APPENDIX E: Compliance Index
PGPA Rule Reference |
Part of Report |
Description |
Requirement |
17AD(g) |
Letter of transmittal |
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17AI |
A copy of the letter of transmittal signed and dated by accountable authority on date final text approved, with statement that the report has been prepared in accordance with section 46 of the Act and any enabling legislation that specifies additional requirements in relation to the annual report. |
Mandatory |
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17AD(h) |
Aids to access |
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17AJ(a) |
Table of contents. |
Mandatory |
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17AJ(b) |
N/A |
Alphabetical index. |
Mandatory |
17AJ(c) |
Glossary of abbreviations and acronyms. |
Mandatory |
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17AJ(d) |
List of requirements. |
Mandatory |
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17AJ(e) |
Details of contact officer. |
Mandatory |
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17AJ(f) |
Entity’s website address. |
Mandatory |
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17AJ(g) |
Electronic address of report. |
Mandatory |
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17AD(a) |
Review by accountable authority |
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17AD(a) |
A review by the accountable authority of the entity. |
Mandatory |
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17AD(b) |
Overview of the entity |
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17AE(1)(a)(i) |
A description of the role and functions of the entity. |
Mandatory |
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17AE(1)(a)(ii) |
A description of the organisational structure of the entity. |
Mandatory |
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17AE(1)(a)(iii) |
A description of the outcomes and programmes administered by the entity. |
Mandatory |
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17AE(1)(a)(iv) |
A description of the purposes of the entity as included in corporate plan. |
Mandatory |
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17AE(1)(aa)(i) |
Name of the accountable authority or each member of the accountable authority |
Mandatory |
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17AE(1)(aa)(ii) |
Position title of the accountable authority or each member of the accountable authority |
Mandatory |
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17AE(1)(aa)(iii) |
Period as the accountable authority or member of the accountable authority within the reporting period |
Mandatory |
|
17AE(1)(b) |
An outline of the structure of the portfolio of the entity. |
Portfolio departments ‑ mandatory |
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17AE(2) |
N/A |
Where the outcomes and programs administered by the entity differ from any Portfolio Budget Statement, Portfolio Additional Estimates Statement or other portfolio estimates statement that was prepared for the entity for the period, include details of variation and reasons for change. |
If applicable, Mandatory |
17AD(c) |
Report on the Performance of the entity |
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Annual performance Statements |
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17AD(c)(i); 16F |
10.1 Overview of the Annual Performance Statement for 2018–19 |
Annual performance statement in accordance with paragraph 39(1)(b) of the Act and section 16F of the Rule. |
Mandatory |
17AD(c)(ii) |
Report on Financial Performance |
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17AF(1)(a) |
A discussion and analysis of the entity’s financial performance. |
Mandatory |
|
17AF(1)(b) |
A table summarising the total resources and total payments of the entity. |
Mandatory |
|
17AF(2) |
N/A |
If there may be significant changes in the financial results during or after the previous or current reporting period, information on those changes, including: the cause of any operating loss of the entity; how the entity has responded to the loss and the actions that have been taken in relation to the loss; and any matter or circumstances that it can reasonably be anticipated will have a significant impact on the entity’s future operation or financial results. |
If applicable, Mandatory. |
17AD(d) |
Management and Accountability |
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Corporate Governance |
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17AG(2)(a) |
Information on compliance with section 10 (fraud systems) |
Mandatory |
|
17AG(2)(b)(i) |
A certification by accountable authority that fraud risk assessments and fraud control plans have been prepared. |
Mandatory |
|
17AG(2)(b)(ii) |
A certification by accountable authority that appropriate mechanisms for preventing, detecting incidents of, investigating or otherwise dealing with, and recording or reporting fraud that meet the specific needs of the entity are in place. |
Mandatory |
|
17AG(2)(b)(iii) |
A certification by accountable authority that all reasonable measures have been taken to deal appropriately with fraud relating to the entity. |
Mandatory |
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17AG(2)(c) |
An outline of structures and processes in place for the entity to implement principles and objectives of corporate governance. |
Mandatory |
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17AG(2)(d) – (e) |
A statement of significant issues reported to Minister under paragraph 19(1)(e) of the Act that relates to non‑compliance with Finance law and action taken to remedy non‑compliance. |
If applicable, Mandatory |
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External Scrutiny |
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17AG(3) |
Information on the most significant developments in external scrutiny and the entity’s response to the scrutiny. |
Mandatory |
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17AG(3)(a) |
Information on judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner that may have a significant effect on the operations of the entity. |
If applicable, Mandatory |
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17AG(3)(b) |
Information on any reports on operations of the entity by the Auditor‑General (other than report under section 43 of the Act), a Parliamentary Committee, or the Commonwealth Ombudsman. |
If applicable, Mandatory |
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17AG(3)(c) |
N/A |
Information on any capability reviews on the entity that were released during the period. |
If applicable, Mandatory |
Management of Human Resources |
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17AG(4)(a) |
An assessment of the entity’s effectiveness in managing and developing employees to achieve entity objectives. |
Mandatory |
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17AG(4)(aa) |
Statistics on the entity’s employees on an ongoing and non‑ongoing basis, including the following: (a) statistics on full‑time employees; (b) statistics on part‑time employees; (c) statistics on gender; (d) statistics on staff location. |
Mandatory |
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17AG(4)(b) |
Statistics on the entity’s APS employees on an ongoing and non‑ongoing basis; including the following: - Statistics on staffing classification level; - Statistics on full‑time employees; - Statistics on part‑time employees; - Statistics on gender; - Statistics on staff location; - Statistics on employees who identify as Indigenous. |
Mandatory |
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17AG(4)(c) |
Information on any enterprise agreements, individual flexibility arrangements, Australian workplace agreements, common law contracts and determinations under subsection 24(1) of the Public Service Act 1999. |
Mandatory |
|
17AG(4)(c)(i) |
Information on the number of SES and non‑SES employees covered by agreements etc identified in paragraph 17AG(4)(c). |
Mandatory |
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17AG(4)(c)(ii) |
The salary ranges available for APS employees by classification level. |
Mandatory |
|
17AG(4)(c)(iii) |
A description of non‑salary benefits provided to employees. |
Mandatory |
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17AG(4)(d)(i) |
Table 86: APS Employment Performance Pay by classification level Current Report Period (2018-19)(a) |
Information on the number of employees at each classification level who received performance pay. |
If applicable, Mandatory |
17AG(4)(d)(ii) |
Table 86: APS Employment Performance Pay by classification level Current Report Period (2018-19)(a) |
Information on aggregate amounts of performance pay at each classification level. |
If applicable, Mandatory |
17AG(4)(d)(iii) |
Table 86: APS Employment Performance Pay by classification level Current Report Period (2018-19)(a) |
Information on the average amount of performance payment, and range of such payments, at each classification level. |
If applicable, Mandatory |
17AG(4)(d)(iv) |
Table 86: APS Employment Performance Pay by classification level Current Report Period (2018-19)(a) |
Information on aggregate amount of performance payments. |
If applicable, Mandatory |
Assets Management |
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17AG(5) |
An assessment of effectiveness of assets management where asset management is a significant part of the entity’s activities |
If applicable, mandatory |
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Purchasing |
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17AG(6) |
An assessment of entity performance against the Commonwealth Procurement Rules. |
Mandatory |
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Consultants |
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17AG(7)(a) |
A summary statement detailing the number of new contracts engaging consultants entered into during the period; the total actual expenditure on all new consultancy contracts entered into during the period (inclusive of GST); the number of ongoing consultancy contracts that were entered into during a previous reporting period; and the total actual expenditure in the reporting year on the ongoing consultancy contracts (inclusive of GST). |
Mandatory |
|
17AG(7)(b) |
A statement that “During [reporting period], [specified number] new consultancy contracts were entered into involving total actual expenditure of $[specified million]. In addition, [specified number] ongoing consultancy contracts were active during the period, involving total actual expenditure of $[specified million]”. |
Mandatory |
|
17AG(7)(c) |
A summary of the policies and procedures for selecting and engaging consultants and the main categories of purposes for which consultants were selected and engaged. |
Mandatory |
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17AG(7)(d) |
A statement that “Annual reports contain information about actual expenditure on contracts for consultancies. Information on the value of contracts and consultancies is available on the AusTender website.” |
Mandatory |
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Australian National Audit Office Access Clauses |
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17AG(8) |
If an entity entered into a contract with a value of more than $100 000 (inclusive of GST) and the contract did not provide the Auditor‑General with access to the contractor’s premises, the report must include the name of the contractor, purpose and value of the contract, and the reason why a clause allowing access was not included in the contract. |
If applicable, Mandatory |
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Exempt contracts |
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17AG(9) |
If an entity entered into a contract or there is a standing offer with a value greater than $10 000 (inclusive of GST) which has been exempted from being published in AusTender because it would disclose exempt matters under the FOI Act, the annual report must include a statement that the contract or standing offer has been exempted, and the value of the contract or standing offer, to the extent that doing so does not disclose the exempt matters. |
If applicable, Mandatory |
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Small business |
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17AG(10)(a) |
A statement that “[Name of entity] supports small business participation in the Commonwealth Government procurement market. Small and Medium Enterprises (SME) and Small Enterprise participation statistics are available on the Department of Finance’s website.” |
Mandatory |
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17AG(10)(b) |
An outline of the ways in which the procurement practices of the entity support small and medium enterprises. |
Mandatory |
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17AG(10)(c) |
If the entity is considered by the Department administered by the Finance Minister as material in nature—a statement that “[Name of entity] recognises the importance of ensuring that small businesses are paid on time. The results of the Survey of Australian Government Payments to Small Business are available on the Treasury’s website.” |
If applicable, Mandatory |
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Financial Statements |
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17AD(e) |
Inclusion of the annual financial statements in accordance with subsection 43(4) of the Act. |
Mandatory |
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Executive Remuneration |
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17AD(da) |
Information about executive remuneration in accordance with Subdivision C of Division 3A of Part 2‑3 of the Rule. |
Mandatory |
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17AD(f) |
Other Mandatory Information |
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17AH(1)(a)(i) |
If the entity conducted advertising campaigns, a statement that “During [reporting period], the [name of entity] conducted the following advertising campaigns: [name of advertising campaigns undertaken]. Further information on those advertising campaigns is available at [address of entity’s website] and in the reports on Australian Government advertising prepared by the Department of Finance. Those reports are available on the Department of Finance’s website.” |
If applicable, Mandatory |
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17AH(1)(a)(ii) |
If the entity did not conduct advertising campaigns, a statement to that effect. |
If applicable, Mandatory |
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17AH(1)(b) |
A statement that “Information on grants awarded by [name of entity] during [reporting period] is available at [address of entity’s website].” |
If applicable, Mandatory |
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17AH(1)(c) |
Outline of mechanisms of disability reporting, including reference to website for further information. |
Mandatory |
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17AH(1)(d) |
Website reference to where the entity’s Information Publication Scheme statement pursuant to Part II of FOI Act can be found. |
Mandatory |
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17AH(1)(e) |
Correction of material errors in previous annual report |
If applicable, mandatory |
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17AH(2) |
Information required by other legislation |
Mandatory |
Glossary
ACCOUNTABLE AUTHORITY
The Secretary of the department.
ADMINISTERED ITEMS
Appropriated funding managed on behalf of the Commonwealth. This funding is not at the discretion of the entity. An administered item is a component of an administered program.
APPROPRIATION
An amount of public money parliament authorises for spending for a particular purpose.
AUSTENDER
The Australian Government’s web-based procurement system, which provides centralised access to all publicly available approaches to market, multi-use lists, annual procurement plans and reported contracts.
CLAIMS FINALISED
Claims that are granted or rejected.
COMMONWEALTH PROCUREMENT RULES
Whole-of-government rules that establish the core procurement policy framework and articulate the government’s expectations for government agencies and their officials when performing duties related to procurement.
CORPORATE GOVERNANCE
The process by which an agency is directed and controlled. It is generally understood to encompass authority, accountability, stewardship, leadership, direction and control.
CORPORATE PLAN
An outline of the strategies the department will follow to achieve its objectives and how the department will measure success. The department reports on the performance measures contained in the corporate plan in annual reports and updates the plan every year.
DIGITAL ASSISTANT
Digital assistants are programs that are trained to understand questions and provide an appropriate response to support customers in the digital space.
eLEARNING
Web-based training: anywhere, any-time instruction delivered over the internet or a corporate intranet to browser-equipped learners.
MOBILE APP
A software application designed to run on smartphones, tablet computers and other mobile devices. Usually, they are downloaded from a platform to a target device such as an iPhone, Android phone or Windows phone; an iPad or other tablet; and a laptop or desktop computer.
ONLINE SERVICES
Web-based services that provide users with a wide variety of data transmitted over telecommunications lines. The department offers a range of online services to recipients and other subscribers, such as doctors. The department’s online services include sending electronic messages and online letters, accepting payment and benefit claims, handling Low Income Card renewals and offering health professionals secure access to Medicare electronic services.
OUTCOMES
The intended result, consequence or effect of government actions on the Australian community.
POLICY DEPARTMENTS
Australian Government departments that are responsible for developing and implementing policies and programs for the Australian community. The department delivers payments and services on behalf of a number of Australian Government policy departments and agencies.
PORTFOLIO ADDITIONAL ESTIMATES STATEMENTS
Statements that inform Senators, Members of Parliament, government departments and agencies, and the public, of changes to the proposed allocation of resources to government outcomes since the Budget.
PORTFOLIO BUDGET STATEMENTS
Budget-related statements which explain how the government intends to spend the money included in the Appropriation Bills (Budget Bills).
PROGRAM
An activity that delivers benefits, services or transfer payments to individuals, industry and/or the community as a whole, with the aim of achieving the intended result specified in an outcome statement.
SELF-MANAGED SERVICES
Self-managed services allow customers to carry out their business without staff intervention.
SMART CENTRES
Virtual centres located within the department that carry out telephony and processing work. In practical terms, smart centres mean customers have better experiences, more personalised phone calls from staff, and access to department‑wide assistance tailored to their individual circumstances.
TELEPHONY
The construction or operation of telephones and telephonic systems. The term is also used to refer to computer hardware, software, and computer network systems that carry out functions traditionally performed by telephone equipment.
Abbreviations and acronyms
AASB Australian Accounting Standards Board
AAT Administrative Appeals Tribunal
ACIC Australian Criminal Intelligence Commission
ADHA Australian Digital Health Agency
AFP Australian Federal Police
AGDRP Australian Government Disaster Recovery Payment
AGA Australian Government Actuary
AGIL Australian Government Indigenous Programs & Policy Locations
AIC Assistance for Isolated Children Scheme
AIR Australian Immunisation Register
AIS Aboriginal Interpreter Service
ANAO Australian National Audit Office
APS Australian Public Service
ASIC Australian Securities and Investments Commission
ATO Australian Taxation Office
AUSTRAC Australian Transaction Reports and Analysis Centre
AVTOP Australian Victim of Terrorism Overseas Payment
CALD culturally and linguistically diverse
CAP Community Agent Program
CCB Child Care Benefit
CCR Child Care Rebate
CDPP Commonwealth Director of Public Prosecutions
CEO Community Engagement Officer
CMBO Claim Medicare Benefits Online
CSS Commonwealth Superannuation Scheme
CUPI Check and Update Past Income
DHCAS Disaster Health Care Assistance Scheme
DHS Department of Human Services
DMA Data Matching Agency
DMP Act Data-matching Program (Assistance and Tax) Act 1990
DPO Departure Prohibition Order
DRA Disaster Recovery Allowance
DSP Disability Support Pension
DSS Department of Social Services
DTA Digital Transformation Agency
DVA Department of Veterans’ Affairs
ECLIPSE Electronic Claim Lodgement and Information Processing Service Environment
EDI Electronic Data Interchange
EFT Electronic Funds Transfer
EFTPOS Electronic Funds Transfer at Point of Sale
EL Executive Level
EPEAT Electronic Product Environmental Assessment Tool
ESAt Employment Services Assessment
ESD ecologically sustainable development
FIS Financial Information Service
FOI freedom of information
FOI Act Freedom of Information Act 1982
FRR Public Governance, Performance and Accountability (Financial Reporting) Rule 2015
FRNN Further Return is Not Necessary
GP General Practitioner
GPRIP General Practice Rural Incentives Program
GST Goods and Services Tax
HI Service Healthcare Identifiers Service
HPAU Health Professional Advisory Unit
HPOS Health Professional Online Services
HPV Human Papillomavirus
HR Human Resources
HSP Humanitarian Settlement Program
IAP Indigenous Apprenticeships Programme
IBNR Incurred But Not Reported
ICT Information and Communications Technology
IHI Indigenous Health Incentive
IPS Information Publication Scheme
ISO Indigenous Service Officer
ISS Indigenous Servicing Strategy 2018–22
JCA Job Capacity Assessment
JLL Jones Lang LaSalle Advisory Services Pty Ltd
LGBTI lesbian, gay, bisexual, transgender and intersex
MAT Medical Assessment Team
MBS Medicare Benefits Schedule
MP Member of Parliament
MSO Multicultural Service Officer
NA Not applicable
NABERS National Australian Built Environment Rating System
NAIDOC National Aboriginal and Islanders Day Observance Committee
NASH National Authentication Service for Health
NDIA National Disability Insurance Agency
NDIS National Disability Insurance Scheme
NIC National Indigenous Coalition
NIP National Immunisation Program
OAIC Office of the Australian Information Commissioner
PBS Pharmaceutical Benefits Scheme
PCC Pensioner Concession Card
PGPA Act Public Governance, Performance and Accountability Act 2013
PGPA Rule Public Governance, Performance and Accountability Rule 2014
PIN personal identification number
PIP Practice Incentives Program
PKI Public Key Infrastructure
PRODA Provider Digital Access
PSM Public Service Medal
PSS Public Sector Superannuation Scheme
PSSap Public Sector Superannuation Scheme accumulation plan
RAP Reconciliation Action Plan
RPBS Repatriation Pharmaceutical Benefits Scheme
RPGP Rural Procedural Grants Program
SAF Small APRA Superannuation Fund
SES Senior Executive Service
SFTP Secure File Transfer Protocol
SIP Service Incentive Payment
SMEs small and medium enterprises
SMSF Self-Managed Super Fund
SMTP Simple Mail Transfer Protocol
STEM science, technology, engineering and mathematics
WPIT Welfare Payment Infrastructure Transformation
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https://www.transparency.gov.au/annual-reports/services-australia/reporting-year/2018-2019-94