Audit of The Administration of Settlement Programs

Appendix E: Management Action Plan

Recommendation	Action Plan	Responsibility	Target Date
1. The Department should initiate the development of a baseline for needs and demand with respect to newcomer settlement.	The Department agrees that setting a baseline for the needs of newcomers is appropriate.
	As part of the implementation of the Modernized Approach to Settlement Services, the Department is developing and testing new means of assessing and planning for the settlement needs of newcomers once they have landed in Canada. The Department also intends to pilot a needs assessment tooling 2010–2011. This tool will focus on family and individual settlement planning in order to better define CIC outcome expectations, increase potential uptake of CIC settlement services, and better empower newcomers to identify and meet their settlement goals. The pilot, once complete, is expected to provide valuable information on the level of demand for settlement services in each region, including a potential baseline for newcomer needs, and assist the Department in its planning and priority-setting activities, including determining funding allocations. The time lines for this initiative are:	Integration Branch
	Development of the needs assessment tool		September 2010
	Testing the new tool		December 2010
	Rolling out the new tool across the regions		April 2011
	Settlement funding outside Quebec is a fixed envelope (currently set at $650 million in 2010–2011). Over the past few years, parity among various provinces and territories has been the driving force in developing the current settlement allocation. As outlined in section 1.1.1 of the audit report, the current formula takes into account the higher needs of refugees (who are the biggest users of settlement services), but does not distinguish between the needs of newcomers and those of the family and federal skilled worker classes. The current formula, which was approved by Cabinet, does take into account the need to provide some baseline funding for smaller provinces by adding a capacity-building amount.
	CIC is in the process of implementing a new module that could assist in developing a baseline on newcomer needs by providing financial data and cost unit. The Financial Management Branch will support the Integration Branch with the costing aspect of the needs assessment initiative with a view to providing an estimate of the funds that would be required to reasonably meet the basic settlement needs of a newcomer. As part of the settlement review, CIC will review the current settlement allocation formula and will take this recommendation into account.	Financial Management Branch	December 2010
2. The Department should formally establish an overall implementation plan for the 2008 ARAF with key steps, explicit accountabilities, specific deliverables and time lines.	The Department agrees with this recommendation. The Department has developed an overall implementation plan for the Modernized Approach to the Settlement Program that included major elements of the ARAF. This plan was first tabled at the Departmental Management Committee meeting in October 2008, and subsequent updates on the implementation plan were presented to the CMSC in May 2009 and December 2009.	Integration Branch in consultation with OMC, Financial Management, and Research and Evaluation
	A formal ARAF implementation plan setting out clear accountabilities, roles and responsibilities, deliverables and time lines is being developed and once completed, will reflect the implementation of new settlement themes replacing the former LINC, ISAP and Host brands. The Department’s Settlement, Resettlement and Multiculturalism Management Committee (SRMMC)—a group comprising directors from the relevant business lines implicated in the management of these programs—will be updated every month on the progress of the implementation plan, as will the newly formed Business Operations Committee (BOC) when required.	Integration Branch	June 2010
3. The Department should implement a process to review the strategic and operational plans relating to settlement programs and assess their alignment with departmental priorities and results for Canadians.	The Department agrees with the recommendation.
	The Department will be adopting a new planning process for the settlement program. The proposed strategic plan for settlement programs, which will align with departmental priorities, will be developed by the SPP Sector and tabled for approval at an Executive Committee (ExCom) meeting and will set out plans and priorities regarding settlement outcomes and associated investments.	Integration Branch	October 2010
	The related operational plan to implement the above strategic plan will be developed by the Operations Sector and submitted to the BOC for approval. Using the Grants and Contributions Dashboard tool, the BOC will also monitor on an ongoing basis the progress made toward the plans, and bring any necessary corrective measures.	OMC Branch	December 2010
	This process will allow the Department to identify gaps and to take measures to address them so that comparable outcomes are achieved across Canada. Changes are being introduced to iCAMS to revise data collection and respond to the need to amalgamate all data on the new settlement themes into one source (e.g., Enhanced Language Training and the Foreign Credentials Referral Office’s tracking of overseas orientation graduates) and address identified gaps in reporting. These important changes to iCAMS will standardize the reporting on activities input by SPOs, thus allowing CIC to report on comparable outcomes across the regions and implement a renewed and expansive reporting structure.	Research and Evaluation Branch	Ongoing
	Concurrently, the SRMMC has been facilitating the harmonization and consistency in program implementation. This forum has also provided and will continue to provide oversight and guidance on priorities and gaps in settlement services from both an NHQ and a regional perspective, and serving as a conduit for funnelling information to the BOC and, ultimately, ExCom. This group will also be used strategically to validate settlement planning assumptions and the overall approach to planning. Under the auspices of the SRMMC, the Department also established a Call for Proposals (CFP) Working Group in late 2009–2010. This serves as a forum to discuss and share information on best practices, process improvements, changes to requirements and other issues in managing a call for proposals cycle at both the NHQ and regional levels. The CFP process is the principal vehicle for the dissemination of funds to support the delivery of the settlement, resettlement and multiculturalism programs.	OMC Branch	Completed and ongoing
4. The Department should ensure that accountabilities and responsibilities for settlement programs are strengthened by:	The Department agrees with the recommendation.
clarifying the decision-making and approval authorities of the committees associated with settlement programs;	The terms of reference for both the SRMMC and the BOC were recently approved. The proposed Program Management Continuum, which clarifies the roles and responsibilities of SPP, the OMC Branch and the Chief Financial Officer (CFO) regarding settlement programs, will be presented to ExCom for approval in June 2010.	OMC Branch	Completed June 2010
updating the roles and responsibilities of the OMC Branch, the Integration Branch, the Financial Management Branch and the regions based on operational experience; and	The recent in-depth revision and significant rewriting of most of the settlement manual provides guidance and tools to staff both on the management of the settlement and resettlement programs, roles and responsibilities and on the management of contribution agreements generally.	OMC, in collaboration with Integration and Financial Management branches	Completed and to be released in July 2010
taking steps to reinforce the accountability of the board of directors of SPOs with regard to CIC funding.	The Department will also develop guidelines covering all financial aspects of the contribution agreements. These guidelines will clearly define the roles and responsibilities of the Financial Management Branch, the financial and settlement officers managing the financial aspects of the contribution agreements (both at NHQ and in the regions) and the recipients.	Financial Management Branch	March 2011
	There will be two main components to CIC’s planned action, education and process enhancements:
	The CIC Ontario Region, the largest domestic region with settlement responsibilities, is developing generic board governance training for its settlement staff. This will help officers to identify the various board structures and signs of board competence, and equip staff to assess and determine the risk, capacity and approach associated with a particular organization’s board. Externally, the Ontario Region is also offering orientation and board governance training for CIC-funded organizations as a proactive measure to increase the effectiveness and involvement of the board and to raise every organization’s awareness of the scope of their responsibilities and the funders’ expectations. This model will apply to other regions.	Ontario Region OMC/All regions	September 2010
	From a process perspective, to ensure procedural fairness, the Department will actively engage the senior management of SPOs and their board of directors upon signing an agreement. The goal will be to outline the organization’s obligations and responsibilities (through a statement of expectations) under the contribution agreement. CIC will advise the board of any findings resulting from a financial audit and the monitoring results. This will ensure that the board is aware of and accountable for addressing performance issues.	Financial Management Branch OMC/All regions	March 2011 For future new CFPs
	The Department will also pilot an approach whereby senior members of the board of directors (for example, the chairman or the treasurer) will be made mandatory signatories to any CA.	Ontario Region	May 2011
5. The Department should establish clear accountability for monitoring risks associated with settlement programs and include the reporting of this risk-related information in the dashboard reporting.	The Department agrees with the recommendation. The Department is currently building a broader risk assessment strategy as part of CIC’s corporate plan. The risks associated with the settlement program will be incorporated into this departmental strategy and, once completed, will be presented to the Management Accountability Committee and ExCom.	Corporate Affairs, Integration Branch, OMC and Financial Management	May 2010
	For non-financial risks, the Department recently established a risk and monitoring strategy that is now being used by the OMC Branch at NHQ. This strategy and framework, which take into account elements pertaining both to the SPO and to the agreement itself (e.g., dollar value), facilitate the assessment of risk for all agreements and the determination of a risk rating that indicates the frequency and type of monitoring which program officers should conduct during the life cycle of the agreement. The framework also allows regular reporting of risk information as part of the dashboard reporting. While every agreement is currently subject to at least one activity monitor, upon full implementation of this risk and monitoring framework, the Department will be better able to systematically monitor and further improve the management of contribution agreements.	OMC Branch	Completed
	With respect to financial risks, the Department will develop a risk assessment tool, which will be used to determine the frequency and type of reporting for recipients, and the level of financial monitoring and audit activities on the part of the Department. This tool will be used consistently in each region and at headquarters, for all programs. The Financial Management Branch will coordinate and monitor the audit schedule. The Department will review the G&C dashboard to ensure it provides relevant and strategic risk information on the financial aspects of the G&C.	Financial Management Branch	March 2011
6. The Department should ensure that the current performance measurement strategy that is being implemented will clearly articulate the approaches, methodologies, and outcome information that will be provided in order to guide the future programming decisions related to the departmental integration programs.	The Department agrees with the recommendation. As part of the performance measurement strategy, the Department is working to define the elements of the performance measurement framework. This includes aligning outputs and outcomes with performance indicators that can be measured across all jurisdictions, regardless of program design. The approach and development of methodology under the leadership of the Integration Branch will allow the Department to make informed decisions on the settlement program (i.e., data sources, data collection methodology, target sample, frequency of reporting, performance targets and accountabilities). Next Steps and Deliverables	Integration Branch
	The Policy Committee to approve the methodology for data collection of performance measurement framework for the immediate and intermediate level outcomes portion.		September 2010
	The Business Operations Committee to approve the implementation plan for outputs for the performance measurement framework.		December 2010
7. The Department should review its current proposal approval process and risk assessment process and consider revising and streamlining these areas as appropriate. These changes should be incorporated into the revised settlement manual to be issued later this fiscal year.	The Department agrees with the recommendation. For the financial aspects of the G&Cs, the Financial Management Branch will develop a formal decision process to be fully integrated into the initial risk assessment and the related reporting and monitoring strategies. This work will reinforce current monitoring approaches and place them on a solid footing.	Financial Management Branch	March 2011
	In addition to the improvements described in responses to recommendations 4 and 5 pertaining to the revisions of the settlement manual and the development of a new risk assessment process, the Value for Money Working Group was established in 2009–2010 under the auspices of the SRMMC with the goal of determining the specific criteria that will be used during the assessment phase for proposals submitted in response to CFPs. The group has been working to harmonize and ensure consistency in the approaches currently in place across the Department. Some of this work is now completed. Because it contains information on the factors that are crucial to how settlement officers discharge their responsibilities, the settlement manual will remain the primary vehicle for these elements.	OMC Branch	September 2010
8. The Department should review its overall monitoring approach as well as its close-out procedures and consider revising and streamlining these areas as appropriate. These changes should be incorporated into the revised settlement manual to be issued later this fiscal year.	The Department agrees with the recommendation. The Department has finalized a monitoring strategy that is being used at NHQ for national and international agreements. In addition, the Department has developed a new close-out form and procedures that are being piloted in 2010–2011 at NHQ. All this has been incorporated into the new version of the settlement manual and is scheduled to be implemented in the regions in fiscal year 2010–2011.	OMC Branch	Completed
	Finally, to improve the management of situations where the Department may need to close an agreement before the conclusion of the negotiated time period—for performance or other reasons—the Department has developed an escalation process that sees progressively senior departmental officials engaged in determining a final decision.	OMC Branch	Completed
	In addition to the improvements described in the response to recommendation 5, the Financial Management Branch is developing tools such as audit programs to ensure that the financial monitoring of agreements is consistent in the regions and at NHQ. The Financial Management Branch will ensure that the prescribed monitoring plans occur in a timely manner, through ongoing coordination and monitoring. The Branch will also ensure that the Department takes action as needed and in a timely manner based on the results of the audits or reviews of SPOs.	Financial Management Branch	March 2011
9. The Department should ensure that expectations regarding monitoring practices are clearly communicated and that policy requirements are adhered to.	The Department agrees with the recommendation. The changes to iCAMS and the implementation of a performance measurement framework and planning strategy will contribute to improvements in monitoring outputs and outcomes of settlement planning, and ensure adherence to policy requirements. More importantly, the essential information provided by the monitoring activities will be communicated to inform any required policy development and ensure the continued integrity of the settlement program. Again, the SRMMC, with its regional representation, will be an appropriate forum to maintain communication lines between monitoring practices and policy requirements.	Integration Branch and Research and Evaluation Branch	March 2011
	The Department’s current monitoring strategy will further strengthen ongoing communications with the SPOs and inform them of the new monitoring practices that are being instituted. Both CIC officers and SPOs will receive the relevant training as new procedures are implemented.	OMC Branch	September 2010
	Training in monitoring will occur for program officers and financial officers and will also include an SPO component.	OMC and Financial Management Branch	September 2010 to March 2011

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