Part 6—Management and accountability

• CORPORATE GOVERNANCE
• EXTERNAL SCRUTINY
• MANAGEMENT OF HUMAN RESOURCES
• PURCHASING
• CONSULTANTS
• EXEMPT CONTRACTS
• COMPLIANCE REPORTING

Corporate Governance

As required by the Commonwealth's Enhanced Performance Framework, the Office developed and publicly released its 2018–19 Corporate Plan in August 2018. The Plan framed the Office's strategic vision, objectives, deliverables and key performance indicators for the next four years.

Figure 24—Committee structure

Senior Leadership Group

The Senior Leadership Group (SLG) comprises the Ombudsman, Deputy Ombudsman, Senior Assistant Ombudsman (SAO) and the Chief Operating Officer (COO). It is the Office's overarching leadership and management committee, and meets monthly to make decisions in relation to corporate governance, performance, resource allocation and operational issues.

Strategic Policy Board

The Strategic Policy Board comprises of the Ombudsman, Deputy Ombudsman, SAOs and the COO. The board was established in March 2018 and meets monthly to consider the strategic priorities of the Office, such as consideration of public interest issues and business intelligence to inform the selection, prioritisation, scoping, resourcing, timing and delivery of strategic projects. Such projects include own motion investigations, issues papers, submissions, products and targeted engagement activities by the Office in fulfilment of its statutory mandate.

Audit and Risk Committee

The Office has established an Audit and Risk Committee in compliance with s 45 of the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and PGPA Rule s 17 Audit Committees for Commonwealth Entities.

In January 2019 the Office made the decision to incorporate the risk management committee into the Audit Committee and changed the name to the Audit and Risk Committee.

The role of the Committee is to provide independent assurance to the Ombudsman on the Office's financial and performance reporting responsibilities, risk oversight and management and systems of internal control. A copy of the Audit and Risk Committee charter is available on our website.

The Audit and Risk Committee met four times during the year and comprised the following membership during the reporting period, detailed in Table 18.

Table 18—Audit and Risk Committee Members

Members	Position	Period of membership during year	Meetings attended
Will Laurie	External member and Chair	1 July 2018–30 June 2019	4 out of 4
Jaala Hinchcliffe	Member and Deputy Ombudsman	1 July 2018–30 June 2019	3 out of 4
Paul Pfitzner	Acting Deputy Ombudsman	Acting member	1 out of 1
Joanna Stone	External member	1 July 2018–30 June 2019	3 out of 4
Alfred Bongi	External member	1 July 2018–30 June 2019	4 out of 4

Regular observers at committee meetings included representatives from the Australian National Audit Office (ANAO), the Office's internal auditors (Bellchambers Barrett from July to December 2018 and RSM from April to June 2019), the COO and the Chief Financial Officer (CFO).

Management Committees

Management committees assist the Ombudsman with governance and decision-making.

Work Health and Safety Committee

The Office's Work Health and Safety Committee is made up of elected staff representatives from each of our offices and is chaired by the SAO of the Program Delivery Branch. The committee meets on a quarterly basis throughout the year. It has a strategic role in reviewing work health and safety matters and procedures to ensure we meet the terms of the Work Health and Safety Act 2011.

Workplace Relations Committee

The COO chairs the Workplace Relations Committee. It comprises of employee, management and union representatives and is the forum for regular exchanges about change and workplace issues.

Information Governance and Management Committee

The Information Governance and Management Committee (IGMC) is chaired by the Deputy Ombudsman. It provides strategic oversight and guidance on the development and implementation of information management and ICT policy, processes and systems. The IGMC provides the SLG with advice and recommendations on information management and ICT issues impacting the Office.

Corporate Governance Practices

Risk management

Our risk management framework comprises of a formal policy and protocol, a strategic risk plan and register and a risk appetite statement. Strategic risk reporting is undertaken quarterly.

The SLG regularly reviews strategic and operational risks as part of the business planning process. The Office also participates in the annual Comcover Risk Management Benchmarking Survey,

which independently assesses the Office's risk management maturity.

Additional oversight of our risk management is provided by the Audit and Risk Committee.

Business Continuity Plan

Our Business Continuity Plan sets out our strategies for ensuring that the most critical work of the Office can continue, or quickly resume, in the event of a disaster.

In 2018–19 the Office worked with Comcover and Deloitte to review our plan, approach and readiness. As a result of that advice we will update our approach in 2019–20 to cover continuity planning, emergency management and recovery (in one framework).

Accessibility

In developing and maintaining the Office's websites, we use the World Wide Web Consortium (W3C) Web Content Accessibility Guidelines (WCAG) 2.0 as the benchmark.

Our online services are compliant with WCAG 2.0 (AA level). Management of the website includes authoring tools to check for accessibility issues and compliance reporting. The graphic design uses high contrast and a simple presentation of content to assist readability.

Ethical standards

Our Office promotes ethical standards and behaviours by our staff. We provide information to our staff on the Australian Public Service Commission's Ethics Advisory Service and we have available to our staff an Ethics Contact Officer. Our intranet contains information about:

• APS Values and Code of Conduct
• workplace discrimination, bullying and harassment
• conflict of interest
• acceptance of gifts and hospitality
• procedures for determining breaches of the Code of Conduct
• procedures for facilitating and dealing with public interest disclosures relating to the Office.

Employee Performance Development Agreements contain the following mandatory, key behaviour: 'In undertaking my duties I will act in accordance with the APS Values, Employment Principles and APS Code of Conduct.'

The Induction Handbook for new starters provides appropriate information on ethical standards and behaviours. We have also implemented APS Learn Hub, which contains eLearning modules on APS Values and Principles, and Fraud Awareness.

Fraud Control

The Office has a fraud framework in place to enable compliance with Commonwealth framework and legislative requirements in accordance with the PGPA Act, in respect of fraud control. The Fraud Control Plan and the Accountable Authority Instructions provide the foundations of the fraud framework and detail the activities undertaken by the Office to provide an environment free from fraudulent and corrupt acts.

The Office's fraud control policy is reviewed biennially. All fraud allegations are reported to the Ombudsman and the Audit and Risk Committee and fraud investigations are outsourced as required.

One fraud investigation commenced in 2018–19, which will be finalised in 2019-20. We will be reviewing our fraud control framework, including our fraud control policy and fraud risk assessment in 2019-20.

External Scrutiny

Court and tribunal litigation

No decisions of courts or administrative tribunals made in 2018–19 had, or may have, a significant effect on the operations of the Office.

Office of the Australian Information Commissioner

During the reporting period, the Office of the Australian Information Commissioner (OAIC) advised our Office of seven matters where the applicant sought review of our decisions under the Freedom of Information Act 1982 (the FOI Act). At the time of reporting, all seven matters remain under consideration by the Information Commissioner.

The Office received one decision from the OAIC in relation to a review that commenced in 2017–18. The OAIC finalised this matter under s 54W(a)(i) of the FOI Act.

The Office is subject to the Privacy Act 1988. During the reporting period, the Privacy Commissioner received two complaints about our Office. These matters are currently under consideration by the OAIC.

Australian Human Rights Commission

The Office is subject to the jurisdiction of the Australian Human Rights Commission. During the reporting period, the Commission did not receive any new complaints about our Office.

Management of human resources

Overview

The Office Workforce Plan 2015–2019 is aligned to business planning processes. It seeks to identify any high-level trends and developments that will affect the workforce capability needed to deliver organisational outcomes. It also outlines strategies that will reduce any identified workforce risks.

The Workforce Plan is reviewed on an ongoing basis to identify emerging issues and to begin active mitigation before the potential effects of any workplace risks occur.

The Workforce Plan is complemented by the Office's:

• Learning and Development Strategy 2018–2020
• Diversity and Inclusion Strategy 2018–2021
• Reflect Reconciliation Action Plan 2019
• Multicultural Access and Equity Plan 2019–2020.

Learning and Development

The Learning and Development Strategy 2018–20 began in January 2018. The strategy sets a framework that delivers greater understanding of our learning and development investment priorities.

It is also linked to the Workforce Plan to ensure employees have the capabilities needed to meet the Office's objectives, now and into the future. The strategy is flexible and responsive in addressing learning and development needs in a diverse and changing environment.

The strategy focuses on the following three priority areas:

• core corporate capabilities
• functional or role-based capabilities
• leadership development and succession planning.

We support staff to undertake relevant study at tertiary institutions through study leave and/or financial assistance.

During 2018–19 we delivered the following learning and development initiatives:

• Trialled clear writing workshops to establish a program to be delivered in 2019 and 2020.
• Trialled leadership workshops to establish a program to be delivered in 2019 and 2020, targeting executive leadership and foundational leadership skills.
• Established an evaluation and reporting procedure for all training activity.
• Partnered with branch learning and development coordinators to set branch priorities and coordinate an office-wide schedule.
• Cooperated with branches to deliver core corporate, functional and role-based offerings, including privacy matters, executive level procurement, disability confident managers and recruiters, and working with Indigenous language interpreters.

Work Health and Safety

The Office is committed to maintaining a safe and healthy workplace for all employees, contractors and visitors. We acknowledge our employer responsibilities under the Work Health and Safety Act 2011, the Safety Rehabilitation and Compensation Act 1988 and relevant anti-discrimination legislation.

During 2018–19 we undertook many health and safety initiatives, including:

• A new office-wide Wellbeing Program consisting of four themes across the calendar year: mindfulness, physical activity, nutrition and staying connected.
• A specialised wellbeing service for areas identified as 'high risk' due to the nature of the work. The service includes one-on-one wellbeing check sessions with staff to work through any areas of risk to the employee's wellbeing and help with proactive strategies for optimal wellbeing.
• A new Employee Assistance Program (EAP) provider was engaged to deliver preventative and active counselling and coaching services to all employees.
• Free flu vaccinations for employees
• The Office achieved Gold accreditation through Mental Health First Aid Australia's skilled workplace program, as a result of the number of staff who have completed mental health first aid training and the strategic work undertaken in prevention, early intervention and advancing our health and wellbeing programs.
• Workplace safety inspections, resulting in high compliance rates across all offices.
• Staff representative training and refresher training for Health and Safety Representatives, Harassment Contact Officers and First Aid Officers.

During the reporting period there were no notifiable incidents.

Workplace arrangements

The Office's Enterprise Agreement 2017–20 came into effect on 31 August 2017.

As at 30 June 2019, a total of 230 employees were covered under the current agreement. The Agreement does not make provision for performance pay. Salary advancement within each of the non-SES classifications is linked to performance. Eight employees had an Individual Flexibility Arrangement in place under the provisions contained in the agreement.

Conditions are provided for SES staff under s 24(1) of the Public Service Act 1999 (Public Service Act). Determinations under s 24(1) of the Public Service Act provide SES annual salary advancement based on performance and do not make provision for performance pay.

The Office does not have any staff employed under Australian Workplace Agreements or common law contracts.

The Office offers non-salary benefits to our employees under the agreement and other individual industrial instruments. These benefits incorporate various types of leave, such as annual, personal and long service leave, as well as flexible working arrangements, access to salary packaging, lifestyle reimbursement and eyewear reimbursement for screen-based work.

Diversity and inclusion

The Office values a diverse representative workforce and strives to foster an inclusive workplace. The Office's Diversity and Inclusion Strategy provides an overarching framework and targeted action plans to ensure we value and respect the diversity of our employees, stakeholders and partners.

Actions taken in 2018–19 revolved around the themes of recruitment, cultural competence and retention and engagement of diverse groups. Recruitment initiatives included affirmative measure disability and indigenous rounds and indigenous graduate recruitment. Cultural competence and diversity training was mandated for all existing and new staff through the use of e-learning and face to face training. Retention and engagement with various diversity groups was encouraged through the establishment of diversity employee networks, exploration of mentoring programs and the celebration of important cultural events such as NAIDOC week.

Workforce profile

As at 30 June 2019 there were 238 staff (224.7 full time equivalent) employed across the Office. These figures include the Ombudsman and Deputy Ombudsman who are statutory office holders.

Women made up 65 per cent of the Office's workforce. Fifteen per cent of employees worked part-time. Staff who identified as Indigenous made up 2.94 per cent of our workforce and 5.04 per cent of staff identified as living with a disability.

Table 19—Workforce Profile as at 30 June 2018 and 30 June 2019

	At 30 June 2018			At 30 June 2019
Category	Ongoing	Non-ongoing	Total	Ongoing	Non-ongoing	Total
APS Classification
APS2	-	-	-	-	1	1
APS3	13	2	15	5	2	7
APS4	12	4	16	19	2	21
APS5	34	5	39	46	11	57
APS6	40	4	44	47	2	49
Executive Level 1	54	7	61	64	6	70
Executive Level 2	27	1	28	25	-	25
SES Band 1	6	-	6	6	-	6
Statutory Officers	2	-	2	2	-	2
Total	188	23	211	214	24	238
Location
ACT	112	21	133	131	14	145
NSW	13	1	14	9	4	13
QLD	18	1	19	24	1	25
SA	26	-	26	23	1	24
VIC	16	-	16	24	1	25
WA	3	-	3	3	3	6
Total	188	23	211	214	24	238
Gender and Diversity
Female	126	14	140	148	18	166
Male	62	9	71	66	6	72
Indigenous	1	2	3	7	-	7
People with disability	9	-	9	11	1	12
Employment Status
Full-time	148	17	165	181	20	201
Part-time	40	6	46	33	4	37

Indigenous Australians

Reconciliation Action Plan 2019

On 3 April 2019, the Office launched its Reflect Reconciliation Action Plan (RAP) for 2019. The RAP focuses on improving our relationship with local Aboriginal and Torres Strait Islander communities and increasing staff understanding of the cultural significance of the places where they live and work.

Our RAP provides a public commitment to continuing reconciliation. It includes practical steps to build relationships with Aboriginal and Torres Strait Islander peoples and communities, and to increase our understanding of Aboriginal and Torres Strait Islander cultures and histories. The RAP is part of our work to make our services more accessible to Indigenous peoples.

International Year of Indigenous Languages

To celebrate the International Year of Indigenous Languages, the Office engaged a Ngunnawal traditional custodian to teach senior staff and RAP Working Group members how to present an Acknowledgment of Country in Ngunnawal language.

2018 NAIDOC week

In July 2018, the Office invited the Wiradjuri Echoes to perform for the Office during NAIDOC Week. The Wiradjuri Echoes shared their culture and history through a traditional performance and dance.

National Reconciliation Week 2019

For National Reconciliation Week 2019, the Office held several events across each of our Office's locations. These events included a Welcome to Country by traditional custodians, naming meeting rooms in local Indigenous languages, a 'sea of hands' capturing staff thoughts on what reconciliation means to them, staff cook-ups using Indigenous colours and ingredients, as well as a series of talks by Indigenous guest speakers. These events helped build staff understanding and appreciation of the importance of National Reconciliation Week in line with this year's theme of 'grounded in truth'.

Cultural and linguistic diversity (CALD)

Multicultural Access and Equity Plan 2019—20

The Office's MAEP sets out our vision that all Australians, regardless of their cultural or linguistic background, are safeguarded in their dealings with Australian Government agencies and prescribed private sector organisations.

We aim to achieve this vision through delivering on six key commitments:

• Leadership—demonstrate a commitment to multicultural access and equity and take responsibility for its implementation.
• Engagement—identify and strategically engage with CALD clients, stakeholders and communities.
• Responsiveness—strategies are in place to ensure that policies, programs, community interactions and service delivery (whether in-house or outsourced) are responsive to CALD Australians.
• Performance—strong and clear mechanisms are in place to measure multicultural access and equity performance.
• Capability—understand, and have the capacity to respond to, the cultural and linguistic diversity of Australia's population.
• Openness—be transparent in the implementation of multicultural access and equity.

Purchasing

The Office is committed to achieving the best value for money in procurement activities and manages this using procurement practices that are consistent with the Commonwealth Procurement Rules. This includes the use of the Commonwealth Contracting Suite to prepare approaches to market and to formalise contracts. The procurement practices are supported by the Accountable Authority Instructions and internal policies and guidelines.

To improve efficiency in procurement, the Office accesses established procurement panels where possible. The Office supports small business participation in the Commonwealth Government procurement market. Small and Medium Enterprises (SME) and Small Enterprise participation statistics are available on the Department of Finance's website. The Office's procurement methods do not discriminate against small and medium-sized enterprises.

Our policies and processes include a requirement to visit the Supply Nation website first, to check whether any Indigenous businesses can provide the goods or services required. We seek to enter into engagements with Indigenous businesses where possible, ensuring that the arrangement adheres to the value for money and best fit principles. All procurements entered into by the Office are done on the basis of value for money and best fit.

All procurements that are in excess of $10,000 are published on AusTender as soon as practicable.

Consultants

The Office engages consultancy services in circumstances when particular expertise is not available internally or when independent advice is required.  Consultancy services include financial services, IT development and mediation services.

No contracts were let containing provisions that do not allow the Auditor-General to have access to the contractor's premises, and no contracts were entered into that were exempt from publication on AusTender.  Information on the value of contracts and consultancies is available on the AusTender website at: tenders.gov.au

The Office does not administer any grant programs.

Table 20—Number and expenditure on Consultants Current Report Period (2018–19)

	Total
No. of new contracts entered into during the period	12
Total actual expenditure during the period on new contracts (inc. GST)	$394,802
No. of ongoing contracts engaging consultants that were entered into during a previous period	1
Total actual expenditure during the period on ongoing contracts (inc. GST)	$2,998

Advertising campaigns

The Office did not undertake any advertising campaigns.

Exempt contracts

There were no contracts over $10,000 exempt from reporting on AusTender.

Compliance reporting

There were no significant issues reported to the responsible minister under paragraph 19 (1) (e) of the PGPA Act, which relates to non-compliance with finance law by the Office. We conducted a review of the procurement processes of the Office and have rolled out procurement awareness training to improve staff confidence in meeting the requirements of the Commonwealth Procurement Rules and to ensure awareness of new obligations under the Government Procurement (Judicial Review) Act 2018.

An internal compliance process is undertaken throughout the year and the results considered by the Senior Leadership Group and the Audit and Risk Committee.

Asset management

The assets managed by our Office include information and communication technology (ICT) assets, plant and equipment, property, and intangible assets such as software. With the exception of the property assets, all of these assets are handled internally and the five year capital replacement and capital investment plans predict our requirements.

Our ICT assets are managed in-house. Our property plant and equipment assets are primarily ICT assets and are supported by maintenance agreements and warranties. Intangible assets comprise of software and websites, which are either supported internally or through a support contract. The other major asset is property leasehold fit out. We currently have offices in Adelaide, Brisbane, Canberra, Melbourne, Perth and Sydney.

Disability Reporting

Since 1994, non-corporate Commonwealth entities have reported on their performance as policy adviser, purchaser, employer, regulator and provider under the Commonwealth Disability Strategy. In 2007–08, reporting on the employer role was transferred to the Australian Public Service Commission's State of the Service reports and the APS Statistical Bulletin. These reports are available at apsc.gov.au. From 2010–11, entities have no longer been required to report on these functions.

The Commonwealth Disability Strategy has been overtaken by the National Disability Strategy 2010–2020, which sets out a 10-year national policy framework to improve the lives of people with disability, promote participation and create a more inclusive society. A high-level, two-yearly report will track progress against each of the six outcome areas of the strategy and present a picture of how people with disability are faring. The first of these progress reports was published in 2014, and can be found at dss.gov.au.