Analysis of evidence in detail Principle 1: Government and public sector relationship The organisation’s relationship with the government is clear Governance element Documents/Evidence Indicator Maturity level General comments/achievements/ actions required 1.1 A document defines responsibilities and accountabilities between the chief executive and the minister. Current Managing Director's (MD) Performance Agreement and reviews. Agreement by due date. College input on local needs is provided to the MD’s performance agreement. 1.2 Processes exist to manage communication and other interaction between ministers and other parliamentary representatives and the agency. Communications protocols and policies. A system to track Ministerial and Departmental requests for information and communications. Tracking system is up to date and accessible. System indicates responses on time. 1.3 Communication and other interactions are recorded and monitored. Responses to statutory and regulatory compliance, annual report. College Policies. Records system. Confirmed receipt by due date of compliance returns. Number of communications regarding late submissions or non-compliant returns. Records of communications are kept and are accurate. 1.4 Memorandums of understanding (MOUs) and contracts with funding bodies are established and kept current DPA and addendums, minutes of meetings with the Department and contract partners. Annual report. Realistic targets, performance measures and reporting have been negotiated and agreed. Changes are registered as required throughout the year. 1.5 Communication agreement with Minister and Parliamentary Secretary (S74) in place. Communication agreement. Staff responsible for communications are aware of the contents of the agreement. Signed document on file. Total Average – Total score divided by number of elements scored Highlighted Governance Elements are those provided in the Public Sector Commission’s Good Governance Guide Operational Matrix Principle 2: Management and oversight The organisation’s management and oversight is accountable and has clearly responsibilities Governance element Documents/Evidence Indicator Maturity level General comments/achievements/ actions required defined
3.2 Organisational structure fits operations. Organisational structure representation of business units and organisational structure. Eg as shown on recruitment documents and website. A structure outline is available that matches recruitment advertising and representation on websites. 3.3 Operational plan activities are clearly allocated within the organisational structure. Operational plan. Operational plan objectives and KPIs have been clearly aligned with operational units. 3.4 Processes exist to manage structural change and the relationships between business units. Change management policy and processes. Change management policy is used and specifically referred to for organisational change. Records are kept as part of change process. 3.5 Performance measures identify how well the structure delivers against strategic plans. Operational plan. Annual report. Internal reports from program areas Annual report shows acceptable performance against Strategic plans and Business plan KPIs. Internal reports are reviewed and generate responses; there is a cycle of internal reporting and review. Total Average – Total score divided by number of elements scored Principle 4: Operations The organisation plans its operations to achieve its goals Governance element Documents/Evidence Indicator Maturity level General comments/achievements/ actions required 4.1 Policies enable operations to deliver against the agency’s key strategic goals and outcomes. Policy library and registers. Procedures exist to guide the development and review of policies. Policies are reviewed on time. 4.2 Monitoring and acquittal process for the Strategic Plan. Strategic plan and plan for monitoring and review. Strategic plan is reviewed annually and reported to Governing Council. KPIs established. 4.3 Strategic planning framework meets the needs of the College. Strategic Plan and planning for developing the next one. A project plan that includes wide internal and external stakeholder consultation is in place to develop the next strategic plan. 4.4 Agency’s operational plans and programs of work support the agency’s key strategic goals and outcomes and are regularly adjusted to changes in strategic and environmental imperatives. Strategic plan Annual Business plan. Operational plans. The business plan for the year’s operations is used to guide the Colleges decisions. The business plan complies with the Guidelines for Annual Business Plans and is linked to operational plans. Operational plans are reviewed by due date by MD with relevant committee(s). Plans are built into performance management system for staff.
6.5 Process to manage grievances is in place and used. Grievance resolution policy and records. Grievance system reports are available, confidentiality is preserved. 6.6 System is in place to manage workers compensation and rehabilitation. Workers compensation and injury management system and documents. Policies are in place and suitable staff resources or contracted resources are available to rehabilitate staff as required and records kept. Organisation has confidential records of all claims, responses and payments. Incident/accident forms are used and reviewed. 6.7 System is in place to manage leave. Policies and planning documents related to leave. Annual report. Leave is managed, leave balances meet required levels, leave approvals are recorded. 6.8 Change is managed in accordance with policy and industrial agreements to minimise disruption to the College and staff. Change management policy, HR planning. There is evidence that significant change is managed according to Policy and industrial relations agreements. Total Average – Total score divided by number of elements scored Principle 7: Finance The organisation safeguards integrity and accountability Governance element Documents/Evidence Indicator Maturity level General comments/achievements/ actions required 7.1 Finance policies define the key strategic goals and outcomes for which the agency’s finances must be employed. Finance policies and procedures. College’s strategic goals and high level KPIs are incorporated into finance policies. 7.2 A formal audit charter specifies roles and responsibilities, composition and structure of all audit functions. Audit policy and framework documents. Audits are conducted according to the framework and nominated personnel. Audit practice reflects the framework. Audit results are reviewed by the organisation’s executive.
7.3 Processes ensure the proper recording of financial transactions consistent with applicable accounting standards. Financial Management Policy and procedures. Finance manual. Chart of accounts. Manual review log shows the manual is current. Internal audit shows compliance with policies. Chart of accounts is uploaded to the accounting system and is the only source of account coding information. 7.4 Financial operations contribute towards the agency’s key strategic goals and outcomes and uphold the highest level of integrity. Finance policies and procedures. Audit reports. There are processes to assess the management of the finance system in relation to strategic plans. Number of adverse audit findings is low. 7.5 Structured processes are in place to monitor and audit financial performance against budget and key strategic goals, both at executive level as well as by independent audit committee. Finance policies and procedures. Financial Audit and Risk Management (FARM) committee terms of reference. Procedures are used and records maintained as evidence. FARM committee/s established with TOR in place. There is evidence that the committee/s meet and decisions are recorded. 7.6 A framework for managing procurement is in place. Procurement policies. Audit reports. Procurement system in place and evidence the system and policies are used. Procurements are well documented and good standards of probity are adhered to. 7.7 Staff have clear boundaries for financial authority. Incurring officers register. Certifying officers register. CFO position description (JDF) Internal audit shows that the registers are current and there is no evidence that unregistered officers are incurring or certifying. CFO has qualifications that meet the position description requirements. 7.8 Assets are managed to support the organisation and manage loss. Asset register and management policies Documentation identifying responsible officer to allocate assets with a unique asset number. Asset register maintained, audits conducted in accordance with the policy. Responsibility clearly identified. Total Average – Total score divided by number of elements scored