Section 5 – Appendices

Appendix A: Compliance index

Requirements document reference Description Requirement Status
8(3) & A.4 Letter of transmittal Mandatory Applicable
A.5 Table of contents Mandatory Applicable
A.5 Index Mandatory Applicable
A.5 Glossary Mandatory Applicable
A.5 Contact officer(s) Mandatory Applicable
A.5 Internet home page address and internet address for report Mandatory Applicable
9 Review by Commissioner    
9(1) Review by agency Commissioner Mandatory Applicable
9(2) Summary of significant issues and developments Suggested Applicable
9(2) Overview of agency’s performance and financial results Suggested Applicable
9(2) Outlook for following year Suggested Applicable
9(3) Significant issues and developments – portfolio
Portfolio departments – suggested Not applicable
10 Agency overview    
10(1) Role and functions Mandatory Applicable
10(1) Organisational structure Mandatory Applicable
10(1) Outcome and program structure Mandatory Applicable
10(2) Where outcome and program structures differ from PB Statements/PAES or other portfolio statements accompanying any other additional appropriation bills (other portfolio statements), details of variation and reasons for change Mandatory Not applicable
10(3) Portfolio structure Portfolio departments - mandatory Not applicable
11 Report on performance    
11(1) Review of performance during the year in relation to programs and contribution to outcomes Mandatory Applicable
11(2) Actual performance in relation to deliverables and KPIs set out in PB Statements/PAES or other portfolio statements Mandatory Applicable
11(2) Where performance targets differ from the PBS/ PAES, details of both former and new targets, and reasons for the change Mandatory Not applicable
11(2) Narrative discussion and analysis of performance Mandatory Applicable
11(2) Trend information Mandatory Applicable
11(3) Significant changes in nature of principal functions/services Suggested Not applicable
11(3) Performance of purchaser/provider arrangements If applicable, suggested Not applicable
11(3) Factors, events or trends influencing agency performance Suggested Applicable
11(3) Contribution of risk management in achieving objectives Suggested Applicable
11(4) Social inclusion outcomes If applicable, mandatory Not applicable
11(5) Performance against service charter customer service standards, complaints data, and the agency’s response to complaints If applicable, mandatory Applicable
11(6) Discussion and analysis of the agency’s financial performance Mandatory Not applicable
11(7) Discussion of any significant changes from the prior year, from budget or anticipated to have a significant impact on future operations Mandatory Not applicable
11(8) Agency resource statement and summary resource tables by outcomes Mandatory Not applicable
12 Management and accountability    
  Corporate governance    
12(1) Agency heads are required to certify that their agency comply with the Commonwealth Fraud Control Guidelines Mandatory Not applicable
12(2) Statement of the main corporate governance practices in place Mandatory Applicable
12(3) Names of the senior executive and their responsibilities Suggested Applicable
12(3) Senior management committees and their roles Suggested Applicable
12(3) Corporate and operational planning and associated performance reporting and review Suggested Applicable
12(3) Approach adopted to identifying areas of significant financial or operational risk Suggested Applicable
12(3) Policy and practices on the establishment and maintenance of appropriate ethical standards Suggested Applicable
12(3) How nature and amount of remuneration for SES officers is determined Suggested Applicable
  External scrutiny    
12(4) Significant developments in external scrutiny Mandatory Applicable
12(4) Judicial decisions and decisions of administrative tribunals Mandatory Applicable
12(4) Reports by the Auditor-General, a Parliamentary Committee or the Commonwealth Ombudsman Mandatory Applicable
  Management of human resources    
12(5) Assessment of effectiveness in managing and developing human resources to achieve agency objectives Mandatory Applicable
12(6) Workforce planning, staff turnover and retention Suggested Applicable
12(6) Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and AWAs Suggested Applicable
12(6) Training and development undertaken and its impact Suggested Applicable
12(6) Work health and safety performance Suggested Applicable
12(6) Productivity gains Suggested Applicable
12(7) Statistics on staffing Mandatory Applicable
12(8) Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs Mandatory Applicable
12(9) & B Performance pay Mandatory Applicable
12(10)-(11) Assessment of effectiveness of assets management If applicable, mandatory Applicable
12(12) Assessment of purchasing against core policies and principles Mandatory Applicable
12(13)-(24) The annual report must include a summary statement detailing the number of new consultancy services contracts let during the year; the total actual expenditure on all new consultancy contracts let during the year (inclusive of GST); the number of ongoing consultancy contracts that were active in the reporting year; and the total actual expenditure in the reporting year on the ongoing consultancy contracts (inclusive of GST). The annual report must include a statement noting that information on contracts and consultancies is available through the AusTender website Mandatory Applicable
12(25) Absence of provisions in contracts allowing access by the Auditor-General Mandatory Not applicable
12(26) Contracts exempt from the AusTender Mandatory Applicable
13 Financial statements Mandatory Not applicable
  Other mandatory information    
14(1) & C.1 Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011) Mandatory Applicable
14(1) & C.2 Advertising and Market Research (Section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns Mandatory Applicable
14(1) & C.3 Ecologically sustainable development and environmental performance (Section 516A of the Environment Protection and Biodiversity Conservation Act 1999) Mandatory Applicable
14(1) Compliance with the agency’s obligations under the Carer Recognition Act 2010 If applicable, mandatory Not applicable
14(2) & D.1 Grant programs Mandatory Not applicable
14(3) & D.2 Disability reporting– explicit and transparent reference to agency-level information available through other reporting mechanisms Mandatory Applicable
14(4) & D.3 Information Publication Scheme statement Mandatory Applicable
14(5) & D.4 Spatial reporting – expenditure by program between regional and non-regional Australia If applicable, mandatory Not applicable
14(6) Correction of material errors in previous annual report If applicable, mandatory Not applicable
E Agency Resource Statements and Resources for Outcomes Mandatory Not applicable
F List of requirements Mandatory Applicable