N A A

Glossary and indexes

National Archives of Australia and National Archives of Australia Advisory Council Annual Report 2015-16

Glossary

Access
The right, opportunity or means of finding, using or retrieving information, usually subject to rules and conditions.
Access examination
The process of examining records to identify any exempt information they may contain.
Corporate governance
The process by which entities are directed and controlled; generally understood to encompass authority, accountability, stewardship, leadership, direction and control.
Custody
The responsibility for the care of records and archives, usually based on their physical possession. It does not necessarily include legal ownership.
Open access period
The time when Commonwealth records are eligible for release under the Archives Act 1983. The public has a general right of access to Commonwealth records in the open access period subject to certain exemptions.
Preservation
The processes and operations involved in ensuring the technical and intellectual survival of authentic records through time; encompasses environmental control, security, creation, storage, handling and disaster planning for records in all formats.
Record
Any information created, sent and received in the course of carrying out the business of an agency. Records have many formats, including paper and electronic. They provide proof of what happened, when it happened and who made decisions.
Records authority
The legal instrument that governs how long an agency’s records are kept.
Retain as national archives
The disposal action for Commonwealth records appraised as having archival value. This means that the records should be transferred to the Archives as soon as they are no longer required for business use.

Shortened forms

AAT
Administrative Appeals Tribunal
AC
Companion of the Order of Australia
AGRkM
Australian Government Recordkeeping Metadata Standard
ANU
Australian National University
AO
Officer of the Order of Australia
APS
Australian Public Service
EL
Executive Level
FOI Act
Freedom of Information Act 1982
GAIN
Australia Government Agencies Information Network Australia
GST
Goods and services tax
IAM
Information Awareness Month
ICA
International Council on Archives
ICT
Information and communications technology
NAIDOC
National Aboriginal and Islander Day Observance Committee
NAPF
National Archives Preservation Facility
PARBICA
Pacific Regional Branch of the International Council on Archives
PERSIST
Platform to Enhance the Sustainability of the Information Society Transglobally
PGPA Act
Public Governance, Performance and Accountability Act 2013
PSM
Public Service Medal
QC
Queen’s Counsel
SES
Senior Executive Service
UNESCO
United Nations Educational, Scientific and Cultural Organization

List of figures and tables

Figure

Figure 1
Organisational chart, 30 June 2016

Tables

Table 1
Digitised pages and photographs, 2013–14 to 2015–16 (cumulative)
Table 2
Records accessed by the public, 2013–14 to 2015–16
Table 3
Reference enquiries from the public, 2013–14 to 2015–16
Table 4
Records released, 2013–14 to 2015–16 (number of records)
Table 5
Decisions resulting from access examination, 2013–14 to 2015–16 (number of records)
Table 6
Time taken to make decisions on access examination applications from the public – simple access examination, 2013–14 to 2015–16
Table 7
Time taken to make decisions on access examination applications from the public – complex access examination, 2013–14 to 2015–16
Table 8
Performance against Service Charter standards, 2015–16
Table 9
Classification and gender by salary range, 30 June 2016
Table 10
Staff distribution by office, 30 June 2016
Table 11
Employees by diversity grouping, 2014–16
Table 12
Work health and safety performance, 2013–14 to 2015–16
Table 13
Resources allocated – aggregate figures, 2015–16
Table 14
Resources allocated to Outcome 1, 2015–16
Table 15
Advertising amounts of $12,401 or more paid (including GST), 2015–16
Table 16
Ecologically sustainable development and environmental performance, 2013–14 to 2015–16
Table 17
National Archives of Australia Advisory Council expenditure, 2015–16

List of requirements

Letter of transmittal

PGPA Rule Reference: 17AD(g)

PGPA Rule Reference Description Requirement Page
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 Letter of transmittal

Aids to access

PGPA Rule Reference: 17AD(h)

PGPA Rule Reference Description Requirement Page
17AJ(a) Table of contents Mandatory National Archives of Australia and National Archives of Australia Advisory Council Annual Report 2015-16
17AJ(b) Alphabetical index Mandatory Hard-copy only
17AJ(c) Glossary of abbreviations and acronyms Mandatory Glossary
17AJ(d) List of requirements Mandatory This page
17AJ(e) Details of Contact Officer Mandatory National Archives of Australia and National Archives of Australia Advisory Council Annual Report 2015-16
17AJ(f) Entity's website address Mandatory National Archives of Australia and National Archives of Australia Advisory Council Annual Report 2015-16
17AJ(g) Electronic address of report Mandatory National Archives of Australia and National Archives of Australia Advisory Council Annual Report 2015-16

Review by accountable authority

PGPA Rule Reference: 17AD(a)

PGPA Rule Reference Description Requirement Page
17AD(a) A review by the accountable authority of the entity Mandatory Director-General's review of 2015-16

Overview of the entity

PGPA Rule Reference: 17AD(b)

PGPA Rule Reference Description Requirement Page
17AE(1)(a)(i) A description of the role and functions of the entity Mandatory National Archives of Australia overview
17AE(1)(a)(ii) A description of the organisational structure of the entity Mandatory National Archives of Australia overview
17AE(1)(a)(iii) A description of the outcomes and programs administered by the entity Mandatory National Archives of Australia overview
17AE(1)(a)(iv) A description of the purposes of the entity as included in the corporate plan Mandatory National Archives of Australia overview
17AE(1)(b) An outline of the structure of the portfolio of the entity Portfolio departments – mandatory n.a
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 n.a

Report on the Performance of the entity

PGPA Rule Reference: 17AD(c)

Annual performance statements

PGPA Rule Reference Description Requirement Page
17AD(c)(i); 16F Annual performance statement in accordance with paragraph 39(1)(b) of the Act and section 16F of the Rule Mandatory Annual performance statement

Report on financial performance

PGPA Rule Reference: 17AD(c)(ii)

PGPA Rule Reference Description Requirement Page
17AF(1)(a) A discussion and analysis of the entity’s financial performance. Mandatory Financial performance
17AF(1)(b) A table summarising the total resources and total payments of the entity. Mandatory Appendixes
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 n.a

Management and accountability

PGPA Rule Reference: 17AD(d)

Corporate governance

PGPA Rule Reference Description Requirement Page
17AG(2)(a) Information on compliance with section 10 (fraud systems). Mandatory Corporate governance activities
17AG(2)(b)(i) A certification by accountable authority that fraud risk assessments and fraud control plans have been prepared. Mandatory Letter of transmittal
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 Letter of transmittal
17AG(2)(b)(iii) A certification by the accountable authority that all reasonable measures have been taken to deal appropriately with fraud relating to the entity. Mandatory Letter of transmittal
17AG(2)(c) An outline of structures and processes in place for the entity to implement principles and objectives of corporate governance. Mandatory Corporate governance
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 n.a

External scrutiny

PGPA Rule Reference Description Requirement Page
17AG(3) Information on the most significant developments in external scrutiny and the entity’s response to the scrutiny. Mandatory External scrutiny
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 External scrutiny
17AG(3)(b) Information on any reports on operations of the entity by the Auditor-General (other than reported under section 43 of the Act), a Parliamentary Committee, or the Commonwealth Ombudsman. If applicable, mandatory External scrutiny
17AG(3)(c) Information on any capability reviews on the entity that were released during the period. If applicable, mandatory n.a

Management of human resources

PGPA Rule Reference Description Requirement Page
17AG(4)(a) An assessment of the entity’s effectiveness in managing and developing employees to achieve entity objectives. Mandatory Management of human resources
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 Management of human resources
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 Management of human resources
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 Management of human resources
17AG(4)(c)(ii) The salary ranges available for APS employees by classification level. Mandatory Management of human resources
17AG(4)(c)(iii) A description of non-salary benefits provided to employees. Mandatory Management of human resources
17AG(4)(d)(i) Information on the number of employees at each classification level who received performance pay. If applicable, mandatory n.a
17AG(4)(d)(ii) Information on aggregate amounts of performance payment at each classification level. If applicable, mandatory n.a
17AG(4)(d)(iii) Information on the average amount of performance payment, and range of such payments, at each classification level. If applicable, mandatory n.a
17AG(4)(d)(iv) Information on aggregate amount of performance payments. If applicable, mandatory n.a

Assets management

PGPA Rule Reference Description Requirement Page
17AG(5) An assessment of effectiveness of assets management where asset management is a significant part of the entity’s activities. If applicable, mandatory Asset management

Purchasing

PGPA Rule Reference Description Requirement Page
17AG(6) An assessment of entity performance against the Commonwealth Procurement Rules. Mandatory Procurement

Consultants

PGPA Rule Reference Description Requirement Page
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 contacts (inclusive of GST). Mandatory Procurement
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 Procurement
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 Procurement
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 Procurement

Australian National Audit Office access clauses

PGPA Rule Reference Description Requirement Page
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 Procurement

Exempt contracts

PGPA Rule Reference Description Requirement Page
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 on 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 Procurement

Small business

PGPA Rule Reference Description Requirement Page
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 Procurement
17AG(10)(b) An outline of the ways in which the procurement practices of the entity support small and medium enterprises. Mandatory Procurement
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 n.a

Financial statements

PGPA Rule Reference Description Requirement Page
17AD(e) Inclusion of the annual financial statements in accordance with subsection 43(4) of the Act. Mandatory Financial statements

Other mandatory information

PGPA Rule Reference: 17AD(f)

PGPA Rule Reference Description Requirement Page
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 is prepared by the Department of Finance. Those reports are available on the Department of Finance’s website". If applicable, mandatory Appendixes
17AH(1)(a)(ii) If the entity did not conduct advertising campaigns, a statement to that effect. If applicable, mandatory Appendixes
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 n.a
17AH(1)(c) Outline of mechanisms of disability reporting, including reference to website for further information. If applicable, mandatory Management of human resources
17AH(1)(d) Website reference to where entity’s Information Publication Scheme statement pursuant to Part II of FOI Act can be found. Mandatory External scrutiny
17AH(1)(e) Correction of material errors in previous annual report. If applicable, mandatory n.a
17AH(2) Information required by other legislation. Mandatory Letter of transmittal