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2000 December Report of the Auditor General of Canada

December 2000 Report—Chapter 20

Appendix F—Framework for Managing Horizontal Issues

Effectively managing a horizontal issue involving a number of departments to achieve specific results requires the following:

1. Identifying an effective co-ordination structure

Effective co-ordination is essential to managing horizontal issues and requires:

  • Establishing roles and responsibilities. Agree on the roles and responsibilities of departments involved and who will take the lead.
  • Developing an appropriate level of co-ordination. Define in a framework document the management and governance structure, and put in place the co-ordination structure as appropriate
  • Promoting co-ordination through levers and incentives. Structures and frameworks are not enough. A range of levers and incentives should be available, including visible political support, funding, and human resource tools.

2. Agreeing on common objectives, results and strategies

Reasonable agreement is needed among the participants on the overall objectives, what more specifically will be accomplished over what time frame, and what and how departments will contribute. This involves:

  • Defining common objectives. Determine the objectives that will guide departmental actions and provide a basis for a common vision of success.
  • Agreeing on performance expectations for the initiative. Agree on specific results and a set of performance expectations for the horizontal issue that are realistic and challenging, taking into consideration the priority of the issue area and the co-ordination structure in place.
  • Defining performance indicators for the initiative. Agree on a manageable set of qualitative or quantitative performance indicators. These indicators should be relevant for each department as well as for collective action.
  • Agreeing on how departments will contribute. Articulate strategies and performance expectations for departments that are commensurate with the resources available and with political/jurisdictional reality.

3. Measuring results to track performance

Managing the horizontal issue for results requires:

  • Measuring performance. Practices exist for departments involved to collect, assess and report on performance and costs, using the indicators identified and agreed on.
  • Evaluating programs. Practices exist for evaluating the relevant components of the horizontal initiative in the different organizations.
  • Reviewing and updating indicators and measures. Based on experience gained, changing circumstances, and experience gained in other horizontal issues, make periodic changes and improvements to indicators, expectations and measurement approaches.

4. Using information to improve performance

Realizing the benefits of managing for results requires:

  • Using performance information. The performance information gathered and assessed is used to improve management of, and performance in, the horizontal issue, such as adjusting the co-ordination mechanism or the activities undertaken.
  • Identifying good practices. Based on what works and what does not, identify and use lessons and good practices to improve performance.

5. Effectively reporting performance

Reporting among the departments involved and to other stakeholders requires:

  • Defining a reporting regime. Define a reporting regime and a communication strategy that reflect the level of priority given to the horizontal issue, and its size, including the resources it has available. The regime and strategy should also meet departmental, horizontal and stakeholder information needs.
  • Describing the context and strategies used. State clearly in reporting documents the rationale and objectives of the collective effort, its major strategies, and its related external context.
  • Stating meaningful performance expectations. Clear and concrete key performance expectations focussed on outcomes.
  • Reporting performance accomplishments against expectations. Key accomplishments are related to expectations and attributable to individual or collective efforts.
  • Demonstrating the capacity to learn and adapt. The report demonstrates the ability of the collective effort to learn from past performance and adapt to external changes.
  • Reporting on the fairness and reliability of the performance information. Report performance information that is fair and reliable.