CIC Evaluation Policy

1.0 Policy Objective

The objective of this policy is to ensure that Citizenship and Immigration Canada (CIC) has an effective and independent evaluation function.

The policy outlines the governance and operation of the evaluation function, and the associated roles and responsibilities of the Deputy Minister, CIC senior management, program managers and the Evaluation Directorate.

2.0 Policy Statement

CIC will maintain an effective evaluation function that plays a strategic role in providing the Deputy Minister, senior management and program managers with objective, timely and evidence-based information and conclusions on the results of programs, policies and initiatives. Evaluation is an integral part of the policy process at CIC; the results of evaluation research will inform ongoing policy development and program design.

3.0 Authority

The CIC policy is carried out under the authority of the Treasury Board Secretariat Evaluation Policy[note 1] (April 1, 2001), which requires departments and agencies to embed evaluation into their management practices and:

• Design policies, programs and initiatives that clearly define expected results and that embody sound performance measurement, reporting and accountability provisions at their outset; and
• Assess in a rigorous and objective manner the results of government policies, programs and initiatives, including their impacts both intended and unintended, and alternative ways of achieving expected results.

4.0 Governance

Evaluation is a department-wide responsibility that is overseen by the Evaluation Committee. The Deputy Minister chairs the Committee and is responsible for ensuring rigorous evaluation practices within the Department. Departmental managers, including the Head of Evaluation,[note 2] are responsible for carrying out this function.

The Evaluation Directorate is the focal point for the evaluation function within CIC, and it oversees the department-wide planning and management of evaluation. The responsibility for the conduct of specific evaluation activities is determined through the development and updating of a multi-year evaluation plan.

5.0 Responsibilities

5.1 Deputy Minister

In conformity with the Treasury Board Secretariat Evaluation Policy, the Deputy Minister is responsible for:

• Establishing and maintaining an appropriate evaluation capacity, tailored to the needs and resources of CIC;
• Establishing an evaluation committee and acting as Chair of the Committee;
• Ensuring that the Head of Evaluation has the professional capabilities to meet his or her obligations under this policy; and
• Ensuring that the provisions of the CIC Evaluation Policy are met.

5.2 CIC Evaluation Committee 

The Departmental Evaluation Committee is chaired by the Deputy Minister. Membership comprises Assistant Deputy Ministers, the Director General of Research and Evaluation (Head of Evaluation), the Director General of Internal Audit and Accountability, the Chief Financial Officer and the Director of Evaluation. Other senior departmental executives may be invited to participate as deemed necessary. Similarly, the Committee may invite representatives from central agencies. The Evaluation Committee meets at least twice a year.

The Committee’s roles and responsibilities include:

• Providing advice and counsel to assist the Deputy Minister in discharging his or her responsibilities with respect to evaluation;
• Approving, in the final quarter of each fiscal year, a multi-year evaluation plan; reviewing a report on progress against the previous year’s plan; and confirming the workplan for the upcoming year;
• Ensuring that the Evaluation Directorate and departmental managers have the management support and resources required to meet their obligations under this policy;
• Establishing steering committees for evaluation projects when deemed appropriate;
• Reviewing and approving evaluation reports and associated documents. Approval of evaluation reports indicates that CIC accepts the conclusions and that the document will be made available to the public;
• Requesting, when required, that action plans be developed by CIC managers in response to conclusions presented in evaluation reports, and approving those action plans;
• Reviewing program progress against approved action plans; and
• Ensuring that the results of evaluations are incorporated into departmental priority-setting, planning and policy decision-making processes.

5.3 Evaluation Directorate

The role of the evaluation function is to provide accurate, objective and evidence-based analysis and related conclusions to support departmental policy and program decision making. The Evaluation Directorate is the focal point for this function, overseeing the planning, conduct and reporting of evaluation activities within CIC.

With respect to the management of specific evaluation studies, the Evaluation Directorate is a specialized unit in the Department that concentrates its resources on evaluation work that measures CIC’s achievement of key strategic outcomes and senior management priorities, based on the key risks and priorities articulated in the multi-year Evaluation Plan. This work may include projects that are thematic in scope, covering several policy and program areas, or may include projects that focus on a single CIC policy area.

Other requirements identified in the plan will be the responsibility of the program branches. The Head of Evaluation has the responsibility for oversight of all evaluation work at CIC, both the work of the Research and Evaluation Branch and the work managed by other branches.  

The Evaluation Directorate is responsible for:

• Developing a multi-year, risk-based evaluation plan that is submitted, together with an annual progress update and workplan, to the Evaluation Committee for approval;
• Managing departmental strategic, high-priority evaluation studies;
• Acting as the focal point for all evaluation work in the Department:
• Maintaining a schedule of all CIC evaluation responsibilities and activities;
• Reviewing and approving all evaluation studies, including Results-based Management and Accountability Frameworks (RMAFs), evaluation frameworks and other evaluation products, to ensure that the program theory, performance indicators and planned resources are appropriate and realistic;
• Approving, through the Director General, Research and Evaluation, all Treasury Board submissions to ensure that sufficient funding has been identified for CIC’s evaluation requirements;
• Playing a role as the Department’s central source in providing evaluation guidance, advice and support;
• Providing advice and guidance related to performance and results measurement to program managers as needed;
• Reviewing and approving all formative and summative evaluation reports produced at CIC prior to submission to the Evaluation Committee;
• Reporting all evaluation conclusions, together with the responsible CIC manager when appropriate, to the Evaluation Committee in a clear, timely and balanced manner;
• Posting approved reports on the departmental intranet and Internet sites;
• Fulfilling CIC’s commitments on horizontal and centrally led RMAFs and evaluations; and
• Maintaining official contact with central agencies, particularly the Treasury Board Secretariat’s Centre of Excellence for Evaluation, insofar as it relates to the evaluation activities of the Department.

5.4 CIC Program Managers

CIC program managers are responsible for the management of their respective organizations and programs, and for responding to CIC’s obligations under its management accountability framework. These management responsibilities include the ongoing measurement and monitoring of performance and results achieved. Under this policy, CIC’s program managers are responsible for:

• Developing evaluation frameworks, RMAFs and evaluations related to their areas of responsibility, as identified in the Evaluation Plan and with the oversight of the Evaluation Directorate, in accordance with departmental standards[note 3];
• Ensuring that the Head of Evaluation is informed of all evaluation activities in their area of responsibility;
• Planning and implementing performance measurement practices that support evaluation work as prescribed in evaluation frameworks and RMAFs;
• Consulting with the Evaluation Directorate and seeking advice related to evaluation work;
• Monitoring and analysing performance data in support of program management and assessment;
• Ensuring that those conducting evaluation studies[note 4] have access to all departmental records, documents and information deemed necessary to fulfil their responsibilities, as well as access to departmental staff they wish to interview to obtain information necessary to complete their studies; ensuring that those conducting evaluation studies have the appropriate qualifications;
• For strategic evaluations in which their program is involved, reviewing and validating project methodologies, preliminary findings, evidence and conclusions for accuracy and completeness, in a timely manner;
• Reporting all evaluation conclusions related to their program, together with the Head of Evaluation, to the Evaluation Committee in a clear, timely and balanced manner;
• Developing responses and action plans to address conclusions made in the final reports, when required, and reporting to the Evaluation Committee on the progress made in implementing action plans approved by the Committee; and
• Incorporating approved evaluation findings and measures for improvement into priority-setting, planning, reporting and decision-making processes.

5.5 Internal Audit and Accountability

The Director General of Internal Audit and Accountability is responsible for monitoring the implementation of RMAFs and evaluation frameworks and ensuring that prescribed performance measurement data collection is occurring. This implementation assessment will take place approximately one year after the finalization of the RMAFs and frameworks, and the Director General of Internal Audit and Accountability will report the findings to the Audit Committee.

6.0 Evaluation at CIC

6.1 Evaluation Planning 

The Evaluation Directorate manages the process for developing departmental evaluation plans. These plans are risk-based, multi-year plans that focus on strategic directions, priorities and risks. They include all evaluation studies to be conducted over the specified time frame and designate responsibility for particular projects. The multi-year plan is supplemented with an annual update and workplan, which are submitted to the Evaluation Committee for approval in the final quarter of each fiscal year.

The process for developing the multi-year plan includes significant senior management involvement in direction setting and risk assessment. The specific steps to be undertaken include the development of an evaluation universe, selection and confirmation of risks and priorities,[note 5] including consideration of the corporate risk profile, identification and prioritization of potential projects and activities, submission to the Evaluation Committee for approval, and ongoing monitoring and updating.

6.2 Approval and Sign-Off

All evaluation reports and RMAFs conducted by CIC are approved and signed off by the Head of Evaluation and the responsible program Director General. This provides assurance to the Deputy Minister of the credibility and accuracy of the results information presented.

6.3 Standards

Evaluation work must be conducted in accordance with the Evaluation Standards of the Government of Canada as outlined in the Treasury Board Secretariat Evaluation Policy, and the Canadian Evaluation Society standards. Furthermore, Evaluation Directorate staff and contractors are expected to meet the standards of professional values and ethics, reflecting the principles and rules of conduct contained in the Values and Ethics Code for the Public Service.[note 6] Both imply compliance with the highest ethical standards.

7.0 References

Treasury Board Evaluation Policy
http://www.tbs-sct.gc.ca/pubs_pol/dcgpubs/tbm_161/ep-pe_e.asp.

Treasury Board Policy on Transfer Payments
http://www.tbs-sct.gc.ca/pubs_pol/dcgpubs/tbm_142/ptp_e.asp.

Preparing and Using Results-Based Management and Accountability Frameworks
http://www.tbs-sct.gc.ca/eval/pubs/RMAF-CGRR/guide/guide_e.asp.

Canadian Evaluation Society
http://www.evaluationcanada.ca.

8.0 Enquiries 

Enquiries about this policy should be addressed to:

Director General
Research and Evaluation
Citizenship and Immigration Canada
360 Laurier Ave. West
11th Floor
Ottawa, ON
K1A 1L1
Tel.: 613-957-5907 
Fax: 613-957-5936

____________

1. http://www.tbs-sct.gc.ca/pubs_pol/dcgpubs/tbm_161/ep-pe_e.asp.

2. The Director General, Research and Evaluation, is the Head of Evaluation.

3. As specified in the Evaluation Directorate’s format for RMAFs.

4. This may include contractors or consultants.

5. This takes into account an assessment of risk (materiality, public health, safety and security concerns, scope and complexity, program renewal commitments, public confidence, etc.), as well as departmental and Government of Canada priorities, Deputy Minister or Evaluation Committee priorities, and Treasury Board or other reporting requirements.

6. http://www.tbs-sct.gc.ca/pubs_pol/hrpubs/TB_851/vec-cve_e.asp.