Corporate support functions
Internal audit and risk—During 2013–14 the internal audit and risk management function was delivered by Deloitte overseen by DPC’s Head of Internal Audit. The internal audit function supports the Audit and Risk Management Committee (ARMC) and provides independent and objective assurance. These activity are designed to add value and improve the operations of the department.The internal audit function operates in accordance with an approved Internal Audit Charter that incorporates key internal audit and ethical standards. The function is independent of the activities it reviews, of management and of the Queensland Audit Office (QAO).
The 2013–14 Internal Audit Plan was approved by the ARMC and was developed with consideration for the business objectives of the department and the strategic and operational risks identified through the business planning process. The plan delivered a number of achievements during 2013–14 including:
- development of a new control self-assessment tool
- review of fraud risk management across the department.
The internal audit function is continually monitored to ensure it operates effectively, efficiently and economically.
Risk management—DPC is committed to a philosophy and culture that ensures risk management is an integral part of all activities. This minimises vulnerability to internal and external events and influences that could impact the achievement of its objectives and strategic priorities. DPC recognises that innovation may attract risk and encourages the appropriate management of potential benefits versus risk.
During 2013–14 DPC’s Risk Management Framework was reviewed and updated, with a focus on ensuring that risk management is reflected in all business activities, including strategic planning, business planning, staff responsibilities and other decision-making processes. This framework also encourages senior executives to lead risk management across the agency and promote a culture of risk awareness.
External scrutiny—External audits and reviews add value to the public sector through recommendations that improve business operations. In 2013–14 the following external reviews were conducted by the Queensland Auditor-General which had relevance to the department:
- Report 6: 2013–14 Results of audit: Internal control systems: Internal financial controls are the structures, organisational capabilities, systems, processes, procedures and activities in an entity that together operate to reduce the risk of fraud and error in the financial reports. This report summarised the results of the QAO evaluations of selective testing of the financial reporting controls that operated within the 20 core state government departments. Management has undertaken action to address the recommendations made in this report that were specific to the department.
Report 10: 2013–14 Contract management: Renewal and transition: This audit examined whether agencies are demonstrably achieving value for money from goods and services contracts in decisions to extend, renew or re- tender contracts. While DPC was not one of the departments covered in this audit, a number of generic recommendation were made for all agencies.
The department has scheduled an internal audit for 2014–15 to address the recommendations raised in this report.
Report 11: 2013–14 Results of audit: State public sector entities for 2012–13: This report presents the results of the financial audits of the 2012–13 financial statements for state government departments, statutory bodies, government-owned-corporations and controlled entities.
It was noted that the department’s 2012–13 financial statements were certified by management and audit within the legislated timeframe and that the processes to prepare the statements were satisfactory.
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Report 18: 2013–14 Monitoring and reporting performance: This report examined how well the 20 core state government departments measure, monitor and publicly report on non-financial performance using the performance information in the 2013–14 Service Delivery Statements. There were two recommendations made to all agencies and one recommendation made to the department and Queensland Treasury and Trade as central agencies.
The department provided in-principle support for two of the three recommendations and has committed to continue working with QAO to improve the implementation of the Queensland Government Performance Management Framework.
Recordkeeping—DPC department continues its commitment to quality recordkeeping with provision of policies, processes and systems to support decision making and accountability.
In 2013–14, the following initiatives and activities were undertaken:
- implemented a quality assurance program to ensure data integrity in electronic records to address security and access issues identified in the audit of Information Standard 18: Information Security Compliance
- optimised HP TRIM eDRMS services to the Office of the Governor
- supported Cabinet and Parliamentary Services in the management of proposed Cabinet submissions tabled at weekly Cabinet meetings
- developed an induction package for new starters based on online modules of recordkeeping and HP TRIM awareness content
- delivered updates to HP TRIM training packages, Quick Guides and user manuals for HP TRIM user groups
- applied the updated General Retention and Disposal Schedule to the department’s eDRMS.
In 2014–15, a key priority will be a review of departmental processes to facilitate a ‘paperlite’ environment, including the development of a digitisation disposal policy. In addition, the Office of the Queensland Parliamentary Counsel HP TRIM environment is proposed to be migrated into the department’s HP TRIM environment.
Business systems
DPC purchases transactional processing services from Queensland Shared Services and uses the whole-of- government SAP and Aurion systems for finance and human resource management respectively.
DPC uses HP TRIM for its eDRMS functionality. This system provides secure, effective and efficient management of corporate records and is also used for workflow of ministerial and executive correspondence. A customised version of HP TRIM is used for the purpose of managing proposed Cabinet submissions. This business system has enhanced information security and business functionality.
In 2014–15, a number of new business systems will be deployed:
- a Performance Information Management System (PIMS), which has been developed to monitor and report on the delivery of government commitments, decisions and whole-of-government reports using a hosted Client Relationship Management (CRM) solution
- a replacement Functions and Events Register business system developed using a CRM-based solution
- An upgrade of the Office of the Governor’s current CRM version to CRM Online 2013 in parallel with a desktop migration to Microsoft Surfaces
- A migration from desktop PC’s to Microsoft Surfaces and Office 365 at OQPC, Office of the Governor and PSC
- a significant upgrade of the department’s HP TRIM, which will result in revised business rules and an improved user experience.