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Agency Planning Requirements
Requirements for the 2017 planning period
Published by the Department of the Premier and Cabinet
October 2016
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Document Details Security Classification PUBLIC
Date of Review of Security Classification
October 2016
Authority Director-General, Department of the Premier and Cabinet
Author Performance Unit, Department of the Premier and Cabinet
Document Status Working draft Consultation Release Final Version
Contact for enquiries The Performance Unit in the Department of the Premier and Cabinet (DPC) is the custodian of this document. All inquiries regarding this document should be directed in the first instance to:
Performance Unit. Email: [email protected] Tel: 3003 9192.
Acknowledgements This version of the document, Agency Planning Requirements was developed and updated by the Performance Unit, Department of the Premier and Cabinet.
Feedback was also received from staff from within the Department of the Premier and Cabinet and from various agencies. All feedback was greatly appreciated.
Copyright Agency Planning Requirements for the 2017 planning period. Copyright © The State of Queensland (Department of the Premier and Cabinet) 2016
Licence
The Agency Planning Requirements is licensed by the State of Queensland (Department of the Premier and Cabinet) under a Creative Commons Attribution (CC BY) 4.0 International licence. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
Information security This document has been classified using the Queensland Government Information Security Classification Framework (QGISCF) as PUBLIC and will be managed according to the requirements of the QGISCF. See www.qgcio.qld.gov.au.
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Contents
Contents ................................................................................................................................................. 3
Overview – Agency Planning ............................................................................................................... 4
1. Application of the Agency Planning Requirements ................................................................. 4 2. Legal requirement for agency planning ................................................................................... 4 3. Overview of amendments to Agency Planning Requirements for the 2017 planning period .. 4 4. Purpose of agency planning .................................................................................................... 5 5. Connections with whole of government planning (objectives for the community) .................. 7 6. Relationship with Ministerial Charter Letters ........................................................................... 7 7. Relationship between agency plans ........................................................................................ 7 8. Relationship with CEO and Executive Performance and Development Frameworks............. 8 9. Relationship with individual performance plans ...................................................................... 8 10. Responsibility for agency planning .......................................................................................... 8
Strategic Planning ................................................................................................................................. 9
11. What is strategic planning? ..................................................................................................... 9 12. What is a strategic plan? ......................................................................................................... 9 13. Legal requirement for strategic planning ................................................................................. 9 14. Strategic planning process ...................................................................................................... 9 15. Stakeholder consultation ....................................................................................................... 10 16. Minimum information requirements of a strategic plan ......................................................... 11 17. Other information that may be included in a strategic plan ................................................... 13 18. How often do strategic plans need to be reviewed and revised? ......................................... 13 19. Consultation, approval and submission of strategic plans .................................................... 14 20. Publication of Strategic Plan ................................................................................................. 15 21. Publication standards ............................................................................................................ 15 22. Statutory obligation to distribute copies ................................................................................ 16 23. Extensions and exemptions .................................................................................................. 16 24. Relationship with the prioritisation of financial resources (budget process) ......................... 16 25. Relationship with annual reporting ........................................................................................ 17
Operational Planning .......................................................................................................................... 18
26. What is operational planning? ............................................................................................... 18 27. What is an operational plan? ................................................................................................. 18 28. Legal requirement for operational planning........................................................................... 18 29. Stakeholder consultation ....................................................................................................... 18 30. Minimum information requirements of an operational plan ................................................... 18 31. Other information that may be included in an operational plan ............................................ 20 32. How often do operational plans need to be reviewed? ......................................................... 20 33. Approval and submission of operational plans ..................................................................... 20 34. Publication standards ........................................................................................................... 20 35. Extensions and exemptions .................................................................................................. 21 36. Relationship with financial resource allocation (budget process) ......................................... 21 37. Relationship with annual reporting ........................................................................................ 21
Specific Purpose Planning ................................................................................................................. 22
38. What is specific purpose planning? ....................................................................................... 22 39. What is a specific purpose plan? .......................................................................................... 22 40. Legal requirement for specific purpose planning .................................................................. 22 41. Requirements for specific purpose plans .............................................................................. 23 42. Links with other planning documents .................................................................................... 23
Attachment A – Mandatory and discretionary specific purpose planning requirements ............ 24
Attachment B – Independent offices ................................................................................................. 29
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Overview – Agency Planning
1. Application of the Agency Planning Requirements
1.1. The Agency Planning Requirements aim to provide agencies with information for strategic planning, operational planning and other specific purpose planning.
1.2. These requirements apply to Queensland Government agencies including:
- core government departments and statutory bodies (including universities)
- public service offices specified in Schedule 1 of the Public Service Act 2008.
In most cases, the term 'agency' is used in this document to refer to departments, statutory bodies and public service offices.
When necessary throughout this document, requirements are marked as to which apply specifically to departments only, or statutory bodies only.
These requirements do not apply to Government Owned Corporations (GOCs) or their controlled entities.
2. Legal requirement for agency planning
2.1. Division 2 of the Financial and Performance Management Standard 2009 (FPMS) relates to planning processes. Accountable officers and statutory bodies are accountable for ensuring that the agency's planning processes comply with the provisions of the legislation.
2.2. Section 9 of the FPMS states that accountable officers and statutory bodies must comply with the Agency Planning Requirements when developing strategic and operational plans.
More information: - Financial and Performance Management Standard 2009
http://www.legislation.qld.gov.au/Acts_SLs/Acts_SL_F.htm
3. Overview of amendments to Agency Planning Requirements for the 2017 planning period
3.1. Agencies are encouraged to review this document in its entirety to ensure statutory and policy requirements for planning are met.
Specific changes for the 2017 planning period Strategic risks and opportunities Section 16.7 has been modified to provide greater clarity around requirements, and to include a requirement to identify opportunities.
Operational risks and opportunities Section 30.2 has been modified to include a requirement to identify opportunities.
Queensland Disaster Management Arrangements Under section 30.7 departments are now required to outline their commitment to disaster response and/or recovery in their operational plan/s.
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Attachment A – Mandatory and discretionary specific purpose planning requirements
- Cultural Capability Action Plan The Aboriginal and Torres Strait Islander Cultural Capability Framework requires agencies to have current Cultural Capability Action Plans made available annually for the preparation of a whole-of-Government report.
- Disability Services Plan Agencies should note a new State Disability Plan for 2017–19 is being developed and will be published by the end of 2016.
- Workforce Plans Additional information is included to clarify that plans should address current and future workforce matters such as inclusion and diversity, flexible working, and domestic and family violence.
4. Purpose of agency planning
4.1. Section 7 of the FPMS requires that each accountable officer and statutory body must ensure a governance framework appropriate, for the agency, is established.
Effective planning, measuring and monitoring performance and public reporting are key elements of any governance framework and address:
- openness and transparency: having clear roles and responsibilities, and clear procedures for making decisions and exercising power
- integrity: acting impartially, ethically and in the interests of the agency
- accountability: being answerable for decisions and having appropriate mechanisms in place to ensure the agency adheres to all applicable standards
- due care: degree of care expected to be exercised to avoid harm in the circumstances, or alternatively, the absence of negligence
- public defensibility: activities and decisions are open to reasonable scrutiny and can withstand a ‘public defensibility’ test in the context of fairness, equity and ‘value for money’.
4.2. Planning is an integral component of the Queensland Government Performance Management Framework (PMF), and is recognised as the starting point in any strategic management cycle (see Figure 1: Elements of the Queensland Government Performance Management Framework).
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Figure 1: Elements of the Queensland Government Performance Management Framework
Community Expectations / Scrutiny
Planning Measuring and
Monitoring Performance
Public Reporting
Whole of Government • Government’s statement
of objectives for the community
• The Queensland Plan • Charter of Fiscal
Responsibility • State Budget • COAG plans and
agreements • Specific purpose plans
for Government priorities and strategies
Agencies • Strategic plans • Operational plans • Service Delivery
Statements • Agency budget •Specific purpose plans
Whole of Government • Government
commitments and decisions (including COAG)
• Government priorities and strategies
• Government financial position
Agencies • Objectives and
performance indicators • Monitoring actual
expenditure compared to budget
• Service areas and service standards
• Capabilities (human, financial, information, physical assets and ICT) and business processes
• Policy implementation and evaluation
Whole of Government •Regular reporting on
achievement of government commitments
•Report on State Finances •Mid-year Fiscal and
Economic Review
•Queensland State Accounts
•Reports on specific purpose plans for Government priorities and strategies
Agencies • Annual reports • Service Delivery
Statements
Individuals • Ministerial Charter
Letters • Chief Executive (CEO)
Performance Agreements (PAs)
• Senior Executive (SE) PAs
• Individual public service officer PAs
Individuals • Ministerial Charter Letter
priorities • CEO Performance
Agreement objectives • SE Performance
Agreement objectives • Individual public service
officer performance agreement objectives
Independent Scrutiny / Reporting
• Auditor-General reports • Parliamentary
Committee reports • Reports by other
independent bodies including the Queensland Ombudsman, Coroner and Crime and Corruption Commission
• Report on Government Services (Commonwealth Productivity Commission)
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5. Connections with whole-of-Government planning (objectives for the community)
5.1. The intent is that agency plans must collectively deliver on the government’s objectives for the community (see also section 10 of the Financial Accountability Act 2009).
5.2. The Queensland Plan Act 2014 (section 10) requires that departments must ensure their policies and programs, and the services delivered by the department are consistent with the strategic direction of the Government response to The Queensland Plan.
5.3. From time to time the Government will release whole-of-Government specific purpose plans or strategies to address a particular issue. Information on the connection to whole-of-Government planning and agency strategic plans is provided in section 16.3.
5.4. At least annually, agencies should conduct an extensive review of whole-of-Government plans and strategies to ensure alignment with these documents.
More information: - Government’s objectives for the community
http://www.premiers.qld.gov.au/publications/categories/plans/governments-objectives-for-the-community.aspx
- Financial Accountability Act 2009 http://www.legislation.qld.gov.au/Acts_SLs/Acts_SL_F.htm
- A Guide to the Queensland Government Performance Management Framework http://www.premiers.qld.gov.au/publications/categories/guides/perf-manage-framework.aspx
6. Relationship with Ministerial Charter Letters
6.1. Each Minister and Assistant Minister has a Charter Letter that sets out their responsibilities in relation to whole-of-Government priorities and government commitments.
6.2. The Premier meets regularly with each Minister, Assistant Minister and relevant Directors-General to monitor progress on the delivery of priorities and commitments and to discuss new and emerging issues and risks facing the portfolio.
6.3. Agencies should ensure the priorities from the relevant Ministerial Charter Letter are reflected in its plans where appropriate. Agencies should regularly assess progress of priorities in the Charter Letter to ensure new and emerging issues and risks are incorporated in agency planning processes.
More information: - Ministerial Charter Letters
http://www.cabinet.qld.gov.au/ministers/charter-letters.aspx
7. Relationship between agency plans
7.1. The planning framework within agencies should ensure all services and business area operational plans and specific purpose plans support the agency’s strategic plan.
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8. Relationship with CEO and Executive Performance and Development Frameworks
For departments: 8.1. The Chief Executive Officer (CEO) Performance Framework and the
Executive Performance and Development Framework are managed by the Public Service Commission.
8.2. A Balanced Scorecard approach is used for these frameworks and supports the strategic planning process undertaken by departments. This consistent approach to performance is designed to be cascaded throughout an organisation to support aligned operational, team-based and individual performance planning.
More information: - Executive Performance and Development Frameworks, Public Service
Commission https://www.qld.gov.au/gov/review-employee-performance
9. Relationship with individual performance plans
9.1. The agency’s strategic plan should be translated into operational terms through the agency’s operational planning process (refer to section 30). This then forms the foundation for the development of individual performance plans within the business areas of an agency.
9.2. By adopting this approach individuals within an agency should be able to link their performance to the objectives and strategies in the agency strategic plan.
10. Responsibility for agency planning
10.1. Planning is the responsibility of everybody within an agency. To plan effectively, responsibility should not rest solely with planning officers. The role of planning officers is to facilitate the development of the strategic plan and operational plans.
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Strategic Planning
11. What is strategic planning?
11.1. Strategic planning is an ongoing organisational process that helps agencies identify their objectives, the strategies they can implement to achieve them and the performance indicators to measure how well their outcomes achieved their objectives.
11.2. Strategic planning involves leadership and decision-making about resources, priorities and timeframes.
11.3. The purpose of strategic planning is to:
- describe the vision (strategic direction) of the agency
- identify the agency’s purpose
- demonstrate how the agency objectives will contribute to the achievement of the whole-of-Government direction (objectives for the community, priorities and strategies)
- describe strategies to make the agency’s vision a reality
- determine how the objectives will be measured (performance indicators)
- identify key strategic risks and opportunities for the agency.
11.4. The strategic plan should clearly articulate an agency’s direction to staff, customers and other stakeholders and set the parameters for operational plans.
12. What is a strategic plan?
12.1. A strategic plan is a concise document used by an agency to describe its vision, purpose, objectives, performance indicators, and key strategic risks and opportunities.
12.2. There are no standard templates for the layout of strategic plans. However, strategic plans should be concise and ideally kept to a maximum of two pages.
13. Legal requirement for strategic planning
13.1. Section 9 of the FPMS requires each accountable officer and statutory body to develop a strategic plan for the agency to cover a period of four years.
13.2. There is no legal requirement for Ministers to approve strategic plans. However, ministerial consultation is recommended (refer to section 19).
More information: - Financial and Performance Management Standard 2009
http://www.legislation.qld.gov.au/Acts_SLs/Acts_SL_F.htm
14. Strategic planning process
14.1. An agency’s strategic planning process should:
- reflect on what has happened in the past, focussing on performance against objectives
- scan the internal and external environments for factors likely to influence the future agency business direction
- determine what objectives it should appropriately and realistically aim to achieve during the planning horizon
- determine how the agency will achieve its objectives including the resources required
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- determine how outcomes will be measured and reported
- re-evaluate strategic risks and risk management strategies.
More information: - PMF Reference Guide - Strategic planning toolkit (refer to Generic strategic
planning process) http://www.premiers.qld.gov.au/publications/categories/plans/planning-requirements.aspx
15. Stakeholder consultation
15.1. Departments and statutory bodies that are published in the Service Delivery Statements must consult with both the Department of the Premier and Cabinet (DPC) and Queensland Treasury (QT) on their draft strategic plans (refer to section 19 for consultation process and timeframes). All other statutory bodies may consult with DPC and QT on their draft strategic plan (refer to section 19 for consultation process and timeframes).
Independent offices (listed in Attachment B – Independent offices) must consult with QT and their responsible Parliamentary Committee on their draft strategic plan (refer to section 19 for consultation process and timeframes).
15.2. Thorough and early consultation on an agency’s draft strategic plan with both DPC and QT will:
- assist agencies in the development of appropriate objectives and performance indicators which are consistent with the whole-of-Government direction and current policy focus of government
- ensure the plan does not publicly commit government to initiatives that have not received the appropriate approvals and funding.
15.3. Agencies should also undertake consultation on their draft strategic plans with:
- agency staff
- customers
- stakeholders (including other agencies, other levels of government and other organisations)
- for statutory bodies, their portfolio department
- partners in service delivery and any other group required by legislation or by these Requirements, for example, for statutory bodies, with their Board (refer to section 19.4).
15.4. Engagement with stakeholders can be achieved through surveys, one-on-one meetings and multi-stakeholder consultations such as focus groups.
15.5. Consultation:
- helps to challenge traditional thinking and can spark creativity in problem solving
- can assist with informing and managing stakeholder expectations
- provides good governance, transparency and open communication.
15.6. Following consultation, agencies should incorporate feedback in their strategic plan where relevant and appropriate.
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More information: - The publication Engaging Queenslanders: Community engagement in the
business of government provides information on engagement during the strategic planning process. http://www.qld.gov.au/web/community-engagement/guides-factsheets/business-government/index.html
16. Minimum information requirements of a strategic plan
16.1. Agency vision A vision statement describes what the agency aspires to be by reflecting on how it wishes to be perceived by customers, stakeholders and the community. This statement takes into account the current status of the agency and outlines its future direction.
16.2. Agency purpose The agency’s purpose specifies the overall aim of the agency – a simple statement of the agency’s reason for being.
16.3. Relationship with/contribution to the Government’s objectives for the community The strategic plan must be developed in the context of the Government’s objectives for the community and must clearly demonstrate how the agency contributes to the Government’s objectives for the community.
It is not a requirement for all of the Government’s objectives for the community to be referenced in a strategic plan, only those the agency directly contributes to.
The relationship depicted in the strategic plan should be consistent with subsequent representations in an agency’s Service Delivery Statement (contextual information) and annual report. Independent offices (refer to Attachment B – Independent offices) must consider the context of and be consistent with the Government’s objectives for the community in the development of their strategic plan.
More information: - Government’s objectives for the community
http://www.premiers.qld.gov.au/publications/categories/plans/governments-objectives-for-the-community.aspx
16.4. Agency objectives Agency objectives are the effects or impacts that an agency seeks to have on its customers, stakeholders, or the community and should collectively contribute to the whole-of-Government direction (Government’s objectives for the community, priorities and strategies).
Agency objectives should be focused statements of what the agency intends to achieve and be clear and measurable.
Departments must consider national commitments including Council of Australian Government (COAG) and other cross jurisdictional commitments, and align their objectives to the national objectives where appropriate. Strategic plans should not include a specific section on these initiatives and do not need to include reference to these arrangements or agreements.
16.5. Performance indicators Performance indicators measure the extent to which the outcomes achieved by an agency are meeting its objectives. Agencies are encouraged to develop and set performance targets for performance indicators where possible.
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Departments responsible for the delivery of performance indicators in COAG agreements must be able to clearly align these indicators and/or targets with their performance indicators in their strategic plan.
Performance indicators included in an agency’s strategic plan must be consistent with those reported against in an agency’s subsequent annual report.
Agencies should develop a ‘data dictionary’ for the performance indicators in the strategic plan to document the attributes of each performance indicator, what each performance indicator means, and what the limitations are.
16.6. Strategies Strategies state the ways in which the agency intends to achieve its objectives and contribute to the Government’s objectives for the community.
Strategies included in a strategic plan would generally be longer term strategies that are pursued over a number of years.
16.7. Strategic risks and opportunities The strategic plan must identify key strategic risks and/or critical issues for the agency to achieve its vision and purpose. Strategic risks may be related to external factors and/or strategic risks internal to government.
As a general rule it is suggested that plans focus on the agency’s top five strategic risks. The likely cause and effect of each strategic risk needs to be clearly identified.
The internal controls countering the impact of identified strategic risks need to be managed with the agency’s business processes.
The strategic plan must also clearly identify key opportunities for the agency. Again it is suggested that a maximum of five be identified. These may or may not be linked to identified strategic risks. Where there is a link to identified risks this should be made explicit.
16.8. Timeframe Strategic plans must cover a period of four years and the timeframe to be covered by the plan must be clearly stated.
Refer to section 18 and 19 for further information on timeframes for reviewing and revising strategic plans.
More information: - A Guide to the Queensland Government Performance Management
Framework http://www.premiers.qld.gov.au/publications/categories/guides/perf-manage-framework.aspx
- PMF Reference Guide - Strategic planning toolkit http://www.premiers.qld.gov.au/publications/categories/plans/planning-requirements.aspx
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17. Other information that may be included in a strategic plan
17.1. Service areas, services and service standards Agencies must include information regarding service areas, services and service standards in operational plans. However, agencies may also wish to include high-level information regarding service areas in strategic plans.
More information: - A Guide to the Queensland Government Performance Management
Framework. http://www.premiers.qld.gov.au/publications/categories/guides/perf-manage-framework.aspx
17.2. Values Values are the beliefs that are shared among the staff of an agency. They are the foundation of an agency’s culture, and assist to guide operations, decision-making and staff behaviour. Values must be consistent with the public sector ethics principles and approved codes of conduct. Agencies are strongly encouraged to highlight the five public sector values and their supporting behaviours in their strategic plan.
More information: - Public Sector Values https://www.qld.gov.au/gov/our-values
18. How often do strategic plans need to be reviewed and revised?
18.1. Agencies must review their strategic plan each year.
18.2. Agencies should conduct a comprehensive review at least every four years (i.e. in the third year of the plan).
18.3. The annual review of the strategic plan allows agencies to identify the extent of changes to the internal and external environment. If the agency considers these to be significant, the strategic plan should be updated.
18.4. The annual review of an agency’s strategic plan should:
- review progress towards achievement of the agency objectives and identify any changed conditions, needs or priorities that would require the plan to be adjusted
- compare the agency’s planned performance for the year (i.e. target/estimate) with actual performance achieved. Differences between planned (target) and actual performance should be analysed to determine where improvements could be made in future planning (for example, resource allocation, projected timeframes for the completion of projects)
- confirm the agency remains aligned to the whole-of-Government direction by assessing progress towards the whole-of-Government direction (government’s objectives for the community, priorities and strategies)
- identify any new or emerging strategic risks and opportunities that may impact on agency performance and future planning
- assess whether the plan still has meaning and provides direction to staff, customers and other stakeholders.
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19. Consultation, approval and submission of strategic plans
For departments: 19.1. Central agency consultation
Departments must undertake consultation with the Department of the Premier and Cabinet (DPC) and Queensland Treasury (QT) (refer to section 15.1) on their draft strategic plan before it is published.
Departments must submit a consultation draft strategic plan, approved by their Director-General, to the Performance Unit in DPC (via email to [email protected]) by 31 March each year.
DPC will circulate a copy of the consultation draft to the relevant DPC Portfolio Contact Officer(s) and Treasury Analyst(s) and will provide collated central agency feedback to departments within 10 business days.
This process is mandatory, regardless of whether the changes to the strategic plan are considered significant or minor. If a department has reviewed its strategic plan and determined that no change is necessary, the department must advise the Performance Unit in DPC (via email to [email protected]) by 31 March each year.
19.2. Ministerial consultation Departments should consult with their Minister(s) and submit a final draft strategic plan approved by their Director-General before publication.
For statutory bodies: 19.3. Central agency consultation
Statutory bodies that are published in the SDS For those statutory bodies that are published in the Service Delivery Statements, it is mandatory to consult with central agencies on their draft strategic plans (refer to section 15.1).
A consultation draft strategic plan, approved by the CEO (or Board) must be submitted to the Performance Unit in DPC (via email to [email protected]) by 31 March each year.
DPC will circulate a copy of the consultation draft to the relevant DPC Portfolio Contact Officer(s) and Treasury Analyst(s) and will provide collated central agency feedback to statutory bodies within 10 business days.
This process is mandatory, regardless of whether the changes to the strategic plan are considered significant or minor. If a statutory body has reviewed its strategic plan and determined that no change is necessary, the statutory body must advise the Performance Unit in DPC (via email to [email protected]) by 31 March each year.
All other statutory bodies For all other statutory bodies, it is not mandatory to undertake central agency consultation, however it is encouraged.
19.4. Ministerial consultation
It is not a mandatory requirement for statutory bodies to submit their strategic plan to their Minister(s) for consultation, however it is encouraged.
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19.5. Submission to the Board A final strategic plan must be submitted to the Board of the statutory body for approval with a covering submission outlining any major policy changes and consequential resource implications.
Statutory bodies should also refer to any applicable administering legislation for any legislated approval processes that take precedence to these Agency Planning Requirements.
For independent offices (refer to Attachment B – Independent offices) 19.6. Central agency consultation
Independent offices must consult with QT on their draft strategic plan (refer to section 15) before it is published.
A consultation draft strategic plan, approved by the CEO (or Board) must be submitted to QT by 31 March each year.
This process is mandatory, regardless of whether the changes to the strategic plan are considered significant or minor. If an independent office has reviewed its strategic plan and determined that no change is necessary, the independent office must advise QT by 31 March each year.
19.7. Submission to Parliamentary Committee Independent offices must consult with their responsible Parliamentary Committee on their draft strategic plan (refer to section 15) before it is published.
A consultation draft strategic plan, approved by the CEO (or Board) must be submitted to the relevant Parliamentary Committee by 31 March each year.
This process is mandatory, regardless of whether the changes to the strategic plan are considered significant or minor. If an independent office has reviewed its strategic plan and determined that no change is necessary, the independent office must advise their Parliamentary Committee by 31 March each year.
20. Publication of Strategic Plan
For departments: 20.1. The final strategic plan (approved by the Director-General) must be
published on the department’s website by 1 July each year (refer to section 21).
For statutory bodies / independent offices: 20.2. The final strategic plan (approved by the CEO/Board) must be published
on the statutory body or independent office website by 1 July each year (refer to section 21). Statutory bodies and independent offices should refer to any applicable administering legislation for any legislated timeframes that take precedence to these Agency Planning Requirements.
21. Publication standards
21.1. Strategic plans are to be published online only.
21.2. The Ministerial guideline for publications schemes and disclosure logs (issued for the purposes of the Right to Information Act 2009) requires agencies to publish strategic plans under their Publication Scheme.
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If a member of the public is unable to access the plan electronically, a hard copy of the document should be provided at no cost in accordance with Information Standard 33 – Information Access and Use.
21.3. If a strategic plan has been reviewed but is not being updated, the following text should be included on the website: This strategic plan was reviewed [insert month and year] and remains current.
21.4. Agencies should ensure the strategic plan relating to the most current annual report remains accessible from the agency’s website for as long as the annual report remains current.
21.5. For departments, strategic plans are listed centrally at http://www.qld.gov.au/about/staying-informed/reports-publications/annual-reports/. If the website address for the department’s strategic plan has changed, the new link should be emailed to [email protected].
22. Statutory obligation to distribute copies
22.1. Under the Libraries Act 1988, agencies are required to provide a copy of their strategic plan for legal deposit to the State Library of Queensland as it is an official publication (not a public record). An electronic copy of the agency’s strategic plan should be emailed to the State Library of Queensland (Legal Deposit Unit) or deposited via the self- deposit Wizard at http://www.slq.qld.gov.au/resources/publishers/legal-deposit/wizard.
Legal Deposit State Library of Queensland Contact: (07) 3840 7852 Email: [email protected]
23. Extensions and exemptions
23.1. Only in extreme circumstances will an extension or exemption to the requirement to prepare and publish a strategic plan be granted (for example, agencies that have been affected by changes to administrative arrangements may need additional time to facilitate a productive planning process).
23.2. Prior to an agency writing to the Treasurer to request for an extension or exemption from the planning requirements under the FPMS, agencies must initially consult with the Performance Unit in DPC (by email at [email protected] or on telephone 07 3003 9192).
23.3. In considering a request for an extension or exemption from planning and performance management processes, the Treasurer must consult with the Premier and the Auditor-General (Financial Accountability Act 2009, section 59).
24. Relationship with the prioritisation of financial resources (budget process)
24.1. Strategic planning informs the prioritisation of financial resources including:
- the agency’s budget strategy
- budget submissions to the Cabinet Budget Review Committee (CBRC) in the State Budget process or throughout the year.
If the agency’s internal environment significantly changes due to a CBRC funding decision, the strategic plan should be reviewed (refer to section 18).
More information: - State Budget
http://www.budget.qld.gov.au/
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- Overview of Queensland’s Financial Accountability Framework https://www.treasury.qld.gov.au/publications-resources/overview-qld-financial-accountability-framework/overview-qld-financial-accountability-framework.pdf
25. Relationship with annual reporting
25.1. The strategic plan describes the agency objectives and how it will know if it has achieved those objectives (i.e. performance indicators). The extent to which these objectives are achieved (results or outcomes) is disclosed in an agency’s annual report.
More information: - Annual Report Requirements for Queensland Government Agencies
http://www.premiers.qld.gov.au/publications/categories/guides/annual-report-guidelines.aspx
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Operational Planning
26. What is operational planning?
26.1. Operational planning is a process which focuses on answering the question, ‘How will we deliver our services?’
27. What is an operational plan?
27.1. An operational plan is a subset of an agency’s strategic plan. It must cover a period of one year and should describe short-term activities and/or milestones that contribute to the implementation of an agency’s objectives.
27.2. A ‘continuous improvement’ philosophy should guide the operational planning-process design. There is no set operational planning process that agencies must follow.
27.3. There are no standard templates for the layout of agency operational plans. Operational plans should be developed in a way that best suits the business area responsible for delivering the plan.
28. Legal requirement for operational planning
28.1. Section 9 of the FPMS requires each accountable officer and statutory body to develop operational plans for relevant business areas, or an operational plan for the whole agency to cover a period of not more than one year.
More information: - Financial and Performance Management Standard 2009
http://www.legislation.qld.gov.au/Acts_SLs/Acts_SL_F.htm
29. Stakeholder consultation
29.1. Consultation with staff and stakeholders of the services to which the plan relates is recommended.
29.2. Following consultation, feedback should be incorporated where relevant and appropriate.
30. Minimum information requirements of an operational plan
30.1. Relationship with agency strategic plan The agency’s operational plan(s) must be developed to deliver on the agency’s objectives in its strategic plan. Agencies should be able to demonstrate how all plans prepared by the agency relate to each other.
The operational plan(s) should outline how the agency will contribute to delivering its services over the year to support the delivery of the agency’s objectives within the allocated budget.
There is no prescribed format for representing this relationship.
30.2. Operational risks and opportunities The agency’s operational plan(s) must consider the potential impact operational risks and opportunities may have on the agency’s service delivery, including how these risks will be managed or mitigated and opportunities realised.
30.3. Service Areas and Services Services are sets of activities that deliver outputs and result in outcomes for customers and other stakeholders. Ideally, services generate benefits for customers and stakeholders and as a result, are valued by them.
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30.4. Performance information Details about the performance information should be included in operational plan(s). These should be regularly monitored throughout the year to determine how the agency is performing.
There should be a clear line of sight between the performance information in the strategic plan and the operation plan(s).
30.5. Operational strategies / projects or activities Strategies are the way in which an agency intends to pursue its objectives, deliver its services and assist in achieving the whole-of-Government direction.
Strategies included in an agency’s operational plan(s) would generally be shorter term ‘operational’ strategies that are pursued over a one year or less timeframe and would cascade down from the strategies outlined in the agency’s strategic plan.
30.6. Alignment with specific purpose plans Alignment with specific purpose plans of the agency, for example the ICT resource strategic plan, should be detailed in the operational plan(s) where relevant (refer to section 42 and Attachment A – Mandatory and discretionary specific purpose planning requirements for more information).
30.7. Queensland Disaster Management Arrangements (QDMA) Departments must outline their commitment to the QDMA in their operational plan(s), including response and/or recovery preparations during and following a disaster.
More information: - Queensland Disaster Management Arrangements http://www.disaster.qld.gov.au/About_Disaster_Management/DM_arrangments.html
30.8. Timeframe Agency operational plan(s) must cover a period of one year and clearly state the timeframe of the plan.
More information: - A Guide to the Queensland Government Performance Management
Framework http://www.premiers.qld.gov.au/publications/categories/guides/perf-manage-framework.aspx
- Attachment A – Mandatory and discretionary specific purpose planning sets out the existing mandatory and discretionary types of planning.
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31. Other information that may be included in an operational plan
31.1. Other information that may be included in an operational plan includes:
- the outputs sought from the services
- the capabilities and processes necessary to deliver the services
- the parts of the agency that are accountable for delivery of the services
- the budget for the delivery of the services
- the projects and programs planned to improve those services
- what the plan is required to comply with (i.e. legislation, regulation, standards set by the government, agency or industry)
- how the agency and/or business area will maintain and improve its capability to deliver services
- how the business area relates to, or works with, other areas of the agency
- other specific information and/or requirements of the area (such as identification of key stakeholders).
32. How often do operational plans need to be reviewed?
32.1. Operational plans should be evaluated and/or reviewed at least every six months.
32.2. The review of the operational plan(s) should:
- review achievements and contributions to agency objectives and identify any changed conditions, needs or priorities that result in a need to adjust the plan
- compare the agency’s planned performance (i.e. target/estimate) with actual performance achieved. Differences between planned (target) and actual performance should be analysed to determine where improvements could be made in future planning (for example, resource allocation, projected timeframes for the completion of projects)
- identify any new or emerging operational risks and opportunities that may impact on performance and future planning
- re-assess whether the plan(s) still have meaning and provide the appropriate level of direction to business areas and individual staff.
33. Approval and submission of operational plans
33.1. Operational plans must be endorsed by the relevant delegated officer within an agency.
33.2. Once approval has been received, operational plans should be implemented from 1 July each year (refer to section 34).
34. Publication standards
34.1. Operational plans should be communicated and made available to staff within the agency.
34.2. To determine if an operational plan should be published an agency should refer to their publication scheme and to the Right to Information Act 2009 (in particular Schedule 3 which sets out the exemptions under the Act) and/or consult with the agency’s Right to Information area.
34.3. As a matter of process, operational plans should be made available to stakeholders who are particularly interested in an agency’s service delivery (such as non-government organisations, construction industry, outsourced providers etc).
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35. Extensions and exemptions
35.1. There is no legislative or administrative extension or exemption process for agency operational plans.
36. Relationship with financial resource allocation (budget process)
36.1. An agency’s internal budget process commits resources for strategies, activities and projects detailed in its operational plan(s) to support the delivery of the agency’s strategic plan.
More information: - State Budget
http://www.budget.qld.gov.au/
37. Relationship with annual reporting
37.1. An agency’s annual report must disclose performance information about the agency’s services and information may be sourced from operational plans.
More information: - Annual Report Requirements for Queensland Government Agencies
http://www.premiers.qld.gov.au/publications/categories/guides/annual-report-guidelines.aspx
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Specific Purpose Planning
38. What is specific purpose planning?
38.1. From time to time, Government will release whole-of-Government plans or strategies to address a particular issue. Specific purpose planning focuses on addressing these areas of high strategic importance.
38.2. Specific purpose planning often crosses organisational and structural boundaries and can be implemented at the whole-of-Government or across multiple agencies with specific strategic interest (an example is emergency management planning which is led by one agency and involves a number of others).
38.3. Specific purpose planning can also occur at the agency level in areas such as finance, information technology, human resources and physical assets. Examples of specific purpose planning include corporate procurement planning, workforce planning and waste reduction and recycling planning.
38.4. Specific purpose planning can occur on an annual or ongoing basis depending on specific policy and/or legislative requirements.
38.5. This section of the Agency Planning Requirements relates to specific purpose planning at the agency level only.
39. What is a specific purpose plan?
39.1. A specific purpose plan focuses on an area of strategic importance to an agency and should be aligned with the agency’s strategic and operational plan(s).
39.2. Agencies should consult with the policy owner responsible for the specific purpose planning requirement and refer to any guidance material developed by the policy owners.
More information: - Attachment A – Mandatory and discretionary specific purpose planning sets
out the mandatory and discretionary requirements for specific purpose plans and links to supporting documentation.
40. Legal requirement for specific purpose planning
40.1. Section 61(e) of the Financial Accountability Act 2009 requires that accountable officers and statutory bodies undertake planning appropriate to the size of the department or statutory body.
40.2. Those specific purpose plans that are mandatory will be governed by legislation specific to those plans or the agency that has ownership of the policy from a whole-of-Government perspective.
40.3. Discretionary specific purpose planning is generally considered to be better practice for agencies to develop and adopt these plans to improve agency performance and ensure greater alignment to the whole-of-Government direction (government’s objectives for the community, priorities and strategies).
More information: - Financial Accountability Act 2009
http://www.legislation.qld.gov.au/Acts_SLs/Acts_SL_F.htm
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41. Requirements for specific purpose plans
41.1. The individual requirements for specific purpose plans are not within the scope of the Agency Planning Requirements.
41.2. The policy owners for the various types of mandatory and discretionary specific purpose planning requirements generally publish comprehensive guidance material to support development of specific purpose plans.
More information: - Attachment A – Mandatory and discretionary specific purpose planning sets
out mandatory and discretionary specific purpose plans and links to supporting documentation.
42. Links with other planning documents
42.1. Specific purpose plans should be consistent with the agency’s strategic plan, and operational plan(s) and Service Delivery Statement (if applicable).
42.2. Agencies should be able to demonstrate how all plans prepared by the agency relate to each other. This includes, the relationship between objectives set in specific purpose plans with agency strategic and operational plan(s), as well as the alignment of performance information.
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Attachment A – Mandatory and discretionary specific purpose planning requirements This is an approved list of mandatory and discretionary specific purpose planning requirements for Queensland Government agencies. Lead agencies proposing to add or change requirements for mandatory and/or discretionary specific purpose planning should undertake consultation with the Performance Unit in DPC. Any proposed new or changed mandatory planning requirements should then be submitted to the Director-General of DPC or Cabinet for consideration.
Mandated planning
(requirements to produce specific purpose plans under specific legislation and/or government policy)
Agency Cultural Capability Action Plan
The Queensland Government endorsed the Aboriginal and Torres Strait Islander Cultural Capability Framework in June 2015 to build the cultural capability across Queensland Government departments. The Queensland Cultural Capability Framework is the Government’s overarching policy for improved service delivery to Queensland’s Aboriginal and Torres Strait Islander peoples. Agencies are required to have a current Cultural Capability Action Plan. Each agencies’ plan is to be available on the Queensland Cultural Capability Portal. Agencies are to submit six-monthly reports on the implementation of their plan. A whole-of-Government report will be prepared by the Department of Aboriginal and Torres Strait Islander Partnerships at the end of each reporting period. http://datsima.govnet.qld.gov.au/datsimagovnet/about-cultural-capability/action-plans
Agency Procurement Plan and Significant Procurement Plan
The Queensland Procurement Policy is the Government’s overarching policy for the procurement of goods and services, including construction. Agencies are required to comply with this policy for procurement planning. The policy states that Queensland Government procurement planning consists of the State Procurement Plan, state category strategies/plans (also known as mega-category plans), agency procurement plans and significant procurement plans for individual procurements which are identified by an agency as being high expenditure and/or for which there is a high degree of business risk. http://www.qld.gov.au/procurement
Queensland Counter-Terrorism Strategy 2013-18
Queensland Counter-Terrorism Committee (QCTC) member departments will translate the Queensland Counter-Terrorism Strategy 2013–18 into specific initiatives and performance measures. This Strategy will guide the efforts of Queensland agencies to work collaboratively with other Australian governments, the business sector and the wider community to implement and give effect to comprehensive plans and arrangements that exist to counter the terrorism threat. The QCTC manages this requirement through the Queensland Police Service and can be contacted by email at [email protected].
Disability Service Plan
The Disability Services Act 2006 (section 221) requires that departments develop and implement Disability Service Plans (DSP) at least once every three years. The purpose of a DSP is to improve access to government
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services by people with a disability. DSP’s must be published on each department’s website. www.communities.qld.gov.au/gateway/reform-and-renewal/disability-services/queensland-government-disability-plans/queensland-government-disability-service-plans
ICT resources strategic plan (and ICT work plan)
The Queensland Government Enterprise Architecture Policy – ICT resources strategic planning (IS2) requires that departments and Queensland Government ICT service providers use the Queensland Government ICT Planning Methodology to provide a consistent and evidence based approach for ICT resources strategic planning. The ICT resources strategic plan must be complemented by an ICT work plan (as per the Queensland Government Enterprise Architecture ICT profiling standard) that provides more detail on current and planned activities and change initiatives, including cost and resources. The ICT work plan must also incorporate the department’s information management initiatives, in accordance with the Queensland Government Enterprise Architecture Policy - Information governance. http://www.qgcio.qld.gov.au/products/qgea-documents
ICT asset disaster recovery plan
The Queensland Government Enterprise Architecture, Information Standard 18 – Information Security (IS18) requires that agencies have documented plans in place to enable information and ICT assets to be restored or recovered in the event of a disaster or major security failure. http://www.qgcio.qld.gov.au/products/information-security
Information Security Plan
The Queensland Government Enterprise Architecture, Information Standard 18 – Information Security (IS18) requires that agencies must recognise the importance of, and demonstrate a commitment to, maintaining a robust information security environment. A clear direction must be provided through the development and implementation of an information security policy and an information security plan. http://www.qgcio.qld.gov.au/products/information-security
Risk Management System
The Financial Accountability Act 2009 (section 61) requires each accountable officer and statutory body to maintain an appropriate risk management system. A risk management framework integrated with other agency processes, such as strategic planning is one of the factors that contribute to the success of risk management throughout an agency. A Guide to Risk Management sets out the minimum principles and procedures of a basic risk management process. The guide is not mandatory, however application of the guide will encourage better practice. http://www.treasury.qld.gov.au/office/knowledge/docs/risk-management-guide/index.shtml Australian/New Zealand Standard (AS/NZS ISO 31000:2009) Risk management - Principles and guidelines provides a generic guide for managing risk. This standard may be applied to a very wide range of activities, decisions or operations of any public, private or community enterprise, group or individual. http://www.riskmanagement.com.au The Queensland Plan for the Protection of Government Assets from Terrorism (GAP Plan) requires that agencies include risks associated with terrorism as part of their normal risk management processes and arrangements. http://www.safeguarding.qld.gov.au/govassets/index.htm
Strategic Maintenance Plan
The Maintenance Management Framework requires all departments that control or administer buildings and have responsibility for maintenance as part
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of the overall asset management of their portfolio develop a Strategic Maintenance Plan. Further guidance for developing strategic maintenance plans and the key elements of such plans is available in the guideline Building Maintenance Policy, Standards and Strategy Development (part of the Maintenance Management Framework). http://www.hpw.qld.gov.au/SiteCollectionDocuments/MMFBmp.pdf
Waste Reduction and Recycling Plan
The Waste Reduction and Recycling Act 2011 (Chapter 6, part 3) requires departments and other entities as prescribed in the Waste Reduction and Recycling Regulation 2011(The Regulation) to prepare and implement a waste reduction and recycling plan . The plan must have regard to the hierarchy, principles, goals and targets of the State Waste Strategy and be published on the department’s website. Within two months after the end of the financial year, departments must report to the Department of Environment and Heritage Protection concerning the operation of the plan (the Act section 148). http://www.ehp.qld.gov.au/waste/index.html
Total Asset Management Planning
The Total Asset Management Planning (TAMP) Framework requires agencies to plan for their physical non-current assets, over a rolling ten year period, as part of their corporate and financial planning responsibilities. The TAMP Framework ensures the Government’s assets best support its service delivery objectives in a responsible manner by ensuring a transparent and consistent approach to total asset management. Each year all departments are required to submit a TAMP ahead of the budget process. http://dilgp.qld.gov.au/infrastructure/total-asset-management-plan-framework.html
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Workforce plan The Public Service Act 2008 (Section 25 (2) (a) and (c)) requires that public
service employment is directed towards promoting best practice human resource management and a diverse and highly skilled workforce drawing from government and non-government sectors. In accordance with better practices for workforce management, all public sector agencies should develop a five year strategic workforce plan which is updated annually to coincide with the strategic planning process. A workforce planning framework and other material is available to guide public sector agencies in this activity. https://www.qld.gov.au/gov/create-strategic-workforce-plan Agency strategic workforce plans should address current and future workforce matters such as: • Inclusion and diversity – the Queensland Public Sector Inclusion and
Diversity strategy outlines our commitment and actions required to build an inclusive and diverse workforce that better reflects the community we serve. The strategy is supported by a range of tools and resources for promoting inclusion and diversity in the workplace.
https://www.qld.gov.au/gov/inclusion-and-diversity-commitment https://www.qld.gov.au/gov/promote-inclusion-and-diversity-your-workplace
Discretionary planning
Planning for assets
Information Sheet 3.8 Property Plant and Equipment Systems in the Financial Accountability Handbook provides information on effective internal controls supporting agency property, plant and equipment including asset planning. http://www.treasury.qld.gov.au/office/knowledge/docs/financial-accountability-handbook/volume-3-designing-controls.shtml
The Asset Planning for Buildings guideline (part of the suite of guidelines for the management of Queensland Government buildings which comprise the Strategic Asset Management Framework) assists agencies to develop management strategies that will contribute to the best utilisation of assets in the delivery of services to the community in line with strategic and operational plans. http://www.hpw.qld.gov.au/SiteCollectionDocuments/SAMFApb.pdf
Building Asset Performance Framework – a best practice guideline for the performance assessment of Queensland Government buildings – provides departments with a systematic approach to managing the performance of building assets to meet service delivery requirements. http://www.hpw.qld.gov.au/FacilitiesManagement/BuildingFrameworks/BAPF/Pages/Default.aspx
The Office Accommodation Management Framework (Development of an Agency Office Accommodation Plan) provides a structure for reviewing existing office accommodation performance and adequacy, identifying performance gaps, identifying opportunities for improvement and change, and placing office accommodation into a strategic business planning context. This guideline is recommended for use by government agencies as part of their strategic planning process and in the development of operational plans for specific service delivery initiatives or for broader planning the agency level. http://www.hpw.qld.gov.au/SiteCollectionDocuments/OAMFOfficeAccommodationPlan.pdf
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• Flexible working – as a key lever for attracting and retaining a diverse and highly skilled workforce. Information, tools resources and case studies can be found at https://www.qld.gov.au/gov/flexible-work-arrangements
• Domestic and family violence – under the Queensland Government Domestic and Family Violence Workplace Package, including whole-of-Government Directive 04/15, agencies are committed to preventing violence, supporting employees affected, and creating a culture of respect and gender equity.
https://www.qld.gov.au/gov/domestic-and-family-violence
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Attachment B – Independent offices Independent offices for the purposes of these requirements are:
• Crime and Corruption Commission
• Integrity Commissioner
• Office of the Information Commissioner
• Queensland Audit Office
• Queensland Ombudsman.