Appendices

Staffing Overview

Staffing Information

The following table presents the number of Treasury staff, by category and gender, as at 30 June 1998. Staff paid by other agencies are not included. All staff are employed under the Public Service Act 1922.

Table 12: Operative and Paid Inoperative Staff by Classification and Gender (as at 30 June 1998)

 

A description of each acronym used in the above table can be found in the Acronyms and Abbreviations on page 215. Details for permanent staff refer to substantive classifications and do not recognise those staff acting at a higher classification. Paid inoperative staff are those who are absent on approved leave for more than twelve weeks who are not shown separately. The table includes no entry for Graduate Administrative Assistants because in 1997-98 Treasury opted to recruit its new-entrant graduates at the level of Research Officer Grade 1.

Table 13: Staff Located at Overseas Posts

Note: Locally engaged staff have not been included in Tables.

Table 14: Staff Located at Interstate Posts

Note: Both ASO 4 Office Manager positions are filled by staff permanently located in that office. The other interstate positions are filled by Canberra-based staff on temporary transfer.

Senior Management Changes

A number of changes to the Senior Executive Service (SES) occurred during the financial year. The following tables provide numbers of commencements in, and cessations from, the SES ranks in Treasury. They do not reflect two internal promotions from Band 1 to Band 2.

Table 15: SES Commencements

 

Table 16: SES Cessations

Senior Staff Changes

Further information on the above changes and details of some other movements within Treasury are outlined below.

Three of the Treasury Divisions underwent significant change during 1997-98.

SPD reduced from three to two branches in December 1997.

The TRG, initially a discrete unit co- located with TPD, was merged with the Division in May 1998 to form the TPG. Ken Henry assumed the position of General Manager. TPG senior staff included David Tune on secondment from Department of Social Security and Paul McCullough from the ATO.

In October 1997, the International Economic Division (IED) and the Investment and Debt Division were merged to form International and Investment Division (IID). The merger was undertaken primarily to address the difficulties involved in managing a Division when SES officers are required to be overseas for long periods, as was often the case in the former IED. The four Branches within the Division remained essentially the same. Reflecting the continuing emphasis on international discussions and negotiations, Neil Hyden assumed the role of First Assistant Secretary (International). Tony Hinton took up the position of Division Head, before being appointed as Ambassador to the OECD in Paris, commencing in May 1998. On Mr Hinton’s departure, Richard Murray (who had been acting as First Assistant Secretary, TPD) assumed the role of acting First Assistant Secretary, IID.

David Borthwick (Deputy Secretary) transferred to the Department of Health and Family Services from 18 April 1998.

Alan Preston (Deputy Secretary), who had been on extended leave of absence, returned to the Treasury in March 1998. He joined the TRG as a senior consultant.

In September 1997, Brenda Berkeley was promoted as Assistant Secretary, Securities Markets Branch, BLD.

In December 1997, three other officers were promoted to Assistant Secretary (Senior Executive Band 1) level:

• • Michael Willcock to Corporate Finance and Acquisitions Branch, BLD;
  • Paul Tilley to ECD - Mr Tilley subsequently transferred to Banking and Finance Branch, Financial Institutions Division in February 1998; and
  • Peta Furnell to FID.

At the same time, Jim Hagan (previously with the New Zealand Treasury) was appointed as Assistant Secretary, Market Structure Branch, SPD.

Peter Tormey, Assistant Secretary, Foreign Investment Review Branch, retired from the Australian Public Service in January 1998.

Ken Waller returned from his posting as Minister-Counsellor in Beijing in January 1998; he subsequently resigned from the Australian Public Service.

Mr Waller’s replacement in Beijing was Mick Shadwick.

Lynne Curran, Assistant Secretary, Commonwealth-State Tax Branch, commenced long-term leave of absence as from 1 July 1998.

Gary Johnston returned from his posting as Minister-Counsellor (Economic) in Washington and took up the position of Assistant Secretary, International Economic Issues Branch in September 1997 before replacing Terry O’Brien as Assistant Secretary, International Finance Branch, IID.

Mr Johnston’s replacement in Washington was Nigel Ray.

Terry O’Brien returned from his posting as Minister-Counsellor (Economic) at the OECD in Paris and took up the position of Assistant Secretary, International Finance Branch in February 1998, subsequently transferring to Assistant Secretary, International Special Projects.

Mr O’Brien’s replacement in Paris was David Parker.

Martin Parkinson was promoted as Senior Executive, Band 2 in July 1997. He subsequently took leave of absence to take up an appointment with the IMF in Washington.

Barry Gray transferred within ECD as Assistant Secretary, Economic Conditions Branch in July 1997; Dr Gray subsequently transferred as Assistant Secretary, International Economic Issues Branch, IID in June 1998.

Graham Matthews transferred as Senior Advisor, ECD in September 1997 and subsequently as Assistant Secretary, Economic Conditions Branch in June 1998.

Phil Gallagher was promoted as Assistant Secretary, Retirement Income Modelling in November 1997.

John Jepsen was promoted as First Assistant Secretary, FPD in July 1997.

Terry Lowndes transferred as Assistant Secretary, Business Taxation Provisions Branch, TPG in September 1997.

Ian Robinson returned from a period of secondment as Controller of the Royal Australian Mint in October 1997. He took up the position of Assistant Secretary, State Finances Branch, FPD.

Stephen Yen, Assistant Secretary, Corporate Finance and Acquisitions Branch, took up a long-term secondment with the Australian Securities Commission in December 1997.

Janine Murphy transferred as Assistant Secretary, Foreign Investment Review Branch, IID in February 1998.

Ewen Waterman returned from an appointment as Executive Director at the International Monetary Fund in June 1997. He subsequently took long-term leave of absence.

In November 1997, responsibility for the administration of the Development Allowance Act 1992 was transferred to the ATO. Accordingly, the staff of the DAA, including the Executive Director, Brendan Cox, were also transferred.

The occupant of the statutory office of DAA, Mr George Brouwer, retired from the office with effect from 3 November 1997.

Performance Based Pay

In 1996-97, as provided for in the Continuous Improvement in the Australian Public Service: Enterprise Agreement 1995-96 (the APS Agreement), Senior Officers voted to not continue with a performance pay scheme. The Treasury Certified Agreement 1998 allows for the issue of performance based pay for non-SES staff to be reconsidered, as part of the undertaking to examine performance management arrangements.

Senior Executive Service

The increases in salary rates under the terms of the Treasury Certified Agreement 1998 (the Treasury Agreement) were not extended to members of the SES. However, SES staff were granted a flat increase of $2,070 per annum, in lieu of previous entitlements for telephone expenses and partner-accompanied domestic travel. In addition, SES salary bands were removed, thus allowing for greater flexibility in determining SES salary levels.

In light of the impending changes to salary arrangements resulting from the Treasury Agreement, it was decided that no payment of performance based pay would be made to SES staff for the 1996-97 appraisal cycle, but that funds which might otherwise have been allocated to the payment of performance based pay could be used in determining salary rates under Australian Workplace Agreements.

The Secretary agreed that one SES officer, who had completed a formal appraisal on separation from the Treasury, should be awarded some performance based pay on the basis of the officer’s rating. In order to preserve confidentiality, the details cannot be published.

Social Justice and Equity and Equal Employment Opportunity

Social Justice and Equity

Treasury’s mission is to improve the wellbeing of the Australian people, taking into account not only material wealth but also social, cultural and environmental values. Treasury’s primary role is to advise the Treasurer and other Ministers, and in fulfilling that function it takes into account equity considerations over the range of economic issues.

Within Treasury, social justice and equity objectives have been addressed through the implementation of a plan for equal employment opportunity. A workplace diversity program is being developed for implementation in 1998-99.

Equal Employment Opportunity

The aim of Treasury’s Equal Employment Opportunity (EEO) program is to increase the awareness and acceptance of EEO principles and avoid discrimination against women and people in designated groups in relation to employment matters, including entry to the Department, career progression including access to training and development, and other conditions of service such as leave, allowances, occupational health and safety, accommodation and access to information.

A Senior Executive officer responsible for EEO oversees the program and liaises with the Executive Board on EEO issues. An EEO coordinator at senior officer level implements, monitors and reviews the EEO program, develops advice and reports to the Departmental Services Committee on the program.

The Department has a network of officers who provide advice to staff who may have concerns about workplace harassment. The names of these contact officers are regularly notified in the Treasury Staff Bulletin and the Department’s telephone directory. All contact officers are fully trained and refresher courses are provided periodically. New appointments were made during the year as some contact officers left the Department or withdrew from the network.

A Carer’s Information and Referral Service has been established in the Treasury Staff Bulletin. This service, advertised through the Treasury Staff Bulletin, advises officers of the facilities available in the wider community for those with carer’s responsibilities.

As part of the recognition of the need to provide sufficient support and flexibility at the workplace for employees to balance work and other responsibilities, Treasury’s Certified Agreement provides for the establishment of a suitably equipped Carer’s Room within the Treasury Building.

The Department’s staff selection guidelines stipulate that where there are women applicants for vacancies, up to and including ASO 6 level, selection advisory committees must include at least one woman member, and for higher level positions committees include at least one woman whenever possible. Recruitment panels for the selection of graduates comprise male and female senior staff.

All staff in Treasury are encouraged to take advantage of training opportunities, through both internal and external courses. In 1997-98 the total expenditure on formal training was $459,000 - corresponding to participation by 542 staff members. The participation rate for women in these programs is consistent with the proportion of women in the Department.

Treasury participates in DEETYA’s Indigenous Cadetship Program. One cadetship was awarded in 1998. The cadet will complete her studies in economics in 2000.

 

Table 17: Permanent Staff by EEO Target Group
(as at 30 June 1998)

Note: Staff identification by category is made on a voluntary basis. Staff may be included in more than one category in the above table.

 

Table 18: EEO in Appointments to Boards (or equivalent) of Statutory and Non-Statutory Bodies (as at 30 June 1998)(a)

(a) In this table, the only EEO target group notified was women.

Industrial Democracy

In 1997-98, Treasury’s staff consultation was dominated by the processes for the development of its Certified Agreement under the Workplace Relations Act 1996. A specific-purpose Enterprise Bargaining Committee (EBC) was established to consult with staff at all levels and to negotiate with management on the conditions to be contained in the Certified Agreement. Members of the EBC were nominated and elected by staff. By a vote of staff members, the EBC included two members representing the Community and Public Sector Union (CPSU) in addition to Treasury officers.

The negotiated draft Certified Agreement was agreed to in a vote by all staff and became effective on 7 April 1998. Staff also voted for the establishment of a Workplace Relations Committee (WRC) with CPSU representation. The role of the WRC, the members of which have now been elected, is to facilitate a structured process for consultation with staff on the operations of the current Certified Agreement, the development of policies as required by this Agreement and the preparation of the next Agreement. Treasury continued to make full use of its established consultation forums and mechanisms including electronic mail, the Treasury Staff Bulletin and the electronic Treasury Information Management System. The Executive Board continued its twice-yearly Review of Management and Policy Issues in which staff are invited to participate and discuss with members of the Executive issues of this nature. The Administrative Service Officer Consultative Committee (ASOCC) continued to operate and provided valuable input on a number of issues. Members of ASOCC also attended meetings of the Departmental Services Committee and the Information Resources Committee and reported back to ASOCC on any matters of relevance. During the year two elections were held to fill casual vacancies on the Committee.

There was continued close consultation with the CPSU on specific staffing issues such as potentially excess officers and revised personnel policies.

The draft of Treasury’s Industrial Democracy Plan, developed in consultation with the CPSU, was held in abeyance pending developments in relation to the Government’s Public Service Bill.

Occupational Health and Safety

The legislative basis of occupational health and safety (OH&S) in the Department is provided by the Occupational Health and Safety (Commonwealth Employment) Act 1991, the Safety, Rehabilitation and Compensation Act 1988 and the Fitness for Continued Duty Guidelines.

The Treasury OH&S Policy, and the Agreement under which the policy is implemented, were established in 1994. An OH&S Committee deals with OH&S matters in the workplace and an OH&S officer assists in the administration of the Agreement. The OH&S Committee, which meets quarterly, comprises representatives from Divisions, Directorates and the CPSU. Matters dealt with by the Committee include accommodation issues, occupational health and safety policies and accident and incident reports. The Committee is also the reporting point for the Employee Assistance Program (EAP), a service for employees and their families provided by EASACT Pty Ltd on contract to Treasury. Details of accident reports, and statistics from the EAP about work-related issues are used to monitor occupational health and safety.

Consistent with the Agreement, Treasury has implemented a number of training programs and seminars to increase awareness of OH&S in the Department. There is a strong emphasis on prevention of injury or accident. In 1998, training on OH&S policies and standards was provided to all supervisors and office managers. A training course on manual handling was arranged for corporate services officers who shift equipment and furniture.

The Staff Bulletin and the electronic Treasury Information Management System are used to inform staff about OH&S issues. Topics covered regularly include accident and incident reporting requirements, the first aid policy, a list of first aid officers, after hours emergency procedures and the availability of eye testing for people performing screen based work.

An investigation of Treasury by Comcare was undertaken in September 1997 to assess Treasury’s compliance with the Occupational Health and Safety (Commonwealth Employment) Act 1991. Treasury’s compliance was assessed as satisfactory. Recommendations that were made included:

• • providing all managers and supervisors with information, instruction and training on their own and their employer’s responsibilities under the Act;
  • formalising the role and functions of the Divisional Administrative Support Units in the management of health and safety issues; and
  • identifying the appropriate health and safety standards to be used to assess plant prior to purchase for compliance with appropriate National Standards Regulations and Approved Codes of Practice.

All recommendations are being implemented.

Accidents and incidents reported in the workplace are monitored and action taken (such as investigation of the circumstances likely to have contributed to the accident) where necessary. In Treasury, most accidents involve sporting injuries and car accidents to and from work. Other work-related events involved accidents on stairs or stress-related injury. In 1997-98 Treasury received 43 accident/incident reports, of which 10 accidents resulted in compensation claims and none were notifiable under section 68 of the Occupational Health and Safety Act. This compares with 59 accident/incident reports and 23 accidents resulting in compensation claims in 1996-97. During 1997-98 there were no notices given to Treasury under sections 30, 46 or 47 of the Act and no directions given under section 45.

Treasury maintained its record of efficient and effective OH&S case management. At present one officer is on long-term compensation leave. There were two new compensation cases which required the development of a case management plan in consultation with rehabilitation specialists: both officers are currently rehabilitated in the workplace.

There is strong staff support for the annual Health Week program, which provides health monitoring and lifestyle counselling and aims to assist employees to increase their well-being. In 1997, 105 employees participated in Health Week activities and received individual advice on health issues. Treasury reinforces this approach through provision of workplace health assessments and individual professional advice to employees on healthy and safe working practices.

The EAP is available to Treasury officers for confidential counselling on both work-related and non work-related matters. The service is designed to provide professional counselling and a consultative advice service to all staff and their families. The EAP also provides a consultative resource for staff management issues including advice on people management and how to approach sensitive matters.

Internal and External Scrutiny

Fraud against the Treasury

One case of fraud was detected in the Treasury during 1997-98, when a sum of $4,279.55 was stolen from a cash safe. Investigations (over a two-week period) coordinated by the Agency Security Adviser and undertaken by the Australian Federal Police have been inconclusive. No moneys have been recovered. Steps have been taken to reduce the need for holding cash: in particular, travel allowance is no longer paid in cash.

Treasury has a fraud preventive awareness program, and a new Fraud Control Plan for 1998-2000 is being developed, with the assistance of outside consultants.

Security Issues

Following a security breach at an international conference in which sensitive material was obtained by the media, an external review resulted in the development of clearer and more comprehensive security guidelines and a program of training and other measures to ensure greater awareness of security issues and compliance with appropriate procedures.

Audit

Treasury has an Audit Committee to review internal and external audits relating to the Department and to oversee follow-up action taken in response to the findings of the audits. The Committee follows the recommended best practice guidelines promulgated by the Australian National Audit Office (ANAO), including participation by staff from the ANAO as observers at Audit Committee meetings.

Internal Audits

Nine internal audits were conducted in 1997-98, by auditors independent of Treasury.

Audit of Compliance with Privacy Principles in the Treasury

The audit found that the Treasury had in place all key controls and procedures. The auditors consulted the Privacy Commissioner and developed a test program directly from the privacy principles outlined in the Act. The test revealed minor deficiencies in administrative procedures. Recommendations by the auditors to address these deficiencies have been implemented.

Audit of Accountable Forms in the Treasury

The audit sought to establish the degree of compliance with controls over the security of accountable forms held by the Treasury. The findings were that in general, an effective control of accountable forms was in place and it met the requirements of the Chief Executive’s Instructions. There were no suggestions of impropriety. Recommendations for some improvements in procedures, including the keeping of better registers for Cabcharge vouchers issued, have been implemented.

Review of Contract Management in the Property Services Directorate

The audit found that contract management processes were performed in accordance with the Chief Executive’s Instructions and the Commonwealth Procurement Guidelines. The audit identified scope for improvement in procedures for the date stamping of tenders, and for the formal specification of tender conditions. These recommendations have been acted upon and revised procedures introduced.

Review of Motor Fleet Management

The audit found that there were effective key controls and procedures in place and that the fleet management processes were performed in accordance with the Chief Executive’s Instructions, the Department of Workplace Relations and Small Business’ guidelines, DASFLEET Operational guidelines and procedures manuals produced by the Department. There were no significant issues identified.

Client Satisfaction Survey - Ministerial Offices

The audit addressed the level of service provided by Property Services Directorate to the Treasury Ministerial Offices and the level of client satisfaction with the services. Most of the responses to a survey of the office managers rated the quality and timeliness of service provided as highly suitable or excellent.

Post-Implementation Review of System for Ministerial Answering Routing and Tracking (SMART)

The review, which has commenced but will not be finalised until 1998-99, is to assess the functionality of the SMART system, its user interface, user documentation and training program. It will also examine the system’s data integrity and audit trail controls.

Review of the Financial Management Information System (FMIS) Evaluation Project

The review was conducted to assess the adequacy of the evaluation and to ensure that probity considerations were met. It was found that there were no indications of any impropriety by staff associated with the project. Findings on inadequacies in the evaluation methodology, and in management of the project, are being followed up to avoid similar problems in the future.

Post-Implementation Review of Foreign Investment System

The review was a post-implementation assessment of the Foreign Investment System (FIS), developed by Treasury for the Foreign Investment Review Branch to assist with the processing of foreign investment proposals. The review covered access control, administration, support and operation and the extent to which the system met its objectives. The review found that FIS was fully satisfying these requirements and achieving a high level of user satisfaction as a result. The implementation of FIS was a key to achieving significant productivity improvements by the Foreign Investment Review Branch. The review made recommendations on measures to ensure Y2K compliance and on development of contingency plans capable of being implemented in a timely manner in the event of a systems failure. The recommendations have been implemented in full.

Review of the Aurion Pay Data Conversion System

The audit was scheduled for the end of the financial year, to check the efficiency and compliance of the new Aurion Pay Data Conversion System, which replaces the Department of Finance and Administration’s pay system. A number of recommendations were made to ensure the security and reliability of the system. All of the recommendations have been accepted.

Reports by the ANAO

The following reports of relevance to Treasury were released by the ANAO in 1997-98.

Audit Report No 2: (Performance Audit) Government Business Enterprise Monitoring Practices

The report found that there have been improvements in recent years in the GBE monitoring arrangements in relation to the availability of performance information, the identification of risks and GBE reporting mechanisms. However, the report made three recommendations to strengthen government monitoring of GBEs, principally through improvements in their corporate plans. Treasury supported the recommendation with qualifications.

Audit Report No 22: Audits of the Financial Statements of Commonwealth Entities for 1996-97

The report did not qualify Treasury’s financial statements but noted that monthly reconciliations between Treasury’s Financial Management and Personnel System (FINEST) and the Department of Finance and Administration’s ledger had not been timely. Treasury has taken action to address this problem.

Audit Report No 47: (Performance Audit) Management of Commonwealth Guarantees, Indemnities and Letters of Comfort

The Report made six recommendations which dealt in the main with the management and control of the documents, and the oversight and control of the commitments against the Commonwealth. The Treasury supported the recommendations.

Comments by the Ombudsman, Decisions by the Courts and Administrative Tribunals

Ombudsman

The Ombudsman investigated one complaint made concerning Treasury. The complaint related to the effect on Cosco Holdings Pty Ltd of Treasury’s administration of the Transitional Assistance Payments Scheme and its action in relation to a FOI request on behalf of Cosco Holdings Pty Ltd (see also ‘Administrative Appeals Tribunal’ below.

The Ombudsman concluded that there were no undue delays in payments nor any improper discrimination. Having found that there was no case for defective administration, the Ombudsman decided not to investigate the matter further.

Courts

Litigation relating to a foreign investment case is referred to on page 68, Subprogram 1.7.

Administrative Appeals Tribunal

There were two matters relating to Administrative Appeals Tribunal (AAT) review of Treasury decisions refusing access to documents under FOI legislation during 1997-98.

On 27 February 1998 the AAT handed down its decision in the matter of Cosco Holdings Pty Ltd (the applicant) and the Department of the Treasury. The applicant had sought review of a Treasury decision refusing access to documents relating to the Transitional Assistance Payments Scheme.

The Treasury had allowed the applicant to access 450 documents but denied access to 400 other documents on various grounds including that access would affect Commonwealth/State relations and that the documents were subject to legal professional privilege. The AAT varied the Department’s decision and released five documents and part of a sixth document.

Only one application was made to the AAT for review of FOI decisions made by the Department during 1997-98, namely in the matter of the Australian Conservation Foundation (the applicant) and the Department of the Treasury. The applicant seeks review of the Department’s decision to refuse access to documents relating to the Multilateral Agreement on Investment on the grounds that the work involved in processing this request would substantially and unreasonably divert the resources of the Department from its other functions. A preliminary conference was held on 11 August 1998, and another is scheduled for 21 October 1998.

Freedom of Information

As well as Freedom of Information (FOI) requests relating to the Department’s own activities, Treasury is responsible for handling FOI matters in respect of the Royal Australian Mint, the Foreign Investment Review Board and the Joint Economic Forecasting Group.

Functional Statement

Section 8 of the Freedom of Information Act 1982 requires each agency to publish detailed information about:

• • the way it is organised and its decision making powers;

• • arrangements for public involvement in the work of the agency;

• • types of documents held by the agency; and

• • how the public can obtain access to these documents.

The following information addresses the formal requirements of section 8 of the Freedom of Information Act 1982.

Organisation of Treasury

Details of Treasury’s organisational and top management structure are set out in Chart 3 on page 10 of this report. Treasury’s functions are described under the subprogram entries.

Treasury Delegations

The Treasurer has delegated powers under a number of Acts of Parliament and Agreements to officials. These delegations stand in force until renewed at an appropriate time. Delegated responsibilities to Treasury officials are listed below.

• • The governing legislation of some Commonwealth statutory authorities provides the Treasurer with the discretionary power to guarantee their borrowings, and in some cases, to delegate his guarantee powers to officers of the Treasury. At present, the Treasurer has delegated his powers to guarantee the borrowings of two Commonwealth statutory authorities to the First Assistant Secretary, Fiscal Policy Division and to the Assistant Secretary, State Finances Branch, Fiscal Policy Division.
  • Under section 20 of the States Grants (General Purposes) Act 1994, the Treasurer has delegated the power to make payments of general revenue assistance and revenue replacement payments to the States to the First Assistant Secretary, Fiscal Policy Division and the Assistant Secretary, State Finances Branch.
  • The Treasurer has delegated certain powers to the First Assistant Secretary, Financial Institutions Division, the Controller, Royal Australian Mint, and the Senior Manager, Currency Operations, Reserve Bank of Australia, pursuant to the definition of ‘an authorised person’ in subsection 3(1) of the Crime (Currency) Act 1981.
  • The authority to approve a range of essentially administrative matters provided for under the Bullion Coin Agreements between the Commonwealth and Goldcorp Australia relating to gold, platinum and silver has been delegated to the First Assistant Secretary, Financial Institutions Division.
  • The Treasurer has authorised the First Assistant Secretary, International and Investment Division and the Assistant Secretary, Foreign Investment Review Branch (or in their absence, the Assistant Secretary, Debt Management Branch of the International and Investment Division) to act on the Treasurer’s behalf to approve and conditionally approve proposals submitted to the Government under the Foreign Acquisitions and Takeovers Act 1975 and under foreign investment policy that fall within specified categories.
  • The Treasurer has delegated certain powers regarding debt issuance under the Commonwealth Inscribed Stock Act 1911 to the First Assistant Secretary, International and Investment Division.
  • The Treasurer has delegated certain powers under the Commonwealth Inscribed Stock Act 1911 to the Head (Domestic Markets Department), the Chief Manager (Domestic Markets Department), the Registrar (Sydney), the Senior Manager (Customer Services Department, Sydney), and the Manager (National Support Group, Sydney) of the Reserve Bank of Australia.
  • The Treasurer has delegated certain powers under the Commonwealth Inscribed Stock Regulations to the First Assistant Secretary, International and Investment Division, Department of the Treasury, and to the Assistant Governor (Business Services), Reserve Bank of Australia.
  • The Treasurer has delegated certain powers under the Loans Securities Act 1919 to the First Assistant Secretary, International and Investment Division, the Assistant Secretary, Debt Management Branch and to the Director and Deputy Director, Debt Policy Branch.
  • The Treasurer has delegated certain powers under the Loan Consolidation and Investment Reserve Act 1955 to the First Assistant Secretary, International and Investment Division.
  • The Treasurer has delegated to Treasury the authority to vote on routine matters arising from the Treasurer’s Governorship of the International Monetary Fund, the World Bank Group, the Asian Development Bank, and the European Bank for Reconstruction and Development.
  • The Treasurer holds certain delegated powers under the Constitution and the Financial Management and Accountability Act 1997 in relation to Departmental financial management. These powers are delegated to nominated Departmental officers.
  • The Parliamentary Secretary to the Treasurer, acting for the Treasurer, has delegated to the First Assistant Secretary, Business Law Division and the Assistant Secretary, Companies and Accounting Policy Branch, Business Law Division the Treasurer’s power under subsections 147(2) and 601DC(2) of the Corporations Law to consent to a name being available to a body corporate.
  • The Assistant Treasurer, on behalf of the Treasurer, has delegated to a Deputy Secretary of the Treasury the authorisation under section 35(1) of the Archives Act 1983 relating to arrangements for exemption of records from open access period.
  • The Minister for Finance and Administration has delegated to the Treasurer, the Secretary of the Treasury and the Deputy Secretaries of the Treasury the authorisation under section 56(2) of the Archives Act 1983 for approval of access to records not in open access period.

Arrangements for Outside Participation

Persons or organisations outside the Commonwealth administration may participate in the formulation of policy or in the administration of enactments and schemes for which the Department is responsible by making representations in writing to the Treasury portfolio Ministers, to the Secretary to the Treasury, or directly to agencies in the Treasury portfolio.

Categories of Documents Held by the Treasury

The following classes of documents are held by the Treasury.

Representations to the Treasurer

Treasury receives Ministerial correspondence covering a number of aspects of Government economic policy and administration.

Working Files

Treasury holds files dealing with policy and administration in all areas of economic activity in which the Government is involved. The documents on these files include correspondence, analysis and policy advice by Treasury officers, comments on Cabinet Submissions and drafts of these and other documents.

Documents on Internal Departmental Administration

Treasury holds a broad range of documents relating to the personal affairs of staff and to the organisation and operation of the Department. These documents include personal records, organisation and staffing records, financial and expenditure records, and internal operating documentation such as office procedures and instructions.

Program Documents

Treasury holds documents relating to grants that it provides to other levels of government and to certain organisations under the programs it administers.

Documents Open to Public Access Subject to a Fee or a Charge or Available Free of Charge Upon Request

A detailed listing of Treasury documents published during the year and available on request — publications, papers, plans and annual reports — is at Appendix J to this report. A wide range of publications is available on the Treasury Internet Web Site (http://www.treasury.gov.au), or from the Government Info Bookshops Shops in each capital city.

Access to Documents

Treasury distributes and makes available a wide range of information related to economic and financial issues, most notably in the context of the annual Budget and other Economic Statements.

Facilities for Access

If a member of the public requests a document and access is approved, Treasury will provide copies of documents after receiving the payment of any charges that apply. Alternatively, applicants may make arrangements to inspect documents at the Treasury, Parkes Place, Parkes ACT between 9.00 am and 5.00 pm, Monday to Friday.

FOI Applications and Initial Contact Points

Business Law Division coordinates requests under the Freedom of Information Act. Applicants seeking access under the FOI Act to documents in the possession of Treasury should apply in writing to:

The Secretary

Department of the Treasury

Parkes Place

PARKES ACT 2600

Attention: Freedom of Information Coordinator

Requests must be accompanied by an application fee of $30. Unless an application fee is received, or explicit waiver given, the request will not be processed. Telephone enquiries should be directed to the FOI Coordinator, telephone (02) 6263 3967 between 9.00 am and 5.00 pm Monday to Friday.

Officers of the Senior Executive Service in Treasury have been authorised under Section 23 of the FOI Act to make decisions granting or refusing requests for access to documents. In accordance with Section 54 of the FOI Act, an applicant may, within 30 days of receiving notification of a decision under the Act, apply to the Secretary to the Treasury, seeking an internal review of a decision to refuse a request. The application should be accompanied by a $40 application fee as provided for in the FOI Act. A Treasury officer who is at least one level above that of the initial decision-maker will conduct an independent review.

Freedom of Information Activity in 1997-98

In 1997-98 Treasury received twenty-six requests for access to documents under the Freedom of Information Act 1982, compared with twenty-two requests in 1996-97. Further details are set out in Table 19.

Table 19: Freedom of Information Statistics 1997-98

Description	Number
Requests received(a) On hand at 1/7/97 Received	8 26
Breakdown across Treasury(b) Treasurer Executive Business Law Division Financial Institutions Division Fiscal Policy Division International and Investment Division (including FIRB) Structural Policy Division Taxation Policy Group Directorates	2 0 1 2 1 13 3 15 1
Action on requests Access in full Access in part Access refused or no documents located Transferred in whole(c) Withdrawn Current as at 30/6/98	9 10 6 3 6 0
Internal review Applications Review by Administrative Appeals Tribunal(d) Outstanding at 1/7/97 New applications Withdrawn	4   1 1 0
Fees and Charges Total application fees collected Total charges notified Total charges collected(e) Total application fees and charges collected	$530 $4,291 $4,359 $4,889

(a) A request does not include an internal review or an appeal to the Administrative Appeals Tribunal (AAT).

(b) Requests processed by more than one Division are listed with each.

(c) Section 16 of the FOI Act provides that, as far as possible, the most appropriate agency will deal with an FOI request, regardless of which agency receives it.

(d) Details are provided in Appendix E on page 111.

(e) Total charges collected exceed total charges notified because the Department received payment for charges notified in the previous financial year.

Treasury’s External Representation

Membership of Committees, Boards and Other Bodies

Ted Evans, Secretary to the Treasury, is a member, by legislation, of the Board of the Reserve Bank of Australia.

Gary Potts, Deputy Secretary, is a member of the Australian Statistics Advisory Council.

Greg Smith, Acting Deputy Secretary (from April 1998), is a member of the Australian Payments System Council and also is Chair of the Advisory Board of the Royal Australian Mint.

Neil Hyden, First Assistant Secretary (International), is a member of the Working Party on Transparency and Accountability established by the special meeting of Treasurers/Finance Ministers and central bank governors from 22 economies that met in Washington on 16 April 1998.

John Jepsen, First Assistant Secretary, FPD, is Secretary of the Australian Loan Council.

Jim Murphy, First Assistant Secretary, BLD, is an observer on the Companies and Securities Advisory Committee.

Richard Murray, Acting First Assistant Secretary, IID, is Executive Member of the FIRB.

Veronique Ingram, Assistant Secretary, Companies and Accounting Policy Branch, is an observer on the Australian Accounting Standards Board.

Michael Willcock, Assistant Secretary, Corporate Finance and Acquisitions Branch, is an observer on the Companies and Securities Advisory Committee Legal Committee.

James Horne, Assistant Secretary, Labour Market Branch, is a member of the Labour Statistics Advisory Group.

Barry Gray, Assistant Secretary, International Economic Issues Branch, was a member of the Indicative Planning Council for the Housing Industry and the ABS Economic Statistics User Group before transferring to his present position.

Graham Matthews, Assistant Secretary, Economic Conditions Branch is a member of the ABS Economic Statistics User Group.

Mike Waslin, Director, International Capital Issues Section represents Australia on the APEC Investment Experts Group and is a member of the APEC Economic Committee.

Merylin Coombs, ECD, has been a member of the Tourism Forecasting Council Technical Committee and the User Consortium on Services Trade Statistics since January 1998.

Nicole Masters, SPD, has observer status at meetings of the Trade Practices Committee of the Law Council of Australia, and regularly attends meetings of the Australian Competition and Consumer Commission Consultative Committee.

Mark Kristofferson, FID, is a member of the Advisory Board of the Royal Australian Mint.

TPG is represented on the Commissioner of Taxation’s National Taxpayer Liaison Group, and its various subcommittees, which provide one significant avenue of exposure to taxpayers’ concerns about tax administration and policy.

Consultancies

Treasury’s policy and procedures on contracting services are contained in the Department’s Chief Executive’s Instructions and are based on the Commonwealth Procurement Guidelines issued by the Department of Finance and Administration. The most frequent reasons for Treasury to use consultants were the need for specialist skills or knowledge and the need for an independent review.

Fifty-three consultancies valued at $2,000 or more were contracted by Treasury during 1997-98 at a cost of $1,209,290. The corresponding figures for 1996-97 were 57 consultancies at a cost of $1,700,091.

Details for 1997-98 are as follows:

Table 20: Consultancies over $2,000 in 1997-98 by Subprogram

(a) Need for an independent review.

(b) Specialist skill or knowledge not available in-house.

(c) Specialist in-house skills unavailable in the time allowed.

Notes

(1) The Commonwealth paid $47,990 of the cost of this consultancy, with the remaining 50 per cent of the cost being shared by the States and Territories.

(2) A further $66,875 is payable under the current contract.

(3) This consultancy was raised in 1995-96.

(4) A further $27,900 is payable under the current contract.

Advertising and Market Research Expenditure

Most advertising for recruitment was arranged through TMP Worldwide Pty Ltd, or placed through the Commonwealth Government Gazette. A number of advertisements were placed directly with specialist publications targeting graduate recruitment. Total expenditure on advertising for staff recruitment was $81,714.01.

Advertising to advise the public of opportunities to provide submissions on tax reform to the Government Tax Consultative Task Force (chaired by Senator the Hon. Brian Gibson, with a membership of certain Senators and Members of Parliament) was arranged through TPM Worldwide Pty Ltd at a cost of $15,324.01, which was funded by the Taxation Task Force. Advertising to notify the public of a series of open seminars on the Corporate Law Economic Reform Program was arranged through TMP Worldwide Pty Ltd at a cost of $33,041.80.

Qualitative market research into community views regarding tax reform was undertaken through Worthington Di Marzio at a cost of $46,750.00. This research was funded through the community education and information program on the tax system.

Public Information

Speeches and Formal Presentations

Ted Evans, Secretary to the Treasury, addressed the World Bank and IMF Annual Meetings Seminar, 21 September 1997, when his topic was Should there be greater fiscal transparency? He also addressed the Centre for Corporate Public Affairs on 1998 Politics and Public Policy Review, 6 February 1998; The Sydney Institute on Asia, the IMF and Australia, 17 February 1998; The Australian Business Economists, The Budget and Beyond, 18 May 1998; and The Australian Retailers Association Managing Directors Forum , 30 May 1998.

Gary Potts, Deputy Secretary to the Treasury, addressed the Committee for Economic Development of Australia, ‘Nortel State of the Nation Annual Canberra Conference’, 24 June 1998.

Tony Hinton, First Assistant Secretary, IID presented Commonwealth Government’s 1997-98 Budget Financing Program and Debt Management Strategy to the Australian Financial Markets Association, 6 August 1997.

Michael Callaghan, First Assistant Secretary, ECD presented Australia’s Economic Outlook to the annual meeting of the Japanese Chamber of Commerce and Industry, 21 November 1997.

Jim Murphy, First Assistant Secretary, BLD, presented Understanding the elements of the reform process to a conference convened by ICM in Sydney, 9 September 1997; Reform of the Regulation of Corporations and Financial Services to the 1998 Australian Securities Commission Summer School, at the University of Melbourne, 27 February 1998; The New Corporations Regulatory Regime to a conference convened by the CLE Centre Pty Limited, in Sydney, 6 March 1998; Current Issues and Future Directions of the Corporate Law Economic Reform Program and its Impact on the Financial Services Advisory Industry to the Financial Planning Association of Australia Ltd, in Canberra, 24 March 1998; The Corporate Law Economic Reform Program to the Association of Financial Advisers, in Canberra, 27 March 1998 and to the Australian Institute of Company Directors, in Canberra, 19 May 1998.

Michael Willcock, Assistant Secretary, Corporate Finance and Acquisitions Branch, presented CLERP: Implementation and Implications for In-House Counsel to the 2^nd IIR Annual Corporate Counsel Conference, in Sydney, 18 February 1998.

Steve French, Assistant Secretary, Budget Policy Branch, Fiscal Policy Division, gave a presentation on Being Fiscally Responsible in Policy Development to the fifth annual Government Policy Conference in Sydney, 4-5 August 1997.

Brenda Berkeley, Assistant Secretary, Securities Markets Branch, BLD, presented Implications of the CLERP Reforms for the Derivatives Markets to a conference convened by ICM on Credit Derivatives, in Sydney, 25 March 1998.

Richard Wood, Assistant Secretary, TPG, presented Taxation of Financial Arrangements: The Trading Regime to the ‘Derivatives and Synthetic Equities’ Conference held in Sydney, 28-30 October 1997. He also presented Taxation of Financial Arrangements: Arbitrage Opportunities and Policy Design, Derivative Tax Reform: ATAX Seminar Papers, A Prospect Intelligence Report publication, October 1997.

Paul O’Mara, Assistant Secretary, Macroeconomic Policy & Analysis Branch, ECD made the Presidential Address on Some Issues Affecting the Macroeconomic Environment for the Agricultural and Resource Sectors: The Case of Fiscal Policy, to the 42^nd Annual Conference of Australian Agricultural and Resources Economics Society, University of New England, January 1998.

Phil Gallagher, Assistant Secretary, Retirement Income Modelling Unit, FID, addressed the delegates to the Joint OECD-ILO Workshop on Development and Reform of Pension Systems, Paris, 16 December 1997 on A Long Term View of Australian Retirement Incomes Policy. He addressed staff of ComSuper, Canberra, 26 March 1998, on A Big Picture View of Australian Retirement Incomes Policy, and gave a presentation to the Retirement Income Conference, Canberra, 23 June 1998 entitled Australian Retirement Incomes - Facts and Policies.

Peta Furnell, Assistant Secretary, Banking and Finance Branch, FID, addressed the Australian Friendly Societies Association Conference, 4 June 1998 on From AFIC to APRA: Friendly Societies and the Australian Prudential Regulation Authority.

Phil Gallagher, Assistant Secretary, Retirement Income Modelling Unit, FID and Michelle Calder, Superannuation Policy Branch, FID, addressed the Conference of the Association of Superannuation Funds of Australia, in Canberra, 31 October 1997 on Incentives and Obligations in the Australian Superannuation Policies.

Emma Armson, BLD, gave a presentation on Takeovers at a conference convened by IIR on corporate law reform for accountants, in Sydney, 21 April 19 98.

Phillip Lynch, BLD, presented Fundraising Reforms to a conference convened by IIR on corporate law reform for accountants, in Sydney, 21 April 1998.

Blair Comley, presented Value Added Taxes to the Business Coalition on Tax Reform, in Canberra, 8 April 1998.

Michael Clark-Lewis, presented Assessing Fiscal Policy in an Accrual Environment to the Accrual Budgeting Conference in Canberra, 18 September 1997.

Tony McDonald, presented a paper Australia’s Retirement Income Policy to the APEC Regional Forum on Pension Fund Reform, Cancun, Mexico, February 1998.

Andrew Johnson, presented a paper on Australian Government Foreign Debt Management to the World Bank/IBRD Sovereign Foreign Debt Management Forum in Washington DC, 15 October 1997.

Peter Downes, presented Recent Developments in the TRYM Model, to the ABS, TRYM Training Course 1998, April 1998.

Slavko Jovanoski, presented Running Counterfactuals in the TRYM Model at the ABS, TRYM Training Course 1998, April 1998.

Presentations to University Staff and Students

Jim Murphy, First Assistant Secretary, BLD, presented Electronic Commerce to the University of Melbourne’s Faculty of Economics and Commerce, 21 February 1998.

Bruce Taplin, TPG, and Emma Armson, BLD, gave a presentation to University of Canberra students, 27 May 1998.

Blair Comley, TPG, and Nina Davidson, ECD, presented Treasury’s Role in the Policy Environment at Melbourne, Monash and LaTrobe Universities.

Michael Carnahan, TPG, and Karen Ongley, ECD, gave a presentation about the Department and policy advising at the Universities of Sydney and New South Wales.

Brendan Morling and Karen Longmuir, TPG, gave a presentation about the Department and policy advising at Murdoch, Curtin and Edith Cowan Universities and the University of Western Australia.

Kirsten Depta and Matthew Crooke, SPD, presented a seminar on Treasury’s Role in Policy Making at the University of Queensland, 11 May 1998.

Kirsten Depta and Matthew Crooke, SPD, presented two seminars on National Competition Policy at Griffith University, 12 May 1998.

Andrew Johnson, IID, gave a presentation on Commonwealth Debt Management to the Banking and Finance Society of Canberra University, 7 May 1998.

Peter Downes, ECD, presented Macroeconomic Modelling in the Commonwealth Treasury - History and Some Applications, at the University of Queensland, April 1998.

Rosemary Lohmann, Records Administration Directorate, presented an overview of Records Management Practices in Treasury to students from the University of Canberra, 25 March 1998.

A number of officers gave presentations about the Department and policy advising to universities as part of the Department’s 1998 Treasury Graduate Recruitment Program.

Treasury Economic Roundup

Treasury publishes the Economic Roundup four times a year. Each issue contains an overview of international and domestic economic developments, articles drawing on research and activities in Treasury related to current economic issues, and a brief statistical appendix containing tables and charts on key economic data.

Articles published in the Economic Roundup over the past year were:

Winter 1997

World Economic Outlook;

The OECD Job Study;

Commonwealth Government’s 1997-98 Budget Financing program and Debt Management Strategy; and

Australia’s Experience with Indexed Bonds.

Spring 1997

1996-97: A review of Economic Developments;

Trends in Foreign Direct Investment Inflows;

Being Fiscally Responsible in Policy Development;

Australian Government Foreign Debt Management;

The Reform of Occupational Regulation in Australia;

Assessing Fiscal Policy in an Accrual Environment;

Liberalisation of Foreign Investment in the Australian Financial Sector;

Treasury Submission to the Inquiry into the Treatment of Census Forms; and

Treasury Submission to the National Competition Council Review of the Australian Postal Corporation Act.

Summer 1998

The Wholesale Sales Tax: Sixty-Eight Years On;

Interpreting Wage Measures;

The Business Cycle - Developments in the Economy’s Response to Disturbances;

Taxation of Financial Arrangements: The Trading Regime;

Australia’s Participation in Support Arrangements for East Asian Adjustment Programs; and

Australian Net Private Wealth.

Autumn 1998

Economic Outlook;

The Current Account Deficit: Structural Improvements;

European Economic and Monetary Union; and

Asia, the IMF and Australia.

Budget Papers

The full list of the 1998-99 Budget Papers is as follows:

Budget Speech 1998-99;

Budget Strategy and Outlook 1998-99 - Budget Paper No 1;

Budget Measures 1998-99 - Budget Paper No 2;

Federal Financial Relations 1998-99 - Budget Paper No 3;

The Commonwealth Public Account 1998-99 - Budget Paper No 4;

Budget Overview and Economic Outlook 1998-99;

Portfolio Budget Statements, 1998-99;

Mid-Year Economic and Fiscal Outlook, 1997-98;

Portfolio Budget Statements 1997-98 - Budget Related Paper No. 16;

Portfolio Additional Estimates, 1997; and

Final Budget Outcome, 1996-97.

Annual Publications

The Treasury Annual Report 1996-97.

Australia and the Asian Development Bank 1996-97: Annual Report to the Parliament.

Australia and the IMF 1996-97: Annual Report to the Parliament under the International Monetary Agreements Act 1947.

Australia and the World Bank 1996-97: Annual Report to the Parliament under the International Monetary Agreements Act 1947 and the International Bank for Reconstruction and Development (General Capital Increase) Act 1989.

Commonwealth Competitive Neutrality Annual Report 1996-97, Annual Report as required under the Competition Principles Agreement.

Commonwealth Legislation Review Annual Report 1996-97, Annual Report as required under the Competition Principles Agreement.

Do we have any of your money? Statement of unclaimed moneys under the Banking Act 1959 for the year ending December 1996.

National Fiscal Outlook: Report to the 1998 Premiers’ Conference.

Tax Expenditures Statement, December 1997.

Commonwealth Debt Management, 1996-97.

Other Publications

Report of a Working Party of the Ministerial Council for Corporations, Review of Requirements for the Registration and Regulation of Company Auditors, July 1997.

Corporations Law (ASX) Bill 1997, August 1997.

Corporate Law Economic Reform Program, Proposals for Reform: Paper No. 1, Accounting Standards, September 1997.

Corporate Law Economic Reform Program, Proposals for Reform: Paper No. 2, Fundraising, October 1997.

Corporate Law Economic Reform Program, Proposals for Reform: Paper No. 3, Directors’ Duties and Corporate Governance, October 1997.

The Corporations Agreement, October 1997.

Corporate Law Economic Reform Program, Proposals for Reform: Paper No. 4, Takeovers, November 1997.

Corporate La w Economic Reform Program, Proposals for Reform: Paper No. 5, Electronic Commerce, November 1997.

Corporate Law Economic Reform Program, Proposals for Reform: Paper No. 6, Financial Markets and Investment Products, December 1997.

Corporate Law Economic Reform Program, Policy Reforms, March 1998.

Corporate Law Economic Reform Program, Draft Legislative Provisions, April 1998.

Corporate Law Economic Reform Program, Commentary on Draft Provisions, April 1998.

Commonwealth Competitive Neutrality: Guidelines for Managers, March 1998.

Conference Papers

Bacon Bruce R, Work, Retirement and Dependency, People and Place, Vol. 5, No. 2, 1997, Centre for Population and Urban Research, Monash University, Melbourne, 1997.

Brown C, Retirement Income Modelling Unit, Financial Institutions Division: Preservation and the Effectiveness of Retirement Incomes Policy - Some Results of Individual Modelling, Fifth Colloquium of Superannuation Researchers, University of Melbourne, July 1997, Conference Paper 97/1.

Rothman G P, Retirement Income Modelling Unit, Financial Institutions Division: Aggregate Analyses of Policies for Accessing Superannuation Accumulations, Fifth Colloquium of Superannuation Researchers, University of Melbourne, July 1997, Conference Paper 97/2.

Gallagher P, Assistant Secretary, Retirement Income Modelling Unit, Financial Institutions Division: Assessing the National Saving Effects of the Government’s Superannuation Policies: Some Examples of the New RIMGROUP National Saving Methodology, Fifth Colloquium of Superannuation Researchers, University of Melbourne, July 1997, Conference Paper 97/3.

Douglas J, Thompson L and Downes P, Modelling the Exchange Rate and Commodity Prices in the TRYM Model, paper presented to 26^th Annual Conference of Economists in Hobart, September 1997.

Boyton, Adam International & Investment Division, presented a paper entitled, Liberalisation of Foreign Investment in the Australian Financial Sector to 26^th Annual Conference of Economists in Hobart, September 1997.

Jovanoski S, Stoney N and Downes P, Modelling the Dwelling Cycle in the Treasury Macroeconomic (TRYM) Model, paper presented to 26^th Annual Conference of Economists in Hobart, September 1997.

Downes P, The Treasury Model and the Business Cycle presentation to the Melbourne Institute of Applied Economic and Social Research Conference, Business Cycles: Policy and Analysis, Melbourne, September 1997.

Comley B, Structural Policy Division, Meeting the Challenges of Implementing Competitive Neutrality Policy, Meeting the Challenges of National Competition Policy, Millennium Hotel, Sydney, October 1997.

O’Mara P, Bartley S, Ferry N, Wright R, Calder M and Douglas J, Some Issues Affecting the Macroeconomic Environment for the Agricultural and Resource Sectors: The Case of Fiscal Policy, background paper to a Presidential Address to the 42^nd Annual Conference of Australian Agricultural and Resources Economics Society, University of New England, January 1998.

Downes P, The Treasury Macroeconomic (TRYM) Model - Forecasting and Policy Analysis, presentation at Workshop on Macroeconomic Forecasting, University of Technology, Sydney, February 1998.

Submissions

During 1997-98 Treasury made formal submissions to the following Parliamentary inquiries:

• • Senate Legal and Constitutional References Committee Legal Aid Inquiry, August 1997;

• • House of Representatives Standing Committee on Legal and Constitutional Affairs Inquiry into the Treatment of Name-identified Census Forms; and
  • The Parliament of the Commonwealth Australia’s Joint Standing Committee on Treaties’ inquiry into the matter known as the Multilateral Agreement on Investment.