Procedures for a CFP and Reporting Requirements - Directive on CFP - Process to select Sponsor
4 Procedures for a CFP
Every effort must be made to protect the integrity of the process and ensure that every CFP is conducted in a fair, open, and transparent manner.
In order to ensure a consistent approach to CFPs on a national basis and strengthen transparency and integrity, the procedures described in this directive are mandatory and must be adhered to. Templates and requirements cannot be changed. Information specific to an individual CFP process may only be added where indicated by italics within the templates.
The templates for the Assessment Grid and the Application Package do allow for the addition of information specific to each CFP (areas shown in italics); however no other additions or changes may be made.
The local office, or regional/national group conducting the CFP, will establish standard procedures for determining membership of the CFP committee based on the following requirements.
The CFP Committee should be made up of 3-5 members, with a minimum of 3. Membership may vary but can include a team of Program Officers (POs) (with one named as lead) or a group that includes PO’s, the Program Operations Consultant (POC) and/or supervisor (with one of the individuals named as the lead). The lead is responsible for managing the CFP process and committee, and will be named from within the Committee.
The PO who will become responsible for managing the agreement, once the highest ranked proposal is selected by the Committee, should also be a member of the Committee. Wherever possible, the CFP lead should not be the same person who will be the responsible PO once the CFP process is complete.
CFP committee members, where feasible, are not to be the same individuals named to the Internal Review Committee (IRC).
At any time the Fairness Advisor may wish to oversee the process.
4.1.2 Committee Roles & Responsibilities
The CFP Committee is responsible for all procedures to carry out the CFP, including:
- preparation of the application package,
- additions to the Assessment Grid that reflect the specific CFPs,
- assigning the weights to this section,
- completing the corresponding sections of the Applicants’ Guide (see the italicized portions of both documents),
- assessment and ranking of the proposals, and
- endorsement of the recommendation to the Internal Review Committee (IRC).
The CFP lead is responsible for:
- organizing committee meetings,
- leading the preparation of Application Package,
- securing management approval of the the entire Application Package (including sections 1 & 2, as well as the Public Notice and the Assessment Grid),
- coordinating questions and answers during the application period,
- preparing proposals for the assessment,
- and raising contentious issues to management.
The remaining members of the CFP Committee, under the guidance of the CFP lead are responsible for:
- contributing to the CFP process and the assessment of individual proposals in a way that allows for the integrity of the process to be maintained,
- identifying the highest ranked and,
- feedback to all applicants.[2]
In preparing the Application Package the team needs to reach consensus on what is being sought and how the assessment will be conducted. This includes having a common understanding of the various elements of the Assessment Grid and ensuring that the package contains all of the essential information (or links to relevant resources) for potential applicants.
Consensus and a common understanding of the assessment results must also be reached during the assessment process in order to respond as a team in supporting the selection of a particular applicant, and proceeding to recommendation.
All Committee members are accountable for the ultimate outcome of the CFP process and the selection of the successful applicant (s)... Each member of the Committee must be prepared to explain and support decisions taken throughout the CFP process. All decisions must be well documented.
4.2 Preparation of Application Package
For each CFP, an Application Package will be required. This package will contain all information required to assist an applicant to prepare a quality proposal that meets the terms and conditions of the specified service offering and addresses identified priorities. The CFP must provide clear direction on the type of activities expected, eligible costs, and expected results, and must include the service offering specific assessment grid. The template is not to be changed, however there are italicized portions in both Sections 1 and 2 of the Application Package as well as the Assessment Grid where information specific to the particular CFP is to be added. The template is provided in ANNEX 5.
4.2.1 Elements of the Application Package
Mandatory elements, for each CFP Application Package include the following documents in both official languages:
- Guide to Applicants (including Sections I and 2 of the Application Package)
- Service Offering-Specific Assessment Grid
- Standard Eligible Cost Listing
- Forecast of Cashflow
- Application Form
See ANNEX 5 for the application package template and the complete list of mandatory items to be included.
The templates are mandatory and established to ensure national consistency in the process to select sponsors.
All Guides to Applicants must clearly reflect:
- Service Offering or instrument to be used (e.g. Employment Assistance Services, Skills Link, Community Coordinator Agreements, etc.)
- Number of participants to be served (a range may be indicated)
- Types of services to be provided
- Geographic location of services
- Targeted population to be served through this CFP (if applicable)
- Expected results and success measures (a range may be indicated)
- Guidance and references for use in the completion of application and proposal
- Anticipated funding available for the project(s) (a range may be indicated)
- Official language requirements
- Guidelines for the Questions and Answers process (See ANNEX 8)
- Date, time, and location of the Information Session
- Application deadline (date and time)
- Location to which applications must be returned
- Expected duration of the resulting contribution agreement
- Required details and justification of budget amounts proposed
The highest ranked proposals (s) will be subject to assessment which may include requests for additional information and subsequent modification. Applicants will be expected to produce this information as quickly as possible upon notification of results, in keeping with the 90 day timelines, to ensure no gaps of service to the target client group.
As per national or regional protocol, the Guide is to be reviewed and approved by the designated management personnel. The review is to ensure that the information is complete and relates directly to the posted CFP plan for the year.
To maintain national consistency, only those areas noted in italics can vary from the template provided.
National assessment grids have been established for each service offering subject to CFP. These grids and the weighting for each factor are mandatory and cannot be altered in any way, but do allow for additional information as noted in the italicized portions. This section allows the CFP Committee to allocate points in the assessment to items that are specific to the service delivery approach and activities to be addressed by the CFP. The eleven points allocated for this section cannot be increased or decreased, however, may be alloted among multiple factors within this section as deemed appropriate. The Guide to Applicants must reflect the additional elements and provide guidance in the established format.
Please see ANNEX 6 for the assessment grids to be used for each service offering.
Public notices are, at a minimum, to be posted on the internet on the Stakeholder Engagement and Call for Proposals for Employment Programs web page. Where required, print announcements will be published in addition to the web posting. The purpose of these notices is to advise the general public about services that Service Canada plans to support in various communities, through the CFP process.
The Public Notice must be posted, at a minimum, 30 calendar days prior to the CFP’s closing date (application deadline) For example, if the notice is posted in two separate print sources, with one published on Monday, and the other posted the following Saturday, then the 30 days begins from the latter posting on the Saturday. The notice is to be posted on the web on the same day as the first print notice, in this example the Monday, in both official languages.
Notice provided on the internet must include all documentation pertaining to the CFP including the Application Package. Print notices must include general information on the CFP and provide instructions on how to obtain more specific information.
CFP specific content for public notices are to be approved as part of the application package by National or Service Canada Centre management prior to being posted, and approved as per regional protocols.
See ANNEX 7 for mandatory elements of the public notice. The templates cannot be changed, and only information specified in the templates may be added. The templates provided have been approved by Communications at National Headquarters, and therefore do not require approval from Regional Communications.
In addition to CFP-specific public notices, short, generic announcements can be placed in newspapers to encourage interested parties to check the website for new CFPs. These would be in place of individual Public Notices in print media for each CFP. The frequency would vary depending on the anticipated number of CFPs throughout the year, but should be placed at least once per year. See ANNEX 7 for the template to be used.
An information session must occur within 10 calendar days of the posting date of the CFP. This session may be held in person and/or via conference call. See ANNEX 8 for Information Session Guidelines and Procedures for Questions and Answers.
The session will provide potential applicants with information specific to that CFP, and will follow the Application Package and completion requirements:
- general information on the CFP process and the steps involved;
- an overview of the application package and completion requirements;
- specifics of the activities sought through this CFP;
- an overview of information on service offering objectives, eligible activities, and eligible costs;
- a review of the Assessment Grid including: the areas where disqualification of a proposal can occur; the weighting of each factor; and, the 60% pass requirement for each category;
- overview of completion of mandatory documents (e.g. sections of the application);
- information regarding the Change Agenda directives, including the flat rate options and the requirements of the Standard Eligible Cost Listing, Budget Template, and Budget Details;
- information on what constitutes the 40 pages (excluding mandatory forms and the budget) of the proposal that will be scored;
- timelines for questions and answers to be posted on the Stakeholder Engagement and Call for Proposals for Employment Programs web page;
- responding to questions from the group or arranging to post a response on the website if it is not possible to respond to the question at the time of the information session;
- expectations for commencing the activity;
- expected results; and the,
- role of the Office of the Fairness Advisor (See ANNEX 11).
- Required details and justification of budget amounts proposed
The highest ranked proposals (s) will be subject to assessment which may include requests for additional information and subsequent modification. Applicants will be expected to produce this information as quickly as possible upon notification of results, in keeping with the 90 day timelines, to ensure no gaps of service to the target client group.
Applicants must be reminded that they have no entitlement to Service Canada funding until a legal agreement is signed by both parties. No costs can be incurred, and no activities can take place before the start date of the signed agreement.
At the information session, Service Canada staff will reinforce the message to potential applicants that they should submit a complete proposal that clearly outlines their intentions as it will form the basis for the resulting agreement for both activities and budget allowed. Therefore proposals must be realistic and financially viable. Applicants’ attention should be directed to section 4.9 of this directive during the information session. In preparing proposals, it is important for the applicant to understand that their proposal will be judged on the written submission for reasonableness and financial viability. It is the applicant’s responsibility to ensure that budgets requested and activities outlined are realistic and reasonable and can readily form the basis of the agreement, if selected as the highest ranked proposal.
It is important to note that in the interest of fairness and transparency, any answers to questions provided during the CFP process must be available to all applicants.
To this end, all questions received are to be posted with the corresponding answers on the internet, on the Stakeholder Engagement and Call for Proposals for Employment Programs web page. The process and location for questions and answers must be provided with the Application Package and discussed during the information session.
Questions and answers must be posted in both official languages.
The CFP Committee lead (with the support of the members of the Committee) will be responsible for fielding all questions and answers to ensure consistency and ensure that all questions asked are shared with other applicants.
In order to ensure that all potential applicants have access to all questions and the answers prior to the closing date, it will be necessary to establish a cut-off date for questions in order to ensure that all are answered, translated, and posted on the website. The cut-off date will have to be determined by assessing the Committee’s ability to receive the question, respond in both official languages and post the information to the website. This approach will ensure that all applicants are treated fairly and maintain the integrity of the process.
See ANNEX 8 for further guiding principles for both the Information Sessions and the response to questions.
Submissions by e-mail or fax will not be accepted. Submissions must include four hard copies of the proposal, and one electronic copy on diskette.
Upon receipt, proposals must be date stamped and the time received must be indicated. In cases where applications are mailed, the date of receipt will be used and not the date the application was post-marked.
Written acknowledgement of receipt must occur within 7 calendar days as per the Service Canada service standard. See ANNEX 9 for the mandatory acknowledgement letters to be used.
4.7.1 Applicant Eligibility Assessment
Once the application deadline has passed and all proposals have been received, the “Application Eligibility” portion of the Assessment Grid will be assessed for each proposal received. If there is a “no” response to any of the questions in this section, the application will not be considered further and deemed to be disqualified. If a proposal is disqualified at this stage, written notice of disqualification must be sent within 7 calendar days of the decision.
The CFP Assessment Committee must use the mandatory assessment grid for each proposal, and score each category in the order laid out on the grid.
In order to support the assessment and provide feedback to the applicants, comments must be recorded on the grid.
As stated in the Guide to Applicants, the applicant must provide all of the requested information in a manner that clearly demonstrates how the activities and costs are related to the project. Costs and activities must be determined to be a reasonable use of public funds, reasonable in amount, reasonable in content and duration, and contribute to the success of the project. All costs and activities must be allowable under the program terms and conditions and meet the requirements of the Standard Eligible Cost Listing.
Please note that the budget section of the program specific Assessment Grids assumes equivalent points awarded regardless of method of reimbursement selected for 1C and 2 costs. That is, if the total project costs proposed are lower because the applicant chose actuals as opposed to a flat rate, they will not receive a higher ranking.
Each of the five major categories in the assessment grid must receive a minimum of 60% in order for the proposal to be considered for funding. If an application does not receive 60% in any one category, it will not be evaluated further.
In keeping with the current direction made available to the applicant in the Guide to Applicants and in the reference information, the assessment of the proposal must be based on the information provided, in writing, by the applicant.
For each proposal, the CFP committee must work together to complete one official record of the review. The committee must reach a consensus on the score and comments, for each factor on the assessment grid.
This completed assessment grid will be shared with the applicant as part of the feedback on the CFP process.
Only one assessment grid is to be completed for each proposal evaluated, and kept as the official record on file for the CFP. All comments must be factual, objective, and supportable.
The assessments must be reviewed and signed off by the designated management personnel as per regional or national protocol prior to proceeding further.
4.8 Notification of Results and Feedback to Applicants
In communicating all notifications of results, applicants must be made aware of the Office of the Fairness Advisor (OFA), including the OFA’s roles and contact details. Please see ANNEX 11 for further information on the Office of the Fairness Advisor.
Incumbent Applicants
In cases where an incumbent applicant’s proposal is not ranked highest in the assessment, the Committee will complete and submit to the ADM of the Citizen and Community Service Branch, Service Canada, an appropriate notification. Subsequent to ADM approval,the responsible Manager or Director will notify the incumbent . During this telephone call, the incumbent will be offered an opportunity to discuss the results of the assessment, in person, with the responsible SC Management. As well, the incumbent will be advised that a letter, including a copy of the completed Assessment Grid will be sent to them within 10 calendar days.
Highest ranked Applicant(s)
Once the highest ranked applicant has been identified, they will be notified of the results by a telephone call followed by a letter. In instances where the incumbent's proposal is not ranked highest, notification to the highest rankedapplicant will occur following the process outlined in the paragraphs above titled "Incumbent Applicants".
Other Applicants
Within 10 calendar days of the highest ranked applicant being identified, and notified, all other applicants will be notified, in writing, of the results of their proposal. As well, they will be provided with a copy of their completed Assessment Grid and offered an opportunity to meet, in person, to discuss the results of their application.
Public Notification of Results
Immediately after the agreement has been signed, the name and location of the highest ranked applicant will be posted on the Stakeholder Engagement and Call for Proposals for Employment Programs web page. Other information regarding the highest ranked applicant cannot be released without the involvement of the regional ATIP coordinator.
See ANNEX 9 for the mandatory templates for notification of results.
4.9 Recommendation Development with the Highest Ranked Organization
Once the highest ranked applicant is notified, the assessment, recommendation and agreement phases occur as they would for any other agreement. At this phase the CFP committee is dissolved and the P.O. responsible for the assessment of the agreement takes over the process.
Highest ranked applicants must be reminded that although they have been selected, they have no entitlement to Service Canada funding until a legal agreement is signed by both parties. No costs can be incurred, and no activities can take place before the agreement is signed.
The existing principles of negotiation still remain, however, it should be noted that the organization was ranked highest on the basis of the submitted proposal that outlined specific activities and budget requirements. The organization will be expected to deliver the activities within the budget they proposed. Budgets and activities will only be adjusted where:
- specific activities and/or costs do not meet program (service offering) terms and conditions
- specific costs and activities are not deemed to be eligible and/or are not a reasonable use of public funds,
- amounts prove to be unreasonable and/or do not contribute to the success of the project.
During the negotiation process, if the applicant seeks to significantly change the original proposal,, Service Canada reserves the right to not enter into an agreement. In such cases, Service Canada may choose to approach the second-highest ranked applicant from the same CFP process, or launch a new CFP.
Changes to activities or budget that do not fall into the scenarios above will only be contemplated under the same CFP if labour market conditions have changed significantly as identified by Service Canada.
4.10 Internal Review Committee
The purpose of Internal Review Committees (IRCs) is to support the delegated signing authority by providing both service offering and financial expertise to ensure that project proposals recommended for funding:
- meet service offering Terms and Conditions;
- meet the Financial Administration Act (FAA) requirements;
- meet local, regional and/or national priorities set out in the business plan;
- provide value for money; and
- have a sound risk management plan in place.
IRCs are an integral part of the Service Canada Gs and Cs Internal Control Framework. The IRC is not responsible for re-evaluating or re-assessing the proposal.
The decision of the CFP Committee, along with the completed assessment grid and other required IRC documentation (e.g. recommendation rationale and budget) will form the submission to the IRC.
The IRC review will be expedited by virtue of the fact that the formal CFP process has been used and many of the factors that are part of the IRC will already have been assessed.
The following timelines will be respected for the IRC process:
- Once a recommendation rationale is submitted to the IRC, the Committee will review the recommendation package within a maximum of seven working days.
- The record of decision will be prepared within two working days following the IRC meeting.
- Once the record of decision and the recommendation package are signed off by the Chair, the recommendation package will quickly be routed for sign-off to the delegated signing authority and sign-off will occur within five working days. This does not apply for proposals requiring Ministerial approval.
Once the IRC has recommended the proposal and the delegated approval authority has signed off, the agreement can be drawn up and signed by all parties.
The agreement must be signed within 90 calendar days of the CFP closing date.
For every CFP, there is a requirement to complete the CFP Agreement Status Report. This report will provide an overall status of each of the signed agreements within a CFP. This report is to be updated and forwarded to National Headquarters (NHQ) by Regional Headquarters (RHQ) on a bi-weekly basis.
See Annex 10 for the template to be used for these reports.
2 Management is responsible for feedback to incumbent applicants who are not ranked highest.
