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Appendix 5 Capability and assurance

The Integrity Commissioner is the Accountable Authority under the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and is required to govern ACLEI in a way which promotes the proper use and management of public resources, the achievement of ACLEI's purposes and its financial sustainability. ACLEI's 'enabler outputs' capable and strategic, well-governed and efficient, and lawful and fair describe how ACLEI's governance, financial and management arrangements deliver results in these areas.

Corporate governance

The governance framework that applies to non-corporate government entities is described in the PGPA Act and the Public Governance, Performance and Accountability Rule 2014 (PGPA Rule). In addition to regular and ad hoc meetings between the Integrity Commissioner and the Executive Directors to discuss strategic and emerging issues, in 2016–17 the following structures assisted the Integrity Commissioner to manage ACLEI:

Internal Governance Board

ACLEI's Internal Governance Board is designed to assist the Integrity Commissioner and the Senior Executive to fulfil their statutory obligations relating to the management of the agency. The Board—which subsumed the former Operations Governance Board—meets monthly to receive reports about ACLEI's governance, performance, human and financial resources, and to monitor compliance with legislation.

Membership as at 30 June 2017

Advisers as at 30 June 2017

Integrity Commissioner (Chair)

Executive Director Operations

Executive Director Secretariat

All ACLEI Directors

Assistant Director Finance

Assistant Director Professional Standards

Other ACLEI staff members, by invitation

Audit Committee

The ACLEI Audit Committee is established in accordance with section 45 of the PGPA Act and section 17 of the PGPA Rule. Its charter is to provide independent assurance and assistance to the Integrity Commissioner on ACLEI's risk, control and compliance framework and its financial statement responsibilities. It meets at least five times a year.

Membership as at 30 June 2017

Advisers as at 30 June 2017

Mr Darren Box (Chair), First Assistant Secretary, Department of Defence

Ms Petra Gartmann, Assistant Secretary, Attorney-General's Department

A Senior Executive from the Department of Defence

Mr Nicholas Sellars, Executive Director Secretariat, ACLEI

Auditor-General representatives

Director Corporate Services (CFO)

Assistant Director Finance

Assistant Director Professional Standards (Secretariat)

Other ACLEI staff members, by invitation

Internal audit

In consultation with the Audit Committee, ACLEI focuses internal audit activity on areas which pose the greatest risk to its functions.

Business planning

ACLEI's mandate is set by the objects of the LEIC Act and the Portfolio Budget Statements. As required under the PGPA Act, a four-year Corporate Plan is prepared each year, setting out strategic priorities and intended performance for the current year and the following three years. Previous and current corporate plans are available on the ACLEI website, www.aclei.gov.au/about/corporate-information.

Fraud and corruption control

ACLEI's Fraud and Corruption Control Plan 2016–2017 is available at www.aclei.gov.au/about/corporate-information.

The Integrity Commissioner's certification relating to ACLEI's fraud control arrangements appears in the letter of transmittal on page iii of this Annual Report.

Integrity management

Particular governance and integrity risks arise from ACLEI's role of investigating corrupt conduct in law enforcement agencies. The ACLEI integrity policy framework applies to all ACLEI staff, including secondees from other agencies and the Integrity Commissioner. The performance, governance and accountability features of the integrity policy framework are intended to create a workplace in which professional standards and accountability are valued and reinforced. This framework is supported by a further nine Agency Policy Advices.

ACLEI integrity policy framework

flowchart image showing how ACLEI's integrity policy arrangements are structured

This is a flowchart image showing how ACLEI's integrity policy arrangements are structured. There are three levels. There is one box on level one, titled 'ACLEI integrity policy'. The first box on level two is titled 'Integrity risk reporting and management APA'. Linked to the Integrity risk reporting and management APA box are eight level three boxes. The eight boxes are entitled: 'Fraud and corruption control APA', 'Notifying ACLEI corruption issues APA', 'Making a Public Interest Disclosure APA', 'Declarable associations and contact reporting APA', 'Private interest declarations APA', 'Secondary employment APA', 'Gifts and benefits APA', and 'Personal use of social media APA'. The second box on level two is titled 'Performance, governance and accountability measures'. Three level three boxes are linked to this box, being 'Integrity, security and fraud control training', 'Strong internal governance' and 'Regular integrity discussions'.

ACLEI's Assistant Director Professional Standards—who also performs the role of Agency Security Adviser—assists staff members to understand and comply with ACLEI's integrity standards and personnel security requirements. In addition, this officer maintains ACLEI's information security and audits information-handling and access to external databases.

The Assistant Director Professional Standards reports on a monthly basis to the Internal Governance Board on risk, governance and integrity matters.

External assurance

Parliamentary Joint Committee on ACLEI

The Parliamentary Joint Committee on the Australian Commission for Law Enforcement Integrity (PJC-ACLEI) of the 45th Parliament reports to both Houses of Parliament on matters relating to ACLEI. Established on 12 September 2016, the Committee monitors and reviews the performance of the Integrity Commissioner's functions, and examines each Annual Report and any special reports produced by the Integrity Commissioner.

This external scrutiny gives ACLEI a valuable external view of each year's efforts and achievements, and a basis to inform improvements to its work.

During 2016–17, the Committee comprised Senator Bridget McKenzie (Chair), Senator Catryna Bilyk (Deputy Chair), Mr Scott Buchholz MP, the Hon Justine Elliot MP, Mr Llew O'Brien MP, Senator Barry O'Sullivan, the Hon Stuart Robert MP, Senator Murray Watt and Mr Tony Zappia MP.

Examination of the Integrity Commissioner's Annual Report

As at 30 June 2017 the PJC-ACLEI had not presented its examination of the Integrity Commissioner's 2015–16 Annual Report to the Parliament.

Inquiries

On 11 October 2016, the Committee re-initiated its Inquiry into the Jurisdiction of the Australian Commission for Law Enforcement Integrity, after the previous inquiry commenced by the PJC-ACLEI of the 44th Parliament lapsed. On 21 December 2016 ACLEI made a further submission to the Committee. As at 30 June 2017, the Committee had not tabled a report on their Inquiry.

Inquiry terms of reference, published submissions and hearing transcripts can be found on the Committee's website at www.aph.gov.au.

Safeguards for the use of statutory powers

A range of checks and balances is in place to ensure that ACLEI uses investigation powers accountably and within the law. Some safeguards are administered by the Integrity Commissioner as head of ACLEI and others take the form of statutory external authorisation or reporting. In combination, these processes help ensure that ACLEI deploys investigation powers lawfully, proportionately and ethically. Guidelines for people subject to the Integrity Commissioner's coercive powers are also available on ACLEI's website, www.aclei.gov.au/hearings.

Public reports into ACLEI's use of powers can be found on ACLEI's website, www.aclei.gov.au/about/corporate-information/accountability-use-powers.

External scrutiny in 2016–17

Commonwealth Ombudsman— inspection of records and practices

  • Surveillance Devices Act 2004
  • Telecommunications (Interception and Access) Act 1979
  • Part IAB of the Crimes Act 1914 (controlled operations)

The Ombudsman made no recommendations in the reporting period.

Commonwealth Ombudsman—complaints and own-motion investigations

The Ombudsman did not alert ACLEI of any complaints received, or conduct any own-motion investigations into ACLEI in the reporting period.

Judicial reviews, decisions of administrative tribunals, and reports by the Information Commissioner

There was no judicial or administrative tribunal review of an ACLEI decision or action in the reporting period.

ACLEI did not receive any reports by the Information Commissioner in the reporting period.

Auditor-General

The Auditor-General did not undertake any performance audits relating to ACLEI during the reporting period.

ACLEI's audited financial statements for 2016–17 are presented in this Annual Report.

Agency capability reviews

No capability reviews of ACLEI were released or in progress during the reporting period.

Human resource management

Staffing profile and remuneration

The Integrity Commissioner deploys ACLEI's staff according to strategic priority and to make the best use of their capabilities and skills and the most efficient use of public resources.

For the 2016-17 Financial Year, ACLEI had a maximum staffing cap of 52 Average Staffing Level (ASL). ACLEI's actual ASL in 2016–17 was 47. The deficit in staffing reflects a staged approach to recruiting for specialised positions as well as normal staff movements, such as secondments to other agencies. Recruitment continues into 2017–18.

ACLEI's staffing profile is weighted to Executive Level staff, due to the experience and skill levels required to investigate hard-to-detect corruption in law enforcement, lead joint investigations under the LEIC Act, and manage and coordinate taskforces.

ACLEI also uses flexible workforce strategies—including partnering with other agencies, and maintaining a pool of appropriately security-cleared casual staff—to respond to fluctuations in workload and maximise productivity. For different periods during the year, ACLEI seconded additional staff from other agencies to assist in specific investigations.

Staffing profile at 30 June 2017

Ongoing

Non-ongoing

Classification

Male

Female

Male

Female

Total

Statutory office holder(Integrity Commissioner)

1 (1)

-

-

-

1 (1)

SES Band 1 ($200,904)

1 (1)

1 (1)

-

-

2 (2)

EL 2 ($116,397 – $131,157)

5 (4)

2 (2)

-

-

7 (6)

EL 1 ($94,682 – $115,062)

10 (12)

4 (4)

-

1 (0)

15 (16)

APS 6 ($74,232 – $85,274)

4 (4+1*)

3**+1* (3**)

-

1 (0)

9 (8)

APS 5 ($68,733 – $72,882)

1 (1)

4 (3)

-

0 (1)

5 (5)

APS 4 ($61,621 – $66,909)

-

1 (2)

-

3 (0)

4 (2)

Sub-total

22 (24)

16 (15)

-

5 (1)

43 (40)

Total

38 (39)

5 (1)

Staff members based in Canberra

27 (29)

4 (1)

31 (30)

Staff members based in Sydney

11 (10)

1 (0)

12 (10)

The table does not include casual or seconded staff members, or staff on unpaid or workers' compensation leave. No staff members identified as Aboriginal or Torres Strait Islander during 2016–17.

Figures in (brackets) are for staffing numbers at 30 June 2016.

* Higher duties or acting appointment.

** One staff member was employed on a part-time basis.

Employment agreements and conditions in 2016–17

Integrity Commissioner remuneration

The salary and allowances of the Integrity Commissioner are determined by the Remuneration Tribunal. See www.remtribunal.gov.au.

Senior Executive Service remuneration and agreements

The Integrity Commissioner determines remuneration for Senior Executive positions in ACLEI, taking into account experience and qualifications and comparisons with other agencies. There was no change to remuneration in the 2016–17 reporting period.

Both Senior Executive positions at ACLEI are covered by determinations made under s 24(1) of the Public Service Act 1999.

Non-SES workplace agreements

The conditions of the ACLEI Enterprise Agreement 2012–2014 remained in place during 2016–17. Four employees had Individual Flexibility Arrangements in place to take account of specific circumstances.

The ACLEI Enterprise Agreement 2017–2020 came into operation on 16 August 2017.

Non-salary benefits

Employee Assistance Program

Influenza vaccinations

Reimbursement program for corrective optical aids

Study assistance policy

Conference and study leave

Financial assistance for approved health and well-being activities

Performance payments

ACLEI does not have a system of performance bonus payments.

Security clearances

Employment at ACLEI is contingent upon maintaining a satisfactory security clearance.

Workplace diversity

ACLEI's Workplace Diversity Program 2015–19 and Reconciliation Action Plan 2016–2018 are published on its website.

Information required under the Work Health and Safety Act 2011

WHS initiatives in 2016–17

Ergonomic workstation assessments

Employee Assistance Program

Risk assessments for ACLEI operations and exercise of powers

Health and safety outcomes in 2016–17

No WHS incidents were reported in 2016–17.

Notifiable WHS incidents and investigations

None.

Notices given to ACLEI under Part 10 of the WHS Act

None.

Staff performance and development

ACLEI aims to maintain a multi-disciplinary and flexible workforce to enable the agency to deal effectively with the types of corruption issues that may arise in law enforcement. For these purposes, ACLEI maintains core skills in investigation management, intelligence collection and analysis, technical surveillance monitoring, legal counsel and advisers, corruption prevention, policy development and corporate management.

ACLEI's Program for Personal Performance links personal development with organisational needs and provides the mechanism for supervisors to manage staff performance. A rolling program of mandatory training for all staff includes topics relating to meeting ethical standards, governance, financial responsibilities, health and safety, and security.

In 2016–17, ACLEI staff members attended external training and development in topics such as fraud, protective and cyber security, integrity, leadership and mental health awareness.

Management of other corporate issues

Information and Communications Technology

ACLEI has a shared service arrangement with the Attorney-General's Department relating to ACLEI's ICT and records management requirements.

Disability reporting—Commonwealth Disability Strategy (to 2009–10)

The 2006–07 Annual Report—at www.aclei.gov.au—contained ACLEI's first report under the Strategy. Subsequent reports are in the relevant Australian Public Service Commission State of the Service reports and the APS Statistical Bulletin, available at www.apsc.gov.au.

Disability reporting—National Disability Strategy 2010–2020

A high level two-yearly report tracks progress against six outcome areas to present a picture of how people with disability are faring. The first of these reports was published in 2014 and is available at www.dss.gov.au.

Environmental performance

ACLEI endeavours to recycle, reduce energy consumption and promote sustainability. Energy-saving technologies (such as motion-sensor lights, on-demand printing and teleconferencing facilities) are incorporated in ACLEI's business practices.

Advertising and market research

ACLEI did not conduct any general advertising, market research, polling, direct marketing or any other form of advertising campaign.

Freedom of information (Part II, Freedom of Information Act 1982)

ACLEI's Information Publication Scheme Statement and Freedom of Information disclosure log can be accessed at www.aclei.gov.au/about/corporate-information/freedom-information.

Financial management

Australian Government entities are accountable for their financial practices and use of relevant money. Accordingly, transparency measures and independent auditing are used to monitor ACLEI's adherence to guidelines and ensure that financial management arrangements are robust and conducted with propriety.

Purchasing

The Commonwealth Procurement Rules, the Integrity Commissioner's Accountable Authority Instructions, the PGPA Act and PGPA Rule provide the framework for ACLEI's decisions concerning the purchase of goods and services.

ACLEI uses procurement methods which are efficient and cost-effective and which take account of ACLEI's security needs, specialised role and size. Value for money is always the guiding principle in selecting providers of goods and services. ACLEI also participates in mandatory whole-of-government coordinated procurement, such as travel.

Procurement initiatives to support small business

ACLEI supports small business participation in the Commonwealth Government procurement market. Small and Medium Enterprises and Small Enterprise participation statistics are available on the Department of Finance's website, www.finance.gov.au.

ACLEI's procurement practices support Small and Medium Enterprise participation by using the Commonwealth Contracting Suite for low-risk procurements valued under $200,000, and using payment cards when possible and appropriate, to allow more-timely payment to suppliers.

Consultancies—engagement policies and procedures

The decision to engage a consultant is made in accordance with the PGPA Act and PGPA Rule, the Commonwealth Procurement Rules and relevant internal policies, including the Accountable Authority Instructions. ACLEI takes into account the abilities and resources required for the task, the skills available internally, and the cost-effectiveness of engaging external expertise.

Consultancies—main categories

Consultants are engaged to investigate or diagnose a defined issue or problem, carry out defined reviews or evaluations (such as internal audits), or provide independent advice or information to assist in ACLEI's decision-making.

Consultancies—numbers and expenditure

During 2016–17, 8 new consultancy contracts were entered into involving total actual expenditure in 2016–17 of $96,200 (including GST). In addition, seven ongoing consultancy contracts were active during the period, involving total actual expenditure of $52,294 (including GST).

Annual reports contain information about actual expenditure. Information on the value of government contracts and consultancies is available on the AusTender website, www.tenders.gov.au.

Australian National Audit Office access clauses

No contracts over $100,000 were let that did not provide for the Auditor-General to have access to a contractor's premises.

Exempt contracts

No contracts were exempted from publication in AusTender because publication would disclose exempt matters under the Freedom of Information Act 1982.