2006 Audit Recommendations  -  Status Tracking 
  Document 4
  Audit:  Employment and Financial Assistance - Comprehensive Audit  (Lead:  Steve Kanellakos)        
  Audit Recommendation Management Response  Budget Implications 2008 or Beyond Related Council Motions Status Update / Comments  
             
    Audit Management Response Action Required Based on DCM Implementation Plan   Management Timelines    (Q1- Q4) ($$ if known)   (Status, risks, issues regarding implementation, etc)
1 Ensure the consistent interpretation of policies and administration of benefits across all District Offices Management agrees with the recommendation. 

For the Ontario Works (OW) Program, the Ministry of Community and Social Services (MCSS) currently tracks policy compliance through their provincial audits that result in corrective action plans that are approved and monitored.  These audits also include documenting any concerns arising from overpayments of Community Start Up Benefits (CSUM).  In recent Provincial Audits, there were no concerns raised with the administration of CSUM benefits. In relation to the auditor’s concerns about the number of ERO file terminations in the West District Office, a file review was conducted that confirmed that the West District Office had the same rate of terminations as the other three offices. 		1.1 Implement a new database (Datamart)* that will produce enhanced management reports that will assist in the tracking of benefits and services.  1.2 Determine feasibility and value of establishing a new case review unit 1.1  Q1-Q4 2007                                       1.2  Q4 2007     1.1 Testing 95% complete, closeout on development with Cognos anticipated within the month or so. Details of tools shared with Supervisors end of June, details of reports to and expectations to be disseminated to Managers/Supervisors as they are developed.   
1.2 Decision made to proceed with new case review unit, two job descriptions written to be sent to rating within the next 4-6 weeks.

                                                                 
In early 2007, the Branch  is implementing a new database (Datamart)* that will produce enhanced management reports that will assist in the tracking of benefits and services. Any anomalies will trigger a review by the supervisor who will ensure that the payment/service is legitimate as an exception as outlined in provincial legislation or Council direction and that any corrective action is taken as required. 
Furthermore, in early 2007, the Branch is assessing the feasibility (need, cost, program implications, and resources) of implementing a new case review unit that would complete random sample case audits for all of the EFA programs and services.

*The Datamart is an EFA database and reporting tool that provides the Branch with the necessary reporting capacity to support performance management.
4 Re-instate the Supervisors Committee as a mechanism for Supervisors to meet on a regular basis to share information.  Management disagrees with the recommendation.

There are already opportunities in place that support supervisor information sharing such as: weekly management team meetings; topical management committees; management specific training and development sessions; and bi annual management forums and working sessions. 		        For discussion at a future meeting of the CAWG.
7 Through the Senior Management Team, establish and enforce a tone of accountability across the Branch. Management agrees with the recommendation and  is committed to ensuring accountability in the Branch. 

The Branch has successfully achieved all of its provincial targets for employment activities, Enhanced Eligibility Review/Family Support and the Consolidated Verification Program.  This success is attributable to many initiatives introduced over the past several years such as the development of accountability frameworks, setting, monitoring and correcting progress toward program specific outcomes and the provincial targets. 

Management agrees that furthering accountability across the Branch is helping to ensure that provincial employment targets (outcomes to be finalized ’07-’08) and other Branch objectives are met.  To further clarify the expectations and outcomes, the Branch is the process of developing, in collaboration with the staff, a program-by-program outcome measures as a component of the PMP.  		Continue Senior Management's plan and commitment to ensuring accountability through the Performance Management Program that reinforces a tone and culture of accountability at the Branch, Program/Service and Position levels; specific actions planned include:  7.1 Branch-level - Hold an all EFA Supervisors/Managers forum to discuss EFA Branch Comprehensive Audit findings and actions planned.     7.2  Branch-level - Continue significant involvement in performance reporting through Corporate Performance Measurement and Reporting Framework and OMBI e.g., data and analysis for 2006 OMBI performance measures.                                              7.3  Program-level - continue developing outcomes measures by programs/services and refine data & reporting requirements needed for outcome reporting and performance management. 7.1 Q2 2007                    7.2  Q2-Q4 2007        7.3 Q2-Q4 2007     7.1 Results of audit and resulting work plan, 2006 achievements reviewed as they relate to EFAs '07-'08 service plan with the Province (employment targets), review of datamart presented at June 26 meeting with Supervisors.  Another meeting scheduled with Supervisors for Oct 3 to review the new employment model and provide update on the budget.  EFA will continue to meet with Supervisors on a regular basis to keep them informed and knowledgeable about their role in new initiatives/changes.  COMPLETED
7.2 Continued involvement in OMBI and other Corporate reporting requirements as necessary.
7.3 All documentation and outcomes related to program level have been compiled to be validated by MGT on Sept 20 to be used as part of the strategic planning process same day. COMPLETED BY END OF SEPT
The Branch is also committed to the 2006 Corporate Performance Measurement and Reporting Framework as evidenced by our significant involvement in OMBI and ongoing submissions of a high number of measures for the Quarterly Performance Reports to Council.  
8 Use a consistent approach during the 3-month probationary period for new hires to ensure that new hires are adequately and consistently mentored, monitored and assessed by Supervisors. Management agrees with the recommendation. 

By the end of Q 4 2007, the Branch will deliver clear messaging about expectations, and will develop and implement tools to ensure that an assessment of new staff is done consistently.  This will include a how to use the newly completed code of conduct companion guide that assists managers and supervisors in explaining in very clear terms how the code of conduct applies to EFA.		 In addition to promoting use of existing corporate tools for orienting new staff about standards and expectations, the following are specific actions planned:    8.1 Review existing EFA orientation materials and approaches to determine best practices, and develop one approach and set of tools/materials to be used by EFA supervisors with new hires (e.g., a companion guide for the Code of Conduct);                                          8.2 As Phase 2 of the Performance Management Program, communicate clearer expectations, and provide tools & support materials to supervisors on how to monitor newly hired staff’s performance in order to ensure a consistent approach to mentoring, monitoring and assessing new hires.
 Q4 2007     8.1 Currently gathering materials, recommendations to promote consistency to proceed to EFA MGT by Q1 2008.
8.2 See 3.1 COMPLETED
9 Extend the 3-month probationary period to 6-months (as allowed under the terms of the CUPE 503 Contract) when it is determined that more time is necessary to assess performance.  Management agrees with the recommendation.

As per recommendation #8, with the systematic application of an assessment tool and clearer expectations of how to monitor newly hired staff’s performance, supervisors will be better able to identify the need for, on an as needed basis, the extension of the probationary period based on an assessment of performance.
 9.1 Linked to #8.2 In Phase 2 of the Performance Management Program, communicate clearer expectations of how to monitor newly hired staff’s performance to all supervisors in part, in order to determine when to extend the probationary period.
Q4 2007     9.1 As part of orientation material, PMP measures to be developed for new hires Q2 2008.
15 Improve the working relationship between Case Coordinators and Employment Specialists through increased communication and training Management agrees with the recommendation.
 
Before 2000, employees delivering employment programs were at different sites than those delivering financial assistance.  The EFA Branch has since integrated employment and financial services in each of the four existing sites (previously 9 sites) as a one point of service strategy.  This as well as other Branch initiatives, has significantly improved the understanding and acceptance of each other’s roles and responsibilities. 

Furthermore, with the new Service Delivery Model, more clarification and details will be provided specific to expectations and contributions toward outcomes (four training modules will be delivered in 2007). As previously stated in recommendation #14, there will be ongoing reviews of the model with a focus on enhanced communication and further opportunities for integration. 
15.1  Continue to re-orient and align service delivery to new Provincial outcomes model, including deployment of staff, staff training, tools and supports for new or changing roles & responsibilities, and performance management reporting. Q1-Q4 2007     15.1 Focus groups held over the past several months seeking input from various levels of staff.  This information was reviewed and was considered as changes and realignment were made to the employment model to be introduced Oct-Nov '07.
16 Develop an exit interview process to collect data on clients terminating OW due to employment to identify which employment programs and initiatives are leading to desired outcomes.  Management agrees with recommendation.

Over the past year, the Branch has piloted a termination checklist and process (includes contacting participants who have likely exited for employment reasons) in two of its four sites with favourable results.  Therefore EFA will introduce this termination approach consistently across the Branch in Q3 2007.The Branch also has other mechanisms such as outcome measures by program, an employment readiness tool and questionnaires/surveys.  This composite approach to gathering data all contribute to the identification of which employment programs and initiatives are successful.
 16.1 Implement and continuously improve OW case closure processes (e.g., termination checklist, and job retention processes which includes gathering information from OW clients who exit for employment reasons).                                          16.2 Continue to define outcome measures and reporting by Programs/Services in order to evaluate effectiveness and to improve program/service planning. Q3-Q4 2007 to Q2 2008 or later     16.1 Termination workers in place in all 4 sites.  COMPLETED
16.2 Although, EFA continues to participate in the joint provincial/municipal outcome measures workgroup, EFA is dependent on the Province finalizing its measures anticipated in Q2 2008.
17 Link the new outcome-based measures to the City’s Quarterly Performance Report. Management agrees with the recommendation. 

The Ministry of Community and Social Services introduced performance-based funding in the early 2000’s by setting targets related to clients participating in employment-related activities (i.e. job search, training and education, employment placements, community placements).  Since 2002 the EFA Branch has consistently met its targets as contracted between the City and the Province in the yearly Ontario Works Service Plan.  Between 2006 and the end of 2007, the Province will be finalizing new measures and reports that will be employment outcome based. One aspect of finalizing these measures, is improving the integrity of the reports as this was tabled as an issue.  As a result the Province has created a joint Data Integrity Workgroup that is working on improving the reports.  As these measures (pertaining to approximately 22,000 participants improving in the areas of earnings, employment and employability), are released in 2007, EFA will build them into the various reporting documents including the City’s Quarterly Performance Report.
 17.1 Throughout 2007, continue work with the Province to finalize new measures and reports that will be employment outcome based, including addressing/resolving data integrity issues and business application gaps and requirements to support reporting.  As these measures (pertaining to approximately 22,000 participants improving in the areas of earnings, employment and employability), are released in 2007, EFA will build them into the various reporting documents including the City’s Quarterly Performance Report. Q4 2007 - Q2 2008 or later     17.1 See recommendation #14 and #16
18 Develop a process to review and update (if necessary) policies for EHSS 100%, Home Help and Home Management programs on a regular basis.  Management agrees with the recommendation.

 The Branch began a policy and procedure review of the EHSS Program in 2006 and will build into a review of Home Help and Home Management workplan.  To ensure that this is completed on a regular basis, EFA will build in a bring-forward mechanism to indicate that a general review is due on one of the programs based on a staggered four year cycle. The mechanism will be in place by Q3 2007.
 18.1 Develop a mechanism to ensure a regular and scheduled (4 year cycle) program policy review and update of the EHSS 100%,Home Help and Home Management programs.  Q3 2007     18.1 Decision made concerning delivery model of EHSS and the P&P has been revised.  Next revision period set for 4 years (or earlier as needed or as changes occur).  Home Help and Home MGT just being finalized and review of P&P to occur in Q1-2 of 2008 with a revision period of 4 years (or earlier as needed or as changes occur).
22 Develop an assessment tool to determine financial eligibility for Home Management Services. Management disagrees with the recommendation.

An assessment tool for the Home Management program already exists.  The vast majority of residents receiving home management services are ODSP and OW clients.  The assessment tool used for those who are not in receipt of social assistance (low income) is the same as the one used to assess low-income applicants for the Home Help Program.  		        For discussion at a future meeting of the CAWG.