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Chapter 4 – Management and accountability
Corporate governance
The AAT’s governance framework comprises arrangements and practices that enable us to set our direction and manage our operations to achieve our purpose in an effective, ethical and accountable way. Key elements of the framework include our management structures, committees, business planning, risk management and our instructions, policies and procedures.
Senior management and committees
Under the Administrative Appeals Tribunal Act, the President is responsible for ensuring the expeditious and efficient discharge of the AAT’s business and for managing the Tribunal’s administrative affairs. Division Heads assist the President by directing AAT business in their divisions.
The Registrar assists the President in managing the AAT’s administrative affairs and is:
- the Accountable Authority for the AAT under the Public Governance, Performance and Accountability Act, and
- the Agency Head for the purposes of the Public Service Act.
Senior Executive Service employees support the President, Division Heads and the Registrar to manage the Tribunal’s operations.
The names of the AAT’s senior leaders in 2016–17 and their areas of responsibility are detailed in Chapter 2.
The President and the Registrar were supported in carrying out their roles during the reporting period by a number of committees. The key committees were as follows.
- The Senior Leadership Group, comprising the President, the Division Heads, the Registrar and the SES staff, met regularly throughout the year to review and provide advice in relation to significant and complex matters, including caseload management, financial management, planning, risk management and significant whole-of-AAT issues.
- The Transformation Program Steering Committee, comprising the Division Heads and the Registrar, was established in 2016–17 to oversee and direct major projects and other work relating to the harmonisation, integration and transformation of our organisation, services and systems.
- The Tribunal Executive Group, comprising the Registrar and SES staff, met regularly to review and provide advice on corporate and operational management issues.
- The Audit and Risk Committee, comprising an independent chair, two independent members and two AAT representatives, provided independent advice and assurance to the Registrar on a range of aspects of governance including audit, financial management, risk management and other compliance obligations.
Several other committees provided forums for consulting with members and staff during the year. They included the following key committees.
- The Members’ Leadership Group, comprising the President, Division Heads, Deputy Division Heads, other Deputy Presidents and Senior Members with management roles, and the Registrar.
- The National Consultative Committee, the peak staff consultative body.
- The Operations Leadership Group and Principal Registry Management Group, which involve senior managers in the operational and corporate areas respectively.
Business planning
In 2016–17 we developed and published a corporate plan, as required under section 35 of the Public Governance, Performance and Accountability Act. The Corporate Plan 2016–17 described our purpose, the environment in which we operate, and how we planned to measure our performance and achieve our goals. The Annual Performance Statement, an assessment of our performance against the measures in the plan, is in Chapter 3 of this report.
Our Strategic Plan 2015–20 which was developed in 2015–16 sets out four high-level strategies for achieving our vision and mission: to create an integrated, national Tribunal; to improve how we work and maximise our use of technology; to nurture relationships and partnerships; and to make the best use of our resources and build capacity. These strategies informed operational plans and priorities developed for the year. Some of our key achievements in 2016–17 are noted in Chapter 1.
Risk management
The AAT’s risk management framework was revised during the reporting year. It sets out our approach to identifying and managing strategic and operational risks as an integral part of our activities. We have a whole-of-AAT Risk Register which is reviewed annually.
In addition to external audit requirements, the AAT has an internal audit program to provide assurance in relation to our control environment and other aspects of our operations as well as to identify opportunities for improvement. The program is reviewed annually. During 2016–17, the AAT’s internal auditors undertook a number of reviews, including in relation to our asset management, FOI processes, information technology function and procurement processes. Management responds to any issues identified in internal and external audit activities and these are monitored by the Audit and Risk Committee.
No instances of significant non-compliance with finance law were reported to the Minister for Finance under paragraph 19(1)(e) of the Public Governance, Performance and Accountability Act in relation to the reporting year.
Awareness-raising sessions were conducted in relation to our revised risk management framework during 2016-17. The AAT’s Business Continuity Management Committee and Protective Security Committee also met regularly.
Fraud control
The AAT is committed to preventing, detecting and dealing with fraud in relation to our operations. Our fraud control framework includes our Fraud Control Plan and a summary guide for employees on recognising and reporting fraud in the amalgamated AAT. A comprehensive review of the fraud control framework was commenced during the reporting year. Fraud control awareness is included in the induction program for new employees and work was undertaken on a revised online learning module on fraud control which will be released in 2017–18.
Maintaining ethical standards
The AAT promotes and encourages the maintenance of appropriate standards of ethical behaviour.
The enterprise agreements in force in the AAT during 2016–17 both included a commitment by management and staff to work in accordance with the APS Values, Code of Conduct and Employment Principles. Training relating to the APS ethical framework forms part of our induction process. All new staff were given a copy of the APS Values, Code of Conduct and Employment Principles as well as relevant excerpts from the Crimes Act 1914 and the Australian Privacy Principles, and were required to sign a statement confirming they had read and understood them.
The APS Values, Code of Conduct and Employment Principles are available on our intranet and work was undertaken during the reporting year on a new mandatory online learning module to be introduced in 2017–18. Rules and standards relevant to ethical conduct are incorporated into our policies, guidelines and instructions.
The AAT has developed a Conduct Guide for AAT Members which provides guidance on appropriate conduct and professional behaviour for members in their professional duties and their private conduct as it affects those duties.
Management of human resources
Our members and staff are integral to carrying out our role effectively. We continue to develop our workforce and the workplace environment so that members and staff are able to provide high-quality services that meet the needs of users.
Staffing overview
At 30 June 2017, the AAT employed 573 staff under the Public Service Act: 427 ongoing and 146 non-ongoing, of whom 21 were engaged to undertake duties that are irregular or intermittent. There were 32 staff engaged in the work of the Immigration Assessment Authority.
Table 4.1 shows the number of ongoing and non-ongoing employees on 30 June 2016 and 30 June 2017 by job classification, employment status, gender and location. It also contains information about the number of AAT staff identifying as Indigenous, as being from a non-English speaking background, and as a person with disability. A more detailed breakdown of staffing at 30 June 2017 by major organisational unit, job classification, gender and location is in Appendix 2.
| AT 30 JUNE 2016 | AT 30 JUNE 2017 | |||||
|---|---|---|---|---|---|---|
| Ongoing | Non-ongoing | Total | Ongoing | Non-ongoing | Total | |
| Job classification | ||||||
| APS Level 1 | 1 | 0 | 1 | 1 | 0 | 1 |
| APS Level 2 | 9 | 19 | 28 | 7 | 18 | 25 |
| AAT Broadband 3/4b | 176 | 70 | 246 | N/A | N/A | N/A |
| APS Level 3 | N/A | N/A | N/A | 6 | 33 | 39 |
| APS Level 4 | N/A | N/A | N/A | 161 | 61 | 222 |
| APS Level 5 | 52 | 4 | 56 | 58 | 10 | 68 |
| APS Level 6 | 87 | 5 | 92 | 88 | 4 | 92 |
| Executive Level 1 | 51 | 4 | 55 | 55 | 6 | 61 |
| Executive Level 2 | 38 | 8 | 46 | 46 | 14 | 60 |
| SES Band 1 | 6 | 0 | 6 | 5 | 0 | 5 |
| Total | 420 | 110 | 530 | 427 | 146 | 573 |
| Employment status | ||||||
| Full-time | 350 | 74 | 424 | 362 | 107 | 469 |
| Part-time | 70 | 11 | 81 | 65 | 18 | 83 |
| Irregular/intermittent | 0 | 25 | 25 | 0 | 21 | 21 |
| Total | 420 | 110 | 530 | 427 | 146 | 573 |
| Gender | ||||||
| Female | 265 | 70 | 335 | 266 | 95 | 361 |
| Male | 155 | 40 | 195 | 161 | 51 | 212 |
| Total | 420 | 110 | 530 | 427 | 146 | 573 |
| Location | ||||||
| New South Wales | 213 | 39 | 252 | 202 | 63 | 265 |
| Victoria | 129 | 28 | 157 | 127 | 40 | 167 |
| Queensland | 38 | 17 | 55 | 45 | 19 | 64 |
| South Australia | 17 | 7 | 24 | 25 | 4 | 29 |
| Western Australia | 13 | 10 | 23 | 19 | 11 | 30 |
| Tasmania | 3 | 4 | 7 | 2 | 1 | 3 |
| Australian Capital Territory | 7 | 5 | 12 | 7 | 8 | 15 |
| Total | 420 | 110 | 530 | 427 | 146 | 573 |
| Equal employment opportunity data c | ||||||
| Indigenous | 7 | 0 | 7 | 6 | 2 | 8 |
| Non-English speaking background | 103 | 19 | 122 | 105 | 38 | 143 |
| People with disability | 10 | 3 | 13 | 10 | 4 | 14 |
a These figures are a headcount of all ongoing and non-ongoing staff. Staff on long-term leave (greater than three months as at 30 June 2017) or on temporary transfer to another agency are not included. These figures also include the Immigration Assessment Authority Senior Reviewer and Reviewers, and staff made available to assist the Immigration Assessment Authority.
b The AAT Broadband 3/4 was abolished on 9 June 2017 when the new AAT enterprise agreement took effect.
c These figures are based on information voluntarily provided by staff.
The increase in the AAT’s staffing complement between 30 June 2016 and 30 June 2017 was in line with planned staffing levels and largely the result of the recruitment of more non-ongoing staff to work in the IAA, the AAT’s registries and the Principal Registry to deal with increased workloads and the delivery of key projects. During 2016–17, our ongoing staff turnover rate, when compared to the ongoing staff commencement rate, was steady and within the expected range. Slightly more ongoing staff commenced compared to ongoing staff who separated. Movements of ongoing staff to other APS agencies were not included in calculating the staff turnover rate.
In 2016–17, work continued in relation to our strategic workforce initiatives. The AAT Workforce Development Plan 2016–20 was implemented, specifying six initiatives designed to identify and meet workforce capability needs and deliver organisational performance outcomes. The AAT progressed work on a number of initiatives in the plan, including the development of a workforce planning process for senior management and investigation of approaches to developing a staff leadership capability framework. A dedicated recruitment team was established to streamline and improve our recruitment practices.
Employment agreements and arrangements for AAT staff
The framework for the terms and conditions of employment for APS staff at the AAT includes an enterprise agreement for non-SES staff and section 24(1) determinations under the Public Service Act for SES staff.
From 1 July 2016 to 8 June 2017, non-SES staff were covered by the Administrative Appeals Tribunal Agency Agreement 2011–2014 which had nominally expired on 30 June 2014. Following the successful conclusion of almost three years of enterprise bargaining, the AAT Enterprise Agreement 2017–2020 came into effect on 9 June 2017. The new enterprise agreement will be in operation for three years and will nominally expire on 9 June 2020.
At 30 June 2017, 568 non-SES staff were covered by the enterprise agreement: 15 of these staff also had an individual flexibility arrangement. Five SES staff were covered by section 24(1) determinations. Table 4.2 shows the salary ranges available to AAT employees at 30 June 2017 by classification level.
| JOB CLASSIFICATION | SALARY RANGE |
|---|---|
| APS Level 1 | $44,027–50,127 |
| APS Level 2 | $49,825–57,744 |
| APS Level 3/Graduate | $59,000–63,104 |
| APS Level 4 | $63,251–72,314 |
| APS Level 5 | $70,546–78,755 |
| APS Level 6 | $76,422–90,377 |
| Executive Level 1 | $96,795–123,164 |
| Executive Level 2 | $115,903–139,536 |
| SES Band 1 | $168,000–198,000 |
Senior Executive Service employee remuneration
Remuneration for the AAT’s SES employees was determined having regard to the remuneration for SES staff in similar Australian Government agencies. The remuneration package included cash in lieu of a motor vehicle in accordance with common Australian Government practice.
Performance pay
The AAT did not have a performance pay or bonus system for any staff in 2016–17, nor did it pay a performance bonus to any staff.
Non-salary benefits
Non-salary benefits available to staff in 2016–17 included:
- two weeks of paid maternity/parenting leave in addition to the legislated minimum
- access to our Studies Assistance Scheme
- contributions to relevant professional memberships
- ability to participate in a public transport loans scheme, and
- health and wellbeing benefits such as assistance for group participation in health and fitness activities, the Employee Assistance Program, eyesight testing and flu vaccinations.
Employees of the AAT were also able to access a range of salary sacrifice benefits, including additional superannuation, leased motor vehicles and airline lounge memberships.
Developing our members and staff
Learning and development is a priority for the AAT. In 2016–17, we delivered a wide range of activities to meet the needs of members and staff and strengthen the capability of the amalgamated AAT. We routinely sought feedback from participants to evaluate the effectiveness of training and development initiatives.
Member professional development
The AAT has a comprehensive Member Professional Development Program which is based on a framework of competencies specific to the AAT. The program comprises induction, mentoring, appraisal and other learning and development opportunities.
A formal induction program was conducted for two groups of new members in the reporting period. It included a comprehensive introduction to the AAT, the role of a member, introduction to procedural fairness, conduct of a hearing and decision writing. The program was complemented by specific divisional induction activities. New members were paired with an experienced mentor.
The AAT’s Member Appraisal Scheme combines self-assessment with an appraisal conducted by a Division Head, other senior member or experienced former member in relation to the framework of competencies. The revised scheme developed for the amalgamated AAT was launched in August 2016 with 124 members appraised during the reporting period.
Members attended a range of in-house professional development sessions during 2016–17 as well as external seminars, workshops and other professional activities, including conferences arranged by the Council of Australasian Tribunals.
Conference registrar professional development
The AAT’s Conference Registrar Professional Development Program is also based on a framework of competencies developed for the AAT and includes induction, mentoring, reflective learning, peer review and performance appraisal. Professional development activities in 2016–17 focused on developing technology skills to explore new modes of ADR delivery, including via web-based videoconferencing as well as the use of interactive case preparation tools. Most conference registrars attended the National Mediation Conference in September 2016, participating in a range of sessions relating to the theme of innovation and future developments in ADR.
Staff learning and development
Learning and development for other staff during 2016–17 responded to identified training needs and involved the use of various delivery methods, including in-house courses, online learning, external seminars and conferences.
A Leadership Development Program was established for SES, Executive Level and APS Level 6 staff. Current and emerging leaders were selected to participate in leadership programs offered by the Australia New Zealand School of Government, Queensland University of Technology and other providers. All Executive Level leaders participated in a Contemporary Leadership Challenges Workshop. Directors and District Registrars participated in a two-day forum which incorporated leadership development activities.
Activities were conducted to support staff in newly co-located premises. This included training in dealing with difficult behaviours and workshops which included topics such as emotional intelligence, resilience and team building. Building capability in project management was also a key theme of the year. Project management fundamentals and Agile project management workshops were conducted in-house. Select staff also attended specialist external project management courses.
Staff and senior managers engaged in a mentoring program over a six-month period.
The AAT’s Learning Management System was enhanced during the reporting year with a growing library of relevant online training modules. This included a new online induction package which was formally launched in October 2016.
Our Studies Assistance Scheme provided ongoing and certain non-ongoing staff with access to financial support and/or study leave to develop their own capability, and that of the AAT, through vocational and tertiary education. During 2016–17, 14 employees accessed support for studies in areas such as commerce and law.
Staff performance management program
The AAT introduced a revised Performance Appraisal Scheme in 2016–17 which is supported by an electronic performance appraisal system and a range of resources to assist staff and managers to conduct transparent and effective performance management processes. The scheme requires staff to have a performance agreement which sets out capability and behavioural expectations required in a role, learning and development priorities as well as performance achievements. The electronic system provides the ability to record performance conversations and feedback given during the course of the year. Implementation training was provided to support the launch of the electronic system in the reporting year. Training was also provided to supervisors in delivering effective performance appraisal feedback. Salary advancement through the APS classification pay points was linked to performance assessments.
Workplace diversity
The AAT is committed to being an organisation that values diversity in the workplace. At 30 June 2017, 63 per cent of staff were women with strong representation across all classification levels. Twenty-six per cent of our staff identified as being from a non-English speaking background, up three per cent from 2015–16. Our Workplace Diversity Plan 2016–17 was developed to help us continue to build an organisation that reflects the diversity in the Australian community and maximises the opportunities and knowledge a diverse workforce can offer.
In 2016–17 we rolled out an Indigenous cultural awareness online training module which is available to all members and staff. We also participated in the APSC Indigenous Pathways Graduate Program, engaging one graduate who will undertake four three-month rotations in different areas of the AAT. We will continue our engagement with the program in 2017–18. Harmony Day events occurred in state offices.
Work health and safety
We are committed to providing and maintaining a safe and healthy work environment through cooperative, consultative relationships. We seek to introduce and promote measures for ensuring the health, safety and welfare of all employees.
In 2016–17, the AAT’s WHS committees and WHS coordinator undertook a number of reviews to ensure we comply with the Work Health and Safety Act 2011 and the Safety, Rehabilitation and Compensation Act 1988. The Rehabilitation Management System structure was revised and simplified, integrating it into the WHS Management System. An audit of the Rehabilitation Management System was undertaken achieving a 100 per cent conformance rating. An early intervention process was also introduced. Regular news articles were published providing staff with updated information on WHS initiatives. Information on work health and safety was incorporated into member and staff inductions in 2016–17.
Health and wellbeing initiatives undertaken in 2016–17 included 189 workstation assessments with related follow-up actions, 313 flu vaccinations, as well as regular audits of emergency evacuation preparedness and first aid facilities. Other health and wellbeing initiatives included reimbursement for eyesight testing and subsidised group health and fitness activities. Sit/stand workstations were installed in fit-outs completed in 2016–17. A new Employee Assistance Program contract was entered into in 2016–17, providing a broader range of support options for members, staff and their immediate families.
Notifiable incidents and investigations
One dangerous incident arising out of the conduct of the AAT’s business occurred and was reported to Comcare in 2016–17 under the Work Health and Safety Act. No investigations were conducted in relation to the AAT during the reporting year and no notices were given to the AAT under Part 10 of the Work Health and Safety Act.
Compensation
The AAT continues to have a low number of accepted compensation claims over time, as shown in Table 4.3. Three staff were provided with early intervention support during the reporting year.
| 2014–15 | 2015–16 | 2016–17 | |
|---|---|---|---|
| Number of claims accepted | 0 | 0 | 2 |
Workplace harassment
In 2016–17 we updated our policy relating to harassment in the workplace to deal comprehensively with the prevention and elimination of harassment, bullying and discrimination. The policy articulates our expectations of members, managers and other staff in preventing and dealing with inappropriate conduct or other discriminatory action. Seven Workplace Harassment Contact Officers, including one member, were available to members and staff during 2016–17.
Productivity gains
The AAT continued to consolidate and streamline our operations in 2016–17. We moved to single locations in Adelaide and Perth which offered opportunities for productivity gains through further streamlining of local management and more integrated delivery of aspects of registry services. Management of the Brisbane Registry was streamlined ahead of its planned co-location in July 2017.
We introduced a number of initiatives in 2016–17 to improve case allocation, case management processes and support for members to address our increasing workload in particular areas and to deal with specific backlogs. The initiatives assisted the Tribunal to deal more efficiently and effectively with these parts of our caseload.
Purchasing
The AAT’s procurement policies and practices reflect the principles and requirements set out in the Commonwealth Procurement Rules. Our Accountable Authority Instructions and other guidance material support AAT staff undertaking purchasing activities to focus on securing value for money, encouraging competition, ensuring the efficient, effective, economical and ethical use of government resources, providing accountability and transparency, and ensuring compliance with other Australian Government policies.
In relation to major purchases and contracts, open tender processes were employed unless the procurement was covered by a mandatory whole-of-government arrangement, a multi-use list or panel arrangement was available, or a limited tender was appropriate in the particular circumstances. For purchases and contracts below the mandatory tender threshold, at least three quotes were generally required, together with an assessment of the need justifying the purchase request and an analysis of why the selected quote would achieve value for money.
The AAT 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: www.finance.gov.au/procurement/statistics-on-commonwealth-purchasing-contracts. We supported small business participation by utilising the Commonwealth Contracting Suite for low-risk procurements valued under $200,000, by communicating in clear, simple language, by presenting information in accessible formats and by using electronic systems to facilitate on-time payment of invoices.
Consultants
The AAT uses consultants where there is a need for independent research or assessment, or for specialist knowledge or skills that are not available within the AAT. Any decision to engage a consultant is made after considering the skills and resources required for the task, internal capacity and the cost effectiveness of contracting an external service provider. Consultants are selected in accordance with the Commonwealth Procurement Rules and relevant internal policies. Consultants were engaged in 2016–17 to investigate issues, carry out independent reviews and evaluations and provide independent advice, information and solutions to assist in our decision-making.
During 2016–17, fifteen new consultancy contracts were entered into involving total actual expenditure of $182,525. In addition, ten ongoing consultancy contracts were active during the period, involving total actual expenditure of $644,892.
Table 4.4 sets out the AAT’s total actual expenditure on all consultancies in the three most recent reporting years.
| 2014–15 | 2015–16 | 2016–17 | |
|---|---|---|---|
| Total actual expenditure (incl GST) | $293,963 | $568,856 | $827,417 |
Reporting on purchases
Purchases were gazetted as required. Details of all contracts of $100,000 or more that were current in the most recent calendar or financial year were available on the AAT’s website in accordance with the Senate order on agency contracts.
There were no contracts of $100,000 or more let in 2016–17 that did not include a clause providing for the Auditor-General to have access to the contractor’s premises.
There were no contracts of more than $10,000 (including GST) or standing offers exempt from being published on the AusTender website on the basis that they would disclose exempt matters under the Freedom of Information Act.
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 www.tenders.gov.au.
