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SUNIL KOHLIINDIAN DEFENCE ACCOUNTS SERVICE
Joint Secretary And Financial Adviser
National Disaster Management Authority And
National Disaster Response Force(NDRF),
Ministry Of Home Affairs,
India
DEFENCE FINANCE AND ACCOUNTS DEPARTMENT
ENSURING COMPLIANCE AND PROPELLING PERFORMANCE
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OPTIMISING PERFORMANCE THROUGH
C3I(COMMUNICATION, COORDINATION,COLLABORATION, AND INTEGRATION)
TO
ENSURE HIGH FINANCIAL
PERFORMANCE LEVELS
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TALK TOPIC
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Broad Outline
Looking at the current situation- How do
stakeholders work with each other?
Can the collaboration be improved and how
does it affect the process in driving highfinancial performance levels
Explore strategies on communicating KPIs
to all levels; starting from below
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Agenda
Contextual ParametersCurrent Situation
Governance Framework
Performance ManagementRole of KPIs
How Public Sector is different?
Who are the Stakeholders?
Organization Structure
Role of Finance Managers
Issues for Optimizing Performance for Ensuring
Higher Performance Levels
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Agenda
C3I Approach
Coordination
Collaboration
CommunicationIntegration
Role of IT
Integrated Approach to address GRC Concerns
Strategies to communicate KPIs
Closing Remarks
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Contextual Parameters
Government, Public Sector Organizations and Corporateare the biggest entitieswhich affects the lives of the
citizens and the consumers.
Transparency, Risk and Compliance are the main attributesto ensureAccountability and Corporate Social
Responsibility.
Improved Collaboration among the stakeholders and
Leveraging Technology by these entities will ensureprocess improvement and drive high performance
levels beside Rebuilding Public Trust in these
organizations.
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Contextual Parameters: Role of IT
IT can play an important role in Information
Management, Risk Management, Better Pricing and
Accessibility of Products and Services and bringing
about greater Transparency and ensuringperformance.
In this environment of recession and slow down of
economy and fast rate of Technological Obsolescencecompanies can drive strategic advantage and
overcome competition by proactive deployment of
technology.
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CEOs cashed out prior to
economic crisis
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CEOs at major US financial and
real estate firms converted tens of
millions of dollars of overvaluedstock into cash prior to the
eruption of the current financial
crisis.Shocking Reality Check
Collapse of Financial Systems
Breed Culture of Macho
Management and Self interest
Block Information and Transparency.
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Context Drivers :
Four pillars of Good Governance
Accountability
Transparency Predictability
Participation
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Accountability
The major purpose for performance measurement in the
government and the public sector revolve around the
concept of enhanced accountability. Accountability Implies: -
Weeding Out Inefficiencies
Eliminating Wasteful Expenditure Improving Cost Effectiveness
Monitoring Outputs And Outcomes
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Transparency And Accountability Mechanisms
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Performance Measurement
Administrative Imperative than a choice Performance measurement itself is only a tool--it is not an
outcome in itself. To determine if government is meeting its objectives and
those of its constituents. Measures of performance include : -
Inputs (the resources allocated), Outputs (direct results of program activity), Efficiency measures (ratio of inputs to outputs), and Outcomes (broad results of program activities in the lives of
those served). Result Orientation and Cost Consciousness are key criteria for
designing the KPIs.
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PERFORMANCE MEASUREMENT
WHY?
ENHANCES DECISION MAKING
IMPROVES INTERNAL ACCOUNTABILITY
ENHANCES PUBLIC ACCOUNTABILITY
SUPPORTS STRATEGIC PLANNING AND
GOAL SETTING.
ALLOWS ENTITIES TO DETERMINE
EFFECTIVE RESOURCE USE
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KEY PERFORMANCE INDICATORS?
FOUR MAJOR PERSPECTIVES
FINANCIAL PERSPECTIVE KPIS SUCH AS FUND MANAGEMENT, RESOURCE ALLOCATION, % INCREASE IN
RETURN ON INVESTMENT AND RESOURCE UTILIZATION. THIS PERSPECTIVE PROVIDES FOCUS TOWARD EFFECTIVE UTILIZATION OF
FUNDS AND RESOURCES.
INTERNAL PROCESSES PERSPECTIVE KPIS LIKE NUMBER OF STREAMLINED PROCESSES, NUMBER OF SERVICEDELIVERY TARGETS MET, INSTANCES OF REPEAT SERVICES AND RESPONSE
ACCURACY.
CITIZEN FOCUS PERSPECTIVE KPIS LIKE PEOPLE ACCESS, CRITICAL ERROR RATE, SERVICE AND PRODUCT
COMPLAINTS AND CLIENT SATISFACTION LEVEL. IT HELPS IN KNOWING HOW WELL THE OPERATIONS ARE FOCUSED TOWARDS
THE PEOPLE THE ORGANIZATIONS IS SERVING. H.R. AND GROWTH PERSPECTIVE
KPIS SUCH AS % DECREASE IN STAFF TURNOVER, TRAINING DAYS PER MEMBER,AGENT COACHING RATIO, % INCREASE IN TRAINING BUDGET AND %IMPROVEMENT IN EMPLOYMENT LEVEL.
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PURPOSE AND GOALS OF GOVERNMENT
FINANCIAL MANAGEMENT
Three goals of government financial management as
identified# are: -
Fiscal management,
Resource allocation and
Efficiency of expenditure (Value for money).
Transparency and Accountability are identified as
advantages of good financial management.
# Budgetary Institutions and Expenditure Outcomes, Ed Campos and SanjayPradhan, World
Bank Policy Research Department, September 1996
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How Public Sector are different?
Uniqueness Of The Government
Operations
Performance Measurement InGovernment
Significant Operational Differences
Between The Public And Private Sectors
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Uniqueness of the Government Operations
Governments are committed to fiscalaccountability, a process that provides a
visible trail as to where resources come from
and where they go. Governments are creatures of law and as such,
they can do only what the law allows,(thethings that it is authorized to do) and using
the methods that are prescribed in contrastto organizations in theprivate sector that cando anything not prohibited by law
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Performance Measurement in Government
The motivational impetus are different. Introduction of more explicit measurable standards of
performance to improve the efficiency and effectiveness ofgovernment entities.
In particular, the initiative was designed to:
Cut government expenditure; Increase managerial accountability of government
operations; And
Strengthen the governments resource allocation andadministrative decision-making capabilities.
Framework of the Govt. has to confirm to
Legality,
Legitimacy of Law (Legitimate powers and regulations),
Legitimate use of powers (General interest orientation with
criteria of 3Es and Quality of service) and A roval b the citizens.
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PERFORMANCE CRITERIA.
ACCESSIBILITY OF GOVERNMENT DECISION MAKING TO
EXTERNAL INFLUENCE.
CONFLICT BETWEEN GOVERNMENT POLICYMAKERS AND
ADMINISTRATION.
THE EMPLOYMENT CONTRACT.
INTENSE SCRUTINY BY THE MEDIA AND PUBLIC INTEREST
GROUPS.
EMPHASIS ON STABILITY AND RELIABILITY.
ATMOSPHERE OF CONTROL AND MISTRUST. DIFFERENCE IN STATUS.
These describe a series of unique, personal problems that affect the attitudes of government officials. The
government manager is not only responsive to the usual personal and group behavioral pressures but also is
influenced by reactions to many of these factors.
SIGNIFICANT OPERATIONAL DIFFERENCESBETWEEN THE PUBLIC AND PRIVATE SECTORS
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Journey to Public Sector Transformation
Redefining the Role of State
Focus on Service, not thrift
Journey From Waste Elimination, Through
Efficiency Gains To StrategicTransformation Short Term Cost Reduction
Efficiency Improvement Strategic Transformation
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MOST CHALLENGING AREAS
FOR IMPROVEMENT
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Short Term Cost Reduction
Activities Cut expenses- No negative impact on services
Reduce Staff Cost
Delay Major Projects- A viable, short-term solution.
Positive Impact Fast results
Politically attractive
Results sound attractive
Negative Impact Short term impact
Repeated Reviews
Painful and not sustainable
Will it work: Insufficient
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Efficiency Improvement
Activities Improve Financial Management
Share Resources and Services
Improve Management of External advisors
Review HR Practices & Incentives Positive Impact
Fairly fast results
Effect last longer
Strong Foundation for Transformation
Negative Impact Insufficient for radical changes
Confined within existing structures
Will it work: Insufficient
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Strategic Transformation
Activities Reassess spending priorities
Focus on new sources of funding
Involve Private Sector in delivery of Public Services and achieve Public
services Transformation
Ensure effective Commissioning of Services and management ofContracts
Focus on Strategic Leadership
Positive Impact Long term impact
Drives structural Changes Route to financial recovery
Negative Impact Complexity
Delayed evidence of results
Potentially controversial
Will it work: Insufficient: Yes
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IMPERATIVES FACING THE
PERFORMANCE OF GOVERNMENT
The challenges now facing government are more complex andrequire a new set of imperatives for success.
These imperatives facing the performance of government inthe 21st century are:
A policy agenda that focuses more on problems than onstructures
Political accountability thatworks more through results than onprocesses
Public administration thatworks through networks rather thanthrough hierarchies
Political leadership that leverages action rather than simplymakes decisions
Citizenship that is based on involvement rather than remotenessSource:www.businessofgovernment.org
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Six Trends Transforming Government
Trends responding to these imperatives and is leading to improvedgovernment performance.
These trends, often in combination with one another, make it morelikely that government will be able to successfully respond to the ever-increasing and complex challenges it faces today and will continue to
face in the future. Trend One: Changing the Rules
Trend Two: Using Performance Management
Trend Three: Providing Competition, Choice, and Incentives
Trend Four: Performing On Demand
Trend Five: Engaging Citizens Trend Six: Using Networks and Partnerships
Source: Six Trends Transforming Government
By Mark A. Abramson, Jonathan D. Breul, and John M. Kamensky
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GOVERNMENT TRANSFORMATION
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Government Transformation are beingdriven,
in part, by advances in technology that have
resulted in significant changes in the operation
of organizations.
Technology should now be viewed not only
as a fundamental tool for government, but
also as a driver for transforming theoperations of government.
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Issues for Optimizing Performance for
Ensuring Higher Performance Levels
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Critical Areas For A More Proactive Approach
Overcoming Crisis Of Corporate Trust
Greater transparency about business practices.
Less risk associated with products and services.
Better pricing and accessibility of products and
services.
More emphasis on the development of socially andenvironmentally responsible products and services.
Based on McKinsey Research
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Issues for Optimizing Performance for
Ensuring Higher Performance Levels
1. Corporations Need to Rebuild and Strengthen
Stakeholder Trust
2. Pervasive Fragmentation Complicates the
Pursuit of Stakeholder Trust
3. Beyond a License to Operate: Trust
Contributes to Competitive Advantage
4. An Integrated Approach to Transparency is
EssentialBuilding Corporate Trust is Expensive but Makes Business Sense
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C3I Approach
C3I ApproachCommunication
Coordination
Collaboration
Integration
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Models For Enterprise Architect
These models are intended to facilitate
government wide improvement through cross-
agency analysis and the identification of
duplicative investments, gaps, and opportunitiesfor collaboration, interoperability, and
integration within and across government
agencies. Source: The GAO Report
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Effective Communication with
Stakeholders More people will be affected by a partnership than just
the public officials and the private sector partner.
Affected employees, the portions of the public
receiving the service, the press, public labor unions andrelevant interest groups will all have opinions and,
frequently, significant misconceptions about a
partnership and its value to all the public.
It is important to communicate openly and candidlywith these stakeholders to minimize potential resistance
to establishing a partnership.
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Communication Strategy
Establish a Communication Strategy to Create
Shared Expectations and Report Related Progress:
Creating an effective, on-going communication strategy
is essential to implementing a merger ortransformation.
Communication is most effective when done early,
clearly, and often, and is downward, upward, and lateral.
The new organization must develop a comprehensive
communication strategy that reaches out to employees,
customers, and stakeholders and seeks to genuinely
engage them in the transformation.
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Communication Strategy
In order to be successful, a communication
strategy relies on the following critical success
factors:
Timely sharing of information
Accurate and consistent messages conveyed to key
audiences
Realistic messages from trusted sources that setrealistic expectations.
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Challenges of Communication
Interoperability The inability to communicate is a problem that is:-
Technical (due to limited and fragmented radio spectrum and
proprietary technology),
Political (due to agencies and jurisdictions and different levels of
government competing for scarce dollars, inhibiting the
partnership and leadership required to develop interoperability)
Cultural (agencies natural reluctance to give up management and
control of their communications systems) and must be
addressed on all these levels.
A well defined interoperability governance model provides the
structure needed to bring the players together and promote an
environment that helps bridge the gaps created by these
obstacles.
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Benefits to Successful Interoperability
Better coordination among
responding agencies
Political benefit
More efficient law enforcement
and protection
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Collaboration: Technology as a Key
Enabler Whether collaborating horizontally across state
agencies, entering into a public-private partnership, or
crossing organizational boundaries between state-
federal or state-local levels of government, one mustcontinuously work to connect silos to increase
efficiency and improve citizen service.
With technology serving as a chief facilitator for
collaboration across organizational boundaries,engaging in cross-boundary collaboration is inevitable.
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Collaboration: Technology as a Key
Enabler Government, in order to be effective, must be user-
friendly, accessible and accountable to citizens.
Leveraged by investments in information technology,
crossing organizational boundaries between levels ofgovernment can be used as a way to increase
governmental effectiveness.
Citizen demand for streamlined, efficient
government often drives state agencies to seek out
opportunities to deliver traditional services in non-
traditional ways.
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The Challenge of Integration
Silos of information could be made accessible across
the enterprise in a secure, structured and collaborative
manner.
Such access could provide benefits that outweighimplementation costs, such as reduction of redundant
data entry, improved data integrity, increased accuracy
and immediacy, and improved decision-making.
On a more contextual level, integration is focused on
the sharing of data across organizations and domains,
within an established enterprise, based upon standard
formats.
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Integration: More than Just a
Technology Issue The technology provides the bridge for information
sharing.
In order to be successful in an integration initiative:-
A vision and business case needs to be articulated; A collaborative and trusting relationship between participants
needs to be established;
An outreach to community and funding sources must occur;
and A model for program management must be defined.
Integration is not just about sharing data, it is about sharing
information to achieve common business purposes across
disparate entities.
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Benefits of Successful Integration
Improved Communications
Improved Decision Making
Resource Savings Enhanced Service Delivery
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Distinctive Features Of IT
Trusted Interface
Critical Business Enabler
Competitive and Strategic Differentiator Reduces Costs by Optimizing Resources
Managing risks associated with data security and
regulatory compliance. Integrate different departments and disparate
internal controls systems
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WHY INFORMATION TECHNOLOGY?
Capable of comprehensive holistic IT Governance approach:Bridge Functional Silos.
Easy to adapt C3I Approach
Coordination; Communication; Collaboration; and
Integration
Process of Mutualism Collaborative Decision Making and
implementation to optimize Performance
Eliminate Ad Hoc Setup and Human Errors.
Overcome DRIP Syndrome
Align IT controls to corporate policies, and corporate policies to
regulations.
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HOLISTIC APPROACH TO
IT GOVERNANCE
Enables companies to dynamically manage and monitorkey IT enabled GRC activities such as: -
Information Protection and Privacy;
Configuration and Change Management; and
IT GRC management across multiple business units, geographies
and IT systems.
The result is IT governance that is sustainable, cost-
effective, and better aligned to the strategic andoperational demands of the business.
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Integrated Approach to address GRC
ConcernsAdopt an Integrated Strategy and a Comprehensive
Approach To Managing Governance, Risk
Management, and Compliance (GRC) solutions
To Address all regulatory and business related risks and achieve
compliance at a lower cost.
To differentiate itself and achieve greater agility by optimizing
your business processes and using risk intelligence for better
decision making.
Drive Business Predictability and Stakeholder
Confidence
Help improve relations with stakeholders and, ultimately,
facilitate trust
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THE FOUR DEGREES
OF FRAGMENTATION
GRC activities are typically fragmented across
four dimensions:
Organization
Systems
Regions
Internal GRC disciplines
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Definition of GRC
GRC is a system of people, processes, and technology that
enables an organization to:
Understand and prioritize stakeholder expectations.
Set business objectives that are congruent with values and risks.
Achieve objectives while optimizing risk profile, and protecting value. Operate within legal, contractual, internal, social, and ethical boundaries.
Provide relevant, reliable, and timely information to appropriate
stakeholders.
Enable the measurement of the performance and effectiveness of the
system.
GRC is to risk management as computer systems are to the payroll system
From: Open Compliance and Ethics Group:
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Flexibility In Decision-making In general, flexibility in decision-making is important in
order to achieve efficient and effective operationalperformance.
At thepolicy level, ministers should be given authority tomake decisions relating to their particular sector, providedthat theyfit the strategic policy objectives of thegovernment.
At the operational level, managers should have authorityto take decisions with their defined area of competence.
Flexibilities need to be balanced byappropriate rulesand standards of conduct, proper arrangements foraccountability, and control mechanisms.
Road Ahead