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Audits and Evaluations

Summative Evaluation of the National Archival Development Program

2.2 Program logic

This section outlines and describes the logic of the NADP.  A formal logic model (a visual representation of program logic) is available in Appendix D.

2.2.1 Program objectives

The NADP's five objectives are to:

• increase access to Canada's archival heritage through the national catalogue
• increase awareness and broaden use of Canada's archives
• increase the representation of Aboriginal Peoples and under-represented ethnocultural groups in Canada's archives
• increase the capacity of archival networks to undertake strategic and development activities
• increase the capacity of archival institutions to preserve Canada's archival heritage (LAC, 2010).

The sound planning and formulation of program objectives is essential to guide program activities toward program outcomes, and to ensure that all program operations are focused and strategically advantageous. Each NADP objective was developed through consultation between LAC, CCA, and the wider Canadian archival community. In order to receive NADP funding, projects must demonstrate that they will advance at least one of these program objectives. However, although applicants apply for funding under only one objective, they can address more than one objective through their work.

Beyond these program objectives, several additional guidelines exist that help to direct program work. For one, LAC and CCA have developed national strategic priorities that accompany each objective, and these are reviewed and potentially revised on a yearly basis. The priorities describe in more detail the type of work that NADP projects are expected to conduct and issues they are to address. Provincial/Territorial councils may also identify priorities for their region by choosing objectives and national priorities that are most relevant to their specific circumstances. Accordingly, funding applications that address provincial/territorial priorities may be allocated additional points during provincial/territorial adjudication (PRA, 2008, p. 4).

2.2.2 Program activities

Under the direction of the stated NADP objectives, the program supports a range of activities that aim to provide financial support for projects that build archival community capacity, specifically in the fields of access and preservation.

These activities can include, but are not limited to:

• providing training and workshops
• developing communications products
• developing and converting descriptions of archival material
• assessing and conserving archival materials
• conducting research
• planning
• developing public programs
• coordinating projects

It is expected that each program activity leads first to a series of outputs, and then to program outcomes in the short, medium, and long term. A discussion of program outcomes is provided below.

The means by which the NADP receives and distributes funding for activities is of particular importance to program operations. The NADP receives funding for two general purposes. First, CCA receives contribution funding through the National Council portion of the program for administration and to support the development of Canadian archival institutions and organizations. Second, the Archival Projects component of the program assists independent archival organizations and institutions, including Provincial/Territorial councils, by providing funding for specific projects.

• Funding to CCA
  • Third-party administration of funding for archival projects by CCA ($185,000)
  • Development of archival capacity undertaken by CCA ($395,000)
• Archival projects undertaken by ultimate recipients ($1,140,000)

Funding to CCA covers the administrative costs of funding specific projects, but not the actual funding outlay. Typical activities related to this administration function include adjudicating project applications, administrating the program (including contribution agreements), providing information about the NADP, and assessing the alignment of projects with objectives and indicators. CCA funding also covers activities related to developing archival capacity, such as working with the national catalogue (ARCHIVESCANADA.ca), training and supporting archives advisors, meeting with Provincial/Territorial councils, and measuring performance. However, both the financial support for projects and CCA's program activities focus on building capacity in the archival community in the areas of access and preservation. Financial support and related activities are discussed below. In essence, CCA acts as a third-party delivery organization on behalf of LAC and does so through the NADP (PRA, 2008, p. 5).

The funding of specific projects is the second major function of the NADP, and is performed through the Archival function component.

To be eligible for NADP funding, project applicants must be:

• "The Canadian Council of Archives (CCA);
• Provincial or territorial archives councils or equivalents;
• National, provincial, territorial or regional associations of archives; or
• Canadian archival institutions that are accessible to the public and members of a provincial or territorial archives council" (LAC, 2010).

In addition to contributing to at least one of the five NADP objectives, projects are normally required to match funds. The contribution of the applicant can be in the form of financial support for the proposed project from other federal programs, sponsors, other levels of government, or the private sector, or indirect financial support such as paid staff time, volunteer investment, and supplies (CCA, 2010c, p. 8). This matching requirement was not included in the Terms and Conditions, and was established by LAC and CCA in recognition that the majority of matching contributions are in the form of volunteer contributions and therefore not financially recognized by TB.

The application process is managed by CCA and the Provincial/Territorial councils. Project applicants submit completed application forms to their Provincial or Territorial council. Councils only consider complete applications. Then, following adjudication guidelines, a peer Provincial or Territorial Adjudication Committee evaluates applications, considering program priorities and selection criteria. Since 2007–2008, CCA has encouraged provinces and territories to identify local priorities. Councils can include the extent to which projects align with these local priorities in the selection criteria. Provincial/Territorial councils then prioritize applications and recommend applications for funding to CCA's National Review and Adjudication Jury.

Each province and territory has a specified funding allotment, and the total funds requested of all submitted projects must not exceed this amount (Table 1). These allotments have decreased since the early 1990s. However, Provincial/Territorial councils may also submit to CCA completed applications that are approved, but for which there is no funding available. If funding becomes available, through cancellation of a project or return of unused funds, these applications are considered for funding (PRA, 2008, p. 5).

Table 1: Annual allotments for NADP projects by province/territory

Province/Territory	Annual allotment
Ontario	$168,495
Quebec	$168,495
British Columbia	$117,112
Alberta	$83,475
Saskatchewan	$83,475
Manitoba	$83,475
New Brunswick	$83,475
Nova Scotia	$83,475
Newfoundland and Labrador	$83,475
Nunavut	$40,012
Northwest Territories	$40,012
Yukon	$40,012
Prince Edward Island	$40,012
TOTAL	$1,115,000

Previously an activity undertaken by the CCA Board of Directors, as of the 2008–09 fiscal year, CCA established a National Review and Adjudication Jury to help reduce administrative burden on CCA. Chaired by a member of the CCA Board of Directors, and comprising representatives from the archival community across Canada's geographical regions, the Jury is responsible for reviewing applications at the national level before recommending them to the CCA Board of Directors. As a part of this task, the Jury considers recommendations made by the Preservation Committee of CCA, which is responsible for all topics related to the preservation and conservation of Canadian heritage (CCA, 2010a). Furthermore, the Preservation Committee reviews all applications submitted under Objective 5 (on preservation) to give an additional, expert perspective. The Preservation Committee also considers projects submitted under other objectives when the proposed project contains a substantial preservation component.

The Preservation Committee forwards any issues with these applications needing clarification to the Jury. Moreover, for applications under any objective, the Jury identifies issues needing clarification and communicates these issues to the CCA Secretariat. The CCA Secretariat then contacts applicants to request a clarification of the identified issue(s), and a revised application where necessary.

2.2.3 Outcomes

Following from the activities of the NADP are a series of expected outputs and immediate, intermediate, and long-term outcomes. These outcomes, like the planned program activities, are designed to align with the five NADP objectives.

Program outputs are the natural result of completed program activities. In this context, the outputs described under the NADP program logic are largely based on training, planning, effective administration, and capacity building. NADP outputs are completed by all major program participants including CCA, Provincial/Territorial councils, and funding recipients.

Immediate, or short-term, NADP outcomes have a similar focus as program outputs, especially training and capacity building activities. CCA and funding recipients are largely responsible for contributing to short-term outcomes.

Intermediate, or medium-term outcomes, focus on archival capacity building, improvements in the national catalogue, increased awareness and use of archives, and more representation of Aboriginal Peoples and underrepresented ethnocultural groups.

The long-term outcomes of the program are related to the expected far-reaching benefits of the program for Canadian citizens. Specifically, the long-term outcomes involve expectations of increased capacity in preserving and accessing Canadian heritage. The nature of these long-term results indicates an ongoing process over specific measurable events.

2.2.4 Ongoing performance measurement

In accordance with federal policy and practices, performance indicators have been developed to measure the progress and success of the NADP. Under current program conditions, the Strategic Office, LAC, and CCA are responsible for collecting performance indicator information. To date, the key method of communicating this data has been program reporting mechanisms.

Top-level reporting for the NADP is accomplished through annual reports, Departmental Performance Reports (DPRs) presented each year by LAC to the Treasury Board Secretariat, and Program Evaluation and Audit reports presented to the Library and Archives Audit and Evaluation Committee for approval and subsequent publication. CCA submits annual and interim reports to LAC as well as frequent financial reporting. At the micro level, project recipients are required to submit final reports as well as interim reports if funding exceeds $5,000 or if the projects last for more than four months. Project-level reporting is highly important to the overall performance measurement function of the NADP, as a significant amount of performance measurement data is gathered through the reports submitted by funding recipients.

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