Management accountability
The functions and activities discussed in this section contribute to the effective and efficient delivery of the Archives’ outputs. The National Coordination Branch and Corporate Services Branch have overall responsibility; however, all operational areas within the Archives have some responsibility for aspects of, for example, corporate planning and reporting, risk management, fraud control and records management.
Corporate governance
Corporate governance practices
The Archives’ key governance structures and activities are managed by the National Coordination Branch. The Branch ensures that the Archives complies with its responsibilities as an executive agency under the Public Service Act 1999 and the Financial Management and Accountability Act 1997. The Branch’s major activities include:
- coordinating strategic planning and reporting;
- coordinating the Charter of Operations: Guidelines for National Cultural Institutions;
- coordinating advice to the Cabinet Secretary, the Department of the Prime Minister and Cabinet, and other significant stakeholders;
- developing and maintaining risk management policies and plans, including a Fraud Control Policy and Plan, business continuity management plans and national emergency arrangements;
- providing secretariat support for the National Archives of Australia Advisory Council, and the Archives’ Audit Committee, Risk Management Committee and Emergency Planning Committee; and
- managing the Archives’ business insurance portfolio.
Corporate planning and review
The 2007–08 year was the second of the Archives’ three-year Corporate Plan. The Plan sets the direction for the Archives, with annual milestones that guide the internal business planning of the organisation. The outcome and output structure articulated in the Plan reflects the agency’s identified business priorities. Associated performance targets ensure that progress towards goals is measured.
These strategic planning documents are reinforced by branch business plans and section work plans, which are derived from the Corporate Plan, and by the Archives’ staff performance management scheme. Strong links exist between the Archives’ goals and performance targets and the goals and directions set for all staff members in their individual performance agreements.
In light of the change in government following the November 2007 election and the subsequent change in portfolio, the Archives will develop a new corporate plan for the 2008–09 to 2010–11 period.
Management committees
In key areas, Leadership Team decision-making is informed by advice from the following committees:
- Audit Committee
- Risk Management Committee
- Emergency Planning Committee
- Information and Communication Technology Strategic
Planning Committee - Digitisation Steering Committee
- Information Management Policy Committee
- Workplace Relations Committee
- contract committees.
Risk management
Audit Committee
As required by the Financial Management and Accountability Act 1997, the Archives convenes an Audit Committee. The Committee met five times during 2007–08, including a special meeting to examine the Archives’ annual financial statements.
The current membership of the Committee includes the Deputy Director-General (Chair), one Assistant Director-General and two external members. The Archives’ Chief Finance Officer and representatives of the Australian National Audit Office and the Archives’ internal auditor, RSM Bird Cameron, attend meetings as observers.
The Audit Committee aims to enhance the Archives’ control framework, improve the objectivity and reliability of externally published financial information, assist the Archives to comply with legislative and other obligations, and provide assurance to the Director-General in relation to his responsibilities under the Financial Management and Accountability Act 1997.
The Committee also has overall responsibility for risk management within the Archives.
Risk Management Committee
The Risk Management Committee reports to the Audit Committee. The Committee:
- provides guidance on risk management issues and strategies;
- promotes risk management throughout the Archives, ensuring the currency of risk control information; and
- ensures appropriate linkages to the Archives’ business and corporate planning processes and, where necessary, budget processes.
The Risk Management Committee comprises the Deputy Director-General (Chair); Director, Governance, Risk and Compliance; Director, People and Corporate Support; Director, Facilities; Director, Records Operations and Preservation; Director, Information and Communication Technology; Agency Security Advisor; Manager, Web Services; and the Archives’ Risk and Insurance Manager. The Director, Brisbane Office, provides state office representation.
The Committee, which met four times during 2007–08, focused on two major projects:
- the development of a strategy to progress the recommendations of Comcover’s Risk Management Assessment Services project, Risk Management Benchmarking Survey and Business Insurance Risk Profiling Survey; and
- the continuing review of the Archives’ business continuity management framework.
The review of the Archives’ business continuity management framework was completed on 30 June 2008. During the two-year project, a new Business Continuity Management Plan and eight site-specific business continuity plans were developed and tested, and the Pandemic Action Plan was reviewed and updated.
Emergency Planning Committee
The Emergency Planning Committee, which reports to the Risk Management Committee, is responsible for ensuring that the personnel, procedures and resources required for the safe and timely response to emergencies are available, maintained, monitored and improved.
The Committee comprises the Director, Sydney Office (Chair); Director, Governance, Risk and Compliance; Director, Facilities; Chief Warden, Parkes; Chief Warden, Mitchell; Agency Security Advisor; Visitor Services Manager; and Supervising Conservator (Preventive).
The Committee, which met four times during 2007–08, focused on the development of uniform emergency evacuation procedures and consistent emergency training programs for all wardens at Archives sites across Australia.
Risk management and insurance
In 2008 the Archives participated in the annual Comcover Risk Management Benchmarking Survey and received a score of 6.6. This resulted in a discount of $26,000 on its 2008–09 business insurance premium. The Archives’ score was better than the all-agencies average score of 5.8 and was also higher than the scores achieved by the Archives in the 2006 and 2007 surveys.
As in past years, the full amount of the discount was re-invested in the Archives’ risk management framework. In 2007–08, an amount equivalent to the discount was channelled into two risk management projects: the review of business continuity arrangements and the delivery of risk management awareness training to all staff.
Almost all Archives’ APS Level 1 to EL 1 employees, including those from the seven state and territory offices, attended purpose-designed risk management awareness training sessions in May and June 2008. The sessions focused on the integration of risk management into the Archives’ business planning at branch and section level.
The training was preceded by the development of a new Risk Management Training Strategy, which was designed to embed risk management best practice at all levels of agency business. The Strategy will form the basis of further risk management awareness and education in coming years.
Risk disclosure
The 2008 Comcover Risk Management Benchmarking Survey report identified a number of strengths and weaknesses, and provided a series of recommendations aimed at enhancing the Archives’ risk management culture.
The Survey identified the Archives’ strengths as:
- business continuity management;
- risk management governance; and
- risk sharing.
The Survey identified the following areas of potential weakness:
- monitoring and review; and
- communication and training.
Since the Survey results were released, risk management awareness training for all staff has been completed. This will assist in addressing weaknesses identified in communication and training.
The Comcover Risk Management Benchmarking Survey report’s recommendations form the basis of the 2008–09 work plans for the Risk Management Committee and the Governance, Risk and Compliance Section.
Fraud measures
The Archives complies with the Commonwealth Fraud Control Guidelines 2002 by ensuring that:
- a fraud risk assessment is conducted;
- a Fraud Control Plan is prepared and implemented;
- appropriate fraud prevention, detection, investigation and reporting procedures are in place; and
- annual fraud control data is collected and reported to the Attorney-General’s Department.
In 2007–08, two cases of suspected fraud – one internal and one external – were detected and investigated:
- The internal fraud involved the manipulation of the content of an email originating from another Australian Government agency with a view to deceive the receiver. As a result of an external investigation, the staff member was dismissed.
- The external fraud involved the misuse of Australian Government credit card details by an unidentified person who charged eight separate purchases to an Archives Visa card. The combined value of the purchases was $1000, of which $800 was recovered from the bank. Investigations into this matter failed to identify a perpetrator.
In relation to the credit card incident, an external reviewer identified a number of weaknesses in the Archives’ internal fraud controls. As a result, a new control has been introduced and existing controls have been strengthened.
The APS Values are reinforced in the Archives’ policies and plans, namely the Risk Management Policy, Fraud Control Policy and Plan, Whistleblower Policy and Procedures, Workplace Diversity Plan, Workplace Harassment Policy and Conflict of Interest Policy.
New fraud risk assessments and a two-year Fraud Control Plan were endorsed by the Leadership Team in October 2007.
Two new fraud-reporting mechanisms – the Fraud Reporting Telephone Hotline (1800 235 917) and Fraud Reporting Email Hotline (fraud@naa.gov.au) – were introduced in 2007–08. The two hotlines facilitate anonymous and identified fraud reporting by Archives staff, members of the public and other external stakeholders.
Ethical standards
The Archives continues to create and maintain a safe, healthy and productive workplace, free from discrimination, harassment and other forms of harmful behaviour. In April and May 2008, the Archives held Respectful Workplace training to complement ongoing information on appropriate behaviour and the APS Code of Conduct. A total of 424 staff (97 per cent) attended the training.
Security
The Agency Security Advisor is responsible for maintaining minimum protective security standards within the Archives. The security advisor also develops, implements, monitors and reviews the Archives’ security policies and procedures.
In 2007–08, security staff:
- commenced a two-year cycle of protective security surveys of the Archives’ 12 sites across Australia;
- processed 260 security clearances for Archives staff, service providers and other visitors who required access to sensitive or classified information or to the non-public areas of the Archives’ premises; and
- investigated 40 security incidents, including theft of property and security breaches.
The Agency Security Advisor also prepared an annual report on the state of protective security within the Archives for the Attorney-General’s Department. During the year, 180 staff attended security awareness training.
External scrutiny
Review of access decisions
The Archives Act 1983 provides for a two-stage appeal process if the Archives withholds records from public access.
The first stage is internal reconsideration by the Archives. The Archives Act provides that applications for internal reconsideration should be reviewed and decisions notified within 14 days. During 2007–08, the Archives received 48 applications for internal reconsideration and reviewed 42 per cent of decisions within the statutory 14-day period. Decisions were modified in 23 per cent of cases (see Table 19 on page 47). The Archives continues to find it difficult to review decisions within the statutory 14-day period where consultation with another agency or government is required.
Nearly half of the items subject to review were records created by the Australian Security Intelligence Organisation. One applicant sought reconsideration of 20 of the 41 items requested but withheld during 2007–08.
The second stage of the appeal process is review of the decision by the Administrative Appeals Tribunal. In 2007–08 the Administrative Appeals Tribunal received seven applications for review of decisions made under the Archives Act. This is an unusually high number of requests after several years of there being no requests. The applications related to records of the security agencies, the Department of Defence and the Department of Foreign Affairs and Trade.
Auditor-General
In 2007–08, the Archives was not the subject of any Australian National Audit Office performance audits.
Privacy Commissioner
The Privacy Commissioner made no reports under section 30 of the Privacy Act 1988 concerning actions taken or practices by the Archives during 2007–08.
Commonwealth Ombudsman
Two complaints were investigated by the Commonwealth Ombudsman in 2007–08. In both cases, the Ombudsman accepted the response provided by the Archives and the cases were closed with no further action required.
Freedom of information
In 2007–08, the Archives received 11 requests for access to documents under the Freedom of Information Act 1982. This represents an increase of 550 per cent in case load over previous years. Of the total number of requests received, nine were submitted by the same applicant.
The Archives received three requests for an internal review of previous decisions made under the Freedom of Information Act 1982. The original decisions were upheld at review. The applicant has since referred two internal review decisions to the Administrative Appeals Tribunal.
Parliamentary committees
The Archives did not appear before any parliamentary committee in 2007–08, nor were any reports received on issues of specific relevance to the Archives.
Administrative Appeals Tribunal
The Archives received nine applications for review of decisions by the Administrative Appeals Tribunal in 2007–08. Seven applications were received regarding access decisions made under the Archives Act. Two applications were received regarding decisions made under the Freedom of Information Act 1982. The last time the Administrative Appeals Tribunal received an application to review a decision under the Archives Act was 2003.
Information technology and management
Information and Communication Technology Strategic Planning Committee
The Information and Communication Technology Strategic Planning Committee comprises three Assistant Directors-General; Director, Information and Communication Technology; Chief Finance Officer; and two state directors. The Committee:
- oversees the development and maintenance of information and communication technology strategy and governance;
- determines priorities and directions for project development, infrastructure, application development and maintenance;
- provides appropriate input into the Archives’ budget deliberations; and
- makes recommendations to the Director-General about major information technology infrastructure decisions and expenditure proposals.
Digitisation Steering Committee
The Digitisation Steering Committee directs and coordinates the development and implementation of the National Digitisation Strategy and the National Digitisation Plan. The Strategy and Plan were developed as part of the Archives’ response to the findings and recommendations of the Australian National Audit Office’s 2004–05 performance audit, Safe and Accessible National Collections.
The Committee comprises the Assistant Director-General, Access and Communication, and the Assistant Director-General, Operations and Preservation, along with representatives of sections of the Archives directly involved in digitisation projects. These representatives include directors of the Records Operations and Preservation, Information and Communication Technology, Accessibility Operations, and Access and Information Services sections; Assistant Director, Accessibility Operations; State Office Liaison Manager; and Director, Brisbane Office.
The Committee’s terms of reference are to:
- establish digitisation as a key business priority within the Archives;
- deliver and maintain the National Digitisation Plan;
- facilitate improvements to, and coordination of, online service delivery through digitisation of the collection;
- ensure coordination of the National Digitisation Plan with other national plans; and
- oversee and endorse the Archives’ digitisation policies, procedures and standards.
The Committee met five times during 2007–08. Significant tasks included implementation of a digital print trial in the National Office and coordination of the state office digitisation program.
Information infrastructure
In 2007–08, the following information and communication technology projects were undertaken:
- improvements to RecordSearch, including Location Control, Reference and Access, and Electronic Loading modules;
- upgrades to the voice and data network and systems, resulting in improved operational efficiency and reliability;
- improvements to core services that support the administration of the Archives, including email and systems that underpin financial management; and
- improvements to system administration and support procedures to ensure that the Archives continues to comply with Australian Government requirements and guidelines.
Information management strategy
The Archives’ information management strategic framework continues to guide the use and management of information resources to support the quality of services provided to key audiences, improve efficiency and productivity, reduce risks and ensure compliance with statutory requirements.
Records management
During the year, Archives staff captured 99,023 records into the organisation’s electronic document and records management system. Training and support continued to be a focus, with the provision of individual and group training sessions and access to an e-learning package.
Internal information network
The Archives’ intranet is a major internal communication tool used to disseminate up-to-date information to staff across all 12 offices.
During 2007–08 the Archives instigated an Intranet Consultative Committee to assist in updating the site content before migration to a new infrastructure. The Committee met quarterly and worked to develop a new and user-friendly site that will create efficiencies throughout the organisation.
Library services
The Archives’ library holds a significant collection of Australian and international archives and records management books and journals. The main library is located in the National Office; however, the library collection is distributed across all Archives offices. The library is used by staff to support their work and professional development. An expansion in services delivered by electronic media enabled faster access to information and increased service efficiency in 2007–08.
Human resources management
In October 2007, the National Archives of Australia Collective Agreement 2007–2010 was adopted following a lengthy consultation and negotiation process. The employment framework provided through the Agreement has formed the basis for ongoing review and development of policies and practices to strengthen workplace participation.
In the second half of 2007–08, a staff survey was conducted across the organisation, with a response rate of 74 per cent. The objectives of the survey were to gauge staff perceptions, attitudes, concerns and areas of satisfaction across a range of key cultural and performance areas, and to understand staff expectations for improvement. While respondents indicated a high level of satisfaction with their job, work–life balance, supervisors and directors, they also indicated leadership, recruitment practices and communication as areas that required improvement.
Data gathered through the survey will be used in conjunction with other information sources to improve aspects of the workplace, including leadership development opportunities, internal communication and a supportive, respectful work environment. A follow-up survey will be conducted in the next financial year to gauge progress in addressing the issues raised by staff.
There were two requests to review a human resources decision during 2007–08. There were no appeals to the Australian Industrial Relations Commission.
At 30 June 2008, 15 employees were covered by Australian Workplace Agreements. Five agreements were for SES officers; the remaining 10 were for employees in APS 4 to EL 2 classifications. No Archives staff were covered by a Common Law Agreement.
Senior Executive Service remuneration
The Archives determines SES remuneration with regard to the annual Department of Education, Employment and Workplace Relations Australian Public Service Remuneration Survey. The base salary is negotiated between the Director-General and individual SES officers, with bonus provisions allowed subject to performance.
Performance pay
Five SES officers received a total of $50,737 performance pay in relation to their performance in 2006–07.
National Archives of Australia Collective Agreement 2007–2010
Throughout the year, a new collective agreement was adopted for 2007–10. The National Archives of Australia Collective Agreement 2007–2010 provides for salary increases over the life of the agreement, subject to specified performance goals supporting productivity gains.
In 2007–08, Archives staff met the performance goal of a 5 per cent increase in the use of the recordkeeping system, which saw gains in information access and usage. Increased participation in the performance management process supported the stronger alignment of business goals with individual performance and development. Productivity was further increased through unscheduled absences remaining below the target of 10.5 days per full-time equivalent employee.
Workforce planning, staff turnover and retention
Throughout the year, the Archives adopted a range of strategies and approaches to gain a more comprehensive picture of workforce needs. The Archives’ staff survey provided constructive data on likely career plans of staff at different classifications and locations, enabling planning around potential workforce gaps. The survey also provided information on factors contributing to staff remaining with or leaving the organisation. This data will be used to build on workforce planning and retention strategies.
Exit surveys continued to be a further source of data on employee satisfaction and factors contributing to staff leaving the Archives.
Staffing levels have declined steadily since 2005, with a slight increase of 28 in staff levels in 2007–08 (11 full-time equivalent) when compared with 2006–07. This increase is a result of a combination of factors, including an increase in part-time staff and an adjustment reflecting under-recruitment in the previous year.
Table 24 – National Archives of Australia salary ranges as at 30 June 2008
Local designation |
Minimum annual salary ($) |
Maximum annual salary ($) |
APS 1–2 |
35 515 |
44 284 |
APS 3 |
45 615 |
49 427 |
APS 4 |
50 828 |
57 345 |
APS 5 |
56 040 |
70 113 |
APS 6 |
63 209 |
70 133 |
EL 1 |
78 197 |
115 440 |
EL 2 |
93 835 |
114 000 |
Graduate APS |
40 597 |
44 284 |
Professional 1 |
46 919 |
60 113 |
Public Affairs 2 |
65 067 |
72 263 |
Public Affairs 3 |
86 024 |
94 401 |
Note: Maximum salaries include Australian Workplace Agreement negotiated salaries.
Table 25 – National Archives of Australia employment classification by gender as at 30 June 2008
Class |
Female |
Male |
Total |
APS 1 |
17 |
11 |
28 |
APS 2 |
20 |
13 |
33 |
APS 3 |
34 |
20 |
54 |
APS 4 |
42 |
43 |
85 |
APS 5 |
46 |
26 |
72 |
APS 6 |
51 |
43 |
94 |
EL 1 |
38 |
29 |
67 |
EL 2 |
20 |
5 |
25 |
SES |
3 |
3 |
6 |
Director-General |
0 |
1 |
1 |
Total |
271 |
194 |
465 |
Table 26 – National Archives of Australia staff distribution by office, 2005–08
Office |
2005 |
2006 |
2007 |
2008 |
Canberra |
382 |
341 |
346 |
371 |
Sydney |
34 |
31 |
28 |
26 |
Melbourne |
32 |
28 |
25 |
28 |
Brisbane |
12 |
12 |
10 |
10 |
Adelaide |
8 |
7 |
5 |
7 |
Hobart |
8 |
5 |
5 |
7 |
Perth |
10 |
9 |
12 |
9 |
Darwin |
9 |
6 |
6 |
7 |
Total |
495 |
439 |
437 |
465 |
Total (full-time equivalent) |
471 |
426 |
402 |
413 |
Learning and development
The Archives continued to provide a range of learning and development activities linked to corporate priorities and professional development. Programs included risk management, project management, communication, systems usage and technical
skills development.
Learning and development needs were identified through corporate and business planning processes and performance management discussions. Work commenced on the development of a framework integrating leadership, technical and management capabilities.
The Archives continued its participation with other cultural institutions in the Cultural Management Development Program and the Advanced Work Skills Program, providing management and personal skills development.
The Archives assisted 52 staff through the Studies Assistance Scheme to undertake post-secondary study. Areas of study included records management, cultural and museum studies, accounting and information technology.
Commonwealth Disability Strategy
Employer component
All Archives employment policies, procedures and practices comply with the requirements of the Disability Discrimination Act 1992. They are further supported through the Archives’ workplace diversity program. Learning and development activities take into account any special needs of employees.
The National Archives of Australia Collective Agreement 2007–2010 provides all staff with an effective complaints and grievances mechanism.
Provider component
The Archives provides a range of services to the public, including reference services, exhibitions, publications and websites. Disability strategies are incorporated into the development and continuous improvement of all of these services.
All Archives reading rooms provide wheelchair access. The Archives also provides researchers with aids for reading records such as reading slopes, magnifying glasses and cushions to support heavy volumes. Hearing-impaired researchers are able to contact the National Reference Service by a telephone typewriter (TTY) facility.
All Archives exhibition galleries are accessible for people with a disability. In addition, the Archives’ websites comply with disability guidelines.
The Archives’ Service Charter commits the organisation to ensuring that exhibitions and research facilities are accessible for people with a disability. A complaints and grievances mechanism is outlined in the Service Charter. The Archives has a dedicated email address for complaints and comments, along with a system for monitoring, responding to and reporting comments received.
Assets management
Assets Management Policy
The Archives applies best practice asset management principles to its facilities and associated assets. It is developing a Physical Assets Management Policy that will ensure the management of these assets form part of the Archives’ integrated planning and management framework. The policy will also take into consideration issues that may impact on energy consumption, waste, recycling management and climate change when planning, acquiring, operating and disposing of assets.
Condition assessment and strategic lifecycle planning are used to develop asset replacement plans for key assets associated with each facility. These plans are critical tools in supporting the Archives’ Business Plan and in the development of the Archives’ budget. They are also integral to facilities’ long-term planning and management processes to maximise capability and useful life.
National Archives Preservation Centre
The National Archives Preservation Centre project was approved by the Australian Government in June 2006 to assist the Archives meet records storage and preservation needs for the next 20 years.
Following expressions of interest in early 2007, the second stage of the two-stage procurement process – the issue of requests for tender – closed in late 2007. During the year, considerable resources were devoted to evaluating the bids received in response to the tender. The tendered prices were higher than expected, due, it seems, to cost escalations in the construction industry over the term of the procurement process. There were particularly sharp increases in the cost of land and steel. A range of options was considered to try to close the gap between available funds and tender prices, but none was viable in the medium term. Hence the procurement process had to be terminated. This was formally completed in July 2008.
Shared reading rooms
The Archives is continuing to investigate the possibility of extending the successful shared reading room arrangements established with the Public Record Office Victoria to other states.
Procurement
Purchasing
The Archives employs a devolved procurement framework that places responsibility for procurement with section directors.
The Archives’ procurement and purchasing activities were conducted in accordance with the requirements of the Commonwealth Procurement Guidelines, the Archives’ Chief Executive Instructions, and administrative procedures and accounting policies, all of which are available to staff through the Archives’ intranet.
Contract committees
The Archives’ Chief Executive Instructions require that contract committees be established to examine the letting of any contract valued at greater than $80,000 (including GST). Contract committees include both independent representatives and those with expertise in the relevant area. All committees examining contracts valued at $1 million or more (including GST) must include a member of the Leadership Team.
Consultants
The Archives engages consultants when required expertise is unavailable within the organisation or when required specialised skills are not available without diverting resources from other higher-priority tasks. In accordance with procurement guidelines, consultants are selected by advertisement, panel arrangements or select tendering (see Appendix I).
Australian National Audit Office access clauses
The Archives’ standard contract templates include an Australian National Audit Office access clause. All contracts signed during the reporting period for $100,000 or more (including GST) had provision for the Auditor-General to access the contractors’ premises.
Exempt contracts
No Archives contract for $10,000 or more (including GST) was exempted by the Chief Finance Officer from publication on AusTender.
Financial management
Operating result
The Archives reported a net surplus of $7.642 million for 2007–08 compared with a net surplus of $7.595 million in 2006–07, an increase of 0.6 per cent.
Revenue
Total income decreased by $0.520 million (0.7 per cent) in 2007–08. This was primarily a result of a lower collection intake and slightly higher revenues from Government compared with 2006–07. The increased revenues from Government are directly attributable to increased depreciation funding received during the year, offset by the one-off 2 per cent efficiency dividend.
Expenses
Total expenses decreased by $0.567 million (0.8 per cent) in 2007–08. This was primarily driven by a decrease in write-down and impairment of assets, offset by increases in employee benefits and suppliers. Increases in employee benefits related largely to increases in wages and salaries under the National Archives of Australia Collective Agreement 2007–2010 . Increases in supplier expenses were driven by increases in property operating expenses, such as energy, rent and repairs, and maintenance.
Assets and liabilities
Total liabilities increased by $1.187 million (8.3 per cent) in 2007–08.The majority of this increase related to higher supplier and accrued expenses owing at 30 June 2008.
Total assets increased by $8.829 million (0.7 per cent) in 2007–08. This was due primarily to the net effect of an increase in appropriation receivable and a decrease in the value of the Archives’ infrastructure, plant and equipment assets.