HPF Tool. Template for the Performance and Accountability Statement Second round reviews. Amended December 2012

Transcription

1 HPF Tool Template for the Performance and Accountability Statement Second round reviews Amended December 2012 The High Performance Framework was developed by the Public Sector Performance Commission. This work is licensed under a Creative Commons Attribution NonCommercial ShareAlike 3.0 Australia License.

2 DEPARTMENT XYZ Agency Logo PERFORMANCE AND ACCOUNTABILITY STATEMENT HIGH PERFORMANCE FRAMEWORK STEP 4 Date / /

3 CONTENTS Executive Summary Introduction Performance and Accountability update 1. HPF Step 1 Priorities and Accountabilities 1.1 Overview of the Department 1.2 Challenges and Opportunities 1.3 Strategic Priorities, Alignment and Accountabilities 2. HPF Step 2 Enterprise Results 2.1 Agency Performance Results performance tracking against Headline KPIs 3. HPF Step 3 Enterprise Management 3.1 Agency Performance Assessment against the HPF Characteristics and Building Blocks 3.2 Key Strengths and Opportunities for Improvement 4. Performance Improvement Priorities Key actions and implementation plan to address key performance improvement and the alignment of targets Appendix A: The HPF and the assessment methodology Appendix B: Key documentation and evidence reviewed during the assessment

4 EXECUTIVE SUMMARY This section summarises the major findings and key actions as a result of the implementation of the High Performance Framework within the agency. The findings and key actions in the Performance and Accountability Statement are to be signed off by the Chief Executive. The Executive Summary is also to include responses to the following: How well is the agency performing now? To what extent is the work of the agency aligned to the key policy directions and strategic priorities of government and how is line of sight to these objectives achieved throughout the agency? How does the agency plan to meet its future challenges? How well is the agency performing against budget, government policy, the agency s corporate plan strategic priorities and statutory/legislative obligations? In providing this explanation identify the agency s headline KPIs for these areas, highlight how the agency is performing against them and illustrate the actions the agency is taking to improve its results based on these KPIs. How well is the agency run? Is it high performing, what are the agency s priorities for improvement, and how well will these improvements meet identified performance gaps? To what extent does the agency have the capability to achieve its performance targets and is committed to actions that improve performance and alignment? Elaborate on any performance gaps that would seriously impact on the agency s capability to meet its performance targets

5 INTRODUCTION This section describes the processes used by the agency in undertaking the High Performance Framework evidence based assessment. Included are the number and classification of the people directly involved in planning and undertaking the assessment, the techniques used for gathering and evaluating evidence and the processes used to validate the findings.

6 Performance and Accountability update For agencies conducting a second round review, they should seek to provide: o a summary of the previously identified improvement initiatives and o progress towards implementing these changes. In this section it is important that agencies provide an overview of the effectiveness of implemented improvement strategies. Please note that Chief Executives provide an overview of progress against improvement initiatives as a part of their annual performance review with their minister.

7 STEP 1: PRIORITIES AND ACCOUNTABILITIES 1.1 OVERVIEW OF THE DEPARTMENT This section provides a brief description of the agency s role, mandate, vision, history, resourcing, main programs and projects. NB. This section provides an overview and should be succinct.

8 STEP 1: PRIORITIES AND ACCOUNTABILITIES (continued) 1.2 CHALLENGES AND OPPORTUNITIES This section provides a brief environmental scan describing the main future trends that may affect the work and strategic direction of the agency. These trends may relate to changes in population, policy, economic development, emerging technologies, etc. NB. This section briefly articulates anticipated challenges and opportunities their implications and consequences for the agency. Information should be provided regarding how the agency intends to position and align itself over the short to medium term to address these challenges and maximise perceived opportunities.

9 STEP 1: PRIORITIES AND ACCOUNTABILITIES (continued) 1.3 STRATEGIC PRIORITIES, ALIGNMENT AND ACCOUNTABILITIES This section provides a brief summary of the agency s top strategic priorities and how these priorities align to state government priorities, policies, national agenda and legislative responsibilities. External alignment should be clearly identified in this section in addition to a description of how alignment of these priorities cascades internally throughout the agency. This section also summarises the main accountabilities of the agency and how the agency meets these accountabilities. A brief description should be provided of both internal and external accountabilities (e.g. other tiers of government, the community) and how the agency meets these obligations. NB. Refer to the HPF Guide: Conducting an Evidence based Agency Assessment for further explanation of the information to be provided Strategic priorities and their alignment: Summary of strategic priorities and how they are aligned with government policies and strategic directions (e.g. Government policy, SASP, COAG, State Reform Agenda): Suggested response to include: What is the fundamental task of your agency as defined in policy and legislation? What is your charter or mission? What are your five top issues or immediate and medium term challenges? What are your strategic priorities? How do your strategic priorities cascade throughout the organisation down to unit level? How are your strategic priorities aligned with government policy and strategic directions? How is line of sight for government priorities created and cascaded through all levels of the agency? How are your strategic priorities reflected in the agency s budget? How are your strategic priorities reflected in the agency corporate plan? Do you have the authority to deliver on your priorities? Strategic priority examples: Child Protection Crime Reduction Economic Development Workplace Safety Policy Development Environment protection Water Security

10 STEP 1: PRIORITIES AND ACCOUNTABILITIES (continued) 1.32 Accountabilities (both internal and external): Summary of Accountabilities: To whom is the agency accountable and for what? Suggested response to include: Description of your agency s accountability framework. What are your accountabilities to your minister(s) and Cabinet? For which of the Government s Seven Strategic Priorities are you accountable? What are your accountabilities under SA s Strategic Plan (SASP)? What are your other accountabilities concerning government policy directions? What are your legal and statutory obligations and accountabilities? What are your budget management accountabilities? Other relevant questions

11 STEP 2: ENTERPRISE RESULTS This section provides a summary analysis and commentary on the agency s overall performance results and areas for improvement. Specific reference should be made to key agency KPIs to demonstrate performance against specific targets. This is to include tracking against SASP or COAG related KPIs (where appropriate) and demonstrate performance effectiveness against government policy, budget, statutory/legislative obligations and corporate plan targets and other key indicators. NB. Refer to the HPF Guide: Conducting an Evidence based Agency Assessment for further explanation of information to be provided. 2.1 SUMMARY ANALYSIS AND COMMENTARY ON AGENCY S OVERALL PERFORMANCE RESULTS AND MAJOR IMPROVEMENT OPPORTUNITIES 2.2 BUDGET PERFORMANCE 2.3 STATUTORY/LEGISLATIVE OBLIGATIONS 2.4 STRATEGIC KPI S (i.e. PERFORMANCE TOWARDS ACHIEVING AGENCY S STRATEGIC PRIORITIES IN CORPORATE PLAN) 2.5 SEVEN GOVERNMENT PRIORITIES (LIST PERFORMANCE FOR EACH RELEVANT PRIORITY) 2.6 SASP TARGETS (i.e. PERFORMANCE TRACKING) 2.7 COAG KPIS (i.e. PERFORMANCE TRACKING) 2.8 PERFORMANCE AGAINST OTHER KEY TARGETS

12 STEP 3: ENTERPRISE MANAGEMENT SCOREBOARD OF RESULTS 3.1 AGENCY PERFORMANCE ASSESSMENT AGAINST THE HPF CHARACTERISTICS AND BUILDING BLOCKS This section shows the HPF scoreboard of the agency as a result of self assessment against the HPF Characteristics and Building Blocks. The evaluation should be validated through a range of evidence, including desktop research, interviews, employee perception surveys, customer surveys, focus groups, data analysis and key documentation. Of prime importance is the agency s ability to meet the what high performance looks like statements through an evaluation of agency approaches to meet these targets. The HPF can be flexibly implemented to focus on those characteristics of higher agency priority. Characteristic Building Block Building Block Building Block Building Block Building Block 1. Well led. 2. Built on clear values. 3. Strategic. BB 1.1 Leaders shape strategic thinking and drive policy debate. BB 2.1 Practices, behaviours and relationships are consistent with the explicitly stated values and ethics as defined by the Public Sector Act of BB 3.1 Strategic priorities and desired outcomes are evident in all aspects of the operation. BB 1.2 Leadership is evident throughout the organisation. BB 2.2 Organisational culture centres on performance excellence. BB 3.2 Strategic priorities are implemented in effective public policy. BB 3.3 The organisation looks outward and forward to address future challenges and opportunities. BB 3.4 Changes in the operating environment are responded to quickly. 4. Innovative and continually improving. BB 4.1 Innovation is encouraged and enabled throughout the organisation. 5. Use information and knowledge effectively. Information and knowledge is valued throughout the organisation as a primary means to achieve performance improvement. BB 6.1 Management systems reward and recognise high performance. 6. Engage their workforce and stakeholders. BB 6.2 Management systems address unsatisfactory performance. BB 6.3 The organisation is considered an employer of choice. BB 6.4 Employee capabilities are aligned with strategic priorities. BB 6.5 Stakeholders are included in planning and evaluation. 7. Customer and citizen focused. BB 7.1 Customer and citizen needs and views are understood and are integrated into organisational plans, including service design and delivery. BB 7.2 Customer service standards are rigorously observed.. Legend: 8. Accountable. BB 8.1 An appropriate balance exists between risk and opportunity. BB 8.2 A clear alignment of accountability regarding duties, priorities and direction is evident through all levels of the organisation.. Needs improvement 9. Manage to the triple bottom line. BB 9.1 Operations delivered within budget. This includes positioning the organisation to sustain its level of services and infrastructure. BB 9.2 High quality outcomes of environmental sustainability and social equity are achieved within budget frameworks. Some opportunities for improvement 10. Focus on results. BB 10.1 Performance information is used extensively for decision making. BB 10.2 Performance trends within the organisation are generally positive. BB 10.3 Public reporting is balanced, transparent and easy to understand. Well placed

13 Assigned scores Characteristic Building Block Approach Deployment Effectiveness Total 1. Well led BB 1.1 Leaders shape strategic thinking and drive policy debate BB 1.2 Leadership is evident throughout the organisation. 2. Built on clear values. BB 2.1 Practices, behaviours and relationships are consistent with the explicitly stated values and ethics as defined by the Public Sector Act of BB 2.2 Organisational culture centres on performance excellence. 3. Strategic. BB 3.1 Strategic priorities and desired outcomes are evident in all aspects of the operation BB 3.2 Strategic priorities are implemented in effective public policy. BB 3.3 The organisation looks outward and forward to address future challenges and opportunities. BB 3.4 Changes in the operating environment are responded to quickly. 4. Innovative and continually improving BB 4.1 Innovation is encouraged and enabled throughout the organisation 5. Use information and knowledge effectively. BB 5.1 Information and knowledge is valued throughout the organisation as a primary means to achieve performance improvement. 6. Engage their workforce and stakeholders. BB 6.1 Management systems reward and recognise high performance. BB 6.2 Management systems address unsatisfactory performance. BB 6.3 The organisation is considered an employer of choice. BB 6.4 Employee capabilities are aligned with strategic priorities. BB 6.5 Stakeholders are included in planning and evaluation. 7. Customer and citizen focused. BB 7.1 Customer and citizen needs and views are understood and are integrated into organisational plans, including service design and delivery BB 7.2 Customer service standards are rigorously observed. 8. Accountable. BB 8.1 An appropriate balance exists between risk and opportunity. BB 8.2 A clear alignment of accountability regarding duties, priorities and direction is evident through all levels of the organisation. 9. Manage to the triple bottom line. BB 9.1 Operations delivered within budget. This includes positioning the organisation to sustain its level of services and infrastructure. BB 9.2 High quality outcomes of environmental sustainability and social equity are achieved within budget frameworks. 10. Focus on results. BB 10.1 Performance information is used extensively for decision making. BB 10.2 Performance trends within the organisation are generally positive. BB 10.3 Public reporting is balanced, transparent and easy to understand.

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15 STEP 3: ENTERPRISE MANAGEMENT (continued) 3.2 KEY STRENGTHS AND OPPORTUNITIES FOR IMPROVEMENT This section explains the main areas in which the agency is well placed against the HPF Characteristics and Building Blocks. It also describes those areas for priority improvement. The prime rationale for considering an area a strength or an opportunity for improvement should be included. NB. Include any opportunities for improvement from steps 1 and 2. Examples: People management capability Financial forecasting Value based organisation Project management Opportunities for Improvement: Leadership and management capability Improving use of strategic information for decision making

16 STEP 4: PERFORMANCE IMPROVEMENT PRIORITIES KEY ACTIONS Example high level overview of performance improvement priorities Objective 1 Review and selection of headline key performance indicators. Key action 1 This section provides a summary of the key actions for performance improvement and alignment (identified in Steps 1, 2 and 3), the responsibilities for implementation and a reference timeframe. Lead Action (The action or strategy to support the Key Action) Evaluation Who is responsible? e.g Director of Corporate Project Manager from Corporate Reporting along with Project Workgroup with representatives from each area assigned to review KPIs. KPIs in place for each strategic priority. Improved lead indicators and targets for KPIs developed. Improved presentation of data to enable trend analysis and progression towards targets. Redesign of corporate dashboard reporting to assist senior management Clear alignment of headline KPIs to Government 7 priorities, SASP, COAG, ABS Report on Government Services benchmarks Feedback from executive (users) Project completed on time Impact area / Building Block Step 2 of HPF 3.1: Strategic priorities and desired outcomes are evident in all aspects of the operation. Other Examples may include: Identification of required competencies Development of a leadership charter and development strategy Employee performance management system to be redesigned Clear expectation of manager performance Responsibility: Deputy CE and HR Manager Timeframe: Dec 2013

17 THE HPF AND THE ASSESSMENT METHODOLOGY APPENDIX A Step 1: Priorities and Accountabilities Step 2: Enterprise Results Step 3: Enterprise Management - Characteristics and Building Blocks Step 4: Performance and Accountability Statement Government Policy Directions Government Fiscal Parameters High Performance Framework STEP ONE Priorities/Accountabilities What business are you in? STEP TWO Enterprise Results How effective are you? STEP THREE Enterprise Management How well run are you? STEP FOUR Performance and Accountability Statement What opportunities exist to improve performance and strategic alignment?

18 APPENDIX B EXAMPLES OF KEY DOCUMENTATION AND EVIDENCE REVIEWED DURING THE ASSESSMENT Examples: - Annual Report - Portfolio Statement - Ministerial priority documents and briefings - SASP and COAG performance reporting - Strategic plan - CE newsletters and blogs - Business plan - Performance reporting and tracking (KPIs) - Future scenario plan - Budget documents - Executive performance agreements - Business improvement/excellence program - Stakeholder feedback - Customer feedback and service standards - Benchmarking documents - Planning framework - Agency s values and code of ethics - Workforce Plan - Risk management plan - Change management framework - Employee climate surveys - Results from employee focus group - Public consultation forums - Communication framework - Policy framework - Governance framework - Organisational development framework - Succession plans - Process maps - Agency policy/strategy documents - HR Framework and policies - Leadership and management framework and programs - Employee engagement/recognition programs - Performance management policy - Consultative forums - Information management plan