Appendix M - Compliance index

Compliance index

Ref Part of Report Description Requirement Page number(s) in this report
8(3) & A.4   Letter of transmittal Mandatory XII
A.5   Table of contents Mandatory III-VII
A.5   Index Mandatory  
A.5   Glossary Mandatory  
A.5   Contact officer(s) Mandatory II
A.5   Internet home page address and Internet address for report Mandatory II
9 Review by Secretary
9(1)   Review by departmental Secretary Mandatory VIII-XI
9(2)   Summary of significant issues and developments Suggested VIII-XI
9(2)   Overview of department’s performance and financial results Suggested VIII-XI
9(2)   Outlook for following year Suggested X-XI
9(3)   Significant issues and developments—portfolio Portfolio departments—suggested VIII-XI
10 Departmental Overview
10(1)   Role and functions Mandatory 2
10(1)   Organisational structure Mandatory 2-4
10(1)   Outcome and programme structure Mandatory 3
10(2)   Where outcome and programme 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 Nil to report
10(3)   Portfolio structure Portfolio departments—mandatory 8
11 Report on Performance
11(1)   Review of performance during the year in relation to programmes and contribution to outcomes Mandatory 12-15
11(2)   Actual performance in relation to deliverables and KPIs set out in PB Statements/PAES or other portfolio statements Mandatory 12-15
11(2)   Where performance targets differ from the PBS/PAES, details of both former and new targets, and reasons for the change Mandatory Nil to report
11(2)   Narrative discussion and analysis of performance Mandatory 12-172
11(2)   Trend information Mandatory 12-172
11(3)   Significant changes in nature of principal functions/services Suggested 153-172
11(3)   Performance of purchaser/provider arrangements If applicable, suggested 9, 249-255
11(3)   Factors, events or trends influencing departmental performance Suggested 12-172
11(3)   Contribution of risk management in achieving objectives Suggested 89, 94-98
11(4)   Performance against service charter customer service standards, complaints data, and the department’s response to complaints If applicable, mandatory 140-145
11(5)   Discussion and analysis of the department’s financial performance Mandatory 174-177
11(6)   Discussion of any significant changes in financial results from the prior year, from budget or anticipated to have a significant impact on future operations Mandatory Nil to report
11(7)   Agency resource statement and summary resource tables by outcomes Mandatory 284-287
12 Management and Accountability
  Corporate Governance
12(1)   Agency heads are required to certify their agency's actions in dealing with fraud Mandatory XII
12(2)   Statement of the main corporate governance practices in place Mandatory 88-90
12(3)   Names of the senior executive and their responsibilities Suggested 4-7
12(3)   Senior management committees and their roles Suggested 88-90
12(3)   Corporate and operational plans and associated performance reporting and review Suggested 88-120
12(3)   Internal audit arrangements including approach adopted to identifying areas of significant financial or operational risk and arrangements to manage those risks Suggested 94-96
12(3)   Policy and practices on the establishment and maintenance of appropriate ethical standards Suggested 133
12(3)   How nature and amount of remuneration for SES officers is determined Suggested 273
  External Scrutiny
12(4)   Significant developments in external scrutiny Mandatory 264-267
12(4)   Judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner Mandatory 94
12(4)   Reports by the Auditor-General, a Parliamentary Committee. the Commonwealth Ombudsman or an agency capability review Mandatory 264-267
  Management of Human Resources
12(5)   Assessment of effectiveness in managing and developing human resources to achieve departmental objectives Mandatory 120-136
12(6)   Workforce planning, staff retention and turnover Suggested 120-130
12(6)   Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and Australian Workplace Agreements (AWAs) Suggested 121
12(6)   Training and development undertaken and its impact Suggested 132-133
12(6)   Work health and safety performance Suggested 132-133
12(6)   Productivity gains Suggested Nil
12(7)   Statistics on staffing Mandatory 268-273
12(8)   Statistics on employees who identify as Indigenous Mandatory 270
12(9)   Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs Mandatory 268-273
12(10) & B   Performance pay Mandatory 273
12(11)-(12) Assets management Assessment of effectiveness of assets management If applicable, mandatory 148
12(13) Purchasing Assessment of purchasing against core policies and principles Mandatory 150
12(14)- (23) Consultants 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 151
12(24) Australian National Audit Office Access Clauses Absence of provisions in contracts allowing access by the Auditor-General Mandatory 152
12(25) Exempt contracts Contracts exempted from publication in AusTender Mandatory 152
12(26)-(28) Small business Procurement initiatives to support small business Mandatory 150
13 Financial Statements Financial Statements Mandatory 178-245
  Other Mandatory Information      
14(1) & C.1   Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011) Mandatory 274
14(1) & C.2   Advertising and Market Research (Section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns Mandatory 276-277
14(1) & C.3   Ecologically sustainable development and environmental performance (Section 516A of the Environment Protection and Biodiversity Conservation Act 1999) Mandatory 278-283
14(1)   Compliance with the agency’s obligations under the Carer Recognition Act 2010 If applicable, mandatory 256-257
14(2) & D.1   Grant programmes Mandatory 152
14(3) & D.2   Disability reporting—explicit and transparent reference to agency-level information available through other reporting mechanisms Mandatory 119-121, 86, 128, 127
14(4) & D.3   Information Publication Scheme statement Mandatory 275
14(5)   Correction of material errors in previous annual report If applicable, mandatory 288
E   Agency Resource Statements and Resources for Outcomes Mandatory 284-286
F   List of Requirements Mandatory 289-293

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