An Audit of the Management Framework Within a Selected Area of Healthy Environments & Consumer Safety Branch and Population & Public Health Branch 2003-04-02

Summary

The objective of the audit was to assess the adequacy of the Management Framework for two Branches and a Region within selected areas. The Branches were Healthy Environments and Consumer Safety Branch (HECSB) and Population and Public Health Branch (PPHB), and the selected Region was Québec.

A preliminary survey phase was conducted in the fall of 2002, involving interviews of a sample of senior managers in the three organizations and an extensive document review. A preliminary survey report was issued by AAB and approved by the Branches and Region. The areas of inquiry are the following:

1. The adequacy of priority setting and strategic planning processes.
2. The clarity and division of authorities and responsibilities.

The detailed examination phase was conducted during the period from December 2002 to March 2003.

Background

As outlined in the management framework for the federal government, Results for Canadians, public service managers are expected to define strategic outcomes, continually focus attention on results achievement, measure performance regularly and objectively, learn from this information and adjust to improve efficiency and effectiveness.

Both Branches, PPHB and HECSB, and the Québec Region, are large, complex organizations that provide a wide variety of programming. The variety of their Programmes gives rise to some challenges in defining a management framework for each organization that allows for effective and efficient results for Canadians.

The Adequacy Of Priority Setting And Strategic Planning Processes.

Key Findings

Both HECSB and PPHB have completed elements of a strategic planning and priority setting process, but have not yet developed an overall process. The difficulties in building and implementing a strong strategic planning and priority setting process are considerable, examples include such items as the priorities of the government (E.g. as communicated to Canadians in the SFT, new and emerging health issues and funding pressures). A detailed listing has been included in Appendix D.

Although the challenges are considerable, it must be recognized that every organization sets its priorities, whether or not there is an explicit and formal process for doing so. As identified in discussions with managers in the Branches, a strategic planning and priority setting process should take into account a lengthy list of factors as detailed in Appendix D.

The Québec Region has developed a Business Plan. Although it provides a planning overview for the Region, it has no link to financial plans or resources. While Québec Region undertakes planning and priority setting, greater coordination is needed with the NCR for both PPHB and HECSB.

Conclusions

In HECSB, PPHB and Québec Region exists the organizational culture of trying to address all health issues, yet also face limitations on their resources. Without an explicit strategic planning and priority setting process, each Branch risks getting stretched too thin in terms of the resources available to carry out their activities. The Branches need to have a process to be able to redirect resources or even consider exit strategies for issues as they become less important.

Recommendations

It is recommended that:

• 1. The ADMs of HECSB and PPHB ensure the development, communication and implementation of work plans for their Branches that specify the remaining tasks, milestone dates, and roles and responsibilities for the completion and implementation of a strategic planning and priority setting process.
• 2. The ADMs of HECSB and PPHB provide the resources for and participate in the development and completion of a strategic planning and priority setting process, and ensure strategic plans are used to guide and link to operational planning. This process should include appropriate regional involvement.

The Clarity And Division Of Authorities And Responsibilities.

Key Findings

The audit found that some inconsistencies or overlaps exist in the documented authorities, accountabilities and responsibilities of NCR and the Québec Region. There did not appear to be a reconciliation yet in place of these authorities and responsibilities between the HECSB Programme DGs and the Québec RDG.

The audit also found that each Branch has an MOU in place with Québec Region that documents roles and responsibilities. Each MOU individually represents a good attempt to define roles and responsibilities, however, they need to be strengthened.

In addition to the above, more communication and collaboration is required between the NCR and the Region to make the matrix structure work well and foster a shared responsibility mindset.

Conclusions

In Health Canada, the HECS and PPH Branches at NCR are organized in a traditional hierarchical organization structure, while in contrast the Québec Region has a matrix organization structure. There are several mechanisms in place in the Branches and Québec Region to facilitate communication and collaboration between NCR and the Regions. However, a recurrent theme in interviews of NCR and Regional managers, particularly in regard to HECSB, was that more communication and collaboration is required to make the matrix structure work well. The challenge in having sufficient communication and collaboration is increased by the complexities involved in the NCR/Regional interface, such as the variations in Programmes and in the division of authorities.

The authorities and responsibilities of PPHB, HECSB and the Québec Region do not appear to be as clear as required to optimally support the matrix organization that is in place. There is a need for a stronger "shared responsibility mind set" between the Programme DGs and the Québec Region.

Recommendations

It is recommended that:

• 3. The ADMs and the RDG of Québec Region ensure that the authorities and responsibilities of NCR and the Québec Region for HECSB and PPHB are more clearly defined.
• 4. The ADMs and the RDG of Québec Region ensure that the MOUs between HECSB and Québec and between PPHB and Québec are reviewed to provide a stronger basis for communication and collaboration.
• 5. The ADMs of HECSB and PPHB and the RDG of Québec Region consider appropriate means of improving the level of communication and collaboration in order to foster a "shared responsibility mindset" and to support clarified authorities and responsibilities.

The audit team is grateful to all participants, interviewees and resource staff, for their contributions to this assignment.