Archived - Audit of Implementation of the Urban Aboriginal Strategy - Follow-up Report Status Update as of March 31, 2011

Action:
OFI will undertake an analysis to develop a risk-based approach, focused on levels of community support, to mitigate any risks that respond to the concerns raised by the auditors with respect to new and developing UAS communities.

Update/Rationale:
As of 30/09/2010:

OFI has completed an analysis using its own corporate risk 'heat map' which highlighted the capacity of UAS clients as a key risk; UAS RMAF-RBAF, which outlines key risks and mitigation strategies; our UAS terms and conditions, which outlines key entry criteria for 'new' UAS cities; and its Community Assessment Tool, which assesses a number of key elements of successful communities such as community decision making structures and capacity needs. The analysis has been completed and will be applied to new and developing communities, and will inform our renewal efforts in 2012.

AES: Fully implemented. The recommendation has been closed.

Action:
OFI will design a template that outlines expectations as to the elements that need to be included in community plans, while providing these communities the flexibility to reflect their unique situations. Regional offices will be given direction on the level of support to be provided to Community Committees to enable and ensure effective community planning.

Update/Rationale:
As of 30/09/2010:

A Guide for Community Strategic Plans has been created, including a template for required elements in the plans for each UAS designated city. It can be immediately implemented.

AES: Fully implemented. The recommendation has been closed.

• Having regard for the flexibility intended with the UAS contribution program and the strategic priorities of the UAS, ensure clarity as to the nature of eligible projects, activities and expenditures;
• Set out expectations for leveraging with provinces and municipalities, how results should be measured, and how leveraging requirements should apply to new and developing communities; and
• Clarify the definition and approval requirements for capital expenditures.

Action:
When seeking the renewal of the UAS, OFI will work with Treasury Board Secretariat (TBS) and federal partners to clarify any ambiguities that may exist with respect to:

• the nature of eligible projects, activities and expenditures;
• expectations for leveraging and how it is to be measured, including with respect to new and developing communities; and
• requirements for the approval of capital expenditures.

Update/Rationale:
As of 31/03/2011:

Work is underway which will inform our renewal efforts in 2012

We are consulting with signatory departments on the use of the Horizontal Terms and Conditions.

AES: Implementation on-going.

Management response
OFI agrees that there should be a consistent understanding among OFI staff of flexibilities built into the UAS contribution program.

Action:
Through its regular quarterly meetings and bi-weekly calls, OFI will use the detailed findings of the auditors to provide guidance to regional staff, and through them, to Community Committees, on eligibility requirements and use of project and recipient risk information to substantiate funding decisions.

OFI will provide a written directive to Regional Directors clarifying the interpretation of UAS's policy authorities, based on the detailed findings of the audit. If there is any uncertainty with respect to project eligibility post-directive, those projects are to be referred to OFI's Director General or ADM for approval.

Update/Rationale:
As of 31/03/2011:

A Directive on Determining Eligibility of Proposed Activities and Expenditures was distributed to UAS Directors in December 2010.

AES: Fully implemented. The recommendation has been closed.

Management Response:
OFI agrees that there is room for improvement in the annual work planning and priority setting activities in HQ and each Region.

Action:
OFI will formalize the process for establishing objectives, prioritizing activities, setting targets, developing recipient/community service standards and expected outcomes through the development of a framework including a template for the identification of strategic program objectives and horizontality and alignment. The framework will include both approval and monitoring requirements.

Update/Rationale:
As of 31/03/2011:

Annual work plans have been developed and UAS is finalizing an integrated Business plan.

AES:. This will be closed when integrated business plan has is provided.

Action:
Through annual learning plans that all employees and managers must complete, OFI will continue to review and develop its training regime to ensure that all necessary training is provided to its employees.

Update/Rationale:
As of 30/09/2010:

The UAS Officers Training Map has been developed with input from all UAS sectors. It will be evergreen and updated annually as part of OFI HR planning exercises and will be included in individual learning plans.

AES: Fully implemented. The recommendation has been closed.

Having said that, OFI acknowledges that the UAS could benefit from additional improvements in the processing of contribution funding agreement. Initial steps taken by OFI to address the timeliness in establishing contribution funding agreement (acknowledged in the audit) will be followed up with service standards and operational guidelines and processes that ensure consistency across all regions in the completion of the contribution funding agreements.

Action:
OFI will undertake the development of recipient service standards and review its processes and timelines for the solicitation of proposals, to improve timely assessment and approval of projects, preparation and execution of funding agreements, processing of recipient payments and closeout of project files. Service Standards will be monitored and reported to OFI Senior Management.

Update/Rationale:
As of 31/03/2011:

Development of service standards and a review of processes, timelines, and overall processing of contribution funding will be undertaken in the 11-12 fiscal year. OFI has also taken steps to streamline its UAS grants and contributions administration, in two ways: OFI has reorganized its internal G&C administration staff group, and secondly, OFI Saskatchewan Region is piloting an initiative whereby INAC Saskatchewan provides it with UAS G&C administration support, intended to lead to more efficient processing of UAS recipient agreements and payments.

AES: Implementation on-going. Therecommendation will be closed once service standards have been developed, and processes/timelines have been reviewed, with service standards reported to OFI Senior Management.

Action:
To address this, OFI will formalize the criteria, policies and procedures employed in process for project solicitation, proposal submission, and assessment of Central Fund projects.

Update/Rationale:
As of 31/03/2011:

A guideline for Utilization of Central Fund was distributed to UAS Directors in November 2010.

AES: Fully implemented. The recommendation has been closed.