DIMA Annual Report 1996-97

Sub-program 9.2: Corporate Strategy and Services

Objective

To ensure the organisation meets its objectives by providing effective leadership and a framework which ensures support for business operations and staff and achieves high levels of efficiency and accountability.

Description

The sub-program provides strategic advice to the Minister and the Executive on personnel, resource, information technology and broader corporate planning issues, develops corporate policies and standards and provides a range of corporate services, largely to internal clients. It makes an important contribution to servicing external clients through its role in helping policy and delivery areas to achieve their objectives.

The sub-program is administered through the Corporate Strategy and Services Division (comprising the Personnel Branch, the Resource Management Branch and the Information Management and Infrastructure Branch), as well as parts of the Ministerial and Communications Branch.

In the States and Territories, delivery is through the State and Territory Corporate Operations areas.

Many of the strategic issues managed within the sub-program involve the Secretary and the departmental Executive. In particular, financial and personnel powers lie with the Secretary and are exercised on her behalf.

Financial and staffing resources summary

	1996-97 Budget and AEs $'000s	1996-97 Actual $'000s	1995-96 Actual $'000s
Budgetary (cash) basis
Components of appropriations
Annual appropriations
Running costs	65 843	66 370	57 449
Other program costs	9	83	21
Total appropriations	65 852	66 453	57 470
Less adjustments	615	2 021	1 400
Total outlays	65 237	64 432	56 070
Total revenue	442	1 072	1 714
Staffing
Staff years (actual)	559	531	589

Performance information

Outcomes are measured against the extent to which:

1. effective leadership is provided;
2. support for business operations is provided;
3. support for staff is provided;
4. organisational efficiency is enhanced; and
5. organisational accountability is enhanced.

Performance outcomes

(i) Providing leadership

A strategic staffing policy was implemented to manage the down sizing of the Department, in line with budget imperatives, and a range of mechanisms was established to monitor and report on associated staffing profiles and costs.

Down sizing was achieved through a restructure of Central Office, in place on 1 July 1996, and the closure of six regional offices (see sub-program 4.2) and the Bureau of Immigration, Multicultural and Population Research (see sub-program 1.1).

Voluntary redundancy payments totalling about $10.5 million were made to some 150 staff in that context.

A task force on Workplace Relations was established to examine issues arising from the Workplace Relations Act 1996 and consider options for future agreement-making, including certified agreements and Australian Workplace Agreements.

This initiative sought to ensure that maximum advantage was taken of the new industrial possibilities, to the benefit of the organisation and staff.

The task force has organised a series of information seminars for staff with extensive further consultation planned for coming months.

Strategic and timely advice on budgeting and resource issues continued to be provided, for example through preparation of the Portfolio Budget Submission to Cabinet and briefing papers for the Executive.

This facilitated effective allocation of departmental resources and supported implementation of broader Government priorities.

A key outcome was the selection, following a tender process, of CSC Australia as the Department's long-term strategic partner for the development of business information technology (IT) solutions.

This initiative offers major benefits for the organisation and staff, including ease and speed of access to specialist expertise in generating and implementing creative business solutions; simplification of the tender process resulting in improved responsiveness to requirements; greater value for money in the provision of departmental IT services, with an improvement in the cost/risk ratio on major projects; and increased opportunities for the development of departmental staff skills and knowledge.

In coming months, the Department and its strategic partner will commence to provide more effective applications development and to support cost-effective delivery of departmental programs.

The Department's corporate and strategic information technology plan, DIMA's Information Technology Strategy, was completed and is being implemented.

The plan provides for a closer linking of information technology decisions and departmental business processes.

This provides more effective control of information technology direction and resourcing, maximising contribution to departmental outcomes.

Work on developing a new Corporate Plan will be completed in 1997-98. The plan has been held in abeyance while the Government proposal to introduce Charters of Government Performance was clarified.

A range of corporate policies, procedures and standards was developed, providing leadership for the organisation as a whole.

They included policies and/or procedures on staff exits, overseas recruitment, communicable diseases, eyesight testing, indoor pesticide spraying, grievance resolution, Aboriginal and Torres Strait Islander recruitment and career development, and Aboriginal and Torres Strait Islander cadetships.

As well, 15 financial policies were revised and issued in preparation for implementation of the Financial Management and Accountability Act, and a departmental IT Security Instruction was issued.

Nearing completion are a Workplace Behaviour Strategy, Probation Guidelines, Staff Mobility and Reintegration, Information Package for Workers with Family Responsibilities and Selection Guidelines.

In addition, standards were established or revised for personal computers, notebooks, desktop software and help desk management software.

(ii) Supporting business operations

Significant advances in productivity, enhanced communication and reduced costs for the Department's overseas operations are expected to flow from a Memorandum of Understanding (MOU) for the provision of information technology services (see also sub-program 4.1), signed with the Department of Foreign Affairs and Trade. The MOU period will initially be for three years and will embrace: the linking of overseas posts to the Department, through electronic mail; progressive access by staff overseas to the standard set of office automation products (the Microsoft Office suite); and agreement on the purchase and supply of hardware to the Department's staff overseas.

By the end of 1996-97, 66 overseas posts were linked to the wider organisation through electronic mail.

Through the Data Accuracy Project, the Department continued to enhance coordination of data quality and data accuracy issues.

Significant progress was made, including reductions in the number of client records being unavailable for client processing and in referral rates at airports and over stayer error rates.

Initiatives are also in place to reduce the number of errors arising from cross-program data re-use and exchange problems.

Work in this area supported implementation of broader departmental initiatives including, for example, the introduction of the Electronic Travel Authority.

Information technology security was improved through encryption of the Department's domestic data-communications links.

This reflects earlier recommendations by the Defence Signals Directorate (DSD). Outstanding DSD recommendations, for example in relation to the overseas network, will be progressed in coming months.

This was initially scheduled for completion in 1996-97 but was delayed to coincide with the roll-out of the overseas network.

System Security Plans, prepared for all departmental information technology platforms, also contributed to increased security.

Electronic Funds Transfer Point of Sale (EFTPOS) facilities introduced in all Australian-based departmental offices last financial year have been strengthened with the acceptance of a wider range of credit/debit cards, for example JCB Card which is the most widely-used Japanese credit card.

The purchasing help desk operated by the Department provided advice on tendering and contractual decisions on about 1000 occasions, helping program areas achieve their objectives.

Departmental input was prepared for the Senate Finance and Public Administration References Committee Inquiry into public accountability of Government services provided by private contractors.

On 1 November 1996, departmental staff in Australia gained access to the LEGEND system, which provides staff with access to a high integrity electronic version of current and historical legislation and departmental instructions.

The November 1996 release of the system contained 13 Migration-related and amending Acts, 39 statutory rules and 58 Gazette Notices (involving more than 130 commencement dates), as well as 18 issues of the Department's Procedures Advice Manual (PAM 3). Subsequent updates have added to this volume.

The system was enthusiastically received and feedback from staff has been positive. The system was distributed to 59 Australian missions overseas, in mid-March 1997.

A full, unofficial, consolidation of the Migration Regulations was issued in November after the disallowance by the Senate of regulations on 7 November 1996.

More than 48 million copies of about 330 forms were printed and distributed during the year.

Most forms were distributed in three routine cycles. A special out-of-cycle print run was required to reproduce supplies of 17 major forms which were amended as a result of the disallowance of certain regulations in November 1996.

Work continued on analysing and redesigning the Department's forms to provide better information to clients. Twelve new forms were introduced and 136 existing forms were upgraded to better meet client needs.

The Department continues to translate key forms in up to 25 languages. Emphasis is placed on translating initial information forms to allow clients for permanent and temporary entry, to assess more readily whether they are likely to meet the requirements before application.

Other forms translated include settlement information and some low-volume information forms for access and equity reasons.

(iii) Supporting staff

Staff development

Significant emphasis is placed on enhancing the skills and knowledge of all staff through appropriate staff development activities.

This increases individual productivity and organisational effectiveness and assists staff to reach their potential. The 1996-98 Staff Development Strategic Plan, launched by the Secretary in November 1996, sets out implementation strategies.

Individual Learning Agreements, a key concept envisaged by the plan and designed to assist staff and their managers to define job specific learning needs, were introduced to staff earlier this year.

The Department is working towards having the majority of staff complete a Learning Agreement by the end of 1997-98.

Completed Learning Agreements will be collated in a database. This will allow a comprehensive picture of the training and development needs of the organisation to emerge which, in conjunction with data on training undertaken, will further enhance planning and effectiveness of staff development activities.

As part of the Staff Development Strategy, a number of tools for supervisors were developed to encourage full use of the Learning Agreements.

This includes a kit for supervisors, which incorporates useful information about feedback, coaching and other related skills, and an on-the-job training module.

A formal mentoring scheme was piloted, designed to develop the skills and confidence of junior staff members while enhancing the management skills of senior officers.

Sixty staff volunteered to take part in the pilot, which ran from December 1996 to June 1997.

Preliminary results indicate that the pilot was successful. A formal mentoring program available to all staff, including those in small regional offices and overseas posts, will be established.

Training in financial and resource management, designed to increase awareness of financial responsibilities, was provided through 42 training courses.

Occupational Health and Safety

Changes to enhance awareness of Occupational Health and Safety (OH&S) issues and to ensure a safe work environment for staff and reduce departmental Comcare compensation premiums, were implemented.

In Central Office, for example, a presentation to the Department's Senior Executives by the Chief Executive Officer of Comcare was arranged, training was provided to managers and supervisors on their role and responsibilities under the Occupational Health and Safety(Commonwealth Employees) Act 1991, and OH&S training was included in courses for Graduate Administrative Assistants and induction courses.

States and Territories continued to arrange OH&S training in their jurisdictions.

Procedures were implemented to improve reporting of OH&S matters.

The Comcare accident/incident report was distributed to all supervisors with instructions on its use, ensuring the Department meets its legal reporting obligations.

A system of hazard reporting has been established using the Department's local area network. A workplace inspection checklist was developed and distributed for use in Central Office.

Significant emphasis was placed on identifying and managing high cost worker's compensation claims more effectively, and developing strategies for earlier intervention and return to work.

For example, the Department purchased and now uses the Comcare Diskette Service Interpreter.

This monthly diskette service provides information on compensation claims, assisting compensation and rehabilitation case managers and the Department to monitor open claims and identify common injuries more broadly.

State and Territory OH&S committees continued to meet regularly to discuss local OH&S issues.

The National Standing Committee on OH&S met five times to discuss national issues. The committee is reviewing the OH&S Policy and Agreement, the National First Aid Policy and the Return to Work Policy.

These initiatives are beginning to generate positive outcomes, for example, in lower Comcare premiums.

No disability claims were made. This reflected improved management processes, including extensive consultation in the context of refurbishment.

Industrial relations

Formal, national level consultative forums were facilitated between management and union representatives on four occasions in Sydney and Canberra.

Major issues discussed include the review of the Immigration Review Tribunal, the Community and Public Sector Union log of claims, regional office closures, information technology out-sourcing, family leave and Change Management Guidelines.

Regional consultative committee meetings continued to be held at the local level to discuss issues such as equal employment opportunity, Employee Assistance Program reporting, Comcare and grievance statistics, staff development and training, and OH&S.

EEO and diversity

Significant emphasis was placed on implementing a number of the strategies identified in the 1995-98 EEO Program and Managing Diversity Plan, designed to ensure that staff members are able to realise their full potential.

A feature of the EEO Program is the integration of EEO in the management practices of Central Office Divisions and State and Territory offices, and through the development of Divisional, State and Territory EEO Plans and reporting on achievements against EEO objectives.

Other achievements include: improved reporting arrangements to the Minister, Executive and Central Agencies; the development and implementation of an Aboriginal and Torres Strait Islander Recruitment and Career Development Plan; the revitalisation of Harassment Contact Officer Networks; and greater emphasis on EEO in training programs.

The Managing Diversity Plan led to the recognition and integration of cultural diversity concepts across the Department. Workshops were held for staff and promotion material was distributed widely.

Conduct

Presentations were given to more than 650 Australian staff to provide guidance on the conduct expected of departmental officers and advise them on how best to perform their duties ethically.

As well, individual briefings were provided to 20 officers from the Department of Foreign Affairs and Trade and the Australian Federal Police.

A total of 208 allegations relating to the conduct of departmental officers was received (148 in 1995-96). More than one third of these were claims of corruption in relation to the issue of visas.

The majority of cases investigated were found to be unsubstantiated or disproved. Six officers were counselled about their actions (two in 1995-96). Six officers were referred to Industrial Relations Section for further investigation. One officer was committed for trial and three were referred to the Director of Public Prosecutions (three in 1995-96). Eleven officers resigned while under investigation.

Details of all action taken in regard to allegations are presented to the Internal Investigations Steering Committee, which is chaired at Deputy Secretary level. The Executive was supportive of outcomes achieved in 1996-97.

The Department's Code of Conduct, already possibly the most comprehensive of Government Departments, is being revised and will be disseminated to staff.

(iv) Enhancing efficiency

Revenue collection and overall cash management was significantly enhanced with the introduction of the Reserve Bank of Australia's ReserveLink electronic banking package.

This package enables central management of all Australian-based departmental bank accounts and has led to the rationalisation of bank accounts from 37 to eight while promoting more efficient use of regional resources.

National contracts are in place for the delivery of stationery and stores, travel services, postal services and photocopiers.

The establishment of national contracts for these services has led to greater efficiencies and improved service delivery for internal clients.

The Department has selected and begun implementing a new strategic applications development tool, SEER*HPS. The tool, supported by the Department's strategic partner, provides automated support and greater discipline to the application development process.

It represents a major upgrade to the Department's information technology capability and will allow more cost effective development and maintenance of computer systems.

Ongoing efficiencies are expected from a departmental Executive decision to introduce a fully integrated suite of software, the Microsoft Office '97 suite, as well as new, modern desktop equipment.

This initiative, scheduled to commence roll-out in 1997-98, will increase productivity, enhance flexibility and reduce administration costs, as well as address long-standing functionality issues.

The Department identified in 1996 a requirement for a new records management system providing enhanced functionality and flexibility.

This requirement is being progressed under the auspices of the whole-of-Government initiatives.

While implementation was expected in 1996-97, whole-of-Government time frames have meant that implementation is now expected in 1997-98.

In June 1997, the inter-departmental Records Management Systems Working Group, chaired by the First Assistant Secretary, Corporate Strategy and Services Division, selected five systems for incorporation in the whole of Government Shared Systems Suite.

Innovative ways of meeting client needs while realising efficiencies continued to be examined for forms distribution.

A trial of electronic forms was undertaken by 30 migration agents in Australia and one overseas. Agents were given electronic versions of 22 of the forms most commonly used. The forms could be completed on screen and then printed ready for signature and lodgment with the Department for processing.

While there are several shortcomings in the software package used, the trial showed that electronic forms are popular with agents. Alternative software packages are now being investigated.

All information forms are now available through the Department's home page on the Internet. Electronic versions of the application form for visitors (form 48) and temporary business entrants (form 456) are also available for down loading and printing.

An electronic stock control spreadsheet was developed to assist outlets to estimate their forms needs more effectively.

(v) Enhancing accountability

Work commenced in February 1997 on the development of a departmental Client Service Charter, which should be completed in 1997-98.

The charter, which is being developed in consultation with stakeholders, will set out the service standards clients can expect of departmental staff, as well as providing details on how to access departmental services. The Department's performance against those standards will be reported annually.

A high level of financial accountability is maintained through the Department's system of delegations and financial controls.

In 1996-97, 850 instruments for delegation approval were prepared. In addition, the Department further developed its financial services performance indicators.

These are a set of about 25 structured checks of various financial systems and processes and are integral to providing assurances about the quality and accuracy of financial data used for external reporting.

Internal audit and evaluation activities improve effectiveness and efficiency of management systems and operations, and enhance organisational accountability. These functions are overseen by the Departmental Audit and Evaluation Committee (DAEC), chaired by the Deputy Secretary.

The Departmental Evaluation Plan and the Portfolio Evaluation Plan were promulgated in January 1997. Monitoring of evaluation activity against the plans and review of implementation of agreed recommendations against completed evaluations continued throughout the year, with periodic reports being prepared for DAEC consideration.

An evaluation culture has been fostered and corporate evaluation skills enhanced through in-house evaluation training courses and evaluation seminars. An evaluation policy and procedures manual is at an advanced draft stage and is expected to be issued early in 1997-98.

Internal audit activities, monitored by the DAEC, were undertaken in line with the work schedule set out in the Annual Internal Audit Program, which was developed in consultation with the ANAO.

Recommendations and findings arising from audits were acted upon by program areas, leading to improved management and program performance.

Major internal audits completed included:

• a quality assurance review of the financial services performance indicators;
• a quality assurance review of the Section 50 financial statement returns, prepared by line areas to enable the production of the Department's annual financial statements;
• a review of the Movement Records System;
• a review of the internal control environment for the Financial Efficiency Strategic Planning System's (FINEST) Assets module;
• a review of payments by credit card/EFTPOS;
• a review of the Client Services System (CSS); and
• the production of reports to assist the ANAO using Computer Assisted Audit Techniques.

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