Chapter 4—Management and accountability

Corporate governance

The Director is responsible for overseeing corporate governance and determining strategic priorities. In doing so, the Director acts in consultation with the Deputy Directors and senior managers.

All sections are accountable through their planning and reporting activities. These are centrally managed and coordinated through the Human Resources and Governance Section and the Finance Section, which ensure that the agency complies with its responsibilities as an Executive Agency under the Public Service Act and the FMA Act.

During 2009–10, the agency continued to manage, consolidate and refine the range of corporate governance arrangements that had been developed and implemented in 2008–09, its first year of operation as an Executive Agency. Relevant governance activities during the year included:

  • reviewing and updating Chief Executive’s Instructions as appropriate
  • managing key policies and plans, such as those covering risk management, audit, fraud control, business continuity audit and occupational health and safety
  • coordinating and managing strategic planning, including the strategic and business plans
  • preparing and coordinating reports and advice to key stakeholders such as the minister, the Department of the Prime Minister and Cabinet, and the Advisory Council
  • negotiating and implementing the agency’s first enterprise agreement
  • developing the agency’s first records authority, which is expected to be finalised, approved by the National Archives of Australia and implemented early in 2010–11
  • introducing a Workplace Consultative Committee, composed of staff and management representatives.

The development of all new and revised policies and guidelines was based on agency-wide consultation and input.

Senior management committees

The agency maintains several committees to assist with its management.

The two key committees are:

  • the Executive Management Group, which consists of the Director and Deputy Directors and deals with management issues across the agency, setting strategic directions and ensuring unity of vision, purpose and action for the organisation as a whole
  • the Senior Management Group, which includes the Executive Management Group and all section managers, deals with corporate and business planning and provides an avenue for consultation across the agency.

Both groups met fortnightly and summary minutes are published on the staff intranet. Details of their role and membership, along with those of other agency management committees, are in Table 7 (page 53).

Table 7 Management committees, 2009–10
Committee Attendance Role Meetings
Executive Management Group Chair: Director

Members: Deputy Directors
Sets strategic directions for the agency. Provides an avenue for discussion and decision making on agency-wide issues.

Oversees risk management.
Fortnightly
Senior Management Group Chair: Director

Members: Deputy Directors and all section managers
Provides an avenue for decision making, consultation and feedback on agency-wide issues.

Promotes risk management within the agency, regularly reviews and assesses key risks, and ensures appropriate linkages between risk management and planning processes.
Fortnightly
Audit Committee Chair: Deputy Director, Corporate and Heritage

Deputy Chair: Deputy Director, Interpretation and Programs

Members:
Manager, Heritage and Information Communication Technology
Manager, Research and Collection
Development
External member

Observers:
Chief Finance Officer
Manager, Human Resources and Governance
Australian National Audit Office representatives

Secretariat:
Human Resources and Governance
Enhances the agency’s control framework.

Assists the agency to comply with legislative and other obligations.

Improves the objectivity and reliability of externally published financial information.

Provides assurance to the Director in relation to her responsibilities under the Financial Management and Accountability Act 1997.
Approximately quarterly
Heritage Actions Committee Chair and Delegate: Deputy Director, Corporate and Heritage

Deputy Chair: Manager, Heritage and Information Communication Technology

Members:
Deputy Director, Interpretation and Programs
Assistant Manager, Heritage
Manager, Facilities
Manager, Human Resources and Governance
Manager, Visitor Experience
Manager, Learning and Interpretation
Assistant Manager, Interpretation and Community Learning
Manager, Research and Collection Development

Secretariat:
Heritage and Information Communication Technology
Discusses action proposals in accordance with Policy 21 of the Heritage Management Plan.

Makes recommendations to the delegate.

Suggests independent advice where relevant.

Provides input to ensure that decisions made regarding use and change in and on the place will not have a significant adverse impact on the heritage values of the place.

Activities of the committee are reported to the Advisory Council.
Fortnightly
Acquisitions Committee Chair and Delegate: Deputy Director, Interpretation and Programs
Deputy Chair: Manager, Research and Collection Development
Members:
Manager, Heritage and Information Communication Technology
Assistant Manager, Heritage
Manager, Australian Prime Ministers Centre
Reference Librarian
Assistant Manager, Interpretation and Community Learning
Research Manager and Senior Historian
Secretariat: Registrar
Discusses and determines appropriate additions to the collection for approval by the delegate in accordance with Policy 3.3 of the Collection Management Policy.

Activities of the committee are reported to the Advisory Council.
Monthly
Occupational Health and Safety Committee Chair: Deputy Director, Corporate and Heritage

Deputy Chair:
Manager, Facilities

Members:

First aid officers
Designated Work Group Health and Safety Representative and Deputy Representative
Representatives of Human Resources and Governance, Facilities, Visitor Experience
and security staff

Secretariat: Governance
Oversights health and safety matters.

Identifies, develops and implements consistent strategies to address occupational health and safety requirements.
Approximately quarterly
Workplace Consultative Committee Chair: Director

Members:
Manager, Human Resources and Governance
Three staff representatives

Secretariat
: Human Resources
Considers and advises employees and the Executive on workplace issues referred by employees, employee representatives or the Executive.

Facilitates communication, consultation, cooperation and inputfrom staff on matters that affect the workplace.
Quarterly

Chief Executive's Instructions

The agency’s Chief Executive’s Instructions are reviewed regularly and updated through the Finance Section as required. They are consistent with the Public Service Act, the FMA Act and other relevant legislation and guidelines.

Corporate planning

The agency’s current Strategic Plan covers the period from 2009 to 2012. It outlines the values, mission and objectives of the agency, thus ensuring that the corporate goals and focus of the organisation are aligned with Outcome 1.

The Strategic Plan is underpinned by the annual Business Plan, individual work plans for each section, and the individual performance agreements which form part of the staff Performance and Development Scheme.

Both the Strategic Plan and the Business Plan were revised and updated in 2009–10 to encompass the agency’s change in focus, moving from its establishment as an Executive Agency and the development and implementation of the Museum of Australian Democracy initiatives, into the consolidation, fine-tuning and operation of its programs and activities.

Table 8 (page 56) summarises the main plans and policies that informed the agency’s management and operations in 2009–10.

Table 8 Corporate management plans and policies, 2009–10
Plan/policy Purpose Period
Business Continuity Plan Outlines processes designed to ensure that the agency resumes normal operations quickly and efficiently following disruptions. 2009–11
Business Plan Provides a detailed outline of the activities and services that the agency will deliver during the year. 2009–10
Collection Management Policy Sets out guidelines for the management, maintenance and development of the Old Parliament House collections. 2009–10
Building and Collection Disaster Recovery Plan Manages the agency’s response to and recovery from emergencies, disasters and other disruptive events. 2008–12
Fraud Control Plan Complies with statutory obligations and provides guidance to staff on the policy and procedures dealing with fraud. 2009–11
Fraud Risk Plan Provides the agency and its staff with a tool to identify and manage fraud. 2009–10
Guidelines for staff on the APS Code of Conduct Provides staff with guidance on the standards of behaviour with which they are expected to comply under the Australian Public Service Code of Conduct. 2008–12
Heritage Management Plan Meets agency obligations under the Environment Protection and Biodiversity Conservation Act 1999 and provides appropriate guidance and direction on the management on the site. 2008–13
Internal Audit Program Provides the agency with a level of independent assurance on the appropriateness of the internal controls and business risk management that meet the agency’s obligations under the Financial Management and Accountability Act 1997. 2008–10
Life Cycle Cost Plan Guides activity for necessary conservation, refurbishment and cyclical building works for a 15-year period. 2007–22
Occupational Health and Safety Policy Assists the agency to maintain a safe and healthy workplace in compliance with s. 16 of the Occupational Health and Safety Act 1991. 2008–11
Asset Management Administrative Procedure Manages the physical items that form the assets of the agency. 2009–10
Risk Management Plan Provides the agency and its staff with a tool to identify and manage risk. 2009–10
Strategic Plan Identifies and provides detail on the agency’s key objectives, priorities and measures of success. 2009–12
Whistleblower Policy and Procedures Provides staff with information on whistleblowing and procedures the agency and the whistleblower should follow. 2009–12
Workplace Harassment Guideline Provides staff with the procedures to follow to address an allegation of workplace harassment. 2008–11

Audit

The agency’s Audit Committee was established in 2008–09.

  • enhancing the agency’s control framework
  • assisting the agency in complying with legislative and other obligations
  • improving the objectivity and reliability of externally published financial information
  • providing assurance to the Director in relation to her responsibilities under the FMA Act.

The committee is directly responsible and accountable to the Director for meeting its responsibilities. In addition to agency representatives, its membership includes an independent external member and observers from the Australian National Audit Office (ANAO). It met five times in 2009–10:

  • 21 July 2009
  • 18 September 2009 (special annual meeting to review 2008–09 financial statements)
  • 24 November 2009
  • 23 February 2010
  • 4 May 2010.

The committee satisfied the requirements of its charter by considering and dealing with a range of issues and activities during the year. The committee:

  • considered progress and outcomes of internal audit reviews, including the:
    • review and revision of the Risk Management Plan
    • review of financial processes and controls and implementation of findings
    • review of project management
    • review of Certificate of Compliance procedures
  • regularly considered registers of whole-ofgovernment and Old Parliament House– specific audit recommendations
  • oversaw risk management
  • dealt with a range of other matters, including:
    • considering and approving the 2008–09 audited financial
    • reviewing reports from the Chief Finance Officer on current
    • receiving and considering update briefings on current issues from the ANAO at all regular meetings
    • considering and endorsing proposed control framework measures, including the revision of cash handling procedures (November 2009) and a stocktake of heritage furniture and proposed improvements to internal controls
  • establishing a working group to consider issues raised by the ANAO’s report on sponsorship.

In carrying out these activities, the committee acted in accordance with its role and obligations under the Old Parliament House Audit Committee Charter and Operating Procedures.

WalterTurnbull remained the agency’s provider of internal audit services. The agency expects to make long-term arrangements for the provision of internal audit services in early 2010–11.

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