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Compliance index

This guide records compliance with the Requirements for Annual Reports as provided by Section 17AJ(d) of the PGPA Rule 2014 and the Law Enforcement Integrity Commissioner Act and Regulations.

PGPA Rule 2014–Requirements for Annual Reports

PGPA Rule
Reference
Description Part of Report

17AD(g)

Letter of transmittal

 

17AI

A copy of the letter of transmittal, with statement that the report has been prepared in accordance with section 46 of the Act and any enabling legislation that specifies additional requirements

Letter of transmittal

17AD(h)

Aids to access

Aids to access

17AJ(a)

Table of contents

Refer print version

17AJ(b)

Alphabetical index

Refer print version

17AJ(c)

Glossary of abbreviations and acronyms

Acronyms

17AJ(d)

List of requirements

Compliance index

17AJ(e)

Details of contact officer

Preliminaries

17AJ(f)

Entity's website address

Reporting corruption

17AJ(g)

Electronic address of report

Preliminaries

17AD(a)

Review by accountable authority

Integrity Commissioner’s foreword

17AD(b)

Overview of the entity

Agency overview

17AE(1)(a)(i)

A description of the role and functions of the entity

Agency overview—Purpose

17AE(1)(a)(ii)

A description of the organisational structure of the entity

Agency overview—Organisational structure

17AE(1)(a)(iii)

A description of the outcomes and programs administered by the entity

2015–16 Performance Statement—Purpose, Outcome and Program

17AE(1)(a)(iv)

A description of the purposes of the entity as included in corporate plan

Agency overview—Strategic priorities

17AE(1)(b)

An outline of the structure of the portfolio of the entity

N/A

17AE(2)

Where the outcomes and programs administered by the entity differ from any Portfolio Budget Statement, Portfolio Additional Estimates Statement or other portfolio estimates statement that was prepared for the entity for the period, details of variation and reasons for change

N/A

17AD(c)

Report on the Performance of the entity

2015–16 Performance Statement

17AD(c)(i); 16F

Annual performance statement in accordance with paragraph 39(1)(b) of the Act and section 16F of the Rule

2015–16 Performance Statement

17AD(c)(ii)

Report on Financial Performance

 

17AF(1)(a)

A discussion and analysis of the entity's financial performance

2015–16 Performance Statement—Financial resources

17AF(1)(b)

A table summarising the total resources and total payments of the entity

2015–16 Performance Statement—Operating result

17AF(2)

Details of significant changes in the financial results during or after the previous or current reporting period

N/A

17AD(d)

Management and Accountability

Appendix 5

Corporate Governance

Appendix 5—Corporate Governance

17AG(2)(a)

Information on compliance with section 10 (fraud systems)

Appendix 5—Fraud and Corruption control

17AG(2)(b)(i)

A certification by accountable authority that fraud risk assessments and fraud control plans have been prepared

Letter of transmittal

17AG(2)(b)(ii)

A certification by accountable authority that appropriate mechanisms for preventing, detecting incidents of, investigating or otherwise dealing with, and recording or reporting fraud that meet the specific needs of the entity are in place

Letter of transmittal

17AG(2)(b)(iii)

A certification by accountable authority that all reasonable measures have been taken to deal appropriately with fraud relating to the entity

Letter of transmittal

17AG(2)(c)

An outline of structures and processes in place for the entity to implement principles and objectives of corporate governance

Appendix 5—Corporate Governance

17AG(2)(d)–(e)

A statement of significant issues reported to Minister under paragraph 19(1)(e) of the Act that relates to non-compliance with Finance law and action taken to remedy non-compliance

N/A

External Scrutiny

Appendix 5—External assurance

17AG(3)

Information on the most significant developments in external scrutiny and the entity's response to the scrutiny

Appendix 5—External assurance

17AG(3)(a)

Information on judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner that may have a significant effect on the operations of the entity

None

17AG(3)(b)

Information on any reports on operations of the entity by the
Auditor-General (other than report under section 43 of the Act),
a Parliamentary Committee, or the Commonwealth Ombudsman

Appendix 5—External Assurance

17AG(3)(c)

Information on any capability reviews on the entity that were released during the period

None

Management of Human Resources

Appendix 5—Human resource management

17AG(4)(a)

An assessment of the entity's effectiveness in managing and developing employees to achieve entity objectives

Appendix 5—staff performance and development

17AG(4)(b)

Statistics on the entity's APS employees on an ongoing and non-ongoing basis; including the following:

Statistics on staffing classification level;

Statistics on full-time employees;

Statistics on part-time employees;

Statistics on gender;

Statistics on staff location;

Statistics on employees who identify as Indigenous

Appendix 5—Staffing profile at 30 June 2016

17AG(4)(c)

Information on any enterprise agreements, individual flexibility arrangements, Australian workplace agreements, common law contracts and determinations under subsection 24(1) of the Public Service Act 1999

Appendix 5—Employment agreements and conditions in 2015–16

17AG(4)(c)(i)

Information on the number of SES and non-SES employees covered by agreements etc identified in paragraph 17AG(4)(c)

Appendix 5—Employment agreements and conditions in 2015–16

17AG(4)(c)(ii)

The salary ranges available for APS employees by classification level

Appendix 5—Staffing profile at 30 June 2016

17AG(4)(c)(iii)

A description of non-salary benefits provided to employees

Appendix 5—Employment agreements and conditions in 2015–16

17AG(4)(d)(i)

Information on the number of employees at each classification level who received performance pay

N/A

17AG(4)(d)(ii)

Information on aggregate amounts of performance pay at each classification level

N/A

17AG(4)(d)(iii)

Information on the average amount of performance payment, and range of such payments, at each classification level

N/A

17AG(4)(d)(iv)

Information on aggregate amount of performance payments

N/A

Assets Management

17AG(5)

An assessment of effectiveness of assets management where asset management is a significant part of the entity's activities

N/A

Purchasing

17AG(6)

An assessment of entity performance against the Commonwealth Procurement Rules

Appendix 5—Financial management

Consultants

17AG(7)(a)

A summary statement detailing the number of new contracts engaging consultants entered into during the period; the total actual expenditure on all new consultancy contracts entered into during the period (inclusive of GST); the number of ongoing consultancy contracts that were entered into during a previous reporting period; and the total actual expenditure in the reporting year on the ongoing consultancy contracts (inclusive of GST)

Appendix 5—Financial management

17AG(7)(b)

A statement that "During [reporting period], [specified number] new consultancy contracts were entered into involving total actual expenditure of $[specified million]. In addition, [specified number] ongoing consultancy contracts were active during the period, involving total actual expenditure of $[specified million]"

Appendix 5—Financial management

17AG(7)(c)

A summary of the policies and procedures for selecting and engaging consultants and the main categories of purposes for which consultants were selected and engaged

Appendix 5—Financial management

17AG(7)(d)

A statement that "Annual reports contain information about actual expenditure on contracts for consultancies. Information on the value of contracts and consultancies is available on the AusTender website

Appendix 5—Financial management

Australian National Audit Office Access Clauses

17AG(8)

If an entity entered into a contract with a value of more than $100 000 (inclusive of GST) and the contract did not provide the Auditor-General with access to the contractor's premises, the report must include the name of the contractor, purpose and value of the contract, and the reason why a clause allowing access was not included in the contract

N/A

Exempt contracts

17AG(9)

If an entity entered into a contract or there is a standing offer with a value greater than $10 000 (inclusive of GST) which has been exempted from being published in AusTender because it would disclose exempt matters under the FOI Act, the annual report must include a statement that the contract or standing offer has been exempted, and the value of the contract or standing offer, to the extent that doing so does not disclose the exempt matters

N/A

Small business

 

17AG(10)(a)

A statement that "[Name of entity] 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."

Appendix 5—Financial management

17AG(10)(b)

An outline of the ways in which the procurement practices of the entity support small and medium enterprises

Appendix 5—Financial management

17AG(10)(c)

If the entity is considered by the Department administered by the Finance Minister as material in nature–a statement that "[Name of entity] recognises the importance of ensuring that small businesses are paid on time. The results of the Survey of Australian Government Payments to Small Business are available on the Treasury's website."

N/A

17AD(e)

Financial Statements

Financial Statements

17AD(f)

Other Mandatory Information

17AH(1)(a)(i)

Advertising campaigns

N/A

17AH(1)(a)(ii)

If the entity did not conduct advertising campaigns, a statement to that effect.

Appendix 5—Management of other corporate issues

17AH(1)(b)

A statement that "Information on grants awarded by [name of entity] during [reporting period] is available at [address of entity's website]."

N/A

17AH(1)(c)

Outline of mechanisms of disability reporting, including reference to website for further information.

Appendix 5—Management of other corporate issues

17AH(1)(d)

Website reference to where the entity's Information Publication Scheme statement pursuant to Part II of FOI Act can be found.

Appendix 5—Management of other corporate issues

17AH(1)(e)

Correction of material errors in previous annual report

N/A

17AH(2)

Information required by other legislation

Appendix 5—Information required under the Work Health and Safety Act 2011

and

Appendix 5—Management of other corporate issues

LEIC Act requirements

LEIC Act Reference Description Part of report

s 201(a)

Statistics pursuant to LEIC Regulations 17 to 20

Appendix 4

s 201(b)

Investigations raising significant issues or developments in law enforcement

Integrity Commissioner’s foreword

Year in review—operations overview

Year in review—investigation reports

Year in review—Building networks

Year in review—Managing ICT ‘super-user’ risk

Year in review—Patterns and trends

Appendix 2: Reports to the Minister

Appendix 6: Developments in ACLEI’s operating environment

s 201(c)

Patterns and trends in corruption

Year in review—Patterns and trends

s 201(d)(i)

Recommendations for changes to laws of the Commonwealth

None

s 201(d)(ii)

Recommendations for changes to administrative practices of Commonwealth Government agencies

None

s 201(e)

Prosecutions

Year in review—Prosecutions

s 201(f)

Confiscation proceedings

None

s 201(g)(i)

AD(JR) Act applications

None

s 201(g)(ii)

Other court proceedings involving the Integrity Commissioner

None

reg 20(e)

Summary of investigation outcomes

Appendix 2

reg 21

Government agency investigations

None

reg 22

ACLEI corruption issues

Appendix 5—Corruption issues relating to ACLEI

reg 23

Information certificates under section 149 of the LEIC Act

None

Special reports to the Minister, made under section 204 of the LEIC Act

None