Government Capability Model v1.0

Government Capability Model v1.0 Page 1 of

Government Capability Model

Mapped to GEA-NZ v3.1 Beta- Approved on 26 November 2015


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Document

Purpose This document describes an All-of-Government capability-driven model for defining assessing Government the capabilities and maturity of agencies or government entities and assessing maturity.

The Government Capability Model is a key deliverable of the NZ Government Strategic to develop public sector capabilities. The model provides a common foundation for identifying capabilities, collaborating, and creating new capabilities. It supports:

The Government ICT Action Plan refresh 2014

The Government ICT Strategy refresh 2015

Better Public Services Result Areas

Author Regine Deleu – All of Government Enterprise Architect - Service and System Transformation – Department of Internal Affairs Jim Clendon – Senior Enterprise Architecture Modeller - Service and System Transformation – Department of Internal Affairs

Version Control

Version Date Comment Modified by Next Revision Date

0.2 October 2015 DRAFT Regine Deleu

0.3 November 2015 After a review period (22/10-9/11) SST teams as well as GEAG members have commented on this piece of work. The changes made after consolidating the comments are:

Start with the description of ‘Capability’ and add examples to Common and Shared capabilities.

Added Change Management Capability at the highest level

Made the description of Generic Enterprise Capabilities less government focussed.

Corrected syntax errors.

Moved the high level “GGC – Legislation and Regulation Enforcement” into “GGC – Legislation and Policy Development” and moved the sub-capabilities into “Government Customer-Centric Services”

Regine Deleu

1.0 November 2015 Approved by the Government Enterprise Architect Group - GEAG Regine Deleu March 2016

Acknowledgements This version of the Government Capability Model was developed by the Government Enterprise Architecture team, part of Service and System Transformation Team, Department of Internal Affairs, New Zealand. It was peer-reviewed and approved by Government Enterprise Architecture Group (GEAG) members.

Additionally, feedback received from a number of experts from various agencies was greatly appreciated.


Table of Contents

Document......................................................................................................................................................... 3

Purpose ............................................................................................................................................................ 3

Author.............................................................................................................................................................. 3

Version Control ................................................................................................................................................ 3

Acknowledgements ......................................................................................................................................... 3

Table of Contents ............................................................................................................................................ 4

Capability Definition ......................................................................................................................................... 7

Common Capabilities ....................................................................................................................................... 7

Shared Capabilities .......................................................................................................................................... 7

Government Capabilities .................................................................................................................................. 8

Capabilities and GEA-NZ v3+ ........................................................................................................................... 9

Other Definitions ........................................................................................................................................... 10

Capability Gap .................................................................................................................................... 10

Capability Increment .......................................................................................................................... 10

Capability Segment............................................................................................................................. 10

Capability Principles ...................................................................................................................................... 12

Capabilities are “what?” and “why?” not the “how?” ....................................................................... 12

Capabilities will not be decomposed beyond the level at which they are useful .............................. 12

Capabilities at the highest level roll up more detailed views ............................................................. 12

Capabilities should be categorised using GEA-NZ v3+ reference taxonomies ................................... 12

Capabilities should be self-contained ................................................................................................ 12

Exclude Unique Capabilities ............................................................................................................... 12

Generic Enterprise Capabilities ....................................................................................................................... 13

GEC01 - Strategy and Planning ...................................................................................................................... 13

Capability Description ........................................................................................................................ 13

Strategic direction .............................................................................................................................. 15

Resource requirements ...................................................................................................................... 16

Outcomes ........................................................................................................................................... 17

GEC02 - Change Management ....................................................................................................................... 18



Outcomes ........................................................................................................................................... 21

GEC03 - Financial Management .................................................................................................................... 22



Outcomes ........................................................................................................................................... 26

GEC04 - Enterprise Risk Management (ERM) ................................................................................................ 27



Outcomes ........................................................................................................................................... 33

GEC05 - Communications .............................................................................................................................. 34



Outcomes ........................................................................................................................................... 38

GEC06 - ICT Management .............................................................................................................................. 39




Outcomes ........................................................................................................................................... 43

GEC07 - Information and Knowledge Management ...................................................................................... 44



Outcomes ........................................................................................................................................... 49

GEC08 - Relationship Management ............................................................................................................... 50



Outcome ............................................................................................................................................. 54

GEC09 - Procurement .................................................................................................................................... 55



Outcomes ........................................................................................................................................... 58

Capability Maturity Model ................................................................................................................. 58

GEC10 - Human Resource Management ....................................................................................................... 59



Outcomes ........................................................................................................................................... 62

Generic Government Capabilities ................................................................................................................... 63

GGC01 - Legislation and Policy Development ............................................................................................... 63



Outcomes ........................................................................................................................................... 66

GGC02 - Government Customer-Centric Service........................................................................................... 67



Outcomes ........................................................................................................................................... 71

GGC03 - Government Analytics ..................................................................................................................... 72



Outcomes ........................................................................................................................................... 75

Behaviour Capabilities .................................................................................................................................... 76

Customer Centric ........................................................................................................................................... 76


Outcomes ........................................................................................................................................... 76

Collaborative ................................................................................................................................................. 78


Outcomes ........................................................................................................................................... 79

Decision Making ............................................................................................................................................ 79


Outcomes ........................................................................................................................................... 80

Outcome Driven ............................................................................................................................................ 81


Outcomes ........................................................................................................................................... 81

Self-Managing ................................................................................................................................................ 81



Outcomes ........................................................................................................................................... 82

Competency Capabilities ................................................................................................................................ 82


Outcomes ........................................................................................................................................... 82

Capability Hot Spots ....................................................................................................................................... 84


Capability Definition The definition of capability we have agreed to use in this document comes from The Open Group Architecture Framework (TOGAF) and is:

“An ability that an organization, person, or system possesses. Capabilities are typically expressed in general and high-level terms and typically require a combination of organization, people, processes, and technology to achieve”

It is very similar to the BusinessDictionary.com definition:

“Measure of the ability of an entity (department, organization, person, system) to achieve its objectives, especially in relation to its overall mission.”

For use within GEA-NZ v3+ we will look at capability in two ways, Government Common Capabilities, and Government Shared Capabilities. For simplification from here on we will simply refer to Common Capabilities and Shared Capabilities. These are defined as follows:

Common Capabilities Common capabilities is a term that has been used to describe a range of different things such as shared procurement, shared service offering, shared product offers, sourcing panels, and standard software products such as business applications.

For the purpose of Government Enterprise Architecture we need to restate what we mean “A Common Capability is a capability that is realised multiple times across New Zealand government entities.” like Identity and Access

management.

So where ever there is a Common Capability there is an opportunity to share, collaborate, and re-use. In general we expect common capabilities to summarise and effectively “rollup” some of the more detailed areas of the GEA-NZ v3+ reference models.

Note: The term Common Capabilities are used by CSD for the Common ICT Capabilities which they provide for agencies to use and share.

Shared Capabilities A shared capability on the other hand is “A Shared Capability is a capability that is used by multiple New Zealand government entities.” like MBIE’s procurement capability.


Government Capabilities


Government Enterprise Architecture team has been tasked with defining a set of government capabilities. The Government Capability Model includes the capabilities that are realised multiple times across government. It has four business, two people, and two external capability dimensions. These capabilities all support the business processes of a government entity.

Business Capability dimensions:

- Business Capability is the capacity, materials, and expertise which an organization needs in order to perform core functions.

- The Business Capability dimensions are: o Generic Enterprise Capabilities – capabilities which are needed for any organisation whether it is a

corporation, government, non-government, or not-for-profit corporations. o Generic Government Capabilities - capabilities which are needed for a government entity. o Sector / Multi-Agency Shared Capabilities - capabilities which shared between agencies within a sector

(Health, Education, etc.) or between multiple agencies, such as grant management. o Agency Specific Capabilities

People Capability dimensions:

- People Capability clearly defines behavioural and competency expectations that people need to have to represent the set of attributes that underpin the business.

External Capability dimensions:

- Customer Capability is the capability a customer needs to have to be able to interact with the Government. - Supplier Capability is the capability a supplier needs to have to be able to interact with the Government.

Each capability will have its:

- Sub-capabilities and descriptions

- Resource requirements mapped to GEA-NZ v3+

- Specific outcomes - An outcome is a specific, vital, positive organizational or environmental change that moves the organisation forward to its desired future. The outcome must be based on identified issues and they must provide the basis for developing strategies to achieve the outcome. The outcome indicates the direction of change desired (increase, decrease, maintain).

For each capability there will be a mapping to the GEA-NZ v3+ Business, Application and ICT Services, and Data and Information Reference Models.

This will form the basis of future roadmaps of increments to close the gap between the current capabilities and the future capabilities. The roadmaps will include a range of shared capabilities on a continuum from shared standards and communities of practice right through to a single instance of a capability that is shared and used across government.

Capabilities and GEA-NZ v3+ Areas where GEA-NZ v3+ improves:

A clear recognition of different types of capabilities within government

o Business Capabilities

o People Capabilities

o Application and ICT Service Capabilities

o Data and Information Capabilities

o Infrastructure Capabilities

A clear delineation between government capabilities and subsets of those capabilities which can be shared or common capabilities as per the common capability continuum, and the roadmap of actions to address gaps.

Capability is a viewpoint through the dimensions of GEA-NZ and covers all the aspects.


Other Definitions

Capability Gap A capability gap is the difference between the current capability and what the stakeholders want the capability to be. Once the gap has been agreed and defined options can be explored to close the capability gap.

For example the Minister of Finance at the 2015 SAS Conference expressed the need for evidence based policy advice and the importance of advanced analytics. So potentially there is a gap in the current capability to “Provide advice” and this gap could be made clear by defining a target capability of “Provide advice based on evidence”. In some cases the gap may be so big that we show that we need a completely new capability in place of a current capability.

Capability Increment A capability increment is the result of some action taken to improve a capability. There may be a number of capability increments needed to get from the current capability to the desired capability.

Capability Segment A capability segment is a high level grouping of capabilities into:

- Strategy,

- Management,

- Development,

- Operations.

Strategy Segment

Each capability needs a strategic segment. The key benefits of a strategy segments are:

- have clarity, focus and direction for the capability,

- gives drive for high performance of the capability,

- gives an understanding of the current state of the capability,

- have an agreement on the longer term future of the capability,

- identifies the key steps needed to achieve the strategic outcomes of the capability.

Management Segment

Each capability is managed it its own way. The management sub-capabilities of the Management segment align the capability planning, its performance and its resources with that of the organisation’s strategic goals and objectives. The management sub-capabilities create clearly defined and achievable goals. It also makes sure processes are in place to deal with failure or incidents and take corrective action against underperformance (governance).

Development Segment

The sub-capabilities of the Development Segment are around designing and building the capability.

Operations Segment

And the sub-capabilities of the Operations Segment are around the operational part of the capability, like operate, promote, deliver, fix, and charge.



Capability Principles

Capabilities are “what?” and “why?” not the “how?” Capabilities are about defining what needs to be delivered and why it needs to be delivered but does not define the how it will be delivered. Capability is conceptual.

For example as a small business owner with staff I need a “Pay staff accurately on time capability”. The how is not part of the capability; I could implement it by pulling out my wallet and giving staff money, through to having an accounting and time keeping software package that direct credits pay into staff accounts.

Capabilities will not be decomposed beyond the level at which they are useful In general we expect the capabilities to be defined to a level at which it is useful to the stakeholders. Where we want very fine grained detail we would use the GEA-NZ reference taxonomies – yet this is too detailed for many of the stakeholders. While comprehensive it presents functions without any weighting of what may be strategically more important and therefore should be visible.

Capabilities at the highest level roll up more detailed views Capabilities at the highest level roll up some more detailed capabilities and the related underlying business functions.

Capabilities should be categorised using GEA-NZ v3+ reference taxonomies Capabilities will be bounded by alignment / categorisation to the relevant GEA-NZ v3+ reference taxonomies. This will allow gaps and overlaps to be readily identified and any duplication avoided, or explained and justified. The GEA-NZ v3+ Data and Information taxonomy is used for information discovery which helps define the capability listing the motivators, the entities, and the activities.

People capabilities are not defined in GEA-NZ v3+.

Capabilities should be self-contained It is helpful to think about capabilities as self-contained pieces of a business that potentially could be sourced from another business unit, another agency, or an external provider. Can it be logically separated and shifted? If not we may be getting too detailed.

Sourcing of capabilities is also something that is worth thinking about – is this something that potentially could be out-sourced from the agency or is it core to the agency? If something could be outsourced why would you do it? Is it because it is a commodity function that could be done more effectively by a specialist provider? Is it something you need to be able to do well but currently don’t have the right skill sets for, so could it be out-sourced for a time before being brought back inside the agency?

Exclude Unique Capabilities For GEA-NZ v3+ we are going to limit the capabilities to those which are shared capabilities, and therefore provide opportunities to explore and develop. The unique capabilities of agencies are best defined and managed by those agencies.

Government Capability Model v1.0 Page 13 of 86

Generic Enterprise Capabilities

GEC01 - Strategy and Planning

GEC01Strategy and Planning

GEC01.01Business Strategy

Development

GEC01.02Strategic Roadmap

Development

GEC01.03Corporate

Governance

GEC01.05Business Performance

ManagementGEC01.04Outcome

Management

Capability Description There are two basic questions to ask of management: are we doing things right, and are we doing the right things? Operational management focuses on doing things right, and many tools have been developed to improve this (e.g. TQM, Six Sigma, business process reengineering etc.), including many maturity models. Strategic Portfolio management answers the second question are we doing the right things. In any organisation, it is the strategy, driven from the vision of the leadership that defines what the right things are. Process improvements alone cannot guarantee that an organisation will be successful, or that an agency will achieve its mission. These two aspects of management – strategic and operational – complement each other, so both must be assessed to determine the organisation's total management capabilities and are bridged with the Programme and Project Management capability.

An organisation’s strategy should be:

- Valuable: An organisation’s strategy needs to effectively allocate resources to the best investment opportunities, drive performance and raise expectations internally and externally, improve the organisation’s outcomes and add value.

- Enduring: In developing a strategy, organisations should consider short-term and long-term cycles and macro-trends while ensuring their plan is resilient and adaptive.

- Forward-looking: A solid strategy appropriately anticipates risk, uncertainty and optionality.

- Actionable: A high performing organisation ensures their strategy is both intuitive and realistic. It should be easy to communicate the strategy internally and externally and provide an approach that can be acted on by all business units at all levels


The table below describes the sub-capabilities:

Id Name Description

GEC01.01 Business Strategy Development

The Business Strategy Development capability focusses on the development of goals, objectives, strategies and tactics based on factual data. The first step in the development of any business strategy is the determination of the goals. For government entities these will be All-of-Government, sector and agency goals. This will set the stage for developing measures and specific actions that the organisation will need to take to achieve these goals. For instance, the goal might be to "Be more customer-centric" and to "Improve customer experience". Once a goal has been established and the actions needed are clear, information is gathered so that the decisions are based on solid facts and data. The situation analysis involves a review of information internal as well as external to the agency. A SWOT analysis needs to be executed to identify the agency's strengths and weaknesses, which are internal; and opportunities and threats, which are external. Based on that information and by prioritising these items, the organisation gets a better sense of the most important areas to focus on. Objectives are the measurable element of the strategy. Objectives indicate, specifically, what outcomes are desired. While goals set a broad direction ("Improve customer experience"), objectives will provide the detail that ensures the team knows when it achieves success. Strategies and tactics will indicate how and what the organisation will need to do to achieve its goals and objectives. Strategies provide general guidance, such as "engage in social media activities," while tactics outline specific tasks that will be done, such as "set up a LinkedIn discussion group".

GEC01.02 Strategic Roadmap Development

Strategic Roadmaps are planning tools that identify strategic goals and pathways for improving the overall business and to achieve the strategic goals of the agency. The emphasis of the roadmap development capability is on activities and decisions, as opposed to business planning. The outcome of the development process will be roadmaps that will identify: - Actionable steps necessary to achieve the desired outcomes. - Interdependencies among steps. - Alternative routes that will optimise opportunities or minimise risks. When completed, the roadmaps will be used: - As a communication tool to inform key stakeholders on the potential for the agency, sector, and Government and their customers. - To identify the key issues that currently affects the organisation and its ability to improve. - To identify what actionable steps are required to achieve the desired goals and objectives, and within this, which actions and steps have the highest priority and which will give the greatest benefit relative to their cost. - To identify the intermediate steps and interdependencies within the organisation and their business partners.

GEC01.03 Corporate Governance

Corporate governance refers to the mechanisms, processes and relations by which the agency is controlled and directed. Governance structures and principles identify the distribution of rights and responsibilities among different participants in the agency (such as the board of directors, managers, shareholders, creditors, auditors, regulators, and other stakeholders) and include the rules and procedures for making decisions in corporate affairs. Corporate governance includes the processes through which the agency's objectives are set and pursued in the context of the social, regulatory and economic environments. Governance mechanisms include monitoring the actions, policies, practices, and decisions of the leaders.


GEC01.04 Outcome Management

Outcome Management is the strategic approach to ensure that initiatives are designed around departmental and government outcomes and that the intended outcomes are achieved. Just as project management deals with the processes necessary to deliver a capability and/or product within a pre-established time frame and budget, Outcome Management adds value to the organisation increasing value is achieved through effective benefits realisation.

GEC01.05 Business Performance Management

Business Performance Management is a set of management and analytic processes that enables management of performance to achieve one or more pre-selected goals. Business Performance Management has three main activities: - Selection of the goals. - Consolidation of measurement information relevant to the agency’s progress against these goals. - Interventions made by managers in light of this information with a view to improve future performance against these goals.

Strategic direction Each agency has its own strategic directions, like:

- DIA - http://www.dia.govt.nz/SOI/2013/strategic-direction.html

- MoH - http://www.health.govt.nz/about-ministry/what-we-do/strategic-direction

- The Treasury - http://www.treasury.govt.nz/abouttreasury/strategicdirection

At All of Government level the ICT Strategy and Action plan 2017 and the Better Public Services Results sets out the strategic goals and objectives for the New Zealand Government.

http://www.dia.govt.nz/SOI/2013/strategic-direction.html

http://www.health.govt.nz/about-ministry/what-we-do/strategic-direction

http://www.treasury.govt.nz/abouttreasury/strategicdirection


Resource requirements The Strategy and Planning capability has an impact on all the Business Domains, i.e. B1 New Zealand Society, B2 Individuals and Communities, B3 Businesses, B4 Civic Infrastructure, and B5 Government Administration.

The Business functions, Applications and ICT Services and Data and Information which the Strategy and Planning capability Influences (i), produces or affects (p), and/or uses (u)

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GEC01 Strategy and Planning

GEC01.01 Business Strategy

Developmenti i u u u i u u u u u u u u u u u u u p i p p u i

GEC01.02 Strategic Roadmap

Developmenti p i i i i i i i i i i i i i i u i i u i u i u

GEC01.03 Corporate Governance i u

p

p p p i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i i

GEC01.04 Outcome Management i p u u u u u u u u u u u u u u u u u i i i i i i i i i i i i i i i i i i p i i i i i i i i

GEC01.05 Business Performance

Managementu i i i i u u i u u u u u u i i p i i i i i i i i i u u i i i i i i

B5.03 Government Credit and InsuranceB5.04 Financial Management B5.05 Human Resource ManagementB5.06 ICT Management B5.07 Information and Knowledge ManagementB5.08 Strategy, Planning and BudgetingB5.09 Machinery of Government B5.10 Government Communications

B5 Government Administration

B5.02 Business Management

B1 New Zealand Society

B5.01 Administrative Management


Outcomes

A good Strategy and Planning capability will identify and manage the goals and objectives of the organisation so it can achieve their strategic vision. The outcome will enable the organisation's staff to focus on a set of clearly defined goals, objectives, and outcomes in order to achieve the desired results. The organisation benefits from having a carefully crafted plan to gain the following benefits:

- New insights from other peoples’ perspectives

- Identification of the challenges as the best thinkers see them

- New ways of thinking about old problems

- Alternatives beyond the resources the organisation has traditionally brought to bear

- Buy-in from others

- A high focus on critical success factors

- Analysis from others’ perspectives on the feasibilities of new goals and objectives

- Identification of challenges and barriers

Strategy and Planning drives everything else within the organisation.

The Strategy and Planning capability for a government entity will have to be aligned with the Government ICT Strategy and Action Plan to 2017 and the Better Public Services. Having a clear four-year plan will help the agency improve their performance and will get support from ministers.

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Strategy and Planning

Business Strategy

Developmentu u u u u u i p i i p i i u u u u u u u u u

Strategic Roadmap

Developmentu u u u u u u u u u p u p i u u u u u u u u u u u p u u u u u

Corporate Governance u u u u u u u u i i i i i i i i i u i u u i i i i i u i i i i i i i i i i i i i u u i u i i i p p p p p p p p p p u p p p p i i p i i i i i

Outcome Management i i i i i i i i i i i i i i i i i u i u u i i i i i i i u u i i i i i i i i i i i i i i i i i i i i i

Business Performance

Managementu i u u u i i i i i i i i i i i u u u i i i i i i i i i i i u

p

i i i i i i u u p i i i i i

A3 End User ComputingA1 Corporate Applications A2 Common Line of Business Applications A4 Data and Information Management ServicesA5 Identity and Access Management ServicesA6 Security Services A7 ICT Components Services and ToolsA8 Interfaces and Integration

D3.03 Services

D2 Entities D3 Activities

D1.01 Plans D1.02 Controls D1.03 ContractsD2.01 Parties D2.03 Items

D1 Motivators


GEC02 - Change Management

GEC02Change Management

GEC02.01Transformation Strategy Design

GEC02.02Change Sponsorship

GEC02.03Transformation

Planning

GEC02.04Transformation

Governance

GEC02.05Change Resistance

Management

GEC02.06Benefit Management

GEC02.07Change Readiness

Assessment

GEC02.08Programme and Project

Management

GEC02.09Requirements Management

GEC02.10Change

Communication

GEC02.11Change Coaching and

Training

Capability Description Change Management affects the activities involved in managing changes to how the government conducts its business in providing government services to individuals, businesses and other organisations including managing the resulting changes to business requirements, as well as their impacts on stakeholders of the government business solutions.


Id Name Description

GEC02.01 Transformation Strategy Development

Developing a transformation strategy includes a comprehensive assessment of current and new processes, technologies, people, and resources. Most transformation strategies are about responding to changes that new technologies cause in our daily lives, individual businesses and organisations, industries and various segments of society. These changes are not brought upon us by the technologies themselves but by people. The ways people use and experience new technologies can have very unexpected consequences. It is important for the success of transformation strategy to put people and processes above technology.

GEC02.02 Change Sponsorship

Change management requires sponsorship by senior leaders in the organisation. Sponsorship involves active and visible participation by senior business leaders throughout the change management process. Plans and roadmaps for sponsorship activities are needed.

GEC02.03 Transformation Planning

Transformation Planning starts at the top of the organisation with strategic goals, objectives, and planning. All strategic decisions have an impact on the organisation and the organisation will have to adapt to achieve those strategic goals and objectives. Transformation Planning is the capability to plan the different changes within the organisation and to make sure they are all aligns with each other so the predicted outcomes are achieved with as less destructive impact to the whole organisation.

GEC02.04 Transformation Governance

Transformation Governance is the capability to ensure that the organisational and transformation principles are well applied to design and implementation of the transformation. It also ensures that the organisation meet business and technology objectives and standards. Transformation Governance enables effective alignment of business and technology, manages risk by reducing probability of failures in transformation and incorporates elements of cost effectiveness and value.


GEC02.05 Change Resistance Management

Change Resistance management is the capability to manage employee resistance to change. A transformation programme needs to identify, understand, and manage resistance to change.

GEC02.06 Benefit Management

Benefits management is the capability to increase the successful delivery of quantifiable and meaningful business benefits to an organisation during change. It focuses on how business areas will benefit from change and provides a framework for identifying, planning, measuring and actively managing these benefits.

GEC02.07 Change Readiness Assessment

Change Readiness assessments cover a wide range of areas across the organisation from sponsors to organisational culture in order to determine how ready the organisation is for change, and help identify area and factors that can affect the success of the change.

GEC02.08 Programme and Project Management

Programme management is the capability to manage several related projects and oversee the implementation of each of those projects into one overall group of outcomes to achieve the organisation's goals and objectives. Project management is the capability to manage people and other resources to deliver the project outcome.

GEC02.09 Requirements Management

Requirement management is the capability to document, analyse, trace, prioritise, and agree on requirements for an initiative and communicate with the relevant stakeholders. Requirement management covers functional and non-function requirements, high level through to more detailed requirements.

GEC02.10 Change Communication

Change communication is the capability to build awareness of the need for change and to create the desire for change. At each step of the change process the right messages need to be delivered at the right time - this requires careful analysis of the audience and the messages, and a communication plan.

GEC02.11 Change Coaching and Training

Change coaching and Training is the capability to gain support from the direct supervisors and managers of employees and provide training in order for employees to be able to implement the change.


Resource requirements The Business functions, Applications and ICT Services and Data and Information which the Financial Management capability Influences (i), produces or affects (p), and/or uses (u)

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GEC02 Change Management

GEC02.01 Transformation Strategy

Developmentp i u u u u u u u u u u u u u i u i i i u i i u u i u u u u i

GEC02.02 Change Sponsorship i u u u u u u u u u u u u i u u u u u

GEC02.03 Transformation Planning u i u u u u u u u u u i u i u i i u i u i i u i i u u

p

GEC02.04 Transformation Governance u u u u u u u u u u u

p

u u i u u i u u u

GEC02.05 Change Resistance

Managementu u u u u

p

u u u u i u p

GEC02.06 Benefit Management u u u u u u

p

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GEC02.07 Change Readiness Assessment u u u u u u i u u u

p

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GEC02.08 Programme and Project

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u i i i u u i u u u i u i i i u

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GEC02.09 Requirements Management u i u

p

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u u u u u

GEC02.10 Change Communication u u

p

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GEC02.11 Change Coaching and Training u u

p

u u p u u u u u u

p

B1 New Zealand SocietyB5 Government Administration

B5.06 ICT Management B5.07 Information and Knowledge ManagementB5.08 Strategy, Planning and BudgetingB5.09 Machinery of Government B5.10 Government CommunicationsB5.01 Administrative ManagementB5.02 Business Management B5.03 Government Credit and InsuranceB5.04 Financial Management B5.05 Human Resource Management


Outcomes The outcome of an effective change management is the following:

- Return on investment:

- The approach to change is re-used for each initiative saving the number of days spent defining a unique approach to each change initiative.

- Faster implementation of change as those involved have the confidence to know where to get started, who to involve and can estimate with greater certainty the impact on their workloads and the level of impact in their area.

- Quality of the outcome achieved:

- Increased understanding of the impact of the change which ensures that all processes, systems and people that are impacted are consulted, and their requirements incorporated into the change plan.

- Appropriate levels of involvement with agreed responsibilities for making the change happen reduces the resistance to change and increases the rate of adoption, leading to greater realisation of benefits.

- Efficiency of resources:

- Clarifies the roles and responsibilities of all those involved in the change effort, ensuring that those with the most relevant skills and experience are given appropriate activities to manage.

- Reduction in the number of ‘failed’ change initiatives and the waste of resources involved in making changes that ‘run out of steam’ or get overtaken by other events which had not been assessed when the change was conceived.

- Reduction in the level of activity that is duplication of effort or that is running at cross purposes to other changes being made elsewhere in the organisation.

- Enhanced employee morale and a reduction in recruitment and retention costs.

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GEC02 Change Management

GEC02.01 Transformation Strategy

Developmentu

p

u u u

p

i u i u

p

i u u u i i u u u u u u u u u

p

u u u

p

u

p

GEC02.02 Change Sponsorship u

p

u u u

p

u u u u u u u u u u u u u

p

u u

p

u

p

GEC02.03 Transformation Planning u

p

u u u i u u u i u u

p

u u u i u u u

p

u u

p

u u u

p

u

p

GEC02.04 Transformation Governance u u i u u u i u u u u u u

p

u u u

p

u

p

GEC02.05 Change Resistance

Managementu u u u

p

u u u u u u i u u u u u

p

u

p

u

p

GEC02.06 Benefit Management u u u u i u u u

p

u u

p

u u

p

u

p

GEC02.07 Change Readiness Assessment u u u u i u u u u u u

p

u u u u u u u

p

u u

p

u

p

GEC02.08 Programme and Project

Managementi u u u u u

p

u u u u i i u u u

p

u

p

u u

p

i i u u u u

p

u u u u u u u u

p

u u

p

u

p

u

p

GEC02.09 Requirements Management u u u u

p

u u u i i i u u u u

p

u u u u u

p

u u

p

u

p

GEC02.10 Change Communication u u

p

u u u u u u u u u u

p

u u

p

u

p

GEC02.11 Change Coaching and Training i u u u

p

u u u u u u u u u

p

u

p

u

p

A6 Security Services A7 ICT Components Services and ToolsA1 Corporate Applications A2 Common Line of Business ApplicationsA3 End User ComputingA4 Data and Information Management ServicesA5 Identity and Access Management Services

D1.02 Controls

A8 Interfaces and IntegrationD1 Motivators D2 Entities D3 Activities

D1.01 Plans D3.03 ServicesD1.03 ContractsD2.01 Parties D2.02 Places D2.03 Items D3.01 Cases D3.02 Events


GEC03 - Financial Management

GEC03Financial Management

GEC03.01Financial Strategy

Development

GEC03.02Financial Forecasting and

Planning

GEC03.03Financial

Governance

GEC03.04Financial Control

GEC03.05Financial Auditing

GEC03.06Financial Operations

Capability Description Financial Management means planning, organising, directing and controlling the financial activities such as procurement and utilisation of funds of the organisation. It means applying general management principles to financial resources.

The scope of Financial Management includes:

- Investment decisions - Includes investment in fixed assets and current assets.

- Financial decisions - Relates to the raising of finance from various resources which will depend upon decision on type of source, period of financing, cost of financing and the returns.

- Dividend decision - Decision making with regards to the net profit distribution. Net profits are generally divided into two: dividend for shareholders and retained profits.

The financial management is generally concerned with procurement, allocation and control of financial resources. The objectives include:

- Ensuring regular and adequate supply of funds.

- Ensuring adequate returns to the shareholders which will depend upon the earning capacity, market price of the share, expectations of the shareholders.

- Ensuring optimum funds utilisation. Once the funds are procured, they should be utilised in maximum possible way at least cost.

- Ensuring safety on investment, i.e., funds should be invested in safe ventures so that adequate rate of return can be achieved.

- Planning a capital structure that is a fair composition of the capital so that a balance is maintained between debt and equity capital.

The functions within Financial Management include:

- Estimating capital requirements: A finance manager has to make estimation with regards to capital requirements of the company. This will depend upon expected costs, profits, future programmes, and policies estimating in an adequate manner which increases earning capacity of the enterprise.

- Determination capital composition: Once the estimation has been made, the capital structure has to be decided. This involves short- term and long- term debt equity analysis. This will depend upon the proportion of equity capital an organisation is possessing and additional funds which have to be raised from outside parties.

- Choosing sources of funds: For additional funds to be procured, a company has many choices like-Issue of shares and debentures, loans to be taken from banks and financial institutions.

- Choosing factors that will depend on relative merits and demerits of each source and period of financing.

- Investing funds: The finance manager has to decide to allocate funds into profitable ventures so that there is safety on investment and regular returns is possible.

- Disposing surplus: The net profits decision have to be made by the finance manager. This can be done in two ways:

- Dividing declaration: It includes identifying the rate of dividends and other benefits like bonus.


- Retaining profits: The volume has to be decided which will depend upon expansion, innovation, and diversification plans of the organisation.

- Managing cash: Finance manager has to make decisions with regards to cash management. Cash is required for many purposes like payment of wages and salaries, payment of electricity and water bills, payment to creditors, meeting current liabilities, maintenance of enough stock, purchase of raw materials, etc.

- Financial controls: The finance manager has not only to plan, procure and utilize the funds but he also has to exercise control over finances. This can be done through many techniques like ratio analysis, financial forecasting, cost and profit control, etc.


Id Name Description

GEC03.01 Financial Strategy Development

Developing a financing strategy includes a comprehensive assessment of potential new financing options from concessional and non-concessional sources, as well as possible grant inflows, focusing on how to best mobilise the highest quality financing to support priorities and ensure debt sustainability for the organisation. The basis of resource need to be concessional, conditional, predictable, flexible, and focussed on organisational priorities and other policy and procedural criteria.

GEC03.02 Financial Forecasting and Planning

Financial Forecasting and Planning starts at the top of the organisation with strategic planning. Since strategic decisions have financial implications, the budgeting process is closely linked to the strategic planning process. Financial Planning is a continuous process of directing and allocating financial resources to meet strategic goals and objectives in order to add value to the organisation. The output from financial planning takes the form of budgets. In order to develop budgets, a forecast needs to be undertaken to see what drives much of the financial activity.

GEC03.03 Financial Governance

Financial Governance is the combination of institutions, rules, and norms that structure governance in these policy areas. Fiscal governance focusses on directing and approving how budgetary policy is planned, approved, carried out and monitored, generally involving more than the agency. The core of financial governance regulations is the requirement that all financial processes are managed according to a stringent set of rules and regulations, backed by accurate reporting capabilities. This management and recording of internal controls, to work toward compliance, can be set down in a concise and controlled manner and can save the organisation significant time and money. Financial governance is important for good overall governance because the consequences of failure can be so devastating for the organisation that no matter how good the rest of area's governance may be financial failure can bring it undone. There are three keys to effective financial governance: - Creating a policy that guides the CEO in developing the business plan including the budget or financial plan – this relates primarily to the operating revenue and costs of the business as well as the cash flow management of the organisation. - Creating a policy that establishes the basis for the organisation’s wellbeing – this relates to the management of the assets and liabilities of the business. - Monitoring processes that provide the organisation with sufficient financial information to be satisfied that the finances are being appropriately managed towards the achievement of both the short and long term goals. This includes establishing key performance indicators and benchmarks for performance evaluation and a framework that provides the board, management and staff with a reporting system in an accurate and timely manner.


GEC03.04 Financial Control Financial Control is the capability to track performance and evaluate progress toward the financial goals of the organisation. Financial controls evaluate how well the organisation is following the strategic plans and how valid the strategic decisions were in the first place. Financial controls include tracking progress and evaluating results. During strategic planning, management defines measurable objectives for operations. Financial controls report on these objectives and to what extent they have been met. During the reporting period, managers can impose corrective action if necessary and at the end of the reporting period, the results form part of the overall evaluation of the success of the strategic plan.

GEC03.05 Financial Auditing Financial Auditing is the capability to conduct an audit to provide an opinion whether financial statements are stated in accordance with specified criteria. Normally, the criteria are international accounting standards, although auditors may conduct audits of financial statements prepared using the cash basis or some other basis of accounting appropriate for the organisation. In providing an opinion whether financial statements are fairly stated in accordance with accounting standards, the auditor gathers evidence to determine whether the statements contain material errors or other misstatements. The audit opinion is intended to provide reasonable assurance that the financial statements are presented fairly, in all material respects, and/or give a true and fair view in accordance with the financial reporting framework. The purpose of an audit is to provide an objective independent examination of the financial statements, which increases the value and credibility of the financial statements produced by management, thus increase user confidence in the financial statement, reduce stakeholder risk and consequently reduce the cost of capital of the preparer of the financial statements.

GEC03.06 Financial Operations

Financial Operations is the capability of the day-to day operations of accounting services, financial reporting, payroll, loan collections, taxes, and other financial services.


Resource requirements The Business functions, Applications and ICT Services and Data and Information which the Financial Management capability Influences (i), produces or affects (p), and/or uses (u)

06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

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GEC03 Financial Management

GEC03.01 Financial Strategy

Developmenti u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u

GEC03.02 Financial Forecasting and

Planningu u

p

u i p i i i i i i i i p i i i i i i p i p i i i p p i i p p i i i i i i i i i i i i i

GEC03.03 Financial Governance i i i i i i i i i i u i i i i i i u i i i u i i i i i i i i i i i i i i i

GEC03.04 Financial Control i i i i p i i i i i i i i i i i i u

p

i u i i i u i i i i i i i i i i i i

GEC03.05 Financial Auditing u u p u u u u u u u u u u u u p u u u u u u u u u u u u u u

GEC03.06 Financial Operations p u

p

i i p p p p u p u p p p p u

p

u u p p p u i i i i i i i i

B5.01 Administrative ManagementB5.02 Business Management B5.03 Government Credit and InsuranceB5.04 Financial Management B5.05 Human Resource ManagementB5.06 ICT Management B5.07 Information and Knowledge ManagementB5.08 Strategy, Planning and BudgetingB5.09 Machinery of Government B5.10 Government Communications


01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

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GEC03 Financial Management

GEC03.01 Financial Strategy

Developmentu u u u u u u u u u u u u u u u u u u u u p u u u u u

GEC03.02 Financial Forecasting and

Planningu u u u u u u u u u u u p i i i i p i u p i i i i i

GEC03.03 Financial Governance u u u u u u u u u u u u u i u u u p u u u u u

GEC03.04 Financial Control u u u u u u u u u u u i p i p u u u u u

GEC03.05 Financial Auditing u u u u u u u u u u u u u u u u u u u p u u u u u

GEC03.06 Financial Operations u u u u u u u u u u u u u u i i p p i i i i i

D1.02 Controls



A2 Common Line of Business ApplicationsA3 End User ComputingA4 Data and Information Management ServicesA5 Identity and Access Management ServicesA6 Security Services A7 ICT Components Services and ToolsA1 Corporate Applications


Outcomes The main outcome of Financial Management within government is to strengthen the linkage between planning, budget, service delivery and accountability. It involves the allocation of resources to agencies based on the specification of the product and services that they will deliver, the intended outcomes to be achieved, and the systematic monitoring and reporting of progress against agreed performance indicators and measures.

Good financial management will help the organisation to:

- Make effective and efficient use of resources.

- Achieve objectives and fulfil commitments to stakeholders.

- Become more accountable to stakeholders.

- Gain the respect and confidence of funding agencies, partners and beneficiaries.

- Prepare for long-term financial sustainability.

There are four components of good financial management:

- A clear finance strategy.

- Securing funding and generating income.

- A robust financial management system.

- A suitable internal environment.


GEC04 - Enterprise Risk Management (ERM)

GEC04Enterprise Risk Management

GEC04.01Strategic Risk Assessment

GEC04.02Risk Portfolio Management

GEC04.04Risk Improve Effectiveness

Planning

GEC04.05Risk Mitigation

Planning

GEC04.07Risk Management

Governance

GEC043.08Risk Intervention

Monitoring

GEC04.09Security Control

GEC04.10Mitigation Improvement

Management

GEC04.11Risk Mitigation Development

GEC04.12Risk Intervention

Development

GEC04.13Risk Management

Operations

GEC04.06Business Continuity

Planning

GEC04.03Business Impact

Analysis

Capability Description Enterprise Risk Management (ERM) is the capability of agencies to manage their risks through their different business units and functions that identify and manage particular risks. Each risk function varies in capability and how it coordinates with other risk functions. A central goal and challenge of ERM is to improve this capability and coordination, while integrating the output to provide a unified picture of risk for stakeholders and improving the organisation's ability to manage the risks effectively.

The primary risk functions that should participate in an ERM program are:

- Strategic planning - identifies external threats along with strategic initiatives to address them.

- Marketing - understands the customer to ensure product/service alignment with customer requirements.

- Compliance and Ethics - monitors compliance with code of conduct and directs fraud investigations.

- Accounting and Financial compliance - identifies financial reporting risks.

- Policy - manages legislation and analyses emerging legal trends that may impact the agency.

- Insurance - ensures the proper insurance coverage for the organisation.

- Treasury - ensures cash is sufficient to meet business needs, while managing risk related to commodity pricing or foreign exchange.

- Operational Quality Assurance - verifies operational output is within tolerances.

- Operations management - ensures the business runs day-to-day and that related barriers are surfaced for resolution.

- Customer service - ensures customer complaints are handled promptly and root causes are reported to operations for resolution.

- Internal audit - evaluates the effectiveness of each of the above risk functions and recommends improvements.

Common challenges in ERM implementation

- Identify executive sponsorship for ERM.

- Establish a common risk language or taxonomy.

- Describe business unit’s risk appetite - risks they are willing to take and risk they are not willing to take.

- Identify and describe the risks in a risk catalogue.

- Implement a methodology to prioritise risks within and across business units and functions.

- Establish a risk steering group to authorise and coordinate activities around risk management.

- Establish ownership for particular risks and responses.

- Demonstrate cost-benefit of the risk management effort.

- Develop an action plan to ensure the risks are appropriately managed.

- Develop consolidated reporting for the various stakeholders.

- Monitor the results of the actions taken to mitigate the risks.


- Ensure efficient risk coverage by internal auditors, consulting teams, and other evaluating entities.

- Ensure a secure working environment for contractors, partners, and remote employees.


Id Name Description

GEC04.01 Strategic Risk Assessment

Strategic Risk Assessment is the capability to systematically and continually assessing significant risks facing the organisation. Conducting an initial assessment is a valuable activity for senior management and the board of directors. Current thought leadership on corporate governance and board responsibilities is virtually unanimous that a key board responsibility is to understand the organisation’s strategies and associated risks and to ensure that management’s risk management practices are appropriate.

GEC04.02 Risk Portfolio Management

Risk Portfolio Management is the capability of making decisions about risks, investments and policy, matching investments to risk objectives, asset allocation for individuals and institutions, and balancing risk against performance. Risk Portfolio management is all about strengths, weaknesses, opportunities and threats for the organisation.

GEC04.03 Business Impact Analysis

Business Impact Analysis is the capability to determine the relative importance or criticality of business functions, operations, supplies, systems, relationships etc. that are required to achieve the organisation's operational objectives. It drives the priorities, planning, preparations and other business continuity management activities.

GEC04.04 Risk Improve Effectiveness Planning

Risk Improve Effectiveness Planning is the capability of planning a systematic way of finding how effective an organisation’s current approach to managing risk is. It considers the intentions of the organisation, how they are expressed and communicated and also what happens in practice. This leads to a realistic improvement program plan for the organisation’s risk management framework and each application of the risk management process. The plan has five major steps: Prepare, Elicit and verify, analyse gaps and evaluate, gain ownership and plan, and report to the oversight committee.

GEC04.05 Risk Mitigation Planning

Risk Mitigation Planning is the process of developing options and actions to enhance opportunities and reduce threats to the organisation's objectives.

GEC04.06 Business Continuity Planning

Business Continuity Planning is the capability that encompasses a loosely defined set of planning, preparatory and related activities which are intended to ensure that the organisation’s critical functions will either continue to operate despite serious incidents or disasters that might otherwise have interrupted them, or will be recovered to an operational state within a reasonably short period. Business continuity includes three key elements: - Resilience: critical business functions and the supporting infrastructure are designed and engineered in such a way that they are materially unaffected by most disruptions, for example through the use of redundancy and spare capacity. - Recovery: arrangements are made to recover or restore critical and less critical functions that fail for some reason. - Contingency: the organisation establishes a generalised capability and readiness to cope effectively with whatever major incidents and disasters occur, including those that were not, and perhaps could not have been, foreseen. Contingency preparations constitute a last-resort response if resilience and recovery arrangements should prove inadequate in practice. Some examples of risks: - Single points of failure with the Telco link between NZ and Australia. How will


Treasury maintain balance of payments account if it cannot access the Internet via this link or a broken down ICT infrastructure as with Christchurch disaster. - How does petrol and oil get distributed to power the generators if there are poor or broken roads as a result of earthquakes? - How do people access the Government resources that are on their websites if they cannot access it?

GEC04.07 Risk Management Governance

Risk Management Governance refers to the institutions, rules conventions, processes and mechanisms by which decisions about risks are taken and implemented. It can be both normative and positive, because it analyses and formulates risk management strategies. Risk Management Governance goes beyond traditional risk analysis to include the involvement and participation of various stakeholders as well as considerations of the broader legal, political, economic and social contexts in which a risk is evaluated and managed. The scope of Risk Management Governance encompasses public health and safety, the environment, old and new technologies, security, finance, and many others.

GEC04.08 Risk Intervention Monitoring

Risk Intervention Monitoring is the capability to monitor the process and targeted intervention to: - Identify the organisation's risks and develop a risk library. - Identify and prioritise “risks that matter” to the organisation. - Develop mitigation plans for ”risks that matter”. - Develop a risk monitoring process.

GEC04.09 Security Control Security Control is the capability to significantly reduce security vulnerabilities. Today’s connected environment introduces various ethical, financial and regulatory pressures to protect the privacy of individuals and the information assets of organisations from internal and external threats and unauthorised access. Successful attacks, whether deliberate or inadvertent, are an increasingly more costly and damaging, both to the organisation and its customers. To meet these challenges, Security Control is a fundamental strategic driver of the business. Security Control defines a conceptual, physical and procedural model of best practices for end-to-end enterprise security. This includes: - The approach for determining and setting the baseline or threshold of acceptable risk to the business. - Standard methods for ascertaining appropriate classification of information assets. - A base set of policies, processes, standards, and procedures for achieving and maintaining an integrated defense of the organisation's information resources and assets. - The security functions, roles and responsibilities appropriate for each member of the organisation. - The essential skills and knowledge needed to perform information security effectively.

GEC04.10 Mitigation Improvement Management

Mitigation Improvement Management is the capability to continuously improve the anticipation of risks, threats, and disasters. Developmental considerations play a key role in contributing to the mitigation and preparation of an organisation to effectively confront those threats and disasters. As a security breach or disaster occurs, risk management, become involved in the immediate response and long-term recovery phases. The four risk management phases illustrated here do not occur in isolation or in this precise order. The phases overlap and the length of each phase greatly depends on the severity of the breach or disaster. - Mitigation - Minimizing the effects of breach or disaster. - Preparedness - Planning how to respond. - Response - Efforts to minimise the hazards created by a breach or disaster. - Recovery - Returning to normal.


GEC04.11 Risk Mitigation Development

Risk Mitigation Development is the capability to develop the processes of executing risk mitigation actions. Risk mitigation progress monitoring includes tracking identified risks, identifying new risks, and evaluating risk process effectiveness throughout the project.

GEC04.12 Risk Intervention Development

Risk Intervention Development is the capability to create a strong risk culture based on the empowerment of the business. It creates a dedicated risk-culture function within the risk organisation by: - Creating awareness and a common language and identifying improvement levers and implement them, for example, by rolling out a semi-annual or quarterly risk-culture self-assessment. - Launching a program to assess and transform current risk capabilities with the support of a dedicated change team. - Defining specific actions, owners, and milestones, and establishing an ongoing method of monitoring the risk-culture transformation.

GEC04.13 Risk Management Operations

Risk Management Operations is the capability of the day-to day operations of risk management data protection, risk event operations, implement risk communication channels, etc.


Resource requirements The Business functions, Applications and ICT Services and Data and Information which the Enterprise Risk Management capability Influences (i), produces or affects (p), and/or uses (u)

06 12

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GEC04 Enterprise Risk Management

GEC04.01 Strategic Risk Assessment i u u u u p u u u u u u u u u u u u u u u u u

GEC04.02 Risk Portfolio Management u

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GEC04 Enterprise Risk Management

GEC04.01 Strategic Risk Assessment u u u u u u u u u u u u u p u u u u u u u u u u u u p u u u u u u

GEC04.02 Risk Portfolio Management u u u u u u u u i u i i i i u i i i i i u u u p i i i i i

GEC04.03 Business Impact Analysis u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u p u u u u u u

GEC04.04 Risk Improve Effectiveness

Planningi u i p i u u u i i i i i i i i i p p p i i p i u u u p i i i i i

GEC04.05 Risk Mitigation Planning i u i i i u u u i u p p i p i u u u p i i i i i

GEC04.06 Business Continuity Planning i u p i u u u i i i i i i p i i i p i i i i i

GEC04.07 Risk Management Governance i u u i u i u u i i u u u u p p i i i i i

GEC04.08 Risk Intervention Monitoring u u u u u i u u u u u u u u u u u u u u u

GEC04.09 Security Control u u p u p u u p u u u u u u u u u u

GEC04.10 Mitigation Improvement

Managementi u

p

i u

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GEC04.11 Risk Mitigation Development u u p u u

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GEC04.12 Risk Intervention Development i u p i p u i u u u

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u u u u i p u u u u i i i i i

GEC04.13 Risk Management Operations u u u u u u u u u u u u u u u u u

D1.02 Controls





Outcomes Enterprise Risk Management provides the necessary foundations and organisational arrangements for managing risk across the organisation. It outlines how an organisation effectively and efficiently manages risks. It strengthens the overall practices, decision making and resource allocation.

The benefits of ERM are:

- Effective management of adverse events or opportunities that impact on the organisation’s goals and objectives.

- Making informed decisions regarding management of potential negative effects of risk and taking advantage of potential opportunities.

- Improved planning and performance management processes. This enables the organisation to focus on core business service delivery and implement business improvements.

- Ability to direct resources to risks of greatest significance or impact.

- Greater organisational efficiencies through avoiding ‘surprises’.

- Creation of a positive culture in which people understand their role in contributing to the achievement of objectives.

A good embedded ERM system aims to:

- Integrate enterprise risk management within the organisation’s performance management cycle.

- Communicate the benefits of risk management.

- Convey the organisation’s policy, approach and attitude to risk management.

- Set the scope and application of risk management within the organisation.

- Establish the roles and responsibilities for managing risk.

- Set out a consistent approach for managing risks, aligned with relevant standards and industry best practice.

- Detail the process for escalating and reporting risks.

- Convey the organisation’s commitment to periodic reviews and verifications of the ERM system and its continual improvement.

- Describe the resources available to assist those with accountability or responsibility for managing risks.

- Ensure the organisation meets its risk reporting obligations.

The ERM principles guide how effectively and efficiently risks are managed:

- Creating and protecting value – ERM contributes to the achievement of objectives and improves performance in areas such as corporate governance, program and project management, and health and safety of staff.

- An integral part of all organisational processes – ERM is not performed in isolation. Rather, it is an integral part of our governance and accountability arrangements, performance management, planning and reporting processes.

- Part of decision-making – ERM aids decision-makers to make informed choices, prioritise activities and identify the most effective and efficient course of action.

- Explicitly addressing uncertainty – ERM identifies the nature of uncertainty and how it can be addressed through a range of mechanisms, such as sourcing risk assessment information and implementing risk controls.

- Systematic, structured and timely – ERM contributes to efficiency, consistent, comparable and reliable results.

- Based on the best available information – ERM should draw on diverse sources of historical data, expert judgment and stakeholder feedback to make evidence-based decisions. Decision-makers should be cognisant of the limitations of data, modelling and divergence among experts.

- Tailored – ERM aligns with the internal and external environment within which the organisation operates, and in the context of the organisation’s risk profile.

- Human and cultural factors – ERM recognises that the capabilities, perceptions and aims of people (internal and external) can aid or hinder the achievement of objectives.

- Transparent and inclusive – ERM requires appropriate and timely involvement of stakeholders to ensure that it stays relevant and up to date. Involving stakeholders in decision making processes enables diverse views to be taken into account when determining risk criteria.

- Dynamic, iterative and responsive to change – ERM responds swiftly to both internal and external events, changes in the environmental context and knowledge, results of monitoring and reviewing activities, new risks that emerge and others that change or disappear.

- Continual improvement of the organisation – ERM facilitates continuous improvement of operations by developing and implementing strategies to improve risk management maturity.


GEC05 - Communications

GEC05Communications

GEC05.01Internal

Communication Strategy Development

GEC05.03Brand Strategy Development

GEC05.04Internal Communication

Planning

GEC05.05External Communication

Planning GEC05.06Communication

Governance

GEC05.07Communication KPI

Management

GEC05.08Public Relations

Development

GEC05.09Event Development

GEC05.10Communication

Design

GEC05.11Communication

Operations

GEC05.02External

Communication Strategy Development

Capability Description The Communications capability provides strategic communications consultation, media relations efforts, strategic digital communication and planning services on behalf of the organisation.


Id Name Description

GEC05.01 Internal Communication Strategy Development

Internal Communications serves as a channel or network that links parts of the organisation together. Much of the communication that occurs in an organisation is informal and uncontrollable, other communications are structured and intentional and carefully planned. An internal customer insight mechanism needs to be in place for internal strategy development. The development of the internal communications strategy is to identify: - What are the goals, ambitions and it strategic aspirations for the future? - What do the people in the organisation need to think, feel and do in order to make those goals a reality? - Where are employees now? What needs to change in their current perceptions, attitudes, or access to basic information? - What’s the role of the internal communication function in helping close the gap of what we want for the future, and what we’ve got today? - What are the roles and responsibilities of leaders, managers, employees and communication professionals? - What are the communication activities we’re going to need – and who will be responsible for what? - What resource levels do we need?

GEC05.02 External Communication Strategy Development

External Communications Strategy Development refers to policy-making and guidance for consistent information activity between organisations. It includes the organisation’s efforts to understand and engage with key audiences to create, strengthen, or preserve conditions favourable for the advancement of organisation’s interests, policies, and objectives through the use of coordinated programmes, plans, themes, messages, and products.

GEC05.03 Brand Strategy Development

Brand Strategy Development is the capability to determine what its brand promises and what its brand values and attributes are. The brand strategy must take into account internal and external audiences, how the organisation will implement the brand promises with both, and how adherence to the strategy and the value of the brand will be measured.


GEC05.04 Internal Communication Planning

Internal Communication Planning is the capability to design plans and roadmaps to achieve the internal communication strategic goals and objectives.

GEC05.05 External Communication Planning

External Communication Planning is the capability to plan and realise information flow, communication, media development and image care in a long-term. It conveys deliberate messages through the most suitable media to the designated audiences at the appropriate time to contribute to and achieve the desired long-term effect. External Communication Planning has to bring three factors into balance: the messages, the media channels and the audiences.

GEC05.06 Communication Governance

Communication Governance capability is a set of regulation that structure the development of communication systems. It covers policy, regulatory, legal and economic aspects of media and communication services.

GEC05.07 Communication KPI Management

The Communication KPI Management capability sets out the KPIs for internal and external communications. It focusses on the intended outcome and the shared responsibility. For example, increased inter-departmental communication is a way to gain internal efficiencies. External Communications can be broken down into external communications and marketing functions, corporate branding, identity, effect on stakeholders' relations, media relations, issues management and crisis communications, all with different desired outcomes and therefor KPIs.

GEC05.08 Public Relations Development

Public Relations Development capability involves: - Establishing a news release calendar - Reaching out to the media in the form of pitching reporters and placing articles - Contributing articles - Publishing case studies - Speaking at conferences and forums - Writing blogs and participating in social media discussions - Crisis planning is also an essential part of PR development. This should include all possible negative scenarios and the appropriate responses to them.

GEC05.09 Event Development

Event Development involves the following steps: - Developing event goal and objectives - Organising an event team - Scheduling dates - Branding the event - Creating a master plan for the event - Determining administrative processes - Identifying and establishing partnerships and sponsors - Creating a publicity plan - Determining an evaluation process

GEC05.10 Communication Design

Communication Design is the capability to design and develop communication with people with media such as prints, crafts, electronic media or presentations. A communication design approach is not only concerned with developing the message aside from the aesthetics in media, but also with creating new media channels to ensure the message reaches the target audience. Some designers use graphic design and communication design interchangeably due to overlapping skills.

GEC05.11 Communication Operations

Communication Operations is the capability of the day-to day operations of communications such as sharing of information, event operations, implement communication channels, delivery of information, communication training, broadcasting, scanning online news, etc.


Resource requirements Communication capability will have an impact on all the Business Domains. The impact on B1 New Zealand Society, B2 Individuals and Communities, B3 Businesses, B4 Civic Infrastructure, and B5 Government Administration will depend on the specific agency or sector.

The Business functions, Applications and ICT Services and Data and Information which the Communications capability Influences (i), produces or affects (p), and/or uses (u)

06 12

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GEC05 Communications

GEC05.01 Internal Communication

Strategy Developmentu u u u u u u u u u i i i

GEC05.02 External Communication

Strategy Developmenti u u u u u u u u u u u u u u u u u i i i i

GEC05.03 Brand Strategy Development i u u u u p u i i


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GEC05.09 Event Development u u u u u u u u u u u u p p

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GEC05.11 Communication Operations u

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k

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ance

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cal

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GEC05 Communications


Strategy Developmenti i i u u u u u u u u u u u u u u u u u u

p

i u


Strategy Developmenti i u u u u u u u i u u u u u

p


p

p u u u u u u

GEC05.03 Brand Strategy Development u u i u u u

p

u u u

p


Planningu

p

i u u

p

u

p

u u u u i u

p

u

p

u p u u i u i i u

p

u

p

u


Planningu i i i i i i u u u i i i u p u u u u u u u u

p

i u u u u u u

GEC05.06 Communication Governance u i i u i i i u i i i u i u u u u u u u u u

p

i

GEC05.07 Communication KPI

Managementu u u u u u u u u u u u u u u

p

u u

GEC05.08 Public Relations Development u u i i i i u u u i i u i u i u u u i u u u u

p

i i i i u

p

i i i i i

GEC05.09 Event Development i u u u u u u u

p

i i u u u u i u p u u u u u u u i u

p

u

p

i i u

p

u u u u u u

GEC05.10 Communication Design i u i u u u u u

p

p u u

p

p i i p p u p u u u u u u u u

p

i i

GEC05.11 Communication Operations p u u u u u

p

u

p

u u

p

u

p

p u u p u p u u u u u u u u

p

u

p

i

D1.02 Controls





Outcomes

Communication is an instrument of strategy; it helps the organisation share and communicates goals and objectives to internal and external stakeholders. A good internal communication strategy, management, and design create a sense of community and trust with employees, create a line of sight for the employees and engage them to make the business perform successfully.

The outcomes of a good internal communication capability are:

- Employees understand the goals and objectives of the organisation. They feel valued, listened to, and are an important part of the overall organisation.

- Employees are more productive and there is meaning to their work. As a result, they contribute more and feel better about their contribution and the organisation so they stay on the job and help move the business forward.

- Leaders are better able to understand employee needs and how to meet those needs to motivate, inspire and engage them.

- Overall benefits - higher levels of performance and better business results.

Almost all major organisation are undergoing some sort of transformation which is predominantly focussed on technology. But new technology does not secure success, the people who are going to use the new technologies who add an unpredictable, complex dimension.

Open and frequent communication is an essential factor in successful transformation. Give people the information they need about the benefits and impact of the transformation, and they will more readily accept and support the effort. Leaders of transformation programs need a strategy that incorporates the communication needs of key stakeholders, the resources and channels required to reach these audiences, and the processes that support an understanding of the goals and benefits of the transformation programme.

It is important to understand that neglecting to provide information to the public represents a serious impediment to governance, and underscoring the benefits of improved government communication has a strong multiplier effect. This point underlies the need to address what incentives the organisation has to share information -both internally and externally- or be held accountable, and explain how improved communication capacity can deliver those benefits.

Government entities have three primary functions of communication: informing, advocating/persuading for policies and reforms, and engaging citizens. Communication represents an important function of government, responsible for improving three principle elements of government:

- Effectiveness - building broad support and legitimacy for programs.

- Responsiveness - knowing citizens needs and responding to them.

- Accountability - explaining government stewardship and providing mechanisms to hold governments accountable.

External communication, with the media and the public, can have a disciplining impact on policy work and help coordinate communication within governments, because consistent internal information is required to communicate efficiently and effectively with external audiences.


GEC06 - ICT Management

GEC06ICT Management

GEC06.01ICT Strategy

Development

GEC06.02ICT Planning

GEC06.03ICT Change

Planning

GEC06.07ICT Service Transition

GEC06.04ICT Governance

GEC06.05ICT Performance

Management

GEC06.08ICT Service Design and

Development

GEC06.06Technology

Benchmarking

GEC06.10Continuous ICT Service

Improvement

GEC06.09ICT Service Delivery

Capability Description ICT Management is the capability to plan, organises, direct, control and coordinate, development, maintenance and use of information, technology and telecommunication systems within the organisation.


Id Name Description

GEC06.01 ICT Strategy Development

ICT Strategy Development is the capability to create an ICT strategy for the organisation which aligns the priorities of ICT with the priorities of the business, ensures that ICT is capable of fulfilling its role in the business, and aligns the characteristics of ICT with those of the business.

GEC06.02 ICT Planning ICT Planning is the capability to design plans and roadmaps for information and technology systems to be aligned with the overall strategic goals and objectives.

GEC06.03 ICT Change Management

ICT Change Management is an ICT service management discipline. The objective of ICT Change Management is to ensure that standardised methods and procedures are used for efficient and prompt handling of all changes to control ICT infrastructure, in order to minimise the number and impact of any related incidents upon service. Changes in the ICT infrastructure may arise reactively in response to problems or externally imposed requirements, e.g. legislative changes, or proactively from seeking improved efficiency and effectiveness or to enable or reflect business initiatives, or from programmes, projects or service improvement initiatives. ICT Change Management can ensure standardised methods, processes and procedures which are used for all changes, facilitate efficient and prompt handling of all changes, and maintain the proper balance between the need for change and the potential detrimental impact of changes. ICT Change Management is often associated with ITIL.

GEC06.04 ICT Governance ICT governance is the system by which the current and future use of ICT is directed and controlled. It involves evaluating and directing the plans for the use of ICT to support the organisation and monitoring this use to achieve plans. It includes the strategy and policies for using ICT within an organisation.

GEC06.05 ICT Performance Management

ICT Performance Management is a capability to monitor and measure relevant performance metrics to assess the performance of ICT resources such as networks, applications, self-learning, and business transactions.


GEC06.06 Technology Benchmarking

Technology Benchmarking is the capability to compare the performance of an organisation with best practices and technology of others. Technology Benchmarking focuses on the understanding details of the organisation's processes, and then compare those with that of others analysed. Comparison may also involve best practice based on standards and specifications stemming from the systematic study of science literature, and business literature with the scope to identify relevant information and technologies. In many cases, dedicated journals provide indicators that compare characteristics of similar products / technologies that make a comparison easier.

GEC06.07 ICT Service Transition

ICT Service Transition is the roll-out of systems, services and project deliverables. They must occur in a controlled manner without compromising data security. This ensures that the roll-out of the deliverables does not jeopardise the business. ICT Service Transition needs to consider different phases of the roll-out for a service or process and the possibility for automation. In roll-outs it is necessary to prepare for unexpected situations by ensuring a roll-back to the previous state is possible should the need arise. ICT Service Transition builds the organisational capabilities for efficient service operation and for keeping the service promise.

GEC06.08 ICT Service Design and Development

ICT Service Design and Development is the analysis, design, and development of digital services. ICT Service Design and Development starts by examining how the customer value of an existing service or a new opportunity could be increased. Analysis of user needs and experience should result in a fitting service concept and an appropriate user interface design.

GEC06.09 ICT Service Delivery

ICT Service Delivery is the capability to operate, promote, deliver, fix, and charge the developed ICT services to the end user. The operational part is the roll-out of systems, services and project deliverables. ICT Service Delivery builds the organisational capabilities for efficient service operation and for keeping the service promise. It also makes sure that the business continuity and disaster and recovery environment are in place and continuously maintained.

GEC06.10 Continuous ICT Service Improvement

Continuous ICT Service Improvement is the capability to produces small and big improvements to ICT service quality, operative efficiency and to business continuity. Continuous ICT Service Improvement is possible through transparent measurement of services and service processes, analysis of measurement results and by means of further development in cooperation with the business. Assessment and implementation of ICT service improvement possibilities is a continual process. The Continuous ICT Service Improvement proposals accepted by the business are transferred to service production through service design and service transition. Continuous Service Improvement also includes preparing for changes in the ICT operating environment.


Resource requirements The Business functions, Applications and ICT Services and Data and Information which the Communications capability Influences (i), produces or affects (p), and/or uses (u).

06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

Dom

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GEC06 ICT Management

GEC06.01 ICT Strategy Development i u u u u u u u u u u u u u u u u p u u u u u u u u u u u u u u

GEC06.02 ICT Planning u u u u u u u u u u u u i i u i i i i u u u u i u u i u

GEC06.03 ICT Change Management i i u u u i u u u u u u u i i i i u i i i i i u i u u i i i i i i i u i

GEC06.04 ICT Governance i i i i u u i i u i i i i i i i u u i i u i u i i i

GEC06.05 ICT Performance Management u u u u

p

u u u u u i i u u u u u u u u

GEC06.06 Technology Benchmarking u u u u u u u u u u u

GEC06.07 ICT Service Transition i u i u u u u u u i i i u i i i i u u u u u u i u u i u

GEC06.08 ICT Service Design and

Developmenti i u i i i u u i p p p i i u u u i i u i u u u u

GEC06.09 ICT Service Delivery u

p

u

p

u u u

p

u u u p i i i p i i u u u u u i u u

p

u u

GEC06.10 Continuous ICT Service

Improvementi u u u u

p

u u u i i i i i i i u u u u u i u u

p

u u




01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

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ain

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GEC06 ICT Management

GEC06.01 ICT Strategy Development u u u u i u u u u u u u u u u u u u u u u u u u u u i i u i u u u u u u u

p

u u

p

i

GEC06.02 ICT Planning u i i u u i u i i u u u u u u u i i i i i i i i i i i i i i i u u p p p u u

p


p

u u

p

i

GEC06.03 ICT Change Management u i i u u u i u i i i i i i i i i u u u i i i i i i i i i i i i i i i i i i u u i i u p u

p


p

u u

p

i

GEC06.04 ICT Governance i i i i i i i i i i i u u u u i i i i i i i i i i i p u u u u u u u i i i i u u u u

p

u u

p

i

GEC06.05 ICT Performance Management u u u i u i u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u u

p

u u

p

i

GEC06.06 Technology Benchmarking u i u i u u u u u u u u u u u u u u u u u u u u u u u u u u u

p

u u

p

i

GEC06.07 ICT Service Transition u i i u u i u i i u u u u u u u i i i i i i i i i i i i i i i u u p p p u u

p


p

u u

p

i

GEC06.08 ICT Service Design and

Developmentu i i u u i i i u i i i i i u

p

i i u u i i i u i i i i i i i u i i i i i i i i i i i u u u

p

u u u u u u i i i u

p

u u

p

i

GEC06.09 ICT Service Delivery u u u i i u

p

i u

p

u

p

u

p

u

p

u

p

u u

p

u u u u

p

u

p

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p

u

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p

u u

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GEC06.10 Continuous ICT Service

Improvementu u u i i u

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D1.02 Controls





Outcomes

The ICT Management capability covers the entire service lifecycle from the identification of business requirements, to designing and embedding a solution to maintaining the new service through continuous review and improvement.

Good ICT management helps with improving product and services by:

- Managing business risk and service disruption or failure.

- Improving and developing positive relationships with customers by delivering efficient services that meet their needs.

- Establishing cost-effective systems for managing demand for product and services.

- Support business change whilst maintaining a stable system environment.

Improved ICT management will:

- Improve ICT resource utilisation

- Increase the overall business performance

- Decrease rework and eliminate redundant work

- Improve project deliverables and time

- Improve the availability, reliability and security of mission critical ICT services

- Justify the cost of service quality and improvements

- Provide services that meet business, customer and user demands

- Integrate central processes

- Document and communicate roles and responsibilities in ICT service provision

- Learn from previous experience

- Provide demonstrable performance indicators.


GEC07 - Information and Knowledge Management

GEC07Information and Knowledge

Management

GEC07.01Information and

Knowledge Strategy Development

GEC07.02Information and Knowledge

Planning

GEC07.03Data and Information

Governance

GEC07.04Knowledge Mapping

GEC07.05Expert Directory

Management

GEC07.07 Best Practice

Transfer

GEC07.06Lessons Learned


Utilisation


Sharing / Exchange

GEC07.08Knowledge Protocol

Development

GEC07.11Information

Discovery

Capability Description Information and Knowledge management is the capability to capture, develop, share, and effectively use organisational information for decision making to achieve organisational goals and objectives. Information and knowledge management typically focus on organisational objectives such as improved performance, competitive advantage, innovation, the sharing of lessons learned, integration and continuous improvement of the organisation. The information and knowledge management efforts overlap with organisational learning and may be distinguished from that by a greater focus on the management of knowledge as a strategic asset and a focus on encouraging the sharing of knowledge. It is an enabler of organisational learning.


Id Name Description

GEC07.01 Information and Knowledge Strategy Development

The Information and Knowledge Strategy Development is the capability to develop a strategy that meets the knowledge and information requirements of the organisation and the general public.

GEC07.02 Information and Knowledge Planning

Information and Knowledge Planning is the capability to design plans and roadmaps to implement the Information and Knowledge strategy.

GEC07.03 Data and Information Governance

Data and Information Governance is the capability to manage the availability, usability, integrity, and security of the data and information employed in an organisation A sound data and information governance includes a governing body or council, a defined set of procedures, and a plan to execute those procedures. The GCIO team has developed a Data and Information Governance Framework and Maturity Assessment and artefacts which provide feedback on the maturity, and a recommended roadmap and tools to improve maturity.

GEC07.04 Knowledge Mapping

Knowledge mapping is the capability to identify and categorise knowledge assets within the organisation – people, processes, content, and technology.

GEC07.05 Expertise Directory Management

The Expertise Directory Management is the capability to minimise the amount of time spent looking for critical information and knowledge. Creating an expertise directory is a key step in knowledge management. An expertise directory allows for those in the organisation to begin to identify who in the organisation has critical expertise - "know how" that is needed to ensure that the organisation achieve its strategic goals and objectives. Every organisation has a strong expertise base -- the challenge being in finding a way to identify and tap into experts.


GEC07.06 Lessons Learned Lessons Learned is the capability to review or de-brief what happened, why it happened, and how it can be done better by the participants and those responsible for the project or event. Lessons learned are based around events that were not planned or anticipated in the course of doing a piece of work, but that had an impact on the outcome of that work – they can be positive as well as negative, so lessons learned can be about making sure you repeat what worked well, as well as avoiding pitfalls.

The capability cover more than just performing a review – it also embed the lessons identified in these reviews into practice, and monitor, report, and define accountability to ensure that lessons identified are followed up and embedded into future practice so that they are truly ‘learned’

GEC07.07 Best Practice Transfer

Best Practice Transfer is the capability to identify and learn from best practices and applying them in a new configuration or a new location. The key factor in the transfer of best practices is to make the ‘recipients of best practices’ understand the need for the implementation of best practices. Managers of the recipient organisation should focus on how to create this perception among their employees. Essentially, the transfer of best practices demands changes in performance, communication and behaviour. Therefore, the two parties involved in the exchange of best practices, ‘the source’ and ‘the recipient’ should work together on the teaching, learning and improvement process.

GEC07.08 Knowledge Protocol Development

Knowledge Protocol Development is the capability to develop a protocol to proof that the knowledge received is true, the source of the knowledge is reliable, and to ensure the reliability of knowledge sent and shared.

GEC07.09 Information and Knowledge Sharing / Exchange

Information and Knowledge Sharing or Exchange is the capability through which information and knowledge (namely, information, skills, or expertise) is exchanged among people, communities, and organisations. Information and Knowledge sharing is important for an organisation because it constitutes a valuable, intangible asset for creating, improving, and sustaining high performance and quality of product and services. Information and knowledge sharing activities are generally supported by information and knowledge management systems. However, technology constitutes only one of the many factors that affect the sharing of knowledge in organisations, such as organisational culture, trust, and incentives. The sharing of information and knowledge constitutes a major challenge in the field of information and knowledge management.

There are several types of information and knowledge sharing: • Explicit information and knowledge sharing occurs when explicit information and knowledge is made available to be shared between entities. Explicit information and knowledge sharing can happen successfully when the following criteria are met: - Articulation: the information and knowledge provider can describe the information. - Awareness: the recipient must be aware that information and knowledge is available. - Access: the information and knowledge recipient can access the information and knowledge provider. - Guidance: the body of information and knowledge must be defined and differentiated into different topics or domains so as to avoid information overload, and to provide easy access to appropriate material. Information and knowledge managers are often considered key figures in the creation of an effective information and knowledge sharing system. - Completeness: the holistic approach to information and knowledge sharing in the form of both centrally managed and self-published information and knowledge.


• Tacit information and knowledge sharing occurs through different types of socialisation. Although tacit information and knowledge is difficult to identify and codify, relevant factors that influence tacit information and knowledge sharing include: - Informal networks such as daily interactions between people within a defined environment (work, school, home, etc.). These networks span hierarchies and functions. - The provision of space where people can engage in unstructured or unmonitored discussions, thereby fostering informal networks. - Unstructured, less-structured or experimental work practices that encourage creative problem solving, and the development of social networks. • Embedded information and knowledge sharing occurs when information and knowledge is shared through clearly delineated products, processes, routines, etc. This information and knowledge can be shared in different ways, such as: - Scenario planning and debriefing: providing a structured space to create possible scenarios, followed by a discussion of what happened, and how it could have been different. - Management training. - Information and knowledge transfer: deliberately integrating systems, processes, routines, etc., to combine and share relevant information and knowledge. Connection to ICT systems - ICT systems are common tools that help facilitate information and knowledge sharing and management. The main role of ICT systems is to help people share information and knowledge through common platforms and electronic storage to help make access simpler, encouraging reuse of information and knowledge. ICT systems can provide codification, personalisation, and electronic repositories for information and can help people locate each other to communicate directly. With appropriate training and education, ICT systems can make it easier for organisations to acquire, store or disseminate knowledge.

GEC07.10 Information and Knowledge Utilisation

Information and Knowledge Utilisation is the overarching term that includes research utilisation and evidence-based practice, pertains to the use of knowledge generated through research for policy and practice decisions. It includes research, scholarly practice, and programmatic interventions aimed at increasing the use of knowledge to solve organisational, social, and economic problems.

GEC07.11 Information Discovery

Information Discovery is the capability to distil the organisation’s data and information down to the most pertinent evidence pertaining to a court-related matter or compliance directive. The major information discovery steps include: - Work with subject matter expert to look at all the scenarios, processes, and projects and gather all the information assets used, produced and/or changed during those scenarios, processes, and projects. The Government Enterprise Architect team has designed an Information Discovery process that causes the GEA-NZ v3+ Data and Information Reference Model to efficiently discover information. - Managing the entire data and information asset catalogue in a manner to identify all evidence associated with specific matters to make evidence based decisions. Note: The Information Assets Catalogue template is available through the Government Enterprise Architecture team.


Resource requirements The Business functions, Applications and ICT Services and Data and Information which the Communications capability Influences (i), produces or affects (p), and/or uses (u)

06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

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GEC07 Information and Knowledge

Management

GEC07.01 Information and Knowledge

Strategy Developmenti u u u u u u u u u u u u u u u u u i u u u u u u u u u u

p

u u u u u u u u u


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p

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u u u u u i i i i i i i i u

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GEC07.06 Lessons Learned u u u u u i i i i u i i i i i

GEC07.07 Best Practice Transfer u u u u i i u u u u u i i i i i i i i i

GEC07.08 Knowledge Protocol

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GEC07.11 Information Discovery u u u u i u u u u u u u u u u u u u u i




01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

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GEC07 Information and Knowledge

Management


Strategy Developmentu u u u u u u u u u u u u i i i i i i u u u u u u u u u u u

p

u u i


Planningu u u u u i u u u u u u u u u u i i u u u u i u

p

u

p

u

p

i u u

p

u u

p

u u

GEC07.03 Data and Information

Governancei i i i i i i i u i i u

p

u

p

u

p

i i i i i i i i i i i i u i i i i i i i u

p

u i

GEC07.04 Knowledge Mapping u u u u u u u u u i i u u u u u u u u u u u u u u u u

p

u u u u u u u

GEC07.05 Expert Directory Management i i i u

p

u u u i i u u u u u u u u u u u u u

p

u u

p

u u u u u u

GEC07.06 Lessons Learned i i i u u u u u u u u u i u u u u u

p

u u

p

u u u u u u

GEC07.07 Best Practice Transfer i i i i i i u u u

p

u u u u i i i i i i i u u u u i u

p

u

p

u u u u i u

GEC07.08 Knowledge Protocol

Developmenti i i i i i u u u u u u i i i i i i i i i i u u

p

u u u u u i u


Sharing / Exchangeu u i i i i i i u u u u u u u

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u u u u u u u u u u u u u u u u

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GEC07.11 Information Discovery u u u u u u u u u i i u u u i i u u u u u i u u u u

p

u u

p

u u u u u u

D1.02 Controls





Outcomes

The principal outcomes of having an information and knowledge management capability within an organisation are the following:

- It enables a better and faster decision-making based on evidence - By delivering relevant information at the time of need through structure, search, subscription, syndication, and support, an information and knowledge management environment can provide the basis for making good decisions. Collaboration brings the power of large numbers, diverse opinions, and varied experience to bear when decisions need to be made. The reuse of information and knowledge in repositories allows decisions be based on actual experience, large sample sizes, and practical lessons learned.

- It makes it easy to find relevant information and resources - When faced with a need to respond to a customer, solve a problem, analyse trends, assess markets, benchmark against peers, create new products and services, plan strategy, and to think critically, you typically look for information and resources to support these activities. If it is easy and fast to find what you need when you need it, you can perform all of these tasks efficiently.

- It identifies the reuse of ideas, documents, and expertise - Once the organisation has developed an effective process, you want to ensure that others use the process each time a similar requirement arises. If someone has written a document or created a presentation which addresses a recurring need, it should be used in all future similar situations. When members of the organisation have figured out how to solve a common problem, know how to deliver a recurring service, or have invented a new product, you want that same solution, service, and product to be replicated as much as possible. Just as the recycling of materials is good for the environment, reuse is good for organisations because it minimises rework, prevents problems, saves time, and accelerates progress.

- It avoids redundant effort - No one likes to spend time doing something over again. But they do so all the time for a variety of reasons. Avoiding duplication of effort saves time and money, keeps employee morale up, and streamlines work. By not spending time reinventing the wheel, the organisation can have more time on being innovative.

- It avoids making the same mistakes twice - If the organisation doesn't learn from their mistakes, it will experience them over and over again. Information and knowledge management allows the organisation to share lessons learned, not only about successes, but also about failures. In order to do so, the organisation must have a culture of trust, openness, and reward for willingness to talk about what we have done wrong. The potential benefits are enormous.

- It takes advantage of existing expertise and experience - Teams benefit from the individual skills and knowledge of each member. The more complementary expertise the team has, the greater the power of the team. In large organisations, there are people with widely-varying capabilities and backgrounds, and there should be a benefit from this. But as the number of people increases, it becomes more difficult for each individual to know about everyone else. So even though there are people with knowledge who could help other people, they don't know about each other. Knowing what others know can be very helpful at a time of need, since you learn from their experience and apply it to your current requirements.

- It communicates important information widely and quickly - Almost everyone today is an information worker, either completely or partially. We all need information to do our jobs effectively, but we also suffer from information overload from an increasing variety of sources. How can we get information that is targeted, useful, and timely without drowning in a sea of email, having to visit hundreds of web sites, or reading through tons of printed material? Information and knowledge management helps address this problem through personalised portals, targeted subscriptions, RSS feeds, tagging, and specialised search engines.

- It promotes standard, repeatable processes and procedures - If standard processes and procedures have been defined, they should always be followed. This allows employees to learn how things are done, leads to predictable and high-quality results, and enables the organisations to be consistent in how work is performed. By providing a process for creating, storing, communicating, and using standard processes and procedures, employees will be able to use them routinely.

- It provides methods, tools, templates, techniques, and examples - Methods, tools, templates, techniques, and examples are the building blocks supporting repeatable processes and procedures. Using these consistently streamlines work, improves quality, and ensures compatibility across the organisation.

- It makes scarce expertise widely available - If there is a resource that is in great demand due to having a skill which is in short supply, information and knowledge management can help make that resource available to the entire organisation. Ways of doing so include community discussion forums, training events; ask the expert systems, recorded presentations, white papers, podcasts, and blogs.

- It shows customers how information and knowledge is used for their benefit - Demonstrating to potential and current customers that the organisation has a widespread expertise and has ways of bringing it to bear for their benefit can help build trust and convince the customer to start or continue engaging with the organisation.

- It accelerates the delivery of product and services to customers - Information and knowledge sharing, reuse and innovation can significantly reduce time to deliver product and services to a customer.

- It stimulates innovation - Creating new knowledge through effective information and knowledge sharing, collaboration, and information delivery can stimulate innovation.


GEC08 - Relationship Management

GEC08Relationship Management

GEC08.01Stakeholder Engagement

Strategy Development


Planning


Governance

GEC08.04Customer Experience

Management

GEC08.05Stakeholder Satisfaction

Management

GEC08.06Service Level Agreement

Management

GEC08.08Continuous Stakeholder

Engagement


Development

Capability Description

Relationship Management is the capability to influence and strategically engage with different stakeholders at different levels of the organisation, and external stakeholders, to ensure the success of agreed strategies and initiatives.

Relationship management can be between the organisation and:

- Customers - customer relationship management

- Business partners - business relationship management

- Vendors - vendor management

- Agencies – Specifically for government entities, the engaging with senior ICT and business leaders across government.


Id Name Description

GEC08.01 Stakeholder Engagement Strategy Development

Stakeholder Engagement Strategy Development is the capability to design a strategy and process used to engage with relevant stakeholders for a purpose to achieve strategic goals and objectives. There are five different kinds of stakeholder engagement approaches: Partnership, Participation, Consultation, Push communications, and Pull communications (see diagram).

Each approach is a valid method of stakeholder engagement, but more suited to particular stakeholder types. Pull communications are one-way and depend on stakeholders deciding to access the information. At the other end of the pyramid partnership engagement approaches give shared accountability, decision making, joint learning and actions.


Stakeholder Engagement approaches: - Partnership - Shared accountability and responsibility. Two-way engagement joint learning, decision making and actions. - Participation - Part of the team, engaged in delivering tasks or with responsibility for a particular area/activity. Two-way engagement within limits of responsibility. - Consultation - Involved, but not responsible and not necessarily able to influence outside of consultation boundaries. Limited two-way engagement: organisation asks questions, stakeholders answer. - Push communications - One-way engagement. Organisation may broadcast information to all stakeholders or target particular stakeholder groups using various channels e.g. email, letter, webcasts, podcasts, videos, leaflets. - Pull communications - One-way engagement. Information is made available. Stakeholders choose whether to engage with it or not.

GEC08.02 Stakeholder Engagement Planning

Stakeholder Engagement Planning is the capability to design plans and to implement the stakeholder engagement strategy and approaches.

GEC08.03 Stakeholder Engagement Governance

Stakeholder Governance is the capability to bring stakeholders together to participate in the dialogue, decision making, and implementation of solutions to common problems or goals. It involves the full involvement of all stakeholders, consensus-based decision-making and operating in an open, transparent and accountable manner. Possible characteristics are: (see table on next page).

GEC08.04 Customer Experience Management

Customer Experience Management is the capability to track, oversee and organise every interaction between a customer and the organisation throughout the customer's lifecycle. The goal of is to optimise interactions from the customer's perspective and, as a result, foster customer loyalty.

GEC08.05 Stakeholder Satisfaction Management

Stakeholder Satisfaction Management is a critical component to the successful delivery of any project, programme or activity. Effective Stakeholder Satisfaction Management creates positive relationships with stakeholders through the appropriate management of their expectations and agreed objectives. It identifies the stakeholder, determines their influence and interest, and prioritises the engagement approach (see quadrant).

Stakeholder Quadrant

P

ow

er Keep satisfied Manage closely

Monitor Keep informed

Interest

GEC08.06 Service Level Agreement Management

Service Level Agreement (SLA) Management is the capability to manage, monitor, and report on the negotiated agreements with providers, venders, 3rd parties.

GEC08.07 Stakeholder Engagement Development

Stakeholder Engagement Development is the capability to develop an engagement approach for each stakeholder.

GEC08.08 Continuous Stakeholder Engagement

Continuous Stakeholder Engagement is the capability to continuously engage with stakeholders according to the strategy and approach set out by the organisation.


Possible Characteristics of Stakeholder Governance

Stakeholder groups

Government Agencies

NGOs Experts Communities Peers / Suppliers (vendors, providers)

Investors Customers Employees

Group Composition

Multi -multiple stakeholder groups involved-

Mono -single stakeholder group involved-

Scope of the participants

Strategic -General business strategy-

Managerial -e.g. CR Strategy-

Operational -specific issues, e.g. health and safety-

Tools Board Multi-stakeholder initiatives

Collaboration / Partnership

Committees / Panels

Dialogue / Forums Meetings / Workshops

Focus groups / Interviews

Surveys / Polls

Level of Engagement

Empower Collaborate Involvement Consulting Information / Communication

Impact Stakeholder power

High -Develop policies, make

decisions-

Medium -Guide policies and KPIs-

Low -Issues identification,

guide reporting-

Vague -Unspecified impact-

None



06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

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GEC08 Relationship Management

GEC08.01 Stakeholder Engagement

Strategy Developmentu u u u u u u u u u u u u


Planningi i u i u u u u u i u u u


Governancei i u i u u i i i i i u i

GEC08.04 Customer Experience

Managementu

p

i u u u u

p

GEC08.05 Stakeholder Satisfaction

Managementi i u

p

i u u u i i u u i u

p

i

GEC08.06 Service Level Agreement

Managementu u u

p

u u u i u

p


Developmenti u

p

u u u i u

p

GEC08.08 Continuous Stakeholder

Engagementi i u

p

u u u i i i i u u




Outcome

There are several outcomes of the relationship management capability is multiple depending on the specific relationship: customer, vendor, supplier, provider, business partners, 3rd parties, internal staff, agencies, etc.

The outcomes can be grouped as follows:

- Encouraging an atmosphere of trust, openness and clear communication and an attitude based on working together and shared objectives.

- Proactively looking for ways to improve the relationship and ensure stakeholders feel involved.

- Establishing and managing an effective communication framework between all stakeholders.

- Ensuring, where possible, that communications at all levels are peer to peer

- Managing the resolution of disputes – resolving ‘soft’ tensions between agency and supplier, and "managing upwards" to ensure senior management are informed about issues before they escalate and can intervene as appropriate.

- Establishing regular reporting procedures, formal and informal.

- Organising forums, seminars, training and other information-sharing activities.

01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

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dm

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nd

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ess

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on

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Ne

two

rk S

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es

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bli

c K

ey

Infr

astr

uct

ure

(P

KI)

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ntr

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ital

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ren

sics

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se S

ecu

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me

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mp

on

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ts

ICT

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en

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ype

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grat

ion

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a In

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e

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k

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ance

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ust

ry

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cal

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ange

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ype

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& I

CT

Serv

ice

s

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astr

uct

ure

Nat

ura

l

Fin

anci

al

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od

s

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gula

tory

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an I

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astr

uct

ure

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om

mo

dat

ion

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ell

ing

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e

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efa

ct

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sage

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m

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mp

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cee

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g

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od

e

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mm

issi

on

of

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uir

y

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im

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qu

est

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er

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rso

nal

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sis

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al

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sin

ess

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e

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el

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con

tro

lle

d

Inte

ract

ion

Ne

w Z

eal

and

So

cie

ty

Ind

ivid

ual

s &

Co

mm

un

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s

Serv

ice

s To

Bu

sin

ess

Civ

ic I

nfr

astr

uct

ure

Go

vern

me

nt

Ad

min

istr

atio

n

Serv

ice

s Fr

om

Bu

sin

ess

GEC08 Relationship Management


Strategy Developmentu u u u u u u u u u u u u u u u u u u u u u u u

p

u u u u u u u


Planningu u u u u u u u u u u u u u u u u

p

u u u u u u u

p

u u u i i i i i i


Governanceu u u u u u u u i i i i i i i i i i u

p

u i i i i i i i i

GEC08.04 Customer Experience

Managementi u u u u u u i i u u u

p

u u i i i i u i

GEC08.05 Stakeholder Satisfaction

Managementu i i u u u u u u i i u u u u

p

u u i i i i i i

GEC08.06 Service Level Agreement

Managementi i u u u u u u i i u u u u

p

u u u u u i u i u


Developmenti i u u u u u u i i u u u u u

p

i i i i i u i

GEC08.08 Continuous Stakeholder

Engagementi i u u u u u u i i i i i u

p

i i i i i i i

D1.02 Controls





GEC09 - Procurement

GEC09Procurement

GEC09.01Procurement Strategy

Development

GEC09.02Procurement Forecasting

and Planning

GEC09.03Procurement Governance

GEC09.04Procurement KPI

Management

GEC09.05Sourcing and Collaboration

Development

GEC09.06Operational

Procurement


Procurement is the capability to:

- Contribute to the continuity of the organisation’s primary business activities

- Control and reduce all procurement related costs

- Reduce the organisation’s risk exposures in relation to its supply markets, and

- Contribute to innovation that improves service delivery.

The 2015 BASS Procurement Capability Maturity Model (CMM) is focussed around elven areas: Strategy and Agency Outcomes, Commercial Leadership, Stakeholder Engagement, Governance, Policy and Practice, Suppliers and Providers, People, and Technology. This framework has been developed by MBIE to improve the difference capabilities of procurement within Government.


Id Name Description

GEC09.01 Procurement Strategy Development

Procurement Strategy Development is the capability to establish, maintain, and effectively operate the organisation’s total procurement function. The capacity for complex analysis of the organisation’s requirements and its major supply markets as well as how best to organise and resource procurement are required, along with the ability to guide the development of supply solutions that support the organisation’s business.

GEC09.02 Procurement Forecasting and Planning

Procurement Forecasting and Planning is the capability to budget, plan and forecast the organisation's long- and short-term procurement goals. - Planning - outlines the organisation's procurement direction and expectations for the next four years. - Budgeting - documents how the overall plan will be executed month to month, specifying expenditures and funding. - Forecasting - uses accumulated historical data to predict procurement outcomes for future months or years.

GEC09.03 Procurement Governance

Procurement Governance is the capability to drive behaviour towards achieving the procurement goals and objectives of the organisation. Procurement Governance defines and allocates accountabilities, communications, standards and major practices, and institutional responsibilities for procurement.


GEC09.04 Procurement KPI Management

Procurement KPI Management is the capability to manage procurement KPIs and set the KPI metrics. Procurement KPIs can be divided into various categories e.g. general procurement measurements, delivery performance, cost measurements, quality, inventory, and people.

GEC09.05 Sourcing and Collaboration Development

Sourcing and Collaboration Development is the capability to collaborate and negotiate with different organisations which have similar business processes. To save costs, the organisations with the best function can insource the business process of the other organisation. Since all of the negotiating parties can be outsources or insources the main challenge in this collaboration is to find a stable coalition and the organisation with the best function.

GEC09.06 Operational Procurement

Operational Procurement is the day to day procurement operations, promotions, delivery, fix, and charges.



06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

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GEC09 Procurement

GEC09.01 Procurement Strategy

Developmentu u u u u u u u u u u i u u i u

GEC09.02 Procurement Forecasting and

Planningu u u u u i u u p u

GEC09.03 Procurement Governance u u i i i i i i i u

GEC09.04 Procurement KPI Management i u u i i u u u i u

GEC09.05 Sourcing and Collaboration

Developmentu u u u u i i i u u u u u

GEC09.06 Operational Procurement i i u u

p

u u u u u u



01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

Dom

ain

Capability Ente

rpri

se R

eso

urc

e P

lan

nin

g (E

RP

)

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al a

nd

Ass

et

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age

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nt

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man

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e

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rt

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re

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ust

ry

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no

logi

cal

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rso

nal

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rity

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ange

me

nt

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hts

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liga

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n

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sdic

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n

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ty

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ion

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le

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ty R

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ip

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ss

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tio

n T

ype

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dre

ss T

ype

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rpo

se o

f Lo

cati

on

Ap

pli

cati

on

& I

CT

Serv

ice

s

Infr

astr

uct

ure

Nat

ura

l

Fin

anci

al

Go

od

s

Re

gula

tory

Urb

an I

nfr

astr

uct

ure

Acc

om

mo

dat

ion

Dw

ell

ing

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e

Art

efa

ct

Was

te

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m U

sage

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er

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m

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mp

lian

ce

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cee

din

g

Epis

od

e

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mm

issi

on

of

Inq

uir

y

Cla

im

Re

qu

est

Ord

er

Pe

rso

nal

Cri

sis

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al

Bu

sin

ess

Trad

e

Trav

el

Un

con

tro

lle

d

Inte

ract

ion

Ne

w Z

eal

and

So

cie

ty

Ind

ivid

ual

s &

Co

mm

un

itie

s

Serv

ice

s To

Bu

sin

ess

Civ

ic I

nfr

astr

uct

ure

Go

vern

me

nt

Ad

min

istr

atio

n

Serv

ice

s Fr

om

Bu

sin

ess

GEC09 Procurement

GEC09.01 Procurement Strategy

Developmentu u u u u u u u u u u u

p

u i i u u

GEC09.02 Procurement Forecasting and

Planningu u u u u u u u u u u u u i u u

p

u u

p

u

p

u i

GEC09.03 Procurement Governance i i u i u u i i i i i u

p

i i i i i

GEC09.04 Procurement KPI Management i u u u i u u p i i i i u i u

p

i i i u

p

u i

GEC09.05 Sourcing and Collaboration

Developmenti u u u u u i u u u i i i p u i u

p

u u

p

u

p

u

p

u u

GEC09.06 Operational Procurement u u u u u u i u u u i i i u

p

u i u

p

u u u u

p

u u

D1.02 Controls





Outcomes

Procurement capability outcomes are to:

- Contribute to the continuity of the organisation’s primary business activities

- Control and reduce all procurement related costs

- Reduce the organisation’s risk exposures in relation to its supply markets

- Contribute to innovation that improves service delivery.

There are three procurement drivers.

- Effectiveness reducing the total cost of ownership of external spend using procurement techniques, such as category management, strategic sourcing and supplier relationship management.

- Efficiency reducing costs from within the procurement function and procurement processes, for example, through process reengineering, deploying technology and automation.

- Customer service providing best value materials and services to internal customers on time, to specification, above expectation and with social responsibility.

NZ Government:

The quality of expenditure, regulation and other interventions by government entities has a significant impact on the living standards of New Zealanders. It impacts both directly and indirectly on New Zealand's stocks of financial and physical capital, human capital, social capital and natural capital. Given the significant impact it has, the State sector needs to do the right things in the right ways at the right time and they must be affordable.

The NZ Government has set a challenge for the State sector to make more progress on a number of key results and to deliver better services within lower allowances for new spending.

Meeting this challenge will depend on focusing on government interventions, whether spending, regulation or government ownership, that have the biggest impact on New Zealanders' living standards and that have benefits that outweigh their costs to society. Keeping this focus on effectiveness and efficiency is important, regardless of the fiscal situation. As raising taxes or debt to finance government expenditure and assets has economic costs, we need to make the most of every dollar that is spent.

Capability Maturity Model See the 2015 BASS Procurement Capability Maturity Model (CMM)

http://www.treasury.govt.nz/statesector/performance/bass/benchmarking/2011-12


GEC10 - Human Resource Management

GEC10Human Resource

Management

GEC10.01Recruitment and Skill

Strategy Development

GEC10.02Resource Forecasting and

Planning

GEC10.03Human Resource KPI

Management

GEC10.04Human Resource

Governance

GEC10.05Selection Criteria

Management

GEC10.06Staff Training Criteria

Management

GEC10.08Human Resource

Operations

GEC10.07Workforce Capability

Development

Capability Description Human Resource (HR) Management is the capability to maximise employee performance in service of the organisation's strategic goals and objectives. HR is primarily concerned with the management of people within the organisations, focusing on policies and on systems.


Id Name Description

GEC10.01 Recruitment and Skill Strategy Development

Recruitment and Skill Strategy Development is the capability to create a strategy that sets out the guidelines for HR around what skills are needed to achieve the overall organisation's goals and objectives by finding and hiring the right people, and then training and managing them in the right way and ensuring the consistency of the process.

GEC10.02 Resource Forecasting and Planning

Resource Forecasting and Planning is the capability to budget, plan and forecast the organisation's long- and short-term recruitment and skill needs.

GEC10.03 Human Resource Governance

HR Governance is the capability to lead the HR function and manage related investments to: - Optimise performance of the organisation's human capital assets. - Define stakeholders and their expectations. - Fulfil fiduciary and financial responsibilities. - Mitigate enterprise HR risk. - Align the function's priorities with those of the business. - Assist HR executive decision making.

GEC10.04 Human Resource KPI Management

HR KPI Management is the capability to manage HR KPIs and set the KPI metrics. HR KPIs can be divided into various categories e.g. hiring, training, skills development, loyalty and rewards, finance, and productivity.

GEC10.05 Selection Criteria Management

Selection Criteria Management is the capability to develop selection criteria. These are the standards against which the organisation will measure all candidates to determine whether they have the qualifications to perform a specific job. Selection criteria are developed from the knowledge, skills, and abilities identified in job analysis and stated in the job description.


GEC10.06 Staff Training Criteria Management

Staff Training Criteria Management us the capability to set out the criteria the train staff in specific skills needed to achieve the organisation’s goals and objectives. It also will help save staff hours, create more efficient production methods, and improve technical systems and other benefits.

GEC10.07 Workforce Capability Development

Workforce Capability Development is the capability to develop the skills and knowledge of the workforce. This includes attributes such as flexibility, service focus, innovation skills, etc.

GEC10.08 Human Resource Operations

HR operations are the capability to provide HR services, include administrative services, recruitment, job analysis, and employee relationship management. These HR practices are in place to support management and staff in their day-to-day business activities, and are important to meet the organisation's goals and objectives.



06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

Dom

ain

Capability Fin

anci

al T

ran

sact

ion

s w

ith

Go

vern

me

nt

Op

en

Go

vern

me

nt

Acc

om

mo

dat

ion

Faci

liti

es,

Fle

et

and

Eq

uip

me

nt

Inte

rnal

He

lp D

esk

Ph

ysic

al P

rote

ctio

n

Trav

el

Wo

rkp

lace

Po

licy

Bu

sin

ess

Ch

ange

Man

age

me

nt

Bu

sin

ess

Par

tne

rsh

ip M

anag

em

en

t

Bu

sin

ess

Pro

cess

Man

age

me

nt

Bu

sin

ess

Re

lati

on

ship

Man

age

me

nt

Bu

sin

ess

Re

po

rtin

g

Bu

sin

ess

Ris

k, S

afe

ty a

nd

Ass

ura

nce

Cap

abil

ity

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age

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nt

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sto

me

r P

ers

on

a an

d P

rofi

le M

anag

em

en

t

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du

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rvic

e M

anag

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t

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vern

me

nt

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rity

Go

vern

me

nt

Pri

vacy

Bu

sin

ess

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les

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pro

ach

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vern

ance

Go

vern

me

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ect

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ans

Go

vern

me

nt

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ne

ral

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Go

vern

me

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s

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et

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ign

In

vest

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ou

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Ass

et

and

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ity

Man

age

me

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vern

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s

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and

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s

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ep

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vern

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Go

vern

me

nt

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al P

oli

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c M

on

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oca

l G

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al R

isk

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e B

en

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en

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ance

Man

age

me

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siti

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Man

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cru

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en

t

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mu

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on

Man

age

me

nt

Sep

arat

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Man

age

me

nt

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d C

are

er

De

velo

pm

en

t

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lace

Re

lati

on

s

He

alth

an

d S

afe

ty M

anag

em

en

t

ICT

Serv

ice

Str

ate

gy

ICT

Serv

ice

Op

era

tio

ns

ICT

Serv

ice

De

sign

ICT

Serv

ice

Tra

nsi

tio

n

ICT

Acc

ess

Man

age

me

nt

ICT

Solu

tio

n D

eli

very

ICT

Sup

pli

er

Re

lati

on

ship

Man

age

me

nt

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nte

nt

and

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cord

s M

anag

em

en

t

Info

rmat

ion

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han

ge S

tan

dar

ds

Info

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ion

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age

me

nt

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dar

ds

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rmat

ion

Rig

hts

Man

age

me

nt

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rmat

ion

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curi

ty M

anag

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rary

Man

age

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en

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lan

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vern

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ic E

ven

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ters

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ters

Go

vern

me

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licy

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ing

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vern

me

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Po

licy

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ple

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tio

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no

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war

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gram

s

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vern

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l R

ela

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slat

ive

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ftin

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icia

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uid

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sem

inat

ion

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icia

l V

isit

s

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roto

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amb

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po

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mm

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mb

er

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gula

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n D

eve

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nt

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vern

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lan

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d

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ove

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en

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nd

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age

me

nt

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mm

un

icat

ion

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nn

ing

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mm

un

icat

ion

De

sign

Co

mm

un

icat

ion

De

live

ry

Mo

nit

ori

ng

Ne

ws

GEC10 Human Resource Management

GEC10.01 Recruitment and Skill Strategy

Developmentu

p

i i i i u u u u u u u u i u u

GEC10.02 Resource Forecasting and

Planningu

p

u u i u u u u u u i

GEC10.03 Human Resource Governance i u i i i i i u

GEC10.04 Human Resource KPI

Managementu

p

u u u u i i i i u

GEC10.05 Selection Criteria Management i i u u u i i i u i

GEC10.06 Staff Training Criteria

Managementi u u u u u i i i

GEC10.07 Workforce Capability

Developmenti i u u u u u u

p

u i

GEC10.08 Human Resource Operations u

p

i u u u u u u

p

u

p

i i




Outcomes

The outcomes of a good structure HR management are:

- HRM helps in Hiring and Training the Workforce - Manpower planning is one of the most important responsibilities of the HR department. HR managers devise hiring strategies for bringing in the right kind of people in their organization. They prepare their Job Descriptions which is best suited for the role in the organisation. After hiring they also plan for the employee’s induction with a well laid out training and development plans for them.

- HRM takes care of the Performance Management System - HR is responsible for keeping people feel motivated for their work. First, the task of defining an individual’s role then creates an effective feedback mechanism to help the employees to improve their skills. This helps in alignment of the organisational goals and objectives with their own personal goals. An effective PMS helps in recognition and rewarding people's performance.

- HR helps in building culture and values in the organisation - Performance of an individual is dependent on the work atmosphere or culture that prevails in the organisation. Creating a good conducive working environment is expected from the HR department. A safe and clean work culture helps in bringing the best of an employee and creates a higher job satisfaction.

- Conflict Management is also an important responsibility of HR - There can be many occasions where there is a disagreement between the employee and the employer. You cannot avoid conflicts from happening. But you can surely try and manage them. Here comes the role of the human resource department in acting as a counsellor and a mediator to sort the issues in an effective manner. The HR takes timely action so that thing does not go out of hands.

01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

Dom

ain

Capability Ente

rpri

se R

eso

urc

e P

lan

nin

g (E

RP

)

Fin

anci

al a

nd

Ass

et

Man

age

me

nt

Hu

man

Re

sou

rce

Man

age

me

nt

Wo

rkfo

rce

Cap

abil

ity

Man

age

me

nt

Co

rpo

rate

Go

vern

ance

an

d S

trat

egy

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rate

Ad

min

istr

atio

n

Pro

cure

me

nt

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sin

ess

In

tell

ige

nce

an

d A

nal

ytic

s

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sin

ess

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nti

nu

ity

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ifie

d C

om

mu

nic

atio

ns

and

Co

llab

ora

tio

n

Ente

rpri

se C

on

ten

t M

anag

em

en

t (E

CM

)

Bu

sin

ess

Pro

cess

Man

age

me

nt

Syst

em

Bu

sin

ess

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nsf

orm

atio

n a

nd

Im

pro

vem

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t

Stak

eh

old

er

Re

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on

ship

Man

age

me

nt

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du

ct a

nd

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rvic

e M

anag

em

en

t

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keti

ng

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sto

me

r R

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ip M

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en

t

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r R

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ip M

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en

t

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sto

me

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cco

un

tin

g

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sto

me

r Se

rvic

e

Eme

rge

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Man

age

me

nt

Gra

nts

Man

age

me

nt

End

Use

r C

on

figu

rati

on

Man

age

me

nt

End

Use

r To

ols

Mo

bil

e A

pp

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ity

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e

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ph

ics

and

Mu

ltim

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ia

Dat

a an

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rmat

ion

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hit

ect

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a an

d I

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ion

In

tero

pe

rab

ilit

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Dat

a an

d R

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Go

vern

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a Q

ual

ity

Man

age

me

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rote

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e M

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ata

and

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n S

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b C

on

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ce a

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ou

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ity

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nti

ty A

dm

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ion

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on

s

Au

the

nti

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on

Se

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e

Au

tho

risa

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n a

nd

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ess

Man

age

me

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ory

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e

Ide

nti

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Ne

two

rk S

ecu

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rvic

es

Pu

bli

c K

ey

Infr

astr

uct

ure

(P

KI)

Se

rvic

es

Secu

rity

Co

ntr

ols

Dig

ital

Fo

ren

sics

Ente

rpri

se S

ecu

rity

Man

age

me

nt

Bu

sin

ess

Pro

cess

Man

age

me

nt

Too

ls

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mp

on

en

ts

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velo

pm

en

t En

viro

nm

en

t an

d T

oo

ls

ICT

Man

age

me

nt

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ls

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ud

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es

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er

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ype

s

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sin

ess

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les

Man

age

me

nt

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ls

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tero

pe

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y

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rfac

e

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ays

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dge

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rt

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re

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k

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on

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era

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ance

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ust

ry

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no

logi

cal

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Pe

rso

nal

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ange

me

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hts

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liga

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ty

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ela

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dre

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n T

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dre

ss T

ype

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rpo

se o

f Lo

cati

on

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pli

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on

& I

CT

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ice

s

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astr

uct

ure

Nat

ura

l

Fin

anci

al

Go

od

s

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gula

tory

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an I

nfr

astr

uct

ure

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om

mo

dat

ion

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ell

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e

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efa

ct

Was

te

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m U

sage

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er

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m

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mp

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ce

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cee

din

g

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od

e

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mm

issi

on

of

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uir

y

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im

Re

qu

est

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er

Pe

rso

nal

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sis

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al

Bu

sin

ess

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e

Trav

el

Un

con

tro

lle

d

Inte

ract

ion

Ne

w Z

eal

and

So

cie

ty

Ind

ivid

ual

s &

Co

mm

un

itie

s

Serv

ice

s To

Bu

sin

ess

Civ

ic I

nfr

astr

uct

ure

Go

vern

me

nt

Ad

min

istr

atio

n

Serv

ice

s Fr

om

Bu

sin

ess

GEC10 Human Resource Management

GEC10.01 Recruitment and Skill Strategy

Developmentu u u u u u u u u u u u u u u u

p

u u

GEC10.02 Resource Forecasting and

Planningu u u u u u u u u u u u u

p

u u u u

GEC10.03 Human Resource Governance u u u u

p

u u

GEC10.04 Human Resource KPI

Managementu u u u u u

p

u u

GEC10.05 Selection Criteria Management u u u u u u u u i u i i u

p

u u

GEC10.06 Staff Training Criteria

Managementu u u u u u u u i u u i i u

p

u u

GEC10.07 Workforce Capability

Developmentu i u u u u u u u u u

p

u i

GEC10.08 Human Resource Operations u u i u u u u u u u u u u u u u u u u u

p

u u

p

i

D1.02 Controls





Generic Government Capabilities

GGC01 - Legislation and Policy Development

GGC01Legislation and Policy

Development

GGC01.01Legislation and Policy

Strategic Direction


Development Planning


Governance

GGC01.04Legislation and Policy KPI

Management

GGC01.05Policy Research

GGC01.08Legislation

Dissemination

GGC01.07Policy Advice

GGC01.06Semantic Analysis

GGC01.09Legislation and Regulation

Enforcement

Capability Description Legislation and Policy Development is the capability to set the scope, defining the problem, consultation, using evidence, to develop and improve policy. This includes project management of the development.

Acts and Legislative Instruments are administered by government agencies which are identified in the Act or Legislative Instrument. All Acts and Legislations can be found on www.legislation.govt.nz and involve all elements described in the Business Reference Taxonomy.


Id Name Description

GGC01.01 Legislation and Policy Strategic Direction

Legislation and Policy Strategic Direction is the capability to ensure that the agency has a comprehensive policy regime in place at both a governance and organisational policy level.

GGC01.02 Legislation and Policy Development Planning

Legislation and Policy Development Planning is the capability to plan the development of legislation and policies. The Cabinet Manual summarises the basic process for developing government legislation as follows: - Decision to pursue a policy proposal requiring legislation. - Policy development, including regulatory impact analysis. - Consultation (see the CabGuide section on consultation and paragraphs 7.24-7.45). - Allocation of legislative priority. - Approval of policy proposals by Cabinet. - Preparing drafting instructions and further consultation (see paragraphs 7.48-7.49 of the Cabinet Manual). - Drafting (see paragraphs 7.46-7.47 of the Cabinet Manual). - Approval by the Cabinet Legislation Committee and Cabinet of the draft bill for introduction (see paragraphs 7.50-7.52 of the Cabinet Manual). - Reference to government caucuses and non-government parliamentary parties, as appropriate (see paragraphs 7.53-7.59 of the Cabinet Manual). - Introduction, first reading, and referral to select committee. - Consideration and report by select committee. - Remaining parliamentary stages.


GGC01.03 Legislation and Policy Governance

Legislation and Policy Governance is the capability to protect the investment Government makes on behalf of New Zealand.

GGC01.04 Policy KPI Management

Policy KPI Management is the capability to manage policy KPIs and set the KPI metrics. Policy KPIs can be divided into various categories e.g. economic, legal, supporting, and voluntary incentives.

GGC01.05 Policy Research Policy Research is the capability to use analytics and advanced statistics to inform policy development and advice.

GGC01.06 Semantic Analysis Semantic Analysis is the capability to analyse of the Acts and Legislative instruments to determine applicable business rules, what if analysis, looking for inconsistencies etc.

GGC01.07 Policy Advice Policy Advice is the capability to provide policy advice to government (usually ministers) and other agencies, and within agencies on how to improve the related services delivered to New Zealanders.

GGC01.08 Legislation Dissemination

Legislation Dissemination is the capability to dissemination Acts and legislative instruments to agencies and within agencies.

GGC01.09 Legislation and Regulation Enforcement

Legislation and Policy Enforcement is the capability to enforce the applicable laws and regulations.



06 12

Capability 01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

Dom

ain

Capability Fin

anci

al T

ran

sact

ion

s w

ith

Go

vern

me

nt

Op

en

Go

vern

me

nt

Acc

om

mo

dat

ion

Faci

liti

es,

Fle

et

and

Eq

uip

me

nt

Inte

rnal

He

lp D

esk

Ph

ysic

al P

rote

ctio

n

Trav

el

Wo

rkp

lace

Po

licy

Bu

sin

ess

Ch

ange

Man

age

me

nt

Bu

sin

ess

Par

tne

rsh

ip M

anag

em

en

t

Bu

sin

ess

Pro

cess

Man

age

me

nt

Bu

sin

ess

Re

lati

on

ship

Man

age

me

nt

Bu

sin

ess

Re

po

rtin

g

Bu

sin

ess

Ris

k, S

afe

ty a

nd

Ass

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Go

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cure

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age

me

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of

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bli

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on

ies

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gio

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an

d L

oca

l G

ove

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en

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nd

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Fin

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al R

isk

Man

age

me

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Emp

loye

e B

en

efi

ts M

anag

em

en

t

Emp

loye

e P

erf

orm

ance

Man

age

me

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Org

anis

atio

n a

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siti

on

Man

age

me

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cru

itm

en

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mu

ne

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on

Man

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arat

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nin

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d C

are

er

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velo

pm

en

t

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rkp

lace

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on

s

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alth

an

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afe

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ice

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ate

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Serv

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era

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ice

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n D

eli

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Sup

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cord

s M

anag

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rmat

ion

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han

ge S

tan

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ds

Info

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ion

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age

me

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dar

ds

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rmat

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hts

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rmat

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curi

ty M

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rary

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no

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war

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gram

s

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rgo

vern

me

nta

l R

ela

tio

ns

Legi

slat

ive

Dra

ftin

g

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icia

l G

uid

ance

Dis

sem

inat

ion

Off

icia

l V

isit

s

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l P

roto

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en

tary

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amb

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po

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liam

en

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mm

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nd

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mb

er

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vern

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nt

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, P

lan

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d

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en

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nd

Man

age

me

nt

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mm

un

icat

ion

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nn

ing

Co

mm

un

icat

ion

De

sign

Co

mm

un

icat

ion

De

live

ry

Mo

nit

ori

ng

Ne

ws

GGC01 Legislation and Policy

Development

GGC01.01 Legislation and Policy Strategic

Directioni i i u

p

u

p

i u u u u

GGC01.02 Legislation and Policy

Development Planningu i i i u u u u u u u u


Governancei u u i u

p

i i u u u u


Development KPI Managementu u u u u u u u u

GGC01.05 Policy Research u u u u u

p

u u u

GGC01.06 Semantic Analysis u u u u u

p

u u u

GGC01.07 Policy Advice u

p

u u u u u

p

u u u u u u i i u

GGC01.08 Legislation Dissemination u

p

u u u u u

p

u u u u u u

p

i i u

GGC01.09 Legislation and Regulation

Enforcementu

p

u u u u u

p

u u u u u u

p

i i u




Outcomes Legislation can have many purposes: to regulate, to authorise, to proscribe, to provide or fund, to sanction, to grant, to declare or to restrict. Legislation is regarded as one of the three main functions of government, which are often distinguished under the doctrine of the separation of powers. Those who have the formal power to create legislation are known as legislators; a judicial branch of government will have the formal power to interpret legislation (see statutory interpretation); the executive branch of government can act only within the powers and limits set by the law.

The development of legislation and policy capability serves as a central resource to the Secretary and other agency leaders for strategic planning and analysis, and facilitation of decision-making on the full breadth of issues that may arise across the government.

01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

Capability 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

Dom

ain

Capability Ente

rpri

se R

eso

urc

e P

lan

nin

g (E

RP

)

Fin

anci

al a

nd

Ass

et

Man

age

me

nt

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man

Re

sou

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Man

age

me

nt

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Cap

abil

ity

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age

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nt

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rate

Go

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rate

Ad

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atio

n

Pro

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nt

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In

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d A

nal

ytic

s

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ess

Co

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ity

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d C

om

mu

nic

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ns

and

Ente

rpri

se C

on

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t M

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t (E

CM

)

Bu

sin

ess

Pro

cess

Man

age

me

nt

Syst

em

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sin

ess

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nsf

orm

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n a

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eh

old

er

Re

lati

on

ship

Man

age

me

nt

Pro

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ct a

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e M

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em

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t

Mar

keti

ng

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sto

me

r R

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ip M

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t

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r R

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t

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sto

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g

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e

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nts

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on

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on

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(P

KI)

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ital

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se S

ecu

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ess

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age

me

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ls

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on

en

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pm

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viro

nm

en

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ls

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age

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ud

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es

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ype

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age

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tero

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ays

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k

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on

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ust

ry

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logi

cal

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Pe

rso

nal

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ange

me

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hts

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liga

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ip

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dre

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ype

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f Lo

cati

on

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pli

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& I

CT

Serv

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s

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astr

uct

ure

Nat

ura

l

Fin

anci

al

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od

s

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gula

tory

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an I

nfr

astr

uct

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om

mo

dat

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e

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efa

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te

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m U

sage

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m

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mp

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ce

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cee

din

g

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od

e

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mm

issi

on

of

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uir

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im

Re

qu

est

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rso

nal

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sis

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al

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sin

ess

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e

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el

Un

con

tro

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ract

ion

Ne

w Z

eal

and

So

cie

ty

Ind

ivid

ual

s &

Co

mm

un

itie

s

Serv

ice

s To

Bu

sin

ess

Civ

ic I

nfr

astr

uct

ure

Go

vern

me

nt

Ad

min

istr

atio

n

Serv

ice

s Fr

om

Bu

sin

ess

GGC01 Legislation and Policy

Development

GGC01.01 Legislation and Policy Strategic

Directioni u u i i u u u u u u u i u i u u u u

p

i i i i i i i


Development Planningi i i i i u u u u u u u u

p

u i i i i i i


Governancei i i i i i u i i u i u

p

u u

p

u u u u

p

i i i i i i i


Development KPI Managementi i u i i u u u u u u u u u u u

p

u u u u

p

u u u u u u u

GGC01.05 Policy Research u u u u u u u u u u u u u u u

p

u u u u

p

u u u u u u u

GGC01.06 Semantic Analysis u u u u u u u u u u u u u u u u

p

u u u u u u u

GGC01.07 Policy Advice u u u u u u u i u u u u u u u u u u u

p

u u

p

i i i i i i

GGC01.08 Legislation Dissemination u u u u u u u u u u u u u u u u u u

p

u u

p

i i i i i i

GGC01.09 Legislation and Regulation

Enforcementu u u u u u u u u u u u u u u u u u

p

u u

p

i i i i i i


D1.02 Controls




GGC02 - Government Customer-Centric Service

GGC02Government Customer-Centric

Service

GGC02.01Customer-Centric Strategy

Development

GGC02.04Customer-Centric Service

Planning

GGC02.05Collaboration

Planning

GGC02.06Customer-Centric Service

Governance

GGC02.07Collaborative Governance

GGC02.08Customer Satisfaction and

Measurements

GGC02.11Customer Service

Delivery

GGC02.09Customer-Centric Service Design and Development

GGC02.03Product and Services

Lifecycle Management

GGC02.10Product and Service

Delivery

GGC02.02Product and Service Strategy

Development


The future for government ICT is envisaged as information-centric rather than the technology-centric model of today, transcending agency boundaries to deliver smarter customer-centred services and being characterised by:

- Citizen and business accounts offering personalisation and customisation.

- Government information and services being joined up and easy to access through common customer-centric digital channels.

- Processes being defined by end-to-end boundaries from the customers’ perspectives (for example starting a new business).

- Business processes being presented as services that can be consumed and aggregated for customers by other processes and parties, including partners.

- Security and privacy measures being integrated into the design and adoption of all new services and technologies introduced.

- Analytics providing a holistic view that better supports service planning, service delivery and evidence-based policy.

- Information being open by default, sharing being widespread, encouraging knowledge creation and innovation.

- ICT-enabled business systems deliver the expected benefits.

- Agencies focusing on their unique business systems and buying-in more common capabilities.

- Non-core/commodity ICT assets being eliminated from agency balance sheets and procured as operational ‘as-a-service’ expenses focussed on reducing unit costs over time.

- Stronger central direction supported by collaborative leadership.

- Highly standardised cloud computing platforms providing the majority of government’s computing resource.

- Assembling and integrating being standard – there will be fewer bespoke developments.


Id Name Description

GGC02.01 Customer-Centric Strategy Development

Customer-Centric Strategy Development is the capability to create a strategy that sets out the guidelines to create new and improve existing services that will be aligned with the overall customer-centric strategy of the NZ Government.

GGC02.02 Product and Service Strategy Development

Product and Service Strategy Development is the capability to design a strategy that will meet customer and stakeholder’s' needs now and in the future. There are two main subsets of product and service strategies: - Product and Service Diversification Strategy - This strategy is employed when an organisation's existing customers are saturated, and revenues and profits are stagnant or falling. There is little or no opportunity for growth. A product and service diversification strategy takes the organisation outside its existing business and new product and services are developed for new customers.


- Product and Service Modification Strategy - This strategy is generally aimed at modernising existing product and services.

GGC02.03 Product and Services Lifecycle Management

Product and Service Life Cycle management is the capability to reduce time to market, improve product and service quality, reduce prototyping costs, identify potential opportunities and contributions, and reduce environmental impacts at end-of-life. To create successful new product and services the organisation must understand its customers. Product and Service Lifecycle Management integrates people, data, processes and business systems. It provides product and service information for organisations and their extended supply chain enterprise. The concept of product and service life cycle concerns the life of a product and/or a service in the market with respect to business costs and benefits. The product and service life cycle proceeds through multiple phases, involves many professional disciplines, and requires many skills, tools and processes. Product and Service Life Cycle management makes the following three assumptions: - Products and services have a limited life and thus every product and every service has a life cycle. - Product and service sales pass through distinct stages, each posing different challenges, opportunities, and problems to the seller. - Products and services require different marketing, financing, manufacturing, purchasing, and human resource strategies in each life cycle stage. The four main stages of a product and service life cycle and the accompanying characteristics are: - Market introduction stage - Growth stage - Maturity stage - Saturation and decline stage

GGC02.04 Customer-Centric Service Planning

Customer-Centric Service Planning is the capability to budget, plan and forecast the organisation's long- and short-term effort to adapt their existing product and services and to create new collaborative and customer-centric product and services.

GGC02.05 Collaboration Planning

Collaborative Planning is the capability to set out a collaboration plan between different agencies to combine the intelligence to plan and fulfil customer needs and demand by using common metrics, language and firm agreements to improve efficiency for all participants.

GGC02.06 Customer-Centric Service Governance

Customer-Centric Governance is the capability to ensure the customer has an accurate perception of the product and services being delivered. It shifts the focus away from an issue driven reporting process to a holistic picture of the relationship. It ensures that customers have a clear view of the service they are being delivered - and any items materially impacting that service now and in the future. It ensures that the customer is clear about what the Government is actually doing. It has a strong analytical component – using historical and current data – to learn lessons from the past and forecast future scenarios. It is an approach which demands discipline and rigor on the part of the Government. It delivers happier customers who have more trust in the Government, lower relationship management costs for the Government (less customer service time solving customer issues) and significantly higher overall satisfaction rate. It is an approach increasingly being demanded by customers.

GGC02.07 Collaborative Governance

Collaborative Governance is a form of leadership in which the leaders effectively communicate with all sectors to achieve more than what any one sector could achieve on its own. Collaborative Governance requires support, leadership, and a forum. The support identifies the problem to be fixed. The leadership gathers the


forum. Then the members of the forum collectively form an answer. Governance can employ different degrees of public consultation and participation: - Non-participation - the community is unaware of any decisions taken. - Informing - telling the community what is planned and to understand problems, alternatives and solutions. - Consultation - obtain public feedback on analysis, alternatives and/or decisions. - Collaboration - partner with the public to develop alternatives, identify preferred solutions, and make decisions - Empowerment - placing final decision-making into the hands of the public. Collaborative governance is governance with characteristics of both collaboration and empowerment.

GGC02.08 Customer Satisfaction and Measurements

Customer Satisfaction and Measurements is the capability to measure customer satisfaction. There are four key customer satisfaction measurements: - Emotional Measures - How satisfied is the customer with the received product and services? - Affective Measures - Would the customer recommend or communicate, in a positive way about the product and services it has received from the agency/Government? - Effective and Cognitive Measures - How important were these product and services to the customer? And did they satisfy their needs or resolve their issues completely? - Behavioural Measures - Will the customer reapply to receive the same product and services if they have the same needs or issues to resolve or will they try to find another solution?

GGC02.09 Customer-Centric Service Design and Development

Customer-Centric Service Design and Development is the capability to design product and services that meet customers’ current needs yet are flexible enough to anticipate future ones.

GGC02.10 Product and Service Delivery

Product and Service Delivery is the day to day operational capability to deliver product and services to the customers. This includes operations, promotions, delivery, fix, and charges.

GGC02.11 Customer Service Delivery

Customer Service Delivery is the capability to provision services to customers before, during, and after a purchase a product or applying for a service.



06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

Dom

ain

Capability Fin

anci

al T

ran

sact

ion

s w

ith

Go

vern

me

nt

Op

en

Go

vern

me

nt

Acc

om

mo

dat

ion

Faci

liti

es,

Fle

et

and

Eq

uip

me

nt

Inte

rnal

He

lp D

esk

Ph

ysic

al P

rote

ctio

n

Trav

el

Wo

rkp

lace

Po

licy

Bu

sin

ess

Ch

ange

Man

age

me

nt

Bu

sin

ess

Par

tne

rsh

ip M

anag

em

en

t

Bu

sin

ess

Pro

cess

Man

age

me

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ess

Re

lati

on

ship

Man

age

me

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Bu

sin

ess

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po

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g

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sin

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Ris

k, S

afe

ty a

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Ass

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nce

Cap

abil

ity

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age

me

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on

a an

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ect

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ral

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ce

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vern

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s

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me

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ol

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ng

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et

and

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ity

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age

me

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vern

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et

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s

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ns

and

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ep

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vern

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slat

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uid

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sem

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ry

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nit

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ng

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ws

GGC02 Government Customer-Centric

Service

GGC02.01 Customer-Centric Strategy

Developmenti i i u

p

u i u

p

i u u i u i i i i u i u i i u

GGC02.02 Product and Service Strategy

Developmenti u u u u u

p

u u u u

p

u u u u u u u i u i i i i i i i i i i u u i i u u i u u i

GGC02.03 Product and Services Lifecycle

Managementu

p

u

p

u u

p

u u

p

u u u

p

u

p

u u u

p

u i u

p

i i i i u

p

i i i u u

p

u u u i u

GGC02.04 Customer-Centric Service

Planningi i u

p

u u

p

u u u u u i i i i i i u u u u

GGC02.05 Collaboration Planning u i u u

p

u u u u u u i i i i i i u


Governancei u

p

i i u i i i i i i i u u u

GGC02.07 Collaborative Governance i u

p

u u u u i i i i i i u

GGC02.08 Customer Satisfaction and

Measurementsp u

p



Design and Developmenti i u u

p

u u i u i u i u

p

u

p

i i u u u u u

GGC02.10 Product and Service Delivery u

p

u u u u u

p

u u u u

p

u u u u i u i i u

p

i i i u

p

u u u

GGC02.11 Customer Service Delivery u u u

p


p

u u u u




Outcomes - A customer-centric government has a very granular view of the needs and effort of their customers and the different life/business events which trigger interaction with the government.

- The ability to understand those needs and life/business events are critical to developing a customer-centric government.

- A deep understanding of customers’ needs and life/business events are reflected in budget priorities, choice of channels and the overall design and delivery of services.

- Services are designed around needs and life/business events as opposed to customer needs being fitted to a set of services.

- A customer-centric government can clearly articulate the public value outcomes of their decisions.

- The focus is on outcomes as opposed to outputs across all aspects of the public value equation: efficiency to manage within tight budgets, quality of services, equity/inclusion and trust in government through security and privacy of information.

- A customer-centric government are very good at listening and connecting the dots.

- This is achieved through regular two-way communication and use of social media to understand the big issues and trends that have an influence on customers.

- Listening and identifying both symptoms and opportunities becomes the norm.

- A customer-centric government is focused on “joined up” operations.

- They focus relentlessly on simplification, integration and orchestration of multiple government agencies to provide seamless services to the customer.

- They are all about collaboration, and about creating and sustaining an ecosystem that is best positioned to design/deliver services.

- A customer-centric government helps customers to solve their problems.

- They engage with customers from their first interaction with the government till the end of their life/business event journey with the government.

01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

Dom

ain

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GGC02 Government Customer-Centric

Service

GGC02.01 Customer-Centric Strategy

Developmenti i u u u u u i u u u u u u u u u u i u i i u i i u u u u u

p

u u u u i u

GGC02.02 Product and Service Strategy

Developmentu i u u u u u u u u u u u

p

u u u u u i u u u

p

u u u i u i i i i i i u u u u i u u u u u u u u u

p

u u u u

p

u

p

u

p

u u u u i

GGC02.03 Product and Services Lifecycle

Managementu u u u u i i u u

p

u u u i u u

p

u u u u u u u

p

u

p

u u u u u u u u u u i u u u u

p

i u u u u u u

p

u u u i i i u

p

u

p

u

p

u u u

p

u

p

u

p

i i i i u

p


Planningu u i i u u u i u u p u u u i u u

p

u u u u u u u i u

GGC02.05 Collaboration Planning u u u i u u u i u u u i i i u u

p

u u u u u

p

u

p

u

p


Governancei u i i i u i i u i i u

p

i u u u u

p

i u u u u i u

GGC02.07 Collaborative Governance u i i i u i i u i i i i u i u u i i i i u

p

i i

GGC02.08 Customer Satisfaction and

Measurementsu u u u u u u u u

p

u u u u

p

u u u u u u u u

p

u


Design and Developmenti u u u u u u u u u u u

p

u u u

p

u u

p

u

p

u

p

u u u u u u u

p

u u u u u u

p

u u u i i i i u

p

i

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p

i u

p

i u u

p

u u i i u u u u

p

p u

p

u

p

u

p

u

p

u

p

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p

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p

u u u u u u u u u u

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p

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p

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p

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p

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p

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p

u

p

u u

p

u u u

p

u

p

u u u u i u u u u u u u

p

u u i u

p

i i i i u

p

i


D1.02 Controls




GGC03 - Government Analytics

GGC03Government Analytics

GGC03.01Government Analytics Strategy

Development

GGC03.02Government Analytics

Planning


Governance

GGC03.04Government Analytics KPI

Management

GGC03.05Government Analytics Design

and Development

GGC03.06Continuous Government Analytics Improvement


Reporting


Government Analytics is the capability to perform sophisticated data analyses, draw substantive conclusions and communicate results for the purpose of improving the functioning of the Government.


Id Name Description

GGC03.01 Government Analytics Strategy Development

Government Analytics Strategy Development is the capability to design a strategy to use analytics to enable and drive performance and evidence-based decision making to achieve government goals and objectives.

GGC03.02 Government Analytics Planning

Government Analytics Planning is the capability to set out a plan for analytics design, implement those analytics, and set the outcome and timeline to provide those analytics.

GGC03.03 Government Analytics Governance

Government Analytics Governance is the capability to address issues surrounding the policies and processes of Government Analytics. These issues include human capital, development, and integration of analytics into the broader organisation, legal and regulatory concerns, and the issues around Open Data Government.

GGC03.04 Government Analytics KPI Management

Government Analytics KPI Management is the capability to manage Government Analytics KPIs and set the KPI metrics. Government Analytics KPIs can be divided into various categories: - Audience - does the analytics fit the audience? - Traffic Sources - do the customer find the analytics easily? - Tracking - Can we easily track the use of the analytics? - Goal and Objectives - Do the analytics meet the goals and objectives of the Government and their customers? - Cost Analysis - Does the cost of the analytics outweigh the benefits? For Government and customers?

GGC03.05 Government Analytics Design and Development

Government Analytics Design and Development is the analysis, design, and development of Government analytics that meet the needs of the Government and the customers.

GGC03.06 Continuous Government Analytics Improvement

Continuous Government Analytics Improvement is the capability to produces small and big improvements to the Government Analytics content, visualisation, usefulness, timeliness, etc.


GGC03.07 Analytics Reporting

Analytics Reporting is the capability to report on the analytics at the right time, to the right audience, via the right channels, and with the right visualisation methods.



06 12

01 02 03 04 05 06 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 01 02 03 04 05 06 07 08 09 01 02 03 04 05 06 07 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 01 02 03 04 05

Dom

ain

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ith

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vern

me

nt

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GGC03 Government Analytics

GGC03.01 Government Analytics Strategy

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D1.02 Controls




Outcomes Having a well optimised Government Analytics capability will give the citizens -individuals and businesses- better information that is presented in a more effective way which results in better decision making, reporting and insight. New collaboration tools enable governments to transform relationships with citizens, creating an environment where efficiency and management by performance are the norm.

The outcomes of Government Analytics for government entities are:

- More informed policy decisions - By identifying trends and other insights, agencies improve their decision-making. By doing it with streaming analytics tools and other technologies to process data generated in real time, the decisions come more quickly. Without this capability decision-makers may revert back to merely guessing or decision avoidance altogether.

- Improved mission outcomes – Government Analytics brings with it the ability to predict results and model scenarios based on the data.

- Identify and reduce inefficiencies - Through Government Analytics the agencies can see where they are taking unnecessary steps or where they can reduce cost by collaborating.

- Eliminate waste, fraud and abuse - By identifying inefficiencies, agencies can potentially identify and eliminate fraud and abuse.

- Improve productivity - Finding information to deliver better services and make decisions that support the mission.

- Boost ROI, cut total cost of ownership (TCO) - Government Analytics improve making better use of data that IT systems generate, improve the return on IT investments. By potentially consolidating data silos and analytics tools, agencies can reduce the TCO for their infrastructures.

- Enhance transparency and service - Proper handling and processing of Government Analytics allows agencies to make data available not only to public- and private-sector partners, but also to the public. This enables citizens to understand what information the government collects. Processing and sharing Government Analytics also allows agencies to offer information as a service, whether it’s online tax records, census information, weather data or more.

- Reduce security threats and crime - Government Analytics is key to helping police, security officials, intelligence analysts and others pinpoint patterns and other hidden information to help identify specific threats.


Behaviour Capabilities

Customer Centric

Capability Description Customer centric includes trust, professionalism, risk awareness…

To deliver customer-centric services requires an understanding of the needs and expectations of customers – placing customers at the core of our business - recognising that needs and expectations change depending on the customer’s particular circumstances. Putting the customer at the centre of service design is crucial, and is at the heart of what is expressed in Better Public Services Results 9 and 10. A customer-centric organisation must have a culture that is designed to support customers in their endeavours and provide them with a great experience as they are working towards their goals. The outline and the goals to create a customer-centric organisation must come from executives and leaders. Performance is appraised in accordance with Customer Success. Here are the key behaviours that represent such an organisation:

How to build a customer-centric culture:

o Define what customer success looks like.

o Understand customer’s life/business event journeys with government as a whole.

o Refine operating models to enable customer centricity.

o Align technologies and processes to support and optimise customer engagement.

o Measure the impact of changes to the customer’s success.

o Measure the impact on the customer success with the products and/or services the organisation provides.

o Transform culture at all levels.

o Integrate disparate business unit cultures.

o Focus on development around business targets and behaviour change.

o Incorporate customer success as a key metric for performance.

o Ensure customer‘s feedback is dealt with through formal processes (e.g. incident vs. problem “root cause”).

Commitment to customer success.

o Engage with customers from their first interaction with the government. From a customer’s point of view they interact with the government, not an agency.

o Collaboration between agencies is crucial to the success of the customer. Government seen as one organisation.

o Be proactive in helping the customer achieve their goals.

o Provide customers with relevant support that help them complete their goals and engagement with the government.

o Keep customers informed with the progress.

o Contact the customer if they need to undertake an action or provide information.

o Never close cases till the root cause and all related issues are resolved, all options are reviewed and analysed, and the customer is notified and has acknowledged of the closing of the case.

o Listen to the customer’s feedback and act on it.

o Make every contact with a customer an opportunity to influence their experience.

Outcomes

A customer-centric government has a very granular view of the needs and effort of their customers and the different life/business events which trigger interaction with the government.

o The ability to understand those needs and life/business events are critical to developing a customer-centric government.


o Key questions:

What are the customers’ needs to interact with the government? How are these needs changing?

What are the live events that trigger the need for customers to interact with government? How can we help them with their life/business event journey?

What those customer success look like for every of those life/business event?

A deep understanding of customers’ needs and life/business events are reflected in budget priorities, choice of channels and the overall design and delivery of services.

o Services are designed around needs and life/business events as opposed to customer needs being fitted to a set of services.

o Key questions:

Which customer’s needs and life/business events are being served?

Who is being left out of the service delivery equation? What are the implications?

Does it matter to those customers if they are not being served? Why?

A customer-centric government can clearly articulate the public value outcomes of their decisions.

o The focus is on outcomes as opposed to outputs across all aspects of the public value equation: efficiency to manage within tight budgets, quality of services, equity/inclusion and trust in government through security and privacy of information.

o Key questions:

How does it create value to the customer?

Does it save time, cost less, provide better service?

How will quality of the service be met?

Is it secure?

How is customer information privacy being maintained?

What metrics will indicate that outcomes are being delivered?

A customer-centric government are very good at listening and connecting the dots.

o This is achieved through regular two-way communication and use of social media to understand the big issues and trends that have an influence on customers.

o Listening and identifying both symptoms and opportunities becomes the norm.

o Key questions:

What is the feedback from the customer?

How can we inform customers of new or changes to the services?

What trends on social media indicate an underlying issue?

Can dots be connected to predict issues before they occur?

Can success be accelerated?

A customer-centric government is focused on “joined up” operations.

o They focus relentlessly on simplification, integration and orchestration of multiple government agencies to provide seamless services to the customer.

o They are all about collaboration, and about creating and sustaining an ecosystem that is best positioned to design/deliver services.

o Key questions:

How can we get the best minds to work on this problem?

How can we engage customers directly and include them in the process?

Can we get the private sector to bring their knowledge from other industries?

How do we best align our own processes and structure to deliver the service?

Should the service be delivered by in-house resources or is a partner better positioned to deliver?

A customer-centric government helps customers to solve their problems.

o They engage with customers from their first interaction with the government till the end of their life/business event journey with the government.


Collaborative

Capability Description Collaboration is a strategy—a way to improve the productivity of people and teams and accelerate the flow of information and the delivery of products and services. A customer centric, collaborative service delivery, and information sharing government needs continuous innovation. Innovations emerge in network interaction where diverse groups and individuals share complementary knowledge. Collaboration capability is a fundamental to leverage complementary knowledge.

Collaboration comprises of four core components:

- People and culture

- Governance and structure

- Managing and leveraging relationships

- Systems and processes

For collaboration to become core practice each of these must be addressed and be successful, this means that organisations may need to review their operational methods. A set of competencies and capabilities are necessary for effective collaboration. Here is a summary of core collaboration competencies/capabilities and characteristics grouped into four fields:

- Getting things done through others:

o Communication skills

o Relationship skills

o Build and maintain

o Nurturing

o Leadership skills

o Process catalyst

o Group Process skills

o Change Management skills

o Negotiation skills (interest based)

o Deal constructively with conflict

- Analysis and planning

o Listening and learning

o Problem assessment

o Strategic planning

o Strategic relationship building

o Work planning

o Performance measurement and evaluation

o Alignment of top down and bottom up processes

- Driving the process

o Vision setting

o Resources

o Linking and leveraging relationships

o Getting ‘buy-in’ from members

o Energise and mobilise

o Building coalitions

o Modelling elaborative practice

o Community building

o Managing relationships/ expectations

o Assignment of tasks and people


- Personal attributes

o Able to ‘read’ interactions and exchanges

o Trustworthy

o Sense of humour

o Empathy (step in shoes)

o Flexibility

o Patience

o Perseverance

o Commitment

o Cooperative spirit

o Strong personal presence

o Politically astute/savvy

Outcomes A good collaborative team has the ability to mobilise and energise others to create a common vision to solve problems. They have a mixture of skills: they facilitate the work of others, can read a situation as it unfolds and are instinctively resourceful in that they can identify and tap into the array of assets held by members. Good collaborators listen and take time to learn about the problem before launching into solutions. In so doing, they ‘step into others’ shoes’ and try to appreciate the various perspectives and experiences of members.

A good collaborative team can identify and constructively and group facilitation skills and are capable of big picture thinking, modelling collaborative behaviour and can coach others to work in more collective styles. They can build coalitions around issues by identifying the right mix of people to come together and by subtly these relationships to achieve outcomes. Importantly, they know when to exercise ‘political savvy’, to identify and understand the internal and external politics that may impact on the work of the collaboration. They can align top-down policies and bottom-up issues, know who to include in the collaboration, and can gain the support of people who can legitimise the effort.

Decision Making

Capability Description Decision making capabilities support the achievement of the government, sector, and agency’s goals and objectives. There are important steps to making a good decision:

- Identify the decision to be made as well as the objectives or outcome you want to achieve.

- Gather as many facts and as much information you can to assess your options.

- Brainstorm and come up with several possible choices. Determine if the options are compatible with the organisation’s values, interests and abilities.

- Weigh the probabilities or possible outcomes. In other words, what's the worst that can happen? What will happen if I do A, B or C and can we live with the consequences?

- Make a list of the pros and cons. Prioritize which considerations are very important to you, and which are less so. Sometimes when you match the pros against the cons you may find them dramatically lopsided.

- Solicit opinions and obtain feedback from those you trust or have had a similar situation to contend with. There may be some aspects you haven't thought about.

- Make the decision and monitor the results. Make sure you obtain the desired outcome.

Points to consider:

- You can never know in advance whether a decision will be the correct on, therefore, you must be prepared to take risks.

- Mistake must be viewed as an opportunity to learn what didn't work and why (Lessons Learned).

- You might discover in hindsight situations that may have affected your decision had you known about them earlier. This is normal and typical but should not stall your decision-making process.


- If you've done everything you can to make a good decision and still can't make up your mind, do not delay making an important decision for fear that you don't know enough or will make the wrong choice.

- Sometimes people become so paralyzed with the fear of making a wrong decision that they panic and lose sight of what they're trying to accomplish. This hinders making any decision.

- Second-guessing undermines what you're trying to accomplish. Once you've made the decision, let the chips fall where they may. At the very least, you will have learned important lessons.

Outcomes Decision making is a vital component of the business. Decisions that are based on a foundation of knowledge and sound reasoning can lead to long-term prosperity. Decisions that are made on the basis of flawed logic, emotionalism, or incomplete information can quickly put a business out of commission. Making choices must be done in a timely fashion, for as most people recognize, indecision is in essence a choice in and of itself—a choice to take no action. Ultimately, what drives business is the quality of decisions, and their implementation.


Outcome Driven

Capability Description Outcome Driven includes innovative, creative, result driven…

Outcome driven capability is focussed on getting to what is relevant in a short amount of time, allowing agencies to respond rapidly to any technology changes, new trends, change in customer needs and behaviours, etc. Outcome driven capability defines system level outcomes centred around citizens and New Zealand Inc. It aligns stakeholder needs with requirements, provides data analytics and proof of concepts to make better decisions, and delivers pilots, tests, PoCs, and solutions quickly, accelerating time to value for the customers.

Outcome driven capability entails:

- Clarifying and aligning specific business outcomes and results that are required to achieve goals and objectives

- Approach can be quickly adjusted to handle disruptions.

- Demonstrates tangible business value rapidly by means of pilots, tests, Proof of Concepts, etc.

- Maximum sharing, reuse, and consolidation of resources.

Outcomes Outcome driven capability is agile and delivery focussed, this enables agencies to quickly make better decisions on the technology, information, process, organisational structure, and budget needed to complete government, sector, and agency’s goals and objectives and to respond to changes rapidly without derailing any ongoing programmes or projects.

Self-Managing

Capability Description The capability of self-management is a substitute of leadership. Individuals manage their own behaviours by setting personal standards, evaluating their performance in terms of these standards, and by self-administering consequences based on their self-evaluations. Specific techniques such as self-observation, goal specification, cueing strategies, incentive modification, and rehearsal can be used to exercise self-management behaviour. Organisational leaders help team members develop self-management skills. The characteristics of self-management are:

- Foundational

o Be willing to develop and apply new skills

o Show commitment to completing work activities effectively

o Look for opportunities to learn from the feedback of others

- Intermediate

o Adapt existing skills to new situations

o Show commitment to achieving work goals

o Show awareness of own strengths and areas for growth and develop and apply new skills

o Seek feedback from colleagues and stakeholders

o Maintain own motivation when tasks become difficult

- Adept

o Look for and take advantage of opportunities to learn new skills and develop strengths

o Show commitment to achieving challenging goals

o Examine and reflect on own performance

o Seek and respond positively to constructive feedback and guidance

o Demonstrate a high level of personal motivation


- Advanced

o Act as a professional role model for colleagues, set high personal goals and take pride in their achievement

o Actively seek, reflect and act on feedback on own performance

o Translate negative feedback into an opportunity to improve

o Maintain a high level of personal motivation

o Take the initiative and act in a decisive way

- Highly Advanced

o Promote and model the value of self-improvement and be proactive in seeking opportunities for growth

o Actively seek, reflect and integrate feedback to enhance own performance, showing a strong capacity and willingness to modify own behaviours

o Manage challenging, ambiguous and complex issues calmly and logically

o Model initiative and decisiveness

Outcomes Self-management capability shows drive and motivation, a measured approach and a commitment to learn and contribute.

Competency Capabilities

Capability Description The New Zealand Government is adopting SFIA as its IT competency framework. Government has clear ambitions and bold targets to improve Better Public Services (BPS).

Departments are responding through targeted interventions across ten BPS Results, and internal transformation programmes to strengthen their agility and responsiveness to their customers. ICT functions are adopting new business-led Target Operating Models (TOM) to enable this transformation. These new TOMs will drastically transform the nature of skills required to deliver to this new future, in an already fast-moving ICT environment with many scarce and specialist capabilities.

To deliver to departments’ business and ICT outcomes, it is important that the prioritisation of system capability interventions is timely, in order to get the right people, in the right place, at the right time.

Outcomes SFIA will:

- Provide common language

o Common approach to workforce segmentation

o Skill-based and standardised job descriptions

o Organisational and system comparability

o Internationally recognised language

- Enable gap assessment

o Assessment of skills

o Current state clarity

o Forecasting for future needs

o Gap analysis of skills and capability

- Inform talent management

o System analysis

o Prioritisation of system interventions

o Clear career pathways


o Movement and retention of talent across the system

- Create a positive and productive workforce


Capability Hot Spots The capability research, description, and GEA-NZ mapping has identified a lot of capabilities touch points and hot spots, which indicate opportunities for sharing and re-using of capabilities. I have on purpose left out B1-B4 (with the exception of ‘Open Government’); they will depend on the specific sector and or agency, and B5.09 Machinery of Government because that is a very specific area.

Notes:

- The identification of design of the identified Shared Capabilities will be documented in the Government Shared Capabilities artefact.

- Each agency/sector will need to add their specific sector/agency capabilities.

- The tools for mapping are available via the Government Enterprise Architecture team at DIA.

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- RED: 70 or higher hi ts

- ORANGE: 30-69 hi ts

- GREEN: 10 to 29 hi ts

- WHITE: less than 10

hi ts

CO

UN

T

Fin

anci

al T

ran

sact

ion

s w

ith

Go

vern

me

nt

Op

en

Go

vern

me

nt

Acc

om

mo

dat

ion

Faci

liti

es,

Fle

et

and

Eq

uip

me

nt

Inte

rnal

He

lp D

esk

Ph

ysic

al P

rote

ctio

n

Trav

el

Wo

rkp

lace

Po

licy

Bu

sin

ess

Ch

ange

Man

age

me

nt

Bu

sin

ess

Par

tne

rsh

ip M

anag

em

en

t

Bu

sin

ess

Pro

cess

Man

age

me

nt

Bu

sin

ess

Re

lati

on

ship

Man

age

me

nt

Bu

sin

ess

Re

po

rtin

g

Bu

sin

ess

Ris

k, S

afe

ty a

nd

Ass

ura

nce

Cap

abil

ity

Man

age

me

nt

Cu

sto

me

r P

ers

on

a an

d P

rofi

le

Man

age

me

nt

Pro

du

ct a

nd

Se

rvic

e M

anag

em

en

t

Go

vern

me

nt

Secu

rity

Go

vern

me

nt

Pri

vacy

Bu

sin

ess

Ru

les

Ap

pro

ach

Go

vern

ance

Go

vern

me

nt

Dir

ect

Lo

ans

Go

vern

me

nt

Ge

ne

ral

Insu

ran

ce

Go

vern

me

nt

Loan

Gu

aran

tee

s

Age

ncy

Ass

et

Sale

s

Fore

ign

In

vest

me

nt

Co

ntr

ol

Acc

ou

nti

ng

Ass

et

and

Lia

bil

ity

Man

age

me

nt

Go

vern

me

nt

Ass

et

Sale

s

Co

lle

ctio

ns

and

Re

ceiv

able

s

Co

st A

cco

un

tin

g

Fin

anci

al I

nve

stm

en

t

Fin

anci

al R

ep

ort

ing

Go

vern

me

nt

Fin

anci

al R

eso

urc

e

Man

age

me

nt

Go

vern

me

nt

Fisc

al P

oli

cy

Pro

cure

me

nt

Man

age

me

nt

of

Pu

bli

c M

on

ies

Re

gio

nal

an

d L

oca

l G

ove

rnm

en

t Fu

nd

ing

Fin

anci

al R

isk

Man

age

me

nt

Emp

loye

e B

en

efi

ts M

anag

em

en

t

Emp

loye

e P

erf

orm

ance

Man

age

me

nt

Org

anis

atio

n a

nd

Po

siti

on

Man

age

me

nt

Re

cru

itm

en

t

Re

mu

ne

rati

on

Man

age

me

nt

Sep

arat

ion

Man

age

me

nt

Trai

nin

g an

d C

are

er

De

velo

pm

en

t

Wo

rkp

lace

Re

lati

on

s

He

alth

an

d S

afe

ty M

anag

em

en

t

ICT

Serv

ice

Str

ate

gy

ICT

Serv

ice

Op

era

tio

ns

ICT

Serv

ice

De

sign

ICT

Serv

ice

Tra

nsi

tio

n

ICT

Acc

ess

Man

age

me

nt

ICT

Solu

tio

n D

eli

very

ICT

Sup

pli

er

Re

lati

on

ship

Man

age

me

nt

Co

nte

nt

and

Re

cord

s M

anag

em

en

t

Info

rmat

ion

Exc

han

ge S

tan

dar

ds

Info

rmat

ion

Man

age

me

nt

Stan

dar

ds

Info

rmat

ion

Rig

hts

Man

age

me

nt

Info

rmat

ion

Se

curi

ty M

anag

em

en

t

Kn

ow

led

ge M

anag

em

en

t

Lib

rary

Man

age

me

nt

Bu

dge

t M

anag

em

en

t

Bu

dge

t P

lan

nin

g

Ente

rpri

se A

rch

ite

ctu

re

Lega

l A

dvi

ce

Ou

tco

me

s an

d O

utp

uts

Pro

cure

me

nt

Pla

nn

ing

Stra

tegi

c P

lan

nin

g

Go

vern

me

nt

Wo

rkfo

rce

Pla

nn

ing

Civ

ic E

ven

ts

Co

nst

itu

tio

nal

Mat

ters

Ele

cto

ral

Mat

ters

Go

vern

me

nt

Po

licy

Mak

ing

Go

vern

me

nt

Po

licy

Im

ple

me

nta

tio

n

Ho

no

urs

an

d A

war

ds

Pro

gram

s

Inte

rgo

vern

me

nta

l R

ela

tio

ns

Legi

slat

ive

Dra

ftin

g

Off

icia

l G

uid

ance

Dis

sem

inat

ion

Off

icia

l V

isit

s

Off

icia

l P

roto

col

Par

liam

en

tary

Ch

amb

er

Sup

po

rt

Par

liam

en

tary

Co

mm

itte

e a

nd

Me

mb

er

Sup

po

rt

Re

gula

tio

n D

eve

lop

me

nt

Go

vern

me

nt

Stra

tegy

, P

lan

nin

g an

d

Bu

dge

tin

g

Stru

ctu

rin

g G

ove

rnm

en

t

Bra

nd

Man

age

me

nt

Co

mm

un

icat

ion

Pla

nn

ing

Co

mm

un

icat

ion

De

sign

Co

mm

un

icat

ion

De

live

ry

Mo

nit

ori

ng

Ne

ws

Overall capability use U3655

P686

I1618

U2

P1 I3

U15

P15

I27

U1

P0 I0

U1

P0 I0

U7

P1 I6

U7

P5 I1

U0

P0 I0

U12

P5 I1

U23

P4

I12

U12

P0

I14

U24

P5

I15

U15

P0

I11

U55

P47

I5

U29

P8 I4

U30

P0

I15

U25

P4

I10

U37

P7

I11

U73

P8 I5

U73

P8 I5

U29

P4

I14

U95

P6

I11

U2

P1 I3

U2

P1 I3

U2

P1 I3

U4

P1 I4

U4

P1 I3

U4

P1 I4

U10

P0 I3

U4

P1 I4

U3

P1 I4

U5

P1 I6

U11

P1 I6

U26

P4 I1

U8

P0 I7

U7

P1 I1

U17

P3

I20

U3

P1 I4

U3

P1 I4

U22

P1 I6

U3

P1 I8

U5

P2

I10

U22

P0

I17

U5

P1

I15

U2

P1 I5

U2

P1 I5

U8

P4

I21

U7

P0

I11

U4

P5 I3

U23

P1

I18

U9

P3

I26

U8

P4

I28

U6

P3

I22

U7

P6

I16

U4

P3

I19

U18

P0

I21

U13

P1

I11

U14

P0 I2

U14

P0 I2

U18

P0 I7

U16

P0 I6

U71

P17

I9

U12

P0

I11

U7

P0 I8

U13

P0

I27

U52

P0

I14

U24

P7 I5

U62

P9

I20

U17

P1

I26

U58

P1

I15

U16

P3

I20

U0

P0 I0

U0

P0 I0

U0

P0 I0

U9

P2 I0

U10

P0 I0

U0

P0 I0

U5

P0 I2

U9

P0 I0

U9

P2 I0

U0

P0 I0

U0

P0 I0

U0

P0 I0

U0

P0 I0

U0

P0 I0

U4

P0 I0

U0

P0 I0

U6

P1 I7

U9

P2

I15

U7

P2

I12

U8

P6

I10

U4

P1 I6

Total mapped 5451 6 44 1 1 13 11 15 38 26 41 26 70 38 45 35 48 84 84 45 110 6 6 6 9 8 9 13 9 8 12 18 29 15 9 38 8 8 29 12 16 39 20 8 8 30 18 10 42 36 37 29 27 24 39 24 16 16 25 22 80 23 15 40 66 30 84 44 74 37 9 10 7 9 9 4 14 25 21 22 10

B5.01 Administrative ManagementB5.02 Business Management B5.03 Government Credit and InsuranceB5.04 Financial Management B5.05 Human Resource Management B5.06 ICT Management B5.07 Information and Knowledge ManagementB5.08 Strategy, Planning and Budgeting B5.09 Machinery of Government B5.10 Government Communications


01 02 03 04 05 06 07 08 09 10 11 12 13 14 01 02 03 04 05 06 07 08 01 02 03 04 05 01 02 03 04 05 06 07 08 09 10 01 02 03 04 05 06 07 08 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04

Capability

Dom






hi ts

CO

UN

T

Ente

rpri

se R

eso

urc

e P

lan

nin

g (E

RP

)

Fin

anci

al a

nd

Ass

et

Man

age

me

nt

Hu

man

Re

sou

rce

Man

age

me

nt

Wo

rkfo

rce

Cap

abil

ity

Man

age

me

nt

Co

rpo

rate

Go

vern

ance

an

d S

trat

egy

Co

rpo

rate

Ad

min

istr

atio

n

Pro

cure

me

nt

Bu

sin

ess

In

tell

ige

nce

an

d A

nal

ytic

s

Bu

sin

ess

Co

nti

nu

ity

Un

ifie

d C

om

mu

nic

atio

ns

and

Co

llab

ora

tio

n

Ente

rpri

se C

on

ten

t M

anag

em

en

t (E

CM

)

Bu

sin

ess

Pro

cess

Man

age

me

nt

Syst

em

(BP

MS)

Bu

sin

ess

Tra

nsf

orm

atio

n a

nd

Imp

rove

me

nt

Stak

eh

old

er

Re

lati

on

ship

Man

age

me

nt

Pro

du

ct a

nd

Se

rvic

e M

anag

em

en

t

Mar

keti

ng

Cu

sto

me

r R

ela

tio

nsh

ip M

anag

em

en

t

Par

tne

r R

ela

tio

nsh

ip M

anag

em

en

t

Cu

sto

me

r A

cco

un

tin

g

Cu

sto

me

r Se

rvic

e

Eme

rge

ncy

Man

age

me

nt

Gra

nts

Man

age

me

nt

End

Use

r C

on

figu

rati

on

Man

age

me

nt

End

Use

r To

ols

Mo

bil

e A

pp

lica

tio

ns

Pro

du

ctiv

ity

Suit

e

Gra

ph

ics

and

Mu

ltim

ed

ia

Dat

a an

d I

nfo

rmat

ion

Arc

hit

ect

ure

Dat

a an

d I

nfo

rmat

ion

In

tero

pe

rab

ilit

y

Dat

a an

d R

eco

rds

Go

vern

ance

Dat

a Q

ual

ity

Man

age

me

nt

Dat

a P

rote

ctio

n

Dat

abas

e M

anag

em

en

t

Ad

dit

ion

al D

ata

and

In

form

atio

n

Serv

ice

s

Ge

osp

atia

l In

form

atio

n

Co

nte

nt

Man

age

me

nt

Syst

em

We

b C

on

ten

t M

anag

em

en

t

Ide

nti

ty G

ove

rnan

ce a

nd

Acc

ou

nta

bil

ity

Ide

nti

ty A

dm

inis

trat

ion

an

d O

pe

rati

on

s

Au

the

nti

cati

on

Se

rvic

e

Au

tho

risa

tio

n a

nd

Acc

ess

Man

age

me

nt

Serv

ice

Dir

ect

ory

Se

rvic

e

Ide

nti

ty F

un

ctio

nal

Co

re C

om

po

ne

nts

Ide

nti

ty I

nte

rop

era

bil

ity

Oth

er

Ide

nti

ty S

erv

ice

Encr

ypti

on

Se

rvic

es

Ne

two

rk S

ecu

rity

Se

rvic

es

Pu

bli

c K

ey

Infr

astr

uct

ure

(P

KI)

Se

rvic

es

Secu

rity

Co

ntr

ols

Dig

ital

Fo

ren

sics

Ente

rpri

se S

ecu

rity

Man

age

me

nt

Bu

sin

ess

Pro

cess

Man

age

me

nt

Too

ls

ICT

Co

mp

on

en

ts

ICT

De

velo

pm

en

t En

viro

nm

en

t an

d T

oo

ls

ICT

Man

age

me

nt

Too

ls

Clo

ud

Se

rvic

es

Serv

er

Co

nfi

gura

tio

n T

ype

s

Bu

sin

ess

Ru

les

Man

age

me

nt

Too

ls

Inte

grat

ion

Dat

a In

tero

pe

rab

ilit

y

Inte

rfac

e

Gat

ew

ays


P686

I1618

U26

P2 I7

U12

P0 I3

U16

P0 I1

U32

P0

I10

U40

P2

I12

U1

P0 I2

U11

P0 I6

U45

P2 I4

U10

P3 I5

U43

P4

I14

U26

P2

I10

U14

P0

I13

U25

P4

I21

U25

P2 I8

U29

P5

I18

U17

P1

I15

U29

P1

I15

U22

P0

I18

U3

P0 I4

U10

P3

I15

U4

P4 I3

U6

P0 I3

U4

P2 I6

U102

P2 I3

U8

P6

I15

U96

P2 I3

U85

P5 I3

U16

P1 I9

U14

P6

I14

U28

P3 I8

U27

P1

I11

U23

P1 I4

U3

P2 I2

U2

P2 I0

U2

P2 I0

U23

P8

I13

U12

P10

I12

U21

P6

I11

U15

P4 I8

U8

P4 I4

U8

P4 I6

U12

P3 I4

U5

P3 I3

U12

P3 I6

U2

P2 I0

U4

P2 I3

U2

P2 I2

U2

P2 I2

U6

P2 I5

U9

P2 I5

U14

P2 I7

U7

P2 I8

U4

P2 I5

U4

P2 I5

U6

P2 I5

U6

P2

I10

U4

P2 I5

U16

P2 I8

U7

P3 I6

U10

P3 I9

U7

P3 I8

U7

P3 I8

Total mapped 5451 33 15 17 42 52 3 17 49 18 57 36 27 47 33 47 33 44 40 7 25 9 9 10 105 23 99 88 25 28 37 38 27 5 2 2 36 25 33 23 12 15 16 8 18 2 7 4 4 11 14 21 15 9 9 11 16 9 24 13 19 15 15

A8 Interfaces and IntegrationA2 Common Line of Business Applications A3 End User Computing A4 Data and Information Management Services A5 Identity and Access Management Services A6 Security Services A7 ICT Components Services and ToolsA1 Corporate Applications

Capability 01 02 03 04 05 06 01 02 03 04 05 06 07 01 02 03 04 01 02 03 04 01 02 03 04 01 02 03 04 05 06 07 08 09 10 11 12 13 01 02 03 04 05 06 07 01 02 03 04 05 06 07 08 01 02 03 04 05 06

Dom






hi ts

CO

UN

T

Bu

dge

t

Stra

tegy

Effo

rt

Me

asu

re

Ris

k

Spe

cifi

cati

on

Op

era

tio

nal

Fin

ance

Ind

ust

ry

Tech

no

logi

cal

Law

Pe

rso

nal

Secu

rity

Arr

ange

me

nt

Rig

hts

Ob

liga

tio

n

Juri

sdic

tio

n

Par

ty

Qu

alif

icat

ion

Ro

le

Par

ty R

ela

tio

nsh

ip

Ad

dre

ss

Loca

tio

n T

ype

Ad

dre

ss T

ype

Pu

rpo

se o

f Lo

cati

on

Ap

pli

cati

on

& I

CT

Serv

ice

s

Infr

astr

uct

ure

Nat

ura

l

Fin

anci

al

Go

od

s

Re

gula

tory

Urb

an I

nfr

astr

uct

ure

Acc

om

mo

dat

ion

Dw

ell

ing

Typ

e

Art

efa

ct

Was

te

Ite

m U

sage

Oth

er

Ite

m

Co

mp

lian

ce

Pro

cee

din

g

Epis

od

e

Co

mm

issi

on

of

Inq

uir

y

Cla

im

Re

qu

est

Ord

er

Pe

rso

nal

Cri

sis

Soci

al

Bu

sin

ess

Trad

e

Trav

el

Un

con

tro

lle

d

Inte

ract

ion

Ne

w Z

eal

and

So

cie

ty

Ind

ivid

ual

s &

Co

mm

un

itie

s

Serv

ice

s To

Bu

sin

ess

Civ

ic I

nfr

astr

uct

ure

Go

vern

me

nt

Ad

min

istr

atio

n

Serv

ice

s Fr

om

Bu

sin

ess


P686

I1618

U20

P1 I9

U69

P2 I7

U25

P9

I19

U53

P10

I16

U42

P8 I8

U39

P17

I8

U38

P7

I47

U12

P2

I13

U18

P1 I1

U26

P1 I7

U20

P1 I1

U22

P2 I3

U51

P11

I6

U28

P16

I20

U51

P1 I0

U50

P1 I1

U38

P0 I0

U32

P1 I7

U25

P1

I11

U25

P1 I9

U26

P1 I6

U2

P0 I1

U0

P0 I0

U0

P0 I0

U1

P1 I0

U22

P3 I4

U12

P3 I4

U0

P0 I0

U12

P1 I4

U3

P2 I0

U7

P2 I0

U0

P0 I0

U0

P0 I0

U0

P0 I0

U93

P108

I1

U0

P0 I0

U0

P0 I0

U0

P0 I0

U50

P0 I7

U0

P0 I0

U0

P0 I0

U0

P0 I0

U0

P0 I0

U33

P4 I4

U12

P2 I5

U3

P3 I1

U0

P0 I0

U0

P0 I2

U3

P3 I2

U0

P0 I1

U0

P0 I0

U0

P0 I0

U44

P44

I4

U37

P1

I29

U37

P1

I29

U36

P1

I30

U37

P1

I29

U57

P18

I55

U33

P0

I18

Total mapped 5451 30 77 51 72 55 56 89 27 20 34 22 26 64 53 52 52 38 40 37 35 33 3 1 26 16 17 3 7 111 57 37 17 4 2 5 1 49 66 66 66 66 112 51

D1.02 Controls

D1 Motivators D2 Entities D3 Activities

D1.01 Plans D3.03 ServicesD1.03 Contracts D2.01 Parties D2.02 Places D2.03 Items D3.01 Cases D3.02 Events


This page is intentionally left blank.


Documents

Government Capability Model v1.0