Guide 0166 - Sponsorship Agreement Holder: Organizational Assessment Guide
Table of Contents
- Overview
- Complete the Organizational Assessment Template
- Get the Organizational Assessment Package
- Part I: Organizational profile
- SAH organizational information
- Information on the SAH President/Chair or Chief Executive Officer/Executive
- Information on SAH main contact
- SAH signing authority
- Part II: Operating risk analysis
- Monitoring sponsored cases
- Declaration and signature
- Submit the assessment template
- What happens after you submit your Organizational Assessment Template
- Annex A: Operating risk analysis scoring guide
- Annex B: Risk management plans
Overview
Under the Program Integrity Framework (PIF) for the Private Sponsorship of Refugees (PSR) Program, each Sponsorship Agreement Holder (SAH) will go through an Organizational Assessment exercise. This exercise is completed at the beginning of each five-year Sponsorship Agreement cycle to ensure SAHs remain well positioned to meet the requirements to support their sponsored caseload.
The Organizational Assessment allows SAHs to demonstrate their
- organizational structure
- capacity (financial and settlement) and
- ability to monitor and resolve any potential issues with:
- their sponsored caseload and
- any Constituent Groups or co-sponsors they may partner with
SAHs will complete the Organizational Assessment exercise in the year prior to the end of their Sponsorship Agreement. For example, SAHs will undergo an Organizational Assessment in 2027 for Agreements set to renew in 2028.
The Organizational Assessment consists of a SAH Revalidation exercise and an Operating Risk Analysis.
SAH Revalidation
The first stage of the Organizational Assessment requires all SAHs to undertake a mandatory revalidation exercise, consisting of:
- Submission of a completed Organizational Assessment form (IMM 0167- 2022). This form will be used by IRCC to assess each SAH’s organizational operating risk.
- Demonstration of the following mandatory criteria for revalidation:
- Immigration, Refugees and Citizenship Canada (IRCC) and Canada Border Services Agency (CBSA) security review
- financial viability assessment
- Completion of SAH renewal training through the Refugee Sponsorship Training Program (RSTP).
- Demonstration that the organizational eligibility requirements are met (see Make sure you’re eligible).
SAHs who are unable or unwilling to meet the mandatory requirements of the SAH revalidation will not have their Sponsorship Agreement renewed when the current Agreement expires. Following Agreement cancellation, SAHs will continue to be responsible for supporting their sponsorship caseload in accordance with the Sponsorship agreement (PDF, 373 KB).
SAHs who successfully meet these mandatory requirements will undergo an Operating Risk Analysis.
Operating Risk Analysis
All SAHs who successfully meet the revalidation requirements will undergo an Operating Risk Analysis based on the following broad criteria:
- organizational structure and capacity
- financial and settlement capacity and contingency planning
- SAH oversight and monitoring of partners and sponsored cases, and
- IRCC Sponsorship Agreement management & IRCC monitoring
The Operating Risk analysis is based on information provided by each SAH in the Organizational Assessment template, except for the last criteria (IRCC Sponsorship Agreement management and IRCC monitoring). This criteria is based on internal IRCC records.
Based on results of the scored Operating Risk Analysis (see Annex A) , each SAH will be placed into one of three Risk Management plans (See Annex B).
Make sure you’re eligible
SAH organizations must meet the following conditions to be eligible for revalidation:
- The SAH organization must be:
- incorporated (a legally created organization) for at least 2 years
- physically located in Canada
- The SAH’s main contact, SAH president/chair or chief executive officer/executive and each person with signing authorityFootnote 1 to submit applications must:
- be 18 years of age or older
- be a Canadian citizen, registered Indian or permanent resident of Canada
- have a permanent address in Canada
- be eligible to be a party to sponsorship pursuant to subsection 156(1) of the Immigration and Refugee Protection Regulations (IRPR).
Complete mandatory training
To complete the mandatory SAH renewal training, contact the Refugee Sponsorship Training Program (RSTP)
- by phone at 1-877-290-1701 (toll free) or
- by email at etraining@rstp.ca
SAHs must provide valid certificates that confirm the following people completed the RSTP renewal training:
- SAH main contact and
- all SAH representatives with signing authorityFootnote 1 to submit sponsorship applications on behalf of the SAH
For the 2022 assessment, RSTP training certificates must be submitted upon completion by February 1, 2023.
The SAH representatives above must complete RSTP renewal training, but the organization can have other representatives attend as well.
Prepare financial statements
As part of the SAH revalidation, all SAHs will undergo a Financial Viability Assessment (FVA) to assess the financial health of the organization.
SAHs must provide financial statements for the most recently completed financial year available that are:
- dated within 18 months of the application dateFootnote 2 and
- audited by a Chartered Professional Accountant (who is licensed in the province or territory in which the SAH organization is basedFootnote 3
Audited financial statement one-time exemption
IRCC will implement the following one-time exemption for the initial 2022 Organizational Assessment:
- SAHs that are unable or unwilling to submit audited financial statements will have the alternate option to be managed under Risk Management Plan C (see Annex B). SAHs that do not submit audited financial statements will not be subject to the upfront Financial Viability Assessment. They will still be required to submit a complete Organizational Assessment form and will undergo an Organizational Assessment.
- SAHs that submit audited financial statements and ultimately do not pass the Financial Viability Assessment will have their Agreement renewed and be managed under Risk Management Plan C.
This alternate option provides IRCC with an alternate measure of assurance that sponsors will have the financial ability to meet the needs of sponsored refugees upon their arrival in accordance with section 154(1)(a) of the Immigration and Refugee Protection Regulations and ensures that further associated risks are mitigated through additional monitoring and reporting requirements.
This one-time exemption is intended as a transitional measure and will only be available to support the initial launch of the Framework in 2022. SAHs are expected to put processes in place to enable them to submit audited financial statements under the next revalidation exercise in 2027.
Gather supporting documents
In order for IRCC to conduct the organizational assessment and revalidation, the SAH must submit the following documents:
- articles of incorporation (a copy of the certificate issued in Canada by a provincial or territorial entity or a federal agency) indicating the incorporation has been in effect for at least two years.
- financial statements that have been audited by a Chartered Professional Accountant (CPA) for the most recently completed financial year available (dated within 18 months of the assessment date)
- a certificate of SAH renewal trainingFootnote 4 issued by the RSTP to:
- the SAH main contact and
- any persons with signing authority to submit sponsorship applications on behalf of the SAH
-
proof of Canadian citizenship, Registered Indian status or permanent resident (PR) status for:
- the organization’s President/Chair of governance body OR Chief Executive Officer/Executive Director)
- the main contact for the SAH and
- any persons with signing authority to submit sponsorship applications on behalf of the SAH
Status can be demonstrated by submitting a copy of one of the following documents:
- Canadian passport
- Canadian provincial or territorial birth certificate
- Canadian citizenship certificate
- Canadian certificate of registration of birth abroad
- Record of Landing
- Confirmation of Permanent Residence
- Permanent Resident Card
- Indian status card
- Criminal record checkFootnote 5 issued by a police departmentFootnote 6 within the last 6 months for:
- the organization’s President/Chair of governance body OR Chief Executive Officer/Executive Director
- the main contact for the SAH and
- any persons with signing authority to submit sponsorship applications on behalf of the SAH
For information on how to obtain a criminal record check, contact your local police department.
Complete the Organizational Assessment Template
Get the Organizational Assessment Package
Submit your completed SAH Organizational Assessment template (IMM 0167- 2022) and any supporting documents to IRCC.RASOPSR-PPPROSRA.IRCC@cic.gc.ca
For the 2022 assessment, the package must be submitted on or before November 30, 2022
Part I: Organizational profile
Organizational profile
1. SAH organizational information
Complete the following information about your SAH organization:
- full legal name of SAH (per articles of incorporation)
- primary mailing address of SAH, including
- city,
- province or territory and
- postal code
- primary telephone number of SAH.
- This may be either the general phone number for the SAH or the phone number of the main SAH contact, whichever is the primary phone number for matters pertaining to their Sponsorship Agreement.
- primary email address of SAH.
- This may be either the general email address for the SAH or the email address of the main SAH contact, whichever is the primary email address for matters pertaining to their Sponsorship Agreement.
- Website address of SAH, (if the organization has one)
If the contact information you provided above has changed from information you previously provided to IRCC, it must be updated by writing to: IRCC.RASOPSR-PPPROSRA.IRCC@cic.gc.ca
1.1. Financial statements
Select the appropriate Yes / No response to the following questions regarding financial statements:
- Have financial statements been included?
- Are the statements dated within the last 18 months?
- Have the statements been audited by a Chartered Professional Accountant (CPA)?
SAHs must provide financial statements for the most recently completed financial year available that are
- dated within 18 months of the application date, and
- auditedFootnote 7 by a Chartered Professional Accountant that meets the relevant licensing requirements to conduct audits in the province in which the SAH organization is based.
If you answer “Yes” to all of these questions, IRCC will conduct a Financial Viability Assessment (FVA).
- If your SAH passes the FVA, the Risk Management Plan will be determined based on results of the Operating Risk Analysis.
- If your SAH fails the FVA, it will be placed into Risk Management Plan (C).
If you answer “No” to any of these questions, IRCC will not conduct an FVA and the Sponsorship Agreement will be managed under Risk Management Plan C.
Refer to Annex B for Risk Management Plans.
1.2. Articles of incorporation
Select the appropriate Yes / No response to the following question:
- Has your organization been incorporated for at least two years?
In order to be revalidated, a SAH organization must be incorporated for at least 2 years. You must include a copy of the article of incorporation with your application. This certificate must:
- have been issued in Canada by a provincial or territorial entity or a federal agency
- indicate that the incorporation has been in effect for at least 2 years
- identify the province in which your organization was incorporated and
- provide the date of incorporation
2. Information on the SAH President/Chair or Chief Executive Officer/Executive
Provide the following information pertaining to the SAH President/Chair or Chief Executive Officer/Executive Director:
- name
- position title
- primary telephone number
- primary email address
2.1. Security documents
You must include a copy of the following security documents for the individual identified in question 2 (SAH President/Chair or Chief Executive Officer/Executive Director):
- proof of Canadian citizenship, Registered Indian status or permanent resident (PR) status
- a criminal record check (non-vulnerable sector) issued by a police departmentFootnote 8 within 6 months of the submission of the assessment form
Select the appropriate Yes / No response to confirm that the identified documents have been submitted.
3. Information on SAH main contact
The organization’s main contact is IRCC’s first point of contact in matters pertaining to the sponsorship agreement. This includes, but is not limited to,
- the annual allocation of spaces under the global SAH cap,
- the SAH’s annual report,
- follow-ups on case-specific issues, and
- follow-ups on Sponsorship Agreement-related issues
Type the following details on the SAH’s main contact:
- name of main contact
- position title
- primary telephone number
- primary email address
3.1. Security documents
You must include a copy of the following security documents for the individual identified in question 3 (SAH main contact):
- proof of Canadian citizenship, Registered Indian status or permanent resident (PR) status
- a criminal record check (non-vulnerable sector) issued within 6 months of the submission of the assessment form
Select the appropriate Yes / No response to confirm that the identified documents have been submitted.
3.2. Training
You must include a copy of the training certificate issued by RSTP for the individual identified in question 3 (SAH main contact) either with this template or by the identified date outlined above.
Select the appropriate Yes / No response to the following question regarding training:
- Has this individual completed the mandatory SAH renewal training provided through the Refugee Sponsorship Training Program (RSTP)?
4. SAH signing authority
These individual(s) are authorized to act on behalf of your organization in:
- submitting sponsorship applications on behalf of the organization and
- legally binding the organization to the terms of the private sponsorship under the Sponsorship Agreement
Provide the following information for each person who has signing authority to submit sponsorship applications:
- name
- position title
- primary telephone number
- primary email address
4.1 Security documents
You must include a copy of the following security documents for the individual identified in question 4 (SAH signing authority):
- proof of Canadian citizenship, Registered Indian status or permanent resident (PR) status;
- a criminal record check (non-vulnerable sector) issued within 6 months of the submission of the assessment form
Select the appropriate Yes / No response to confirm that the identified documents have been submitted.
4.2 Training
You must include a copy of the training certificate issued by RSTP for the individual identified in question 4 (SAH signing authority) either with this template or by the identified date outlined above.
Select the appropriate Yes / No response to the following question regarding training:
- Has this individual completed the mandatory SAH renewal training provided through the Refugee Sponsorship Training Program (RSTP)?
Part II: Operating risk analysis
When completing the following sections, provide as much detail as possible in your responses. Ensure that you have provided a complete narrative response to each question and clearly demonstrated the details you wish to highlight in order to provide a fulsome answer to the questions. IRCC will conduct their assessment based on information you provide, so please ensure that information provided fully demonstrates your current operating practices in detail. While you are encouraged to provide additional documentation as separate attachments to support your responses provided in the form, ensure that you specify clearly how the attachment corroborates your narrative response, Do not depend solely on these attachments as, the narrative answers will be the primary content used to support IRCC analysis.
Organizational profile
Organizational structure
5. Provide a description of your organization’s structure (formal and informal).
The assessment template must include information on the governance and accountability structure of the organization, both formal and informal. The response should demonstrate that the organization has clear governance and accountability structures in place, with defined roles, relationships, responsibilities, and decision-making processes. Organizational policies and procedures should demonstrate that the organization is acting with due diligence. Provide any information you deem relevant to describe your organization’s structure.
When completing your response include the answers to the following questions in your response:
- How is your organization governed?
- For example, is the organization governed by a Board of Directors, and if so, what type of board model is in place? Are bylaws in place to set out the role of the governing body?
- How is the Board of Directors and any committees structured?
- How are the board members selected?
- What are the reporting relationships of staff to the board?
6. Provide details about your organization’s existing formal and informal oversight practices.
Include the following points in your response:
- What type of oversight (both formal and informal) does your organization conduct?
- For example, how does your organization ensure that its SAH program is in compliance with applicable policies, laws, regulations and standards? How are developing areas of concern dealt with?
- What mechanisms are in place to ensure accountability?
- For example, how are decisions made and what checks and balances are in place to ensure due diligence takes place before key decisions are made?
7. How does your organization exercise due diligence in screening SAH staff and volunteers involved with the settlement of refugees?
Per section 5(m) of the Sponsorship Agreement, the SAH will exercise due diligence in screening volunteers and staff involved with the settlement of refugees.
The response should describe any screening practices in place for SAH staff and volunteers involved with refugee settlement. For example, through mandatory police checks or other mechanisms.
8. What formal and informal mechanisms are in place to provide support, training and information-sharing for SAH staff and volunteers involved with the settlement of refugees?
The response should demonstrate evidence of a plan to ensure that all personnel employed by the SAH (whether paid staff or unpaid volunteers) whose roles relate to SAH sponsorship work are aware of their responsibilities related to this work.
9. What formal or informal processes are in place for planning succession and continuity?
Explain how the organization ensures that risks associated with staff turnover or other transitions are mitigated. For example:
- What infrastructure, (such as email, filing and tracking systems) do you have in place to ensure your sponsorship work will not be impacted by changes in staff or volunteers?
- How do you ensure files or information do not get lost in the event of staff turnover?
Staffing resources
The Assessment template must identify paid staff and volunteers who will support the organization in their PSR activities. Demonstrate how the staffing resources (staff and volunteers) can adequately support the caseload of your organization. Staffing resources include staff employed by the SAH (either paid or unpaid), as well as additional case-specific supports provided by Constituent Groups (CGs) or co-sponsors.
The response should clearly explain
- the division of responsibility between staff employed by the SAH and work conducted by CGs or co-sponsors, and
- demonstrate that sufficient SAH personnel are available to undertake SAH
- caseload management
- administration and
- oversight functions as per the Sponsorship Agreement.
The response should demonstrate that overall staffing resources are
- adequate to support all sponsorship activities
- correspond to the complexity, context and scope of sponsorship work in relation to the size of the sponsored caseload.
10. Demonstrate that your SAH has sufficient staffing resources and capacity to support your SAH sponsorship workload.
Include the following information in your response:
-
The number of full-time equivalents (FTEs) devoted to your organization’s SAH sponsorship work (including both paid staff and SAH volunteers).
Full-time equivalent is a measurement used to estimate the total number of full-time employees based on the total number of hours worked. An FTE of 1.0 is equivalent to a full-time worker.
For example, if an employer has a 40-hour work week, an employee scheduled to work 40 hours per week is considered 1.0 FTE. An employee who works 20 hours per week is 0.5 FTE.
-
Describe the roles and responsibilities of SAH personnel (paid or volunteer) in supporting sponsorship activities under each of the following general categories, where applicable:
- administrative activities (for example, meeting documentation standards, tracking applications and carrying out banking and finance related tasks)
- List the general administrative tasks and activities undertaken by SAH personnel in support of sponsorship activities, who is responsible for each activity and what percentage of staff time is dedicated to the activity.
- case selection and application preparation/submission (for example, conducting expression of interest process, reviewing IMM 6000 forms and documents)
- List the general activities undertaken by SAH personnel in support of case selection and application preparation and submission activities, who is responsible for each activity and what percentage of staff time is dedicated to the activity.
- assessment and training of Constituent Groups (CGs) and co-sponsors (for example, providing orientation [virtual or in-person], screening interviews and background checks)
- List the general activities undertaken by SAH personnel in support of assessment and training of CGs and co-sponsors, who is responsible for each activity and what percentage of staff time is dedicated to the activity.
- direct provision of post-arrival support for newcomers (for example, direct provision of financial and settlement supports to sponsored newcomers, including shopping, transportation, assistance with appointments, home visits and orientations, facilitating linkages with community services and Service Provider Organizations) if applicable.
- List the general activities undertaken by SAH personnel in support of providing post-arrival financial and settlement supports to newcomers, who is responsible for each activity and what percentage of staff time is dedicated to the activity.
- post-arrival monitoring (for example, check-ins with the CGs/co-sponsors and newcomers over duration of sponsorship period)
- List the general activities undertaken by SAH personnel in support of post-arrival monitoring activities, who is responsible for each activity and what percentage of staff time is dedicated to the activity.
- work involved in preparing for and supporting any higher needs cases (for example, Joint Assistance Sponsorship cases), if applicable
- If applicable, list the general activities undertaken by SAH personnel in support of preparing for and supporting the arrival of any higher needs cases, who is responsible for each activity and what percentage of staff time is dedicated to the activity.
- other activities, if applicable
- If applicable, list any other activities undertaken by SAH personnel in supporting refugee sponsorship activities, who is responsible for each activity and what percentage of staff time is devoted to the activity.
- administrative activities (for example, meeting documentation standards, tracking applications and carrying out banking and finance related tasks)
11. If your SAH depends on resources of Constituent Groups, co-sponsors, or informal partners (family or community members that provide support but are not parties to the sponsorship), explain their general roles and responsibilities in relation to those of the SAH as detailed in the previous question.
If your organization is planning on working with Constituent Groups, co-sponsors, or informal partnersFootnote 9, the template must clearly indicate their general roles and responsibilities in relation to those of the SAH over the duration of the sponsorship period. See the breakdown of tasks from question 10 to help you identify where the CG, co-sponsor, or informal partner will be contributing to the sponsorship support. If the contributions of partners vary greatly across all sponsorships, explain
- how these case-specific variances are determined and
- how your SAH ensures that there is sufficient combined capacity to undertake all sponsorship activities
The Sponsorship Agreement requires SAHs to ensure that CGs and co-sponsors have adequate resources and arrangements to fulfill sponsorship responsibilities. If applicable, explain how you will ensure that CGs and co-sponsors have sufficient organizational resources to meet the responsibilities of the sponsorship undertaking.
Geographic oversight and coordination
This section only needs to be completed if you are a SAH that coordinates sponsorships between any of the following groups in more than one community of settlementFootnote 10, province or territory:
- Constituent Groups
- co-sponsors
- appointed representatives
When answering this question, consider only the planned community of resettlement. This does not include instances of self destination or secondary migration.
If applicable, your response should demonstrate how you
- provide oversight and coordinate activities in other geographic areas
- ensure all parties are aware of their responsibilities and expectations
12. Does your SAH coordinate sponsorships between Constituent Groups, co-sponsors, appointed representatives, or informal sponsorship partners in more than one community of settlement, province or territory?
Select the appropriate Yes / No response. If you select “Yes”, the following four questions will populate in the form:
13. What geographic areas do you operate in?
The response should identify all areas your SAH operates in with respect to the delivery of planned resettlement activities (community of settlement, region, etc.)
14. How does your SAH manage or distribute the workload across all areas it serves?
The response should clearly explain workload distribution and coordination.
15. Provide details about formal and informal mechanisms that are in place to provide support, training and information-sharing for all parties in each geographic area your SAH serves.
The response should demonstrate evidence of a plan to ensure that personnel located in all areas served by the SAH are aware of their responsibilities related to SAH sponsorship work.
16. Provide details about existing oversight policies and practices in place to conduct coordination and monitoring of the sponsorship activities in different areas your SAH serves.
The response should demonstrate evidence of what oversight policies and practices your SAH uses to conduct coordination and monitoring of all sponsorship activities in the areas served by the SAH.
Financial and settlement capacity and contingency planning
Ongoing availability of financial resources
17. What mechanisms are in place to ensure that your SAH has sufficient financial capacity to meet its sponsorship obligations?
- Per section 5 (n) of the Sponsorship Agreement, the SAH must have sufficient resources and expertise to fulfil its sponsorship responsibilities and
- ensure that its CGs and co-sponsors have adequate resources and arrangements to fulfil these responsibilities
The assessment template must explain how your organization will ensure sufficient financial resources are available to support its sponsorship caseload. Sufficient financial resources are defined as equivalent to applicable Resettlement Assistance Program (RAP) rates minus eligible in-kind deductions.
18. What are the main sources of funding for your SAH’s sponsorship obligations?
The assessment template must explain your organization’s main sources of funding to support your sponsorship obligations, such as
- fundraising
- income generating activities
- in-kind donations
- third party support
- use of trust funds
For funding provided by third parties, include copies (if available) of any
- memorandums of understanding (MOUs)
- letters of agreement or
- equivalent documents
19. How do you ensure that your SAH’s source of sponsorship funding is sustainable?
The assessment template must demonstrate how your organization will ensure the sustainability of any planned fundraising or income-generating activities.
Policies and procedures for funds not held by SAHs
20. Who holds the funds for your sponsorships: your organization as the SAH, Constituent Groups, co-sponsors, informal partners, or a combination?
If your SAH organization is working with Constituent Groups, co-sponsors, or informal partners (family or community members that provide support, but are not parties to the sponsorship) the assessment template must clearly define how:
- the funds will be held
- the parties will carry the financial responsibility for the sponsorship period
Note: SAHs may utilize funds held by informal partners that are not parties to the sponsorship as long as they can demonstrate that this support was planned when the case was originally submitted or immediately upon arrival and not provided in the form of ad-hoc gifts or as a result of lack of sponsor supportFootnote 11. It is important to note that requirements related to documentation of financial supportsFootnote 12 in the context of post-arrival case reviews remain in place regardless of who provides the funds.
21. What practices and reporting structures are in place for any funds the SAH does not hold (funds held by a co-sponsor, Constituent Group, or informal partner)?
The Sponsorship Agreement requires SAHs to ensure that CGs and co-sponsors have adequate resources and arrangements to fulfill sponsorship responsibilities. If applicable, explain how you will ensure that CGs, co-sponsors, or any informal partners (family or community members that provide support but are not parties to the sponsorship),have sufficient financial support to meet the responsibilities of the sponsorship undertaking (sufficient financial support being defined as applicable RAP rates minus any eligible in-kind deductions).
Demonstrate any practices in place to mitigate risks associated with funds being held by third parties. For example, are funds held by charitable organizations that are subject to CRA requirements? If funds are held by individuals or informal partners, does your SAH have any policies, procedures, or reporting structures in place to ensure funds will be available and properly administered to the sponsored refugee(s)? Further, for any funds held by informal partners, how do you mitigate risks associated with supports being provided by persons who are not parties to the sponsorship and who therefore cannot be held liable if supports are not provided? What contingencies do you have in place should the planned supports from informal partners be unavailable?
Contingency planning
22. What is your SAH’s contingency plan to ensure that required resources will be available in the event that any party to the sponsorship becomes unable or unwilling to meet their financial and settlement obligations to the sponsored refugees, either prior to the arrival of the refugees or over the duration of the sponsorship period?
Per section 5(l) of the Sponsorship Agreement, all parties that sign the Sponsorship Undertaking Form are jointly liable to fulfill the sponsorship obligations under the terms of this Agreement. Where the CG or co-sponsor does not assume these responsibilities, the SAH will be held solely responsible for making all alternative arrangements.
The assessment template should demonstrate an understanding that the SAH is ultimately responsible for providing financial and settlement support to the refugee(s) should the support from the CG or co-sponsor cease at any point. A detailed contingency plan should be provided to explain what the SAH will do should any or all of the sponsorship partners be unable or unwilling to provide support either prior to arrival or for the duration of the sponsorship period. For example, does the SAH have a dedicated contingency fund in place? Is there a plan for replacement sponsors to be identified if required?
Provision of settlement supports
23. What formal or informal practices are in place to ensure that required settlement supports and services will be provided to the newcomer?
Include the following information in your response:
- How do you ensure sponsors are aware of services they are required to provide to the newcomer?
- For example, transportation, interpretation, housing, school registration, and childcare.
- Considering that the process for sponsorship takes time, what systems are in place to ensure your groups remain available and ready to receive sponsored refugees?
- How do you ensure that connections are made to services and supports available through Service Provider organizations (SPOs), community services, and essential federal, provincial, or territorial programs in the community of settlement?
SAHs have a legal obligation to ensure appropriate settlement supports are provided to refugees and their families once they have arrived in Canada. The response should demonstrate any policies and practices that are in place to ensure that required settlement supports and services will be provided to the newcomers, including (if applicable)
- a plan for preparing any CGs and co-sponsors for the arrival of the newcomers
- any existing connections with settlement SPOs or community organizations
24. If resettlement is planned for remote or rural areas, how will your organization ensure supports are provided?
The assessment template must demonstrate that
- sufficient settlement resources are available within the planned community of settlement, or
- there is a plan to provide these resources if they are not available within the community of settlement.
For example, if language training classes are not available, the SAH must clearly indicate how the sponsors will provide this resource (such as through online courses.)
25. If partnering with co-sponsor or CGs, how does the SAH define roles and responsibilities of each party and prepare for and monitor provisions of settlement supports?
If the SAH partners with a Constituent Group or co-sponsor, roles and responsibilities must be clearly defined in the assessment template.
Organizational oversight of sponsorship parties and cases
26. Does your SAH formally partner with Constituent Groups or co-sponsors?
Select Yes if your SAH formally partners with Constituent Groups or co-sponsors for some or all sponsorships. This means that they sign the Sponsorship Undertaking and are therefore recognized as parties to the sponsorship.
Select No if your SAH does not formally partner with Constituent Groups or co-sponsors. This means that the SAH is the only sponsorship party that signs the Sponsorship Undertaking.
Screening of CGs and co-sponsors
Select the appropriate Yes / No response and the applicable fields will be populated in the form as applicable
If Yes selected, questions 27 to 34 must be completed
If No selected, questions 31 to 34 must be completed
27. Explain your organization’s process for determining whether or not to work with potential sponsorship partners (CGs and co-sponsors).
Include in your response the following points:
- What criteria is used to screen or assess partners?
- How does your SAH ensure that potential partners have sufficient financial resources for sponsorship?
- Does your organization give any consideration to potential partners’ previous sponsorship experience?
Per section 5(m) of the Sponsorship Agreement, the SAH will exercise due diligence in screening volunteers and staff involved with the settlement of refugees. This may include
- Constituent Groups
- relatives
- friends
- co-sponsors
The response should demonstrate that the SAH is exercising due diligence in screening potential CGs and co-sponsors to ensure these partners have adequate resources and arrangements to fulfil responsibilities of each Sponsorship Undertaking they are party to.
Provision of information and support to CGs and co-sponsors
28. Explain how your organization ensures that CGs and co-sponsors have ongoing information and support to meet the responsibilities of the sponsorship undertaking.
Include the following points in your response:
- What is your organization’s training plan when working with partners?
- Do you provide in-house, direct training, support to partners?
- Do you utilize any external training referrals for partners (for example, RSTP training)?
- What is your training schedule?
- How, when, and how often is information, assistance and support provided by the SAH?
- What other resources does the SAH use (for example, the RSTP)?
Monitoring CGs and co-sponsors
29. Provide details on how your SAH will monitor its CGs and co-sponsors over the duration of the sponsorship period to ensure they are meeting responsibilities of the Sponsorship Undertaking.
Include the following points in your response:
- Planned method and frequency of oversight and monitoring activities
- If the method is different based on the community of settlement of the newcomers (for example, cases in the SAH’s community versus those who settle in other communities, including other provinces or territories)
Per section 5 (r) of the Sponsorship Undertaking. The SAH is responsible for monitoring
- its CGs or co-sponsors and
- the refugees listed on their individual Sponsorship Undertakings
The purpose of the monitoring will be to provide support to the sponsor and the refugee in meeting respective commitments and responsibilities.
The assessment template must provide details on the planned method and frequency of monitoring and oversight activities to be conducted with its constituent groups and co-sponsors, taking into consideration the
- local or national reach of the SAH and
- physical distance from the community of settlement.
Include in your response any tools used to assist in monitoring, such as
- a file data base
- any other case management software
- checklists
30. How does your SAH handle any identified concerns related to CGs or co-sponsors not fulfilling their obligations under the Sponsorship Undertaking?
Per section 5 (s) of the Sponsorship Undertaking, when issues or problems arise post-arrival which could lead to possible breakdown, whether with refugees, or with CGs or co-sponsors, the SAH will inform and work cooperatively with IRCC to resolve the situation without delay.
The response should provide a reasonable plan for handling identified concerns to avoid sponsorship breakdown. For example, concerns related to insufficient financial or settlement supports being provided by the sponsors.
Working with informal partners
31. If applicable, explain how your SAH plans to work with any informal partners involved in the provision of support to sponsored refugees.
This may include family or community members who play a role in supporting newcomers but are not
- formally recognized as parties to the sponsorship
- reflected on the Sponsorship Undertaking.
Include the following information in your response
- the division of responsibility between any informal partners and the formally recognized parties to the sponsorship
- any oversight and accountability mechanisms in place (both formal and informal) to coordinate activities and ensure that supports are being provided
The response should clearly outline the division of responsibility and explain any formal or informal oversight and accountability mechanisms in place to ensure that financial and/or settlement supports provided by informal partners are adequate and meet PSR Program requirements.
32. If applicable, how does your SAH plan to handle any identified concerns related to provision of financial or settlement supports by informal partners?
Per section 5 (s) of the Sponsorship Undertaking, when issues or problems arise post-arrival which could lead to possible breakdown, the SAH will inform and work cooperatively with IRCC to resolve the situation without delay.
The response should provide a reasonable plan for handling identified concerns to avoid sponsorship breakdown, for example, concerns related to insufficient financial or settlement supports being provided.
Monitoring sponsored cases
33. Explain how your SAH will monitor its sponsored caseload over the duration of the sponsorship period to ensure newcomers are being adequately supported post-arrival.
Per section 5 (r) of the Sponsorship Undertaking, the SAH is responsible for monitoring
- its CGs or co-sponsors and
- the refugees listed on their individual Sponsorship Undertakings
The purpose of the monitoring will be to provide support to the sponsor and the refugee in meeting respective commitments and responsibilities.
The assessment template must provide details on the planned method and frequency of oversight and monitoring to be conducted with its sponsored refugee caseload, taking into consideration the
- local or national reach of the SAH and
- physical distance from the community of settlement
The SAH is responsible for ensuring an adequate level of support is provided to refugees and their families
- upon arrival in Canada and
- for the duration of the sponsorship period
Include in your response the following points:
- planned method and frequency of monitoring activities
- how the information collected is used
- if the method is different based on the community of settlement of the newcomers (for example, cases in the SAH’s community, and those who settle in other communities, including other provinces or territories)
- if the newcomer has a known avenue for bringing forward concerns
34. How does your SAH plan to handle any identified concerns related to provision of required financial or settlement supports?
Per section 5 (s) of the Sponsorship Undertaking, when issues or problems arise post-arrival which could lead to possible breakdown, whether with refugees, or with CGs or co-sponsors, the SAH will inform and work cooperatively with IRCC to resolve the situation without delay.
The response should provide a reasonable plan for handling identified concerns in order to avoid potential sponsorship breakdown.
Declaration and signature
The following people must complete and date the declaration as indicated:
- the SAH representative who completes the assessment template and
- the SAH representative with signing authority
If this is the same person, fill in both sections.
By signing you are declaring the information provided is complete and accurate to the best of your knowledge.
Submit the assessment template
Your SAH must submit all the required documents along with the completed and signed Organizational Assessment template to IRCC on or before the SAH assessment window ends.
For the 2022 Assessment,
- The package must be submitted on or before November 30, 2022
- Training certificates are to be submitted upon completion either with the Assessment package or by February 1, 2023
You will submit your complete assessment and any supporting documents by email.
Prepare and send your email
- Save the assessment template and supporting documents in PDF format.
- Make sure each attachment is no bigger than 5 MB in size.
- IRCC does not accept compressed files (such as ZIP or RAR), as we can’t open them. Find out how to reduce the size of each document, if they’re too big.
- Attach your complete template and supporting document to your email.
- The email (including the attachments) size must be less than 10 MB. If it is over 10 MB, we won’t receive it. If your email is still over 10 MB after you reduce the size of each document, send the attachments in 2 or more emails.
- Enter this as your email subject line: SAH Organizational Assessment – [SAH name].
- If you have to send more than 1 email because of the size of your attachments, include the total number of emails in the subject line. For example: Part 1 of 2 – SAH organizational assessment [SAH name].
- Send your email to: IRCC.RASOPSR-PPPROSRA.IRCC@cic.gc.ca
You should receive an auto-reply email within 48 hours of submitting your application. Make sure you save this email for your records. If you don’t get the auto-reply, email us again to ask if we received your application. You don’t need to send your application more than once, unless we ask you to.
What happens after you submit your Organizational Assessment Template
After you submit the assessment template
Upon submission of your assessment to IRCC.RASOPSR-PPPROSRA.IRCC@cic.gc.ca you will receive an automatic email reply.
Is the assessment complete?
For the initial 2022 Organizational Assessment exercise, IRCC will follow up with you if any
- mandatory documents are missing or
- additional information is required
You will have 30 days to provide any missing information.
Does the assessment meet the mandatory SAH revalidation requirements?
If the assessment template submission is complete, IRCC will conduct a SAH revalidation exercise.
If all mandatory requirements are demonstrated,
- IRCC will inform you that the revalidation requirements have been met and
- your organization will be asked to sign a new five-year Sponsorship Agreement with IRCC.
IRCC will then conduct an Operating Risk Analysis in order to assign a Risk Management Plan to be followed over the duration of the next Agreement period.
If any of the mandatory requirements are not demonstrated, no further assessment will take place. You will be notified that your Sponsorship Agreement will not be renewed when the current Agreement expires. You may choose to re-apply to become a SAH under the next annual application window or to sponsor under the Group of Five or Community Sponsor streams.
What happens after the Operating Risk Analysis is completed?
If your SAH meets the revalidation requirements, IRCC will conduct an Operating Risk Analysis and will follow up directly with you if any additional information is required. Upon completion of the Operating Risk Analysis, IRCC will assign your SAH to one of three Risk Management Plans and inform you of the results.
Risk Management Plans
IRCC will advise you of the Risk Management Plan you have been placed in. Each management plan has set criteria and requirements which will determine the level of intervention linked to the assessed Operating Risk Analysis. Refer to ANNEX B for additional details on these plans.
Once your organization has been assigned a Risk Management Plan, you will remain in that plan until the next Organizational Assessment. Organizations placed in plan B or plan C will have the opportunity to move to a lower risk category. A mid-cycle review will be initiated by IRCC, dependent on available pre- and post-arrival data over the applicable period. It may be applied if no issues or concerns are identified over the first half of the SAH’s Sponsorship Agreement duration period.
Annex A: Operating risk analysis scoring guide
Part 1: Criteria and questions in the SAH Organizational Assessment template
Criteria | Questions |
---|---|
Organizational structure and capacity (0-28 points) | |
A. Has the SAH demonstrated an established organizational structure, including reporting structures, organizational oversight practices, and structure of board members and committees and how they are selected, if applicable? | |
B. Has the SAH demonstrated that sufficient staffing resources (either paid or unpaid) are in place, with clear roles and responsibilities for staff, volunteers, Constituent Groups and co-sponsors to provide the required support? | |
C. If applicable, has the SAH demonstrated that adequate oversight practices and procedures are in place to coordinate sponsorship activities across multiple geographic areas and to ensure that all sponsorship parties and partners are aware of responsibilities? | |
Financial and settlement capacity and contingency planning (0-48 points) | |
D. Has the SAH demonstrated ongoing availability of sufficient financial resources for their sponsorships? | |
E. Has the SAH demonstrated that sufficient policies/procedures and reporting structures are in place for funds the SAH does not hold (i.e., funds held by a co-sponsor or Constituent Group)? | |
F. Has the SAH identified reasonable contingency plans/funds to ensure resources are available in the event that CG or co-sponsors become unable or unwilling to meet financial and settlement obligations? | |
G. Has the SAH demonstrated a plan for ensuring that required settlement supports and services will be provided to the newcomers? | |
Organizational oversight of sponsorship partners and sponsored cases (0-36 points) | |
H. If applicable, does the SAH have an established process in place for screening CGs and/or co-sponsors and determining if they have sufficient resources to fulfill the obligations of the Sponsorship Undertaking? | |
I. If applicable, does the SAH have an established process in place to ensure that its CGs and co-sponsors are provided with ongoing organizational assistance, advice, information, and support required to meet the responsibilities of the Sponsorship Undertaking? | |
J. If applicable, does the SAH have an established process in place for monitoring/ checking in with CGs and/or co-sponsors over the sponsorship period to ensure they are meeting responsibilities of the Sponsorship Undertaking and to resolve any potential concerns? | |
K. If applicable, has the SAH demonstrated how they plan to work with informal partners (family or community members that are not official parties to the sponsorship but play a role in supporting newcomers), including division of responsibilities and coordination of supports with sponsorship parties, oversight and accountability mechanisms in place to ensure sufficient supports are provided, and plans to resolve any potential concerns? | |
L. Does the SAH have an established process for conducting direct outreach and check-ins with sponsored newcomers to ensure they are being adequately supported post-arrival and to resolve any potential concerns related to provision of required financial or settlement supports? |
Part 2: IRCC assessment based on internal information
Criteria | Assessment |
---|---|
Sponsorship agreement management and IRCC monitoring (0-88 points) | |
M. Within the past two years, has the SAH been subject to any Sponsorship Agreement actions? |
No Yes (probation or check-in) Yes (suspension, not in good standing or conditional reinstatement) |
N. Within the past two years, were any issues identified through IRCC post-arrival monitoring activities? |
No Yes (minor issuesFootnote * that were resolved) Yes (major issuesFootnote **) |
O. Within the past two years, has the SAH had any sponsorship applications refused by ROC-O? |
0-2 applications 3-5 applications 6 applications or more |
P. Over the past two years, were any issues identified through IRCC pre-arrival verification activities? |
No Yes (minor issuesFootnote * that were resolved) Yes (major issuesFootnote **) |
Q. Is the organization currently the subject of any criminal investigation or litigation procedure relating to their role as a SAH? |
No Potentially Yes |
Risk management plans total points
Total points | Risk management plan |
---|---|
0-40 | Plan A |
41-80Footnote 13 | Plan B |
81-200 | Plan C |
Annex B: Risk management plans
Row descriptions | Plan A | Plan B | Plan C |
---|---|---|---|
Application Requirements | No additional documentation required | Settlement plans required for each sponsorship application | Settlement plans and proof of fundsFootnote 14 required for each sponsorship application, with 100% of funds to be demonstrated upfront |
Pre-arrival verifications IRCC review of settlement and financial information pertaining to a selected case at the post-medical stage, with a sponsor required to demonstrate that 100 per cent of the funds are available to support the case |
None | Cases have the potential of being randomly selected for pre-arrival verification | Cases have the potential of being randomly selected for pre-arrival verification |
Post-arrival monitoring Activities undertaken after arrival to provide a more complete picture of how well the program is working and to ensure refugees are receiving adequate supports as per the program requirements. |
Cases have the potential of being randomly selected for routine monitoring on a quarterly basis | Cases have the potential of being randomly selected for routine monitoring on a bi-monthly basis | Cases have the potential of being randomly selected for routine monitoring on a monthly basis |
Reporting requirements |
|
|
|
Training requirements | Individualized approach focusing on areas in need of improvement as reflected in organizational assessment results | Individualized approach focusing on areas in need of improvement as reflected in organizational assessment results | Individualized approach focusing on areas in need of improvement as reflected in organizational assessment results |
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