Transcript Slide 1

Delivering change through
effective governance
Care & Repair Cymru
Stephanie Bamford
Thursday 20 September 2012
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Self assessment – a definition
> A comprehensive, systematic and regular review
of an organisation’s activities and results
referenced against a framework
> Allows an organisation to know its strengths and
areas where improvements can be made
> Outcome is planned improvement actions that are
then monitored for progress
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What is self assessment?
> An integral part of the co-regulatory environment
> It can be used to create a strong, local, supporting
evidence base
> It is a useful tool to improve accountability …
> … and service improvement
> Driven and owned by boards
> Strong customer focus
> Expected to be a challenging process
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What is self assessment?
• Key performance areas:
• board structure
• organisational culture
• effective stakeholder engagement
• scrutiny of budgets
• scrutiny of performance
• risk management
• operational policies and procedures
• learning and development
• Informed and reliable conclusions
• Underpinned by strong evidence base
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Self assessment: guiding principles
> Not prescriptive – provides overall frame that
creates wide-ranging challenge, strategic in focus
to support innovation and local circumstance
> Approach and evidence base to be developed
locally – assessable and accessible
> Methods of self assessment and reporting that
best provide accurate evaluation of current
performance and improvement priorities
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Audit
> Compliance against a
standard
> Often done by an
external body or auditor
> Focus is on doing things
right and corrective
action
> Tends to be historical
> Auditor owns evaluation
and feedback report
> Objective is neutral
regarding motivation
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Self assessment
> Positioning against a
framework
> Best done by yourself,
perhaps facilitated by a
specialist
> Focus on strengths and
areas for improvements
> Both historical and forward
looking
> Board owns the process
> Aim is to be motivating for
those involved
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Core principles for effective self assessment
> Active board engagement and ownership
> Engage with customers, staff, key external partners
and stakeholders
> Ensure that assessments of performance are
objective and based on outcomes or end results for
customers
> Provide evidence for your judgments
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Core principles for effective self assessment
> Assess your performance by reference to issues
and services that matter most to your customers
> Consider broader community-based
achievements
> Ensure that improvement priorities are managed
effectively
> Use self assessment as a live tool
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Ensure active board engagement and
ownership of the self assessment
> Should be driven and owned by Boards
> Board oversees, informs and influences the process
> Generate Board level (constructive) challenge
• What assurances does the Board seek?
• Does the SA answer the fundamental questions?
> The Board then takes ownership of the results and the
improvement priorities
> Long term evidence of good governance in practice –
the board is, and stays engaged?
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A few examples of sources of information
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Strategic / corporate plan objectives
Long term business plan and annual budgets
Board appraisal outputs and outcomes
Internal and external audit reports
Performance management and monitoring data
Risk strategy and risk map
Management accounts
Benchmarking and peer review
Feedback from customers, stakeholders and partners
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The benefits of self assessment
> Identifies your organisation’s strengths and
areas for improvement
> Provides a fact based approach to assessing
your organisation and measuring progress
periodically
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So, in summary, self assessment is…
> A process of challenging the way you do things
> A process of self diagnosis leading to better self
awareness
> Closely linked to performance management and
monitoring
> Integral to business planning
> Everyone’s job
> A culture and a way of life
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How do we meet the challenges that lie ahead?
> We need to deliver a strong message around the
governance of agencies
> Care & Repair Cymru has tailored the Governance
Assessment Process for individual agencies in Wales
>Assessment of your governance framework, benchmarked
against the legal, regulatory and best practice requirements
using a customised “first steps” version of the GAP
>“Full specification” version for agencies that require
additional elements based on their individual circumstances
and ambitions
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What is the GAP?
> Nationally recognised and widely endorsed
standard for governance of third sector
organisations
> Independent advice in carrying out a selfassessment of level of governance compliance
> Evidence of compliance with highest standards
of governance and benchmarking
> GAP award and certificate on completion
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The Governance Assessment Process
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Governance Diagnostic
Assessment
Key Areas of Governance
Resources
Competency
Execution
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Pledge
Commitment to Continuous
Governance Improvement
Three Assessment Levels
Compliance
Standard
Enhanced
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The Governance Assessment Process
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Governance
Development Plan
Areas for Development
Timescales
Responsibility
Board Approval
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Governance
Assessment Process
GAP Award
Award Certificate
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Which codes does the GAP cover?
There are over 350 questions in the diagnostic assessment which
capture recommendations from the following codes:
> Care and Repair Standards of Governance
> The UK Corporate Governance Code
> Good Governance: A Code for the Voluntary and Community
Sector
> National Housing Federation Excellence in Governance
> National Operating Standards – Trustee and Management
Committee
> The Good Governance Standard for Public Services
> The Healthy NHS Board – Principles for Good Governance
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How is the GAP relevant to Care & Repair?
> The GAP covers the
Care and Repair
good governance
standards so it
ensures that your
organisation is
meeting the C&R
standards as well as
comparing best
practice across other
sectors and codes
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Context of the GAP
> Over 100 diagnostics completed ranging from large
national charities, housing associations and social
enterprises to local schools, trusts and foundations
> Able to produce a set of statistics which can help
you identify how well your organisation is
performing against current best practice
> Development plan provides a realistic and
prioritised action plan to achieve the highest of
governance standards
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The GAP focuses on:
› The board’s resources
› Does the board have the:
› structures
› processes, and
› tools
› to organise itself effectively to discharge its
functions?
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The GAP focuses on:
› The competency of the board
› individually and collectively
› does the board have the right range of skills and
experiences to set the strategic direction and
uphold the values and objectives of the
organisation?
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The GAP focuses on:
› Execution of board tasks, and
› how the board performs
› how the board ….. discharges its functions
through the successful execution of its activities
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The basic ‘first steps’ version
> Meeting with Chair and Chief Officer to
undertake the diagnostic assessment
> Production of Governance Development Plan
including a SMART improvement action plan
> Liaison with Chair and Chief Officer to agree
final report (including scores benchmarked
against other organisations)
> GAP Certificate (on successful completion)
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The extended ‘full specification’ version
> Meeting with Chair and Chief Officer to undertake
diagnostic assessment
> Production of Governance Development Plan including
SMART improvement action plan
> Agreement of final report and feedback presentation to
board
> Benchmarking report providing detail of selected answers
against other organisations
> Governance Assessment Folder with all documents,
additional resources and marketing advice / brand
guidelines (for use of the ‘kite mark’)
> GAP Certificate and Award
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Continuous improvement
> The GAP offers a process of continuous
improvement via the SMART action plan
> It prioritises improvements and actions to
achieve both ‘quick wins’ and imperative wins
> An added option is reassessment after 2 years
to track progress
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Our contact details
The GAP has been developed by
Karl George of The Governance Forum
For more information please contact
Kate Goodall or Patricia McCabe
0121 643 4745 / 3747
[email protected]
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Thank you for listening
Now it’s your turn
Does anyone have any questions?
And if not, I have some challenges
for you …
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