Audit of On-Reserve Housing - Follow-up Report Status Update as of June 30, 2013

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Action Plan Implementation Status Update Report to the Audit Committee - As of June 30, 2013

Regional Operations

Audit of On-Reserve Housing (09090)
Approval Date: 24/09/10

Project Recommendations Action Plan Expected
Completion Date		 Program Response
1. The Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector should assess and determine the most appropriate means to fund on-reserve housing.
  • To support key Departmental objectives of devolution and empowerment for First Nations, ESDPP recommends that communities party to the 1996 housing policy continue to receive block funding. The 220 communities who remain part of the targeted subsidy program will continue to receive project-specific funding.

 Complete A) Status: no change in status

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

No change is required to the current housing funding structure.

B) Status: completed, request to close.

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

AANDC's Capital and Facilities and Maintenance Program, of which housing funding is a part, has been assessed for compliance with the new Policy on Transfer Payments. First Nations recipients have been assessed for capacity and risk using the General Assessment, and funding relationships have been tailored to the results.

AES: Closed – Fully Implemented
  • Regional Operations (RO) will assess the housing program for compliance with the new standardized departmental approach to First Nation funding agreements, specifically the new Transfer Payment Policy which takes into account First Nations’ capacity in terms of the community development continuum.
 Q4, 2011-12
2. The Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector should identify and implement a methodology for allocating housing funds that reflects housing needs at both the regional and First Nation community level.
  • In response to the new Transfer Payment Policy, ESDPP, in collaboration with the CFO, RO and Regional Offices will explore options to enhance the methodology and process for allocating CFM Program funding (core and non-core) from HQ to regions.
 Q3, 2011-12 Status: Completed, request to close.

Update / Rationale:
As of 30/06/2013:

Completed, request to close as per the December 2012 and March 2013 updates. A Management Control Framework has been established for the CFM Program to ensure that the National Capital Planning process, roles and responsibilities for regions and HQ, and risk-based approvals and management approaches are established for the delivery of CFM Program funding.

Completed, request to close.
Update / Rationale:
As of 30/06/2013:

Throughout 2012-13, HQ has been working with ON region to implement a new approach to the management and control of minor capital and O&M funding for 2013-14. A Management Control Framework has been developed to indicate the processes and management controls for major and minor proposal based capital and O&M funding to First Nations. It is currently being implemented in the ON region. HQ will continue to work with the region throughout 2013-14 to oversee implementation and compliance and the new O&M. The major/minor proposal based capital/ O&M O&M will ultimately be implemented in other regions and be integrated into the core CFM Program O&M over the coming year.

AES: Substantially implemented. Closed.
  • ESDPP, in partnership with RO, will participate in a minor capital working group with Regions to review minor capital processes and develop strengthened procedures for managing minor capital funding.
Q3, 2011-12
3. The Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector, in collaboration with the Senior Assistant Deputy Minister, Regional Operations Sector, should conduct a review of the performance indicators and related information to be collected for on-reserve housing to ensure that they are aligned with the department’s housing program design, and that they can demonstrate achievement of expected outcomes.
  • ESDPP, with the support of RO, will ensure Key Performance Indicators (KPIs) for housing align more closely with the program design and AANDC’s roles and responsibilities.
Q1, 2011-12 Status: Completed

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

 
 
AES: Closed
4. The Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector, in collaboration with the Senior Assistant Deputy Minister, Regional Operations Sector, should develop and implement a risk management framework specific to on-reserve housing, including a formal monitoring or compliance audit / housing inspections process.
  • ESDPP, in partnership with RO, is working to implement the Performance Management Strategy and Risk Management Framework, which detail oversight and quality assurance functions for Headquarters and Regions for the CFM Program.
 Q2, 2011-12 A) Status: close
Update/Rationale:
As of 31/03/2012 request to close as per September 30/11 update.

 
B) Status: on-going, expected completion date Q1, 2012-2013.
Update/Rationale:
As of 31/03/2012:

Performance indicators to be reported on in 2015. Self reported "adequate housing" is completed; housing sub-text of community well-being index is dependent on Statistics Canada Census data; and Valid Housing Plan is awaiting regional input on content in order to develop a finalized definition. Ongoing Regional and community oversight visits are being conducted to assess the management of the CFMP.

C) Status: close
Update/Rationale:
As of 31/03/2012: requested to close as per September 30, 2011 update.

AES: Closed.
  • ESDPP, in partnership with RO, will work with CFO to develop mechanisms to improve the monitoring of minor capital and operations and maintenance expenditures relevant to housing that are realistic, efficient and based on program and recipient risk.
 Q2, 2011-12
  • For First Nations in BC Region under the housing subsidy program, the submission of inspection reports from a building inspector confirming that homes have been built or renovated to code will continue to be a requirement for First Nations to remain eligible for future AANDC funding.
 Complete
5. The Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector should ensure that comprehensive national guidelines for the management of the housing component of the CFM Program are developed and disseminated.
  • The housing portion of the CFMP includes minor capital funding for First Nations covered by the 1996 Housing Policy and Direct Proposal driven housing subsidies for First Nations that did not adopt the 1996 Policy. A practical guidelines document on key housing policy and implementation issues will be developed and disseminated.
  • In addition to the CFMP, Ministerial Loan Guarantees (MLGs) are an essential component in facilitating the building of social housing (CMHC Section 95) on reserve. Given their importance and the need for consistency in implementation, priority was given to the revision and clarification of MLG policy and the development of the National MLG Manual. (Complete)
 Q2, 2011-12 Status: on-going, expected completion date Q2, 2012-13.

Update/Rationale:
As of 31/03/2012:

AANDC has compiled detailed Roles and Responsibilities. Assembly of First Nations to convene a meeting of the working group to develop a joint summary document on the roles and responsibilities of key housing players. Toolkit completed and disseminated.

Status on-going, expected completion date Q4, 2012-13.

Update / Rationale:
As of 30/09/2012:

The Assembly of First Nations led working group met in August, 2012 to review draft documentation on Roles and Responsibilities of key stakeholders, including the AFN, CMHC, HC and AANDC. The National First Nations Housing Liaison Committee will meet later this fiscal year to finalize documentation and develop the dissemination strategy.

Status: Closed
Update/Rationale:
As of 31/03/2012:

As per September 30/12 update, this is recommended to be closed.

AES: Closed- Substantially implemented.
6. The Senior Assistant Deputy Minister, Regional Operations Sector, in collaboration with the Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector, should ensure that the risk that First Nations’ housing does not transfer to individual homeowners as required for Market Based Housing projects, is appropriately managed.
  • AANDC has already taken significant measures to mitigate this risk by conducting workshops in Regions and with First Nations on how to successfully implement the Conversion to Market Based Housing element of CEAP. This included providing template samples of transfer documents for use by First Nations.
 Q3, 2010-11 Status: Completed

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

Monitoring conducted but no Regions have identified need for a risk management plan.

 
 
 
AES: Closed
  • RO staff actively monitors issues linked to the market based housing element.
 Q4, 2010-11
  • ESDPP and RO will continue to monitor and develop a risk management plan as required.
Q3, 2010-11
7. The Assistant Deputy Minister, Education and Social Development Programs and Partnerships Sector, in collaboration with the Senior Assistant Deputy Minister, Regional Operations Sector, should ensure that the development of project assessment and funding decision methodologies reflects regional requirements in the design of future programs/initiatives similar to housing funded by CEAP.
  • AANDC’s new Management Control Framework (MCF) clarifies roles, responsibilities and approval processes in parallel with CEAP implementation. RO continues to work with Regions to fully implement the MCF and will communicate feedback from Regions to ESDPP for consideration in future revisions.
 Q4, 2010-11 Status: Completed

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

New MCF to be provided to Ops Committee scheduled for, April 2011.

 
 
 
AES: Closed
  • ESDPP and RO are documenting lessons learned from CEAP projects in order to be fully prepared if new project based funding program opportunities occur.
Q4, 2010-11
 
 

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