ACCC & AER annual report 2016-17

Compliance index

List of requirements

This schedule provides, for the purposes of paragraph 17AJ(d), the list of requirements to be included in a non-corporate Commonwealth entity’s annual report for a reporting period. The schedule is prepared for ss. 46(3) of the Public Governance, Performance and Accountability Act 2013.

PGPA Rule Reference

Part of Report

Description

Requirement

Page number

17AD(g)

Letter of transmittal

   

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 s. 46 of the Act and any enabling legislation that specifies additional requirements in relation to the annual report.

Mandatory

iii

17AD(h)

Aids to access

   

17AJ(a)

 

Table of contents.

Mandatory

v

17AJ(b)

 

Alphabetical index.

Mandatory

367

17AJ(c)

 

Glossary of abbreviations and acronyms.

Mandatory

357

17AJ(d)

 

List of requirements.

Mandatory

360–366

17AJ(e)

 

Details of contact officer.

Mandatory

ii, 21

17AJ(f)

 

Entity’s website address.

Mandatory

ii

17AJ(g)

 

Electronic address of report.

Mandatory

ii

17AD(a)

Review by accountable authority

   

17AD(a)

 

A review by the accountable authority of the entity.

Mandatory

2–14

17AD(b)

Overview of the entity

 

17AE(1)(a)(i)

 

A description of the role and functions of the entity.

Mandatory

16

17AE(1)(a)(ii)

 

A description of the organisational structure of the entity.

Mandatory

19–20

17AE(1)(a)(iii)

 

A description of the outcomes and programmes administered by the entity.

Mandatory

16, 19

17AE(1)(a)(iv)

 

A description of the purposes of the entity as

included in corporate plan.

Mandatory

24–26

17AE(1)(b)

 

An outline of the structure of the portfolio of the entity.

Portfolio

departments—mandatory

Not applicable

17AE(2)

 

Where the outcomes and programmes 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

Not applicable

17AD(c)

Report on the Performance of the entity

   
 

Annual performance Statements

   

17AD(c)(i); 16F

 

Annual performance statement in accordance with paragraph 39(1)(b) of the Act and s. 16F of the Rule.

Mandatory

23–204

17AD(c)(ii)

Report on Financial Performance

 

17AF(1)(a)

 

A discussion and analysis of the entity’s financial performance.

Mandatory

11–14

17AF(1)(b)

 

A table summarising the total resources and total payments of the entity.

Mandatory

11–14

17AF(2)

 

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.

Not applicable

17AD(d)

Management and Accountability

 
 

Corporate Governance

 

17AG(2)(a)

 

Information on compliance with s. 10 (fraud systems)

Mandatory

iii, 217–218

17AG(2)(b)(i)

 

A certification by accountable authority that fraud risk assessments and fraud control plans have been prepared.

Mandatory

iii, 217–218

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

iii, 217–218

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

iii, 218

17AG(2)(c)

 

An outline of structures and processes in place for the entity to implement principles and objectives of corporate governance.

Mandatory

213–222

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

Not applicable

 

External Scrutiny

 

17AG(3)

 

Information on the most significant developments in external scrutiny and the entity’s response to the scrutiny.

Mandatory

220–222

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

220–222

17AG(3)(b)

 

Information on any reports on operations of the entity by the Auditor-General (other than report under s. 43 of the Act), a Parliamentary Committee, or the Commonwealth Ombudsman.

If applicable,

Mandatory

220–222

17AG(3)(c)

 

Information on any capability reviews on the entity that were released during the period.

If applicable,

Mandatory

220–222

 

Management of Human Resources

 

17AG(4)(a)

 

An assessment of the entity’s effectiveness in managing and developing employees to achieve entity objectives.

Mandatory

223–235

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

225–228

286–287

17AG(4)(c)

 

Information on any enterprise agreements, individual flexibility arrangements, Australian workplace agreements, common law contracts and determinations under ss. 24(1) of the Public Service Act 1999.

Mandatory

229–231

17AG(4)(c)(i)

 

Information on the number of SES and non-SES employees covered by agreements etc. identified in paragraph 17AD(4)(c).

Mandatory

229–231

17AG(4)(c)(ii)

 

The salary ranges available for APS employees by classification level.

Mandatory

229–231

17AG(4)(c)(iii)

 

A description of non-salary benefits provided to employees.

Mandatory

229

17AG(4)(d)(i)

 

Information on the number of employees at each classification level who received performance pay.

If applicable,

Mandatory

229

17AG(4)(d)(ii)

 

Information on aggregate amounts of performance pay at each classification level.

If applicable,

Mandatory

229

17AG(4)(d)(iii)

 

Information on the average amount of performance payment, and range of such payments, at each classification level.

If applicable,

Mandatory

229

17AG(4)(d)(iv)

 

Information on aggregate amount of performance payments.

If applicable,

Mandatory

229

 

Assets Management

   

17AG(5)

 

An assessment of effectiveness of assets management where asset management is a significant part of the entity’s activities.

If applicable,

mandatory

238–240

 

Purchasing

   

17AG(6)

 

An assessment of entity performance against the Commonwealth Procurement Rules.

Mandatory

238–240

 

Consultants

   

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

238–240

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

238–240

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

238–240

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

238–2450

 

Australian National Audit Office Access Clauses

   

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

238–240

 

Exempt contracts

   

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

238–240

 

Small business

   

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

239

17AG(10)(b)

 

An outline of the ways in which the procurement practices of the entity support small and medium enterprises.

Mandatory

239

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

Not applicable

 

Financial Statements

   

17AD(e)

 

Inclusion of the annual financial statements in accordance with ss. 43(4) of the Act.

Mandatory

243–284

17AD(f)

Other Mandatory Information

 

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

294

17AH(1)(a)(ii)

 

If the entity did not conduct advertising campaigns, a statement to that effect.

If applicable,

Mandatory

Not applicable

17AH(1)(b)

 

A statement that “Information on grants awarded to [name of entity] during [reporting period] is available at [address of entity’s website].”

If applicable,

Mandatory

240

17AH(1)(c)

 

Outline of mechanisms of disability reporting, including reference to website for further information.

Mandatory

227–228

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

222

17AH(1)(e)

 

Correction of material errors in previous annual report

If applicable,

mandatory

294

17AH(2)

 

Information required by other legislation

Mandatory

366

Competition and Consumer Act requirements

Requirement

Page

Cumulative list of all Commonwealth, state and territory laws that the Commission knows about that authorise things for the purposes of ss. 51(1) of this Act or ss. 51(1) of the Competition Code (as defined in s. 150A).

308–311

The time taken to make final determinations under s. 44V in relation to access disputes

311–312

The time taken to make decisions on access undertaking applications or access code applications (within the meaning of s. 44B)

311–312

The time taken to make decisions on applications under ss. 44PA(1)

311–312

The number of notices given by the Commission under s. 155

311–312

The number of notices given by the Commission under s. 155A

311–312

A general description of the nature of the matters in respect of which the notices were given

311–312

The number of proceedings brought to challenge the validity of the notices

311–312

The number of search warrants issued by a judge under s. 135Z or signed by a judge under s. 136

311–312

The number of search warrants issued by a magistrate under s. 154X or signed by a magistrate under s. 154Y

311–312

A general description of the nature of the matters in respect of which the search warrants referred to in paragraph (ca) or (d) were issued or signed

311–312

The number of proceedings brought to challenge the validity of the search warrants referred to in paragraph (ca) or (d)

311–312

The number of entries onto premises under s. 133B or 133C, Division 6 of Part XI or Part XID

311–312

The number of complaints received by the Commission

142–146

A general summary of the kinds of complaints received by the Commission and how it dealt with them

142–146

A general description of the major matters investigated by the Commission

142–146

The number of times the Commission has intervened in proceedings and a general description of the reasons for doing so

312