Flag of Canada
Government of Canada Government of Canada
 
Français Contact Us Help Search Canada Site
About SDC Services Where You Live Policies & Programs A-Z Index Home
   
Services for you

Appendix 1 - National File Review Analysis By Business Process
   Our Ministers
 What's New
 Media Room
 Publications
 Forms
 E-Services
 Frequently Asked Questions
 Our Partner Sites
 Accessibility Features

  Services for: Individuals Business Organizations Services Where You Live
 

 

Questions/Criteria Assessment Answers PTD First Semi-Annual Report 2002-2003 100 Files PTD May 2002 National Report 101 Files
  Yes No N/A Total Compliance Level Compliance Level
APPLICATION
Application for funding from sponsor on file 98 1 1 100 99.0% 99.0%
Includes sponsor information as required by the contribution project file 82 3 15 100 96.5% 98.6%
Includes completed declaration of amounts owing in default to the federal government 54 5 41 100 91.5% 98.2%
Application was signed by representative of submitting organization 99 0 1 100 100.0% 100.0%
Application includes objectives, activities and targeted participants 99 0 1 100 100.0% 98.0%
Application includes a budget 98 1 1 100 99.0% 97.0%
Application includes description of expected results 99 0 1 100 100.0% 95.0%
ASSESSMENT
The written assessment demonstrates that the approved activity supports program objectives 90 9 1 100 90.9% 87.1%
Assessment documentation indicates that proposed costs were evaluated 94 6 0 100 94.0% 90.1%
Sponsor was checked for outstanding debt to HRDC 90 9 1 100 90.9% 87.1%
MP concurrence on file, if mandatory 23 0 77 100 100.0% 94.1%
Environmental assessment process has been addressed adequately in file 88 11 1 100 88.9% 94.1%
RECOMMENDATION & APPROVAL
Recommendation rationale for funding on file 98 2 0 100 98.0% 99.0%
Recommendation rationale on file is complete 97 1 2 100 99.0% 98.0%
Approval signed with correct delegation of authority 99 1 0 100 99.0% 97.0%
Approval signed on or prior to project start date 96 2 2 100 98.0% 95.9%
AGREEMENT
Agreement is on file 93 1 6 100 98.9% 100.0%
Objectives include measurable statement of quantity 77 5 18 100 93.9% 97.6%
Expected results are described clearly 79 14 7 100 84.9% 97.9%
Services and/or activities are described clearly 93 0 7 100 100.0% 100.0%
Nature of authorized expenses is clear 86 7 7 100 92.5% 94.8%
The schedule and basis of payment are clear in the Agreement 81 11 8 100 88.0% 79.4%
Agreement contains a clause stating that HRDC may do an audit of costs claimed 90 0 10 100 100.0% 100.0%
Agreement contains a clause stating that HRDC funds are not to be used to pay for persons assisting the recipient in obtaining HRDC contribution funding 51 4 45 100 92.7% 95.0%
Agreement includes the required declaration regarding registration of lobbyists 51 4 45 100 92.7% 95.0%
Agreement requires recipient to declare amounts owing to the federal government, and states that HRDC funding may be offset against amounts owing 50 5 45 100 90.9% 95.1%
Agreement includes provisions for Agreement termination with cause and Agreement termination without cause 90 3 7 100 96.8% 94.8%
Agreement states the requirement for the recipient to repay overpayments, unexpended balances and disallowed expenses 90 0 10 100 100.0% 100.0%
Text of the Agreement matches the program utilized 91 2 7 100 97.8% 96.9%
All necessary schedules are included and properly prepared 77 16 7 100 82.8% 85.6%
Duration of Agreement is stated 93 0 7 100 100.0% 100.0%
Agreement stands on its own in terms of purpose and objective/s 93 0 7 100 100.0% 100.0%
Agreement value is equal to or less than approval amount 92 1 7 100 98.9% 100.0%
Forecast of Cash Flow on file if necessary, appropriate to project activities, prepared by sponsor, and in accordance with HRDC agreement total 43 2 55 100 95.6% 93.6%
Agreement signed on or after project approval date 93 0 7 100 100.0% 98.9%
Agreement signed on or prior to Agreement start date 81 12 7 100 87.1% 90.7%
Signed in all required places by HRDC official with correct delegation of authority 93 0 7 100 100.0% 100.0%
Reason for amendment is clear 29 0 71 100 100.0% 100.0%
Approval for increase amendments was signed with correct delegation of authority 10 1 89 100 90.9% N/A
Amendments signed with Correct delegation of authority 24 1 75 100 96.0% 100.0%
PAYMENTS
If advance issued, sponsor was eligible for advance 39 4 57 100 90.7% 92.2%
Advance amounts are compliant with Treasury Board and FAS policy 49 0 51 100 100.0% 98.0%
All required claim forms are on file 70 3 27 100 95.9% 98.9%
Reimbursed expenses are allowable according to HRDC policy, program terms and conditions and the Agreement. 56 15 29 100 78.9% 80.9%
Proper expenditure coding has been applied 83 3 14 100 96.5% 89.0%
Claim forms are correctly signed by sponsor 64 7 29 100 90.1% 100.0%
Correct delegation of authority according to Section 34 81 5 14 100 94.2% 100.0%
At least two people have initialed/signed/input/approved payment requisition 85 0 15 100 100.0% 100.0%
MONITORING
A risk assessment and Monitoring plan, completed prior to Agreement start, is on file 83 10 7 100 89.2% 82.5%
Monitoring frequency satisfies HRDC requirements 76 0 24 100 100.0% 98.9%
Monitoring report(s) on file 63 0 37 100 100.0% 100.0%
Project activities were monitored for compliance with Agreement 62 0 38 100 100.0% 100.0%
Financial visits documentation is thorough and accurate 30 2 68 100 93.8% 100.0%
Issues requiring follow-up have been identified 14 0 86 100 100.0% 100.0%
CLOSEOUT
The final contribution was paid after receipt of the final claim form, unless early payment was justified on file and allowable by T's and C's 20 0 80 100 100.0% 100.0%
Closeout summary including evaluation report prepared by HRDC on file 16 2 82 100 88.9% N/A
Closeout report including a summary of outcomes is included on file at the end of project 10 1 89 100 90.9% N/A
COMPLIANCE WITH TERMS & CONDITIONS
Project activities meet program terms and conditions 90 10 0 100 90.0% 92.1%
Agreement is in accordance with all other terms and conditions for selected program 87 12 1 100 87.9% 96.9%
Participants meet program eligibility criteria 51 2 47 100 96.2% 100.0%
GENERAL ADMINISTRATION
All pertinent national forms as created for the Contributions Project File have been used, as per ADM directive issued September 8, 2000 73 10 17 100 88.0% 83.1%
HRDC is exercising inappropriate supervisory control and employer/employee relationship may be a problem 0 100 0 100 100.0% 100.0%
There are risks related to contravention of Public Service Employment Act 0 100 0 100 100.0% 100.0%
There are risks related to improper use of contribution funds because the project is supplying goods or services to HRDC 1 99 0 100 99.0% 100.0%
There are risks related to liability and public perception 0 100 0 100 100.0% 100.0%

Other PTD Results

NOTE: Not statistically valid due to low numbers reviewed. Provided for information purposes only.

Questions/Criteria Assessment Answers PTD First Semi-Annual Report 2002-2003 100 Files PTD May 2002 National Results 101 Files
  Yes No N/A Total Compliance Level Compliance Level
ASSESSMENT
There is formal confirmation of essential funding from other sources 23 1 76 100 N/A N/A
MP notification on file, if required by program 5 0 95 100 N/A N/A
All other mandatory consultation and concurrence on file 2 0 98 100 N/A N/A
AGREEMENT
Objectives include measurable timelines/milestones 44 6 50 100 N/A N/A
Agreement specifies what capital assets will be acquired, and method of disposal 14 6 80 100 N/A N/A
Agreement reflects all approval conditions 6 0 94 100 N/A N/A
Agreement provides for repayment should total government assistance exceed the amount anticipated 13 2 85 100 N/A N/A
Where recipient further distributes contribution amounts, agreement includes all provisions as stated in Appendix C of the TB payment policy 2 0 98 100 N/A N/A
Agreement includes statement regarding disposition of project revenue 2 1 97 100 N/A N/A
Agreement satisfies HRDC policy regarding tendering of sub-contracts or includes rationale and approval for sole-sourcing 2 3 95 100 N/A N/A
Commitment completed prior to HRDC signing Agreement 64 26 10 100 N/A N/A
In the case of financial increase amendments, commitment certification was completed prior to HRDC signing amendment 6 5 89 100 N/A N/A
Forecast of cash flow amended for financial amendments, where required 8 1 91 100 N/A N/A
PAYMENTS
Only April forecasted expenditures are paid out of previous year funds 1 0 99 100 N/A N/A
Claims are accompanied by activity report and supporting financial documentation if required by Agreement 34 6 60 100 N/A N/A
Claim amounts for April support the advance amount issued from the previous fiscal year 0 0 100 100 N/A N/A
Budget forecast amended as required 11 6 83 100 N/A N/A
MONITORING
If plan completed, monitoring has been done according to plan or rationale is on file 53 10 37 100 N/A N/A
Contributions from other partners were verified on financial visit 11 0 89 100 N/A N/A
Follow-up initiated or completed 8 1 91 100 N/A N/A
CLOSEOUT
Assets were disposed of in accordance with agreement 2 0 98 100 N/A N/A
Overpayment has been recorded as a receivable and recovery procedures initiated 3 0 97 100 N/A N/A
GENERAL ADMINISTRATION
On wage subsidy and grant files, a life cycle file review checklist is completed and on file 15 1 84 100 N/A N/A
Participant data is captured for the Accountability Framework 40 6 54 100 N/A N/A

Back to Table of Contents
     
   
Last modified :  2004-06-10 top Important Notices