Funded Peak Activities

Funded Peak Activities Triennial Service Plan Guidelines Version 2.0 Sector Development Directorate Ageing, Disability and Home Care Department of Family and Community Services NSW July 2012 Final

Document approval The Peak Activity Triennial Service Plan Guidelines has been endorsed and approved by: Smanatha Taylor Executive Director, Sector Development Directorate, ADHC Approved: June 2012 Signature on file Document version control Distribution: ADHC and funded Peak Activity Organisations Document name: Funded Peak Activities Triennial Service Plan Guidelines Version: Version 2.0 Document status: File name: Authoring unit: Final Funded Peak Activities Sector Development Directorate Date: July 2012 Version 2.0 July 2012

2 Table of contents 1 Introduction...3 2 Triennial Planning Cycle...3 3 Role of ADHC in Triennial Service Planning...5 3.1 Lead Contract Manager...5 4 Triennial Service Plan...6 4.1 Peak Activity Areas...6 4.2 Priorities and Major Initiatives...7 4.3 Key Outputs and Deliverables...7 4.4 Milestones...8 4.5 Performance Measures...8 5 Reporting and Monitoring...9 5.1 Eighteen Month/ Mid-term Written Progress Report...9 5.2 Progress Report Feedback from ADHC Staff...10 5.3 End of Term Status Report...10 6 Appeals and Disputes...10 7 Feedback Process...11

3 1 Introduction Background In 2007 ADHC developed a discussion paper, Future Directions in Funding Ageing, Disability and Home Care Peak Organisations. This paper guided a series of workshops and consultations undertaken with a cross section of key non-government organisations. The consultation aim was to identify the future directions and clarify the role of peak activities funded by ADHC. Feedback from the sector resulted in the development of Standard Service Specifications and Triennial Service Plan Guidelines. The NSW Government is committed to help build a more effective NGO sector by reducing unnecessary administrative red tape and building on the existing skills of non-government organisations. The NSW Government has invested significant resources to develop and support the human service NGO sector in NSW. The Government recognises that the resource base of NGOs is predominantly focused on direct service delivery, and that administering funding and its associated responsibilities can divert NGOs from the delivery of that core business. In October 2009 ADHC held a Peaks Forum, this forum enabled organisations to be supported and assisted in the preparation of Annual Service Plans. The forum also provided an opportunity for peak activity organisations to feedback on the Annual Planning Cycle. Organisations at the forum indicated that they were eager to move from an Annual Service Planning Cycle to a Triennial Service Planning Cycle. The shift to Triennial Service Planning will align organisations to their current funding agreements. The triennial cycle is consistent with the NSW Government s Red Tape Review to reduce the administrative burden on funded organisations. In response to the sector and to reduce the administrative burden on funded organisations, ADHC has amended the Standard Service Specifications and the Service Plan Guidelines to reflect a triennial planning cycle. What follows is a set of guidelines for organisations to implement the new arrangements, with a specific focus on how to prepare the Triennial Service Plan requirement as detailed in the Standard Service Specifications. 2 Triennial Planning Cycle In order to effectively implement the new arrangements, ADHC has designed a Triennial Planning Cycle to assist organisations to plan ahead. Initially, an annual planning cycle was developed in collaboration with a number of non-government organisations with a view to the best fit of alignment with internal planning processes for peak activities organisations and ADHC. With the first planning cycle completed, ADHC and peak activity organisations supported a transition to a Triennial Planning Cycle. The first full triennial planning cycle commenced from 1 July 2009. A diagram representing the Triennial Planning Cycle is included on the next page.

4 PEAK ACTIVITIES - TRIENNIAL PLANNING CYCLE Year One 1st Quarter ALL TRIENNIAL SERVICE PLANS FINALISED AND OPERATIVE FUNDING AGREEMENT COMMENCES Year Two 3 rd Quarter MID-TERM / EIGHTEEN MONTH PROGRESS REPORT & MEETING (if required) Year 3 3 rd Quarter Year 3 4 th Quarter DISCUSSION & NEGORIATION OF TRIENNIAL SERVICE PLAN FOR THE FOLLOWING PERIOD PEAK ACTIVITIES ORGANISATIONS SUBMIT END OF TERM STATUS REPORT (AUGUST FOLLOWING COMPLETION OF TRIENNIAL PLANNING PERIOD)

5 3 Role of ADHC in Triennial Service Planning As documented in the Standard Service Specifications, the development, finalisation, and monitoring of Triennial Service Plans will be done through negotiation and liaison between the funded non-government organisation and relevant senior ADHC staff. To ensure the right set of expertise is available to assist organisations with the service planning and contract management processes, each funded organisation will be assigned a Lead Contract Manager. 3.1 Lead Contract Manager The ADHC appointed Lead Contract Manager will be responsible for managing the relationship with the organisation and providing input on the development and finalisation of the Triennial Service Plan. ADHC Contract Managers will be senior staff with expertise in the specific policy or operational areas relevant to the organisation (for example, in ageing, disability, or HACC services). Lead Contract Managers will also be responsible for administrative aspects of the Funding Agreement, including contract management, performance management, and compliance issues. They will take responsibility for payments and accountability for funding, and ensure performance reporting and acquittal processes are conformed with.

6 4 Triennial Service Plan All organisations funded to perform peak activities will be required to prepare a Triennial Service Plan. The Triennial Service Plan will operationalise the areas included in the Funding Agreement Description of Service. It will relate to the six Peak Activity areas (see section 4.1). Organisations are expected to prepare and submit a Draft Triennial Service Plan during the third quarter of the final year of the current Triennial Plan. Following negotiation with their Lead Contract Manager, they are expected to submit an agreed Final Triennial Service Plan in the first quarter of year one of the Triennial Plan. Included at Attachment 1A is a Summary Template to assist organisations to prepare their Triennial Service Plans. Included at Attachment 1B is an extended version of the same Template, that allows one sheet (or more) for each Peak Activity. It is recommended that organisations use the extended version format (1B) for their Final Plans. What follows is an explanation for what each of the columns in the Triennial Service Plan mean, together with some suggestions for how organisations might proceed with completing the matrix format. Please Note: 1) As specified in the Standard Service Specifications document, and in the Triennial Planning Cycle, the development of a Triennial Service Plan will be done in negotiation with senior ADHC staff. 2) ADHC is aware that planning matrixes of this kind can create challenges in where to locate specific initiatives, particularly those that contribute to a number of Peak Activity areas. Organisations are asked to work within these parameters however using a best fit principle and to cross-reference where necessary. 4.1 Peak Activity Areas As specified in the ADHC Standard Peak Activities Service Specifications document, all funded organisations are expected to undertake initiatives under each of the six Peak Activity areas. These are: 1) Developing Policy and Advocacy 2) Providing Advice and Information 3) Consulting Broadly 4) Building Sector Capacity 5) Promoting Partnerships and Collaborations 6) Demonstrating Leadership and Innovation.

7 What each organisation is funded to do in terms of these peak activities will be documented in the Description of Service that is attached to the Funding Agreement. 4.2 Priorities and Major Initiatives The organisation s agreed Description of Service attached to their ADHC Funding Agreement (see Section 4.1) will determine the major areas of focus for the Triennial Service Plan. These should be used as the starting point in completing the Plan. It is acknowledged however, that over the three years of a Funding Agreement, new priorities and initiatives may emerge. Organisations therefore are encouraged to use the Triennial Service Plan to update their priorities and ensure they accurately reflect the agreed focus areas for the coming period. ADHC recommends using outcome-orientated language in the drafting of Priorities and Major Initiatives. Examples include: 1.X Identify new models and options to promote POSITIVE ATTITUDES TO AGEING across the community. 4.X Increase the number of people with disabilities who sit on Service Provider BOARDS. 5.X Establish relationships and partnerships with ABORIGINAL SERVICE PROVIDERS in order to better support Aboriginal Carers. Note: It is preferable that organisations aim to be as specific as possible in defining their priorities as they will determine what performance measures will be used. One question that may help organisations develop priority statements is to ask: - WHAT needs to be done to/with WHOM to what END? 4.3 Key Outputs and Deliverables The Key Outputs and Deliverables column is designed to list what some business plans describe as strategies or actions. That is, what will the organisation do over the coming 3 years to meet or deliver the major initiative or priority listed in the previous column. Organisations often implement a number of related actions or outputs for each priority. Examples include: o Develop a brochure for. o Host a workshop o Promote a training package o Commission research on. o Conduct regional consultations on Note: Once again it is preferable that organisations be as specific as possible in defining their key outputs. In most circumstances these should reflect the organisation s established roles. Most should also have a start and completion date. One question that may help organisations develop output statements is to ask: - What ACTIONS or PRODUCTS will we COMPLETE this year to address THIS PRIORITY?

8 4.4 Milestones Milestones are merely the expected completion dates for each of the Key Outputs and Deliverables. Most would be written by calendar month, for example: December 2012. Some outputs may have more than one completion date (for example a regular newsletter), or be part of an ongoing action (for example Website management). Where relevant or necessary, the milestone column can note either frequency (for example, Monthly ) or an Ongoing activity. 4.5 Performance Measures The NSW Government has adopted a results-based accountability framework (after Mark Friedman 1 ) as its recommended performance measurement system. This approach requires placing less emphasis on standard quantitative input measures (for example, how many calls received) or output measures (for example, how many newsletters distributed) to more qualitative outcome focused measures (for example, what percentage of member organisations have increased knowledge of X). Whilst ADHC acknowledges that defining and collecting quality outcome measures can be difficult in the human services and social policy areas, it nonetheless is keen for funded organisations to move in a similar results-based direction as government. Whereas Freidman would argue outcome measurement should be gathered at the level of Peak Activity (what is termed headline indicators ), for the foreseeable future, ADHC is only requesting organisations measure performance that relate to either their Priority Areas (preferred) or their Key Outputs. Included below is a simplified matrix that may assist organisations to think about performance indicators in terms of individual outputs or deliverables. Note: From a results-based accountability standpoint, the table also lists which quadrant generates the most preferred performance measure. QUANTITY QUALITY (How Much) (How Well) HOW MANY. DELIVERED? HOW WELL. DELIVERED? INPUT (Effort) Eg. no. of staff received training and resources Least Important (most common) HOW MANY. IN USE? Eg. % of staff who found training and resources worthwhile/ informative 2 nd Important HOW GOOD. OVERALL? OUTPUT (Effect) Eg. no. of staff using training and resources 3 rd Important Eg. % of staff who delivered improve stakeholder outcomes as a result of the training or resources Most Important (least common) Source: EJD Consulting, after Mark Friedman, 2007 1 Numerous texts on results-based accountability by the US author Mark Friedman are available, including his much cited book Trying Hard Is Not Good Enough (2005) or via the website http://www.raguide.org. Useful information can also be found on the NSW Government communitybuilders website at: http://www.communitybuilders.nsw.gov.au/getting_organised/managing/resg.html.

9 5 Reporting and Monitoring ADHC takes a risk approach to monitoring which allows contract management resources to be targeted to areas of greatest risk, and reinforces the responsibilities of boards of management. All organisations funded to perform peak activities will be expected to comply with the Quality requirements outlined in the Funding Agreement and accountability reporting such as annual compliance return and financial reporting processes. In addition, organisations funded to perform peak activities will be required to report on the outputs and outcomes of their peak activities, as defined in their Triennial Service Plans. As indicated in the Triennial Planning Cycle (see Section 2), organisations will be expected to prepare two written reports triennially on their Triennial Service Plans: 1) An eighteen Month/ Mid-term Progress Report (Year two, third quarter 28 February) 2) An End of Term Status Report (by 31 August following the final year of the Plan). As described in section 5.2, organisations may also be required to have a progress report meeting with their ADHC Lead Contract Manager at the time of submitting their Progress Report. 5.1 Eighteen Month/ Mid-term Written Progress Report All organisations will be required to prepare and submit a written eighteen month Progress Report to ADHC indicating the status of outputs and deliverables listed in their Triennial Service Plan. All Progress Reports should be forwarded to ADHC by no later than the end of February in Year two of the Plan. Included at Attachment 2 is a sample Progress Report template. It includes all columns contained in the Triennial Service Plan plus adds two additional columns: Status and Comments. Performance Measures: Where available the Performance Measures column should list data gathered to date using the agreed measures (see section 4.5). Status: Refers to the status of the Plan s Outputs and Deliverables (and identified milestones). This column should be filled in by using one of the following options: Completed Partially Completed In Planning Postponed Will not proceed at this stage.

Comments: This column allows short explanations of the Outputs and Milestones status. Where longer explanations are required, organisations are invited to include these as endnotes to the Matrix format. 10 5.2 Progress Report Feedback from ADHC Staff Once the written Progress Report has been submitted and reviewed, ADHC will provide feedback and (if necessary) convene a meeting with the organisation s representatives to: a) Acknowledge and provide feedback on successful priorities and outputs to date; b) Discuss options for re-focusing or re-directing priorities or outputs that have not adequately progressed at that stage; c) Discuss possible new priorities or outputs that could be pursued as part of the next year in the Triennial Service Plan. 5.3 End of Term Status Report Organisations will be required to prepare an end-of-term Status Report based on their Triennial Service Plan. The Status Report will be based on the same template and format as that used for the Eighteen Month/ Mid-term Progress Report. The template included at Attachment 2 provides the recommended format for the End of Term Report. All End of Term Reports should be forwarded to ADHC by no later than 31 August following the end of the Triennial Planning period. 6 Appeals and Disputes ADHC strives for the early resolution of all appeals and disputes. To this end it will ensure its Lead Contract Managers are skilled in promptly working through issues with organisations, to deliver the best outcome for both the organisation and ADHC consistent with the Peak Activities Funding Agreement. Where officer-to-officer negotiation processes fail to resolve the issues relating to the Triennial Service Plan or related Reports, there should be a clear process to ensure appeals and disputes are handled in a consistent, timely and equitable manner. The process for resolution of Appeals or Disputes relating to the Triennial Service Plan or related Reports is as follows: 1. In the first instance, the organisation will raise their concerns with their Lead Contract Manager. If the issue cannot be resolved at this level, the Contract Manager will write to the organisation outlining the areas of disagreement and the grounds for ADHC s position. 2. If the organisation has been advised in writing that the issue in question cannot be resolved by the Lead Contract Manager, the organisation has 28 days to lodge a written appeal to the Deputy Director-General.

11 The written appeal needs to outline one or more of the following conditions: a) That due process was not followed by the ADHC staff; b) The findings of the Triennial Service Plan monitoring process are not consistent with the evidence provided to ADHC; c) ADHC did not give due consideration to the evidence provided by the organisation and/or; d) That other relevant factors were not taken into consideration. 3. Within 5 days following receipt of the written appeal, the Deputy Director-General will provide written acknowledgement that the appeal has been received. 4. The Deputy Director-General will appoint an independent reviewer to investigate the appeal. The independent reviewer will prepare a report containing advice and recommendations regarding the appeal to the Deputy Director-General. The independent reviewer may discuss the appeal with relevant ADHC staff and representatives of the organisation concerned. 5. The Deputy Director-General will advise the organisation in writing of the outcome of the appeal and any necessary follow up action. 6. If the organisation remains unsatisfied with the outcome of this process, they may choose to exercise their rights under the Dispute Resolution procedures outlined in Section 13 of the Funding Agreement. 7 Feedback Process All organisations funded to perform peak activities are invited to provide feedback on the Guidelines use and implementation. Any feedback ADHC receives will be reviewed to identify how the documentation could be strengthened or enhanced for future program implementation. Organisations should provide feedback to their ADHC nominated Lead Contract Manager.

8 ATTACHMENT 1 12 8.1 ATT 1A: PEAK ACTIVITIES TRIENNIAL SERVICE PLAN TEMPLATE (Summary Version) PEAK ACTIVITY PRIORITIES / 1) Developing Policy & Advocacy MAJOR INITIATIVES (Linked to Funding Contract Service Specs) 1.1 1.2 KEY OUTPUTS/ DELIVERABLES MILESTONES PERFORMANCE MEASURES 1.3 2) Providing Advice & Information 2.1 2.2 2.3 3) Consulting Broadly 3.1 3.2 3.3 4) Building Sector Capacity 4.1 4.2 4.3 5) Promoting Partnerships & Collaborations 6) Demonstrating Leadership & Innovation 5.1 5.2 6.3 6.1 6.2 6.3

8.2 ATT 1B: PEAK ACTIVITIES TRIENNIAL SERVICE PLAN TEMPLATE (Extended Version) 13 PEAK ACTIVITY 1: Developing Policy and Advocacy (sample) # PRIORITIES/ MAJOR INITIATIVES OUTPUTS / DELIVERABLES MILESTONES PERFORMANCE MEASURES 1.1 1.1.1 1.1.2 1.1.3 1.2 1.2.1 1.2.2 1.2.3 1.3 1.3.1 1.3.2 1.3.3

9 ATTACHMENT 2 14 9.1 MID-TERM PROGRESS/STATUS REPORT PEAK ACTIVITIES TRIENNIAL SERVICE PLAN TEMPLATE PEAK ACTIVITY 1: Developing Policy and Advocacy (sample) # PRIORITIES/ MAJOR INITIATIVES KEY OUTPUTS/ DELIVERABLES MILESTONES PERFORMANCE MEASURES (Include data if STATUS 2 COMMENTS ON STATUS 1.1 1.1.1 1.1.2 1.1.3 1.2 1.2.1 1.2.2 1.2.3 1.3 1.3.1 1.3.2 1.3.3 2 Status can either be: a) Completed; b) Partially Completed; c) In Planning; d) Postponed; e) Will not proceed at this stage. Please use comments column to provide a short statement on the status and any reasons or explanations required. Longer explanations can be included as endnotes to the matrix if required.