Information sheet: Health statutory agencies - key ...



|Information sheet | |

Health statutory agencies – key compliance requirements

This document has been prepared to accompany the ‘Health statutory agencies – compliance activity calendar’.

Legal and administrative framework for statutory agency operation

• Each Health portfolio statutory agency is governed by its own enabling legislation, as well as other legislative requirements that are common to Queensland government bodies.

• Requirements vary depending on the organisational form of the agency (i.e. statutory body, statutory authority, committee/advisory council). A table summarising the organisational form of health statutory agencies is provided at Attachment 2.

• This information sheet helps to identify the legal and administrative framework within which health statutory agencies operate (see diagram below), describing key requirements that statutory agencies must comply with. It also includes links to useful documents to assist health statutory agencies to identify and meet their legislated and broader compliance requirements.

• The table at Attachment 1 identifies key legislative and other requirements that statutory agencies must comply with and may assist agencies in the development of a compliance register. It is not a comprehensive list of obligations and is therefore illustrative only. It should not be relied on as a source document in its own right – original documentation should be consulted.

• A separate document has been prepared for Hospital and Health Services (HHS) and HHS should contact the Office of Health Statutory Agencies (OHSA) via email statutoryagencies@health..au to obtain a current copy.

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Attachments

Attachment 1—Health statutory agencies’ key compliance requirements template

Attachment 2—Types of government bodies

Contact for further information

|Contact |Telephone |Email |

|Office of Health Statutory Agencies |3234 1705 |statutoryagencies@health..au |

Revision history

|Date |Version no. |Description of change/revision |

|19/08/2013 |v.1.0 |Endorsed first version |

|15/04/2014 |v.2.0 |General updates to reflect changes to content and insertion of revised web links to legislation (as |

| | |highlighted) |

Attachment 1 – Health statutory agencies’ key compliance requirements template

|Mandatory requirements |

|[insert details of the requirement] |[insert relevant |[insert details of how |[insert details of who |[insert link to enabling legislation and any relevant documents] |

| |section of the |often the activity must|is accountable for | |

| |Act] |be done e.g. Annually |compliance with the | |

| | |/Quarterly/March] |requirement] | |

|e.g. Include in the commission’s annual report: | s172 HQCC Act |Annually |Chief Executive Officer|Health Quality and Complaints Commission Act 2006 (HQCC Act): |

|information required by the Minister; and details of any | |(included in Annual | |( ) |

|direction given to the commission by the Minister, etc. | |Report) | |[insert e.g. link to a direction/document] |

|Planning |

|Strategic Plan developed compliant with the Department of |s9 FPMS |Annually – published by|Statutory body |Financial and Performance Management Standard 2009 (FPMS): |

|the Premier and Cabinet (DPC) ‘Agency Planning | |1 July | |() |

|Requirements’. | |(statutory bodies that | |Note: The Financial Accountability Act 2009 and this Standard establish the high level financial |

| | |are published in the | |management and accountability obligations for all statutory bodies. |

| | |Service Delivery | |Agency Planning Requirements – for the 2014 planning period: |

| | |Statements i.e. QIMR, | |() |

| | |HCQQ must consult with | |Strategic Plans – Minimum Requirements Checklist (OHSA fact sheet): |

| | |both DPC and Treasury | |() |

| | |on their draft | |Hospital Foundation Strategic Plan Template: |

| | |strategic plan – a | |() |

| | |consultation draft must| |Strategic Planning for Government Bodies Webcast 2013 (OHSA): |

| | |be submitted to DPC by | |() |

| | |31 March) | |Please note, strategic plans may also have to take into account the final version of the Government's |

| | | | |Queensland Plan (), should this be available prior to 1 July 2014. At |

| | | | |this stage, OHSA does not have any firm advice in relation to this matter but will provide additional |

| | | | |advice and guidance should this be required. |

|Operational Plan developed compliant with DPC’s Agency |s9 FPMS |Annually (monitored |Statutory body |Agency Planning Requirements – for the 2014 planning period: |

|Planning Requirements. | |regularly; evaluated / | |() |

| | |reviewed at least six | | |

| | |monthly) | |Operational Plan – Minimum Requirements Checklist (OHSA fact sheet): |

| | | | |() |

|Annual financial statements prepared, certified and tabled|ss61-62 FAA, s43, |Annually (included in |Statutory body |Financial Accountability Act 2009 (FAA): |

|in Parliament in accordance with the prescribed |s45 FPMS |annual report) | |() |

|requirements (i.e. have regard to the Financial Reporting | | | |Queensland Treasury Financial Reporting Requirements (FRRs) for Queensland Government Agencies (including|

|Requirements; submitted to the Auditor-General on the date| | | |Accounting Policy Guidelines): |

|agreed to allow the financial statements to be certified | | | |() |

|by not later than 2 months from the end of the financial | | | | |

|year). | | | | |

|Consider the Auditor-General’s report on audited financial|s46 FPMS |Annually |Statutory body | |

|statements, and any matters arising from the | | | | |

|Auditor-General’s report. | | | | |

|Annual report prepared and given to the Minister for |s61, s63 FAA, |Annually |Statutory body |Annual Report Requirements for Queensland Government agencies: |

|tabling. For a statutory body, the report must be |ss49-53 FPMS, |(statutory body – |Statutory authority |() |

|compliant with the FPMS and DPC’s Annual Report |enabling Act |tabled in Parliament by|RAC |Annual Reports – Online Publication Compliance Checklist (OHSA fact sheet): |

|Requirements. For other agencies, annual reports must be | |30 September; | |() |

|prepared in accordance with their enabling legislation. | |other – as specified in| | |

| | |enabling Act) | | |

|Financial Management |

|Establish the following for efficiently, effectively and |s15 FPMS | |Statutory body |Financial Performance Management Standard 2009: |

|economically managing the financial resources of the | | | |( ) |

|statutory body – | | | |Financial Accountability Handbook: |

|(a) a revenue management system; | | | |() |

|(b) an expense management system; | | | |Queensland Treasury Financial Reporting Requirements (FRRs) for Queensland Government Agencies (including|

|(c) an asset management system; | | | |Accounting Policy Guidelines): |

|(d) a cash management system; | | | |() |

|(e) a liability management system; | | | |Queensland Treasury – A Guide to Risk Management: |

|(f) a contingency management system; | | | |()|

|(g) a financial information management system; | | | |Department of Health Risk Management Policy and Standards |

|(h) a risk management system. | | | |Policy: |

|In establishing the systems, the statutory body must have | | | |Standard: |

|regard to the Financial Accountability Handbook. | | | |Information for Statutory Bodies (these new documents replace the Statutory Body Guide, two of which are|

| | | | |designed to assist members of statutory bodies meet their statutory obligations |

| | | | |() |

| | | | |Financial and Performance Management Standard 2009 Requirements (OHSA Fact Sheet): |

| | | | |() |

|Regularly review systems for managing resources to ensure |s15 FPMS |Regularly |Statutory body | |

|the systems remain appropriate for managing the financial | | | | |

|resources of the statutory body. | | | | |

|Prepare and maintain a Financial Management Practice |s16 FPMS |Maintain |Statutory body |FMPM Guidance Template for Hospital Foundations: |

|Manual (FMPM) that complies with related legislation, | | | |() |

|regulation and policies for use by staff in the | | | |Note: The FMPM is the internal instructional manual for the body to ensure compliance with the mandated |

|performance of their financial management roles. | | | |requirements and is the initial point of reference for employees in relation to the body’s financial |

|Each person involved in the financial management of a | | | |policy. |

|statutory body is required to comply with the FMPM. | | | |The accounting practices presented in an FMPM must comply with the latest accounting standards and |

| | | | |interpretations issued by the Australian Accounting Standards Board (AASB): |

| | | | |() |

| | | | |Developed to assist Hospital Foundations in the development of their own FMPM, the Guidance Template is |

| | | | |modelled on the financial management methods of a range of public sector entities. The template provides |

| | | | |questions, prompts and directions to guide the development of a financially sound and robust FMPM. |

|Requirements in relation to establishing a revenue |s17, s18 FPMS | |Statutory body |Financial Accountability Handbook: |

|management and user charging system to ensure all revenue | | | |() |

|is promptly managed and customers are charged an | | | |The handbook has been designed to assist accountable officers and statutory bodies discharge their |

|appropriate amount for goods and services provided by the | | | |obligations under the FAA, the FPMS, and the Financial Accountability Regulation 2009. |

|statutory body. | | | | |

|Expenses managed with an expense management system which |s19 FPMS | |Statutory body |Queensland Procurement Policy (QPP) July 2013: |

|provides for promptly identifying, approving, managing and| | | |(

|recording expenses and the timely paying of expenses. | | | |tPolicy/Pages/Default.aspx) |

|To the extent they apply to a statutory body, the | | | | |

|statutory body must comply with the following documents in| | | |Note: The State Procurement Policy has been superseded by the QPP, which provides the framework for all |

|developing the expense management system, including: the | | | |Queensland Government procurement. All statutory bodies are required to comply with the QPP and |

|‘State Procurement Policy’, the ‘Queensland Ministerial | | | |Queensland’s trade agreement obligations. Refer to the ‘Whole of Government Policy’ section on page 15. |

|Handbook’ and ‘General Guidelines for Personal Expenses | | | |Procurement/Purchasing Requirements (OHSA fact sheet): |

|and the Use of Credit Cards by Public Service Employees’ | | | |() |

|issued by the Office of the Public Service Commissioner. | | | |Queensland Ministerial Handbook: |

| | | | |(

| | | | |.aspx) |

|The statutory body’s expense management system keeps a |s20 FPMS | |Statutory body | |

|record of special payments over $5,000. | | | | |

|Keep written records and notifications where applicable to|ss21-22 FPMS | |Statutory body | |

|loss of the statutory body’s property as a result of an | | | | |

|offence or misconduct or other reason as specified in | | | | |

|sections 21 & 22 of the FPMS. | | | | |

|Assets managed in accordance with an asset management |s23 FPMS | |Statutory body |Queensland Treasury Statutory Body Guide - Guide Sheet 4: Evaluating and reviewing significant physical |

|system that ensures evaluations (similar to business | | | |assets: |

|cases) are prepared before acquiring, maintaining or | | | |(

|improving a significant physical asset, with a completion | | | |cal-assets) |

|review undertaken to ensure that objectives contained in | | | |Non-Current Asset Policies for the Queensland Public Sector (NCAPS): |

|the evaluations were met. | | | |() |

|An asset management system must ensure that assets are | | | |Transaction Policy: () |

|regularly maintained and must comply with or have regard | | | |Queensland’s Project Assurance Framework: |

|to: | | | |()|

|Non-current Asset Policies for the Queensland Public | | | | |

|Sector | | | |Queensland’s Value for Money Framework: |

|Property Tenure Government Land Policy | | | |() |

|Queensland’s Project Assurance Framework | | | | |

|Queensland’s Value for Money Framework. | | | | |

|Manage the body’s cash in accordance with a cash |s24 FPMS | |Statutory body |Financial Accountability Handbook: |

|management system which provides for control and recording| | | |() |

|of cash transactions. | | | | |

|Manage liabilities in accordance with a liability |s25 FPMS | |Statutory body |Leasing in Queensland Public Sector Policy Guidelines: |

|management system, which promptly and accurately records | | | |() |

|liabilities, e.g. for operational costs and capital | | | |Note: These are mandatory guidelines that apply to the lease of all assets, but exclude tenancy leases of|

|expenditure, and complies with ‘Leasing in the Queensland | | | |real property and leases of passenger or commercial motor vehicles obtained from Q-Fleet by a tied |

|Public Sector – Policy Guidelines’. | | | |client. |

|Manage contingent assets and contingent liabilities in |s26 FPMS | |Statutory body |Note: A contingent asset or liability crystallises as the result of a future event that is outside the |

|accordance with a contingency management system, which | | | |control of the agency. |

|promptly identifies, records and reports on contingencies.| | | |Financial Accountability Handbook: |

| | | | |() |

|Comply with the mandatory principles stated in the |s27 FPMS | |Statutory body |Current Information Standards (refer also pages 16-17): |

|Information Standards and ensure that its financial | | | |() |

|information management system aligns with the targets | | | |Queensland Government Enterprise Architecture (QGEA) 2.0 (refer also pages 16-17 below): |

|stated in the QGEA and complies with the Public Records | | | |() |

|Act 2002. | | | |Public Records Act 2002: () |

| | | | |Provides for the management of public records in Queensland. |

|Manage strategic and operational risks in accordance with |s28 FPMS | |Statutory body |Queensland Treasury Audit Committee Guidelines – Improving Accountability and Performance: |

|a risk management system. | | | |() |

|Establish an internal audit function if directed by the |ss29-30 FPMS | |Statutory body |Financial Accountability Handbook - Volume 2: Governance (2.6 Head of internal audit; 2.9 Internal |

|Minister or if the body considers it appropriate. Systems | | | |audit): |

|for ensuring the internal audit function operates | | | |(

|efficiently, effectively and economically must be | | | |ce.shtml) |

|developed and implemented. The internal audit function | | | | |

|must function under an internal audit charter. | | | | |

| | | | | |

| | | | | |

| | | | | |

| | | | | |

|The internal audit function prepares a strategic audit |s31 FPMS |Annually |Statutory body (with an| |

|plan that provides an overall strategy for the internal | | |internal audit | |

|audit function for a period of at least 1 year. The plan | | |function) | |

|must be approved by the statutory body. The head of | | | | |

|internal audit must consult with an authorised auditor | | | | |

|during preparation of audit plans. | | | | |

|The internal audit function prepares an audit plan for |s31 FPMS |Annually |Statutory body (with an| |

|each year that sets out the audits intended to be carried | | |internal audit | |

|out by the internal audit function during the year. The | | |function) | |

|plan must be approved by the statutory body. The head of | | | | |

|internal audit must consult with an authorised auditor | | | | |

|during preparation of audit plans. | | | | |

|The internal audit function gives final audit reports to |ss32-33 FPMS |As required |Statutory body | |

|the statutory body (to the audit committee if one is | | | | |

|established). The statutory body must consider the | | | | |

|contents of all reports and take the actions considered | | | | |

|necessary. | | | | |

|A statutory body may establish an Audit Committee. If they|s35 FPMS | |Statutory body |Queensland Treasury Audit Committee Guidelines – Improving Accountability and Performance: |

|do, they must have regard to the Queensland Treasury | | | |() |

|document ‘Audit committee guidelines – improving | | | | |

|accountability and performance’, develop Terms of | | | | |

|Reference, include members of the governing body, etc. | | | | |

|Develop and implement a contract performance guarantee |ss36-41 FPMS | |Statutory body |Note: Contract performance guarantees are securities provided by a contractor, or on a contractor’s |

|system. Sections 36-41 of the FPMS detail the obligations | | | |behalf, to ensure a contractor completes all obligations under a contract negotiated between an agency |

|and responsibilities attaching to contract performance | | | |and a contractor. |

|guarantees. | | | | |

|Statutory bodies are to comply with Part 5 of the SBFAA. |Part 5 SBFAA, | |Statutory body |Statutory Bodies Financial Arrangements Act 1982 (SBFAA): |

|Statutory bodies must be stated in a regulation to have |Schedule 2 SBFAR | | |() |

|borrowing powers under the Act. | | | |Statutory Bodies Financial Arrangements Regulation 2007 (SBFAR): |

|Note: where a statutory body has not been assigned | | | |() |

|borrowing powers under the SBFAR, the Treasurer’s approval| | | |Note: The primary purpose of the Act and regulation is to establish the borrowing and investment powers |

|must be obtained to borrow an amount (refer Part 7A of the| | | |of statutory bodies. Provisions also address the role of the Treasurer in providing guarantees – under |

|SBFAA). There are also requirements under the State | | | |the SBFAA, the Treasurer may guarantee the performance of obligations of a statutory body under a |

|Borrowing Program that statutory bodies must satisfy: | | | |financial arrangement entered into by the body (sections 16 and 76). The Treasurer can charge a fee for |

|( | | |this guarantee. The Treasurer can delegate functions under this Act to another Minister. |

|draft/index.shtml). | | | |Hospital Foundations and the Council of the QIMR are included in Schedule 2 of the SBFAR as statutory |

| | | | |bodies that may borrow under part 5 of the SBFAA. |

|A statutory body may invest under this part depending on |Part 6 SBFAA, | |Statutory body |Queensland Treasury Investment Policy Guidelines for Statutory Bodies: |

|whether a regulation allocates a statutory body one of the|Schedule 4 SPFAR | | |() |

|three categories of investment powers. Where investments | | | |Note: The guidelines provide a general outline of the impact of the SBFAA on the operations of statutory |

|are not permitted under Part 6 of the Act, a statutory | | | |bodies and aim to assist statutory bodies in understanding their obligations under the Act and provide |

|body may seek approval from the Treasurer under Part 7A of| | | |information to assist in developing better-practice policy frameworks for the investment of funds. |

|the Act. Requests are considered on a case-by-case basis.| | | |Hospital and Health Services are allocated category 2 investment power in Schedule 4 of the SBFAR. |

| | | | |Health statutory bodies allocated category 3 investment power in Schedule 4 of the SBFAR are: Hospital |

| | | | |Foundations and Council of the QIMR. |

|Governance |

| A Governance Framework appropriate for the agency is |s7 FPMS | |Statutory body |FPMS: ( ) |

|established. Governance includes establishing a | | | | |

|performance management system, a risk management system | | | |Governance Institute of Australia Website: |

|and an internal control system. | | | |() |

| | | | |Note: Provides a range of resources on best practice in board and organisational governance, and risk |

| | | | |management. |

|Cost-effective internal control structure established, |s8 FPMS |Recommended – annual |Statutory body |Financial Accountability Handbook: |

|including, for example, an organisation structure and | |check and test[2] | |() |

|delegations supportive of the objectives and operations of| | | |Financial Management Tools (provide guidance only, i.e. not mandatory): |

|the body (the internal control structure must be included | | | |() |

|in the FMPM of the body). | | | | |

| | | | |Note: Queensland Treasury and Trade conducted a high-level review of the Financial Accountability |

| | | | |Handbook and Financial Management Tools in October 2013. The majority of the changes to the Handbook are |

| | | | |updates to related resources and minor wording changes. The most significant changes to the Tools is the |

| | | | |addition of information designed to assist in evaluating and reviewing significant assets. A summary of |

| | | | |changes is available on the websites. |

| | | | | |

| | | | |Information for Statutory Bodies – Overview of applicable legislation, policies and guidance documents: |

| | | | |Appendix 1 (see page 9): |

| | | | |(

| | | | |nformation-overview.pdf) |

| | | | |Compliance Checklists: |

| | | | |(

| | | | |nformation-overview.pdf) |

| | | | |Australian Accounting Standards Board – Accounting Standards: |

| | | | |() |

|The performance of the body is managed compliant with the |s11 FPMS | |Statutory body |A guide to the Queensland Government performance management framework: |

|DPC document ‘A guide to the Queensland Government | | | |() |

|performance management framework’. | | | |Queensland Audit Office – Better Practice Guides: Performance Reviews: |

| | | | |() |

| | | | |Performance Reporting to Boards: A Guide to Good Practice (Chartered Institute of Management |

| | | | |Accountants): ()|

| | | | | |

| | | | |Thirteen Ways to Improve Your Monthly Board Reports (ExcelUser): |

| | | | |() |

| | | | | |

| | | | |NHS Sample Board Papers: |

| | | | |() |

| | | | | |

| | | | | |

|Systems are in place for obtaining information to enable |s12 FPMS | |Statutory Body | |

|the statutory body to decide whether it is: | | | | |

|achieving the objectives stated in its strategic plan | | | | |

|efficiently, effectively and economically; and | | | | |

|delivering the services stated in its operational plan to | | | | |

|the standard stated in the plan. | | | | |

|Performance systems allow reporting about performance to |s13 FPMS |Report provided to the |Statutory body | |

|be provided. | |statutory body at least| | |

| | |every 3 months; and to | | |

| | |the Minister annually | | |

| | |or when requested | | |

|Performance management system must allow the body to |s14 FPMS | |Statutory body | |

|assess: | | | | |

|the appropriateness of its objectives, and the services | | | | |

|that it delivers to achieve its objectives | | | | |

|whether the performance information is suitable to assess | | | | |

|the extent to which the objectives have been achieved | | | | |

|options to improve the efficiency, effectiveness and | | | | |

|economy of the operations of the agency. | | | | |

|Part 7 of the AIA outlines the operation of conferral; |Part 7, AIA | |All agencies |Acts Interpretation Act 1954 (AIA): |

|performance; delegation of statutory functions and powers;| | | |() |

|making of appointments; acting appointments; etc. E.g. | | | |Note: The AIA prescribes the meanings of common terms used in Acts where those Acts do not in themselves |

|section 27A ‘Delegation of functions or powers’ outlines | | | |provide a definition, or where the definitions provided in the Acts require further clarification (i.e. |

|how delegation of functions and powers works. | | | |the AIA only applies to the extent of any inconsistency), and provides courts with clear directions to |

| | | | |resolve a range of potential inconsistencies. |

|Public accountability |

|The PIDA applies to the chief executive officer of a |Chapter 3, PIDA | |All agencies |Public Interest Disclosure Act 2010 (PIDA): |

|public sector entity, including obligations in regard to, | | | |() |

|for example, establishing procedures to deal with public | | | |Note: The Queensland Ombudsman administers the PIDA. Under section 60, the Ombudsman has issued a |

|interest disclosures (PIDs), keeping records of PIDs, and | | | |Standard about the way in which agencies must deal with PIDs, including a requirement to provide |

|ensuring protections are in place for disclosers. | | | |information to the Ombudsman regarding PIDs received. The Standard is binding on all entities within the |

|Section 28 provides for the establishment of reasonable | | | |jurisdiction of the PIDA. |

|procedures by the chief executive of a public sector | | | |Public Interest Disclosure Standard No. 1: |

|entity. | | | |(

|Section 29 provides that the chief executive officer of a | | | |rd%20No%201_V1.pdf) |

|public sector entity must keep a proper record of | | | |For further information (including PID facts and guides): |

|disclosures. | | | |(

| | | | |Default.aspx). |

|The Auditor-General of Queensland is required to audit |ss46-47 AGA |As and when requested |Statutory body (unless |Auditor-General Act 2009 (AGA): |

|each year the financial accounts of all statutory bodies | | |exempted) |() |

|(unless exempted) and to provide independent reports to | | | |Note: Establishes the position of the Queensland Auditor-General and the Queensland Audit Office (QAO). |

|the Queensland Parliament. The statutory body must grant | | | |The Act also confers on the Auditor-General and the QAO the functions and powers necessary to carry out |

|the audit team access to all records, and stated | | | |independent audits of all Queensland public sector agencies. |

|information as and when requested by sections 46 & 47 of | | | |Queensland Audit Office: () |

|the AGA. In addition, each entity is responsible for | | | | |

|liaising directly with the Audit Manager and providing | | | | |

|solutions to the audit issues raised. | | | | |

|The PSEA outlines the ethical obligations of employees |Part 3, PSEA | |All agencies |Public Sector Ethics Act 1994 (PSEA): |

|within the Queensland Public Sector. The PSEA provides | | | |() |

|four (4) ethics principles for the public sector: | | | |Declares the ethical principles that are fundamental to good public administration and covers |

|Integrity and impartiality | | | |requirements for codes of conduct for public officials. The PSEA ethics principles and values apply to |

|Promoting the public good | | | |all public service agencies and public sector entities, including statutory bodies and public officials. |

|Commitment to the system of government and | | | |Queensland Government Ethics Website: () |

|Accountability and transparency. | | | |Public Sector Ethics (OHSA fact sheet): () |

|The PSEA also incorporates a range of “ethical values” | | | | |

|associated with each of the ethics principles.  These | | | | |

|principles and values form the basis of the codes of | | | | |

|conduct required to be developed by each statutory body. | | | | |

|The Code of Conduct for the Queensland Public Service |ss11-12M(2) PSEA |Annually (statement |Prescribed public |Code of Conduct for the Queensland Public Service: |

|applies to all public service agencies. Employees of the | |included in annual |service agencies (HHSs,|() |

|agency must comply with the Code and any standard of | |report) |HQCC, MHRT) |Public Sector Ethics (OHSA fact sheet): |

|practice in performing their official functions. | | | |() |

|The chief executive officer has certain responsibilities | | | | |

|under the Act, including: must ensure employees have | | | | |

|reasonable access to a copy of the Code and any standards | | | | |

|of practice; must publish and keep available for | | | | |

|inspection by any person copies of the Code and any | | | | |

|standards of practice; must ensure employees are given | | | | |

|access to appropriate education and training about public | | | | |

|sector ethics; must ensure the administrative procedures | | | | |

|and management practices of the agency have proper regard | | | | |

|to the Act, the Code and any standards of practice; and | | | | |

|must ensure the annual report includes a statement as per | | | | |

|s12M. | | | | |

|The chief executive officer of a public sector entity must|ss13-23 PSEA |Annually (statement |Public sector entities |Public Sector Ethics (OHSA fact sheet): |

|ensure a code of conduct is prepared for the entity and | |included in annual |(e.g. Hospital |() |

|approved by the Minister for Health. Employees of an | |report) |Foundations) | |

|entity must comply with the code of conduct in performing | | | | |

|their official functions. | | | | |

|The chief executive officer also: must ensure employees | | | | |

|have reasonable access to a copy of the Code and any | | | | |

|standards of practice; must publish and keep available for| | | | |

|inspection by any person copies of the ethics principles | | | | |

|and the entity’s approved code of conduct; must ensure | | | | |

|employees are given access to appropriate education and | | | | |

|training about public sector ethics; must ensure the | | | | |

|administrative procedures and management practices of the | | | | |

|entity have proper regard to the Act and the entity’s code| | | | |

|of conduct; and must ensure the annual report includes an | | | | |

|implementation statement as per s23. | | | | |

|If a public official (CEO of a unit of public |s38 CMA |As necessary |All agencies |Crime and Misconduct Act 2001 (CMA): |

|administration) suspects that a complaint, information or | | | |() |

|matter involves, or may involve, official misconduct, they| | | |Crime and Misconduct Commission Queensland: (). |

|must notify the Crime and Misconduct Commission of the | | | | |

|complaint. | | | | |

|The CEO of a unit of public administration has a |s43-44 CMA |As necessary |All agencies (captured |Section 44 of the CMA (see link above) outlines how complaints must be dealt with. |

|responsibility to deal with a complaint about, or | | |in the meaning of a | |

|information or matter involving, official misconduct that | | |unit of public | |

|is referred to it by the commission. | | |administration) | |

|Deal with applications for information as per Part 3 of |Part 3, RTIA |As necessary |All agencies |Right to Information Act 2009 (RTIA): |

|the RTIA. | | | |() |

| | | | |The Act gives the public a right of access to information held by government unless, on balance, |

| | | | |providing access would be contrary to the public interest. |

| | | | |Further information is also available via (.au/right-to-information/) |

|Policy documents are made available for inspection and |s20 RTIA | |All agencies |Note: An agency must make copies of each of its policy documents available for inspection and purchase by|

|purchase by the public. | | | |the public. However, nothing in this section prevents an agency from deleting exempt information or |

| | | | |contrary to public interest information from a copy of a policy document. |

|Publish a publication scheme, which is a scheme that sets |s21 RTIA | |All agencies |Ministerial Guidelines and Links to Departmental Publication Schemes |

|out the classes of information that the agency makes | | | |() |

|available and how the information can be accessed, | | | | |

|including any charges. This may include a de-identified | | | | |

|disclosure log of documents that have been released in | | | | |

|response to Right to Information applications. | | | | |

|Comply with the Information Privacy Principles in relation|s27 IPA, Schedule | |All agencies |Information Privacy Act 2009 (IPA): |

|to the collection, storage, use and disclosure of an |4 IPA | |(except HHSs – National|() |

|individual’s personal information. | | |Privacy Principals |Note: The Act provides for the fair collection and handling in the public sector environment of personal |

| | | |(NPPs) apply to HHSs) |information, and gives the public a right to apply to access and amend their own personal information. |

| | | | |Office of the Information Commissioner (Queensland): |

| | | | |() |

| | | | |Recordkeeping – General, Digital, Cloud Computing (OHSA fact sheet): |

| | | | |() |

|A health statutory agency may only transfer an |s33, IPA | |All agencies | |

|individual’s personal information to an entity outside of | | | | |

|Australia in certain circumstances specified in section 33| | | | |

|of the IPA. | | | | |

|Make and keep full and accurate records of its activities.|s7 PRA | |All agencies (captured |Public Records Act 2002 (PRA): () |

| | | |in meaning of public |Note: The PRA provides for the management of public records in Queensland. |

| | | |authorities) |Recordkeeping – General, Digital, Cloud Computing (OHSA fact sheet): |

| | | | |() |

| | | | |Queensland State Archives: |

| | | | |() |

| | | | |Retention and Disposal Schedules (e.g. Health Sector (Clinical Records), Health Quality and Complaints |

| | | | |Commission): |

| | | | |() |

| | | | |General Retention and Disposal Schedule (GRDS) for Administrative Records: |

| | | | |() |

|General legislative requirements |

|An employer is legally liable for compensation for injury |s46 WCRA | |All agencies |Worker’s Compensation and Rehabilitation Act 2003 (WCRA): |

|sustained by a worker employed by the employer if the | | | |( ) |

|injury is sustained by the worker in their employment. | | | |An Act to establish a workers’ compensation scheme for Queensland, and for other purposes. |

|Every employer must, for each worker employed by the |s48 WCRA | |All agencies | |

|employer, insure and remain insured for compensation and | | | | |

|damages relating to injury sustained by the worker. | | | | |

|If an employer meets criteria prescribed under the WCRR, |Ss226-227 WCRA, |Policy and procedures |Agencies captured in |Worker’s Compensation and Rehabilitation Act 2003 (WCRA): |

|they must appoint a Rehabilitation and Return to Work |s99D, 100 WCRR |reviewed at least every|the WCRR criteria |() An Act to establish a |

|Coordinator and have workplace rehabilitation policy and | |3 years and provide |(HHSs, Council of the |workers’ compensation scheme for Queensland, and for other purposes. |

|procedures. | |evidence of the review |QIMR, HQCC) |Workers’ Compensation and Rehabilitation Regulation 2003 (WCRR): |

|Note: employers meet the criteria of the WCRR if: | |to Q-COMP | |() |

|(a) for an employer who employs workers at a | | | |Q-COMP (the Workers’ Compensation Regulatory Authority): |

|workplace in a high risk industry, the | | | |() |

|wages of the employer for the proceeding | | | | |

|financial year were more than $1.63M; or | | | | |

|(b) the wages of the employer in Queensland | | | | |

|for the preceding financial year were more | | | | |

|than $4.9M. | | | | |

|The Chief Executive, as an ‘officer’ as defined in the |s27 WHSA | |All agencies |Work Health and Safety Act 2011 (WHSA): |

|WHSA will have certain work health and safety obligations | | | |() |

|under this Act, including due diligence, which is defined | | | |Note: The WHS Act provides a framework to protect the health, safety and welfare of all workers at work |

|as taking reasonable steps: | | | |and of all other people who might be affected by the work. Nationally uniform laws ensure all workers in|

|to acquire and keep up-to-date knowledge of work health | | | |Australia have the same standard of health and safety protection, regardless of the work they do or where|

|and safety matters; and | | | |they work. |

|to gain an understanding of the nature of the operations | | | |Work Health and Safety Regulation 2011 (WHSR): |

|of the business or undertaking of the person conducting | | | |() |

|the business or undertaking and generally of the hazards | | | |Work Health and Safety (Codes of Practice) Notice 2011: |

|and risks associated with those operations; and | | | |() |

|to ensure that the person conducting the business or | | | |Workplace Health and Safety Queensland (Department of Justice and Attorney-General): |

|undertaking has available for use, and uses, appropriate | | | |() |

|resources and processes to eliminate or minimise risks to | | | | |

|health and safety from work carried out as part of the | | | | |

|conduct of the business or undertaking; and | | | | |

|to ensure that the person conducting the business or | | | | |

|undertaking has appropriate processes for receiving and | | | | |

|considering information regarding incidents, hazards and | | | | |

|risks and responding in a timely way to that information; | | | | |

|and | | | | |

|to ensure that the person conducting the business or | | | | |

|undertaking has, and implements, processes for complying | | | | |

|with any duty or obligation of the person conducting the | | | | |

|business or undertaking under this Act; and | | | | |

|to verify the provision and use of the resources and | | | | |

|processes mentioned in paragraphs (c) to (e). | | | | |

|s28 refers to duties of workers & s28 duties of other | | | | |

|persons at the workplace. | | | | |

|The occupier of a building is obliged to: maintain means |Part 9 Division 2 | |All agencies |Fire and Rescue Service Act 1990 (FRSA): |

|of escape from the building, prescribed fire safety |FRSA, BFSR | | |() |

|installations, and a fire and evacuation plan; and provide| | | |Note: The Act establishes the Queensland Fire and Rescue Service and provides for the prevention of and |

|instruction to persons in the building concerning the | | | |response to fires and certain other incidents endangering persons, property or the environment and |

|action to be taken by them in the event of a fire | | | |related purposes. |

|threatening the building; etc. | | | |Fire and Rescue Service Regulation 2011 (FRSR): |

|The Building Fire Safety Regulation includes provisions | | | |() |

|relating to keeping evacuation routes free from obstacles;| | | |Building Fire Safety Regulation 2008 (BFSR): |

|occupancy limits for buildings; meaning of specific terms | | | |() |

|(e.g. evacuation route, common area); etc. | | | |Queensland Fire and Rescue Service: () |

|The obligation of an employer includes – |s30, Division 3 | |All agencies |Electrical Safety Act 2002 (ESA): |

|ensuring that all electrical equipment used in the conduct|ESA | | |() |

|of the person’s business or undertaking is electrically | | | |(An Act about electrical safety, and for other purposes.) |

|safe; and | | | |Electrical Safety Regulation 2013: |

|if the person’s business or undertaking includes the | | | |( ) note: commenced on 1 January |

|performance of electrical work, ensuring the electrical | | | |2014 and replaces the 2002 Regulation. |

|safety of all persons and property likely to be affected | | | |Electrical Safety (Codes of Practice) Notice 2013: |

|by the electrical work; and | | | |() |

|if the person’s business or undertaking includes the | | | |Queensland Government Electrical Safety Office: |

|performance of work, whether or not electrical work, | | | |() |

|involving contact with, or being near to, exposed parts, | | | | |

|ensuring persons performing the work are electrically | | | | |

|safe. | | | | |

| | | | | |

|Regulations, ministerial notices and codes of practice may| | | | |

|prescribe the way to discharge a person’s electrical | | | | |

|safety obligations. | | | | |

|The BA requires that buildings be constructed in |BA | |All agencies |Building Act 1975 (BA): () |

|accordance with the Building Code of Australia and, where | | | |Note: The Building Act governs all building work in Queensland and empowers the regulation of certain |

|Queensland-specific provisions are necessary, the | | | |aspects of buildings and structures. |

|Queensland Development Code. The Act also contains | | | |Building Regulation 2006: () |

|specific compliance requirements, for example, in relation| | | |Queensland Development Code: |

|to fire safety for residential care buildings built, | | | |(

|approved or applied for before 1 June 2007 (Chapter 7A), | | | |Code/Pages/default.aspx) |

|and swimming pool safety (Chapter 8). | | | |Australian Building Codes Board – About the national Construction Code: |

| | | | |() |

|Other Legislation |

|Health statutory agencies may have additional responsibilities and obligations placed upon them by a number of pieces of other State legislation () and Commonwealth legislation |

|(), for example: |

|Affirmative Action (Equal Employment Opportunity for Women) Act 1986 (Cth) |Industrial Relations Act 1999 |

|Anti-Discrimination Act 1991 |Industrial Relations (Tribunal) Rules 2011 |

|Commission for Children and Young People and Child Guardian Act 2000 |Judicial Review Act 1991 |

|Copyright Act 1968 (Cth) |Ombudsman Act 2001 |

|Coroners Act 2003 |Police Powers and Responsibilities Act 2000 |

|Criminal Code Act 1899 |Privacy Act 1988 (Cth) |

|Disability Discrimination Act 1992 (Cth) |Sex Discrimination Act 1984 (Cth) |

|Disability Services Act 1986 (Cth) |State Penalties Enforcement Act 1999 |

|Disaster Management Act 2003 |State Penalties Enforcement Regulation 2000 |

|Environmental Protection Act 1994 |Statutory Authorities (Superannuation Arrangements) Act 1994 |

|Environmental Protection Regulation 2008 |Superannuation Guarantee (Administration) Act 1992 (Cth) |

|Environmental Protection (Waste Management) Regulation 2000 |Waste Reduction and Recycling Act 2011 |

|Human Rights and Equal Opportunity Commission Act 1986 (Cth) |Waste Reduction and Recycling Regulation 2011 |

|Income Tax Assessment Act 1936 (Cth) |Water Supply (Safety and Reliability) Act 2008 |

|Whole of Government Policy |

|Comply with the QPP. |QPP | |Statutory body |Queensland Procurement Policy (QPP) July 2013: |

| | | | |(

|All agency employees are required to be aware of, and | | | |tPolicy/Pages/Default.aspx) |

|comply with, this policy. Accountable officers are | | | |Note: The QPP is the government’s overarching policy for the procurement of goods and services, including|

|responsible for ensuring the QPP is followed within their | | | |construction. Its purpose is to deliver excellence in procurement outcomes for Queenslanders. |

|agencies; and managers and supervisors are responsible for| | | |Cabinet has mandated this Policy for application to budget sector agencies, statutory bodies and Special |

|ensuring that employees are aware of, and comply with, it.| | | |Purpose Vehicles. These entities are collectively referred to as ‘agencies’ within this Policy. |

| | | | |Procurement/Purchasing Requirements (OHSA fact sheet): |

| | | | |() |

| | | | |Financial and Performance Management Standard 2009 Requirements (OHSA fact sheet): |

| | | | |() |

|Implementation of the mandatory principles of the |QGEA |n/a |IS31 & IS40 – all |Queensland Government Enterprise Architecture (QGEA): |

|Information Standards is mandated as a key | |(reporting focuses on |agencies |() |

|whole-of-Government ICT planning requirement.  | |core departments) |IS18 – statutory body |Note: QGEA is the collection of ICT policies and associated documents that guide agency ICT initiatives |

|Specific Acts and regulations are referenced within each | | |IS26– agencies with |and investments to improve the compatibility and cost-effectiveness of ICT across government. The |

|Information Standard.  | | |public facing internet |framework unites ICT strategy, ICT policy, Information Standards and enterprise architecture across the |

|For more information please see the QGEA guideline on the | | |sites within gov.au and|Queensland Government. |

|authority and applicability of the QGEA. | | |edu.au domains e.g. | |

| | | |MHRT |Guideline to the Authority and Applicability of the QGEA: |

| | | | |(

| | | | |guideline-to-the-authority-and-applicability-of-the-qgea) |

| | | | |Note: in order to determine the applicability of QGEA policies to an individual agency, it needs to be |

| | | | |determined whether or not an agency is captured or exempted under the particular legislation underpinning|

| | | | |QGEA policies. For example, Information Standard 18 – Information Security supports the FPMS 2009 and as|

| | | | |such applies to all accountable officers and statutory bodies as defined in the FAA. |

| | | | |Current Information Standards: () |

|Publication of Gifts and Benefits Register |PSC Directive No. |Quarterly (within 10 |Public service agencies|Public Service Commission Directive No. 22/09: |

| |22/09 |calendar days of the |(HHSs, HQCC, MHRT) |() |

| | |end of the quarter) | |Crime and Misconduct Commission (CMC) information on receiving gifts and benefits: |

| | | | |(

| | | | |fts-and-benefits) |

|Executives and persons paid remuneration equivalent to a |PSC Policy |Annually |All agencies |PSC Policy ‘Declaration of Interests – Senior Executive Service and Equivalent Employees including |

|senior executive service level or above, including |‘Declaration of | | |Statutory Office Holders’: |

|statutory office holders, to provide, on an annual basis, |Interests – Senior| | |(

|a Declaration of Interests to the relevant Chief Executive|Executive Service | | |_NEW.pdf) |

|or in the case of a statutory head, to the appropriate |and Equivalent | | |Declaration of Interests Forms and FAQs: |

|Minister and/or Parliamentary Committee and the Integrity |Employees | | |() |

|Commissioner. |including | | |Queensland Integrity Commissioner Website: |

|The declaration must include information required under |Statutory Office | | |() |

|the directive, including revisions to existing Declaration|Holders’ | | | |

|of Interests. | | | | |

|The policy requires full disclosure of any interests that | | | | |

|may have a bearing, or be perceived to have a bearing, on | | | | |

|the individual’s ability to properly and impartially | | | | |

|discharge the duties of their office. | | | | |

|Contribute to the development of Queensland Health's State| |Annually |HHSs, HQCC, MHRT, QMHC,|Queensland Health Budget Papers are coordinated by the State and Commonwealth Funding Unit (SCFU) within |

|Budget Papers - Service Delivery Statements and Regional | | |QIMR (BP3 only) |System Policy and Performance Division. |

|Budget Statements. | | | |Contact SCFU via email: State_Budget_Process@health..au |

|Ministerial Directions to [insert agency name] |

|[insert details of what the direction requires] |[insert direction |[insert – note: an |[insert who is |[insert link to direction] |

| |title/reference] |agency is usually |accountable for | |

| | |required to report on |compliance with the | |

| | |any Ministerial |direction e.g. Chief | |

| | |directions in the |Executive Officer] | |

| | |agency’s annual report]| | |

| | | | | |

|[insert agency name] Policy |

|[insert details of what the policy mandates] |[insert policy |[insert] |[insert the title/s of |[insert link to policy] |

| |name e.g. HR | |who is accountable for | |

| |Policy] | |compliance with the | |

| | | |policy e.g. all staff] | |

| | | | | |

Attachment 2: Types of government bodies

|Type |Description |Health bodies |

|Committee/advisory council |A Ministerial committee/advisory council is advisory and consultative |Radiation Advisory Council (Radiation Safety Act |

|(advisory/consultative) |in nature, created to give advice on specific areas of interest. |1999) |

| |It is not a separate legal entity; it is legally part of a department | |

| |or statutory body and subject to departmental accountability | |

| |requirements. It is not able to be a trading body and the Financial | |

| |Accountability Act 2009 (FA Act) and Statutory Bodies Financial | |

| |Arrangements Act 1982 (SBFA Act) will apply in the same manner as to | |

| |its parent entity (e.g. Department). | |

|Statutory authority |A statutory authority is a separate legal entity created under enabling|Mental Health Review Tribunal (Mental Health Act |

|(provides independent |legislation to provide independent oversight of certain functions. |2000 (MHA)) |

|oversight of certain |Although it is a separate legal entity, for financial accountability |Mental Health Court Registry (MHA) |

|functions) |purposes, it is treated as part of its administering agency. |Professional Conduct Review Panels of Assessors |

| |Typically, the administering agency will be a department, although in |(Health Practitioners (Disciplinary Proceedings) |

| |rare cases it may be a statutory body. |Act 1999) |

|Statutory body |A statutory body is a separate legal entity created under enabling |Hospital and Health Services (Hospital and Health |

|(provides flexible and |legislation to provide flexibility and independence, and to control its|Boards Act 2011) |

|independent oversight and |own funds. |Hospital Foundations (Hospitals Foundations Act |

|control funds) |It is able to act as a trading body. The FA Act and SBFA Act apply. |1982) |

| | |Office of the Health Quality and Complaints |

| | |Commission (Health Quality and Complaints |

| | |Commission Act 2006) |

| | |Council of the Queensland Institute of Medical |

| | |Research (Queensland Institute of Medical Research|

| | |Act 1945) |

| | |Queensland Mental Health Commission (Queensland |

| | |Mental Health Commission Act 2013) |

-----------------------

[1] This column identifies which statutory agency/ies the requirement relates to. When creating your own document this column could be used to identify the officer / staff member accountable for compliance with this requirement, e.g. Chief Executive Officer / Chief Finance Officer / all staff.

[2] Note: Under s77(2) ‘Chief finance officer’ of the FAA each departmental CFO must produce to the accountable officer, for each financial year, a statement about whether the financial internal controls are operating efficiently, effectively and economically. This statutory requirement does not apply to statutory bodies, however, bodies should have a process in place to check and test financial internal controls.

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