Accountabilities

Applying this assurance framework to individual roles within DFID helps clarify the different roles, responsibilities and accountabilities within the organisation with respect to

programme delivery. Collaboration and collective leadership between and within these roles is essential to achieve our aims and objectives.

Departmental Board

Accountable for collectively advising on and monitoring implementation of the department’s strategy and policy priorities by:

 Supporting and advising ministers in setting DFID’s strategic direction, including through oversight of DFID’s Business Plan

 Monitoring the implementation of DFID’s strategy and policy priorities

 Monitoring progress against the results set out in the Departmental Results Framework

 Monitoring and advising on significant risks to implementation

 Recommending remedial actions if operational or financial performance is off track.

Executive Management Committee

Accountable for providing direction and management of DFID’s operations, staff and financial resources by:

 Overseeing day-to-day implementation of DFID’s strategy and policy priorities, in line with the direction set by the Secretary of State and the DFID Business Plan

 Communicating the vision, direction and priorities of DFID to staff and other stakeholders

 Assessing and managing risks to delivery

 Ensuring effective allocation and management of DFID's staff and financial resources

 Monitoring and improving DFID's performance and capability.

Directors

Accountable to the Executive Management Committee for:

 delivering the results across each directorate portfolio, taking action to re-balance portfolio programmes to deliver these results

 thought leadership on emerging development debates and implications for DFID

 identifying and managing portfolio risks and ensuring that systems are in place to provide assurance that these risks (including the risk of fraud) are being managed properly

 ensuring that DFID’s controls are effectively operated in their areas, as set out in the Statement of Assurance

 working with other Directors to give corporate leadership on department-wide issues

 championing the generation and use of evaluation and research to ensure that DFID learns and contributes to improving development practice

 rewarding and recognising good programme management, including learning from success and failure.

Heads of Spending Teams (policy, multilateral, country offices – Deputy Director or A1) Accountable for:

 delivering portfolio results committed to in the operational plan

 policies and programmes that contribute to long-term institutional change

 empowering staff and creating safe environments based on trust, where use of professional judgement, continual performance improvement, and knowledge and sharing are highly valued

 evaluations and research that generate rigorous evidence of performance and impact

 generating open dialogue on lesson learning and failure, linking the work of the office with the wider organisation at the strategic and operational levels

 identifying the risk appetite that is appropriate to the context, developing and owning strategies to systematically manage those risks

 ensuring that the Senior Responsible Owner (SRO) structure and capabilities in their area of responsibility meet the requirements of their portfolio, including ensuring effective handovers and longer-term staff succession planning

 defining an appropriate risk appetite that is commensurate with the operating context and ensuring that systems and processes are in place to enable systematic monitoring and regular reporting of risks.

Senior Responsible Owners Accountable for:

 delivery of DFID’s objectives as set out in the programme’s Business Case and delivery Plan

 adapting programmes to changing contexts, based on learning and feedback;

 compliance with the Smart Rules (with respect to design, delivery & closure of programmes)

 being objective about areas of under-performance, taking action to improve, restructure or close

 ensuring that all the risks associated with programmes are clearly articulated and summarised in the business case and delivery plans

 providing professional handover to their successor as SRO when moving posts.

Heads of Corporate Teams

Accountable for:

 establishing an effective and appropriate operating framework for DFID, supported by well-designed systems and processes

 supporting ministers and the Executive Management Committee to establish and maintain high-quality leadership, oversight and management information

 ensuring HM Government’s professional standards for resourcing, financial management and operational excellence

 establishing and maintaining professional rules and standards, building on government policy and best practice.

Heads of Policy and Research Teams

Accountable for:

 developing policy in line with government priorities and evidence

 commissioning research on key questions in development and contributing to the global body of evidence on what works, what doesn’t and why

 robust evaluation of DFID programmes

 testing policy implementation by spending teams, through ex-post sampling and lesson learning

 providing support and guidance, developing research and policy-specific training.

Heads of Professions

Accountable for:

 maintaining professional standards of the advisory cadres

 deepening professionalism by ensuring that the cadres benefit from access to high-quality and relevant evidence

 providing leadership on policy and programming, arranging timely and appropriate deployment of staff, including in hard-to-fill posts.

Advisers

Responsible for:

 effective performance as an SRO (where applicable)

 contributing technical knowledge and expertise to the content and delivery of strategy, policy and programmes in DFID

 effective development of diplomacy, national and sector-specific dialogue to achieve results for poor people

 reporting to the SRO in ensuring that rules are followed in delivering the programme

 applying the latest evidence from research and evaluation findings and sharing practitioner experience and know-how

 working across their cadre to share learning across DFID.

Programme Managers

Responsible for:

 effective performance as SRO (where applicable)

 reporting to the SRO in ensuring that rules are followed in delivering the programme

 alerting SRO to problems arising, escalating risks etc.

 executing key tasks around the programme cycle (i.e due diligence, programme audit)

 effective financial management (accurate forecasting and reviewing financial information

 effective risk management

 managing results and ensuring effective monitoring & evaluation mechanisms in place

 managing programme procurement processes

 working across the programme management cadre to share lesson learning

 effective relationships with suppliers/partners.

Commercial Advisers

Accountable for:

 developing and implementing tailored commercial strategies

 commercial input on project design and routes to market

 effective supplier management

 engagement and collaboration with civil society, multilateral and government partners to improve third-party commercial capability.

Procurement Managers/Specialists

Accountable for:

 managing the competitive tender and interaction with suppliers

 contract signatures

 effective handover of contracts to spending teams.

Finance Managers/Business Partners

Accountable for:

 ensuring appropriate financial scrutiny of programmes in line with HM Treasury guidance

 providing assurance that planned expenditure is in line with available resources and aligned to business/operational plans

 regular financial monitoring of programme portfolio to ensure delivery within control totals and spending targets and that remedial action is taken if there is any risk of control totals being exceeded or underspent.

Corporate Policy Teams

Accountable for:

 clear and concise guidance on operational processes

 support and guidance, developing policy-specific training where necessary and appropriate

 reviewing effective implementation of corporate policies.

Departmental Procurement Officers (DPOs)

Accountable for:

 low-value procurements

 guidance on effective tendering.

Fraud Liaison Officers (FLOs)

Accountable for:

 retaining a register of all ongoing fraud investigations

 liaising with counter-fraud and whistleblowing unit.

In document Smart Rules. Better Programme Delivery (Page 30-34)