Annual Report 2004–05
Corporate governance
Corporate governance mechanisms
At the strategic level, implementing and monitoring corporate governance principles is the responsibility of two key groups under the supervision of the Clerk’s Office—the Program Managers’ Group and the Audit and Evaluation Committee. An advisory group, the Senior Management Advisory Group (SMAG), assists the Program Managers’ Group.
The Workplace Relations Committee is the principal forum for formal consultations with staff and union representatives on workplace relations matters. The role and membership of each group are described in Figure 26.
| Group | Role | Members | Chair |
|---|---|---|---|
| Program Managers’ Group | Coordinating corporate governance matters, including:
|
The department’s three Clerks Assistant and the Usher of the Black Rod. | The Usher of the Black Rod. |
| Audit and Evaluation Committee | Ensuring that departmental operations and expenditures meet
external audit standards in relation to best practice financial
management and reporting, fraud control and business risk monitoring. Developing and supervising the annual internal audit program. |
The department’s three Clerks Assistant, the Usher
of the Black Rod, the Chief Finance Officer and an independent
member. Includes representatives from the Australian National Audit Office and from KPMG (internal auditor) as observers. |
The Usher of the Black Rod. |
| Senior Management Advisory Group | Formulating and providing advice to program managers on departmental and managerial issues. | All Senate Parliamentary Executive Level 2 staff. | Chosen annually by the group. |
| Workplace Relations Committee | Serving as the principal forum for formal consultations with staff and union representatives on workplace relations matters, including negotiation of certified agreements. | The Usher of the Black Rod, the Clerk Assistant (Committees),
elected staff representatives and union representatives. |
The Usher of the Black Rod. |
Program Managers’ Group
The Program Managers’ Group met regularly during 2004–05 to coordinate and discuss corporate governance matters and, where necessary, make recommendations to the Clerk. Topics on which recommendations were made to, and accepted by, the Clerk during the year included:
- criteria used for assessing the May 2005 pay increase and, subsequently, justification for the pay increase based on the achievement of productivity improvements and cost reduction goals as set out in the certified agreement
- the survey of senators
- salary packaging of laptop and notebook computers
- occupational health and safety and rehabilitation improvement targets.
The SMAG met five times in 2004–05. Three working groups were formed during the year to:
- revise the departmental workplans
- analyse and report on the workload and morale in the Committee Office
- survey and accurately map the department’s intellectual property.
SMAG members also participated in two development exercises on chamber processes and work team management.
Audit and Evaluation Committee
The Audit and Evaluation Committee met on four occasions during the year, with secretariat support provided by the Financial Management Section.
In 2004–05, the provider of the department’s internal audit services, KPMG, substantially completed the second year of a two-year contract, reviewing the following matters:
- web publishing
- official hospitality
- portable and attractive items
- leave entitlement processing
- stationery
- printing costs
- domestic travel and credit card usage
- record keeping in the Committee Office.
These reviews assessed existing policies and procedures and, where necessary, provided recommendations aimed at achieving a ‘better practice’ standard. While the reviews found no major problems, they made management aware that some practices which had lapsed over time required action in the areas of education and communication.
Workplace Relations Committee
The Workplace Relations Committee met five times during 2004–05 to monitor and advise on the implementation of strategies contained in the 2003–06 certified agreement, and various other matters affecting staff. Issues that the committee considered included:
- establishment of a Sick Leave Usage Group, to monitor sick leave usage rates in the department and develop a strategy to reduce them
- revisions to departmental policies and guidelines
- criteria to determine whether productivity improvements and cost savings have been met, in order to pay salary increases
- strategies to enable staff to take meal breaks during Senate sitting periods
- changes to salary-packaging arrangements
- training for managers and staff
- the introduction of exit surveys for staff leaving the department
- staffing reviews in various areas of the department.
Corporate and operational plans
Corporate Plan and work plans
The Corporate Plan outlines the department’s strategic direction in providing non-partisan advice, support and information to senators, and in providing information about the Senate and its committees to the public. Through this plan and other planning mechanisms such as workplace agreements, managers and staff commit to providing high-quality advice and support to the Senate and its committees and to senators.
Program managers considered a draft of revised work plans prepared by a SMAG working group and agreed that the work plans should be organised to reflect the department’s corporate objectives as set out in the Portfolio Budget Statements and annual report. At year’s end, program managers were reworking the draft work plans for 2005–06.
Fraud control plan and business risk assessment
Business and fraud risk is a major consideration for the department. Formal evaluations are conducted regularly, resulting in a robust framework for the management of risk. The details of risk assessments and resulting policies and procedures are available to all staff on the department’s intranet.
Records management
During 2004–05, the department published a record-keeping policy to help managers and staff understand their legislative responsibilities for record keeping and the department’s expectations for the capture, retention, security and storage of records.
To complement the policy, a record-keeping manual is being developed to provide detailed procedures for managing departmental records. It is expected that the manual will be available by September 2005, and will assist new staff, in particular, with departmental requirements. Following the release of the manual, a series of information sessions will be conducted for staff to improve their general knowledge of record-keeping responsibilities and procedures.
File titling was made quicker and easier for staff with the introduction in March 2005 of an electronic file request form. The electronic form is linked to the department’s existing databases, which incorporate the thesaurus of terms used for file titles. Based on an initial identification of the broad subject matter, the range of possible titles in the thesaurus is automatically narrowed, which helps to increase the consistency of file titling across the department.
Plans are under way to upgrade the current version of TRIM, the department’s database of records, to a version that will provide a more friendly interface for users. It is expected that the upgrade will take place later in 2005.
Ethical standards
Parliamentary Service Values and departmental policies
The Parliamentary Service Values and Code of Conduct broadly set out the behaviours and ethical standards expected of parliamentary staff. Underpinning the values and code of conduct are a number of departmental policies which describe specific standards and behaviours expected of staff.
The department met its legislative responsibility to promote the values and code of conduct. All new staff were provided with information on the ethical framework, and with a bookmark and brochure listing the Parliamentary Service Values and Code of Conduct. Information on the values and code of conduct and associated policies was published regularly in the weekly information bulletin, which is distributed to all staff.
During 2004–05, action was taken for one reported breach of the Parliamentary Service Code of Conduct.
Clerk’s Instructions
The Clerk’s Instructions provide employees with direction on the proper use and management of departmental resources. They carry the force of law, and are continuously monitored to ensure that they are current and accurate. Following the release of the revised Commonwealth Procurement Guidelines, a number of instructions were revised. Additional minor amendments were undertaken during 2004–05.
No serious breaches of the Clerk’s Instructions were reported or detected during the year. Internal audit found that some minor aspects of the official hospitality process were not being strictly adhered to, and this was remedied. No instances of inappropriate expenditure were reported.
Social justice and equity impacts
The department does not administer public programs, and thus does not directly implement a social justice strategy. Internally, the department’s Workplace Diversity Program promotes equity, equality of opportunity and the value of a diverse workforce. The department is committed to making employment decisions based on merit and to consulting staff on matters that affect them.