Implementing Cross-Agency Collaboration: Recommendations for OMB & Cross-Agency LeadersGovernment executives and managers should recognize institutional challenges to cross-agency collaboration and develop strategies to address them. Effective government executives are skilled at working around, or in spite of, institutional barriers. But with the passage of the GPRA Modernization Act of 2010 and the Obama administration’s public commitment to a set of cross-agency priority goals, a critical mass has been achieved in understanding the growing importance of cross-agency efforts. As a result, there may be opportunities to directly address institutional-level changes. The recommendations that follow are of two types: those for policy makers in the Office of Management and Budget in the White House, and those for managers in agencies engaged in implementing cross-cutting collaborative initiatives.IBM Center for The Business of GovernmentC4BG_75eeae68-2e96-11e6-8053-141702a5173dThrough research stipends and events, the IBM Center for The Business of Government stimulates research and facilitates discussion of new approaches to improving the effectiveness of government at the federal, state, local, and international levels.Jane FountainAuthor -- Professor of Political Science and Public Policy; Director, National Center for Digital Government, University of Massachusetts Amherst -- Jane E. Fountain is Professor of Political Science and Public Policy and Adjunct Professor of Computer Science at the University of Massachusetts Amherst. Previously, she served for 16 years on the faculty of the John F. Kennedy School of Government at Harvard University. She is the founder and Director of the National Center for Digital Government and the Science, Technology and Society Initiative, based at the University of Massachusetts Amherst.Daniel J. ChenokExecutive Director, IBM Center for The Business of GovernmentLori FellerPartner, Public Sector, Organizational Change Management, IBM Global Business ServicesPublic ManagersPublic managers effective at cross-agency collaboration need to use both their relationship skills and organizational structures strategically, working within their institutional constraints.ContributorsWell over 100 public managers agreed to be interviewed for this project and the related, broader research program on cross-agency initiatives. I am grateful to hundreds more for sharing their expertise through surveys, and as part of advising, professional interactions, and executive teaching, especially in 15 years working with members of the Senior Executive Service in the Senior Managers in Government executive program at the Kennedy School of Government.National Center for Digital GovernmentFaculty colleagues and graduate students at the National Center for Digital Government and beyond during the past decade who have contributed to this research program include David Lazer, Ines Mergel, Maria Binz Scharf, Ramon Gil-Garcia, Robin McKinnon, Amanda Coe, Alexander Schellong, Hirokazu Okumura, Cary Coglianese, Stuart Shulman, Michelle Goncalves, Erdem Erkul, Seok-Jin Eom, Albert Meijer, Peter Haas, Charles Schweik, Raquel Galindo Dorado, Jeffrey Rothschild, Diego Canabarro, and Martha Fuentes-Bautista as well as many others whose research and insights have informed and sharpened the analysis. The author is grateful to David Lazer for helpful suggestions and to Ines Mergel for the network analysis.National Science FoundationThis research would not have been possible without the generous support of the National Science Foundation, under grant numbers 0131923 and 0630239. Naturally, the opinions, findings, conclusions, and recommendations in this report are my own and do not necessarily reflect the views of the National Science Foundation. Grateful acknowledgements to John Kamensky and Mark Abramson for many helpful suggestions.Cross-agency collaboration occurs efficiently and effectively_75eeafd0-2e96-11e6-8053-141702a5173dTo provide recommendations for OMB & cross-agency leaders for implementing cross-agency collaboration _75eeb070-2e96-11e6-8053-141702a5173dInteragency CollaborationIncentivesCreate the institutional incentives and environment to foster cross-agency collaboration._75eeb110-2e96-11e6-8053-141702a5173d1Office of Management and BudgetThe Office of Management and Budget (OMB) should provide leadership in creating the institutional incentives and environment that foster cross-agency collaboration as a way of doing business, instead of the traditional approach, which has been to treat cross-agency initiatives as exceptions to the rule.GuidanceDevelop management guidance for cross-agency collaboration._75eeb1b0-2e96-11e6-8053-141702a5173d1.1In 2012, OMB developed useful guidance to agencies on the use of evidence and evaluation. It should develop similar guidance to agencies encouraging the use of collaborative approaches. A knowledge and experience base exists among federal managers and executives, but it has not been well-articulated and shared. Agency managers require lessons learned, best practice, guidance, and training to support cross-agency collaboration. OMB should produce templates for shared budgets based on successful cross-agency experience. GAO has begun to identify mechanisms and processes used in cross-agency collaborative projects, but these have not been codified or evaluated. Having a toolkit that includes templates and models of processes that have worked -- including shared budgets -- would help leaders of cross-agency initiatives navigate new waters.Facilitation & EnforcementContinue to play the dual roles of facilitator and enforcer._75eeb250-2e96-11e6-8053-141702a5173d1.2OMB plays multiple catalytic roles with respect to cross-agency collaboration. It acts as a facilitator for cross-agency collaborations and often disseminates promising practices and innovations but, when necessary, may play a forceful role -- aka "dropping the hammer" -- in demanding compliance with an administration’s directives to agencies. Collaboration does not mean that tough political situations and conflicts will not occur. OMB and other oversight agency managers, as well as political appointees, inevitably have to manage serious and intractable differences among agencies.Congressional EngagementEngage with key members of Congress and their staffs to inform institutional directives that would support cross-agency collaboration._75eeb2f0-2e96-11e6-8053-141702a5173d1.3Political AppointeesMembers of CongressCongressional StaffLegislative change is a long-term process, but the GPRA Modernization Act and its provisions show promise for legislation that promotes cross-agency collaboration around results that matter. Traditionally, cross-agency initiatives can face barriers in sharing resources and legal authority because of the jurisdictional boundaries of various congressional committees. Proactively identifying and addressing them should be on the agenda.Re-UseContinue to search for ways to "build once, use many."_75eeb39a-2e96-11e6-8053-141702a5173d1.4Office of E-Government and Information TechnologyThe OMB Office of E-Government and Information Technology should identify shared systems and cyber infrastructure that could be reused, with modifications, to further cross-agency streamlining and collaboration. A recent example is the use of e-Rulemaking information systems that have been modified to develop the new Freedom of Information Act (FOIA) online system that tracks FOIA requests and their status across agencies. This reuse has saved millions of dollars in new system development costs and sped its implementation.Cross-Agency CapacityAdd cross-agency capacity building into the performance evaluation systems of the Senior Executive Service (SES)._75eeb444-2e96-11e6-8053-141702a5173d1.5Senior Executive Service MembersOMBOffice of Personnel ManagementOMB, working with the Office of Personnel Management (OPM) and agencies, should add cross-agency capacity building into the performance evaluation systems of the Senior Executive Service (SES). OMB should work with OPM and agencies to proactively certify performance appraisal systems, including pay for performance, that recognize and reward participation in cross-agency collaborative efforts. In keeping with the GPRA Modernization Act's legislative directive that OPM develop a list of skills and competencies required for sustainable cross-agency collaboration, those skills should be incorporated into performance appraisal, training, rewards, and selection criteria for the SES. Cross-boundary and relationship management skills should be core skills for the SES.Cross-Agency InitiativesUndertake actions on cross-agency initiatives._75eeb4ee-2e96-11e6-8053-141702a5173d2Federal AgenciesCross-Agency LeadersFor executives who are assigned to build a major cross-agency effort, what do they do? The six recommendations below present key actions that government executives leading cross-agency initiatives should undertake.Direction & GoalsSet and communicate clear, compelling direction and goals._75eeb5ac-2e96-11e6-8053-141702a5173d2.1Build commitment to a cross-agency vision, mission, long and near-term goals, and objectives. Frame the effort, set the direction, and establish the culture as one that requires collaboration. Convince key managers that the new collaboration will produce better results than the status quo. An important overarching goal, a vision of the future, is a strong motivator and provides the initial logic for organizing the initiative. Keep the overarching goal and its benefits at the forefront through communication and framing.Working GroupsFit the working group structure to the task._75eeb656-2e96-11e6-8053-141702a5173d2.2Working GroupsCollaborative initiatives require different types of authority structures and division of labor, depending upon scale, scope, urgency, and core task dimensions. Decide on an appropriate structure and define exactly what that will mean in terms of authority, resources, and division of labor. For example, some cross-agency collaborations are organized with a lead agency that supplies services on a fee-for-service basis to other agencies. The cross-agency priority (CAP) goals by law are led by a White House official, but the organizational structure of the cross-agency relationships is left undetermined. The lead agency or managing partner approach differs across projects with respect to how much joint decision-making and problem-solving will be used.Roles & ResponsibilitiesEstablish specific roles and responsibilities._75eeb70a-2e96-11e6-8053-141702a5173d2.3Who will do what? Who is responsible for what? Develop clear decision-making processes including conflict resolution measures. Cross-agency collaborations require strong executive and management groups and well-organized working groups.AgreementsDevelop formal agreements._75eeb7dc-2e96-11e6-8053-141702a5173d2.4CodificationCodify in writing what is to be accomplished, the principal means and the timeline for accomplishment._75eeb890-2e96-11e6-8053-141702a5173d2.4.1FormalizationFormalize the collaborative arrangement._75eeb94e-2e96-11e6-8053-141702a5173d2.4.2Revisit this document frequently. Making formal agreements public provides accountability and transparency. It exerts pressure on cross-agency members to fulfill commitments.Work PlansAs part of the formal agreement, create a work plan working backward from major goals to establish interim goals and milestones._75eeba48-2e96-11e6-8053-141702a5173d2.4.3DeadlinesEstablish and enforce clear deadlines._75eebb10-2e96-11e6-8053-141702a5173d2.4.4SharingDevelop shared operations and shared resources that support achieving the goal._75eebbce-2e96-11e6-8053-141702a5173d2.5These range from production of shared brochures and web pages to development of shared systems and standards; co-location, shared services and information; fee-for-service operations; standardizing and streamlining to produce consistent operations across agencies; and consolidation. For joint policy making efforts, coordination across agencies that share responsibility for key policy challenges -- such as the CAP goals -- may mean communication and joint planning to align strategies that are then implemented in parallel. Many cross-agency projects have had to generate their own resources through sharing, borrowing, or otherwise leveraging existing resources. Similarly, many have been staffed with those on short-term details from several agencies. Canny federal managers are excellent at bootstrapping until more consistent resources are available. Moreover, cross-agency collaborations must explicitly develop and include key internal stakeholders and external stakeholders (clients and constituents) to mobilize support.MetricsBuild shared performance metrics._75eebcaa-2e96-11e6-8053-141702a5173d2.6The Exports cross-agency collaboration has developed cross-agency performance metrics for exports. These may provide an impetus for other efforts. Performance measures are needed to enable tracking, monitoring, and measurement/evaluation of output and outcomes across agencies and programs. Measurement is important, but without consequences, measurements lack force. Align incentives, rewards, and sanctions.2016-06-09http://www.businessofgovernment.org/sites/default/files/Implementing%20Cross%20Agency%20Collaboration.pdfOwenAmburOwen.Ambur@verizon.net