Corporate Governance
Certification of Agency Fraud Control Arrangements
I certify, in accordance with Section 10 of the Public Governance, Performance and Accountability Rule 2014, that for the financial year 2017–18 the National Capital Authority:
- had in place fraud risk assessments and fraud control plans
- had in place appropriate fraud prevention, detection, investigation and reporting mechanisms that met the specific needs of the agency
- undertook all reasonable measures to appropriately deal with fraud relating to the agency.
Terry Weber
Chair
August 2018
Structures and processes in place for the NCA to implement principles and objectives of corporate governance
As part of a discrete project, the NCA reviewed and updated a range of corporate governance documents, instruments and processes, and undertook bespoke and general training, to ensure the Authority (the Board) made a successful transition to being the NCA’s accountable authority on 1 July 2018.
The NCA manages audit and assurance arrangements through its Audit Committee. The Audit Committee provides independent assurance and assistance in relation to the NCA’s risk, control and compliance frameworks and its external accountability responsibilities.
The Audit Committee met four times in 2017-18 and considered NCA’s:
- internal audit plan and related audit reports
- annual work program
- Financial Statements
- Fraud Control Plan
- Risk Management Framework.
The NCA ensured sound risk management arrangements were maintained during the year. The Senior Leadership Team actively monitored the NCA’s strategic and other significant risks. The NCA’s Risk Management Policy and Framework was updated to reflect new standards and practices, and the new governance arrangements noted above.
The NCA maintained rigorous records management arrangements in 2017-18. The information management system continued to be refined and improved during 2017-18.
A strong ethical framework, based on the APS Values, Employment Principles, and Code of Conduct, is upheld through a range of human resource policies and employment arrangements (such as the NCA Enterprise Agreement and the NCA’s Performance Management and Appraisal Scheme), as well as awareness training at induction and through periodic updates and reminders.
The NCA updated its Fraud Control Plan in 2017-18 to take account of new governance arrangements referred to above. The NCA maintains sound fraud control arrangements, including through a range of preventative controls, procedural arrangements and periodic awareness training.
The NCA maintained appropriate protective security arrangements in 2017-18, in line with requirements set out in the
Australian Government’s Protective Security Policy Framework. The NCA also maintained appropriate business
continuity arrangements to ensure core functions and operations can be maintained in the context of a disruptive
event,
to the extent possible.
Significant Issues
During the period 2017–18, the NCA reported no significant issues to the Minister under section 19(1)(e) of the PGPA Act relating to non-compliance with Finance law.
Purchasing
The NCA purchases goods and services in
accordance with the Commonwealth Procurement Rules. These rules are
applied through the Accountable Authority Instructions. The NCA’s procurement policies and processes have been
developed to ensure that the NCA:
- undertakes competitive, non-discriminatory procurements
- uses resources efficiently, effectively, economically and ethically
- makes all procurement decisions in an accountable and transparent manner.
Consultants
The NCA engages consultants when it lacks specialist expertise, or when independent research, review or assessment is required. Consultants are typically engaged to:
- carry out defined reviews or evaluations
- provide advice, information or creative solutions to assist in the NCA’s decision-making.
The decision to engage external consultants is made in accordance with the Commonwealth Procurement Rules and relevant internal policies.
During 2017-18, eight new consultancy contracts were entered into involving total actual expenditure of $0.704 million. There were three ongoing consultancy contracts carried over from the 2016-17 financial year involving total actual expenditure of $0.075 million.
Annual reports contain information about actual expenditure on contracts for consultancies. Information on the value
of contracts and consultancies is available from the AusTender
website: www.tenders.gov.au.
Exempt Contracts
No contracts were exempted on public interest grounds from publication with AusTender during 2017–18.
Australian National Audit Office Access Clauses
There were no contracts that did not provide for the Auditor-General to have access to the contractors’ premises during 2017–18.
