DIMA Annual Report 1998-99
Sub-program 6.2: Resources
Performance outcomes (continued)
(iii) Accountability
The Review Tribunals (Migration Review and Refugee Review) will become prescribed agencies under regulation 5 of the Financial Management and Accountability Regulations from 1 July 1999 to ensure that financial independence mirrors their decision-making and operational independence.
The Financial Services Performance Indicators (FSPIs) were refined during 1998-99 to provide a stronger focus on revenue, expenditure and asset management to ensure the FSPIs provide a reliable means of oversighting process and procedures relating to accrual accounting requirements in 1999-2000.
Major initiatives have been taken to ensure the integrity of DIMA's asset register and to meet the requirements to value all assets by 1 July 1999. As a significant collector of government revenue, the Department began measures to improve accountability in relation to revenue collection. In particular the Department has:
- prepared comprehensive policies and procedures covering the collection, security and disbursement of public money collected at onshore and offshore locations;
- provided revenue management training in all onshore offices and in a significant number of the main revenue collecting overseas posts;
- introduced detailed audit and security checks requiring overseas officials to undertake regular (daily, monthly, quarterly) reconciliations of revenue collected to application numbers/types and revenue collection systems;
- improved the central Department-wide reconciliation of revenue collected to application numbers and types, to provide assurance that the amount of revenue being collected is accurate and complete; and
- identified and recommended enhancements and changes to the Department's IT revenue collection systems to facilitate the reconciliation of, and accounting, for revenue across the Department.
Further work was also undertaken on the introduction of electronic payment facilities in overseas posts to increase controls and reduce the potential exposure of staff handling large sums of money.
Arrangements were put in place with the Department's bankers to facilitate the introduction of devolved banking on 1 July 1999, significantly increasing the efficiency and accountability of the Department's cash management and transactional banking processes. Internal business processes were also modified to take advantage of the Government initiative, and implementation procedures are being developed.
A range of audits was conducted against the Departmental Audit and Evaluation Committee-approved Annual Audit Program 1998-99. The audits primarily focused on financial management systems and operational aspects of the Department's activities, using performance and compliance audit techniques. They examined internal control mechanisms and tested for efficiency and effectiveness. During 1998 the Department conducted an audit risk assessment across the portfolio, risk assessment used to develop the Annual Audit Plan for 1999-2000.
Major outcomes of the internal audits were:
- assurance to the Secretary on accountability, compliance, efficiency and effectiveness in such matters as departmental accounting procedures for payments, property management, integrity of financial systems and revenue collection; and
- advice on internal control, compliance issues and better practice.
Steps were taken during the year to improve the Department's handling of grievance and discipline processes, and should result in faster and more effective resolution of these issues.
Training sessions were conducted for Australian staff to enhance their understanding of the conduct expected of departmental officers, and advise them how best to perform their duties ethically.
Locally engaged staff at Australian overseas missions were similarly trained. Additionally, individual briefings were provided to officers from the Department of Foreign Affairs and Trade and the Australian Federal Police.
A total of 227 allegations relating to the conduct of departmental officers was received (178 in 1997-98), of which 82 per cent were unfounded (97 per cent in 1997-98).
The Fraud Prevention Unit (FPU), within Internal Investigations Section, has the responsibility for implementing the Fraud Control Plan, The plan has been developed in accordance with the requirements of the Attorney-General's Department and endorsed by the Secretary.
Details of all action taken in regard to allegations and the operation of the FPU are presented to the Internal Investigations Steering Committee chaired at the Deputy Secretary level. The Executive was supportive of the outcomes achieved in 1998-99.
Top of PagePerformance outcomes
(iv) Staff
Following certification of the Department's Certified Agreement, two pay increases of 2.5 per cent were processed in 1998-99, the first in August 1998, the second in March 1999.
As part of the process of implementing elements of the Agreement, policies on conditions of service for departmental employees within Australia and overseas were developed and distributed on LEGEND. Staff information and awareness sessions were conducted for employees on their role and responsibility under the Certified Agreement.
Salary packaging was launched during March 1999, with an awareness and information program in all States and Territories undertaken by the contracted service agency. Some packaging arrangements have already been approved, concentrating so far on superannuation and car leasing.
The Department's new Overseas Conditions of Service (OCoS) package for officers undertaking term appointments at Australia's overseas missions took effect in January 1999, officers already at post having the option to remain on old arrangements or transfer to the new simplified conditions package. The new OCoS was agreed after extensive consultation with officers at posts during 1998.
Under the Workplace Relations Act 1996, all Senior Executive Service (SES) officers and some non-SES officers in the Department were offered Australian Workplace Agreements, some have either been concluded or are in process of being approved by the Office of the Employee Advocate. Guidelines have been developed under the overall framework of the DIMA Certified Agreement and are expected to be progressively implemented.
There have been no notifications of industrial disputes in the Department in the period under review.
Focus groups and individual learning agreements were used to identify learning needs, resulting in the delivery of a wide range of formal development programs and short courses focused on skills and knowledge requirements for both program-specific and corporate needs.
There is increased emphasis on manager development for staff in the Australian Public Service (APS) 5-6 range, on skills-based training for staff in the APS 1-4 range, as well as and a broad multi-stream program for staff from APS 1 to Executive Level 2.
In Central Office, seven induction courses designed to familiarise staff with the Department's current core business were conducted for 210 staff, including new starters and for those returning from overseas postings. Four portfolio update seminars were presented to all staff on core issues affecting the DIMA portfolio.
There is continued emphasis on training DIMA staff working overseas. Three four-week Overseas Training Courses were conducted for 58 staff proceeding to postings and five locally engaged staff from overseas posts. Training supplemented by briefings, short-term placements wherever necessary, on-the-job training at the post, and training through overseas Regional Training Units.
Improved coordination with Regional Offices in Australia and with overseas posts through the Regional Training Units resulted in efficient scheduling of training by program areas for the staff involved and increasingly a more systematic and effective training program. A range of training modules has been developed and distributed to state and territory offices and to overseas regional training units.
As outlined in the Department's Certified Agreement, a Performance and Learning Scheme will be introduced in September 1999. A pilot involving six sites and 157 staff was conducted to test and evaluate the scheme and to allow enhancement before implementation.
Participation in and training for the scheme are compulsory, staff and supervisors being trained in communication skills in preparation for performance management.
A comprehensive and improved 12-month training and rotation scheme was provided in 1999 for an increased intake of 34 Graduate Administrative Assistants.
A range of new departmental computer-based systems, SAP,TRIM and ISCE, resulted in intense training prior to implementation in all off ices. Additional IT training rooms have been fitted out in Central Off ice to manage increased demand.
Training courses and educational workshops and seminars were developed and delivered on a range of financial resource management issues at onshore and offshore offices. They aimed to raise the awareness of all staff of new accrual accounting initiatives to commence from 1 July 1999, and to highlight to managers and staff the importance of increased accountability.
To support users of the new SAP R/3 system, on-line system documentation for the most commonly used transactions was made available to all users via the Department's online reference tool, LEGEND.
In addition, a SAP Computer Aided Learning tool was rolled-out to all offices. A SAP helpdesk was established, providing assistance to 11 000 callers since the system went live on 1 July 1998. Face-to-face training was provided to more than 450 SAP users during the year.
The Department launched the Workplace Diversity Program 1998-2001 in September 1998. The Program outlines the Department's ongoing commitment to achieving an innovative, flexible and diverse work environment that is harassment-free. The two principal strategies are to develop and maintain a highly skilled and motivated workforce, and to allow staff to maximise their effectiveness by balancing working life with home, family and outside interests.
Divisions and state and territory offices are developing local implementation plans in line with the strategies in the Program that complement and build upon the innovative conditions of service in the Department's Certified Agreement.
The Department continues to focus on creative ways of raising awareness of workplace behaviour issues.
Initiatives for 1998-99 included a "Stop and Think" workplace behaviour competition in the staff newsletter, which attracted responses from individuals and teams in many DIMA offices, regular briefings and screenings on workplace behaviour issues, and increased support for the DIMA Harassment Contact Officer (HCO) Network.
The number of HCOs has increased in Canberra, Queensland and Victoria. Selection criteria were developed and used for the first time in their recruitment and selection process.
In April 1999, the first annual National HCO Conference was held encouraging networking between HCOs in DIMA offices and identifying of improvements to the HCO service across DIMA.
The Department's performance against Equal Employment Opportunity (EEO) targets remains good. As at May 1999, 55.6 per cent of total staff were women, and 27.3 per cent of SES, and 43 per cent Executive Level and equivalent staff were women.
The figures exceed the APS Year 2000 and previously identified DIMA EEO targets in this field. In particular, the number of women at Executive Level and equivalent has increased by 11 per cent since last year.
The number of indigenous staff has increased by 0.2 per cent to 1.4 per cent of staff, a figure below DIMA and APS Year 2000 targets. Nevertheless, it represents an improvement, and DIMA will continue efforts to increase the recruitment and retention of indigenous staff.
Staff from culturally and linguistically diverse backgrounds represent 28.7 per cent of staff. This figure continues to considerably exceed the APS Year 2000 target of 15 per cent, and is just under the DIMA EEO target of 30 per cent. Staff with disabilities represent 5.6 per cent of total staff, the same figure as last year, which exceeds the APS Year 2000 and DIMA EEO target of 5 per cent.
To focus the Department's approach to ethical behaviour and risk management, a Conduct and Risk Framework Section was established on 8 March 1999. This has resulted in a complete update of the Department's existing code of conduct and its restructuring to support and illustrate the APS Code of Conduct.
A contract with a multimedia developer to produce a CD-ROM of training material has been let and should be completed by the end of July 1999. The new Code of Conduct Framework documents will then be launched together with the CD-ROM and a national, mandatory training program.