ARCHIVED - Audit of On-Reserve Community Infrastructure - Follow-up Report Status Update as of September 30, 2012

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Action Plan Implementation Status Update Report to the Audit Committee - As of September 30, 2012

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  
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 Status: close
Update / Rationale: As of 31/03/2012 request to close as per September 30/11 update.

Risk Profile was created in 2009 and is linked to the Performance Management Strategy (PMS). Implementation of Risk Profile Mitigation Plan is part of the PMS.

AES: Closed
  • 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 Status: close
Update / Rationale: As of 31/03/2012 request to close as per September 30/11 update.

Guidance on Risk Assessment and Risk Mitigation has been added to the Management Control Framework. Community Infrastructure Branch conducts oversight visits to all regions and reviews project files to verify proper Risk Assessment documentation and usage.

AES: Closed.
  • 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 Status: close
Update / Rationale:
As of 31/03/2012: request to close as per September 30 /11 update.

Management Control Framework has been revised to include a Risk-based governance regime (MCF Page 7-11 and 49-50). Project approvals, oversight and controls are now based on the varying degrees of project and recipient risk. Compliance with this requirement is verified during oversight visits to the regions (three visits have been conducted so far: to Thunder Bay, Vancouver and Toronto).

AES: 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 AANDC-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: on hold
Update / Rationale:
As of 30/09/2012:

This work specific to the MCF has been put on hold until next fiscal year (2013-14) due to a change in methodology. CIB is currently working on piloting the changes with Ontario region and will implement those changes starting April 1, 2013 in Ontario region only. Once the results of the changes in Ontario region to minor capital and O&M are known, CIB will then follow with changes in the other regions and changes to the MCF later in 2013-14.

Protocol for AANDC-Funded Infrastructure (PAFI) was developed and provided to First Nation recipients in April 2011. PAFI will remain an evergreen document that will be revised as required to reflect new codes, standards, protocols, etc. that come into effect.

AES: Continuing to monitor progress.
Protocols were provided to FN recipients.
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 31/03/2012:

Work is underway to add an O&M and Minor Capital component to MCF, including monitoring and compliance requirements. Expected completion date is September 2012.. 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.

CIB is working with Audit & Evaluation and the Transfer Payment Centre of Expertise to conduct recipient audits in 2012-13 with a more detailed focus on key infrastructure funded activities.

AES: Closed.
 
 
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