Species at Risk Program results-based management, accountability framework and audit framework: chapter 5
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Performance and risk will be monitored as an integrated strategy that relies on the results logic shown in Section 3 and the risk assessment shown in Section 4.
Corresponding to the SAR Program outputs and expected outcomes (see Section 3) is a set of performance indicators and a measurement strategy, which have been presented in Table 13. A number of indicators are relevant for both performance measurement of results and risk. These "dual" indicators are shown in bold and are a key efficiency feature of an integrated RMAF-RBAF. Note that risk indicators are linked to specific risks (as identified and numbered in Section 4).
For each output and outcome, the measurement strategy identifies
- indicators;
- targets;
- those accountable for delivering on the outputs and the outcomes;
- data collection methods and / or sources of information;
- those responsible for collecting, analyzing and reporting; and
- frequency of data collection.
Indicators
Quantitative and qualitative indicators have been identified strategically in order to demonstrate progress in producing the outputs and achieving the outcomes. The ability to collect data was an important factor in choosing the indicators.
Targets
Some indicators have associated targets. These targets are presented in Table 13 under the Targets column. Other performance targets will be identified through an implementation review (2009) (see Section 8 RMAF-RBAF Implementation Review Strategy) and after gathering benchmarking data (2008-2009). However, it is important to note that a number of indicators do not lend themselves to performances targets.
Accountability
Those accountable from the core departments for producing the outputs and achieving the set outcomes have been identified at the Assistant Deputy Minister and Director General levels, depending on the department/agency. Partners, Aboriginal people and stakeholders have also been identified as accountable for certain outcomes, given that their involvement in the Program is critical to the success of delivering on the species at risk results.
Data Source and Evaluation Methods
The data sources for most of the output indicators and for several of the outcome indicators are Program management databases and Program files. This information will be used to support the management of the Program as well as future evaluations. The sources for the remaining indicators are various evaluation methodologies (e.g., document review, interviews, surveys, case studies and/or workshops).
Responsibility for Data Collecting, Analyzing and Reporting
Those responsible from the core departments for the data collection, analysis and reporting have been identified at the Director level.
Frequency of Data Collection
The majority of the outputs indicators and several outcome indicators will be tracked and reported annually. The remaining indicators will require a greater investment in data collection and assessment methodologies. Most of these indicators will be the responsibility of the evaluation team (supported by the core departments).
It is important to note that formal risk evaluations or assessment will be done on a periodic basis; however, some indicators of risk may be monitored on an ongoing basis as part of good management practices. This ongoing monitoring is critical to Program success as factors that affect risk levels / exposure can change quickly and, as a result, new or modified mitigation strategies may be needed.
Performance Area | Key Indicators (Note: Bolded entries identify indicators of both risk and performance and bold italics identify indicators related to core departments’ workloads) |
Targets | Accoun- tability for Results |
Data Source / Eval’n Methods | Respon-sibility for Collecting Data | Reporting |
---|---|---|---|---|---|---|
Assessment / Protection | ||||||
Key Outputs | ||||||
COSEWIC Status Reports |
|
100% | COSEWIC | Species at Risk (SAR) Database14 | EC Director Conservation Service Delivery and Permitting (CSDP) | Annual |
Secretariat support to COSEWIC |
|
EC Associate ADM ESB | Secretariat files | EC Director CSDP | Annual | |
Report on the general status of species |
|
DFO ADM O&SG and Regional DGs EC Associate ADM ESB PC DG NP |
Wildlife Species Website15 | EC Director CSDP, PC Executive Director EI | Annual | |
Federal SAR assessment policies and guidelines |
|
DFO ADM O&SG and Regional DGs EC Associate ADM ESB PC DG NP |
Outcome Evaluation (document review, interviews) | Evaluators | 2010- 2011 | |
Listing consultations |
|
1) 100% 2) 100% |
DFO ADM O&HS and Regional DGs EC Associate ADM ESB |
SAR Database | DFO Director Species at Risk Secretariat (SARS), EC Director CSDP, | Annual |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB |
Departmental Records | DFO Director SARS, EC Director CSDP | Annual | ||
Permits Statements of rationale |
|
DFO ADM O&HS, Regional DGs and SO, SARA EC Associate ADM ESB and CEO PC DGs E, and W&N |
DFO Permitting Database EC SAR Permitting Database PC Permitting Database |
DFO Director SARS, EC Director CSDP and PC Executive Director EI | Annual | |
Compliance promotion strategies, plans, tools and policies |
|
1) 100% | DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG NP |
Compliance strategies and compliance promotion plans SAR Database |
DFO Director SARS, EC Director CSDP and PC Executive Director EI | Annual |
Enforcement tools and policies |
|
DFO ADM O&HS, Regional DGs and SO, SARA EC Associate ADM ESB, CEO PC DG NP |
National Inspection Plans SAR Database |
DFO Director SARS, EC Director CSDP and PC Executive Director EI | Annual | |
Trained enforcement officers |
|
DFO SO, SARA EC CEO PC DG NP |
DFO Enforcement Database EC NEMESIS PC Enforcement Database |
DFO SO, SARA EC Director Wildlife Enforcement PC DG NP |
Annual | |
Enforcement activities / investigative reports |
|
DFO SO, SARA EC CEO PC DGs E and W&N |
DFO Enforcement Database EC NEMESIS PC Enforcement Database |
DFO SO, SARA EC Director Wildlife Enforcement PC DG NP |
Annual | |
Federal SAR protection policies and guidelines |
|
DFO ADM O&HS, Regional DGs EC Associate ADM ESB PC DG NP |
Outcome evaluation (interviews, document review) | Evaluators | 2010- 2011 | |
Response statements |
|
100% | DFO ADM O&HS EC Associate ADM ESB |
SAR Database | EC Director CSDP | Annual |
Minister’s recommendations Statements that support decisions |
|
DFO ADMO&HS EC Associate ADM ESB | SAR Database | EC Director CSDP | Annual | |
GIC listing order | ||||||
Orders to legally protect critical habitat |
|
2) 100% | DFO ADM O&HS EC Associate ADM ESB PC DGs E and W&N |
SAR Database / Recovery Information Management System (RIMS) | EC Director CSDP | Annual |
Ministerial opinions on effective protection | ||||||
Orders, other than listing orders |
|
DFO ADM O&HS EC Associate ADM ESB |
SAR Database | EC Director CSDP | Annual | |
Regulations to protect critical habitat on federal lands |
|
DFO ADM O&HS EC Associate ADM ESB |
SAR Database | EC Director CSDP | Annual | |
Immediate Outcomes | ||||||
Engagement by partners and Aboriginal people in SAR assessment and protection activities |
|
DFO ADM O&HS, Regional DGs EC Associate ADM ESB PC DG E and W&N Partners and Aboriginal people |
Outcome Evaluation (survey) | Evaluators | 2010- 2011 | |
|
Partners and Aboriginal people | Departmental Records | DFO Director SARS, EC Director CSDP | Annual | ||
Identification of SAR priorities through a coordinated early detection system based in science, ATK and risk ranking of species |
|
COSEWIC | SAR Database | EC Director CSDP | Annual | |
Legislative frameworks collectively provide protection to species at risk and their residence and critical habitat |
|
DFO ADM O&HS EC Associate ADM ESB PC DG E and W&N Partners and Aboriginal people |
SAR Database | EC Director CSDP, PC Executive Director EI | Annual | |
|
DFO ADM O&HS EC Associate ADM ESB PC DG NP Partners and Aboriginal people |
Outcome evaluation (document review, interviews) | Evaluators | 2010- 2011 | ||
Legal obligations are met |
|
DFO ADM O&HS EC Associate ADM ESB |
EC Director General’s office files | EC Director CSDP | Annual | |
Implementation of compliance promotion |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG ER&VE |
Compliance promotion plans | Evaluators | 2010- 2011 | |
Enforcement of general and critical habitat prohibitions by departments |
|
DFO SO, SARA EC CEO PC DG NP |
DFO Enforcement Database EC NEMESIS PC Enforcement Database |
DFO SO, SARA EC Director Wildlife Enforcement PC DG NP |
Annual | |
Intermediate Outcomes | ||||||
Engagement and support by stakeholders in the development of SAR assessment and protection activities |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N Stake-holders |
Outcome Evaluation (survey) | Evaluators | 2010- 2011 | |
|
Stake-holders | Departmental Records | DFO Director SARS, EC Director CSDP | Annual | ||
Critical habitat is protected |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N Partners and Aboriginal people |
SAR Database | EC Director CSDP, PC Executive Director EI | Annual | |
Recovery Planning | ||||||
Outputs | ||||||
Recovery Strategies Recovery Action Plans Management Plans |
|
1) 100% | DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N |
DFO Recovery Records SAR Database / RIMS PC Recovery Records |
DFO Director SARS EC Director CSDP PC Executive Director EI |
Annual |
Recovery Planning Consultations |
|
1) 100% | DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N |
SAR Database / RIMS | EC Director CSDP, PC Executive Director EI | Annual |
Federal SAR recovery planning policies and guidelines |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG NP |
Outcome Evaluation (document review, interviews) | Evaluators | 2010- 2011 | |
Immediate Outcomes | ||||||
Engagement by partners and Aboriginal people in SAR recovery strategies, action plans and management plans |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N Partners and Aboriginal people |
Outcome Evaluation (survey) | Evaluators | 2010- 2011 | |
|
Partners and Aboriginal people | Departmental Records SAR Database / RIMS |
DFO Director SARS EC Director CSDP PC Executive Director EI |
Annul | ||
Intermediate Outcomes | ||||||
Engagement and support by stakeholders in recovery strategies, action plans and management plans |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N Stake-holders |
Outcome Evaluation (survey) | Evaluators | 2010- 2011 | |
|
Stake-holders | Departmental Records | DFO Director SARS EC Director CSDP PC Executive Director EI |
Annual | ||
Implementation | ||||||
Outputs | ||||||
Core departments’ implementation of priority actions |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N |
5-year recovery implementation review | DFO Director SARS EC Director CSDP PC Executive Director EI |
Beginning 2011 | |
G&C Funding Support Funding agreements |
|
DFO ADM O&HS EC Associate ADM ESB PC DG E and W&N Partners, Aboriginal people and stakeholders |
DFO Funding Database EC SARA Funding Program Database RENEW Annual Reports |
DFO Director SARS EC Director CSDP |
Annual | |
CEAA recommendations |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N |
CEAA Registry | EC Director CSDP, PC Executive Director EI | Annual | |
Federal SAR implementation policies and guidelines |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG NP |
Outcome evaluation (interviews, document review) | Evaluators | 2010- 2011 | |
Immediate Outcomes | ||||||
Implementation of priority recovery actions by partners and Aboriginal people |
|
DFO ADM O&HS EC Associate ADM ESB PC DGs E and W&N |
Departmental Financial Records | DFO Director SARS EC Director CSDP |
Annual | |
|
Partners and Aboriginal people | SAR Database / RIMS / SARA Funding Program Database | ||||
Increased Aboriginal capacity to participate in SAR planning and implementation |
|
Aboriginal people EC Associate ADM ESB |
Outcome Evaluation (findings analyses) | Evaluators | 2010- 2011 | |
Inclusion of SAR, their residence and /or critical habitat in environmental assessments |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N |
CEAA Registry | DFO Director SARS EC Director CSDP PC Executive Director EI |
Annual | |
Intermediate Outcomes | ||||||
Stakeholders have the information necessary to contribute to the protection of species at risk and their habitat |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG ER&VE Stake-holders |
Outcome evaluation (project files, interviews, surveys | Evaluators | 2010- 2011 | |
Implementation of priority recovery actions by stakeholders |
|
Stake-holders | DFO Recovery Records SAR Database / RIMS PC Recovery Records |
DFO Director SARS EC Director CSDP |
Annual | |
Monitoring and Evaluation | ||||||
Outputs | ||||||
SAR 5-year recovery implementation reports |
|
100% | DFO ADM O&HS EC Associate ADM ESB PC DGs E and W&N |
SARA Registry | EC Director CSDP | Beginning 2011 |
Annual report to Parliament on the administration of SARA |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG NP |
Outcome Evaluation (findings analyses) | Evaluators | 2010- 2011 | |
Federal SAR monitoring and evaluation policies and guidelines |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DG NP |
Outcome Evaluation (document review, interviews) | Evaluators | 2010- 2011 | |
Round table meetings Responses to roundtable recommendations |
|
1) 2 years | DFO ADM O&HS EC Associate ADM ESB PC DG NP |
SARA Registry | EC Director CSDP | Bi-annual |
Immediate Outcomes | ||||||
Improved species monitoring |
|
DFO ADM O&HS and Regional DGs EC Associate ADM ESB PC DGs E and W&N Partners, Aboriginal people and Stake-holders |
SAR Database Other databases |
DFO Director SARS EC Director CSDP PC Executive Director EI |
Annual | |
Improved administration of SARA |
|
DFO ADM O&HS EC Associate ADM ESB PC DG NP |
Outcome Evaluation (document review, interviews) | Evaluators | 2010- 2011 | |
Intermediate Outcomes | ||||||
Engagement and support for species monitoring |
|
Stake-holders | Outcome Evaluation (interview, document review) SAR 5-year Recovery Implementation Reports |
DFO Director SARS EC Director CSDP |
Annual | |
SAR Program Long-Term Outcomes | ||||||
Conservation and protection of species at risk |
|
DFO ADM O&HS, Regional DGs and SO, SARA EC Associate ADM ESB, CEO PC DG NP Partners, Aboriginal people and Stake-holders |
SAR Database | DFO Director SARS EC Director CSDP PC Executive Director EI |
2010- 2011 |
12 Those indicators that support risk management and assessment are presented in bold. The numbers found following indicators refer back to the list of risks outlined in Section 4.
13 Those indicators that related to the core departments’ workload are presented in bold and italic. These indicators demonstrate the volume of work in that area.
14 SAR database, managed by EC,contains information regarding the assessment, listing, recovery of species at risk and federal lands where they are known to occur. It is used for the management of the Program and also supplies data to the SARA Registry. Currently, information from the database is shared with DFO and PCupon request. However, negotiations are underway to provide full access toDFO and PC. The database also provides information on the general status of wildlife in Canada.
15 Wildlife Species website
16 Compliance promotion strategies and plans are internal departmental documents
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