Corporate support functions

The Corporate Governance Group

The Corporate Governance Group (CGG) meets regularly to assist the Director-General in discharging the accountabilities of the role and to achieve the department’s objectives. CGG held 13 ordinary meetings during 2020–2021. An additional six extraordinary meetings were held to plan COVID-19 response and recovery activities.

Membership

Chaired by the Director-General, CGG also includes the following members:

• Deputy Director-General, Corporate and Government Services
• Deputy Director-General, Strategy and Engagement
• Deputy Director-General, Policy
• Cabinet Secretary
• Queensland Parliamentary Counsel
• Executive Director, Office of the DirectorGeneral.

The role of the CGG is to:

• support the Director-General in decision making and advising on matters of strategic importance
• identify and report on emerging governance issues and major activities
• provide assurance on the effectiveness of governance arrangements
• review and approve corporate policies and processes
• act as a forum for strategic information sharing
• embed risk management activities and manage risk mitigation strategies
• consider impacts of whole-of-government initiatives on the department’s activities
• act as DPC’s crisis management group and meet during a disruption to oversee DPC’s internal and whole-of-government responsibilities.

To manage the department’s key duties and responsibilities, sub-committees chaired by CGG members, support the function of the CGG. These sub-committees provide regular updates to CGG on progress of their respective key focus areas.

The Finance Committee

The Finance Committee meets quarterly and provides reports to the CGG. The committee met twice during 2020–2021 and was chaired by the Queensland Parliamentary Counsel.

Role

The role of the Finance Committee is to:

• achieve reasonable value for money by ensuring the operations of the department or statutory body are carried out efficiently, effectively and economically
• establish and maintain appropriate systems of internal control and risk management
• establish and keep funds and accounts in compliance with the prescribed requirements
• ensure annual financial statements are prepared, certified and tabled in Parliament in accordance with the prescribed requirements
• undertake planning and budgeting for the accountable officer’s department or the statutory body that is appropriate to the size of the department or statutory body.

Performance and Strategy Committee

The Performance and Strategy Committee meets quarterly and provides reports to the CGG. The committee met three times during 2020–2021 and was chaired by the Deputy Director-General, Corporate and Government Services.

Role

The role of the Performance and Strategy Committee is to provide advice to the CGG on:

• delivery of the department’s key commitments, objectives, and milestones
• the planning, performance and reporting cycle ensuring alignment of activities including:
  • the development of performance measures and dashboard performance reporting
  • statutory reporting activities
  • business planning activities and improvements to existing business processes
  • compliance with the performance management legislative requirements
  • setting key priorities and guiding the department towards achievement of these priorities.
• implementation of the Strategic Plan, ensuring it underpins all departmental activities
• transformational projects (focusing on leading practice) and initiatives
• changes to the operating model including the prioritisation and resourcing of new projects and initiatives (where needed)
• commitment to continuous development and improvement
• key stakeholder relationships, feedback, and strategies via the customer survey process
• learnings and outcomes
• innovative approaches and projects.

People and Capability Committee

The People and Capability Committee meets quarterly and provides reports to the CGG. The committee met four times and twice out of session during 2020–2021, and was chaired by the Deputy Director-General, Policy.

Role

The role of the People and Capability Committee is to:

• drive the implementation of key workforce strategies that build a highly skilled and engaged workforce capable of delivering ongoing business outcomes
• ensure emerging risks are identified and mitigation strategies are implemented
• oversee and consider strategic priorities that:
  • embed an innovative and effective workforce that is forward thinking, embraces better ways of working and is connected and collaborative
  • builds a strategic workforce that seeks out and embraces new information, broader perspectives, and opportunities for engagement
  • drives a strong and accountable workforce that demonstrates leadership at all levels, and role models the highest standards of behaviour
  • builds a high performing workforce that is inclusive, and well-regarded for their capability, commitment, and consistency.

Risk Committee

The Risk Committee meets quarterly and provides reports to the CGG. The committee met four times during 2020–2021 and was chaired by the Deputy Director-General, Strategy and Engagement (three meetings), and the Deputy DirectorGeneral, Corporate and Government Services (one meeting).

Role

The role of the Risk Committee is to:

• review the department’s Risk Management Framework to ensure it is appropriately managed in accordance with the Financial and Performance Management Standard 2019, Risk Management and Audit Committee Guidelines issued by Queensland Treasury and the Australian/New Zealand Risk Management Standard – ISO 31000:2018
• review and monitor the department’s risk appetite and review its ongoing application
• review and monitor the department’s risk profile and exposure to significant risk
• review and monitor the department’s risk register and fraud and corruption register including risk treatment plans and follow up activities
• monitor and assess the adequacy of risk management policies and procedures including the Fraud and Corruption Control Policy
• oversee the department’s information and communication technology (ICT) risks relating to the implementation of the ICT strategic plan and significant ICT projects
• contribute to the audit planning processes relating to the risks and threats to the department
• review the effectiveness of the department’s processes for identifying, monitoring, and assessing significant emerging risk areas and — where relevant — provide recommendations to the CGG and the Audit and Risk Management Committee
• through the internal audit function, review whether relevant policies and procedures are in place and up to date, including those for the management and exercise of delegations, and ensure compliance
• through the Chief Finance Officer, review whether the financial internal controls are operating efficiently, effectively, and economically.

Audit and Risk Management Committee

The department’s Audit and Risk Management Committee (ARMC) was established by the Director-General as required by section 30(1) of the Financial and Performance Management Standard 2019. As required by section 30(2) of the standard, the terms of reference outline the role of the committee.

During 2020–2021, the ARMC observed the terms of its charter and had due regard to Queensland Treasury’s Audit Committee Guidelines Improving Accountability and Performance. In accordance with its terms of reference the ARMC met four times during 2020–2021.

A representative from the Queensland Audit Office (QAO) and a representative from the internal audit service provider have standing invitations as observers to attend all committee meetings. Departmental officers are invited to attend meetings as required.

Role

The role of the ARMC is to provide independent assurance and assistance to the Director-General on the risk, control and compliance frameworks and the department’s external accountability responsibilities. The ARMC’s responsibilities include overseeing the:

• annual financial statements, ensuring appropriateness of accounting policies and management assumptions
• internal audit plan and audit findings
• external audit reports
• Risk Management Framework
• performance, monitoring and reporting activities.

The ARMC also serves the Commission Chief Executive, Public Service Commission.

Remuneration

The Chair of ARMC, Bronwyn Morris AM is entitled to be paid $230 per hour to prepare for and attend meetings. The Chair attended four meetings during 2020–2021 and received $5520 in remuneration.

As an independent member of ARMC, Susan Rix AM is entitled to $210 per hour to prepare for and attend meetings. The independent member attended four meetings during 2020–2021 and received $4515 in remuneration.

As an independent member of the committee, Susan Rix AM is entitled to $210 per hour (excluding GST) to prepare for and attend meetings. The independent member attended two meetings held during 2019–20 and received $1575 (excluding GST) in remuneration.

As an independent member of ARMC, Philip Hennessy AO is entitled to $210 per hour to prepare for and attend meetings. The independent member attended four meetings held during 2020–2021 and received $5040 in remuneration. All payments exclude GST.

Keyachievements for 2020–2021

• Endorsed the annual internal audit plan and monitored the ongoing delivery of the internal audit program.
• Received and noted updates to departmental risk management materials.
• Monitored progress of the implementation status of internal audit recommendations.
• Received and considered external audit reports and monitored the implementation status of agreed actions against recommendations made (refer to external scrutiny section for further information).
• Endorsed the financial statements for 2019–2020 and considered the ongoing financial position of the department.
• Considered the ongoing corporate governance and risk management activities of the department.

Membership

The ARMC comprises:

Name	Committee role	Position	Portion of the year as a member
Bronwyn Morris AM	Chair	Independent	July 2020 – June 2021
Susan Rix AM	Member	Independent	July 2020 – June 2021
Philip Hennessy AO	Member	Independent	July 2020 – June 2021
Megan Barry	Member	Deputy Commissioner, PSC	July 2020 – June 2021
Filly Morgan	Member	Deputy Director-General, Corporate and Government Services, DPC	July 2020 – June 2021
Dave Stewart	Attendee	Director-General, DPC	July 2020 – April 2021
Rachel Hunter	Attendee	Director-General, DPC	May 2021 – June 2021
Robert Setter	Attendee	Commission Chief Executive, PSC	July 2020 – June 2021

Risk management

In accordance with the Financial Accountability Act 2009, the Director-General, DPC has established appropriate systems of internal control and risk management. This has been achieved through the maintenance of a risk management framework and oversight by the ARMC. DPC’s Risk Management Framework aligns with the International Standard ISO 31000:2018 on risk management principles and guidelines and includes appropriate governance arrangements and risk reporting and analysis.

DPC is committed to a philosophy and culture that ensures risk management is an integral part of all activities. The department has ensured risk management and business continuity plans are aligned, and that lessons learnt from the pandemic are reflected in its risk management approach.

Strategic risks, opportunities and challenges are reviewed regularly in relation to the operating environment of the department to ensure effective management. This minimises vulnerability to internal and external events and influences that could impact on the achievement of its objectives and strategic priorities.

To support the achievement of strategic objectives, risk management continues to be embedded throughout the department through proactive executive involvement and assessment and treatment of risk (including fraud and corruption risks).

The department’s Strategic Plan 2020–2024 states that the department will manage its strategic risks and their impacts. These risks are reflected in the department’s strategic risk register.

Divisions are responsible for identifying and managing operational risks. ARMC oversees the department’s risk management system, and it is a standing agenda item at ARMC meetings. The department’s Risk Committee, which reports to the CGG, can also refer matters to the ARMC for consideration.

Internal audit

During 2020–2021 the internal audit service was managed by the department’s Director of Internal Audit and Risk Services, with delivery of the program being outsourced to a third-party provider, Ernst and Young.

The internal audit provides independent assurance and advice to the Director-General, senior management and the ARMC. It enhances the department’s corporate governance environment through an objective, systematic approach to evaluating the effectiveness and efficiency of processes, internal controls, and risk management practices. This is in accordance with the role detailed in the Financial Accountability Act 2009.

The internal audit function operates in accordance with an approved Internal Audit Charter that incorporates professional standards and the Queensland Treasury Audit Committee Guidelines Improving Accountability and Performance. The function is independent of the activities it reviews, of management and of the QAO. The internal audit function is monitored to ensure it operates effectively, efficiently, and economically.

Key achievements for 2020–2021

• Developed an internal audit plan based on strategic risks and operational risk registers and presented the plan to the Director-General for approval.
• Successfully reprioritised and executed the internal audit plan to ensure alignment with key and emerging risks, and provided reports to the ARMC and Director-General.
• Monitored and reported on the status of the implementation of internal audit recommendations to the ARMC.
• Supported management by providing advice on corporate governance and related issues including fraud and corruption prevention programs and risk management.

External scrutiny

External audits and reviews add value to the public sector through recommendations that improve business operations. The following reports were published by the QAO in 2020–2021 and were relevant to the department:

QAO Report 1: 2020–2021 – Family support and child protection system

This audit assessed how effectively Queensland public sector entities work together for the safety and wellbeing of Queensland children. The QAO audited six public sector entities responsible for delivering family support and child protection services. The report acknowledged entities have made good progress implementing recommendations from reviews over recent years and reforming the family support and child protection system. The report recommended DPC and the Department of Children, Youth Justice and Multicultural Affairs work in collaboration with other relevant public sector entities to clearly define the roles, purpose and inter-relationship of the Interdepartmental Committee and the Regional Child, Youth and Family Committees.

QAO Report 2: 2020–2021 – Effectiveness of audit committees in state government entities

This report found effective audit committees can catalyse better governance in an entity. They help entities become more efficient, effective, and economical, and promote accountability, integrity and transparency. To be effective, audit committees require leadership's support and engagement, and need to provide meaningful and relevant oversight and advice. Without an effective audit committee, entities may face issues that erode their performance and public trust.

QAO Report 3: 2020–2021 – Queensland Government response to COVID-19

The findings from this report showed the speed and depth of the impacts from the COVID-19 pandemic, and the ongoing government responses to them, are unprecedented. The Queensland Government has announced a range of measures with the aim of supporting the state economy, promoting public safety, and assisting households and businesses. As at 21 August 2020, the Queensland Government had announced over $7 billion in response measures. The costs of the government’s response are significant and will largely depend on the ongoing health and economic impacts of the pandemic.

QAO Report 6: 2020–2021 – Awarding of sports grants

This information brief presented facts relating to the awarding of sports grants in Queensland between 1 July 2017 and 29 February 2020.

The QAO examined if the awarding of sports grants was in accordance with documented processes and resulted in the impartial awarding of grants. Whilst the audit did not directly impact DPC, the QAO recommended the department should support ministers and ministerial staff through training, to ensure an understanding of ministerial and departmental responsibilities including those outlined in the Financial Accountability Handbook.

QAO Report 7: 2020–2021 – Delivering successful technology projects

This report outlined that to deliver the public services and infrastructure Queenslanders rely on, the government needs to invest in technology. Many projects currently do not hit their deadlines, stay within budget, or achieve their objectives. This issue is not unique to the Queensland public sector—national and international reports highlight the problems faced by other governments in delivering new or upgrading existing services. The public sector can improve by examining the reasons behind the successes and failures of technology projects.

QAO Report 13: 2020–2021 – State Entities 2020

This report summarises the results of 2019–20 financial audits of Queensland state government entities, including the 22 government departments. The financial statements of all departments and government owned corporations, and most statutory bodies and controlled entities, are reliable and comply with relevant laws and standards. The QAO identified most government departments have processes and systems that allow them to produce good quality financial statements. The report recommended departments continue to strengthen their financial reporting processes.

The Auditor-General has certified that DPC has completed all key processes by the target date, that acceptable draft financial statements were received on or prior to the planned date, and that no adjustments were required to the financial statements. The Auditor-General also issued an unmodified opinion that DPC’s financial statements are prepared in accordance with the relevant legislative requirements and Australian accounting standards for 2019–2020.

QAO Report 15: 2020–2021 – State Finances 2020

Each year, the Treasurer prepares consolidated state government financial statements. These statements separately disclose transactions and balances for the total state sector, including the general government sector.

The QAO found that the Queensland Government financial statements, the Consolidated Fund Financial Report, the Public Report of Ministerial Expenses, and the Public Report of Office Expenses of the Office of the Leader of the Opposition are reliable and comply with legislative requirements.

The Queensland Government’s consolidated financial statements received an unmodified opinion in 2019–2020, meaning the financial statements present a true and fair view of the state’s financial performance and position. QAO issued unmodified opinions for all significant entities consolidated in the Queensland Government’s financial statements.

The QAO recommended statutory timeframes be introduced to ensure timely public reporting of the Queensland Government financial statements.

Information systems and recordkeeping

The department purchases transactional processing services from Queensland Shared Services and uses whole-of-government systems for finance and human resource management services.

The department uses an electronic document and records management system (eDRMS), to provide secure, effective, and efficient management of:

• Cabinet submissions and related documents
• executive council minutes and related documents
• departmental and portfolio agency records including ministerial and executive correspondence.

The eDRMS business system supports approved business processes and enhances information and cyber security functionality.

Roles and responsibilities for creating, managing and disposing of public records are documented in the department’s Records Governance Policy and Recordkeeping Guidelines. Mandatory training is provided to all staff commencing in the department and refresher training is available online through training modules. The department’s policy applies to all public records as defined by the Public Records Act 2002.

A substantial percentage of records are received electronically and managed through internal electronic approval processes. Several initiatives have been developed and enhanced to reduce reliance on hard copy records while providing additional security of information assets.

Improvements around information security and managing sensitive data have been a priority for several years with a key initiative being the department’s commitment to the full implementation of the whole-of-government Information Security Management System (ISMS). This involves defining, implementing, and applying appropriate controls to safeguard confidentiality, integrity, and availability of information.

The Public Records Act 2002 and the department’s Records Governance Policy mandate that the department capture, create, manage, and dispose of public records in accordance with Queensland State Archivesapproved disposal authorities. The department’s records are efficiently managed throughout their lifecycle and archived and disposed of accordingly.

In meeting its public records governance responsibilities, the department demonstrates mature recordkeeping to support sound business decision making, effective governance, and accountability.

Key achievements for 2020–2021

• Enabled and supported the response to COVID-19, ensuring staff were able to effectively work from any location whilst continuing to deliver services with technology as the key enabler.
• Complied with government cyber security requirements through maturing the department’s ISMS with supporting policies, procedures, processes, and tools to support a robust security posture.
• Identified opportunities to leverage the department’s investment in its eDRMS business system with an improved front end portal to support critical briefing processes.
• Developed the 2020–2021 ICT Strategic Plan, to align with the department’s strategic and operational plans, with a focus on cyber security and innovative initiatives to streamline and improve existing processes within the department.
• Enhanced visibility of active and anticipated projects and their priority across the department.

Future directions for 2021–2022

• Continue the maturity journey of project management capability within the department to improve project outcomes and manage risk.
• Continue focus on delivering value through effective project and portfolio management, which ensures investments deliver benefits and outcomes critical to support the machinery-of-government.
• Contribute to the implementation of the Queensland Protective Security Framework (QPSF).
• Implement a new staff directory and resource request management system to effectively manage onboarding and exiting processes within the department
• Ongoing development of enhancing correspondence and briefing note reporting to support business outcomes that include greater transparency of workflow processes, and an optimised user experience when used with mobile devices.
• Focus on realising greater value for money outcomes by continuing to consider existing technology investments.
• Continue to investigate, identify, and remediate potential single points of failure in key business systems and address the retirement of end-of-life legacy systems.
• Continue to focus on optimising Microsoft Azure cloud services, from a value for money perspective, while ensuring appropriate continuity of services.

Information Security attestation statement

During the mandatory, annual, Information Security reporting process, the Director-General attested to the appropriateness of the information security risk management within the department to the Queensland Government Chief Information Security Officer. It was noted that appropriate assurance activities have been undertaken to inform this opinion and, the department’s information security risk position.

Open data

The following datasets are published on the open data website at www.data.qld.gov.au.

• consultancies
• language services.

An overseas travel expenditure report for the 2020–2021 reporting year was not required due to overseas travel not being undertaken by any officers of the department.

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