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07/07/2016
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VAGO CHAIR Board performance audit
VAGO Board Performance Audit Survey
You are asked to answer about the Board named #%BoardName%#
Survey purpose
The Victorian Auditor-General’s Office (VAGO) is conducting a performance audit under
Section 15 of the Audit Act 1994 to examine whether public sector Boards are performing
effectively and contributing to the effective governance of their entities. Results from this survey will inform one of the components of the audit. It aims to collect
information from about 220 Victorian public sector entities to help VAGO assess the
effectiveness and performance of their Boards by focusing on governance structures and
processes.
As you may be aware, the Audit Act 1994 enables the Auditor-General to request any relevant
information to support him in performing his official functions. These general powers also
include the right to call for information that is ordinarily subject to secrecy or other disclosure
restrictions.
Given this, it is important, and expected, that you respond to the survey and provide the
requested information.
Confidentiality
VAGO has engaged Australian Survey Research (ASR)—a company with extensive
experience in conducting confidential research with, and for, Australian public sector
organisations—to manage the survey on its behalf. The Audit Act 1994 imposes strict
confidentiality obligations on VAGO and its contractors. Your response to the survey
questionnaire will be confidential, and will be seen by only a small number of ASR and
VAGO staff.
The survey results will be used to support the findings of an audit report tabled in Parliament.
The data collected from this survey will be analysed and reported in aggregate form, so we do
not expect to identify individual agencies in the final report, apart from possibly stating that
you were surveyed (and responded). Click here to see a file containing all the questions, including a checklist of documents that
you are requested to upload. Do NOT use this document to answer the survey - only use this
web version. The questions also include a list of documents that you are requested to upload. Completion details
Please finalise the survey (including the attestation) the survey by close of business, Friday
23 September 2016.
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Navigating and completing the survey
When you complete a page, click on NEXT at the bottom of a page to save your
answers and move to the next set of questions. To go to a previous page, click PREVIOUS at the bottom of a page. Do NOT use
your browser back button. To the left of your screen is a navigation side bar which allows you to move to
different sections. Use this to move around the project questions if you are answering
a particular set of questions. It's a lot faster than using NEXT and PREVIOUS. Your internet browser will time out after 60 minutes of navigation inactivity. Use the
survey link supplied in the invitation email to reopen your questionnaire. Any
answers that you have saved to date will reappear. To exit the survey and answer in more than one session, click on the RETURN
LATER icon at the bottom right of the screen. This will save your answers so far. To
return, use the link in your original invitation email and you will arrive on the last
page you saved. Once your responses are FINALISED at the very end of the questionnaire and after
the attestation is complete, your link will be de-activated.
Printing answers
To print a copy of your answers use the print icon after the attestation is complete. The survey instrument has an upload limit of 20MB for any single document uploaded. If a
supporting document is greater than this amount, please contact VAGO directly to arrange an
alternative method of delivery.
Survey assistance
For enquiries about the survey or the audit, please contact Paul O'Connor at the Victorian
Auditor-General's Office on 03 8601 7123 or [email protected] If you have any technical problems please contact Australian Survey Research during normal
working hours (9am-5pm, Monday to Friday) on 1800 068 489 or
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About the Board
Board demographics Answer in whole numbers only
Estimate age if exact figures are not known
How many Board directors do you have at the
time of completing the survey? ___________________________
How many Board director positions are
vacant at the time of completing the survey? ___________________________
How many females are Board directors at the
time of completing the survey? ___________________________
What is the longest period of time served
continuously by a current director on your
Board? ___________________________
What is the shortest period of time served
continuously by a current director on your
Board? ___________________________
What is the average age of all current Board
directors? Add all their ages and divide by the
number of members ___________________________
How many directors are also directors of
other public sector entity boards? ___________________________
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In the last 12 months, in which location and how often did the Board hold its
meetings?
Select a checkbox if the Board held meetings in a location and then, to the right of
that check, select number of meetings at that location
Location
Melbourne CBD
Melbourne area (but not CBD)
Regional city (such as Geelong,
Ballarat, Bendigo, Traralgon)
Regional location (but not a city)
Number of meetings in last 12 months
1 2 3 4 5 6 7 8 9 10 11
12
+
Melbourne CBD
Melbourne area (but not CBD)
Regional city (such as Geelong,
Ballarat, Bendigo, Traralgon)
Regional location (but not a city)
Apart from an audit committee, if the Board operates any other committees or sub-committees, please list below.
If there are no other committees apart from audit, please enter None.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
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When seeking a new director, how does the Board decide on the skill set / personal
attributes that will be sought from a candidate?
Please explain the process and how you determine the skills / attributes that you seek.
If the Board has no say in recruiting, selecting and approving new directors, please
answer with "No say."
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
In the past 24 months, how successful has the Board been in getting the director skills
profile it needs / requests?
Not at all successful
Somewhat successful
Moderately successful
Very successful
Extremely successful
What skill set or attribute has been the hardest to source and/or recruit to the Board?
Select all that apply
Financial
Legal
Risk
Human Resources
Sector experience
Board / governance experience
Regional location / representation
Other
Please specify
___________________________________________________________
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Which of the following activities does the Board undertake to support directors who
might have barriers to participation?
For example, directors may be sole carers, have a disability or be a member of a
culturally or linguistically diverse (CALD) group.
Select all that apply
Specialist induction / orientation
Provide supports for family needs (such as reimburse child care or travel costs)
Provide a mentor to new members from the existing Board directors
Provide interpretation assistance (such as Auslan interpreters / language
translation / audio papers or papers in accessible formats)
Other
Please specify
___________________________________________________________
On average, how well do Board directors understand the organisation’s strategic plan?
Not at all well
Somewhat well
Moderately well
Very well
Extremely well
Don't know
Governing legislation / policy
Which of the following codes of conduct does your Board have in place or use?
Select all that apply
Whole of Board conduct
Individual director conduct
Conflict of interest
Gifts and hospitality
Victorian Public Sector Commission issued codes
Other
Please specify
___________________________________________________________
None of the above
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If no document exists, please explain why.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Is there a document that sets out the government-of-the-day’s (or relevant Minister’s)
expectations about performance of your Board and service delivery by your
organisation?
Yes
No
If no document exists, please explain why.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Key governance documents
Please indicate the status of each of the following documents.
Not applicable means that the Board / organisation does not have the document
because another process, piece of legislation, activity or similar makes the document
redundant.
It exists
It is in
develop
ment
It does
not exist
It is not
applicabl
e
Purpose / nature of organisation
Audit committee terms of reference
Board skills matrix
Board succession plan
Typical agenda for introductory training
/ briefing on expected Board duties
Most recent Board performance
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It exists
It is in
develop
ment
It does
not exist
It is not
applicabl
e
evaluation
Procedure for managing and resolving
interpersonal and other disputes within
Board
Procedure to manage individual Board
director under-
performance/disengagement
Example of a director’s declaration of
financial and non-financial interests
Accountability structures - This is more
than an organisation chart and includes
who has what legal, financial and other
sign-off powers. It includes internal and
external accountabilities.
External reporting requirements (This
includes legislative requirements as well
as reports that are required by other
bodies)
Board delegations to management
Most recent report of overall
organisational performance
Board procedure to manage CEO under-
performance
CEO succession plan
Board procedure to manage
organisational under-performance
Policy - Organisation’s security of
information technology and information
assets
Policy – Business continuity
Policy – Fraud and corruption
Risk register signed off by the Board
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It exists
It is in
develop
ment
It does
not exist
It is not
applicabl
e
Audit plan signed off by the Board
Stakeholder engagement plan
Reason for activity NOT occurring
Please explain why the Board does not operate an audit committee.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Please explain why the Board does not maintain a skills matrix.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Please explain why you do not evaluate Board performance (or do this rarely)?
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Please explain why there is no documented procedure to manage and resolve
interpersonal and other disputes within the Board?
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Please explain why the Board does not have a document/s outlining the Board
succession plan?
__________________________________________________________________
__________________________________________________________________
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Please explain why the Board does not have a document outlining a typical agenda for
introductory training / briefing on expected Board duties?
__________________________________________________________________
__________________________________________________________________
Please explain why there is no documented procedure to manage individual Board
director underperformance or disengagement if it occurs?
__________________________________________________________________
__________________________________________________________________
Please explain why directors do not disclose and declare financial and non-financial
interests at the commencement of Board meetings.
__________________________________________________________________
__________________________________________________________________
Please explain why your organisation does not have a document outlining
accountability arrangements.
This is more than an organisation chart and includes who has what legal, financial
and other sign-off powers. It includes internal and external accountabilities.
__________________________________________________________________
__________________________________________________________________
Please explain why the Board has made the decision to not delegate any powers or
functions to management.
__________________________________________________________________
__________________________________________________________________
Please explain why your organisation has not documented external reporting
requirements (This includes legislative requirements as well as reports that are
required by other bodies)
__________________________________________________________________
__________________________________________________________________
Please explain why the Board does not have a documented procedure for managing
CEO underperformance if it occurs.
__________________________________________________________________
__________________________________________________________________
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Please explain why a CEO succession plan does not exist.
__________________________________________________________________
__________________________________________________________________
Please explain why the Board does not have a documented way of managing
organisational under-performance if it occurs.
__________________________________________________________________
__________________________________________________________________
Please explain why you do not have a security of information technology and
information assets policy.
__________________________________________________________________
__________________________________________________________________
Please explain why you do not have a business continuity policy.
__________________________________________________________________
__________________________________________________________________
Please explain why you do not have a fraud and corruption policy.
__________________________________________________________________
__________________________________________________________________
Please explain why you do not have a current risk register that is signed off by the
Board.
__________________________________________________________________
__________________________________________________________________
Please explain why you do not have a current audit plan that is signed off by the
Board.
__________________________________________________________________
__________________________________________________________________
Please explain why you do not have a current stakeholder engagement plan.
__________________________________________________________________
__________________________________________________________________
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Please explain why a document which describes the purpose / nature of the
organisation does not exist.
__________________________________________________________________
__________________________________________________________________
Document upload
Please upload a copy of the most recent Board performance evaluation.
Document 1
Document 2
Document 3
Document 4
Document 5
Please upload the documented procedure for managing and resolving interpersonal
and other disputes with the Board here.
Document 1
Document 2
Document 3
Document 4
Document 5
Please upload the documented procedure for managing individual Board director
underperformance or disengagement if it occurs.
Document 1
Document 2
Document 3
Document 4
Document 5
Please upload the documented procedure for managing CEO underperformance or
disengagement if it occurs.
Document 1
Document 2
Document 3
Document 4
Document 5
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Please upload the CEO succession plan.
Document 1
Document 2
Document 3
Document 4
Document 5
Strategic planning
How much impact do you believe the Board has had on your organisation's most
recent corporate / strategic plan or equivalent?
No impact
Some impact
Moderate impact
Considerable impact
Extensive impact
How would you describe the effectiveness of the Board's input into your
organisation's risk management?
Risk management can include consideration of strategic, environmental, financial,
data security, people management and asset condition risks.
Not effective at all
Somewhat effective
Moderately effective
Very effective
Extremely effective
How much is the Board involved in strategic planning for the organisation?
Not involved at all
Somewhat involved
Moderately involved
Very involved
Extremely involved
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Does the Board have an annual process to develop and review the organisation’s
strategic plan and priorities?
Yes
No
Please rate the impact that the development and review process has on the
organisation’s strategic plan and priorities.
No impact
A little impact
Moderate impact
A lot of impact
A great deal of impact
Don't know / unsure
How often does the Board refer to the strategic plan / priorities of the organisation
when making Board decisions?
Never or rarely
Sometimes
About half the time
Most of the time
Always
Don't know / unsure
Currently, where is the Board's focus?
Totally operational
More operational than strategic
Equally operational and strategic
More strategic than operational
Totally strategic
Don't know / unsure / hard to assess
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How much were stakeholders engaged or involved in the development of the
organisation's most recent strategic plan?
Stakeholders may include users of services
Not at all involved
Somewhat involved
Moderately involved
Very involved
Extremely involved
Don't know
Board influence and support
How effective is the Board in overseeing the stewardship of your organisation's
resources?
Resources includes physical, human, capital and intellectual property.
Not effective at all
Somewhat effective
Moderately effective
Very effective
Extremely effective
How adequately does your organisation's management team support the Board?
Support could range from providing human resource support, physical office space,
briefings, access to information and answering requests to implementing agreed
Board decisions / directives as intended.
Not at all adequately
Somewhat adequately
Moderately adequately
Very adequately
Extremely adequately
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Rate the quality of Board papers that are distributed to directors in preparation for
meetings.
Very poor quality
Poor quality
Mixed quality (some poor some good)
Good quality
Very good quality
On average, how prepared are Board directors for Board meetings?
Not at all prepared
Somewhat prepared
Moderately prepared
Very prepared
Extremely prepared
Don't know / unsure
Thinking of the last Board meeting, when did Board directors receive Board papers?
Three working days or less
One week
Two to three weeks
Four weeks
Varied
Other
Please explain in a few words
___________________________________________________________
How would you rate data security around directors' handling and storage of Board
papers and Board communication / correspondence?
No security at all
A little security
A moderate amount of security
A lot of security
A great deal of security
Don't know / unsure
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Do new Board directors receive any introductory training / briefings on their expected
duties?
This may be before or soon after becoming a Board director.
Yes, all
Yes, some
No
Do Board directors receive any ongoing professional development for their role?
This may be individual or collective activities.
Yes, all
Yes, some
No
Are any professional or peer networks used to assist directors in their roles?
Yes
No
Please explain which networks are used.
__________________________________________________________________
__________________________________________________________________
Board meetings
Rate the conduct of Board meetings.
Conduct includes the use of standard meeting protocols, such as following the
published agenda and timeframes, allowing appropriate members to talk,
normal courtesy, appropriate documentation and similar expectations.
Very poor
Poor
Fair
Good
Excellent
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Rate the effectiveness of Board meetings.
Effectiveness is about making the right decisions which make a difference.
Not at all effective
Somewhat effective
Moderately effective
Very effective
Extremely effective
How often do Board directors disclose and declare financial and non-financial
interests at Board meetings?
Never
At some or most meetings
At every meeting
How often does the CEO attend Board meetings?
Never
Some, but not all, meetings
All meetings, but not the whole of a meeting
All meetings as an ex-officio member
All meetings as a Board director
Other
Please specify
___________________________________________________________
How often does the Board conduct in camera (private) sessions?
Never
At some, but not all, meetings
At all meetings
Other
Please specify
___________________________________________________________
What are the sessions mainly used for?
__________________________________________________________________
__________________________________________________________________
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Relationships / interactions
How effective are each of the following working relationships?
Not
effecti
ve at
all
Some
what
effecti
ve
Moder
ately
effecti
ve
Very
effecti
ve
Extre
mely
effecti
ve
Don't
know
Not
applic
able
Board chair and the CEO (or
equivalent)
Board and the responsible
Minister/s
Organisation and the responsible
portfolio department
Board and its internal auditor
Organisation and its key external
stakeholders (other than those
listed above)
How regularly do you assess the broader community's views of your organisation's performance?
This is not about frequent customer interactions / satisfaction but rather wider community views.
Rarely / never
Every 2 years
Yearly
Half yearly
Varies
Not applicable as the organisation has no public facing activities
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How do you rate the usefulness of guidance and/or training support from each of the
following organisations?
Not at
all
useful
Somew
hat
useful
Modera
tely
useful
Very
useful
Extrem
ely
useful
Don't
know
Not
applica
ble
Victorian Public Sector
Commission
Department of Premier and
Cabinet
Your relevant portfolio
department
Board performance monitoring
How regularly does the Board (or someone it engages) formally evaluate its own performance?
Never
Ad hoc/rarely
Every 2 years
Yearly
Half yearly
Quarterly
Every meeting (also choose this option if you meet quarterly and evaluate every
meeting)
What person or entity received the results of the Board's latest evaluation?
Select all that apply, noting that not all will receive the same document.
Relevant Minister /s
Portfolio Department Secretary (or equivalent) or delegate
Board directors
Other
Please specify who
___________________________________________________________
None of the above
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How frequently does the Board (or someone it engages) evaluate individual Board
director performance?
Rarely / never
Every two years
Yearly
Every six months
Each meeting
How well does the Board cope with bad news from management?
Not at all well
Somewhat well
Moderately well
Very well
Extremely well
Varies / depends
Please explain your answer to the above question
__________________________________________________________________
__________________________________________________________________
Rate the Board's responsiveness to issues within the governed organisation which
require a Board decision.
Responsiveness is about the speed of addressing issues as well as making robust and
comprehensive decisions about them.
Not responsive at all
Somewhat responsive
Moderately responsive
Very responsive
Extremely responsive
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Performance evaluation
How would you describe the financial sustainability outlook of your organisation?
Sustainability is longer term and is not the same as solvency or viability as a going
concern.
Not sustainable at all
Somewhat sustainable
Moderately sustainable
Very sustainable
Extremely sustainable
Don't know
Please explain why you have chosen the answer above.
__________________________________________________________________
__________________________________________________________________
How regularly does your organisation report on its overall performance to each of the
following entities?
Rarely
/ never
Every
2 years
Yearly Half
yearly
Quarte
rly
Victorian Parliament
Victorian Minister/s
Victorian Government Department
Other (please specify below)
If you indicated another body in the table above, please enter the name of the body/ies here.
___________________________
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How regularly does the Board evaluate the CEO's performance?
Rarely / never
Every 2 years
Yearly
Half yearly
Quarterly
Monthly
Varies
How well are the organisation’s strategic priorities reflected in the performance
management priorities and KPIs of the CEO?
Not at all
Slightly well
Moderately well
very well
Extremely well
Don't know / unsure
General comments on Board performance If you have any general comments on the performance of public sector boards that you would like to
share with VAGO, please enter here. Note maximum of 3,000 characters
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
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Attestation
I attest that:
I understand that my relevant code of conduct requires me to comply with all
relevant legislation including the Audit Act 1994 and specific clauses which
relate to this attestation
Any factual information provided in this response is accurate and complete
If required, I have discussed the information provided in this response with
relevant officers of my organisation to assure its accuracy and completeness
Attestant's details
Name ___________________________
Position ___________________________
Contact phone number
___________________________
Contact email address
___________________________
Date of attestation
___________________________
Thank you for completing this survey. If you want to keep a copy of your answers click here.
IMPORTANT: The printed document you will contain ALL the questions in the survey, even ones
that you did not need to answer (questions were not presented to you because of the way you
answered earlier questions). This is not a mistake. All the answers you have saved will appear in
the document.
Print survey with answers
07/07/2016
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List of documents required for VAGO audit of Board performance online survey (Chair)
1 Most recent Board performance evaluation
2 Procedure for managing and resolving interpersonal and other disputes within
Board
3 Procedure to manage individual Board director under-performance/disengagement
4 Board procedure to manage CEO under-performance
5 CEO succession plan
