Government policy requirements
Audit and Risk Management Committee
DoT's Audit and Risk Management Committee (ARMC) plays a key role in fulfilling the department's corporate governance and monitoring responsibilities in relation to reporting, internal control structure, risk management systems, external audit and internal audit functions.
The ARMC is made up of the following members:
- Director General, Transport (Chair).
- Managing Director, Policy Planning and Investment.
- Managing Director, Transport Services.
- Director, Office of the Director General (ODG).
- Executive Director, Finance and Commercial Services, Main Roads (Transport portfolio representative).
The Committee contains two ex-officio members, the Executive Director, Investment and Finance Coordination (Chief Finance Officer) and the Manager, Governance Review and Audit, ODG. A representative from the Office of the Auditor General attends as an independent observer.
Ernst & Young representatives attend as the contracted internal auditors.
The Audit and Risk Management Committee met four times in 2016-17.
DoT's internal audits are conducted by external provider Ernst &Young in accordance with the Financial Management Act 2006 and Institute of Internal Auditors International Standards for the Professional Practice of Internal Auditing.
Internal audits were conducted on the following in 2016-17:
- Freight Industry Grant Subsidy.
- Wyndham Port Financial Management.
- Transport's Executive and Licensing Information Systems (TRELIS) Service Oriented Architecture Current State Assessment.
- Transport Modelling.
- Physical Security/Social Engineering.
- Maritime Environmental Emergency Response.
- Efficiency and Effectiveness of Driver and Vehicle Services (DVS) Regional Auditing Processes.
- DVS Budgeting and Forecasting Process.
- Document and Records Management.
- Congestion Management.
- Coastal Infrastructure Business Unit Property and Lease Management.
- Authorised Inspection Stations and Authorised Vehicle Examiners.
Recommendations from the internal audits are managed and monitored through DoT's Audit Recommendation Management System. The implementation status of recommendations is reported to the ARMC on a quarterly basis.
Image: Photo of train tracks taken by DoT's Amelia O'Sullivan. The photo was a finalist in the DG Portfolio Visual Art competition.
DoT has a comprehensive risk management process that meets the requirements of Treasurer's Instruction 825, the Public Sector Commissioner's Circular: 2015-03 Risk Management and Business Continuity Planning and is aligned to the International Standard AS/NZS ISO 31000:2009 Risk Management Principles and Guidelines.
DoT's structured risk management approach is integrated into planning, management and operational processes. It assists DoT to achieve its desired outcomes by providing a transparent process that identifies what is essential to success and demonstrates the decision-making process regarding the acceptance of risks.
The Audit Recommendation Management System has key responsibility for:
- Establishing an appropriate culture within DoT's overall control environment.
- Providing management oversight for risk management across DoT.
DoT's fraud and corruption risk management process is incorporated within its Risk Management Framework. DoT's Fraud and Corruption Control Plan sets out the relevant policies and obligations for all employees with respect to preventing, detecting and responding to incidents of fraud and corruption.
DoT is committed to achieving substantive equality in service delivery and employment opportunities for the diverse Western Australian community.
DoT's Substantive Equality Framework Implementation Plan 2015-18 aims to ensure this by shaping the delivery of all DoT services to improve access and outcomes for people with different needs.
The following was achieved in 2016-17 to support substantive equality:
- DoT introduced a Western Australian photo card concession scheme to provide eligible concession card holders a 50 per cent reduction or 100 per cent exemption towards photo card fees. In introducing and aligning the new scheme to the existing driver's licence concession scheme, DoT is ensuring equitable financial assistance is available to members of the community who do not hold a driver's licence but still require proof of identity.
- DoT updated its Access and Inclusion Policy and Guidelines to reflect the Equal Opportunity Commission's (EOC) requirement to assess the impact of all new or revised policies and initiatives relating to service delivery in the initial planning stages or when undergoing a revision to ensure non-discrimination.
- DoT continued to engage with other government agencies and Culturally and Linguistically Diverse (CaLD) communities to develop strategies to improve service delivery approaches through:
- The CaLD Driver Licensing Reference Group.
- The Western Australian CaLD Across Government Network.
- The Office of Multicultural Interests language services workshop.
- EOC Substantive Equality forums.
- DoT continued to partner with North Metropolitan TAFE to host work experience students enrolled in the Settlement Language Pathways to Employment and Training (SLPET) course. The SLPET course is aimed at preparing students from the Adult Migrant English Program to successfully integrate into the Australian workplace. It not only assists students to overcome barriers to employment by providing them with local experience but gives DoT employees the opportunity to learn from working with people from CaLD communities.
- All DoT employees were encouraged to participate in events that raise awareness for and celebrate diversity including International Women's Day, Harmony Week, National Reconciliation Week, NAIDOC Week, World Day of Cultural Diversity for Dialogue and Development, Disability Awareness Week and Human Rights Day.
DoT will continue to implement strategies to improve access to services, facilities and information for the diverse Western Australian community in 2017-18 and beyond.