Output 3: Employment-related services and functions

Ethical standards and management accountability

Ethical standards

The Commission has put considerable work into promoting the APS Values and Code of Conduct with Commission staff. The APS Values have been incorporated in the Commission’s certified agreement, AWAs, Corporate Plan and accountability checklists.

The Commission has a standard clause which it includes in contracts requiring contractors to uphold the APS Values and observe the behaviours expected of our own staff.

A large number of Commission staff, including all senior staff, have participated in training on their roles and responsibilities in relation to the Parliament and its committees. Seminars have also been conducted on the implications of the Privacy Principles for the work of the Commission and on legal issues to be considered in giving advice. The Commission Management Committee has also been used as a venue for discussing ethical issues of concern to the Commission, for example, the appropriateness of accepting gifts or invitations to public events.

Procedures have been established, based on the outline provided by the Attorney-General’s Department, for determining whether an APS employee has breached the Code of Conduct. In relation to managing the use of electronic communication, a written notification is given to staff on commencement and staff must sign a statement acknowledging the requirement for ethical use of the Internet and e-mail and an undertaking that they will abide by such arrangements.

The Commission also promotes the Guidelines on Official Conduct and internal procedures for handling whistleblowing disclosures made by staff. It has well-developed Chief Executive Instructions, which are updated regularly. The bookmark which sets out the APS Values and the Code of Conduct has been distributed to all Commission staff.

During the year the Commission adopted revised performance criteria for the provision of advice to the Minister. The performance criteria stress that advice to the Minister will be consistent with Value (f):

the APS is responsive to the Government in providing frank, honest, comprehensive, accurate and timely advice and in implementing the Government’s policies and programs.

The criteria also provide a basis for periodically assessing the advice given to the Minister. The Commission’s work in briefing the Minister is reported under Output 1.

Audit Committee

In accordance with the Financial Management and Accountability Act 1997, the Public Service Commissioner has established an Audit Committee, chaired by the Deputy Public Service Commissioner and including two senior staff as its members. The Committee meets at least three times a year.

Representatives of the Australian National Audit Office attend meetings of the Audit Committee as observers and the Commission’s internal auditors, Ernst and Young, and Chief Finance Officer attend meetings to report on particular matters.

Internal audit program

During 2002—03 Ernst and Young provided consultative advice to the Commission’s Audit Committee, particularly in relation to planning a longer-term audit strategy, and conducted a program of internal financial and performance audits.

Reports were received on audits of:

• the APS Employment Database (APSED)
• leave management
• privacy compliance.

The audit reports, which were considered by the Audit Committee, did not identify any significant or systemic issues and recommendations relating to these reviews have been implemented.

At the end of the year work was well advanced on a risk-based compliance audit and a review of the Commission’s use of an Accountability Self-Assessment Checklist tool.

Accountability checklists

Accountability Self-Assessment Checklists have been introduced for use by Group Managers and Executive Level 2 staff as an integral component of the Commission’s accountability assurance procedures.

The Checklists require individuals to attest to their compliance with responsibilities across a range of matters relating to corporate, financial, people and asset management and compliance with the APS Values. This process allows a rigorous assessment of their compliance with their statutory and other formal obligations and forms part of their performance appraisal assessment.

Fraud Control Plan

During the year the Commission developed a revised Fraud Control Plan to cover the period 2003—05. The revised Plan complies with the Commonwealth Fraud Guidelines issued in May 2002. The Plan details fraud prevention strategies and an associated implementation action plan.

The Audit Committee, chaired by the Deputy Public Service Commissioner, has oversight of the implementation of the Plan. The Plan is available electronically to all staff and is brought to the attention of new staff as part of the Commission induction process. During 2002—03 fraud prevention awareness sessions were conducted for staff.

Security Plan

Implementation of the Commission’s Security Plan continued during 2002—03 under the guidance of the Commission’s Security Committee. The Commission completed a program of formal security awareness training seminars for all Commission staff in accordance with the Protective Security Manual during the year. These courses will continue to be undertaken as part of an on-going Commission security awareness program.

The Commission engaged the services of T4- Protective Security to undertake a security review of its offices and provide security advice accordingly. It is anticipated that the review will be completed by end of September 2003. The Commission will then update its Security Plan to reflect any changes that may occur as a result of this review.