Handbook for Regulatory Proposals: Performance Measurement and Evaluation Plan

Introduction

This handbook outlines the purpose of a Performance Measurement and Evaluation Plan (PMEP) for regulatory activities and provides guidance for its development and for completing the PMEP Template. The handbook supports the implementation of the Cabinet Directive on Streamlining Regulation (CDSR).

The intended users of this handbook are government officials who need to develop and implement a PMEP for their regulatory proposals as well as the analysts in the Regulatory Affairs Sector of the Treasury Board of Canada Secretariat (Secretariat) who perform a challenge function.

Throughout the handbook, regulatory activities are understood to mean the regulation(s), the regulatory program, and the regulatory program's related activities, such as communications, inspection, and enforcement.

What are the performance measurement requirements under the Cabinet Directive on Streamlining Regulation?

The requirements for carrying out performance measurement for regulatory activities are outlined in Section 4.6 of the CDSR, "Measuring, evaluating, and reviewing regulation." They are also outlined in the Regulatory Impact Analysis Statement (RIAS) Template.

What is the purpose of a Performance Measurement and Evaluation Plan?

The purpose of a PMEP is to ensure that regulatory activities continue to meet their initial policy objectives and are accordingly renewed on an ongoing basis. A PMEP provides a concise statement or road map to plan, monitor, evaluate, and report on results throughout the regulatory life cycle. When implemented, it helps a regulator:

ensure a clear and logical design that ties resources and activities to expected results;
describe the roles and responsibilities of the main players involved in the regulatory proposal;
make sound judgments on how to improve performance on an ongoing basis;
demonstrate accountability and benefits to Canadians;
ensure reliable and timely information is available to decision makers in the regulatory organizations and central agencies as well as to Canadians; and
ensure that the information gathered will effectively support an evaluation.

When is a Performance Measurement and Evaluation Plan required?

Before submitting a regulatory proposal, departments and agencies are expected to conduct an assessment, which is based on the and performed in collaboration with the Secretariat's Regulatory Affairs Sector, to determine the level of impact (Low, Medium, or High) of the proposed regulation.

Completion of a PMEP Template is required when the answer to one or more of questions 1 through 6 in the Triage Statement is "High." For regulatory proposals of Medium impact, completing a PMEP Template is optional and left to the discretion of the regulatory organization.

Where are the regulatory activities situated in the department's Program Activity Architecture and Performance Measurement Framework?

When developing the PMEP, it is important to ask the following question: How does this PMEP fit into the departmental Management, Resources, and Results Structures (MRRS), specifically the Program Activity Architecture (PAA) and the Performance Measurement Framework (PMF)?

Regulatory activities would be represented, when appropriate, in a departmental PAA and supporting PMF as a program's^[1] lowest level component, i.e., a program's sub-subactivity level (see graphic under Linkage to the Program Activity Architecture). Where regulatory activities are significant to understanding why and how funds are being spent to achieve a program's stated expected results, they must be mentioned in the program description unless a compelling rationale for omitting them is provided. Program managers will need to consider how performance indicators supporting regulatory activities factor into a program's PMF. For example, regulatory activity indicators may support a program output tracked in the PMF or a program's expected result. Managers are strongly encouraged to consult with key corporate groups (e.g., heads of Evaluation, program performance measurement teams or units) to determine the most appropriate way to align performance indicators within the MRRS.

To ensure the departmental PAA and PMF reflect a new PMEP, they should be updated in accordance with the next scheduled review of the PAA and PMF, but only after the regulation has been published in Canada Gazette, Part II.

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