012-13 Performance Measurement Framework (PMF) and submitted to Treasury Board in June, 2011.
  • Of the 20 KPIs for the CFMP, it was noted that the baseline for KPI ‘Education Facilities – % of schools with a greater than "fair" condition rating' was inaccurate. This baseline has been amended and targets adjusted accordingly in the latest draft of the PMF.

  • In addition, data from ICMS was used to establish a baseline and targets for the KPI ‘Education Facilities – % of communities implementing Maintenance Management Plans'. The baseline and targets have been adjusted accordingly in the latest draft of the PMF.

  • Two KPIs "% of First Nation schools with fire protection systems assessed as being greater than "fair"" and "% of First Nation schools that meet health and safety standards" still do not have established baselines. Those baselines will be established before April 2012. Those 2 KPIs have no established targets yet. Work is being done to develop them.

  • One KPI "% of First Nations that adhere to the 1996 Housing Policy having valid Housing Plans" doesn't have a baseline nor a target. It is expected that the baseline and target will be established by June 2012.

  • Finally, two KPIs (fire protection Level of Service Standards and O&M capacity) will require more work to develop new data collection methodologies and tools so that accurate data can be captures in support of establishing proper performance targets and baselines.

  • The Branch is currently revising its program tools in order to ensure proper measurement of the performance indicators, and will be reporting back on a number of a pilot projects that will further support the effective implementation of the PMS.

AES: Implementation ongoing.
2. The Senior Assistant Deputy Minister, Regional Operations Sector, should ensure that:
  • the CFM Risk Profile Mitigation Plan is completed and implemented;
Community Infrastructure Branch will continue to work with regional offices to implement the CFM Program Risk Profile Mitigation Plan and ensure a process is in place to conduct annual reviews of the Risk Profile and associated Mitigation Plan. March 2012 a) Status: Ongoing

Update/Rationale:
As of 30/09/2011:

Work is underway to develop a Risk Profile Mitigation Plan. Plan should be in place for 2012-13.
  • major capital project risk assessments are formalized and documented; and,
Community Infrastructure Branch will formalize use of major capital project risk assessments within the CFM Program's Management Control Framework and ensure proper documentation and usage of the project risk assessments through existing project file reviews conducted on an annual basis. April 2011 b) Status: Completed. Request to close.

Update/Rationale:
As of 30/09/2011:

Major capital project risk assessments are formalized and documented.

CFM Program's Management Control Framework has been revised to include methodology and process for completing major capital project risk assessments.
  • guidance for mitigating actions, specific to the management of capital infrastructure activities, stemming from the departmental General Assessment process is developed and communicated.
Community Infrastructure Branch will revise its Management Control Framework to include a risk-based governance regime that details mitigating actions specific to the management of capital infrastructure activities that are based on the varying degrees of project and recipient risk. April 2011 c) Status: Completed. Request to close.

Update/Rationale:
As of 30/09/2011:

CFM Program's Management Control Framework has been revised to include methodology and process for completing major capital project risk assessments. Revised MCF was approved at Operations Committee in May 2011. Regions are now using Risk Assessment Tool. Oversight visits will verify the use of Risk Assessment Tool.

AES: Partially complete. Part a) is ongoing and parts b) and c) are fully implemented. Recommendations for parts b) and c) will be closed.
3. The Senior Assistant Deputy Minister, Regional Operations Sector, should ensure that the Management Control Framework is extended to the funding of minor capital and O&M and a comprehensive set of guidance documents supporting the Management Control Framework is completed as planned on a timely basis. Community Infrastructure Branch will revise its Management Control Framework for the CFM Program to include sections for minor capital and O&M activities.

Community Infrastructure Branch will continue work to fully develop the Protocol for INAC-Funded Infrastructure, which will include a comprehensive set of guidance documents supporting the Management Control Framework. The Protocol will initially be in place for April 2011 and will updated on a continual basis as new guidance documents relating to major capital, minor capital and O&M are developed.
March 2012 (O&M component added to MCF)

September 2012 (Minor Capital component added to MCF)
Status: Underway

Update/Rationale:
As of 30/09/2011:

Work Is underway to add an O&M component to MCF for March 2012.

Work is underway to add Minor Capital component to MCF for September 2012.





AES: Implementation ongoing.
4. The Senior Assistant Deputy Minister, Regional Operations Sector, should ensure that a comprehensive monitoring and compliance regime, with consideration of compliance audits, covering major capital projects and funding of minor capital and O&M is implemented. Community Infrastructure Branch will work with regional offices to build upon current monitoring and compliance practices to ensure that all funding streams within the CFM Program have proper monitoring and compliance activities.

Community Infrastructure Branch will ensure that all monitoring and compliance activities and requirements are formally captured within existing program governance documents.
March 2012 Status: Underway

Update/Rationale:
As of 30/09/2011:

Work Is underway to add an O&M and Minor Capital component to MCF, including monitoring and compliance requirements. Expected completion dates: March 2012 for O&M, September 2012 for Minor Capital. A broader compliance and monitoring regime for the CFMP will not be created as a stand-alone project but will be aligned with departmental direction on recipient auditing and other compliance and monitoring approaches.

AES: Implementation ongoing.
 
 
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