The accountability provisions of the Social Union Framework Agreement (SUFA) commit federal and provincial governments to increase transparency and accountability to Canadians. This means that governments will work to ensure that there are appropriate mechanisms for Canadians to participate in identifying social priorities and reviewing outcomes, to register complaints and to apply for appeals to decisions. Governments have also committed to make the eligibility criteria and service commitments of their social programs publicly available. In all, the SUFA commitments require governments to monitor, measure and publicly report on social policy outcomes, share best practices, use third-party help to assess progress, and explain their respective roles and contributions regarding social initiatives. In this way, Canadians can accurately assess the performance of their social programs.

Purpose of the Template

The SUFA accountability template is a systematic approach to documenting essential information that is related to the government's commitments. It will help ensure that the federal government has consistent, relevant information for the government-wide management and reporting of social initiatives. The main reporting documents include the President of the Treasury Board's annual report on performance, Departmental Performance Reports and the three-year SUFA review.

To provide a comprehensive picture, the template applies to both new and existing social initiatives and provides federal departments and agencies with broad direction and guidance on:

the mechanisms required to meet the federal government's SUFA commitments with respect to accountability;
ways to ensure that the SUFA principles and commitments are reflected in departmental as well as joint initiatives; and
an approach for developing agreements with other governments on shared accountability arrangements for new Canada-wide social initiatives and program investments, as outlined in Section 5 of the SUFA (http://socialunion.gc.ca/news/020499_e.html).

In the first year, a sample of 20 to 25 federal social programs will be tracked to ensure that the requirements of the accountability provisions are being met. It is likely that, in subsequent years, this sample will be expanded.

The criteria for selecting sample programs or initiatives are provided in "Annex A: Criteria for Identifying Sample Programs or Initiatives."

Use of the Information

In the first year, the template information will be used in the President of the Treasury Board's annual report on performance to report on the overall progress of SUFA accountability. The approach to reporting will be developed in consultation with participating departments and central agencies.

The first three elements of the template (General Information, Resources, and Measurement and Reporting) aim to provide data that can be included in Treasury Board Secretariat's "Collective Results Inventory", which is linked to the President of the Treasury Board's annual report on performance. The remaining elements (Involving Canadians, Service Commitments, and Appeals and Complaints) will only be used this year to discuss the overall progress in implementing the commitments, with the potential to highlight one or two good examples.

For performance reporting on SUFA, all of the template information is required. Although the information will be used for comprehensive reporting and analysis, the completed templates will remain the intellectual property of departments.

The template can also be used as an analytical tool to report on other programs or initiatives in the Departmental Performance Reports(DPRs). More information will be provided in the annual DPR Guidelines. The SUFA performance reporting principles are currently being integrated into the overall accountability and reporting practices of the federal government. For more information, contact Mary Odorico (see Annex C).

This Package

This package includes a blank copy of the template to be completed for each of the federal social programs in the sample. Information on each element of the template is provided in the "SUFA Accountability Template Guide 2000." In the electronic version of the guide, the user can click on each element in the template to link to directions on how to complete the section. For quick reference, a separate glossary of terms is provided at the end of the guide.

The template may be completed in either official language. If a department adopts a bilingual approach, the Treasury Board Secretariat would appreciate receiving both versions.

SUFA ACCOUNTABILITY TEMPLATE GUIDE 2000

Overview

This guide is designed to assist those responsible for completing the template in federal departments and agencies. Users are led through the process using an annotated template. In the electronic format, links have been established so users can simply click on the element heading on the blank template to get information on how to complete the section.

Each element of the template is described in the annotated chart. Each section of the template must be completed. Please note that key information provided in the responses must be fully documented. For consistency, the following acronyms should be used where information does not apply or is not yet available.

N/A (Not applicable): when the section does not apply, with a brief explanation of why it does not apply.
IP (In progress): when an approach or mechanism is being developed or is in the process of being implemented, with a brief explanation and timeline.
TBD (To be determined): when an approach or process is still being considered or is in the initial planning stages, with a brief description.

SUFA ACCOUNTABILITY TEMPLATE 2000

General Information
Department
Initiative and Partners
Effective Date
Expiry Date
Web Site
Purpose
Roles and Contributions
Resources
Funding
Tracking and Reporting
Measurement and Reporting
Outcomes
Indicators
Comparable Indicators
Evaluation/Third Party Assessments
Shared Information and Best Practices
Public Reporting

Involving Canadians
Provisions for Citizens to Participate in Developing Social Priorities and Reviewing Outcomes
Feedback Mechanisms to the Public
Service Commitments
Public Availability of Eligibility Criteria
Existence and Availability of Service Commitments
Measurement and Public Reporting
Appeals and Complaints
Existence, Availability and Communication of Mechanisms
Tracking and Public Reporting

Annotated SUFA Accountability Template

Part 1- General Information
Department	Indicate the name of the lead federal department or agency for the program, initiative, or agreement.
Initiative and Partners	Specify the public title of the program, initiative, or agreement. Identify partners (i.e. provincial, other)
Effective Date	Indicate the date the program or initiative was (1) signed and (2) implemented.
Expiry Date	Specify the date that the program, initiative or agreement is (1) ending, (2) renewed and/or (3) needs to be jointly reviewed.
Web Site	List the public web site address for general information on the program, initiative or agreement.
Purpose	Briefly describe the purpose and key objectives of the program, initiative or agreement, including the parties involved. Note: You may also want to include a brief overview of inputs and activities as part of the description of the purpose.	Inputs: Resources (i.e. expenditures or employee time) used to produce outputs and outcomes.
Roles and Contributions	Briefly describe and explain the respective roles and contributions of the governments involved. How are the roles and contributions of governments publicly explained, communicated and made available? How is the department tracking public understanding and recognition of the federal government's role and contributions?	Interpretation: The public recognition of the differing contributions, commitments and responsibilities of governments should be reflected in jointly agreed upon communication materials intended for public release. This may include the development of joint processes, practices and mechanisms to track the public recognition of the respective roles and contributions of governments.

Part 2 - Resources

Funding

What is the planned and/or actual level of spending and transfer of resources, if applicable, for each year?

Note: This includes both the federal and provincial levels of planned funding and, where applicable, the staff transfers between jurisdictions.

Tracking and Reporting

How is actual federal spending tracked and documented?
How is the information on spending publicly reported?

Note: If this information is publicly available on a web site or described as a public document, list only the web site address and/or the title of the document, where it is found in the document, and where copies can be obtained.

Interpretation:Federal departments and agencies should work with their provincial and territorial counterparts in each policy sector to ensure that the accountability frameworks of new Canada-wide initiatives supported by intergovernmental transfers provide for publicly reporting on the use of funds transferred.

Part 3 - Measurement and Reporting
Outcomes	What are the most important planned outputs expected to be achieved? How is performance information on outputs being monitored and collected? What are the key outcome commitments? How are the accomplishments and achievements of the key outcomes measured and assessed? Note: Outcomes may be described as short, medium, and long-term when such an approach is useful.	Interpretation: All federal departments and agencies should ensure appropriate accountability mechanisms and practices are in place to measure and monitor the outcomes of programs and report publicly on a regular basis on program performance; and, work with provincial and territorial counterparts in each sector to ensure appropriate mechanisms and processes for joint initiatives. Outputs: The direct products and services produced through internal program activities. As an example, the amount of work done within the organization (such as number of calls answered). Outcomes: An outcome is an event, occurrence, or condition that is outside the activity or program itself and has an actual effect on, or is of benefit to, Canadians. An expected short-term outcome describes what is expected to occur as a direct result of the program activities and products. A medium-term outcome is an outcome that is expected to lead to a desired end but is not an end in itself. A long-term outcome is the end result that is sought (such as reduced incidence of crimes). A program may have multiple outcomes for each of the different timeframes.
Indicators	What performance evidence (e.g., key indicators) is used to measure the outputs and outcomes, and how is this information obtained?	Interpretation:Federal departments and agencies should work with their provincial and territorial counterparts to develop processes to share information and best practices with respect to outcome measurement; and, strategies and action plans for the development of comparable indicators to measure on agreed objectives. Indicator: A specific quantitative and/or qualitative measurement for each aspect of performance (output or outcome) under consideration.
Comparable Indicators	Have comparable or common indicators been developed and used to measure outcomes? If not, what progress has been made in the planning or in the arrangements to work towards the development of comparable or common indicators? At the federal level, where appropriate, describe what indicators of societal performance are being monitored to provide a context for interpreting performance. How is this monitoring taking place? What arrangements or processes are there for the joint use of common societal indicators, including their measurement?	Comparable indicators: A specific set of common quantitative and/or qualitative measurements for each aspect of performance (output or outcome) under consideration. They are based on common baseline information, definitions and database collection, and a compatible reporting system. Societal indicators: Indicators of social performance that track broad trends in society. They do not seek to estimate the direct impact of government initiatives; rather they describe and track, over time, such important aspects of society as well-being and health.
Evaluation/Third Party Assessments	What is the evaluation strategy? What are the provisions for third-party assessments? Which third parties are involved in measuring and reporting performance, and how are they involved? Where appropriate, is there an audit strategy?	Interpretation:Federal departments and agencies should determine how to best use third parties to assist in assessing progress on social priorities under federal programs and activities; and work with provincial and territorial counterparts to share best practices and determine the best use of third parties in assessing joint initiatives. Third parties: In the context of SUFA accountability, third party involvement refers to consultation for external advice and expertise. That is, "where appropriate, to assist in assessing progress on social priorities." It does not refer to third party involvement in service delivery.
Shared Information and Best Practices	What arrangements are planned or in place to share information and best practices?	Interpretation:Federal departments and agencies should work with their provincial and territorial counterparts to develop processes to share information and best practices with respect to outcome measurement; and, strategies and action plans for the development of comparable indicators to measure on agreed objectives.
Public Reporting	How is performance information on outputs made public? How are the outcomes achieved publicly reported? How is the performance information on societal indicators made public? How are the lessons learned publicly reported? Note: If any of the above information is publicly available on a web site or described as a public document, list only the web site address and/or the title of the document, where it is found in the document, and where copies can be obtained.	Interpretation: All federal departments and agencies should ensure appropriate accountability mechanisms and practices are in place to measure and monitor the outcomes of their programs and report publicly on a regular basis on the performance of these programs; and, work with their provincial and territorial counterparts in each sector to ensure appropriate mechanisms and processes for joint initiatives. Performance Information: Measures reporting on the extent or impact of activities and products on clients and/or expected outcomes on indirect clients, stakeholders and on Canadian society. Outputs: The direct products and services produced through internal program activities. As an example, the amount of work done within the organization (such as number of calls answered). Outcomes: An outcome is an event, occurrence, or condition that is outside the activity or program itself and has an actual effect on, or is of benefit to, Canadians. An expected short-term outcome describes what is expected to occur as a direct result of the program activities and products. A medium-term outcome is an outcome that is expected to lead to a desired end but is not an end in itself. A long-term outcome is the end result that is sought (such as reduced incidence of crimes). A program may have multiple outcomes for each of the different timeframes.

Part 4 - Involving Canadians
Provisions for Citizens to Participate in Developing Social Priorities and Reviewing Outcomes	What are the provisions for involving Canadians in developing social priorities and reviewing outcomes? Is there a plan to develop such mechanisms and put them in place?	Interpretation:Federal departments and agencies should ensure appropriate mechanisms are in place to allow Canadians to participate in developing social priorities and reviewing outcomes; and, work with provincial and territorial counterparts to ensure appropriate mechanisms are in place in each policy sector.
Feedback Mechanisms to the Public	Are mechanisms in place to track and report regularly and publicly on the involvement of Canadians? Is there a plan to develop and implement a process to pursue and promote consultation with Canadians in the development of the priorities and in the review of the program and service outcomes?

Part 5 - Service Commitments
Public Availability of Eligibility Criteria	Are eligibility criteria for the initiative publicly available? Note: If this information is publicly available on a web site or described as a public document, list only the web site address and/or the title of the document, where it is found in the document, and where copies can be obtained.	Interpretation:Federal departments and agencies should ensure that program eligibility criteria and service commitments are publicly available, and establish service commitments in areas where none exist and where this can contribute to providing better and more accountable programs and services for Canadians. Departments and agencies should work with provincial/ territorial counterparts in implementing these commitments with respect to joint initiatives.
Existence and Availability of Service Commitments	Are there service commitments in place and are they publicly communicated and available? Are service commitments or standards being planned and when are they expected to be in place? Note: If this information is posted on a web site, found on-site, in advertisements, mail-outs, or other documents, list only the web site address and/or document titles, and where they are available.	Service Commitments: Commitment of the federal government to establish clear service standards to find out if clients are satisfied and to get their suggestions for improvement, and to develop simple procedures for responding to complaints. Service commitments or standards generally set performance objectives for the delivery of government products or services to the public, specifying the quality or level of service a department or agency commits to or can be expected to deliver to clients.
Measurement and Public Reporting	How is information on performance against service commitments being collected and publicly reported? Note: If this information is publicly available on a web site or described as a public document, list only the web site address and/or the title of the document, where it is found in the document, and where copies can be obtained.

Part 6 - Appeals and Complaints

Existence, Availability and Communication of Mechanisms

Are there appropriate mechanisms for citizens to initiate appeals on unfair administrative practices and register complaints about access and service?
How are Canadians made aware of these mechanisms and are they publicly available?
Is there a process in place to review current initiatives to identify areas where appropriate appeal or complaint mechanisms may be insufficient or non-existent?
Is there a plan to develop such mechanisms and put them in place, as needed, through the establishment of new processes and mechanisms or by modifying existing practices?

Note: In this provision, governments have the discretion to develop the appropriate appeal and complaint mechanisms, which could range from local processes at the point of service to formal, independent arrangements involving such third parties as an ombudsman or administrative tribunals.

Interpretation:Federal departments and agencies should review their activities and identify areas where appropriate citizen complaint and appeal mechanisms are not established; and, develop appropriate mechanisms where they are required, either by establishing new mechanisms or by modifying and improving current practices.

Tracking and Public Reporting

Are there processes in place to track and report regularly and publicly on the frequency and nature of citizen complaints and on their resolution?
How is the feedback publicly communicated and made available?
Is there a plan to develop and implement an appropriate process to regularly report publicly on citizen complaints and appeals, ensuring the privacy and confidentiality of citizens?

Note: Where feasible and appropriate, the public reports should include a description of the grievance and the remedial actions taken by federal departments and agencies, and, where possible, should describe the involvement of third parties to support the objectivity and credibility of the information released.

Interpretation: Federal departments and agencies should develop appropriate processes to report publicly on a regular basis on citizens' complaints and appeals and work with provinces and territories to establish appropriate processes in each sector as required.

Glossary of Terms and Selected Contacts

Accountability: A relationship based on the obligation to demonstrate and take responsibility for performance in light of agreed expectations.

Accountability Framework: Defines the nature and scope of responsibilities, identification of key results, performance expectations, and the monitoring and reporting strategies. These are often developed in collaboration with partners.

Comparable indicators: A specific set of common quantitative and/or qualitative measurements for each aspect of performance (output or outcome) under consideration. They are based on common baseline information, definitions and database collection, and a compatible reporting system.

Impacts: The significant consequences of a government program activity, either intended or unintended, and either positive or negative.

Indicator: A specific quantitative and/or qualitative measurement for each aspect of performance (output or outcome) under consideration.

Inputs: Resources (i.e. expenditures or employee time) used to produce outputs and outcomes.

Outcomes: An outcome is an event, occurrence, or condition that is outside the activity or program itself and has an actual effect on, or is of benefit to, Canadians. An expected short-term outcome describes what is expected to occur as a direct result of the program activities and products. A medium-term outcome is an outcome that is expected to lead to a desired end but is not an end in itself. A long-term outcome is the end result that is sought (such as reduced incidence of crimes). A program may have multiple outcomes for each of the different timeframes.

Outputs: The direct products and services produced through internal program activities. As an example, the amount of work done within the organization (such as number of calls answered).

Performance Information: Measures reporting on the extent or impact of activities and products on clients and/or expected outcomes on indirect clients, stakeholders and on Canadian society.

Performance Measurement: Regular measurement of the results (outputs/outcomes) and efficiency of services or programs.

Performance Measurement Strategy: The approach used by an organization to demonstrate the extent to which performance expectations have been met. The accomplishments are supported by performance evidence, such as evaluation and audit findings.

Results: Generally measured as outputs or outcomes (see above for the definition of each).

Service Commitment: Commitment of the federal government to establish clear service standards to find out if clients are satisfied and to get their suggestions for improvement, and to develop simple procedures for responding to complaints. Service commitments or standards generally set performance objectives for the delivery of government products or services to the public, specifying the quality or level of service a department or agency commits to or can be expected to deliver to clients. For more information, contact Terry Hunt athunt.terry@tbs-sct.gc.ca.

Societal indicators: Indicators of social performance that track broad trends in society. They do not seek to estimate the direct impact of government initiatives; rather they describe and track, over time, such important aspects of society as well-being and health. For more information, contact Gordon Cousineau at cousineau.gordon@tbs-sct.gc.ca.

Third parties: In the context of SUFA accountability, third party involvement refers to consultation for external advice and expertise. That is, "where appropriate, to assist in assessing progress on social priorities." It does not refer to third party involvement in service delivery.

References

Canada's Social Union Framework Agreement: Implications and Opportunities for the Voluntary Sector, A Discussion Paper Prepared for the Coalition of National Voluntary Organizations (NVO), Susan Phillips, Ph.D. http://www.nvo-onb.ca/SUFADiscussionPaper.html

Chapter 5: Collaborative Arrangements: Issues for the Federal Government, Report of the Auditor General of Canada, April 1999: http://www.oag-bvg.gc.ca/domino/reports.nsf/html/9905ce.html

Chapter 6: Human Resources Development Canada - Accountability for Shared Social Programs: National Child Benefit and Employability Assistance for People with Disabilities, Report of the Auditor General of Canada, April 1999: http://www.oag-bvg.gc.ca/domino/reports.nsf/html/9906ce.html

Managing for Results 1999: Annual Report to Parliament by the President of the Treasury Board, http://www.tbs-sct.gc.ca/report/govrev/mfr99_e.html

Modernizing Accountability Practices in the Public Sector, a joint paper by the Treasury Board of Canada Secretariat and the Office of the Auditor-General of Canada, January 1998, http://www.tbs-sct.gc.ca/rma/account/OAGTBS_E.html

Results Management and Reporting Web Site, Treasury Board of Canada Secretariat, http://www.tbs-sct.gc.ca/rma/rma_e.html

Securing the Social Union, Canadian Policy Research Networks, Kathy O'Hara with the assistance of Sarah Cox, July 1998, http://www.cprn.ca/en/doc.cfm?doc=27

Securing the Social Union: Next Steps, Canadian Policy Research Networks, Kathy O'Hara with the assistance of Sarah Cox, November 1997, http://www.cprn.ca/en/doc.cfm?doc=25

Social Union Framework Agreement, February 1999, http://socialunion.gc.ca/news/020499_e.html

Annex: Criteria for Identifying the Template Sample

The following are criteria for identifying social policy programs or initiatives that will use the template for Phase I reporting on SUFA accountability provisions (Fall 2000):

A representative sample of relevant initiatives is required for analysis to track overall progress in implementing the accountability provisions of SUFA.
Initiatives should focus on, but are not limited to, the core sectors identified in the SUFA agreement and the priorities established by the Ministerial Council, which include:
health
training/post-secondary education
social services/social assistance
children, and
persons with disabilities.
The majority of initiatives in the sample (minimum15 to 20) should come from the lead departments: Health, Human Resources Development, and Indian and Northern Affairs, and be distributed among these departments in proportion to their respective roles and responsibilities. Additional departments may participate on a volunteer basis. For more information, contact Mary Odorico (see Annex C).
Initiatives should have available baseline information (or the capacity to readily develop this information) and the potential to track progress over a few years, building towards the SUFA three-year review (February 2002).
The sample should include a representation of all areas in the social policy universe, including:
bilateral or multi-lateral federal-provincial-territorial initiatives
inter-departmental initiatives
existing departmental programs, and
new initiatives.
The sample should include the core set of Social Policy Renewal initiatives (e.g. National Child Benefit, Labour Market Development Agreement, and Employability Assistance for People with Disabilities) that can already demonstrate progress on the SUFA accountability principles.
However, to provide evidence for the three-year review on post-SUFA adherence to the accountability principles, as many new initiatives as possible should also be included in this (and subsequent) phases of SUFA accountability reporting.
The following optional criteria may also be considered:
Departments may wish to use examples that reinforce a particular communications message (e.g. progress on grants and contributions).
Initiatives may be chosen around a particular departmental theme or strategic priority (e.g. Aboriginals, Health Protection Branch, children, etc.).
Initiatives may be selected on the basis of their importance to Canadians, as defined by scope, reach or public interest.