Guidance and Feedback on CIU Reports

thumbnail of the example of poor input document





This recently added section offers feedback on January traffic light reports, the timetable for quarterly reports in 2007 and an example of poor input.

 

Guidelines on Preparing Reports to CIU

The Cabinet Implementation Unit regularly reports to the Prime Minister and to Cabinet on the progress of implementation of key government initiatives. It does this via ‘traffic light’ reports to the Prime Minister and to Cabinet. The CIU regularly seeks advice from departments and agencies on progress achieved during the last reporting period against implementation plans, and any issues that may arise during the next reporting period.

Reporting Templates

In order to streamline the process, we request that input be provided in the Quarterly and Six-monthly Reports template:

Input should provide a succinct and accurate indication of progress and be of sufficiently high quality to be included in the reports with little or no editing by the CIU.  In particular, input should address:

  • key achievements for the reporting period against the timetable, deliverables and budget set out in the implementation plan lodged with the CIU;
  • information about any problems or delays with the implementation of the measure, including a comparison of the achievements forecast in the last report with what was actually achieved; and
  • a summary of any major issues, including critical deliverables over the next reporting period and whether your agency is confident that the measure will be implemented in accordance with the Government’s original decision.

Minor refinements have been made to the templates in response to feedback. Should any clarification be required regarding any aspect of the input sought, please do not hesitate to contact the appropriate PM&C Portfolio Manager for assistance.

As advised in previous quarters, input should include:

  • key headline achievements for the reporting period against milestones set out in the implementation plan (if the milestones are no longer current, please seek advice from the relevant PM&C Portfolio Manager);
  • a report on progress against financial milestones (for a complete picture of how implementation is proceeding);
  • a comparison of achievements expected against the implementation plan for the relevant period and what was actually achieved.  It is particularly important to provide information on take up or impact, where the implementation plan for the measure or the original new policy proposal identify these as critical measures of success;  
  • updates of issues noted in your input for the previous quarterly and six-monthly reports;
  • whether deadlines were missed and if so, what the impact of this was, and how this is to be monitored/mitigated?
  • A new requirement is the provision of start and estimated end dates for each measure.  Reporting on the date the measure began and the planned end date is intended to provide context for readers of the reports and assist in analysis of any issues, particularly the consequences of any delays.

We request that all input be signed off by the relevant SES officer.

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Traffic Light Descriptions

The traffic light system is an alert service for the Prime Minister which also provides a broad overview for Ministers. It is not an assessment of performance. In fact, amber lights may be used to draw attention to emerging difficulties which are outside the department/agency’s control.

Some departments and agencies use a similar system for their internal processes. However, it is important to note that the CIU reports serve a different purpose from internal programme or project management reports, with a significantly different set of outcomes.

Red

Implementation is highly problematic. Implementation failure has occurred or is likely and/or the initiative has not had the desired effect. Initiatives which receive a red rating require specific intervention (e.g. revisit objectives and develop a different strategy/approach) and resolution may not be within the department/agency’s control.

Amber

There are real or potential implementation difficulties and risks which should be brought to the Prime Minister’s attention even if the initiative is being well managed. This includes: (a) problematic implementation timeframes, delays, stakeholder and/or budget issues; and (b) major problems and/or barriers, regardless of whether they were foreseen, how well they are being managed, or whether they are within the department’s/agency’s control. A measure receiving an amber rating may still be successfully implemented if it receives the right level of attention, and/or the risks are effectively managed.

Green

Implementation is on track or only requires minor refinement; there are no significant difficulties and/or risks emerging.

Removal of measures from the Cabinet Implementation Unit’s Traffic Light Reports

Purpose of the guidelines

These guidelines provide a consistent basis for formally documenting the removal of measures from the CIU traffic light reports. They set out the minimum information necessary to assure the CIU that reporting is no longer required on the implementation of an initiative, or on individual projects contributing to an overarching initiative.

Agencies should be aware that reporting on major measures usually continues for at least a couple of quarters beyond the implementation period, to capture issues of impact, takeup, post-implementation review or other outcome-related events.

Agencies may wish to use their own formal closure reports, as long as they cover the information sought here.

Unless previously agreed with the CIU, recommending that a measure be removed from the CIU’s traffic light reports does not override the requirement for input on the last reporting period.

The minimum information required by the CIU is as follows.

Policy initiative or component: the name of the policy initiative or sub-component in the CIU traffic light report for which reporting will cease.

Reason for cessation of traffic light monitoring: reasons may include: implementation complete, or the major/most risky elements are complete; the measure has been subsumed under another initiative (which may or may not itself be the subject of monitoring); or the measure’s scope has been changed to an extent that renders further reporting unnecessary.

Stakeholders: have all the key stakeholders directly involved in the governance of the measure agreed that reporting should cease? Outline the different views if there is disagreement.

Scope: were all deliverables identified in the implementation plan for this measure delivered?

  • Are there major deliverables outstanding, or unresolved issues?
  • If so, how will they be addressed? (For components of measures: do any of these outstanding deliverables or issues impact on other aspects of the measure still being implemented?)
  • Is the transition process (ie changes to the operations and outputs of agencies as a result of this measure) complete?

Schedule: was the measure implemented in accordance with timeframes set out in the implementation plan?

Funding: was the measure implemented in accordance with the budget in the implementation plan? Are ongoing funding requirements for the measure secured, or are there outstanding commitments, requirements for maintenance or other unresolved funding issues?

Impact and Outcomes: has a post-implementation review been conducted for this measure or is one scheduled? What are the key lessons from this measure’s implementation and how will those lessons be incorporated into future programmes? What is the overall evaluation strategy and timetable for this measure? What (early) evidence is there for the impact and outcomes from this measure?

Sign-off: this report must be signed off by the senior responsible officer.

(Guidelines version: 10 April 2007)

Guidance and Feedback on CIU Reports

The following section will help you prepare your input to the Cabinet Implementation Unit’s traffic light reports. We have provided some feedback on the March 2008 traffic light report and better practices in drafting your inputs, and also an example of poor inputs.

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Last Updated: 27 May 2007