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9. Financial Authorisations

9.1 Financial Authorisation 1: Approve Proposed Expenditure of Agency Funds (Program 1.2)

Financial Authorisation limits are inclusive of all taxes and charges (including GST) and are maximum limits applicable per purchasing decision in line with these AAls. You may only approve expenditure if there are sufficient uncommitted funds available in your allocated budget to cover the proposed expenditure.

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card $Holder^{7}$
9.1.1	Operational Expenditure	PGPA Act s15, s22, s52	$60 million	$30 million	$10 million	$5 million	$200,000	$50,000	to limit of the facility
9.1.2	Partners in the Community Program (grants or procurement arrangements) Limited to line managers with PITC responsibilities	PGPA Act s15, s22, s52	$60 million	$50 million	$40 million	nil	nil	nil	nil
9.1.3	Settlement of Claims and Legal Disputes In consultation with DCEO Governance, Risk and Legal and Chief Counsel/General Counsel as applicable	PGPA Act s16	$60 million	nil	nil	nil	nil	nil	nil
9.1.4	Discretionary financial assistance (including defective administration)	NDIS Act s118(1)(a), (h)	$100,000	nil	nil	nil	nil	nil	nil
9.1.5	External Data Request Research Agreements Limited to line managers within the Research and Evaluation Branch	PGPA Act s15	$60 million	$30 million	$10 million	$5 million	nil	nil	nil
9.1.6	Consultants	PGPA Act s15	$60 million	nil	nil	nil	nil	nil	nil

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List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card $Holder^{7}$
9.1.7	Domestic travel	PGPA Act s15, s52	$50,000	$20,000	$10,000	$10,000	$2,000	nil	nil
9.1.8	International travel (CEO trips to be approved by the Chair of the Board)	PGPA Act s15, s52	$50,000	nil	nil	nil	nil	nil	nil
9.1.9	Official Hospitality	PGPA Act s15	$100,000	$20,000	$2,000	$500	nil	nil	nil
9.1.10	Food and Beverage	PGPA Act s15	$100,000	$10,000	nil	nil	nil	nil	nil
9.1.11	Giving of gifts	PGPA Act s15	$5,000	nil	nil	nil	nil	nil	nil
9.1.12	Other grants	PGPA Act s15	$60 million	$30 million	$10 million	nil	nil	nil	nil
9.1.13	Sponsorship	PGPA Act s15	$100,000	$10,000	$1,000	$200	nil	nil	nil
9.1.14	Property (leases and capital works) Limited to line managers with property responsibilities	PGPA Act s15, s16, s23, s52	$60 million	$30 million	$10 million	$5 million	$2 million	$100,000	up to $10,000
9.1.15	Security expenditure Limited to line managers with Security responsibilities	PGPA Act s15, s22, s52	$60 million	$30 million	$10 million	$5 million	$200,000	$50,000	nil
9.1.16	ICT expenditure Limited to CEO, COO, and line managers within CIO Division with ICT responsibilities.	PGPA Act s15, s22, s52	$60 million	$30 million	$10 million	$5 million	$200,000	$50,000	nil
9.1.17	Assistance for Agency Employees pursuant to Appendix A	PGPA Act s15, s16	$5 million	$1 million	nil	nil	nil	nil	nil

[6] Any Financial Authorisations not specifically authorised in this attachment (e.g. in excess of the CEO’s authorisation) may be exercised by the Board. Any contractual variation that increases the value of the original contract to over $60m or the variation value is greater than $20m must be referred to the Board.

[7] Incl. Cabcharge card holders, eTag users & fuel card users.

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9.2 Financial Authorisation 2: Approve Proposed Expenditure of Scheme Funds (Program 1.1)

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card $Holder^{7}$
9.2.1	Expenditure of Program 1.1 funds (Scheme funds) for direct commissioning of supports for NDIS participants. Limited to line managers with direct commissioning responsibilities	NDIS Act s14(1), (2)	$60 million	$30 million	$10 million	$5 million	nil	nil	nil
9.2.2	Research and Evaluation projects	NDIS Act s118(1)(c), (e), (f)	$60 million	$30 million (COO only)	nil	nil	nil	nil	nil
9.2.3	Expenditure of funds to provide support and assistance	NDIS Act s6	$60 million	$30 million (COO only)	$10 million (CFO Only)	nil	nil	nil	nil
9.2.4	Expenditure of funds for coordination, strategic and referral services etc. to people with disability	NDIS Act s14	$60 million	$30 million (COO only)	$10 million (CFO Only)	nil	nil	nil	nil

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9.3 Financial Authorisation 3: Enter or Vary an Arrangement

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card $Holder^{7}$
9.3.1	Enter or vary an arrangement including a contract, agreement, grant, deed or understanding (commitment of Agency funds, up to the limits of the Financial Authorisation)	PGPA Act s15, s23	Yes	Yes	Yes	Yes	Yes	Yes	Yes - to limit of the facility (e.g., credit card transactional limit)
9.3.2	Execute contract on behalf of CEO (up to limits of financial authorisation of the CEO)	PGPA Act s15, s23	N/A	Yes (COO only)	No	No	No	No	No
9.3.3	Enter an arrangement including a contract, agreement, grant, deed or understanding (no commitment of Agency funds)	PGPA Act s15, s23	Yes	Yes	Yes	Yes	Yes	Yes	No

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9.4 Financial Authorisation 4: Manage a Debt

Waive an Agency debt, defer time for payment, agree to repayment plan or write-off (excluding Scheme debt, under NDIS Act provisions — refer to the NDIS Act and Scheme Debt Policy)

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	COO	CFO	Branch Manager Agency Budget and Financial Control
9.4.1	Agency Debt Waiver	PGPA Act s15, s16	$200,000	$150,000	$100,000	$50,000
9.4.2	Agency Debt Write-off	PGPA Act s15	$500,000	$350,000	$100,000	$50,000
9.4.3	Agency Debt repayment plan	PGPA Act s15	$500,000	$350,000	$100,000	$50,000

9.5 Financial Authorisation 5: Asset Revaluations

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	COO	CFO	Branch Manager Agency Budget and Financial Control
9.5.1	Revaluations Limited to Line Managers in CFO Division	PGPA Act	$60 million	$30 million	$10 million	$5 million

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9.6 Financial Authorisation 6: Disposal of Agency Assets

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	COO	CFO	Branch Managers Agency Budget and Financial Control, Corporate Information and Property Services, ICT, Security	EL2 Agency Budget and Financial Control, EL2 Property, EL2 ICT, EL2 Security
9.6.1	Disposal of Agency Assets Limitations/Categories of Assets (net book value)	PGPA Act s15, s16, s72	$60 million	$30 million	$10 million	$200,000	$50,000

9.7 Financial Authorisation 7: Agency Asset Write-offs

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	COO	CFO	Branch Manager Agency Budget and Financial Control	EL2 Agency Budget and Financial Control
9.7.1	Agency Asset Write-offs Limitations/Categories of Assets (net book value)	PGPA Act s15, s16, s72	$60 million	$30 million	$10 million	$200,000	$50,000

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9.8 Financial Authorisation 8: Investments

List Number	Description of Authorisation/Function	Source of power Legislation/Section	$CEO^{6}$	COO	CFO	Branch Manager Agency Budget and Financial Control	EL2 Responsible for Treasury Operations
9.8.1	Investments Individual investments as per 5.6	PGPA Act s59	Limit of balance	$2 billion	$1 billion	$500 million	Nil

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10. Appendix A: Assistance for Agency personnel involved in legal proceedings

10.1 Application

Appendix A concerns the handling of requests for assistance in relation to legal proceedings (including potential legal proceedings) as well as inquests, inquiries and subpoenas.

Appendix A applies to a request for assistance by a person who, at the time of the alleged event or occurrence, was an Agency personnel.

These instructions do not apply to disciplinary proceedings taken against Agency personnel, by the Agency.

Expenditure to assist Agency personnel in respect of activities Agency personnel undertake for the Agency is to be approved only to the extent that the person is not indemnified or insured by the Agency.

10.2 General Policy

The general policy underlying the provision of assistance to Agency personnel for legal proceedings is the prospect of some benefit to the Agency as a result of the protection of:

a. its financial interests (in particular, the avoidance or limitation of the Agency’s vicarious liability), or b. its general interests (in particular, its interest to act properly as an employer in supporting Agency personnel who have acted reasonably and responsibly in circumstances where the Commonwealth may not be vicariously liable for their actions).

10.3 Criteria for assistance

Expenditure should normally be approved to assist Agency personnel who are a defendant in civil or criminal proceedings if:

a. the proceedings arose out of an incident that relates to their employment with the Agency; and

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b. the Agency personnel acted reasonably and responsibly.

The criteria in the above paragraph do not preclude the provision of assistance to Agency personnel who have acted, or is alleged to have acted, negligently (i.e. failed to exercise the legal standard of ‘reasonable care’ owed in the circumstances). Rather, the criteria are intended to preclude the provision of assistance in circumstances where the Agency is likely to seek contribution or indemnity from the Agency personnel if the Agency were itself sued in relation to the same matter. A decision to seek contribution or indemnity will normally be appropriate only where the Agency personnel’s conduct involved serious or wilful misconduct or culpable negligence.

If it is not clear whether the Agency personnel has acted reasonably and responsibly, it may be appropriate to defer a decision on assistance until the conclusion of the proceedings, or to agree to fund the Agency personnel’s defence but to defer a decision on whether to fund any costs or damages payable to another party by the Agency personnel until after the facts are ascertained, for example, by a court.

However, expenditure is not to be approved to assist Agency personnel for proceedings arising out of a motor vehicle incident where the Agency personnel’s liability is insured or where the Agency considers that the Agency personnel’s liability should reasonably have been insured (in particular, where the Agency personnel has received an allowance that includes an insurance component).

10.4 Basis for approving indemnification of Agency personnel against costs or damages

The indemnification of Agency personnel against any costs or damages payable to another party by the Agency personnel (including as a result of agreeing to a reasonable settlement) in civil proceedings is only to be approved on condition that the Agency personnel has agreed that the Agency personnel’s defence will be controlled by the Agency and that the Agency personnel will provide all assistance required by the Agency in the conduct of the defence.

The indemnification of Agency personnel against costs incurred in criminal proceedings against the Agency personnel and any penalty payable by the Agency personnel as a result of those criminal proceedings is not to be conditional upon that Agency personnel agreeing that the Agency personnel’s defence will be controlled by the Agency. However, an indemnity may be expressed to be subject to the condition that it extends only to expenses to which the Agency gives approval.

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Indemnification may be refused if the Agency personnel has failed to notify the Agency of the proceedings within a reasonable time of becoming aware of them and the delay may prejudice the Agency’s position.

Payment of any amount by way of assistance may nevertheless be refused if assistance is not provided as required by paragraph 10.4 of this Appendix.

10.5 Level of assistance

The assistance may involve approval to pay:

a. the costs of an Agency personnel’s legal representation or related costs of the Agency personnel’s involvement in the proceedings (for example, to travel to attend the proceedings) b. any damages and legal costs awarded against the Agency personnel c. a reasonable amount payable by the Agency personnel in settlement of the proceedings, and d. a fine or penalty imposed on the Agency personnel.

Unless the approval expressly applies to an appeal or consideration of a possible appeal, a request for approval to give assistance is not to be taken as applying to an appeal or consideration of a possible appeal.

Where the approval given under paragraph 10.5 extends to an appeal, that approval may be revoked by notice given to the Agency personnel.

Approval of expenditure for an Agency personnel’s legal representation, for related costs or for legal costs payable by the Agency personnel to another party is only to be given for an amount that is reasonable, having regard to the nature of the matter. In particular, payments for counsel are to be made in accordance with the Legal Services Directions 2017, at Appendix D. The Agency will need to monitor the conduct of the proceedings to ensure that the Agency personnel’s costs of legal representation and other related costs and the Agency’s possible ultimate exposure to liability are within reasonable limits. In addition, the Agency is to take appropriate steps to satisfy itself that any legal costs or damages payable by the Agency personnel to another party are reasonable.

Note: Even if there is no requirement to obtain legal advice in relation to a request for assistance, it may be appropriate in particular cases the Agency to do so. In particular, this may be desirable to ensure that Agency payments for Agency personnel’s legal representation are reasonable in the circumstances. Obtaining legal advice in appropriate cases may be consistent with the duty of accountable authorities to govern in a way that

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promotes the proper use and management of public resources (see section 15 of the Public Governance, Performance and Accountability Act 2013).

Approval to pay assistance in relation to the defence of an indictable offence is to be limited initially to the preparation and conduct of committal proceedings.

Approval to pay assistance in the form of a fine or penalty imposed, or costs awarded against the Agency personnel in criminal proceedings is not to be approved until the fine or penalty is imposed, or the costs are awarded.

10.6 Inquests and inquiries

Expenditure may be approved for Agency personnel to be legally represented in connection with an inquest or inquiry and other costs (e.g. travel) related to the inquest or inquiry if this is in the interests of the Agency and the inquest or inquiry relates to an Agency personnel’s employment with the Agency.

Approval of expenditure is only to be given for an amount that is reasonable, having regard to the nature of the inquest or inquiry.

Expenditure will not generally be approved to a challenge to the validity, or conduct, of an inquest or inquiry.

10.7 Assistance to Agency personnel for subpoenas

Expenditure may be approved for the costs of legal representation and other related costs in responding to a subpoena if it relates to Agency personnel’s employment with the Agency.

The approval is only to be given for an amount that is reasonable, having regard to the nature of the subpoena.

A decision to provide assistance is to be made subject to the condition that the Agency is to be consulted in relation to disclosure or non-disclosure of Agency documents and information to ensure that an appropriate position can be taken.

10.8 Assistance to Agency personnel responding to notices or directions under the National Anti-Corruption Commission Act 2022 (NACC Act)

Expenditure may be approved for the costs of legal representation and other related costs in responding to a notice or direction under the NACC Act issued to:

a. the Agency; or

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b. Agency personnel where the subject of the notice or direction relates to:

i. the Agency personnel’s employment; or ii. the Agency’s functions, or matters incidental or conducive to those functions

The approval is only to be given for an amount that is reasonable, having regard to the nature of the notice or direction.

For the purposes of the NACC Act and its subordinate legislation, the Board, CEO, and COO are responsible for approving financial assistance for legal expenses in accordance with this Accountable Authority Instruction.

10.9 Assistance to Agency personnel as plaintiffs

Except in the case of actions for defamation, expenditure to assist Agency personnel to institute proceedings in a matter arising from their employment may be approved where this is in the interests of the Agency. For example, it may be appropriate to assist Agency personnel to seek a restraining order against a person arising from alleged harassment in the workplace.

Expenditure is not to be approved to assist Agency personnel to institute proceedings for defamation arising in the course of the performance of their duties (either for representation or the payment of legal costs). Similarly, assistance is not to be provided for any other action relating to alleged defamation, such as assistance to uphold a person’s reputation, legally challenge comments damaging to a person’s reputation, or in obtaining an apology (as distinct from a letter merely seeking to correct the record). The policy is the same even if the Agency personnel offers to pay to the Agency any damages which they may receive. Funding defamation proceedings could give rise to a public perception that the Government was seeking to prevent legitimate criticism.

10.10 Who makes the decision to assist

A decision whether to provide assistance to Agency personnel for legal proceedings is normally a matter for the Accountable Authority, CEO or COO within the Agency. However, where the request for assistance is made by the Accountable Authority, the decision may be put to the responsible Minister for consideration.

10.11 Legal representation

If Agency personnel have been indemnified for any costs or damages payable in civil proceedings, and the Agency is also a party to the proceedings, the solicitors engaged to represent the Agency are also to be engaged to represent the Agency

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personnel. (This will save on legal costs and assist in the proper conduct of the proceedings, while the agreement required under paragraph 9.5 will avoid a conflict of interest arising).

If a decision on assistance has been partially or totally deferred, the Agency personnel and the Agency are to have separate legal representation. If the Agency has agreed to pay the cost of the Agency personnel’s legal representation, the Legal Services Directions 2017 at Appendix D, apply. If the employing body provides a full indemnity, the Directions on The Commonwealth’s obligation to act as a model litigant, at Appendix B of the Legal Services Directions 2017, apply.

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11. Version control table

Release 1

Field	Details
Effective Date	14 October 2020
Author	Procurement and Corporate Services Branch
Owner	Deputy Chief Executive Corporate Services and Chief Financial Officer
Client	All National Disability Insurance Agency (NDIA) employees and labour hire workers/consultants
Document Number	1

Release 2

Field	Details
Effective Date	10 September 2021
Authors	Finance Branch and HR Advisory Services
Owners	Chief Financial Officer and Chief People Officer
HR Delegations Audience	All National Disability Insurance Agency (NDIA) employees
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	2

Release 3

Field	Details
Effective Date	1 July 2022
Authors	Finance Branch and HR Advisory Services
Owners	Chief Financial Officer and Chief People Officer
HR Delegations Audience	All National Disability Insurance Agency (NDIA) employees
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	3

Release 4

Field	Details
Effective Date	28 August 2023

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Field	Details
Authors	Financial Control Branch
Owners	Chief Financial Officer
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	4

Release 5

Field	Details
Effective Date	6 February 2025
Author	Agency Budget and Financial Control Branch
Owner	Chief Operating Officer, Chief Financial Officer
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	5

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DOCUMENT 3 FOI 24/25-1693

The contents of this document are OFFICIAL: SENSITIVE

Field	Details
Board meeting:	24 October 2024
Agenda Item:	7.1
Agenda Item:	Accountable Authority Instructions
Paper Type:	For Decision
SLT Sponsor:	Allison Doyle, Acting Chief Operating Officer / DCEO Enabling Services
Link to Corporate Plan:	Key Activity 2: Develop a high performing NDIA for participants.
Previous Engagement:	The Annual review of the Agency’s Accountable Authority Instructions was previously tabled at 27 July 2023 Board meeting. These changes were made to update the Agency’s organisational structure, including updating references to the Agency’s previous “Executive Leadership Team” (ELT) to “SES Band 3” roles, incorporating references to the new position of Chief Operating Officer (COO) and elevating several financial authorisations to COO level, reducing or removing previous authorisations.
Draft resolution:	The Board approved the revised 2024 Accountable Authority Instructions and Financial Authorisations (Attachment A).

1. Purpose

1.1. To seek Board approval of the revised Accountable Authority Instructions (AAIs) and Financial Authorisations.

2. Recommendation

2.1. That the Board approve the revised AAIs and Financial Authorisations.

3. Key Insights

3.1. The current AAIs were last updated in August 2023 to reflect updated organisational structure, including the introduction of the “Strategic Leadership Team”.

3.2. The AAIs have been rebuilt and restructured in accordance with the Department of Finance (DoF) Model AAIs for Corporate Commonwealth Entities. These Model AAIs resolve the feedback provided by the Australian National Audit Office (ANAO) and the Agency’s Legal Services in relation to the inclusion of legislative references and supporting material and improve the usability of the AAIs for staff.

4. Background

4.1. Section 20A of the Public Governance, Performance and Accountability Act 2013 (PGPA Act) enables the accountable authority of an entity to give instructions to officials of that entity on any matters relating to the finance law, and any matters prescribed by the rules that relates to the official dealing with public resources, that the accountable authority is responsible for.

4.2. The AAIs were first approved by the Board in 2018 and are reviewed annually.

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4.3. The Agency has developed Policies and Quick Guides, to support and direct Agency officials on day-to-day operational activities, and their obligations under the AAIs.

Consultation

4.4. The Agency’s AAIs have been rebuilt and restructured in accordance with the Department of Finance’s Model AAIs for Corporate Commonwealth Entities.

4.5. The Agency conducted a survey seeking feedback on the AAIs between 12 October 2023 and 20 October 2023. The survey was open to Senior Executive Service (SES) staff. 37 completed the survey and 8 provided feedback.

4.6. Further proposed revisions were made to the AAIs following recommendations made by the ANAO during their Credit Card Performance Audit,

4.7. redacted: s42 - legal professional privilege

4.8. redacted: s42 - legal professional privilege

Proposed Changes

4.9. The table at Attachment C outlines the material adjustments to the financial authorisation tables and does not list all of the changes made throughout the document the Agency is proposing, noting that the AAIs have been rebuilt and restructured in line with the DoF guidance.

4.10. Due to a recent increase in matters where employees have been named personally in legal proceedings and the need to create a framework to be able to fund legal expenses for employees who become involved in National Anti-Corruption Commission Act 2022 (NACC Act) processes, changes are proposed to the AAIs to create a clear framework for the funding of legal expenses for employees to be approved by either the CEO or DCEOs. These are important amendments to properly support employees during what is often an unfamiliar and distressing process.

4.11. An appendix has been added to the AAIs to provide guidance for the CEO and DCEOs in making these decisions. This appendix is consistent with the guidelines set out in Appendix E of the Legal Services Directions 2017 which applies to non-corporate Commonwealth entities.

4.12. The amendments will also resolve the issue where Agency employees receive notices or summonses under the NACC Act with a non-disclosure order attached, in that the CEO and DCEOs will become “legal aid officers” for the purposes of the NACC Act. This will mean that employees will be able to disclose information about the notice or summons they have received to the relevant CEO and DCEOs and obtain support they require, including financial assistance for legal expenses, leave, legal support to negotiate the terms of the non-disclosure order and any workplace supports.

4.13. Additional instruction has been added into the AAIs at section 3.10.1 to clarify the arrangements for the approval of Board and CEO travel, consistent with the Board’s response to the ANAO Credit Card Performance Audit.

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4.14. Increase to expenditure limits for several authorisations have been incorporated. The existing expenditure limits were compared to the Services Australia Instrument of Financial Delegation effective 1 September 2022.

4.15. A new Financial Authorisation table (9.2) for expenditure of Scheme Funds (Program 1.1) has been added. The new table includes the existing authorisations for Direct Commissioning and Research and Evaluation projects, in addition to two new authorisations for providing support and assistance and coordination and referral services.

4.16. The most notable change to the AAIs is the inclusion of a new financial authorisation table for Expenditure of Scheme Funds (Program 1.1).

4.17. redacted: s42 - legal professional privilege

4.18. A new authorisation table for revaluations has been added. Financial Authorisation changes are detailed below.

5. Risks

5.1. The AAIs and Financial Authorisations are an integral part of the Agency’s internal control and governance environment and ensure that officials understand their duties and responsibilities.

5.2. The Financial Authorisations permit officials to make financial decisions on behalf of the Agency, subject to the financial limitations.

5.3. The suggested changes to the financial authorisations will require updates to the financial authorisation roles in ESSentials via our shared services arrangement with Services Australia. This will require the preparation of an External Change Request and a cost to the Agency to implement.

5.4. These system changes often take several months and pose a risk from a procurement approval perspective as some of the financial authorisations in ESSentials will not align to the revised AAIs for this period.

5.5. Should Board endorse the AAIs, the Agency will monitor forward contract approvals to ensure sufficient authorisation and delegations are in place until the ESSentials system is update by Services Australia.

6. Next steps

6.1. Subject to Board approval, the revised AAIs will be published on the Agency’s Intranet, and internal guidance documents will be updated where required.

6.2. The Agency will work with Services Australia to update ESSentials to reflect the changes in the Financial Authorisations.

Attachments

Attachment A: 2024 NDIA Accountable Authority Instructions and Financial Authorisations

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Attachment B: Background from Legal on discretionary assistance and defective administration

Attachment C: Financial Authorisation changes (Quick Reference)

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DOCUMENT 3.1 OFFICIAL

National Disability Insurance Agency Accountable Authority Instructions (AAIs)

Version: 5

Date: September 2024

Author: Agency Budget and Financial Control Branch

Division: Chief Financial Officer Division

The contents of this document are OFFICIAL.

ndis.gov.au

OFFICIAL Page 125 of 265

OFFICIAL

National Disability Insurance Agency Accountable Authority Instructions (AAIs) 1

Introduction 5
- 1.1 Duties and responsibilities of officials 6
Corporate Governance 8
- 2.1 Duty to keep the Board informed 8
- 2.2 Professional judgement 8
- 2.3 Financial Authorisations 9
- 2.4 Risk Management 9
- 2.5 Working with others 11
- 2.6 Fraud Control 12
- 2.7 Insurance 13
- 2.8 Disclosure of interests 15
- 2.9 Accounts, records and non-financial performance information 16
- 2.10 Systems 17
- 2.11 Audit 18
Procurement and other arrangements 20
- 3.1 Exemptions 20
- 3.2 Approving commitments of relevant money 21
- 3.3 Entering into and varying arrangements 22
- 3.4 Administering an arrangement 23
- 3.5 Procurement 24
- 3.6 Grants 26
- 3.7 Inter-entity cooperation and agreements 28
- 3.8 Indemnities, guarantees and warranties 29
- 3.9 Official hospitality 32
- 3.10 Official travel 33
Making payments 36
- 4.1 Payments of relevant money 36
- 4.2 Payments to vendors 36

XX October 2024 | Accountable Authority Instructions 2

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OFFICIAL

4.3 Corporate credit cards and credit vouchers 37
4.4 Gratuities 38
4.5 Discretionary financial assistance 39
4.6 Claims and legal settlements 40
4.7 Payments pending probate 41
4.8 Taxation obligations 42
4.9 Assistance to Agency personnel involved in legal proceedings 43
4.10 Procurement from external law firms 43

Managing Money 45
- 5.1 Receiving and handling money 45
- 5.2 Receiving or managing appropriations 46
- 5.3 Agreements with banks and managing bank accounts 46
- 5.4 Agreements with banks 47
- 5.5 Managing bank accounts 47
- 5.6 Investments 48
- 5.7 Borrowing 49
Managing debt and amounts owing to the Agency 50
- 6.1 Debt management 50
- 6.2 Managing Agency debts 51
- 6.3 Managing Scheme debt (under NDIS Act) 51
- 6.4 Non-recovery (write-off) of Agency Debt 51
- 6.5 Waiver of amounts owing to the Agency 52
Managing property 54
- 7.1 Procuring or acquiring relevant property 55
- 7.2 Management and use of Agency Property 55
- 7.3 Real property 55
- 7.4 Receiving gifts and benefits 55
- 7.5 Finding property on Agency premises 57
- 7.6 Custody, use and management of relevant property 57
- 7.7 Disposing of relevant property (including gifting) 58
- 7.8 Loss and recovery of relevant property 59

XX October 2024 | Accountable Authority Instructions 3

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OFFICIAL

1. Terms you need to know 61
1. Financial Authorisations 65
- 9.1 Financial Authorisation 1: Approve Proposed Expenditure of Agency Funds (Program 1.2) 65
- 9.2 Financial Authorisation 2: Approve Proposed Expenditure of Scheme Funds (Program 1.1) 67
- 9.3 Financial Authorisation 3: Enter or Vary an Arrangement 68
- 9.4 Financial Authorisation 4: Manage a Debt 69
- 9.5 Financial Authorisation 5: Asset Revaluations 69
- 9.6 Financial Authorisation 6: Disposal of Agency Assets 70
- 9.7 Financial Authorisation 7: Agency Asset Write-offs 70
- 9.8 Financial Authorisation 8: Investments 71

Appendix – Assistance for Agency personnel involved in legal proceedings 72

10.1 Application 72
10.2 General Policy 72
10.3 Criteria for assistance 72
10.4 Basis for approving indemnification of Agency personnel against costs or damages 73
10.5 Level of assistance 74
10.6 Inquests and inquiries 75
10.7 Assistance to Agency personnel for subpoenas 75
10.8 Assistance to Agency personnel responding to notices or directions under the National Anti-Corruption Commission Act 2022 (NACC Act) 75
10.9 Assistance to Agency personnel as plaintiffs 76
10.10 Who makes the decision to assist 76
10.11 Legal representation 76

Version control table 78

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1. Introduction

These Accountable Authority Instructions (AAIs) are issued by the Board of the National Disability Insurance Agency (Agency) as the Accountable Authority under section 20A of the Public Governance, Performance and Accountability Act 2013 (PGPA Act).

The AAIs form part of the finance law and ensure that the Agency complies with the requirements of a CCE, including the PGPA Act and the Public Governance, Performance and Accountability Rule 2014 (PGPA Rule) on matters relating to the use of public resources in the delivery of policies, programs and services. Compliance with the finance law is mandatory.

These instructions apply to:

officials of the Agency
officials of other entities that use or manage public resources for which the Board of the Agency is responsible.

These AAIs constitute lawful and reasonable directions in respect of which all Agency officials must comply within the meaning of the PGPA Act.

Contractors (including Executive Placement Program officers (EPPs)) and consultants of the Agency must also comply with these AAIs.

Under section 202 of the National Disability Insurance Agency Act 2013 (NDIS Act), the Chief Executive Officer (CEO) may, in writing, delegate to an Agency officer any or all of his or her powers or functions under the Act, the regulations or the National Disability Insurance Scheme rules. The CEO has issued the NDIS Act 2013 Operations Instrument of Delegation. Related policies, procedures, practice guidance and directions support this instrument including the Scheme Debt Policy.

These AAIs work in conjunction with the Instrument of Delegation to govern the expenditure of Scheme funding and Agency resources.

The Agency’s Chief Financial Officer (CFO) can issue additional policies, procedures, practice guidance and directions to support instructions outlined in these AAIs. The Agency’s AAI Quick Guides provide additional guidance to support these AAIs.

These AAIs have been endorsed by the Board and take effect from XX October 2024. They are subject to annual review by the Board. The Board may, at its discretion, review these AAIs at shorter intervals, either in whole or in part, as required.

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If there is any change to the PGPA Act or PGPA Rule after a review of these AAIs, and before the next review, then to the extent that these AAIs would be inconsistent to the PGPA Act and PGPA Rule, the AAIs must only be relied on and applied to the extent permitted by and consistent with the PGPA Act and PGPA Rule.

The Board authorises officials of the Agency the powers, functions and responsibilities as set out in section 9 of the Financial Authorisations, Error! Reference source not found. to be exercised in accordance with these AAIs.

All previous Financial Authorisations are revoked.

To find the meaning of any words or terms in these AAIs see the Terms you need to know section. The online PGPA glossary also contains information on relevant PGPA concepts.

1.1 Duties and responsibilities of officials

Sections 25 to 29 of the PGPA Act impose the following duties on all officials:

a duty of care and diligence
a duty to act honestly, in good faith and for a proper purpose
a duty in relation to use of position
a duty in relation to use of information
a duty to disclose interests.

To meet these duties, officials are expected to exhibit a minimum standard of behaviour in exercising their powers or performing their functions. An official must comply with the finance law, which includes the PGPA Act, the PGPA Rule, any other instruments made under the PGPA Act (including these instructions), and an Appropriation Act.

You must ensure that you understand your duties as an official under the PGPA Act. If you are a line manager, you must ensure that your staff members are aware of their status as an official and understand their duties. As an official, you must not do, or fail to do, anything to cause or contribute to the Agency being in breach of the finance law.

Failure by an official to comply with a lawful and reasonable direction and failure to comply with finance law may result in APS Code of Conduct proceedings.

You must comply with the Agency’s policies.

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For further information refer to the Resource Management Guide 203: General duties of officials and the AAI Quick Guide: Duties of Officials.

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2. Corporate Governance

This part provides instructions to officials on the following topics relating to governance of the Agency:

risk management
working with others
fraud control
insurance
disclosure of interests
accounts, records and non-financial performance information
audit.

Corporate governance forms part of the broader governance frameworks established by an accountable authority to manage risk and achieve an entity’s purpose. To promote the proper use of public resources in the Agency, section 16 of the PGPA Act requires the Board, as the accountable authority, to establish appropriate controls that relate to the corporate governance of the Agency.

2.1 Duty to keep the Board informed

The Board must be advised as soon as practicable of all instances of significant noncompliance with these AAIs and anything that could be considered a significant issue under the PGPA Act that has impacted or may impact on the Agency’s operations, public interest, or reputation.

2.2 Professional judgement

You must comply with these AAIs, including the principles and requirements and exercise your professional judgement when making decisions and taking actions. Your professional judgement must include consideration of the following:

Is the proposed decision/action reasonable in the circumstances?
If there are resource implications, will the proposed decision/action represent a proper use of Agency resources?
What risks are associated with the decision/action, and can they be appropriately managed?
Is the decision or action proportionate in the circumstances?
Does the decision/action represent value for money?

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You must also ensure the authorisation is applied in accordance with the relevant legislation, legal advice, policies and related procedures.

2.3 Financial Authorisations

The Financial Authorisations for officials and EPP officers in the Agency are detailed at section 9.

When making a decision or taking action you must consider whether there is authority under the Financial Authorisations that is applicable.

For further information refer to AAI Quick Guide: Delegations and Authorisations.

2.4 Risk Management

Risk management is the activities and actions taken to ensure that the Agency is conscious of the risks it faces, makes coordinated and informed decisions in managing those risks and identifies potential opportunities.

Understanding the benefits of risk management ensures officials are better able to identify, evaluate and manage threats and opportunities.

The Agency’s approach to managing risk ensures there is:

improved ability to identify, evaluate and manage threats and opportunities
improved accountability and better governance
better management of complex and shared risks
improved financial management
improved organisational performance and resilience
confidence to make difficult decisions
decreased potential for work health and safety risks
compliance with relevant legal obligations, and
decreased potential for unacceptable or undesirable behaviours such as fraud and harassment.

2.4.1 Instructions – all officials

You must refer to and act in accordance with the Agency’s risk management framework to ensure that your risk management practices are aligned to the

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Agency’s risk appetite and tolerance for risk, and consistent with the Agency’s methodology to assess and treat risks.

The Board is accountable for the oversight of risks; and the Chief Executive Officer (CEO) and the Chief Risk Officer (CRO) are responsible for the implementation of the Agency’s Risk Management Strategy (RMS). You must act in accordance with the Agency’s RMS.

Refer to Appendix A of the RMS for details of risk management roles and responsibilities. For further information contact the Risk Advisory Branch.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.16
Guidance	Commonwealth Risk Management Policy Resource Management Guide No. 200: General duties of accountable authorities Resource Management Guide No. 211: Implementing the Commonwealth Risk Management Policy — Guidance Risk Management Services Comcover’s risk management education and professional development program
Related AAIs	Working with others Fraud control Insurance Disclosure of interests Procurement Grants Inter-entity cooperations Indemnities, guarantees and warranties
Internal authorisations	National Disability Insurance Audit Committee
Other relevant documents	Risk Management Branch Risk Management Strategy Corporate Plan

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Information Type	Reference Document
Health, Safety and wellbeing	Procedures and Supporting Documents
Contacts	Risk Advisory Branch

2.5 Working with others

A Commonwealth public sector that works together effectively and joins up readily with other levels of government and with the private and not-for-profit sectors, is more likely to deliver better outcomes for Australians and apply public resources more efficiently and effectively.

The Commonwealth resource management framework has been designed to be flexible enough to allow Commonwealth entities to cooperate with others and, where practicable, requires the Board to lead the Agency in working cooperatively with other government and non-government entities, to achieve common objectives. For example, the PGPA Act requires the Board to:

govern the Agency in a way that promotes proper use and management of public resources taking into account how their decisions affect the resources and financial sustainability of the Agency and public resources more broadly (section 15 of the PGPA Act)
cooperate with others to achieve common objectives, where practicable (section 17 of the PGPA Act)
consider the risks of allowing others to use and manage public resources and consider the effects of imposing requirements related to the use of public resources on others (section 18 of the PGPA Act)
where the policies of the Australian Government have been applied to the Agency by a government policy order made under section 22 of the PGPA Act, promote the proper use of resources in a way that is not inconsistent with any relevant policies of the Australian Government that apply to the Agency.

2.5.1 Instructions — all officials

You are encouraged to consider appropriate opportunities to establish cooperative and beneficial working arrangements with other entities inside and outside the Commonwealth public sector (these opportunities can take different forms — there is no one size fits all approach to working with others).

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Information Type	Reference Document
Legislative requirements	PGPA Act: s.5, s.15, s.16, s.17, s.18, s.19, s.22
Guidance	Resource Management Guide No. 200: General duties of accountable authorities
Related AAIs	Risk management

2.6 Fraud Control

The Board is required to take all reasonable measures to prevent, detect and deal with fraud relating to the Agency (section 10 of the PGPA Rule). Fraud control includes:

conducting regular fraud control assessments
implementing a fraud control plan that deals with identified risks
ensuring that the risk of fraud is taken into account in planning and conducting the activities of the Agency
ensuring fraud incidents and arrangements are reported appropriately.

The Agency must comply with the fraud rule. While not bound by the Commonwealth Fraud Control Policy or Commonwealth fraud guidance, both documents are good practice, and it is expected that the Agency will implement the fraud guidance and fraud policy where appropriate in meeting the requirements of the fraud rule.

You must act in accordance with the Agency’s Fraud and Corruption Control Plan. For further information contact the Fraud Intelligence and Investigations Branch.

You must report any suspected fraudulent activity to the fraud reporting hotline on 1800 650 717, or contact the Fraud Intelligence and Investigations Branch or raise a notification in Speak Up.

2.6.1 Instructions — all officials

You must act in accordance with the Agency’s Fraud and Corruption Control Plan.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16

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Information Type	Reference Document
Legislative requirements	PGPA Rule: s.10 Public Interest Disclosure Act 2013
Guidance	Resource Management Guide 201: Preventing, detecting and dealing with fraud Resource Management Guide 203: General duties of officials Good practice: • Commonwealth Fraud Control Policy • Commonwealth Risk Management Policy
Related AAIs	Risk management
Other relevant documents	Fraud and Corruption Control Plan Risk Management Branch Risk Management Strategy
Contacts	Fraud Intelligence and Investigations Branch

2.7 Insurance

This section provides instructions to officials about insurance for insurable assets and liabilities through Comcover, and workers’ compensation insurance through Comcare. The risks normally covered by this insurance include, but are not limited to:

property loss, destruction or damage
general liability and professional indemnity
motor vehicle loss, destruction or damage
personal accident and travel
expatriate, and
workers’ compensation claims.

It is the Agency’s responsibility to ensure that appropriate coverage is maintained at all times and that changes to assets, liabilities and insurable risks generally are immediately notified to Comcover and potential workers’ compensation claims to

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Comcare and these risks or claims are incorporated into the Agency’s insurance program. Comcover is not responsible for insurable risks that have not been included in the Agency’s insurance program.

For further information refer to the Agency’s Finance Policies, General Insurance chapter.

2.7.1 Instructions - officials responsible for insurance matters

You must:

disclose any insurance risks and report any potential insurance claim or incident to the Finance Service Desk so that Comcover can be promptly notified.
report any potential workers’ compensation claim or incident the People and Culture Service Desk so that Comcare can be promptly notified.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.62 PGPA Rule: s.23 Work Health and Safety Act 2011 Safety Rehabilitation and Compensation Act 1988
Guidance	Comcover insurance Comcare publications
Related AAIs	Risk management
Other relevant documents	Risk Management Branch Health, Safety and wellbeing Procedures and Supporting Documents Finance policies
Contacts	Finance Service Desk People and Culture Service Desk

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2.8 Disclosure of interests

Section 29 of the PGPA Act and sections 12 to 16D of the PGPA Rule outline the requirements for officials to disclose material personal interests relating to the affairs of the Agency.

The overriding principle for a declaration of a material personal interest is, ‘if in doubt, declare the interest’ in accordance with the appropriate process. Taking this step should protect both the official and the Commonwealth entity.

The term ‘material personal interests’ could directly relate to an official’s personal role or, more broadly, to the overall purpose of the entity. Materiality depends on the size and nature of the interest and the surrounding circumstances. Material personal interests are not confined to financial or similar interests. To be material, a personal interest would be of a type that can give rise to a real or perceived conflict of interest.

The phrase ‘relating to the affairs of the entity’ is also meant to be read broadly. For example, it includes activities of the entity that involve collaboration with other entities inside or outside government.

2.8.1 Instructions — all officials

You must:

disclose a material personal interest that relates to the affairs of the Agency in accordance with these instructions.
disclose material personal interests relating to the affairs of the Agency.
maintain a current Conflict of Interest Declaration forms and submit to the People and Culture Service Desk. Refer to the Conflict of Interest Policy.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.29 PGPA Rule: s.12 to 16D Public Interest Disclosure Act
Guidance	Resource Management Guide 203: General duties of officials
Related AAIs	Risk management Managing property

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Information Type	Reference Document
Other relevant documents	Conflict of Interest Policy
Contacts	People and Culture Service Desk

2.9 Accounts, records and non-financial performance information

The Agency is required to keep accounts and records that properly record and explain the Agency’s transactions and financial position (section 41 of the PGPA Act) in accordance with the PGPA (Financial Reporting) Rule 2015 (PGPA Financial Reporting Rule).

The Agency is required to keep records that explain the Agency’s performance in achieving its purposes (section 37 of the PGPA Act).

The Finance Minister and the responsible minister are entitled to full and free access to the accounts, records and performance information of the Agency (sections 37 and 41 of the PGPA Act).

The Commonwealth Auditor-General may also direct an official to provide information (section 32 of the Auditor-General Act 1997).

2.9.1 Instructions — all officials

You must:

maintain appropriate accounts, records and non-financial performance information to meet the requirements of the PGPA Act, the PGPA Rule and the PGPA Financial Reporting Rule
collect and maintain performance information that demonstrates how public resources have been used to achieve the purposes of the Agency
comply with any lawful request by the Finance Minister, the responsible minister or the Commonwealth Auditor-General for access to the Agency’s accounts and records.

Refer to the Agency’s Finance Policies, Accounts and Records chapter for further detail.

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2.10 Systems

If you are undertaking a project with a potential impact on the following systems, you must consult and seek approval from the relevant system owners. This could include the CIO, CFO or CRO and if required, the Agency’s Information Law and Privacy Team and any additional business owners listed below:

SAP CRM and PACE CRM (Customer Relationship Management) and Participant and Provider portals. The CRM systems link to the participant and provider portals and streamline workload management and work allocation for planners and partners. Business Owners are CIO and CFO.
ESSentials – Agency HR and Finance management – Business Owners are CPO and CFO.
Any ERP, currently SAP R1P – Financial system – Business Owner is CFO.
Any payment system, currently Public Sector Collections and Disbursements (PSCD) – client platform within SAP which facilitates Scheme payments. Business Owner is CFO.
Enterprise Data Warehouse (EDW). Business Owners are Scheme Actuary and CFO.

The CFO must approve the implementation of system changes or new systems, where participant data, employee data or Scheme and Agency payments (including participant or provider payments) are potentially impacted, before those systems are released into production. Assurance must be provided to the CFO as part of the approval process and must include consideration of payment accuracy and the accounting treatment of transactions.

As required the system business owner must undertake the following:

maintain a risk management plan and a business continuity plan (contingency plan) for the system, and review it objectively at least annually
update the risk management plan when there is a material change to the system or its supporting systems, processes or governance or when new risks are identified
ensure that all risks are subject to appropriate controls
have regard to the protection of privacy and consult with the Information Law and Privacy Team as required, to identify, eliminate, mitigate and manage any real or potential privacy risk
undertake sufficient assurance activity to satisfy that the controls for the system are operating effectively and the system is performing as intended

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comply with directions given by the CIO and the CFO relating to undertaking post payment transactional testing; and
undertake a fraud assessment (in accordance with the Fraud Rule at section 10 of the PGPA Rule 2014) as directed by the Risk Advisory Branch.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.37, s.38, s.41 PGPA Financial Reporting Rule PGPA Rule: s.17AA Auditor-General Act 1997: s.32
Guidance	Resource Management Guide 125: Commonwealth entities financial statements guide Resource Management Guide 131: Developing good performance information
Related AAIs	Audit

2.11 Audit

The Board has established the Audit Committee to provide independent advice and assurance to the Board, as the Agency’s accountable authority, in accordance with section 45 of the PGPA Act and section 17 of the PGPA Rules. The Committee will assist the Board to ensure the proper, efficient and effective performance of the Agency’s functions.

The PGPA Act stipulates that the Auditor-General:

must audit the annual financial statements of the Agency (sections 42 and 43)
may be requested to audit the annual performance statements of the Agency (section 40).

2.11.1 Instructions — all officials

You must cooperate with:

the Agency’s internal audit function
the Agency’s audit committee

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the Commonwealth Auditor-General represented by officials of the Australian National Audit Office.
Representatives of the Agency’s CFO Division.

This includes providing prompt and unfettered access to requested information and responding to audit queries and recommendations in a timely manner.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16, s.19, s.40, s.41, s.42, s.43, s.44, s.45 PGPA Rule: s.17, s.17AA Auditor-General Act 1997: s.32
Guidance	Resource Management Guide 202: Audit committees Australian Securities Exchange Corporate Governance Council, Corporate governance principles and recommendations (3rd edition, March 2014)
Related AAIs	Risk management Accounts, records and non-financial performance information
Contacts	Financial Reporting Team

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3. Procurement and other arrangements

This section covers:

approving commitments of relevant money
procurement
grants
inter-entity cooperation and agreements
indemnities, guarantees, warranties and other contingent liabilities
official hospitality
official travel.

The Board is required to promote the proper use and management of the public resources for which it is responsible (see section 15 of the PGPA Act). Consistent with this duty, the Board establishes controls to ensure that officials consider the proper use (i.e. efficient, effective, economical and ethical use) of public resources when making decisions that involve:

commitments of relevant money; or
entering into arrangements relating to relevant money.

‘Relevant money’ is money that the Agency holds as cash or in a bank account (see section 8 of the PGPA Act). Relevant money is ‘committed’ when the Agency undertakes an activity that results in an obligation to pay relevant money. Examples include entering into an arrangement under which relevant money will become payable, including obligations that are contingent upon certain events occurring, such as indemnities, guarantees and warranties.

Using and managing relevant money in accordance with these instructions is one-way officials can demonstrate they are meeting their duties under sections 25 to 29 of the PGPA Act.

3.1 Exemptions

The CEO and the Chief Operating Officer (COO) (up to the limits of their respective Financial Authorisations) and the Board are the only officials who may grant an exemption from compliance with the AAIs, and may only do so if:

the exemption is granted prior to undertaking the action;
the relevant AAI is not a legislative requirement; and

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if the exemption relates to a non-financial policy, the policy owner has been consulted.

Any exemption granted from these AAIs must be recorded in FMCS.

3.2 Approving commitments of relevant money

Generally, an approval to commit relevant money occurs when an official enters into an arrangement on behalf of the Agency. This section provides instructions to officials on:

when you are required to seek an approval for a commitment of relevant money that is separate from entering into an arrangement
if you are authorised to approve a commitment of relevant money, the options, risks and outcomes you must consider
if you are not authorised to approve a commitment of relevant money, the information you must provide to the authorised official.

3.2.1 Instructions – all officials

Every commitment of relevant money, you must:

ensure that the Agency has a sufficient money to cover the commitment
not approve a commitment of relevant money unless you have been authorised to do so and you comply with any relevant directions in the Financial Authorisations
if you are not authorised, seek approval for the proposed commitment of relevant money from an authorised official
record any approval of a commitment of relevant money in writing as soon as practicable after giving it.

You must only approve expenditure if you are an official (or EPP officer) and you are authorised to do so (refer to Financial Authorisations) and the following conditions are met:

relevant Commonwealth and Agency policies have been followed
the expenditure complies with any specific requirements for that expenditure type detailed in these AAIs
you are satisfied that the expenditure: o is supported by available budget

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is appropriate and proper use of Agency money and achieves value for money; and
promotes the achievement of the Agency’s purposes, including any related benefits to people living with disability
forward commitment approval (in writing) has been provided if the commitment of Agency money extends beyond the current financial year; and
separate authorisation has been obtained for any indemnities included in the proposed arrangement, unless the indemnity is exempt as per AAI Quick Guide: Indemnities and other contingencies.

You must record any approval of a commitment of relevant money in writing (where not recorded directly in the relevant system).

The CEO can provide written authorisation for the COO to execute arrangements on their behalf when required.

3.3 Entering into and varying arrangements

You may only enter into or vary an arrangement on behalf of the Agency if the maximum value (as varied if applicable) is within your Financial Authorisation (and has not been disaggregated inappropriately to avoid scrutiny by a higher level of financial authorisation), and:

it complies with the PGPA Act and PGPA Rule
it complies with the AAIs; and
is otherwise in accordance with any applicable Agency policy (such as the NDIA Procurement Policy), direction or guidance.

You may only enter into a contract with the Agency’s internal audit service provider with the approval of the Agency’s Chief Internal Auditor.

If an arrangement does not involve commitment of Agency funds, the approver must be identified by considering the risk profile of the arrangement.

For non-material variations to arrangements where the authorisation sits with the CEO or Board, and there is no variation in proposed expenditure, the COO may vary an arrangement on behalf of the Agency. Non-material variations include changes that are administrative in nature such as typographical errors or changes to an address.

If a variation involves an increase in the proposed expenditure, or a change in what is being purchased, it must be referred to an official with the appropriate Financial

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Authorisation for decision. For the purposes of approval, the new total amount, including the original value plus the variation value, must be considered by the spending approver.

If the value of a variation is greater than $20 million it must be referred to the Board, regardless of the proposed total value of the arrangement.

3.4 Administering an arrangement

If you are responsible for managing an arrangement you must:

actively manage the arrangement throughout the term to ensure the objectives are achieved
monitor, evaluate, record and report on, as required, the performance of the parties to the arrangement to ensure the Agency achieves value for money; and
identify, assess and manage risks in respect of the arrangement/s you manage.

Where the arrangement is a contract, you must also comply with the NDIA Procurement Policy. For further information on managing contracts, refer to the Australian Government Contract Management Guide.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.22, s.52
Guidance	[Resource Management Guide 203: General duties
of officials](Resource_Management_Guide_203.md)

Commonwealth Procurement Rules

Resource Management Guide 400, Approving commitments of relevant money | | Related AAIs | Risk management

Disclosure of interests

Procurement

Indemnities, guarantees and warranties

Payments of relevant money

Taxation obligations |

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Information Type	Reference Document
Internal authorisations	Financial Authorisation 3
Other relevant documents	[Agreements with banks and managing bank
accounts](Agreements_with_banks_and_managing_bank_accounts.md)
Contacts	Procurement Service Desk

3.5 Procurement

Procurement covers the entire process of buying goods and services. Procurement:

begins when a need has been identified and a decision has been made on the need to purchase a good or service
continues through the processes of risk assessment, seeking and evaluating alternative solutions, the awarding of a contract, the delivery of and payment for the goods and services and, where relevant, the ongoing management of the contract and consideration of disposal of goods
also includes the acquisition of goods and services on behalf of another entity or a third party.

3.5.1 Instructions

The Agency’s Procurement Services Desk is your first point of contact for all procurement advice.

You must procure goods and/or services in a manner consistent with the

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Commonwealth Procurement Rules (CPRs)¹. The Board, CEO and COO (up to the limits of their respective Financial Authorisations) are the only officials who may elect to apply section 2.6² of the CPRs.

Information Type	Reference Document
Legislative requirements	Procurement guidance material
Internal authorisations	Financial Authorisations
Other relevant documents	NDIA Procurement Policy
Contacts	Procurement Services Desk

¹ While the Agency as a non-prescribed CCE for the purposes of s30 of the PGPA Rule is not bound by the CPRs, the Board, as the Accountable Authority, intends NDIA staff to comply with the CPRs (with the exception of AusTender Requirements (CPRs 7.6 to 7.15 inclusive); and Reporting Arrangements (CPRs 7.18 to 7.20)) through this Instruction.

² Paragraph 2.6 of the Commonwealth Procurement Rules allows officials to not apply the CPRs “to the extent… necessary for the maintenance or restoration of international peace and security, to protect human health, for the protection of essential security interests, or to protect national treasures of artistic, historic or archaeological value”.

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3.6 Grants

Granting activities can take a variety of forms, including payments made as a result of competitive or non-competitive selection processes; where particular criteria are satisfied; or on a one-off or ad hoc basis. The objectives of grants administration are to:

promote proper use and management of public resources
collaborate with the non-government sector
manage risks appropriately; and
contribute to the management of shared risks.

3.6.1 Instructions – officials involved in grants administration

You must use competitive, merit-based selection processes to allocate grants, unless specifically agreed otherwise by a minister or the Board. Where a method other than a competitive merit-based selection process is used, you must document why a different approach has been used.

If the Agency manages a grant on behalf of the Commonwealth, you must:

act in accordance with the Commonwealth Grants Rules and Guidelines
have regard to the seven key principles in Part 2 of the Commonwealth Grants Rules and Guidelines that apply to grants administration
disclose information that the government requires to be notified
disclose any current or prospective personal interest that might create a conflict of interest
not use clauses in grant agreements that seek to limit, prevent or ban a not- for-profit organisation from advocating on policy issues.

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You must approach and conduct grant opportunities in a manner consistent with the Commonwealth Grant Rules and Guidelines (CGRGs) and associated Grant Connected Policies³.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.75
Guidance	Commonwealth Grants Rules and Guidelines

Commonwealth Risk Management Policy

Resource Management Guide 412: Australian Government grants: briefing and reporting

Resource Management Guide 415: Commonwealth grants and procurement connected policies | | Related AAIs | Risk management

Inter-entity cooperation and agreements

Disclosure of interests

Approving commitments of relevant money |

³ While the Agency as a CCE is not bound by the CGRGs, the Board, as the Accountable Authority, intends NDIA staff to comply with the CGRGs through this Instruction.

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3.7 Inter-entity cooperation and agreements

Sections 17 and 18 of the PGPA Act impose duties on the Board to:

encourage officials to cooperate with others to achieve common objectives
consider the administrative requirements that the Agency imposes on others.

Further, section 15 requires the Board, when making decisions for the purposes governing the Agency, to take into account the effect of those decisions on public resources generally.

On a day-to-day basis, officials from different Commonwealth entities work together to undertake a number of activities, including to deliver government services, make payments, formulate national policies, implement complex reforms, and exchange information and specialist expertise. The Agency can tailor inter-entity agreements to suit the specific situation and range of requirements. For example:

the provision of services, such as IT services could be undertaken through a service level agreement
the respective responsibilities of entities involved in a cross-portfolio reform (e.g. Closing the Gap) could be outlined in a memorandum of understanding (MoU).

The power for the Agency to enter into agreements (including contracts) is normally set out in the entity’s enabling legislation - the NDIS Act, or otherwise be implied from the separate legal personality of the CCE. Where the Agency enters into an agreement with another Commonwealth entity (whether corporate or non-corporate) such an agreement is able to be stated to be a legally binding agreement, as the Agency is a separate legal entity.

3.7.1 Instructions – all officials

When developing an inter-entity agreement, you must clearly articulate:

the objectives of the agreement, including desired outcomes and timeframes
the roles and responsibilities of the parties
the details of the activities, including specifications of services or projects to be undertaken
the resources and timeframe to be applied by parties and resource management framework issues
the approach to identifying and sharing the risks and opportunities involved
which entity collects performance reporting data

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agreed modes of review and evaluation
agreed dispute resolution arrangements.

You must ensure that an inter-entity agreement addresses accountability requirements, including the requirements in the PGPA Act, to enable the Board to meet its responsibilities under the resource management framework.

3.7.2 Instructions - officials establishing inter-entity agreements that involve financial commitments

You must not enter into an arrangement that commits relevant money, unless you are authorised to do so.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, ss.17 and 18

PGPA Financial Reporting Rule | | Guidance | Audit Report No. 41 2009–10: Effective cross- agency agreements

Resource Management Guide 400: Commitment of Relevant Money | | Related AAIs | Risk management

Working with others

Accounts, records and non-financial performance information

Approving commitments of relevant money | | Internal authorisations | Financial Authorisations |

3.8 Indemnities, guarantees and warranties

Indemnity, guarantee and warranty clauses (and certain supplier liability caps) in contracts are generally used to allocate risk between parties. Where the Agency is to be the grantor of such a clause in a contract, this may give rise to a contingent liability — that is, a potential liability for the Agency upon the occurrence of a future event. For the purposes of this section 3.8, contractual clauses of this nature offered by the Agency are collectively referred to as Contingent Liability Clauses.

The PGPA Act does not establish specific requirements for granting indemnities, guarantees or warranties by CCEs, and the Agency has the same powers as other

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entities with body corporate status to grant Contingent Liability Clauses. However, in managing these arrangements, the Accountable Authority continues to be subject to the general duties of accountable authorities in the PGPA Act.

3.8.1 Instructions – all officials

Subject to 3.8.2, 3.8.3 and 3.8.4, officials may only enter into an arrangement that includes a Contingent Liability Clause with approval of the COO, CEO, or the Accountable Authority, as set out below.

All Contingent Liability Clauses with a likelihood of an event giving rise to a contingent liability of five per cent or more and the most probable cost of $5 million or more must be recorded in the Contingent Liability module in FMCS. The Risk Branch must be consulted to notify Comcover.

The PGPA Rule provides that in some circumstances the Agency must not, as a CCE, grant certain indemnities, and is not allowed to grant exemptions to persons for liabilities incurred as officials of the Agency with particular reference to pecuniary penalties and legal costs⁴. For more information, contact the General Counsel Division at legal.advice@ndis.gov.au.

⁴ Refer to the PGPA Rule – Division 4A of Part 2-4 ‘Indemnities and Exemptions by corporate Commonwealth entities’.

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3.8.2 Instructions – CEO and COO

In limited situations the CEO and COO can approve the entry into of an arrangement that includes a Contingent Liability Clause. The approval of a Contingent Liability Clause in this situation needs to be evidenced by a risk assessment. In this context:

The CEO can approve the entry into of an arrangement that includes a Contingent Liability Clause where the likelihood of the event giving rise to the contingent liability occurring is less than five per cent and the most probable cost is less than $30 million.
The COO can approve the entry into of an arrangement that includes a Contingent Liability Clause where the likelihood of the event giving rise to the contingent liability occurring is less than five per cent and the most probable cost is less than $10 million.

Despite the above, in all cases, indemnities granted by the Agency in favour of the COO or CFO require CEO approval, and indemnities granted in favour of the CEO require Accountable Authority approval.

3.8.3 Instructions – Exceptions

Subject to compliance with the AAI Quick Guide: Indemnities and other contingencies, the following exceptions apply to the general position set out in 3.8.1:

indemnities included in the terms and conditions of vehicle rentals within Australia
indemnities included in the terms and conditions of venue hire within Australia
indemnities included in the terms and conditions of equipment hire within Australia; and
car park licences within Australia.

Part 4.9 and Appendix A provide specific instructions for authorising expenditure to assist Agency Personnel who are involved in legal proceedings and their indemnification against costs and damages in that context.

3.8.4 Instructions - officials authorised to provide a guarantee, indemnity or warranty

You must comply with the directions in the authorisation when entering into an arrangement that involves an indemnity, guarantee or warranty.

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Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16, s.52, s.61
Guidance	[Resource Management Guide 203: General duties
of officials](Resource_Management_Guide_203.md)
Related AAIs	Risk management
Internal authorisations	Financial Authorisation

3.9 Official hospitality

Official hospitality involves the use of public resources to provide hospitality to persons other than Agency officials to facilitate the achievement of one or more Agency objectives. Official hospitality may include the provision of refreshments, entertainment, gifts of property, prizes or other benefits.

For instructions relating to the gifting of relevant property, see Managing property.

3.9.1 Instructions — all officials

You must not enter into an arrangement to provide official hospitality unless you have been authorised and have the power to enter into such an arrangement.

Any decision to spend relevant money on official hospitality must be publicly defensible.

You must comply with the Agency’s Finance Policies, Gifts, Hospitality and Sponsorship chapter prior to providing official hospitality (for external activities), food and beverage (for internal activities), sponsorships and giving or receiving of gifts (including gifting of Agency property).

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15
Related AAIs	Risk management

Disclosure of interests |

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Information Type	Reference Document
Related AAIs	Procurement

3.10 Official travel

Official travel is any travel where the Agency is ultimately responsible for any of the direct or indirect costs associated with that travel (noting the exceptions for using the coordinated travel procurements). This includes travel by officials, contractors and consultants to undertake work duties at the direction of the Agency to achieve one or more Agency objectives.

Official travel should only be undertaken when there is a demonstrated business need and when other communication tools, such as teleconferencing and videoconferencing, are an ineffective option.

3.10.1 Instructions — all officials

You must not enter into an arrangement for official travel unless you have been authorised to exercise, power to enter into an arrangement of this type.

Travel authorisations for Board Chair, Board Members and the CEO

Official travel for the Board Chair, Board Members and the CEO is pre-approved under these instructions when in relation to official trips for the following purposes:

Board and Board Committee meetings
Disability Reform Ministerial Council (DRMC) meetings
Independent Advisory Council (IAC) and Advisory Group meetings
Meetings with the Minister for the NDIS
Meetings with other Commonwealth and State Ministers
Meetings with State Agency/Department Heads

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Senate Budget Estimates and other Parliamentary Inquiries
Senior Leadership Team events/conferences
Interview panels

Travel for the above purposes must be undertaken within one day either side of the event for which the travel is being organised.

Approval process for exceptions

Travel for purposes not on the pre-approved list above, or outside the specified one- day timeframe, must be approved on a case-by-case basis.

Any official travel combined with private travel needs to be approved on a case-by- case basis.

Approval for travel on a case-by-case basis must be provided by the following:

For CEO — NDIA Board Chair
For Board Chair — Audit and Risk Committee Chair
For Board members — NDIA Board Chair

Monitoring

Regular reporting of trips taken, and travel costs incurred by the Board Chair, Board members and the CEO must be made to the Board bi-annually.

You must comply with the Agency’s Finance Policies, Travel chapter when arranging official travel.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.52
Related AAIs	Risk management

Approving commitments of relevant money

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Information Type	Reference Document
Contacts	Corporate Service Desk - Travel Services

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4. Making payments

These instructions apply to all payments, including manual and automated payments. A payment involves the transfer of cash, the issuing of instructions to process an electronic funds transfer, the execution and issuing of a cheque, the use of a debit card, or the transfer of funds through another process. The following topics are included in this section:

payments of relevant money
the use of Agency credit cards and credit vouchers
providing discretionary financial assistance
taxation obligations.

4.1 Payments of relevant money

The authority to administer an arrangement, including making a payment generally comes from the entity’s enabling legislation – the NDIS Act. The Board has authorised officials to exercise this function. Officials who perform the purely administrative tasks necessary to facilitate a payment (for example, processing an electronic funds transfer request) do not require authorisation if they are acting under the direction of another official and are not exercising any independent judgment.

4.1.1 Instructions – all officials

You must not make a payment of relevant money unless:

you have been authorised to do so by the Board; or by an official empowered by the Board to authorise other officials to make payments
there is a sufficient available funds to cover the proposed payment
the payment is in accordance with any directions.

4.2 Payments to vendors

The Agency’s standard payment terms for invoices is 20 calendar days upon receipt of a correctly rendered invoice.

You must action any correctly rendered invoice within five business days of receiving it. This will enable invoices to be paid in line with the payment terms agreed to by the Agency and the vendor.

For further information refer to the Agency’s Finance Policies, Accounts and Records chapter.

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Information Type	Reference Document
Legislative requirements	PGPA Act: s.15 and 16, s.52, s.71
Related AAIs	Risk management

Disclosure of interests

4.3 Corporate credit cards and credit vouchers

Debit cards, pre-paid credit cards and gift vouchers are not corporate credit cards. They should be treated as relevant money.

A ‘corporate credit card’ is a credit card the Agency uses to obtain goods or services on credit (i.e. with payment deferred). Two types of credit cards are:

‘charge cards’ that authorise the holder to buy goods or services on credit, with payment in full required to be made at a later date
‘vendor cards’ is a charge card provided by specific retailers (e.g. travel cards and fuel cards).

A ‘credit voucher is a paper-based credit card that generally comes with an attached spending limit (e.g. a Cabcharge voucher).

The use of a corporate credit card or credit voucher is a borrowing by the Agency (i.e. an advance of money that must be repaid in accordance with contractually agreed terms). Section 57 of the PGPA Act prevents the Agency from entering into borrowing agreements unless:

expressly authorised by an Act (such as their enabling legislation)
authorised by the finance minister in writing or
authorised by the PGPA Rule.

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Section 57 of the PGPA Act and section 21A of the PGPA Rule authorises the Agency to borrow money if it is obtaining credit by credit card, credit voucher, or similar credit facility, and the borrowed amount is repaid within 90 days.

The Board or an authorised official can enter into a single overarching borrowing agreement for each form of credit card or credit voucher. Officials then act on the relevant borrowing agreement by using a card or voucher issued under that agreement – each credit card and credit voucher is not a separate borrowing agreement.

4.3.1 Instructions – all officials

You may only use credit card, credit card number or credit voucher that has been issued to you or that you are specifically authorised to use. You must:

ensure that any corporate credit cards or credit vouchers issued to you are stored safely and securely
ensure that your use of a corporate credit card or credit voucher is consistent with any approval given, including any conditions of the approval
consider whether using a corporate credit card or credit voucher would be a proper use of public resources (for example, whether it would be the most cost-effective payment option in the circumstances)
that any requirements in Approving commitments of Agency money, have been met before using a corporate credit card or credit voucher to commit relevant money.

You must refer to and comply with the Agency’s Finance Policies, Credit Card chapter for the issuance, management, processing and usage of a corporate credit card.

4.4 Gratuities

You must not tip using Agency money in Australia.

When travelling internationally for the Agency, tipping is acceptable if it is customary to do so in that country.

4.4.1 Instructions – officials responsible for supervising corporate credit card and credit voucher holders

You must:

ensure that appropriate documentation and acquittal occurs, and their use aligns with the Finance Policies
ensure that officials are not exceeding transaction limits.

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4.4.2 Instructions — officials authorised to enter into borrowing agreements for corporate credit cards and credit vouchers

You must:

be authorised to enter into borrowing agreements
ensure that the requirements in Approving commitments of Agency money have been met

If the authority for the borrowing is section 21A of the PGPA Rule, ensure you comply with the requirements of that section.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16, s.25 to 29, s.57

Fraud control

Disclosure of interests

Procurement and other arrangements

4.5 Discretionary financial assistance

The PGPA Act does not impose any rules on corporate Commonwealth entities in relation to the payment of discretionary financial assistance. From time to time the case may be made for the Agency to make a payment of discretionary financial assistance — for example, where there has been defective administration of the NDIS. This section provides instructions where discretionary financial assistance needs to be considered, including the need in all cases to obtain prior legal advice that the payment is lawfully able to be made.

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4.5.1 Instructions – all officials

Requests for discretionary payments need to be made to the Office of the CEO.

You must seek prior legal advice from the Chief Counsel or General Counsel if you are considering making a request for a discretionary payment.

4.6 Claims and legal settlements

If you become aware of a potential dispute or a legal proceeding, you must immediately refer the matter to the Chief Counsel Division or General Counsel Division.

You must only agree to a settlement of a dispute, claim or legal proceeding if:

The General Counsel Division or Chief Counsel Division has been consulted, and the Chief Counsel or General Counsel has provided legal advice that the proposed settlement is lawful and reasonable in the circumstances. This advice is not to be considered approval of the settlement, the settlement terms and settlement amount.
You have the Financial Authorisation to approve expenditure of this type and have approved the settlement, the settlement terms, and settlement amount; and
All statutory requirements in relation to the committing of any settlement monies have been complied with.

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It should be noted that the Scheme for Compensation for Detriment caused by Defective Administration (CDDA Scheme) does not apply to the Agency as a CCE⁵.

4.7 Payments pending probate

Payments pending probate can only be approved by the CEO, the COO or the CFO. For further information contact the Financial Governance and Compliance Team.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.16
Related AAIs	Risk management

Disclosure of interests | | Internal authorisations | Financial Authorisations

⁵ The CDDA Scheme applies to non-CCEs.

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4.8 Taxation obligations

4.8.1 Instructions — all officials

You must maintain appropriate records for the required duration and provide information as requested to enable the Agency to meet its taxation obligations.

Before seeking approval for a proposed commitment of relevant money, you must:

Contact the Financial Governance and Compliance team to seek advice to understand the potential fringe benefits tax (FBT) implications of the proposed commitment
ensure that the price to be charged for the goods and/or services is inclusive of goods and services tax (GST), where applicable.

You must ensure that a valid tax invoice is obtained for each purchase to enable the Agency to claim input tax credits for the purposes of GST, where applicable.

You must ensure that all contracts for the acquisition or sale of goods and services by the Agency appropriately address taxation issues.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.41

Fringe Benefits Tax Assessment Act 1986

A New Tax System (Goods and Services Tax) Act 1999 | | Related AAIs | Approving commitments of relevant money

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4.9 Assistance to Agency personnel involved in legal proceedings

Expenditure to assist Agency personnel who are involved in legal proceedings may be approved by either:

the Accountable Authority; or
the CEO; or
the COO, except where the expenditure relates to the COO.

Expenditure to assist the CEO involved in legal proceedings may be approved by the Accountable Authority.

Appendix A sets out further instructions in relation to the approval of expenditure to assist Agency personnel and the CEO in legal proceedings.

Approval of expenditure to assist Agency personnel in legal proceedings is entirely discretionary. Nothing in Appendix A should be read as creating an entitlement to receive financial assistance.

4.9.1 Instructions – Agency personnel

If you are named in proceedings that relate to your employment (including the making of a decision, or an act done or omission in your employment) you must immediately advise the Chief Counsel Division or General Counsel Division at legal.advice@ndis.gov.au.

4.10 Procurement from external law firms

The NDIA sources external legal advice by opting in to the Whole of Government Panel for Legal Services (LS Panel) as well as engaging the Australian Government Solicitor (AGS).

Subject to the following paragraph, to appropriately manage legal risk:

All procurement activity for external legal services from the LS Panel and AGS is to be centralised through and executed from the Chief Counsel Division’s Legal Practice & Capability Branch (LPC Branch).
All external legal advice is to be requested by and delivered to the relevant Agency lawyer from the Chief Counsel Division or General Counsel Division.
Business areas are not to source or request external legal advice from the LS Panel or AGS without the prior approval of the CEO, Deputy CEO,

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Governance, Risk and Legal, or a SES Band 2 employee in the Chief Counsel Division or General Counsel Division.

However, the CEO, COO, Deputy CEO, Governance, Risk and Legal, Chief Counsel or General Counsel may directly procure or authorise the direct procurement of external legal advice from the LS Panel or AGS:

If they consider it necessary to do so in the circumstances because it would be impracticable or unreasonable in the circumstances to do so via the LPC Branch (e.g. because the circumstances are particularly time-sensitive, there is a conflict of interest, or the matter is otherwise particularly sensitive);
Provided they have the Financial Authorisation to approve expenditure of this level; and
The LPC Branch is informed of the procurement within 3 business days, unless doing so would be impracticable or unreasonable in the circumstances. In the event of the latter, record keeping, and contract management must be undertaken by the person undertaking the procurement activity.

The LPC Branch will ensure that:

External legal advice is procured in accordance with the Legal Service Directions and LS Panel requirements.
All invoices and contract management services for external legal services are processed appropriately.

All purchases and expenditure from the LS Panel are reported annually to OLSC (via the Attorney General’s Department). This includes all legal advice and support, legal secondment arrangements, probity advice from a panel law firm, legal training, and other legal disbursements.

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5. Managing Money

The following topics on the proper management of relevant money, are included in this section:

receiving and handling relevant money
agreements with banks and managing bank accounts
investments and borrowings

Relevant money is money that the Agency holds as cash or in bank accounts and includes:

Australian currency and cheques in any currency
money raised by, or on behalf of, the Commonwealth in a variety of ways, including by appropriations, taxes, borrowings, loan repayments, rebates and levies
money held on trust by the Agency (for the benefit of persons other than the Agency)
money found on the Agency’s premises.

5.1 Receiving and handling money

Officials are required to ensure the security of any relevant money that is in their custody. A loss of relevant money may result in a debt owed to the Agency. A person’s liability to pay such a debt is not avoided if they stop working for the Agency. This includes officials who receive relevant money that:

can be deposited in a bank (bankable money)
is not bankable (unbankable money).

5.1.1 Instructions – officials who receive or handle bankable money

If you receive relevant money, you must:

ensure the safe custody of the money
not misuse or improperly dispose of relevant money.

If you receive relevant money that is bankable money, then unless directed by these instructions, you must deposit the money in accordance with the instructions in the Finance Policies (see section 19 of the PGPA Rule (Banking of bankable money received by officials).

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You must ensure that relevant money is only ever deposited into the relevant Agency bank account.

If a loss of relevant money occurs while the money is in your custody, you will be liable to pay the Agency an amount equal to the loss, unless you took reasonable steps to prevent the loss.

If you cause or contribute to a loss of relevant money by misconduct, or a deliberate or serious disregard for reasonable standards of care, you will be liable to pay the Agency an amount that reflects your share of the responsibility for the loss.

You must refer to the Agency’s Finance Policies, Managing Money section for guidance on:

receiving or managing appropriations
receiving and banking money
management of bank accounts and banking; and
loss of Agency money.

5.2 Receiving or managing appropriations

The activities of the Agency are funded by an annual appropriation, the relevant portfolio department will draw the money from the Consolidated Revenue Fund (CRF) and pay the money to the Agency. Once an appropriation amount has been deposited in the Agency’s bank account, it becomes relevant money that may be used by the Agency at the discretion of the Board.

5.2.1 Instructions – officials authorised to receive appropriations

The Agency must agree with the Department of Social Security a schedule for the timing and amounts of payments of appropriations to be deposited in a nominated Agency bank account. The schedule must be informed by the Agency’s estimated cash forecasts.

5.3 Agreements with banks and managing bank accounts

This section provides instructions for officials who are authorised to:

enter into agreements with banks
open and maintain bank accounts.

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5.3.1 Instructions – all officials

You must:

not deposit bankable money into any bank account other than an Agency account unless the money is not required to be banked under section 20 of the PGPA Rule (Otherwise dealing with bankable money received by officials)
not open, maintain or close an Agency bank account unless you have been authorised to do so.

5.4 Agreements with banks

5.4.1 Instructions – officials authorised to enter into agreements with banks

Refer to the Finance Policies for directions and authorised positions to open, vary the conditions and or close official Agency bank accounts.

You may only enter into an agreement with a bank for overdraft drawings if the agreement provides for each drawing to be repaid within 30 days.

5.5 Managing bank accounts

5.5.1 Instructions – officials authorised to open and maintain bank accounts

You may only open and maintain Agency bank accounts in Australia.

When opening and maintaining an Agency bank account, you must comply with the directions outlined in the Finance Policies.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.54, s.55

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5.6 Investments

The Agency must not invest relevant money for which it is responsible unless the money is ‘not immediately required for the purposes of the entity’. If the money is not immediately required for the purposes of the Agency, the Board can invest this money in accordance with section 59 of the PGPA Act and section 22A of the PGPA Rule.

When making investments of money not immediately required, the Board is subject to the general duties of accountable authorities, in particular sections 15 and 16 of the PGPA Act.

5.6.1 Instructions – all officials

You must:

Not invest relevant money unless the money is not immediately required for the purposes of the Agency
comply with any directions in the written approval from the Finance Minister (if applicable) and the authorisation from the Board when investing relevant money.

Section 119 of the NDIS Act provides for the Agency to be able to accept a bequest from the public. Contact the Financial Governance and Compliance Team to seek advice on managing a bequest.

Investments must be made and managed in line with the Finance Policies, Managing Money section and the PGPA Act. Refer to Financial Authorisation 8: Investments for officials who are authorised to make investments.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.59

PGPA Rule: s.22A

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5.7 Borrowing

Under section 57 of the PGPA Act, the Agency may only borrow money if expressly authorised by an Act (e.g. the NDIS Act), or authorised by the Finance Minister in writing, or authorised by the PGPA Rule (as at 1 July 2016 the PGPA Rule did not prescribe requirements related to borrowing by corporate Commonwealth entities).

The Agency is not authorised to borrow under the NDIS Act and may only borrow when authorised to do so by the Finance Minister.

5.7.1 Instructions – all officials

You must not enter into a borrowing agreement on behalf of the Agency unless the Finance Minister has authorised the agreement in writing. The Agency must comply with the terms and conditions contained in the Finance Minister’s authorisation.

The CEO, COO and the CFO are authorised to enter into a credit arrangement if:

the borrowing is the obtaining of credit by way of credit card, credit voucher or similar credit facility; and
the agreement for the borrowing requires the amount borrowed to be repaid by the Agency within 90 days; or
the borrowing is authorised by the Finance Minister in writing or otherwise authorised by the PGPA Rule.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.57

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6. Managing debt and amounts owing to the Agency

The following topics on the management of debts and amounts owing to the Agency as either Agency debt or Scheme debt, are included in this section:

debt management and the recovery of debts
non-recovery (write-off) of debts
waiver of amounts owing to the Agency.

Generally, a ‘debt’ is:

a sum of money owing to the Agency
a known amount (or capable of being objectively determined) that is not being disputed
due for payment now and
capable of being recovered in an action for debt.

For example, an official who has been overpaid a salary, or a supplier who has been overpaid on an invoice, may owe a debt to the Agency as a result of the overpayment. An ‘amount owing’ includes all debts owed to the Agency, as well as amounts that are not yet due for payment (e.g. an invoice has been issued but payment is not due until next month).

The Board is required to ensure the proper use and management of public resources (section 15 of the PGPA Act), this includes the recovery of debts for which they are responsible. The Board may authorise officials to approve the non-recovery (write- off) of a debt or a waiver of amounts owing to the Agency.

6.1 Debt management

6.1.1 Instructions – all officials

You must:

cease any incorrect or ongoing overpayments as soon as you are made aware of them, and determine the amount owing to the Agency
pursue recovery of each debt for which the Board is responsible, except debts that are written off by the Board or an authorised official.
You must ensure that a decision not to pursue the recovery of a debt is approved by the Board or an authorised official.

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Where you establish that money is owed to the Agency, a debt must be raised as soon as practicably possible.

6.2 Managing Agency debts

Agency debt is an amount of money owed to the Agency, as a result of:

amounts due from corporate debts, overpayments, fees, leases, rents, services provided by the Agency
sales of real and personal issued property owned by the Agency
overpayments or incorrect payments paid to Agency employees (and former employees), other Commonwealth or state / territory government entities, external agencies, organisations or individuals (including Agency contractors and consultants); and/or
fines, penalties, damages, interest and forfeitures.

You must refer to the Agency’s Finance Policies, Agency Debt chapter for the identification, management and recovery of Agency debts.

6.3 Managing Scheme debt (under NDIS Act)

Scheme debt is a NDIS amount owed to the Agency, including as a result of:

incorrect payment or overpayment to a provider or participant (including nominees acting on behalf of participants)
compensation matters; and
other debts relating to the operations of the NDIS Act.

If you are responsible for managing debts and/or waivers under the NDIS Act, you must act in accordance with the legislation, the Scheme Debt Management policy and the NDIS Act 2013 Operations Instrument of Delegation.

6.4 Non-recovery (write-off) of Agency Debt

An authorised official may approve the non-recovery of a debt where:

the non-recovery has been authorised by an Act and the appropriate Financial Authorisation or Instrument of Delegation
you are satisfied that the debt is not legally recoverable or
you consider that it is not economical to pursue recovery of the debt.

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Information Type	Reference Document
Legislative requirements	PGPA Act: s.15

Public Governance, Performance and Accountability (Financial Reporting) Rule 2015 | | Related AAIs | Risk management

Disclosure of interests | | Internal authorisations | Financial Authorisations

NDIS Act 2013 Operations Instrument of Delegation | | Other relevant documents | Finance Policies, Debt Management chapter

Scheme Debt Policy | | Contacts | Finance Service Desk

Scheme Debt Management Team |

6.5 Waiver of amounts owing to the Agency

A waiver is a concession granted to an individual or other body that extinguishes a debt or other amount owing to the Agency. This means that the amount owing is completely forgiven and can no longer be recovered (even if the debtor’s circumstances change in the future). An authorised official may approve the waiver of amounts owing to the Agency where:

the non-recovery has been authorised by an Act and the appropriate Financial Authorisation or Instrument of Delegation
you are satisfied that the debt is not legally recoverable or
you consider that it is not economical to pursue recovery of the debt.

Waivers may be considered appropriate where, for example, the recovery of a debt would be inequitable or cause ongoing financial hardship.

6.5.1 Instructions – all officials

You must refer requests for waiver of an amount owing to the Agency, to an authorised official with the authorisation or delegation to waive the amount owing.

6.5.2 Instructions – officials authorised to waive amounts owing

When waiving an amount owing, you must comply with any directions in the authorisation from the Board for Agency Debts.

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Agency Debt

The Board have the discretion to waive amounts owed to the Agency, subject to any requirements contained in the PGPA Act or the NDIS Acct, in line with the Financial Authorisations.

Scheme Debt

Authorised officials have the discretion to write-off and waive amounts owed to the Agency subject to any requirements contained in the NDIS Act, and in line with the NDIS Act 2013 Operations Instrument of Delegation and the Scheme Debt Policy.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16

Public Governance, Performance and Accountability (Financial Reporting) Rule 2015

NDIS Act s. 190, 191, s.192, s.193, s.194, s.195 | | Guidance | Resource Management Guide 203: General duties of officials

Commonwealth Procurement Rules | | Related AAIs | Risk management

Disclosure of interests

Debt management (recovery and write-off) | | Internal authorisations | Financial Authorisations

NDIS Act 2013 Operations Instrument of Delegation | | Other relevant documents | Finance Policies, Debt Management chapter

Scheme Debt Policy | | Contacts | Finance Service Desk

Scheme Debt Management Team |

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7. Managing property

The following topics on the management of Agency property are included in this section includes:

procuring or acquiring relevant property
receiving gifts and benefits
finding property on Agency premises
custody, use and management of relevant property
disposing of relevant property (including gifting)
loss and recovery of relevant property.

Relevant property is property (other than relevant money) that is owned or held by the Commonwealth or the Agency, or any other thing prescribed by the PGPA Rule (see section 8 of the PGPA Act). It includes:

real property (i.e. land and buildings)
other goods or assets such as:
- equipment and furniture
- stationery and office supplies
- vehicles and fuel
- clothing and uniforms
- IT and telecommunications assets
- intellectual property and other intangible items
- heritage and cultural assets
- military equipment
- documents and/or data that represent value, such as shares, bonds, debentures and other securities
- accounts and records.

Relevant property also includes:

leased property and property held by the Commonwealth or the Agency on behalf of someone else
gifts given to the Agency and its officials.

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There are specific legislation and policies that apply to the acquisition, ownership, management and disposal of particular types of relevant property. Acquisition of property under specific legislation is subject to the provisions of the specific legislation. For example, relevant property which involves land, buildings and/or public works may be subject to the following:

the Lands Acquisition Act 1989
the Public Works Committee Act 1969.

7.1 Procuring or acquiring relevant property

7.1.1 Instructions – officials authorised to procure property

When procuring relevant property, you must:

act in a proper manner (efficient, effective, economical and ethical) and in a way that is not inconsistent with any relevant policies of the Australian Government
act in accordance with the instructions on procurement (see Procurement).

7.2 Management and use of Agency Property

You must manage Agency property in accordance with the Agency’s Finance Policies, Asset Management chapter.

You must not dispose of Agency property unless you have financial authorisation to do so as per Financial Authorisation 6: Disposal of Agency Assets.

7.3 Real property

In dealing with Agency property that is real property (including leases or arrangements that relate to interests in land) you must ensure that you comply with the requirements of the Lands Acquisition Act 1989 and any delegations that apply to the Agency under that Act, as and if applicable.

7.4 Receiving gifts and benefits

Officials, in the course of their work, may be offered gifts such as souvenirs, bottles of wine and personal items, or benefits such as sponsored travel, hospitality, accommodation or entertainment.

Generally, officials cannot accept gifts or benefits in the course of their work. However, there may be circumstances where it is appropriate to accept a gift or

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benefit — for example, where refusal could cause cultural offence. Officials need to carefully consider the appropriateness of a gift or benefit before accepting it.

Gifts provided to officials in the course of their work immediately become relevant property when received.

7.4.1 Instructions — all officials

You must not:

ask for, or encourage, the giving of gifts to yourself or other officials
accept a gift of money
accept a gift or benefit that influences, or could be perceived to influence, your decision or action on a particular matter.

If you consider accepting a gift or benefit, your decision must be defensible and able to withstand public scrutiny. You must have regard to the general duties of officials in deciding whether to accept a gift.

You must comply with the Agency’s Finance Policies, Gifts, Hospitality and Sponsorship chapter prior to giving or receiving of gifts (including gifting of Agency property). This includes seeking appropriate approval and the recording of the gift offered or accepted.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16, s.23, s.52

PGPA Rule: s.18

Lands Acquisition Act 1989 | | Related AAIs | Risk management

Disclosure of interests

Procurement and other arrangements

Property Service Desk |

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7.5 Finding property on Agency premises

Property found on Agency premises is relevant property and must be dealt with in a proper manner consistent with section 15 of the PGPA Act. The same is true of property found in a vehicle, container or receptacle that is under the control of the Agency.

7.5.1 Instructions – official who find property

You are responsible for the security of any property that you find on Agency premises or in other containers and vehicles that are under the control of the Agency. You must:

take reasonable steps to safeguard any found property
not misuse or improperly dispose of any found property.

7.6 Custody, use and management of relevant property

Officials are responsible for the management and security of any relevant property that officials receive or have custody of, including:

vehicles belonging to or leased by the Agency
bonds, debentures and other securities
shares in a company.

7.6.1 Instructions – all officials

You are responsible for the security of any relevant property you receive, or have custody of, and must take reasonable steps to safeguard the property from loss or damage.

You must:

only use relevant property for official purposes, unless permission for private use has been given.
not misuse or improperly dispose of relevant property.

7.6.2 Instructions – officials that use an Agency vehicle

You must:

not drive an Agency vehicle, unless prior agreement has been obtained
when driving an Agency vehicle:

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hold a valid driver’s licence appropriate for the class of vehicle and country where you are driving
comply with all relevant traffic laws, ordinances and regulations, including parking restrictions, of the country where you are driving
not drive an Agency vehicle if you are not medically fit to drive or are taking prescribed or non-prescribed drugs that can impair your driving ability
only use an Agency vehicle for official purposes, unless permission for private use has been given.

7.7 Disposing of relevant property (including gifting)

The Agency can dispose of relevant property in a number of ways, such as by sale, gift, trade-in, transfer to another Commonwealth entity, destruction, recycling or dumping.

Disposal of property under specific legislation, such as the disposal of any interest in real property by the Commonwealth under the Lands Acquisition Act 1989, is subject to the provisions of that legislation.

7.7.1 Instructions – officials authorised to dispose of relevant property

The disposal of property can only by authorised by an official who holds the appropriate Financial Authorisation.

You must not:

improperly dispose of relevant property
make a gift of relevant property, unless it complies with the instructions on gifting relevant property
dispose of relevant property found on Agency premises, except in accordance with the instructions.

You must ensure that, where economical to do so, relevant property is disposed of by:

transferring the property (with or without payment) to another Commonwealth entity with a need for the property or
selling the property at market price.

7.7.2 Instructions – officials authorised to dispose of found property

You may only dispose of property (other than money) found on Agency premises or in other containers or vehicles that are under the control of the Agency if the property is not claimed by its owner within two months.

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You must dispose of the property by sale, unless doing so is impracticable or undesirable in the public interest.

7.7.3 Instructions – officials authorised to gift relevant property

The Gifting of property can only by authorised by an official who holds the appropriate Financial Authorisation.
When approving a gift of relevant property, you must comply with the directions in the authorisation from the Board.
If you make an unauthorised gift of relevant property, you must personally pay the Agency the value of the relevant property.

Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16, s.72

PGPA Rule: s.18 | | Related AAIs | Risk management

Disclosure of interests

Procurement and other arrangements

Property Service Desk

Financial Reporting Team |

7.8 Loss and recovery of relevant property

7.8.1 Instructions — all officials

You are responsible for the security of any relevant property you receive, or have custody of, and must take reasonable steps to safeguard the property from loss.

For lost property found on Agency premises, contact the Property Team Service Desk for advice.

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Information Type	Reference Document
Legislative requirements	PGPA Act: s.15, s.16, s.72

PGPA Rule: s.18 | | Related AAIs | Risk management

Disclosure of interests

Disposing of relevant property

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8. Terms you need to know

AAI means Accountable Authority Instructions.

AAI Quick Guides means topic specific guides and scenarios to assist Officials, Contractors and Consultants in meeting the requirements of these AAIs.

Accountable Authority means the Board.

Agency means the National Disability Insurance Agency.

Agency personnel means:

A person who is engaged under the Public Service Act 1999 (Cth); or
A person who is otherwise engaged by the Agency.

Agency money means public or relevant money held in any bank account of the Agency, or relevant public money that is held by the Agency.

Agency property means relevant property (other than Agency money) that is owned or held by the Agency, or any other thing prescribed as Agency property by the PGPA Rule.

ANAO means Australian National Audit Office.

Arrangement means any arrangement for the procurement of goods or services under which Agency money is payable or may become payable, including a contract, agreement, deed, work order, purchase order, or memorandum of understanding.

Authorisation means a mechanism to confer a function, duty or power from the holder to another official.

Bankable money is Relevant money received by an official of a Commonwealth entity that can be deposited in banks in Australia, or in the place where the money was received. Bankable money must be deposited in a bank account in accordance with the PGPA Rule and the entity’s internal controls.

Breach or breach means the identification of a non-compliance with the finance law.

Board means the Board of the Agency established under section 123 of the NDIS Act

Business system means the Agency computer system that manages participant plans and payments (also known as the Customer Relationship Management (CRM) system.

CCE means Corporate Commonwealth Entity.

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CEO means Chief Executive Officer.

CFO means Chief Financial Officer.

CGRGs means Commonwealth Grant Rules and Guidelines.

CIO means Chief Information Officer.

Contractor means engaged by the Agency under contractual arrangements.

Consultant means engaged by the Agency to provide independent expert advice.

COO means Chief Operating Officer.

CPO means Chief People Officer.

CPRs means Commonwealth Procurement Rules.

CRO means Chief Risk Officer.

Executive Placement Program (EPP) officers mean Contractors of an equivalent level as SES, with equivalent management responsibilities, obligations, delegations and authorisations.

FBT means Fringe Benefits Tax.

Financial Authorisations means Financial Authorisations to officials from the Accountable Authority.

Finance law means PGPA Act, PGPA Rule, Appropriation Acts, instruments made under the PGPA Act including these AAIs.

FMCS means Financial Management and Compliance System.

Governance means the system of managing, controlling and monitoring.

Grant means the provision of financial assistance by the Agency to assist the recipient to achieve its goals while addressing the Agency’s outcome.

Human Resources Delegations and Authorisations means delegations and authorisations under the PS Act and other legislation that relates to human resource management.

Independent assurance means a process that tests both system and non-system controls and is provided by a person or persons independent of the business areas performing the work.

Material means when something is relevant, significant or important in its context.

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National Contracts means mandatory whole-of-Government contracts to be used for certain types of expenditure (e.g. CTM and COS).

NDIS Act means National Disability Insurance Scheme Act 2013.

NDIS amount means an amount paid under the National Disability Insurance Scheme in respect of reasonable and necessary supports funded under a participant’s plan.

NDIS Operations Delegations means delegation by the CEO of powers and functions under section 202 of the NDIS Act.

Official or official means an individual who is in or forms part of the Agency. This includes a member of the Accountable Authority of the Agency, staff engaged under the PS Act and an officer or employee of the Commonwealth, a state or territory whose services are made available to the Agency.

Official gift means any gift made to a person or organisation external to the Agency as a cultural gesture or token of appreciation.

Payment accuracy means the Agency’s ability to pay the right person the right amount of money, through the right program, at the right time and takes into account participant/provider/vendor and administrative errors.

Procurement means a term used to describe purchasing goods and/or services.

Proper means efficient, effective, economical and ethical.

Proportionate means an appropriate response or decision in the context of the particular circumstance – being in the correct proportion – commensurate.

Research or Evaluation Project means a project that involves the systematic collection and analysis of information to make judgements about the effectiveness, efficiency and/or appropriateness of an activity, the creation of new knowledge and/or the synthesis and analysis of existing knowledge so as to generate new concepts, methodologies, inventions and understandings to inform policy, programs or service delivery.

Real property means encompassing interests in land and fixtures or structures upon the land.

SES means Senior Executive Service (SES) employees employed under the PS Act.

Significant issue means a significant issue for the purpose of section 19 of the PGPA Act

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Significant non-compliance means any serious breach, including:

serious breaches of the duties of officials, including any fraudulent activity by officials;
systemic issues reflecting internal control failings or high-volume instances of non-compliance; and
non-compliance issues that are likely to impact on the Agency’s financial sustainability.

Tax Invoice or Invoice has the same meaning as given to that term in the A New Tax System (Goods and Services) Act 1999

Unbankable money is Relevant money that has been received by an official of a Commonwealth entity, and cannot be deposited in banks in Australia, or in the place where the money was received. For example, banks in Australia do not accept foreign currency coinage.

Waiver means a concession granted to a person or an organisation, with the correct approvals and authorisations, that extinguishes an Agency Debt. This means the Agency Debt is expunged and completely forgiven and can no longer be recovered by the Agency For employee debt, it may become a reportable fringe benefit for tax purposes.

Write-off means an accounting term which stops recovery action for an undefined period but does not expunge the debt at law. The Agency can recommence recovery action at a later date, should this be deemed appropriate – e.g. if the circumstances of the Debtor change

You means any person required to comply with the AAIs

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9. Financial Authorisations

9.1 Financial Authorisation 1: Approve Proposed Expenditure of Agency Funds (Program 1.2)

Financial Authorisation limits are inclusive of all taxes and charges (including GST) and are maximum limits applicable per purchasing decision in line with these AAIs. You may only approve expenditure if there are sufficient uncommitted funds available in your allocated budget to cover the proposed expenditure.

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card Holder
9.1.1	Operational Expenditure	PGPA Act s15, s22, s52	$60 million	$30 million	$10 million	$5 million	$200,000	$50,000	to limit of the facility
9.1.2	Partners in the Community Program (grants or procurement arrangements) Limited to line managers with PITC responsibilities	PGPA Act s15, s22, s52	$60 million	$50 million	$40 million	nil	nil	nil	nil
9.1.3	Settlement of Claims and Legal Disputes In consultation with DCEO Governance, Risk and Legal and Chief Counsel/General Counsel as applicable	PGPA Act s16	$60 million	nil	nil	nil	nil	nil	nil
9.1.4	Discretionary financial assistance (including defective administration)	NDIS Act s118(1)(a), (h)	$100,000	nil	nil	nil	nil	nil	nil
9.1.5	External Data Request Research Agreements Limited to line managers within the Research and Evaluation Branch	PGPA Act s15	$60 million	$30 million	$10 million	$5 million	nil	nil	nil
9.1.6	Consultants	PGPA Act s15	$60 million	nil	nil	nil	nil	nil	nil

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List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card Holder
9.1.7	Domestic travel	PGPA Act s15, s52	$50,000	$20,000	$10,000	$10,000	$2,000	nil	nil
9.1.8	International travel (CEO trips to be approved by the Chair of the Board)	PGPA Act s15, s52	$50,000	nil	nil	nil	nil	nil	nil
9.1.9	Official Hospitality	PGPA Act s15	$100,000	$20,000	$2,000	$500	nil	nil	nil
9.1.10	Food and Beverage	PGPA Act s15	$100,000	$10,000	nil	nil	nil	nil	nil
9.1.11	Giving of gifts	PGPA Act s15	$5,000	nil	nil	nil	nil	nil	nil
9.1.12	Other grants	PGPA Act s15	$60 million	$30 million	$10 million	nil	nil	nil	nil
9.1.13	Sponsorship	PGPA Act s15	$100,000	$10,000	$1,000	$200	nil	nil	nil
9.1.14	Property (leases and capital works) Limited to line managers with property responsibilities	PGPA Act s15, s16, s23, s52	$60 million	$30 million	$10 million	$5 million	$2 million	$100,000	up to $10,000
9.1.15	Security expenditure Limited to line managers with Security responsibilities	PGPA Act s15, s22, s52	$60 million	$30 million	$10 million	$5 million	$200,000	$50,000	nil
9.1.16	ICT expenditure Limited to CEO, COO, and line managers within CIO Division with ICT responsibilities.	PGPA Act s15, s22, s52	$60 million	$30 million	$10 million	$5 million	$200,000	$50,000	nil
9.1.17	Assistance for Agency Employees pursuant to Appendix A	PGPA Act s15, s16	$5 million	$1 million	nil	nil	nil	nil	nil

[7] Incl. Cabcharge card holders, eTag users & fuel card users.

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9.2 Financial Authorisation 2: Approve Proposed Expenditure of Scheme Funds (Program 1.1)

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card Holder
9.2.1	Expenditure of Program 1.1 funds (Scheme funds) for direct commissioning of supports for NDIS participants. Limited to line managers with direct commissioning responsibilities	NDIS Act s14(1), (2)	$60 million	$30 million	$10 million	$5 million	nil	nil	nil
9.2.2	Research and Evaluation projects	NDIS Act s118(1)(c), (e), (f)	$60 million	$30 million (COO only)	nil	nil	nil	nil	nil
9.2.3	Expenditure of funds to provide support and assistance	NDIS Act s6	$60 million	$30 million (COO only)	$10 million (CFO Only)	nil	nil	nil	nil
9.2.4	Expenditure of funds for coordination, strategic and referral services etc. to people with disability	NDIS Act s14	$60 million	$30 million (COO only)	$10 million (CFO Only)	nil	nil	nil	nil

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9.3 Financial Authorisation 3: Enter or Vary an Arrangement

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	SES Band 3	SES Band 2	SES Band 1	EL2	EL1	Credit Card Holder
9.3.1	Enter or vary an arrangement including a contract, agreement, grant, deed or understanding (commitment of Agency funds, up to the limits of the Financial Authorisation)	PGPA Act s15, s23	Yes	Yes	Yes	Yes	Yes	Yes	Yes - to limit of the facility (e.g., credit card transactional limit)
9.3.2	Execute contract on behalf of CEO (up to limits of financial authorisation of the CEO)	PGPA Act s15, s23	N/A	Yes (COO only)	No	No	No	No	No
9.3.3	Enter an arrangement including a contract, agreement, grant, deed or understanding (no commitment of Agency funds)	PGPA Act s15, s23	Yes	Yes	Yes	Yes	Yes	Yes	No

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9.4 Financial Authorisation 4: Manage a Debt

Waive an Agency debt, defer time for payment, agree to repayment plan or write-off (excluding Scheme debt, under NDIS Act provisions – refer to the NDIS Act and Scheme Debt Policy)

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	COO	CFO	Branch Manager Agency Budget and Financial Control
9.4.1	Agency Debt Waiver	PGPA Act s15, s16	$200,000	$150,000	$100,000	$50,000
9.4.2	Agency Debt Write-off	PGPA Act s15	$500,000	$350,000	$100,000	$50,000
9.4.3	Agency Debt repayment plan	PGPA Act s15	$500,000	$350,000	$100,000	$50,000

9.5 Financial Authorisation 5: Asset Revaluations

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	COO	CFO	Branch Manager Agency Budget and Financial Control
9.5.1	Revaluations Limited to Line Managers in CFO Division	PGPA Act	$60 million	$30 million	$10 million	$5 million

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9.6 Financial Authorisation 6: Disposal of Agency Assets

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	COO	CFO	Branch Managers Agency Budget and Financial Control, Corporate Information and Property Services, ICT, Security	EL2 Agency Budget and Financial Control, EL2 Property, EL2 ICT, EL2 Security
9.6.1	Disposal of Agency Assets Limitations/Categories of Assets (net book value)	PGPA Act s15, s16, s72	$60 million	$30 million	$10 million	$200,000	$50,000

9.7 Financial Authorisation 7: Agency Asset Write-offs

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	COO	CFO	Branch Manager Agency Budget and Financial Control	EL2 Agency Budget and Financial Control
9.7.1	Agency Asset Write-offs Limitations/Categories of Assets (net book value)	PGPA Act s15, s16, s72	$60 million	$30 million	$10 million	$200,000	$50,000

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9.8 Financial Authorisation 8: Investments

List Number	Description of Authorisation/Function	Source of power Legislation/Section	CEO	COO	CFO	Branch Manager Agency Budget and Financial Control	EL2 Responsible for Treasury Operations
9.8.1	Investments Individual investments as per 5.6	PGPA Act s59	Limit of balance	$2 billion	$1 billion	$500 million	nil

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10. Appendix – Assistance for Agency personnel involved in legal proceedings

10.1 Application

Appendix A concerns the handling of requests for assistance in relation to legal proceedings (including potential legal proceedings) as well as inquests, inquiries and subpoenas.

Appendix A applies to a request for assistance by a person who, at the time of the alleged event or occurrence, was an Agency personnel.

These instructions do not apply to disciplinary proceedings taken against Agency personnel, by the Agency.

10.2 General Policy

The general policy underlying the provision of assistance to Agency personnel for legal proceedings is the prospect of some benefit to the Agency as a result of the protection of:

10.3 Criteria for assistance

Expenditure should normally be approved to assist Agency personnel who are a defendant in civil or criminal proceedings if:

a. the proceedings arose out of an incident that relates to their employment with the Agency; and

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b. the Agency personnel acted reasonably and responsibly.

10.4 Basis for approving indemnification of Agency personnel against costs or damages

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Payment of any amount by way of assistance may nevertheless be refused if assistance is not provided as required by paragraph 10.4 of this Appendix.

10.5 Level of assistance

The assistance may involve approval to pay:

Where the approval given under paragraph 10.5 extends to an appeal, that approval may be revoked by notice given to the Agency personnel.

Approval of expenditure for an Agency personnel’s legal representation, for related costs or for legal costs payable by the Agency personnel to another party is only to be given for an amount that is reasonable, having regard to the nature of the matter. In particular, payments for counsel are to be made in accordance with the Legal Services Directions 2017, at Appendix D. The Agency will need to monitor the conduct of the proceedings to ensure that the Agency personnel’s costs of legal representation and other related costs and the Agency’s possible ultimate exposure to liability are within reasonable limits. In addition, the Agency is to take appropriate steps to satisfy itself that any legal costs or damages payable by the Agency personnel to another party are reasonable.

Note: Even if there is no requirement to obtain legal advice in relation to a request for assistance, it may be appropriate in particular cases the Agency to do so. In particular, this may be desirable to ensure that Agency payments for Agency personnel’s legal representation are reasonable in the circumstances. Obtaining legal advice in appropriate cases may be consistent with the duty of accountable authorities to govern in a way that

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promotes the proper use and management of public resources (see section 15 of the Public Governance, Performance and Accountability Act 2013).

Approval to pay assistance in relation to the defence of an indictable offence is to be limited initially to the preparation and conduct of committal proceedings.

10.6 Inquests and inquiries

Approval of expenditure is only to be given for an amount that is reasonable, having regard to the nature of the inquest or inquiry.

Expenditure will not generally be approved to a challenge to the validity, or conduct, of an inquest or inquiry.

10.7 Assistance to Agency personnel for subpoenas

Expenditure may be approved for the costs of legal representation and other related costs in responding to a subpoena if it relates to Agency personnel’s employment with the Agency.

The approval is only to be given for an amount that is reasonable, having regard to the nature of the subpoena.

10.8 Assistance to Agency personnel responding to notices or directions under the National Anti-Corruption Commission Act 2022 (NACC Act)

Expenditure may be approved for the costs of legal representation and other related costs in responding to a notice or direction under the NACC Act issued to:

a. the Agency; or

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b. Agency personnel where the subject of the notice or direction relates to: i. the Agency personnel’s employment; or ii. the Agency’s functions, or matters incidental or conducive to those functions

The approval is only to be given for an amount that is reasonable, having regard to the nature of the notice or direction.

10.9 Assistance to Agency personnel as plaintiffs

10.10 Who makes the decision to assist

10.11 Legal representation

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personnel. (This will save on legal costs and assist in the proper conduct of the proceedings, while the agreement required under paragraph 9.5 will avoid a conflict of interest arising).

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11. Version control table

Release	1
Effective Date	14 October 2020
Author	Procurement and Corporate Services Branch
Owner	Deputy Chief Executive Corporate Services and Chief Financial Officer
Client	All National Disability Insurance Agency (NDIA) employees and labour hire workers/consultants
Document Number	1

Release	2
Effective Date	10 September 2021
Authors	Finance Branch and HR Advisory Services
Owners	Chief Financial Officer and Chief People Officer
HR Delegations Audience	All National Disability Insurance Agency (NDIA) employees
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	2

Release	3
Effective Date	1 July 2022
Authors	Finance Branch and HR Advisory Services
Owners	Chief Financial Officer and Chief People Officer
HR Delegations Audience	All National Disability Insurance Agency (NDIA) employees
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	3

Release	4
Effective Date	28 August 2023

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Authors	Financial Control Branch
Owners	Chief Financial Officer
Financial Authorisations Audience	All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants
Document Number	4

Release | 5 Effective Date | XX October 2024 Author | Agency Budget and Financial Control Branch Owner | Chief Operating Officer, Chief Financial Officer Financial Authorisations Audience | All National Disability Insurance Agency (NDIA) employees, labour hire workers, contractors including Executive Placement Program and consultants Document Number | 5

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FOI 24/25-1693 DOCUMENT 3.2 OFFICIAL: SENSITIVE

Agenda Item 7.1 Attachment B Background from Legal on Discretionary financial assistance and defective administration

redacted: s42 - legal professional privilege

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DOCUMENT 3.3

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Agenda Item 7.1 Attachment C

Financial Authorisation changes (Quick Reference)

Table

Section	Reference	Changes/inclusions
Financial Authorisation 1	9.1.1	Increases in authorisation limits for Operational Expenditure for the following positions: CEO from $30 million to $60 million SES Band 3 from $10 million to $30 million SES Band 2 from $5 million to $10 million SES Band 1 from $1 million to $5 million
Financial Authorisation 1	9.1.2	Increases in authorisation limits for Partners in the Community Program (limited to line managers) for the following positions: CEO from $30 million to $60 million SES Band 3 from $30 million to $50 million SES Band 2 from $20 million to $40 million
Financial Authorisation 1	9.1.3	New authorisation for Settlement of Claims and Legal Disputes for CEO only, $60 million
Financial Authorisation 1	9.1.4	New authorisation for Discretionary financial assistance for CEO only, $100,000
Financial Authorisation 1	9.1.5	New authorisation for External Data Request Research Agreements (limited to line managers) the following positions: CEO $60 million SES Band 3 $30 million SES Band 2 $10 million SES Band 1 $5 million
Financial Authorisation 1	9.1.6	Increase in authorisation limit for Consultants for CEO from $20 million to $60 million
Financial Authorisation 1	9.1.2	Increase in authorisation limits for Other Grants for the following positions: CEO from $30 million to $60 million SES Band 3 from $1 million to $30 million SES Band 2 from $500,000 to $10 million
Financial Authorisation 1	9.1.14	Increases in authorisation limits for Property (limited to line managers) for the following positions: CEO from $30 million to $60 million SES Band 3 from $20 million to $30 million no changes in limits for SES Band 2 or Band 3, EL2 or EL1
Financial Authorisation 1	9.1.15	Increases in authorisation limits for Security Expenditure (limited to line managers) for the following positions: CEO from $30 million to $60 million SES Band 3 from $10 million to $30 million SES Band 2 from $5 million to $10 million SES Band 1 from $1 million to $5 million no changes in limits for EL2 or EL1
Financial Authorisation 1	9.1.16	Increases in authorisation limits for ICT Expenditure (limited to line managers) for the following positions: CEO from $30 million to $60 million SES Band 3 from $10 million to $30 million SES Band 2 from $5 million to $10 million SES Band 1 from $1 million to $5 million EL2 from $200,000 to $2 million

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Section	Reference	Changes/inclusions
		EL1 from $50,000 to $100,000
Financial Authorisation 1	9.1.17	New authorisation added for Assistance for Agency Employees involved in legal proceedings for the following positions: CEO $5 million SES Band 3 $1 million
Financial Authorisation 1	Removed	Was listed as 9.1.3 Authorisation for changes to pricing of reasonable and necessary supports impacting Scheme costs has been removed
Financial Authorisation 2	9.2.1	Increases in authorisation limits for expenditure of Program 1.1 funds (Scheme funds) for direct commissioning (limited to line managers) for the following positions: CEO from $30 million to $60 million SES Band 3 from $10 million to $30 million SES Band 2 from $5 million to $10 million SES Band 1 from $1 million to $5 million
Financial Authorisation 2	9.2.2	Increase in authorisation limit for Research and Evaluation projects Program 1.1 funds (Scheme funds) for CEO from $30 million to $60 million Addition of an authorisation for the following positions: COO $30 million
Financial Authorisation 2	9.2.3	New authorisation for Expenditure of funds to provide support and assistance for following positions: CEO $60 million COO $30 million CFO $10 million
Financial Authorisation 2	9.2.4	New authorisation for expenditure of funds for coordination, strategic and referral services etc. to people with disability for following positions: CEO $60 million COO $30 million CFO $10 million
Financial Authorisation 4	9.4.1	Addition of an authorisation to waive agency debts for the following positions: CFO $100,000 BM AFBC $50,000
Financial Authorisation 4	9.4.2	Addition of an authorisation to write off agency debts for the following positions: CFO $100,000 BM ABFC $50,000
Financial Authorisation 4	9.4.3	Separate authorisation for Agency Debt repayment plan, was previously included with write-off authorisation. No change to authorisation limit Addition of an authorisation to authorise an agency debt repayment plan for the following positions: CFO $100,000 BM ABFC $50,000
Financial Authorisation 5	9.5.1	New authorisation for Revaluations (limited to Line Managers in CFO Division) for following positions: CEO $60 million COO $30 million CFO $10 million BM ABFC $5 million
Financial Authorisation 6	9.6.1	Increase in authorisation limit for Disposal of Agency Assets (limited to Line Managers) CEO from $30 million to $60 million

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Section	Reference	Changes/inclusions
		COO from $15 million to $30 million CFO from $2 million to $10 million
Financial Authorisation 7	9.7.1	Increase in authorisation limit for Agency Asset Write-offs (limited to Line Managers) CEO from $30 million to $60 million COO $15 million to $30 million CFO from $2 million to $10 million

End of Table

OFFICIAL Page 207 of 265 7.1c.3

FOI 24/25-1693 DOCUMENT 4

Required Action: For decision / For information PDR: EC24-003676 Critical Date: Due date for CEO action – min. 3 bus. days Div: OPC

NDIS ACT 2013 OPERATIONS INSTRUMENT OF DELEGATION - 1 OF 2025

1. Purpose

1.1. To seek your approval to update the National Disability Insurance Scheme (NDIS) Act 2013 Operations Instrument of Delegation (IOD) 1 of 2025 with: 1.1.1. Legislative updates (Sections 32BA and 45) as part of the NDIS Amendment (Getting the NDIS Back on Track No. 1) Act 2024 passed by the Parliament on Thursday 22 August (Attachment A); 1.1.2. Updates to Compensation delegations (Attachment B), including: 1.1.2.1. Aligning APS3 – 5 Compensation staff to have same Plan Variation and Reassessment delegations as core Service Delivery staff; 1.1.2.2. Remove section 55 delegation (“Obtain information from other persons to ensure the integrity of the NDIS”) for all Compensation staff except SES Band 2 level; and 1.1.2.3. Provide Specialised Service Delivery, Home and Living Planning & Operations and ART Case Management staff delegations to approve plans with a Compensation Reduction Amount (CRA). 1.2. That you note: 1.2.1. Updates to National Call Centre Branch (NCC) job titles to more accurately reflect staff in the Branch who perform delegate functions (Attachment C). 1.2.2. Minor/administrative corrections identified as part of regular auditing processes. 1.3. For this to be in force from 1 January 2025.

2. Background

2.1. The Operations Performance and Capability Division (OPC) hold accountability for internal coordination, implementation, and compliance of the IOD as determined by the Chief Executive Officer under s202 of the National Disability Insurance Scheme Act 2013. 2.2. All requests for amendments to the IOD are coordinated via OPC to ensure consistency in its application and to operationalise these delegations via the Agency’s business systems.

3. Proposed amendments to IOD

3.1. Attachment A provides a detailed table in relation to Legislative updates as part of the NDIS Amendment (Getting the NDIS Back on Track No. 1) Act 2024. 3.2. Attachment B details Compensation Branch’s request, including: 3.2.1. Aligning APS3 – 5 Compensation staff to have same Plan Variation and Reassessment delegations as core Service Delivery staff; 3.2.2. Limit section 55 delegation to SES Band 2 level. Compensation Branch staff (APS 6 – SES Band 1) currently have this delegation, which is inconsistent with wider Service Delivery;

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3.2.3. Provide Specialised Service Delivery, Home and Living Planning & Operations and ART Case Management staff delegations to approve plans with a Compensation Reduction Amount (CRA): 3.2.3.1. Currently, only Compensation delegates can approve participant plans that have a CRA element. Under the existing planning pathway, participants being managed within Specialised Service Delivery have their plans developed by the Specialised Delegate before being referred to a Compensation Delegate to have the CRA applied, and the plan approved. 3.2.3.2. This change will improve operational efficiency and timeliness of decision making, improving consistency of plan changes for participants. This change also means that the delegate responsible for the development of a Specialised Service Delivery plan, or ART case management decision, will also be the delegate for approving the plan. 3.2.3.3. Compensation Branch will engage directly with Specialised Service Delivery to support the application of CRA’s to NDIS participants’ plans. Training of Specialised Service Delivery planning teams will be undertaken to support the change. 3.3. Attachment C details NCC’s updates to staff job titles. 3.4. Attachment D provides a draft copy of the Instrument of Delegation 1 of 2025 – marked up version. 3.5. Attachment E provides a formal copy of the Instrument of Delegation for your signature.

4. Stakeholder Engagement

4.1. Consultation with Business areas across the Agency affected by the NDIS Amendment (Getting the NDIS Back on Track No. 1) Act 2024 has been undertaken. Service Delivery have also been working closely with the Legislation and Legal Policy Branch providing advice (in accordance with the updated legislative powers) and empowering additional staff to make delegate decisions across key Service Delivery functions. 4.2. A Communication and Engagement plan has been developed in conjunction with the Communications and Engagement Division ensuring that staff understand the IOD, what they need to do, and how it affects their role and delegated authority.

5. Legal and Risk

5.1. Legal Services have reviewed and endorsed updates. 5.2. Service Delivery Risk Partner have reviewed and have advised that there is no specific risks or concerns with this proposal.

6. Next Steps

6.1. Publishing of IOD 1 of 2025 will coincide with section 32BA (“Notice of Impairments”) of the NDIS Amendment (Getting the NDIS Back on Track No. 1) Act 2024 coming into force from 1 January 2025.

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redacted: s47F - personal privacy

…………………… Scott McNaughton DCEO, Service Delivery Group

redacted: s47F - personal privacy

Date: 19 December 2024

Prepared by: David Robinson A/g Branch Manager Performance Workload Planning & Quality Branch

redacted: s47F - personal privacy

7. Recommendation

7.1. That you approve and sign the NDIS Act 2013 Operations IOD 1 of 2025 (Attachment C).

8. Authorisation

8.1. The CEO may, in writing, delegate powers and functions under the NDIS Act or Rules to an Agency officer, pursuant to section 202 of the NDIS Act 2013.

redacted: s47F - personal privacy

Sam Porter A/g Chief Executive Officer

Date: 23 December 2024

9. Attachments (remove heading if nil)

Attachment A: Legislative updates table
Attachment B: Compensation Branch Change Request Form (completed)
Attachment C: NCC Change Request Form (completed)
Attachment D: National Disability Insurance Scheme Act 2013 Operations Instrument of Delegation 1 of 2025 (with tracked changes)
Attachment E: National Disability Insurance Scheme Act 2013 Operations Instrument of Delegation 1 of 2025 (clean – for CEO signature)

10. Distribution

A copy of this brief has been provided to:

Andrew Ford Deputy Chief Counsel Legislation and Legal Policy

Chris Breitkreuz Chief Financial Officer

Michael Minney Service Delivery Risk Partner

Cassie Hammond

Deb Connock

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Branch Manager Scheme Eligibility

Branch Manager Compensation

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DOCUMENT 5 version: May 2025

ndis

AAIs Quick Guide

The contents of this document are OFFICIAL

Delegations and Authorisations

Delegations and authorisations set out legal powers and functions Agency officials have under different legislation. The delegations and authorisations specific to the Agency are Financial Authorisations, Human Resource Delegations and NDIS Operations Delegations.

Financial Authorisations

Through the Accountable Authority Instructions (AAIs), the Board issues the Agency’s Financial Authorisations. The Financial Authorisations ensure the Board is able to meet its governance, risk management and oversight duties under the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and provides the framework for managing the Agency’s financial resources.

Human Resource Delegations

The Public Service Act 1999 (PS Act) provides the CEO (as employer) with powers and functions in relation to the employment and management of employees. The CEO has delegated some of these powers and functions to particular positions. For further information, refer to the HR Delegations.

NDIS Operations Delegations

The National Disability Insurance Scheme Act 2013 (NDIS Act) enables the CEO to delegate to an official any of the powers conferred to them under the Act. The delegations of power and function under the NDIS Act include, for example, decisions that relate to access, planning, compensation, review of plans, review of decisions and debt recovery. A person must comply with any directions given by the CEO when exercising those powers or functions under the NDIS Act and outlined in the NDIA Act 2013 Operations Instrument of Delegation.

The Financial Authorisations have spending limits

Financial Authorisations are capped at a value, or at the level of available funds under the official’s control. It is the responsibility of all officials to know the relevant thresholds under the Financial Authorisations and to satisfy themselves that any action they take is in accordance with the Accountable Authority Instructions (AAIs) and Financial Authorisations. The Financial Authorisations are located in section 9 of the AAIs.

Financial Authorisations are inclusive of all taxes and charges (including GST) and are maximum limits applicable per purchasing decision. Each value threshold is based on the whole-of-life value of the commitment. Extensions to commitments and other increases in value (or risk profile) must be approved based on the cumulative whole-of-life value of the commitment (not just the increase) unless otherwise specified.

Principles of the Financial Authorisations

The Financial Authorisations reflect the organisational structure. A Financial Authorisation can only be exercised if there is sufficient uncommitted funds available within the functional budget responsibility of the official.

Officials acting in a role within the Agency will automatically assume delegations and authorisations for that position for the period that the acting arrangement is in place.

You must not authorise or approve your own expenditure, e.g travel.

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Contingent liabilities need to be considered

Contingent liabilities must be factored into the total sum (on a most probable expenditure basis). Any commitment containing a contingent liability must be reviewed by Legal Services prior to entering into the commitment. You should also refer to the AAIs Quick Guide - Indemnities and other contingencies.

Financial Authorisation categories

Financial Authorisation	Description
Financial Authorisation 1	Approve proposed expenditure of Agency Funds (Program 1.2)
Financial Authorisation 2	Approve proposed expenditure of Scheme Funds (Program 1.1)
Financial Authorisation 3	Enter or vary an Arrangement
Financial Authorisation 4	Manage a Debt
Financial Authorisation 5	Asset Revaluations
Financial Authorisation 6	Disposal of Agency Assets
Financial Authorisation 7	Agency Asset Write-offs
Financial Authorisation 8	Investments

More Information and additional guidance:

Contact the Finance Service Desk for more information. For additional guidance, refer to the:

Accountable Authority Instructions and Financial Authorisations
AAIs Quick Guide - Duties of Officials
AAIs Quick Guide - Indemnities and other contingencies

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AAIs Quick Guide

The contents of this document are OFFICIAL

Duties of Officials

An official is an individual who is in or forms part of the Agency. Under the Public Governance Performance and Accountability Act 2013 (PGPA Act), officials include: members of the Accountability Authority of the Agency (the Board); staff engaged under the Public Service Act 1999 (PS Act); and officers or employees of the Commonwealth, state or territory.

As an official, you must exercise your powers and perform your functions under the PGPA Act and rules in accordance with certain standards of behaviour. Sections 25-29 of the PGPA Act impose the following duties on all officials:

PGPA Section	Duty	Description
Section 25	Duty of care and diligence	You must take a reasonable amount of care when exercising your powers, performing your functions and discharging your duties. You must assess the potential consequences of your actions and do what a reasonable person in the same position and situation would do.
Section 26	Duty to act honestly, in good faith and for a proper purpose	You must act honestly, work towards Agency outcomes, and act in a way that you genuinely believe is in the best interests of the Agency.
Section 27	Duty in relation to use of position	You must not use your position improperly with the intention to gain an advantage for yourself or another person or to cause harm to the Agency, the Commonwealth or anyone else.
Section 28	Duty in relation to use of information	You must not use information obtained as a result of your position with the intent to gain an advantage for yourself or another person, or, to cause harm to the Agency, the Commonwealth or anyone else.
Section 29	Duty to disclose material personal interests	You have a duty to disclose any material personal interests that you have that relates to the affairs of the Agency. You must disclose any conflict of interest, whether real or perceived.

Key points

The duties in the PGPA Act are consistent with duties in APS Code of Conduct. For APS employees, adherence with the APS Code of Conduct will ordinarily meet the requirements of the duties under the PGPA Act.

Officials who do not discharge their general duties can be subject to employment sanctions, including termination of employment (for staff) or termination of appointment (for Board members or office holders).

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Contractors (including Executive Placement Program officers (EPPs)) and consultants must comply with the relevant terms of their contract, including the functions of the PGPA Act where applicable. For example, complying with relevant policies and the Fraud and Corruption Control Plan, maintaining appropriate records, disclosing material personal interests and exercising Financial Authorisations.

Case Study: Joshua is an official and must act in accordance with the duties of officials when exercising a power, authorisation, or function under the PGPA Act.

Scenario 1: Joshua has been given a mobile phone so he can perform his functions as an official. Joshua leaves the phone in a public place and it is stolen. Joshua has not exercised due care or diligence and should have ensured the security of the phone to prevent it from being stolen.
Scenario 2: Sandy has asked Joshua if she can use a fleet vehicle to run some personal errands. Sandy has offered to reimburse the Agency for the costs of her personal use. Joshua refuses the request; to do otherwise would be to fail to act honestly, in good faith and for proper purposes.
Scenario 3: Joshua sits on a recruitment panel. After the closing date for applications, Joshua discovers that his best friend from university has applied for the role. This is a conflict of interest and must be disclosed.

More Information and additional guidance:

Contact the Finance Service Desk for more information. For additional guidance, refer to the:

Accountable Authority Instructions and Financial Authorisations
Department of Finance - General Duties of Officials (RMG 203)

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DOCUMENT 5.2 version: May 2025

ndis

AAIs Quick Guide

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Indemnities and other contingencies

Contingent liability

A contingent liability is a potential liability that may occur, depending on the outcome of an uncertain future event.

Types of contingent liabilities

Type	Description
Indemnity	A legally binding promise whereby the Agency undertakes to accept the risk of loss or damage another party may suffer.
Guarantee	A promise whereby the Agency assumes responsibility for the debt, or performance of the obligations of, another party on default of its obligation.
Warranty	A promise whereby the Agency provides certain assurances to the other party to an arrangement.
Liability cap	A liability cap or limit may result in the creation of a contingent liability. Prior to entering into an arrangement with a liability cap, advice should be obtained from Legal Services.

Requirements for entering into an arrangement that involves a contingent liability

You cannot enter into an arrangement that involves a contingent liability unless an official with the required authorisation has approved it prior to entering into the arrangement. Refer to section 3.8 of the Accountable Authority Instructions (AAIs).

The application and approval to enter an arrangement with a contingent liability must be recorded in the Financial Management and Compliance System (FMCS).

The AAIs include an exception for vehicle rentals, venue and equipment hire arrangements and car park licences. These exceptions are listed below.

AAI exceptions

If you are organising vehicle rentals, venue and equipment hire or a car park licence, you are covered by exception if:

the arrangement is occurring within Australia;
the arrangement is part of official Agency business;
the equipment hire is limited to audio/visual, or furniture for stalls;
the likelihood of unsociable behaviour is remote;
the indemnity clause does not cover costs of civil or criminal penalties; and
where subcontractors are engaged, the services will be limited to audio/visual services, catering, or non-construction set up of stalls.

If you answer yes or not applicable to all of the above points then you can proceed without obtaining further approval for the indemnity provision.

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Liability cap

A liability cap may result in the creation of a contingent liability, if:

it involves limiting a supplier’s contingent liability to a third party so that the Agency is liable to the third party for any excess above that cap; or
it limits a supplier’s exposure for damage the supplier has suffered itself, so that the Agency is liable to the supplier for any excess.

All contracts that include a liability cap should be referred to the Procurement Branch using the Procurement Service Desk and Legal Services for review to determine if the cap constitutes a contingent liability.

Implications of contingent liabilities on the Agency’s insurance coverage

Section 18(3) of the Comcover Statement of Cover sets out indemnity terms and conditions. Comcover will not pay for a liability arising out of any indemnity unless:

a. the liability would have arisen in the absence of such indemnity; or b. the indemnity is contained in a contract where the contract was entered into prior to 1 July 2004; or c. the Agency has followed Australian Government policy on issuing and managing indemnities and, after making reasonable inquiries, the Agency has assessed: i. the likelihood of the event giving rise to the liability occurring as being less than 5%; and ii. the most probable expenditure that would need to be made if the event giving rise to the liability occurred as being less than $5,000,000.

If the Agency is considering entering into an arrangement where the assessed exposure exceeds the Comcover thresholds, the Risk Advisory Branch must be consulted to review the proposal and to consult with Comcover.

More Information and additional guidance:

Contact the Finance Service Desk for more information. For additional guidance, refer to the:

Accountable Authority Instructions and Financial Authorisations
Finance Policies, Chapter 2, General Insurance
Department of Finance - Indemnities, Guarantees and Warranties

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DOCUMENT 5.3

Human Resources (Chief Executive Officer of the National Disability Insurance Agency) Delegation (No.1) 2024

I, Rebecca Falkingham, Chief Executive Officer of the National Disability Insurance Agency, make the following instrument of delegation and authorisation.

Dated 17 April 2024

redacted: s47F - personal privacy

Rebecca Falkingham

Chief Executive Officer of the National Disability Insurance Agency

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Human Resources (Chief Executive Officer of the National Disability Insurance Agency) Delegation (No.1) 2024 …………………………………………………… 1

Part 1 - Preliminary …………………………………………………………………………………………………………………………………………………………………………………..4
- 1. Name ……………………………………………………………………………………………………………………………………………………………………………………………….4
- 1. Commencement ………………………………………………………………………………………………………………………………………………………………………………..4
- 1. Authority …………………………………………………………………………………………………………………………………………………………………………………………..4
- 1. Definitions ………………………………………………………………………………………………………………………………………………………………………………………..5
Part 2 - Delegation and authorisation …………………………………………………………………………………………………………………………………………………………. 8
- 5. Delegation ………………………………………………………………………………………………………………………………………………………………………………………..8
- 1. Directions …………………………………………………………………………………………………………………………………………………………………………………………9
- 1. Authorisation …………………………………………………………………………………………………………………………………………………………………………………….9
Part 3 - Revocation …………………………………………………………………………………………………………………………………………………………………………………10
- 8. Revocation of instruments ………………………………………………………………………………………………………………………………………………………………… 10
Schedule 1 …………………………………………………………………………………………………………………………………………………………………………………………….11
- Table 1: Allowances and Reimbursements …………………………………………………………………………………………………………………………………………….. 11
- Table 2: Classification and Positions (non-SES) ……………………………………………………………………………………………………………………………………… 13
- Table 3: Code of Conduct ……………………………………………………………………………………………………………………………………………………………………. 14
- Table 4: Consultation and Communication …………………………………………………………………………………………………………………………………………….. 15
- Table 5: Dispute Resolution …………………………………………………………………………………………………………………………………………………………………. 16
- Table 6: Governance …………………………………………………………………………………………………………………………………………………………………………… 17
- Table 7: Learning and Development ……………………………………………………………………………………………………………………………………………………… 18
- Table 8: Leave ……………………………………………………………………………………………………………………………………………………………………………………19
- Table 9: Recruitment …………………………………………………………………………………………………………………………………………………………………………… 28
- Table 10: Redeployment ……………………………………………………………………………………………………………………………………………………………………… 32

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Table 11: Relocation and Remote Locality …………………………………………………………………………………………………………………………………………….. 35 Table 12: Remuneration ………………………………………………………………………………………………………………………………………………………………………. 36 Table 13: Review of Actions …………………………………………………………………………………………………………………………………………………………………. 39 Table 14: Termination …………………………………………………………………………………………………………………………………………………………………………. 42 Table 15: Work Health and Safety ………………………………………………………………………………………………………………………………………………………… 43 Table 16: Working Hours and Arrangements ………………………………………………………………………………………………………………………………………….. 43

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Part 1 - Preliminary

1. Name

This instrument is the Human Resources (Chief Executive Officer of the National Disability Insurance Agency) Delegation (No.1) 2024.

2. Commencement

This instrument commences on the day this instrument is signed by the Chief Executive Officer of the National Disability Insurance Agency.

3. Authority

This instrument is made under: (a) the Acts Interpretation Act 1901; (b) section 78(7) of the Public Service Act 1999; (c) section 105(3) of the Public Service Regulations 2023; (d) section 69(1) of the Australian Public Service Commissioner’s Directions 2022; (e) rule 13(1) of the Public Service Classification Rules 2000; (f) section 9(1) of the Long Service Leave (Commonwealth Employees) Act 1976; (g) section 14 of the Long Service Leave (Commonwealth Employees) Regulations 2016; (h) section 11(1) of the Maternity Leave (Commonwealth Employees) Act 1973; (i) clause 5 National Disability Insurance Agency Enterprise Agreement 2024-2027; (j) clauses 64-71, 141, 541, 542.2, 544, 553, 554, 567, 568, 569.2 and 605 of the National Disability Insurance Agency Enterprise Agreement 2024-2027; and (k) section 159(1)-(2) of the National Disability Insurance Scheme Act 2013.

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4. Definitions

Note 1: Expressions used in this instrument have the same meaning as the Act or instrument, as in force from time to time, that authorises the making of this instrument. The expressions used in an authorising Act or instrument, are incorporated pursuant to section 46 of the Acts Interpretation Act 1901, including those listed below: (a) APS employee is defined in section 7 of the Public Service Act 1999.

Note 2: A number of expressions used in this instrument are defined in the National Disability Insurance Scheme Act 2013, including: (a) CEO is defined in section 9 of the National Disability Insurance Scheme Act 2013.

(1) In this instrument:

AI Act means Acts Interpretation Act 1901.

APS4 means an APS Level 4 classification under the Public Service Classification Rules 2000.

APS5 means an APS Level 5 classification under the Public Service Classification Rules 2000.

APS6 means an APS Level 6 classification under the Public Service Classification Rules 2000.

APSC Directions means Australian Public Service Commissioner’s Directions 2022.

Commissioner means the Australian Public Service Commissioner appointed under the Public Service Act 1999.

EL1 means an Executive Level 1 classification under the Public Service Classification Rules 2000.

EL2 means an Executive Level 2 classification under the Public Service Classification Rules 2000.

FW Act means Fair Work Act 2009.

ISAC means an Independent Selection Advisory Committee established under subdivision B of Division 2 of Part 6 of the Public Service Regulations 2023.

LSL Act means Long Service Leave (Commonwealth Employees) Act 1976.

LSL Regs means Long Service Leave (Commonwealth Employees) Regulation 2016.

MPC means the Merit Protection Commissioner appointed under the Public Service Act 1999.

ML Act means Maternity Leave (Commonwealth Employees) Act 1973.

NDIA EA means the National Disability Insurance Agency Enterprise Agreement 2024-2027.

NDIA means the National Disability Insurance Agency established under section 117 of the National Disability Insurance Scheme Act 2013.

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NDIS Act means the National Disability Insurance Scheme Act 2013.

NES means the National Employment Standards as defined in the FW Act.

People and Culture means the Division/s or Branch/es in the NDIA responsible for human resources related matters. People and Culture includes the SES Band 3 manager of the Division/s or Branch/es.

PRC means a Promotion Review Committee appointed under Division 2 of Part 4 of the Public Service Regulation 2023.

PS Act means Public Service Act 1999.

PS Regs means Public Service Regulations 2023.

PSC Rules means Public Service Classification Rules 2000.

SES Band 1 means a Senior Executive Band 1 classification under the Public Service Classification Rules 2000.

SES Band 2 means a Senior Executive Band 2 classification under the Public Service Classification Rules 2000.

SES Band 3 means a Senior Executive Band 3 classification under the PSC Rules.

(2) Where this instrument refers to an APS classification and then uses the words ‘or above’, this means an APS employee occupying or performing the duties of that APS classification or a higher classification under the Public Service Classification Rules 2000.

For example:

SES Band 1 or above means an APS employee occupying or performing the duties of an SES Band 1 classification or a higher classification under the Public Service Classification Rules 2000.

(3) Where this instrument refers to an APS classification ‘in People and Culture’, this means an APS employee occupying or performing the duties of a classification in the Division/s or Branch/es in the National Disability Insurance Agency responsible for human resource related matters.

For example:

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EL1 and above in People and Culture means an APS employee occupying or performing the duties of an Executive Level 1 classification or a higher classification under the Public Service Classification Rules 2000 in the Division or Branch in the National Disability Insurance Agency responsible for human resource related matters.

(4) Where this instrument refers to an APS classification ‘for employees under their control’, this means an APS employee occupying or performing the duties of a classification where the power, function or duty to be delegated is in respect of an employee who is under the APS employee’s management control in the National Disability Insurance Agency.

For example:

(a) An APS employee occupying or performing the duties of an Executive Level 2 classification, or a lower classification, under the Public Service Classification Rules 2000, would be able to exercise a power or function in respect to an employee under their management control in their team. (b) An APS employee occupying or performing the duties of a SES Band 1 classification under the Public Service Classification Rules 2000 would be able to exercise a power or function in respect of an employee in their Branch. (c) An APS employee occupying or performing the duties of a SES Band 2 would be able to exercise a power or function in respect of an employee in their Division. (d) An APS employee occupying or performing the duties of a SES Band 3 would only be able to exercise a power or function in respect of an employee in their Group.

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Part 2 - Delegation and authorisation

5. Delegation

(1) Except for the authorisations identified in paragraph 7(1) of this instrument, the CEO delegates the powers, functions, and duties under the provisions of the Acts and instruments specified in an item in Columns 3 and 5 of the table in Schedule 1 of this instrument, to each APS employee occupying or performing the duties of a position described in Column 4 of the same item of the table in Schedule 1. (2) The CEO delegates to each APS employee occupying or performing the duties of a SES Band 1 or above in People and Culture, all of the CEO’s powers, functions and duties under the following Acts and instruments: (a) PS Act; (b) PS Regs; (c) APSC Directions; (d) PSC Rules; (e) LSL Act; (f) ML Act; and (g) NDIA EA.

Note 1: The class of delegate in Column 4 of the table in Schedule 1 is based on the duties the APS employee is performing in the NDIA at the time the power or function is exercised. The APS employee’s substantive classification will apply unless the APS employee is temporarily assigned duties at a higher classification at the time the power or function is exercised.

Note 2: The delegate must comply with any written directions given by the CEO in relation to the exercise of powers and functions, given under the following: (a) section 78(11) of the PS Act; (b) section 105(8) of the PS Regs; (c) section 69(5) of the APSC Directions; (d) rule 13(6) of the PSC Rules; (e) section 9(4) of the LSL Act; (f) section 11(4) of the ML Act.

Note 3: The NDIA EA does not apply to SES employees.

Page 225 of 265

Directions

(1) The delegate must not exercise the delegated power in relation to themselves. (2) Subject to paragraph 6(3) of this instrument, the delegate must not sub-delegate any of the CEO’s powers, functions or duties. (3) APS employees who are delegated the power to sub-delegate powers, functions, and duties under the NDIA EA in item 6.01 of Schedule 1 of this instrument may subdelegate a power under the NDIA EA. (4) The delegate must have regard to relevant policies and procedures published by the NDIA and available on the NDIA intranet from time to time.

Authorisation

The CEO authorises each APS employee occupying or performing the duties of a position described in Column 4 of Schedule 1 of this instrument to exercise the powers, functions and/or duties specified in Column 3 and 5, as an authorisation not as a delegation, for those items listed as a footnote

Part 3 - Revocation

Revocation of instruments

(1) Under subsection 33(3) of the AI Act, this instrument revokes the following instruments:

(a) Human Resources (Chief Executive Officer of the National Disability Insurance Agency) Delegations (No. 2) 2023; and
(b) all other instruments made by the CEO, which delegate the CEO’s powers and functions under the following:
    (i) PS Act;
    (ii) PS Regs;
    (iii) APSC Directions;
    (iv) PSC Rules;
    (v) LSL Act;
    (vi) LSL Regs;
    (vii) ML Act; and
    (viii) NDIA EA.

Schedule 1

The Public Service Act 1999 allows the CEO to delegate the powers and functions for the employment and the management of employees. The CEO has delegated some of these powers and functions to particular positions as set out in this Schedule.

Table 1: Allowances and Reimbursements

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
1.01	Support for Professionals	Approve reimbursement towards annual membership of professional associations relevant to an employee’s work in the NDIA within limits specified in NDIA EA Appendix B	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 488; NDIA EA Appendix B
1.02	Workplace Contact Officer Allowance	Appoint an employee to undertake a workplace contact officer role. If appointed, the employee will be entitled to be paid an allowance in accordance NDIA EA 74 - 76 and NDIA EA Appendix B, provided they have undertaken the relevant training and/or possess the required certification/s.	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 75 and 76; NDIA EA Appendix B
1.03	Workplace Contact Officer Allowance	Determine the eligibility of an employee to be a workplace contact officer, including by reference to an employee’s physical availability to undertake the role and whether duties of a particular role may only be satisfactorily performed by an employee maintaining a certain level of physical presence in the workplace.	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 76
1.04	Workplace Contact Officer Allowance	Approve under exceptional circumstances the payment of additional role allowances based on operational requirements.	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 78
1.05	Community Language Allowance (CLA)	Determine a continuing need for an employee to utilise their particular language skills for communication in languages other than English for the purposes of being paid a CLA and the rate of CLA in accordance with NDIA EA 82 Table 1	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 81
1.06	Motor Vehicle Allowance	Approve the use of a private motor vehicle by an employee for official purposes where the delegate considers it will result in greater efficiency or involve less expense for the NDIA – if approved, the employee will receive a motor vehicle allowance in accordance with the rates in NDIA EA 89 and NDIA EA Appendix B	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 87; NDIA EA Appendix B

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
1.07	Excess Fares	Approve in accordance with NDIA EA 102, unless exceptional circumstances exist, reimbursement of excess fares incurred by an employee as a result of work related travel while performing duty temporarily at another location.	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 101
1.08	Review Rate Travelling Allowance	Approve payment of reasonable expenses and reimbursements related to travel after an employee has temporarily resided in one locality for a period of more than 21 days	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 500
1.09	Excess Travelling Time	Approve an Excess Travelling Time payment, or time off in lieu up to three months, for an employee where the NDIA initiates a change to the employee’s primary place of work and additional time necessarily spent in travel is required.	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 95-99; NDIA EA Appendix B
1.10	School Holiday Family Care Reimbursement	Approve reimbursement of the amount an employee has paid for each school child attending approved or registered care for an approved period of leave, where the leave has been cancelled or the employee is required to return from leave early because of the NDIA’s business requirements during school holidays - reimbursement will apply only for the days when the employee is at work (NDIA EA 398). Determine that exceptional circumstances exist such that reimbursement may apply to days when the employee is not at work (under NDIA EA 398).	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 396 - 399
1.11	Extra Family Care Costs	Approve payment or reimbursement (net of government assistance) of the reasonable cost of additional family care arrangements on receipt of satisfactory evidence	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 503
1.12	Loss or Damage to Clothing or Personal Effects	Approve payment of up to the Comcover excess to an employee per incident for loss or damage to clothing or personal effects while the employee is on official business, in accordance with the rates in NDIA EA Appendix B	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 90; NDIA EA Appendix B
1.13	Remote Locality Field Allowance	Approve the payment of Field Allowance to an eligible employee for additional expenses that may be incurred when travelling to remote or very remote areas for business purposes, in accordance with the rates in NDIA EA Appendix B	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 512; NDIA EA Appendix B
1.14	Additional Expenses	Approve payment to an employee an allowance or reimbursement for reasonable expenses incurred in the course of an employee’s employment that is not otherwise specified within the Agreement or policy	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 103

Table 2: Classification and Positions (non-SES)

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
2.01	Create positions	Create positions in the NDIA for APS employees at classification levels up to and including EL2 and nominate APS employees to occupy such positions	SES Band 2 or above for employees under their control; and EL2 or above in People and Culture	PS Act s77
2.02	Allocation of Classification – To Employees	Allocate an approved classification to a non-SES APS employee in the NDIA	SES Band 2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	PSC Rules r6
2.03	Allocation of Classification – To Group of Duties	For APS classification levels up to and including EL2, allocate an approved classification to each group of duties to be performed in the NDIA based on the work value of the group of duties and work level standards (as applicable)	SES Band 2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	PSC Rules r9(1) - (2A)
2.04	Allocation of Classification – Section 26 Agreement	Allocate to a non-SES APS employee who temporarily moves to the NDIA: • the approved classification that was allocated to the employee immediately before moving to the NDIA; or • another approved classification that is in the same group as the approved classification that was allocated to the employee immediately before moving to the NDIA	SES Band 3; and EL2 or above in People and Culture	PSC Rules r7(3)
2.05	Training related	If a training classification is allocated to a group of duties, ensure that the relevant duties include a requirement to undergo training	SES Band 3; and EL2 or above in People and Culture	PSC Rules r9(3)
2.06	Training related	Allocate to an APS employee a classification mentioned in column 3 of Schedule 2 to the PSC Rules that relates to the employee’s training classification, where the employee who is employed at a training classification satisfactorily finishes each training requirement for that classification	SES Band 3; and EL2 or above in People and Culture	PSC Rules r11
2.07	Broadband	Allocate more than one classification (a broadband) to a group of duties and establish further levels of broadbanding or advance an employee to a higher classification in the broadband (not including SES classification)	SES Band 1 or above in People and Culture	PSC Rules r9(4); NDIA EA 115 and 116
2.08	Work level standards	Issue, in writing, APS work level standards for each classification, other than an APS Level classification, Executive Level classification or SES classification, describing the work value of the group of duties to be performed in the NDIA at that classification	SES Band 3; and SES Band 1 or above in People and Culture	PSC Rules r10 NDIA EA 105

Table 3: Code of Conduct

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
3.01	Establish procedures and ensure access to procedures	Establish written procedures for determining breaches of the APS Code of Conduct and sanctions (if any) to be imposed on an APS employee who is found to have breached the Code of Conduct; and ensure that the procedures established are made publicly available.	SES Band 1 or above in People and Culture	PS Act s15(3)-(5) and 15(7)
3.02	Sanctions	Impose sanction/s for a breach of the APS Code of Conduct	SES Band 1 or above; and EL1 or above in People and Culture	PSA s15(1)-(2)
3.03	Commissioner Code Investigation	Request the Commissioner to inquire into and determine whether an APS employee, or former APS employee, in the NDIA has breached the APS Code of Conduct	SES Band 3; and SES Band 1 or above in People and Culture	PS Act s41B(1)(a)
3.04	Commissioner Code Sanction	If the Commissioner finds that an APS employee in the NDIA has breached the APS Code of Conduct, request the Commissioner to recommend sanctions in respect of the breach	SES Band 3; and SES Band 1 or above in People and Culture	PS Act s41B(9)(b)(i)
3.05	MPC Code Investigation	Request the MPC to inquire into and determine whether an APS employee, or former APS employee, has breached the APS Code of Conduct	SES Band 3; and SES Band 1 or above in People and Culture	PS Act s50A(1)
3.06	Suspension	Suspend an employee from duties with or without remuneration, review the suspension at reasonable intervals and end of the suspension in accordance with PS Regs 14	SES Band 1 or above; and EL1 or above in People and Culture	PS Regs 14¹
3.07	APSC SES Code Investigation	If an SES employee in the NDIA is suspected of breaching the Code of Conduct, consult with the Commissioner on the process for determining whether the employee has breached the Code of Conduct, consult with the Commissioner before imposing the sanction.	SES Band 1 or above in People and Culture	APSC Directions s64(a)

1 This regulation is made for the purposes of s 28 of the PS Act.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
3.08	APSC SES Code Sanction	If an SES employee in the NDIA is suspected of breaching the Code of Conduct, and a sanction is being considered, consult with the Commissioner before imposing the sanction on the employee	SES Band 1 or above in People and Culture	APSC Directions s64(b)
3.09	Commissioner Reporting	Consult with the Commissioner before entering into a settlement agreement with a person who is or was an APS employee relating to sexual harassment that includes a non-disclosure or confidentiality provision	SES Band 1 or above in People and Culture	APSC Directions s20
3.10	Commissioner Reporting	Notify the Commissioner of the number of Agreements entered into relating to an APS or former APS person’s employment that includes a non-disclosure or confidentiality provision	SES Band 1 or above in People and Culture	APSC Directions s21(2)

Table 4: Consultation and Communication

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
4.01	Consultation – changes to HR policy or guidelines	Consult with employees and/or the Agency Consultative Network (ACN) when proposing to develop or review any NDIA policies, procedures or guidelines that support the operation of the NDIA EA²	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 554
4.02	Consultation - Major Change	Where the NDIA has decided to, or proposes to, introduce a change as described in NDIA EA 533 and 534, notify employees who may be affected by the change and their nominated representatives (if applicable)³	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 541
4.03	Consultation - Major Change	Discuss with the relevant employees and their nominated representatives (if applicable) the matters set out in NDIA EA 542.1, and, for the purposes of the discussion, provide in writing to the relevant employees and their representatives (if applicable) matters set out in NDIA EA 542.2⁴	EL2 or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 542

² Under the NDIA EA, the NDIA will make provision for consultation arrangements regarding general workplace relation matters. Item 4.01 is an authorisation and not a delegation. ³ Under the NDIA EA, the NDIA must notify the relevant employees of the decision to introduce the change. Item 4.02 is an authorisation and not a delegation. ⁴ Under the NDIA EA, the NDIA will discuss the change with relevant employees and provide relevant matter in writing. Item 4.03 is an authorisation and not a delegation.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
4.04	Consultation - Major Change	Determine whether information is confidential or commercially sensitive information and therefore not appropriate for disclosure to employees⁵	SES Band 2 or above; and EL2 or above in People and Culture	NDIA EA 544
4.05	Membership of the ACN	Established the ACN to discuss relevant workplace matters and representation on the committee will be in accordance with the ACN Charter⁶	SES Band 1 or above in People and Culture	NDIA EA 552
4.06	APS Consultative Committee	Provide information as requested by the APSC to support the operation of the APS Consultative Committee	EL1 or above in People and Culture	NDIA EA 562

Table 5: Dispute Resolution

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
5.01	Use and disclosure of personal information	Use and disclose personal information in accordance with the circumstances set out in PS Regs 103⁷	SES Band 1 or above for employees under their control; and SES Band 2 or above; and APS5 or above in People and Culture	PS Regs 103⁷
5.02	Dispute Resolution	Give a direction to an employee to perform other available work at the same workplace or another workplace subject to NDIA EA 569.2⁸	EL2 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 569.2

⁵ Under the NDIA EA, the NDIA is not required to disclose confidential or commercially sensitive information to relevant employees. Item 4.04 is an authorisation and not a delegation, ⁶ The ACN is identified as a key mechanism for consultation under the NDIA EA. Clauses 553 of the NDIA EA do not contain CEO powers or functions. Item 4.05 is an authorisation and not a delegation. ⁷ This regulation is made for the purposes of section 72E(a) of the PS Act. ⁸ Clause 569.2 of the NDIA EA states that while the parties are trying to resolve the dispute, employees must comply with a direction given by the NDIA to perform other available work at the same workplace, or at another workplace, unless particular criteria is met. Item 5.02 is an authorisation and not a delegation under the NDIA EA.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
5.03	Dispute Resolution	If discussions at the workplace level do not resolve the dispute, refer the dispute to the Fair Work Commission⁹	SES Band 3; and EL2 or above in People and Culture	NDIA EA 567
5.04	Dispute Resolution	Settle a dispute before the Fair Work Commission¹⁰	SES Band 3; and EL2 or above in People and Culture	NDIA EA 568

Table 6: Governance

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
6.01	Sub-delegation	Delegate to or authorise any person to perform any or all of the CEO’s powers or functions under this agreement, including this power of delegation, and may do so subject to conditions.	SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 5
6.02	Issue Guidelines	Issue NDIA policies, guidelines and/or procedures as necessary	SES Band 3; and EL2 or above in People and Culture	NDIA EA 8
6.03	State of the Service report	Provide the Commissioner with whatever information is required for the purposes of the Commissioner’s report on the State of the Service	SES Band 3; and SES Band 1 or above in People and Culture	PS Act s44

⁹ Clause 567 of the NDIA EA states that if discussions at a workplace level do not resolve the dispute a party to a dispute may refer the matter to the FWC. Item 5.03 is an authorisation and not a delegation under the NDIA EA. ¹⁰ The components of any settlement proposal or agreement may be subject to their own delegation or authorisation. In that case, the decision maker must ensure an appropriate delegate or authoriser has approved each separate component of the settlement.

Table 7: Learning and Development

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
7.01	Approve Study and Professional Development Support	Provide assistance to an employee for undertaking an approved course of study or for professional development, this includes leave (paid or unpaid) for study and exams including reasonable travel time	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 484
7.02	Study and Professional Development Financial Support	Provide assistance to an employee for undertaking an approved course of study or for professional development. This includes financial assistance or reimbursement of reasonable costs associated with your study or professional development	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 484
7.03	Integrity Training APS ongoing employees	Ensure arrangements are made for an ongoing APS employee to undertake integrity training within 6 months of their employment	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	APSC Directions s19(1)
7.04	Integrity Training APS non-going employees	Ensure arrangements are made for a non-ongoing APS employee to undertake integrity training as soon as practicable after their engagement.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	APSC Directions s19(2)
7.05	First Nations cultural competency training	Ensure arrangements are made for any ongoing EL2 employees to undertake First Nations cultural competency training within 12 months of the commencement of the EA and any new or promoted ongoing EL2s within 6 months of engagement.	SES Band 1 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 432 and 433

Table 8: Leave

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.01	Annual Leave	Approve an employee taking annual leave on full or half pay at any time	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 262
8.02	Annual Leave Half Pay	Determine if an employee requests to take their paid annual leave at half pay is approved when that employee has an excess annual leave balance. For the purposes of this Agreement, an excess annual leave balance is eight weeks of paid annual leave based on the employee’s ordinary hours of work.	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 264
8.03	Purchased Leave	If an employee has more than 12 months APS service as an ongoing or non-ongoing employee, agree to the employee purchasing up to eight weeks of unpaid leave, funded by salary deductions over a maximum period of 12 months	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 272
8.04	Excess Annual Leave	Direct an employee who has an excess annual leave balance to take a period of annual leave to reduce their annual leave balance.	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 265
8.05	Annual Leave – Voluntary Cash Out	Approve an employee’s application to cash out any amount of their annual leave subject to the employee meeting the requirements in NDIA EA 269	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 269, 270
8.06	Personal / Carers Leave	Approve an employee’s application for personal/carer’s leave with pay, subject to available personal leave credits, where the employee is absent for up to 10 consecutive working days due to personal illness or injury, or to provide care or support to a member of the employee’s immediate family or household because of the member’s personal illness or injury or an unexpected emergency affecting the member	APS5 and APS6 with employee supervisory duties or above for employees under their control for periods up to 10 working days; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 255 and NDIA EA 286
8.07	Personal / Carers Leave	Approve an employee’s application for personal/carers leave with pay, subject to available personal leave credits, in excess of 10 consecutive working days where the employee is absent due to personal illness or injury, or to provide care or support to a member of the employee’s immediate family or household because of the member’s personal illness or injury or an unexpected emergency affecting the member	EL1 for periods up to 1 month in respect of employees under their control; and EL2 or above for periods up to 3 months for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 286

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.08	Personal / Carers Leave	Request an employee produce satisfactory medical evidence or other supporting documentation to support any period of personal leave where the employee has had repeated or frequent single day or short term absences, or a pattern of taking a particular working day off (e.g. Mondays)	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 255 and NDIA EA 294, 295
8.09	Personal / Carers Leave	Grant an exception to the requirement to provide a medical certificate or other supporting documentation for personal/carer’s leave under NDIA EA 294 where the requirements in NDIA EA 297 are met	EL2 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 255 and NDIA EA 297
8.10	Personal / Carers Leave	Approve an employee’s request to convert personal/carer’s leave credits to half pay to cover a period of leave for sick or caring purposes	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 NDIA EA 283
8.11	Additional Personal / Carers Leave Paid	Grant in exceptional circumstances, where an employee has insufficient personal/carer’s leave credits and subject to the provision of suitable evidence, may grant additional personal/carer’s leave with pay.	EL2 for periods up to 10 working days in respect of employees under their control; or SES Band 1 for periods up to 1 month in respect of employees under their control; or SES Band 2 for periods up to 3 months in respect of employees under their control SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 285
8.12	Additional Personal / Carers Leave Unpaid	Grant in exceptional circumstances, where an employee has insufficient personal/carer’s leave credits and subject to the provision of suitable evidence, may grant additional personal/carer’s leave without pay.	APS5 and APS6 with employee supervisory duties or above for employees under their control up to 10 working days or EL1 for periods up to 1 month in respect of employees under their control; or EL2 for periods up to 3 months in respect of employees under their control SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 285, NDIA EA 290
8.13	Compassionate leave	Grant 3 days paid compassionate leave per occasion	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 349

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.14	Bereavement leave	Grant 3 days paid bereavement leave per occasion	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 353
8.15	Bereavement leave - Additional Paid and Unpaid	Grant additional bereavement leave paid or unpaid to an employee upon the death of a family member.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 356
8.16	Long Service Leave	The minimum period for which LSL will be granted is 7 calendar days (whether taken at full or half pay)	EL1 for periods up to 1 month in respect of employees under their control; and EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 310
8.17	Long Service Leave	Authorise payment in lieu of long service leave upon cessation or death after 10 years’ service	EL1 or above in People and Culture	LSL Act s16(4)-(7)
8.18	Long Service Leave	Determine that a period of leave of absence without pay is to be included in a period of service for LSL Act purposes	EL1 or above in People and Culture	LSL Act s12(3)(b)-(4)
8.19	Long Service Leave	Recognise prior service for LSL Act purposes	APS5 or above in People and Culture	LSL Act s11-12
8.20	Long Service Leave	Determine previous service is continuous where the delegate is satisfied that, among other things, termination of previous employment was due to ill health and recommencement occurred within 12 months of being able to work again	APS5 or above in People and Culture	LSL Act s12(7)-(8) and LSL s13(8)-(9)
8.21	Long Service Leave	Grant long service leave on full salary in specified circumstances with less than 10 years’ service	SES Band 3; and EL1 or above in People and Culture	LSL Act s17(1)

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.22	Long Service Leave	Authorise payment in lieu of long service leave upon cessation/death of an employee with less than 10 years’ service	SES Band 3; and EL1 or above in People and Culture	LSL Act s17(2)-17(5)
8.23	Long Service Leave	Determine period of full pay long service leave deemed to have been granted, for certain recognised service where satisfied it is not granted at full or half pay	SES Band 3; and EL1 or above in People and Culture	LSL Act s19(2)(b)
8.24	Long Service Leave	Determine period of long service leave deemed granted in respect of certain recognised service where a payment in lieu of long service leave has been made	SES Band 3; and EL1 or above in People and Culture	LSL Act s19(2)(d)
8.25	Long Service Leave	Direct that the death of an employee, whose period of service is at least one year, is to be presumed to have occurred on a specified date for the purposes of the LSL Act	SES Band 3; and EL1 or above in People and Culture	LSL Act s23(1)
8.26	Long Service Leave	Have regard to losses suffered by dependants as a result of the loss of earnings of the employee	SES Band 3; and EL1 or above in People and Culture	LSL Act s23(2), 16(7), 17(5)
8.27	Long Service Leave	Authorise payment(s) to a deceased employee’s legal personal representative	SES Band 3; and EL1 or above in People and Culture	LSL Act s23(3), 16(7), 17(5)
8.28	Long Service Leave	Appoint and authorise payment to trustee(s) where payee has a legal disability	SES Band 3; and EL1 or above in People and Culture	LSL Act s23(4)
8.29	Long Service Leave	Pay amount to Commonwealth after death in specified circumstances	SES Band 3; and EL1 or above in People and Culture	LSL Act s23(5)
8.30	Long Service Leave	Authorise payment of excess amounts under transitional provisions of the LSL Act	SES Band 3; and EL1 or above in People and Culture	LSL Act s24
8.31	Long Service Leave	Certify in writing periods in respect of which higher duties would have been performed	SES Band 3; and EL1 or above in People and Culture	LSL Regs 14
8.32	Parental Leave	Grant paid leave due to stillbirth, pregnancy loss or premature birth.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 340, 342 and 344

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.33	Parental Leave	Grant an employee parental leave without pay up to 24 months from the child’s birth or placement.	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 326
8.34	Parental Leave	Grant an employee parental leave with pay up to 24 months from the child’s birth or placement.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 326
8.35	Maternity Leave	Determine whether an employee on leave without pay can be granted maternity leave	SES Band 1 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	ML Act s6(4F)
8.36	Maternity Leave	Determine whether unauthorised absence of a pregnant employee prior to maternity leave is in extenuating circumstances	SES Band 1 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	ML Act s6(4C)
8.37	Maternity Leave	Grant or refuse an application to resume duty/provide reasons for refusal	SES Band 1 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	MLA s7A (1)(2) MLA s7A(4)(a)
8.38	Maternity Leave	Within 7 business days of receiving a request under ML Act s7A (4), review a decision by a leave officer refusing permission for an employee to resume duty and either affirm the decision or quash the decision and grant the applicant permission to resume duty, and inform the applicant in writing of the decision	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	ML Act s7A (4-6)
8.39	Miscellaneous Leave - Paid	Grant an employee leave with pay where no other appropriate leave type applies and subject to certain conditions, such as short term special/emergency situations, or for a purpose that the delegate considers to be in the interests of the NDIA	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month; for employees under their control and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 311

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.40	Miscellaneous Leave - Unpaid	Grant an employee leave without pay where no other appropriate leave type applies and subject to certain conditions, such as short term special/emergency situations, or for a purpose that the delegate considers to be in the interests of the NDIA	EL2 for periods up to 1 month in respect of employees under their control; or SES Band 1 or above for periods up to 12 months in respect of employees under their control SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 311
8.41	Family and Domestic violence Leave - Paid	Grant an employee paid miscellaneous leave in accordance with NDIA EA 311 who is experiencing family and domestic violence which may include, but are not limited to NDIA EA 415	APS5 and APS6 with employee supervisory duties or above for employees under their control; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 415
8.42	NAIDOC Week Leave	Grant an employee one day of paid leave for the employee to participate in NAIDOC Week celebrations	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 315
8.43	First Nations ceremonial Leave - Paid	Grant First Nations employees access up to six days of paid leave over two calendar years to participate in significant activities associated with their culture or to fulfil ceremonial obligations.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 317
8.44	First Nations ceremonial Leave - Unpaid	Grant up to two months miscellaneous leave without pay to participate in significant activities associated with their culture or to fulfil ceremonial obligations.	EL2 for periods up to 1 month in respect of employees under their control; or SES Band 1 or above for periods up to 12 months in respect of employees under their control SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 317
8.45	First Nations ceremonial Leave - Additional Paid and Unpaid	Grant additional leave for cultural or ceremonial purposes as miscellaneous leave with or without pay.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 318

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.46	Cultural Leave - Paid	Grant an employee up to three days paid cultural leave per year for the purpose of attending significant religious or cultural obligations associated with the employees’ particular faith or culture.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 321
8.47	Cultural Leave– Additional Paid and Unpaid	Grant additional leave for cultural purposes as miscellaneous leave either with or without pay	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 322
8.48	Cultural Leave-Unpaid	Grant an employee up to up to two months miscellaneous leave without pay for the purpose of attending significant religious or cultural obligations associated with the employees’ particular faith or culture.	EL2 for periods up to 1 month in respect of employees under their control; or SES Band 1 or above for periods up to 12 months in respect of employees under their control SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 321
8.49	Emergency Response Leave - Paid	Grant full-time and part-time employees access to 20 working days of paid emergency response leave at their full rate of pay per year if required and may approve additional emergency response leave with pay.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 362

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.50	Emergency Response Leave - Paid and Unpaid	Grant reasonable paid or unpaid leave for ceremonial duties and training.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 365
8.51	Disaster Support	Grant paid miscellaneous leave for an employee where an official disaster or emergency is declared and this prevents an employee from reasonably attending work, or where it impacts their household or home and flexible working arrangements to assist are not appropriate. The period of leave is to give consideration to NDIA EA 442	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 441
8.52	Sabbatical Leave	Grant an employee sabbatical leave	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 358
8.53	Community Volunteering Leave Paid and Unpaid	Grant an employee up to four days of miscellaneous leave with pay and a reasonable amount of miscellaneous leave without pay to undertake community volunteering leave.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 371

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.54	Defence Reservist Leave - Paid and Unpaid	Approve an employee leave with or without pay to undertake Australian Defence Force (ADF) Reserve and continuous full-time service (CFTS) and Australian Defence Force Cadet obligations in accordance with NDIA EA 375-382	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 374
8.55	Defence Reservist Leave	Grant paid leave to an employee to attend an interview or medical examination in connection to enlistment in a Reserve Force	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 255 and NDIA EA 379
8.56	Unauthorised Absence	Determine an employee’s absence without approval as an unauthorised absence	EL1 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 255 and NDIA EA 394
8.57	Leave to attend proceedings	Grant an employee paid or unpaid miscellaneous leave if required to give evidence to a Court, Tribunal or Royal Commission for any other reason.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 392
8.58	Leave to attend proceedings	Refuse to release an employee from duty having regard to business requirements and whether the employee’s attendance is necessary for the Court, Tribunal or Royal Commission hearing.	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 393
8.59	Portability of Leave	Recognise any unused accrued personal/carer’s leave where the ongoing employee immediately prior to the engagement, was previously employed by a State, Territory Government or Government entity provided there is no break in continuity of service	SES Band 3; and APS5 or above in People and Culture	NDIA EA 255 and NDIA EA 303, 304

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
8.60	Government Directed Miscellaneous Leave - Paid	Grant a casual employee paid miscellaneous leave where Government directive provides for this.	EL1 for periods up to 5 working days for employees under their control; and EL2 for periods up to 10 working days for employees under their control; and SES Band 1 for periods up to 1 month for employees under their control; and SES Band 2 for periods up to 3 months in respect of employees under their control. SES Band 3; and EL2 or above in People and Culture	NDIA EA 311 and NDIA EA 312
8.61	Leave without pay	Arrange for an APS employee on leave granted under APSC Directions s67(1) to return to the NDIA as soon as practicable and arrange for the employee to undertake duties at the NDIA at their former classification or an equivalent classification	SES Band 3; and EL2 or above in People and Culture	APSC Directions s67(2)
8.62	Leave without pay	Grant leave without pay to an ongoing APS employee who applies for leave to undertake or continue specified employment under the Governor-General Act 1974 or the Members of Parliament (Staff) Act 1984	SES Band 3; and EL2 or above in People and Culture	APSC Directions s67(1)

Table 9: Recruitment

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
9.01	Assignment of duties (includes promotion, temporary transfer)	Determine the duties of an APS employee in the NDIA, and the place or places at which the duties are to be performed	EL2 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	PS Act s25
9.02	Movements between agencies	Enter into an agreement in writing with an APS employee for the employee to move to the NDIA from another agency	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	PS Act s26

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
9.03	Reduction without consent	Reduce an APS employee’s classification without the employee’s consent, only in the prescribed circumstances in PS Act 23(4)	SES Band 3; and EL2 or above in People and Culture	PS Act s23(4)
9.04	Independent Selection Advisory Committee (ISAC)	Request the MPC to establish an ISAC	SES Band 3; and EL1 or above in People and Culture	PS Regs s60
9.05	Independent Selection Advisory Committee (ISAC)	Nominate a person to be a member of an ISAC	SES Band 3; and EL1 or above in People and Culture	PS Regs s62
9.06	Promotion Review Committee (PRC)	Nominate an APS employee to be a member of a PRC	SES Band 3; and EL1 or above in People and Culture	PS Regs s26
9.07	Promotion Review Committee (PRC)	Receive a written notice from the PRC requiring documents or information relevant to the review and give information and/or documents in the way, and at the time, stated in the notice.	SES Band 3; and EL1 or above in People and Culture	PS Regs s32
9.08	Promotion on completion of appointment to a statutory office	Request, in writing, the Commissioner to authorise the promotion of an ongoing APS employee if the requirements in APSC Directions s34 apply. If the Commissioner authorises the promotion, promote the employee	SES Band 3; and EL1 or above in People and Culture	APSC Directions s34
9.09	Movement between Agencies	Where an employee is moving to another agency on promotion, and is suspected of having breached the APS Code of Conduct, is formally advised of the suspected breach and the matter is not resolved before the employee moves to take up the promotion, agree that the employee’s promotion may take effect	SES Band 1 or above in People and Culture.	APSC Directions s47

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
9.10	Decisions that must be notified in the Public Service Gazette	Notify an employment decision specified in s 40(1) of the APSC Directions in the Gazette (the decision must be notified within three months after the decision was made, unless the Commissioner agrees to a different arrangement)	SES Band 3; and EL1 or above in People and Culture	APSC Directions s40
9.11	Cancel a specified decision	Notify a decision to cancel any employment decisions specified in APSC Directions s41(1) in the Gazette within three months after the cancellation decision is made and in accordance with the notification requirements in APSC Directions s41(3).	SES Band 3; and EL1 or above in People and Culture	APSC Directions s41
9.12	Restrict employment opportunity	Decide that, for reasons of cost or operational efficiency, a vacancy at a non SES classification (other than a vacancy at the APS Level 1 or a training classification) should be filled by a person who is already an eligible employee	SES Band 3; and EL1 or above in People and Culture	APSC Directions s25(4)
9.13	Vacancy	Advertise a vacancy for non-ongoing APS employees to be filled subject to relevant APS and NDIA requirements	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	APSC Directions s27(3)
9.14	Engage Australian Citizens	Engage a person who is an Australian citizen as APS employee, and impose conditions on that engagement (including conditions dealing with probation and other appropriate clearances)	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	PS Act s22
9.15	Probation Waiver	May waive the requirement for an APS employee to be engaged on probation, if the delegate is satisfied that there are reasonable circumstances justifying the waiver.	SES Band 1 or above in People and Culture	APSC Directions s44(2)
9.16	Engage non Australian citizens	Engage a person who is not an Australian citizen if the delegate considers it appropriate to do so	SES Band 1 or above in People and Culture	PS Act s22(1) and s22(8)
9.17	Overseas Engagement	Engage a person overseas to perform duties overseas as an employee of the NDIA	SES Band 1 or above in People and Culture	PS Act s74
9.18	Engage a non-ongoing employee as an ongoing employee	Request, in writing, that the Commissioner authorise the engagement of a non-ongoing employee as an ongoing employee, if the delegate is satisfied that the requirements in APSC Directions s30(2) are met	SES Band 3; and SES Band 1 or above in People and Culture	APSC Directions s30

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
9.19	Engage a person from a state or territory jurisdiction	Enter into an agreement with a State or Territory, or an authority of a State or Territory, to engage a person as a non-ongoing employee for a specified term, and engage the person for that period	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	APSC Directions s28
9.20	Engaging a Redundancy Benefit Recipient	Request that the Commissioner approves the engagement, as an APS employee, of a person who has received a redundancy benefit if the person is to be engaged as an ongoing APS employee (including as an ongoing SES employee) or as a non ongoing SES employee • Engage, as an APS employee, a person who has received a redundancy benefit if the delegate considers the person’s engagement is essential for the NDIA’s operations, having regard to the nature of the duties to be performed, the work related qualities of the person and the Commissioner’s approval if required	SES Band 3; and EL2 or above in People and Culture	APSC Directions s66
9.21	Engage a Part-time employee	Engage an employee as part-time.	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture.	NDIA EA 233
9.22	Engage non-ongoing non-SES employees for duration of specific task	Engage a person under a contact of employment as a non-ongoing non-SES employee for the duration of a specific task where reasonably satisfied that entering into the contract would not contravene subsection 333E(1) of the FW Act.¹¹ At the time of the engagement, reasonably estimate the duration of the task and be satisfied that the services of the person are unlikely to be required after the task is complete.	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	PS Regs s13(2)-(3)
9.23	Engagement of a non-ongoing non-SES employee for specified term	Engage a person as a non-ongoing non-SES employee for a specified term in one of the circumstances outlined in s13(4) of the PS Regs, where reasonably satisfied that entering into the contract would not contravene subsection 333E(1) of the FW Act.¹²	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	PS Regs s13(4)

¹¹ Subsection 333E(1) of the FW Act is about limitations on fixed term contracts. ¹² Subsection 333E(1) of the FW Act is about limitations on fixed term contracts.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
9.24	Engagement of non-SES employees – employees of a State or Territory, or an authority of a State or Territory	Engage a person as a non-ongoing non-SES employee for a specified term in accordance with s13(7) of the PS Regs, where reasonably satisfied that entering into the contract would not contravene subsection 333E(1) of the FW Act.¹³	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	PS Regs 13(7)
9.25	Medical – Health clearance	For APS employees whose engagement in the NDIA is subject to a condition dealing with health clearances¹⁴, direct an employee, in writing, to undergo a medical examination by a nominated medical practitioner to assess the employee’s fitness for duty and/or provide a report of the examination within a specified timeframe	EL2 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	PS Regs 10¹⁵

Table 10: Redeployment

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
10.01	Compulsory moves between agencies	Notify the Commissioner in writing that an employee is excess to the requirements of the NDIA	SES Band 3; and EL2 or above in People and Culture	PS Act s27(2)
10.02	Notification and consultation	Notify employees who are likely to become excess as early as possible and, where they choose, notify their representatives	SES Band 2 for employees under their control; and SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 595

¹³ Subsection 333E(1) of the FW Act is about limitations on fixed term contracts. ¹⁴ see s22(6) of the PS Act. ¹⁵ This regulation is made for the purposes of s20(2) of the PS Act.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
10.03	Notification and consultation	Advise relevant employees, managers and employee representatives when becoming aware that a significant excess staffing situation may develop	SES Band 2 for employees under their control; and SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 596
10.04	Discussion period	Following the initial notification, write to potentially excess employees formally notifying them of the situation and advising them of the assistance available	SES Band 2 for employees under their control; and SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 597
10.05	Discussion period	Invite employees who are not potentially excess to express interest in voluntary redundancy where this would facilitate the redeployment of an employee who is potentially excess	SES Band 2 for employees under their control; and SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 598
10.06	Voluntary redundancy – offer	Formally offer an employee a voluntary redundancy	SES Band 1 or above in People and Culture	NDIA EA 600
10.07	Voluntary redundancy – financial counselling	Reimburse an employee considering a voluntary redundancy up to $500 (including GST) for career and/or accredited financial counselling¹⁶	SES Band 1 or above in People and Culture	NDIA EA 605
10.08	Voluntary redundancy – period of notice	Upon request of an employee, agree to terminate the employment of the employee within the notice period and pay compensation for the unexpired portion of the notice period equal to the hours the employee would have worked during the notice period had their employment not been terminated	SES Band 3; and EL2 or above in People and Culture	NDIA EA 616
10.09	Involuntary redundancy – redeployment	Approve necessary leave with pay and assistance in meeting reasonable travel and incidental expenses when seeking alternative employment for excess employees, where these are not met by the prospective employer	SES Band 3; and EL2 or above in People and Culture	NDIA EA 625

¹⁶ Clause 605 of the NDIA EA states the ‘NDIA’ will reimburse an employee up to $500 (including GST) for career and/or accredited financial counselling, if the employee is considering a voluntary redundancy. Item 10.07 is an authorisation and not a delegation under the NDIA EA.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
10.10	Voluntary redundancy – time off to attend interviews	Approve reasonable time off with full pay for the employee to attend necessary employment interviews from the start of the notice period. Where expenses to attend interviews are not met by the prospective employer, reimburse agreed reasonable travel and incidental expenses.	SES Band 1 or above in People and Culture	NDIA EA 617
10.11	Involuntary redundancy – retention period	Deem as reasonable an extension of the retention period as a result of a period of leave being taken by the excess employee	SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 620
10.12	Involuntary redundancy – termination	Where the delegate is satisfied that there is insufficient productive work available for the excess employee during the remainder of the retention period and there are no reasonable redeployment prospects in the APS, terminate the employee’s engagement during the retention period and pay out balance of retention period and the employee’s NES entitlement to redundancy pay	SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 621
10.13	Involuntary redundancy – redeployment	Take all reasonable steps to find alternative employment for the excess employee • Reduce an excess employee’s classification with the appropriate notice in order to secure them alternative employment subject to NDIA EA 626 and 627.	SES Band 3; and EL2 or above in People and Culture	NDIA EA 623
10.14	Involuntary redundancy – reduction in classification	Approve salary maintenance for the balance of the retention period for an excess employee who has had their classification reduced	SES Band 3; and EL2 or above in People and Culture	NDIA EA 627

Table 11: Relocation and Remote Locality

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
11.01	Incidental Allowance	Approve a one-off Incidental Allowance payment to an employee who is eligible for relocation assistance in accordance with the rates in NDIA EA Appendix B	SES Band 2 for employees under their control; and SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 510; NDIA EA Appendix B
11.02	Remote Locality Assistance Allowance	Approve payment of Remote Locality Allowance, in accordance with the rates within the NDIA EA Appendix C	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 514 - 515; NDIA EA Appendix C
11.03	Relocation Assistance - Additional	Approval additional relocation assistance in accordance with NDIA EA 511.	SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 505 - 510
11.04	Remote Locality Fares Reimbursement	Approve fares reimbursement to employees and their dependants living in an NDIA designated remote locality in the circumstances set out in NDIA EA 516 and NDIA EA 517	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 516 - 517
11.05	Relocation	Determine a package to assist with reasonable expenses associated with an employee’s relocation such as removalist costs, travel, temporary accommodation, or costs incurred in the sale/purchase of the employee’s primary residence, in accordance with the monetary limits in NDIA EA 508 and 509	SES Band 2 for employees under their control; and SES Band 3; and SES Band 2 or above in People and Culture	NDIA EA 505 - 509
11.06	Establish a New Remote Locality	Determine further locations that will attract remote locality assistance upon application of the methodology in clause 524, and what assistance may be provided.	SES Band 2 or above in People and Culture	NDIA EA 525

Table 12: Remuneration

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
12.01	Higher Duties Allowance (HDA)	Request an employee to perform temporarily all of the duties of a position at a higher classification, such that they can be paid HDA in accordance with NDIA EA 64 - 71.¹⁷	EL2 for periods greater than 1 week up to 3 months for employees under their control or SES Band 1 or above for periods up to 12 months for employees under their control; SES Band 3; and EL2 or above in People and Culture	NDIA EA 64
12.02	Higher Duties Allowance (HDA)	Determine a rate of payment when an employee is performing part of the duties of a position at a higher classification	SES Band 1 or above for periods up to 12 months or for a period less than 1 week for employees under their control; SES Band 3; and EL2 or above in People and Culture	NDIA EA 69
12.03	Higher Duties Allowance (HDA)	Determine if a higher amount of higher duties allowance is to be applied.	EL2 or above in People and Culture	NDIA EA 66
12.04	Higher Duties Allowance (HDA)	Determine that there are special circumstances associated with the duties to be temporarily performed by an employee (for a period shorter that one week) which means that this shorter period can attract payment of HDA	SES Band 1 for employees under their control; SES Band 3; and EL2 or above in People and Culture	NDIA EA 71
12.05	Eligibility for the professional job stream	Determine that an employee’s skills, qualifications and experience are essential or appropriate for entry into the professional job stream.	SES Band 1 or above for employees under their control; SES Band 3 and SES Band 1 or above in People and Culture	NDIA EA 111
12.06	Professional job stream	Determine which roles will be included in the particular job streams and move an employee between streams if they lose a required qualification.	SES Band 1 and above in People and Culture	NDIA EA 112

¹⁷ This is an authorisation to facilitate the HDA entitlement and is not a delegation. Please see Items 12.02 and 12.03 for delegations in regard to determining special circumstances under clause 71 and determining the HDA rate under clause 66.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
12.07	Legal job stream - Legal Officer Broadband	Grant an employee’s eligibility for entry to the Legal Job Stream if they are required to perform legal work and possess a degree from an Australian tertiary institution or a comparable qualification and have been admitted, or are eligible for admission, as a legal practitioner of the High Court or the Supreme Court of an Australian State or Territory or determine that their skills, qualifications and experience in relation to legal work are appropriate for entry.	SES Band 1 or above in People and Culture	NDIA EA 113
12.08	Legal job stream - Deputy Branch Manager or Special Counsel	Approve advancement of an employee to the designation of Deputy Branch Manager or Special Counsel where satisfied that there is a need to undertake high level managerial responsibilities and/or use high level technical legal skills in the NDIA legal practice and the relevant employee has the skills and experience to warrant movement to that local title	SES Band 1 or above in People and Culture	NDIA EA 114
12.09	Salary Setting	Approve an employee’s salary above the minimum pay point for the relevant classification on engagement, promotion and assignment of duties (including movement from another agency) with consideration to the employee’s relevant experience, skills and qualifications	EL2 or above in People and Culture	NDIA EA 21 and NDIA EA 26-28
12.10	Salary Setting	Determine a higher salary within the relevant salary range.	EL2 or above in People and Culture	NDIA EA 22 - 25
12.11	Salary Setting	Determines that an employee’s salary has been incorrectly set and determine the correct salary and the date of effect.	EL2 or above in People and Culture	NDIA EA 29
12.12	Salary Maintenance	Approve, unless exceptional circumstances exist, continued payment of an employee’s previous substantive salary where the employee transfers to the NDIA from another Commonwealth agency, or state or territory entity, and where their previous salary exceeds the highest pay point of the appropriate NDIA classification range	EL2 or above in People and Culture	NDIA EA 30
12.13	Salary Maintenance	Approve salary, other than at the top pay point, where an employee is assigned duties at a lower classification on a temporary or ongoing basis	EL2 or above in People and Culture	NDIA EA 31

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
12.14	APS Cadets	Determine percentage of the salary for an APS1 in the general employment stream under the APS Cadet programme	APS5 or above in People and Culture	NDIA EA 109
12.15	APS Cadets	Determine the appropriate pay point for an employee on advancement to an APS3 in the general employment job stream	APS5 or above in People and Culture	NDIA EA 109
12.16	Individual Flexibility Arrangement (IFA)	Terminate an IFA by giving no more than 28 days written notice to the other party to the IFA, or if the other party and the delegate agrees in writing, at any time.	SES Band 2 for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 14
12.17	Individual Flexibility Arrangement (IFA)	Review the individual flexibility arrangement at least every twelve months with the employee.	SES Band 1 or above in People and Culture	NDIA EA 15
12.18	Individual Flexibility Arrangement (IFA)	Agree to an employee making an IFA to vary the effect of terms of the NDIA EA where the IFA meets the requirements of NDIA EA 10. Ensure the terms of a proposed IFA meet the requirements in NDIA EA 11-12 Give the relevant employee a copy of an agreed IFA within 14 days after it is agreed	SES Band 1 or above in People and Culture	NDIA EA 10 - 13
12.19	Remuneration and conditions	Determine, in writing, the terms and conditions of employment applying to an employee in the NDIA	SES Band 3; and SES Band 1 or above in People and Culture	PS Act s24(1)
12.20	Forfeiture of additional remuneration	Give notice, in writing, to an employee in relation to any non-Commonwealth remuneration the employee receives for performing duties as an APS employee in the NDIA	SES Band 3; and SES Band 1 or above in People and Culture	PS Act s31(1)
12.21	Judgement debts	Determine whether it is necessary to make deductions from the salary of a debtor in the NDIA • If deductions are necessary, appoint one or more persons as paying officers for the purpose of making those deductions in accordance with s90(1) of PS Regs.	SES Band 3; and EL2 or above in People and Culture	PS Regs 90

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
12.22	Overpayments	Identify and notify employee of potential overpayment.	APS5 or above in People and Culture	NDIA EA 57
12.23	Overpayments	Review and confirm an overpayment has occurred in accordance with NDIA EA 59	EL1 or above in People and Culture	NDIA EA 58 - 59
12.24	Overpayments	Enter into suitable recovery arrangement in accordance with the relevant policy and/or agree to make an outstanding payment deduction from final monies upon cessation.	SES Band 3 in People and Culture	NDIA EA 60 - 61
12.25	Professional Membership Reimbursement	Approve reimbursement for the cost of annual membership fees within specified limit for professional associations in the NDIA EA Appendix B where membership of the association is an essential requirement in the performance of the employee’s duties and is clearly outlined in the employee’s professional or legal officer position description	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 490; NDIA EA Appendix B
12.26	Outside Employment	Approve an application for outside employment in accordance with the NDIA Procedures for Approving Outside Employment	EL2 or above for employees under their control; SES Band 3; and EL2 or above in People and Culture	PS Act s20

Table 13: Review of Actions

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
13.01	Receive a review application	Receive an application from an affected employee for primary review of an APS action.	SES Band 1 or above and APS6 or above in People and Culture	PS Regs s38(1)
13.02	Conduct a review of action	If an affected employee makes an application for review of an APS action, review the action and attempt to resolve the employee’s concerns about the action (if the application has not been referred to the MPC and the employee is entitled to a review).	SES Band 1 or above and APS6 or above in People and Culture	PS Regs s41(1)

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
13.03	Determine outcome of review of action	Make a decision on the application and take action in relation to the action, or the affected employee, as a result of the review, including¹⁸:

a) Confirming the action;
b) Varying the action; or
c) Setting the action aside and substitute a new action. | SES Band 1 or above and EL1 or above in People and Culture | PS Regs s41(3)-(4) |

| 13.04 | Inform the employee of a review of action decision | Tell the relevant employee in writing of any decision made on the application, the reasons for the decision, any action to be taken as a result of the review, and the applicant’s right to apply to the MPC under s43 of the PS Regs for secondary review of the action. | SES Band 1 or above and APS6 or above in People and Culture | PS Regs s41(5) | | 13.05 | Refer application to the MPC | With the agreement of the MPC, refer an application for review of a reviewable action to the MPC for review and advise the affected employee in writing that their application for review has been referred to the MPC. | SES Band 3; and EL2 or above in People and Culture | PS Regs s39(1), (3) | | 13.06 | Provide application and documents to the MPC | Give the application and any relevant documents relating to the primary review of action to the MPC within 14 days after receiving the application from an affected employee and give the affected employee a copy of any documents given to the MPC. | SES Band 3; and APS6 or above in People and Culture | PS Regs s44 | | 13.07 | Make decisions about MPC recommendations | As soon as practicable after receiving a written recommendation from the MPC, consider the recommendation, and make a decision about the recommendation, including¹⁹:

Confirming the action; Varying the action; or Setting the action aside and substitute a new action.
Seek the views of the affected employee before a decision is made that is not in accordance with the MPC’s recommendation.
Advise the affected employee and the MPC in writing of the decision and the reasons for the decision. | SES Band 3; and EL2 or above in People and Culture | PS Regs s45(c)-(d), 46(1)-(7) |

¹⁸ The CEO may take other appropriate action to rectify the effects of the action or restore the affected employee to the position in which the employee would have been if the action had not been taken (see s41(4), PS Regs). ¹⁹ The CEO may take other appropriate action to rectify the effects of the action or restore the affected employee to the position in which the employee would have been if the action had not been taken (see s46(4), PS Regs).

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
13.08	Provide documents or information of APS employee	Receive a written notice from the MPC that requires information or documents relevant to the review to be given to a person or committee stated in the notice. Give the information or documents in the way, and at or within the time, stated in the notice.	SES Band 3; and APS5 or above in People and Culture	PS Regs s48
13.09	Provide documents or information of former APS employee	Receive a written notice from the MPC requiring stated information or documents relevant to a review of a determination of breach of the Code of Conduct. Give the MPC information or documents in the way, and at or within the time stated in the MPC’s notice.	SES Band 3; and EL1 or above in People and Culture	PS Regs s79(1)-(2)
13.10	Receive and make decisions about MPC recommendations regarding entitlements of former APS employee	Receive, consider and make a decision about a recommendation from the MPC regarding a complaint by a former employee relating to their entitlements on separation from the APS	SES Band 3; and EL2 or above in People and Culture	PS Regs s72(2)
13.11	Receive a written recommendation from the MPC in relation to a former APS employee	Receive a written recommendation from the MPC that an affected former employee is entitled to review of a determination.	SES Band 3; and APS5 or above in People and Culture	PS Regs s76(c)
13.12	Make decisions about MPC recommendations in relation to a former APS employee	As soon as practicable after receiving a written recommendation from the MPC in relation to a former APS employee, consider the recommendation, and make a decision about the recommendation, including²⁰:

Confirming the action; Varying the action; or Setting the action aside and substitute a new action. Seeking views of affected former APS employee before a decision is made that is not in accordance with the MPC’s recommendation.
Advise the affected former APS employee and the MPC in writing of the decision and the reasons for the decision. | SES Band 3; and EL2 or above in People and Culture | PS Regs s77 |

²⁰ The CEO may take other appropriate action to rectify the effects of the action or restore the affected employee to the position in which the employee would have been if the action had not been taken (see s 77(4), PS Regs).

Table 14: Termination

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
14.01	Withdrawal of resignation	Agree to an employee withdrawing a notice of resignation prior to its expiry	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	PS Act s20(1)
14.02	Terminate employment	Terminate the employment of an employee by giving notice in writing	SES Band 3; and EL2 or above in People and Culture	PS Act s29
14.03	Age retirement	Receive written notice of retirement from an employee who has reached the minimum retiring age	EL2 or above for employees under their control; and ES Band 3; and EL2 or above in People and Culture	PS Act s30(1)
14.04	Death of an Employee	Determine that an employee is presumed to have died on a particular date	SES Band 3; and EL2 or above in People and Culture	NDIA EA 590
14.05	Death of an Employee	Where an employee dies, or is presumed to have died on a particular date, approve payment of all leave entitlements otherwise payable on resignation or retirement, to the estate, or where nominated, to another party	EL1 or above in People and Culture	NDIA EA 590
14.06	Resignation or retirement	Instigate for an earlier date to take affect within the notice period as provided by the employee for resignation or retirement. In such cases, the employee will receive paid compensation in lieu of the notice period which is not worked.	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture.	NDIA EA 586
14.07	Resignation or retirement	Provide discretion to agree to a shorter period of notice or waive the requirement to give notice.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 587

Table 15: Work Health and Safety

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
15.01	Fitness for duty	Where any of the circumstances in s11(1) of the PS Regs apply, direct an employee in writing to undergo an examination, within a specified timeframe, by a nominated medical practitioner to assess the employee’s fitness for duty and direct the employee to provide a report of the examination within a specified timeframe.	SES Band 1 or above for employees under their control; and APS 5 or above in People and Culture	PS Regs s11(2)
15.02	Nominate a medical practitioner	Nominate a registered medical practitioner to assess an employee’s fitness for duty in the NDIA	SES Band 1 or above for employees under their control; and APS 5 or above in People and Culture	PS Reg 10 and 11

Table 16: Working Hours and Arrangements

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
16.01	Flexible Working Arrangements (including part-time work and teleworking)	Enter into a flexible working arrangement with an employee (including for part-time work and for working away from the employee’s usual work location on a regular, temporary or intermittent basis) and review, vary and/or terminate an arrangement.	APS5 and APS6 with employee supervisory duties or above up to 3 months for employees under their control; and EL1 or above up to 12 months for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 208 - 209.2, 210 and 216
16.02	Flexible Working Arrangements (including part-time work and teleworking)	Refuse a flexible working arrangement with an employee (including for part-time work and for working away from the employee’s usual work location on a regular, temporary or intermittent basis).	EL1 or above up to 3 months for employees under their control; and EL2 or above up to 12 months for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 209.3 and 211

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
16.03	Altering span of hours - bandwidth	Approve an employee request to work an alternative regular span of hours (bandwidth hours) for hours worked on this basis will be treated as regular working hours and will not attract overtime payments.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 229
16.04	Job Sharing	Approve, subject to business requirements, job share arrangements between two or more part-time employees wishing to share one full-time position, each working part-time on a regular ongoing basis	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 239
16.05	Work Pattern	Direct an employee’s work pattern to be 8:30am to 12:30pm and 1:30pm to 5:00pm Monday to Friday (or if the employee is a part-time employee, in accordance with the work pattern set out in their letter of offer) if an employee fails to maintain a satisfactory pattern of attendance or misuses flextime provisions	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 136
16.06	Flextime	Approve an employee to carry forward a flex balance greater than the specified credit amount (37.5 hours) or debit amount (22.5 hours) from one settlement period to another.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL1 or above in People and Culture	NDIA EA 146
16.07	Flextime	In exceptional circumstances, approve payment to an employee of a flex balance in excess of 37.5 hours at ordinary time rates	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 147
16.08	Flextime	Direct an employee who has a negative flex debit of more than 22.5 hours at the end of a settlement period, to use approved annual leave or have salary payments reduced to cancel the excess debit	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 148
16.09	Flextime	In exceptional circumstances, approve the use of flextime (credit hours) for an employee in excess of 5 consecutive days	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 150

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
16.10	Recording Hours Worked	Direct an employee to maintain an accurate recording of working hours in accordance with the NDIA approved method²¹	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 141
16.11	Overtime	Where necessitated by business requirements, direct an employee to work overtime	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 161
16.12	Overtime	Approve payment of overtime to an APS 1-6 employees	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 162
16.13	Overtime - Meal Allowance	Approve payment of an overtime meal allowance to an APS 1-6 employee (or equivalent) when they work approved overtime before or after their hours of duty (as established by their work pattern) or for a period not continuous with their hours of duty (for example weekends and/or public holidays) to the completion of or beyond a meal period	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 92
16.14	Overtime - Time Off In-Lieu	Agree to an employee electing to take time off in-lieu at the appropriate overtime rate instead of the overtime payment	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 167
16.15	Overtime - Time Off In-Lieu (Restriction of Duty)	Agree to an employee electing to take time off in-lieu at the appropriate overtime rate instead of the overtime payment	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 179
16.16	Overtime - Time Off In-Lieu (Emergency Duty)	Agree to an employee electing to take time off in-lieu at the appropriate overtime rate instead of the overtime payment	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 172

²¹ Clause 141 of the NDIA EA states that employees must maintain an accurate record of working hours ‘in accordance with the NDIA approved method’. Item 16.10 is an authorisation and not a delegation under the NDIA EA.

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
16.17	Shiftwork	Unless exceptional circumstances apply, approve shiftwork payments	EL1 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 182
16.18	Shiftwork	Approve payment of an annual shift allowance in lieu of penalty rates, calculated by averaging and annualising the shift penalty rates in NDIA EA 183	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 184
16.19	Shiftwork	Unless exceptional circumstances apply, approve shiftwork arrangements	SES Band 1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 182
16.20	Shift rostering	If required, in consultation with shiftwork scheduling, direct an employee to work overtime.	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 198
16.21	Shift rostering	If required, where the employee believes their circumstances have not been fairly considered in consultation with shift scheduling in developing shift allocations, receive concerns raised by the employee as soon as possible.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 195
16.22	Shift rostering	If required, in consultation with shiftwork scheduling and any employee concerned, agree to a request for a shift worker’s rostered hours to be changed, with such agreement not to be unreasonably denied.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 193
16.23	Shift rostering	If required, in consultation with shiftwork scheduling and the employee concerned, not roster a shift worker at times determined on reasonable grounds would cause the employee hardship.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 191.5
16.24	Shift rostering	If required, in consultation with centralised shiftwork rostering to identify gaps in the roster that cannot be filled through shift preferencing, direct a shift worker to fill remaining gaps.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 191.4

Column 1: Item	Column 2: Subject	Column 3: Power, function and/or duty	Column 4: Position(s)	Column 5: Source(s)
16.25	RAP arrangements	Direct an employee to attend work during the reduced activity period, as determined due to business requirements.	SES Band 1 or above for employees under their control; and SES Band 3; and SES Band 1 or above in People and Culture	NDIA EA 244
16.26	Restriction Duty	Direct/require an employee to be contactable and to be available to perform extra duty outside the bandwidth	EL2 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 174
16.27	Emergency Duty	Direct an employee to be called for duty to meet an emergency outside their work pattern (without notice prior to ceasing duty) for the purposes of NDIA EA 170	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 169
16.28	Public Holidays	Approve the substitution of a day or part-day that would otherwise be a public holiday having regard to operational requirements or in accordance with NDIA EA 249	EL1 or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 248 and 249
16.29	Public holidays compressed hours	Grant a full-time employee, including but not limited to employees on compressed hours to change their planned day off so that it does not fall on a public holiday or credit the equivalent amount of time to their regular hours for the day in flex credits or EL TOIL in recognition of their planned day off.	APS5 and APS6 with employee supervisory duties or above for employees under their control; and SES Band 3; and EL2 or above in People and Culture	NDIA EA 254
16.30	Location of work performed	Determine or vary the place or places at which an employee’s duties are to be performed under section 25 of the PS Act.	EL2 or above for employees under their control; and SES Band 3; and APS5 or above in People and Culture	NDIA EA 230 - 232

Version control

HPE content manager document no	Version control	Action	Approved	Date of approval
	V1.0	Sign off

DOCUMENT 6

IOD History (Provided by Legal)

Year	Instrument Number	Dated	Copy	Status
2013	Delegations of functions under the NDIS Act	1-Jul-13	Link	SUPERSEDED
2013	Delegation under the NDIS Act subsection 202(1)	13-Jul-13	Link	SUPERSEDED
2014	1 of 2014	6-Jan-14	Link	SUPERSEDED
2014	2 of 2014	1-Jul-14	Link	SUPERSEDED
2014	3 of 2014	21-Oct-14	Link	SUPERSEDED
2014	4 of 2014	2-Dec-14	Link	SUPERSEDED
2015	Addendum to 4 of 2014	23-Feb-15	Link	SUPERSEDED
2015	1 of 2015	1-May-15	Link	SUPERSEDED
2015	2 of 2015	10-Jul-15	Link	SUPERSEDED
2016	1 of 2016	21-Apr-16	Link	SUPERSEDED
2016	2 of 2016	4-May-16	Link	SUPERSEDED
2016	3 of 2016	30-Jun-16	Link	SUPERSEDED
2016	4 of 2016	12-Jul-16	Link	SUPERSEDED
2016	5 of 2016	21-Jul-16	Link	SUPERSEDED
2016	6 of 2016	15-Sep-16	Link	SUPERSEDED
2016	7 of 2016	16-Sep-16	Link	SUPERSEDED
2016	8 of 2016	26-Oct-16	Link	SUPERSEDED
2017	1 of 2017	27-Feb-17	Link	SUPERSEDED
2018	1 of 2018	6-Mar-18	Link	SUPERSEDED
2018	2 of 2018	29-Jun-18	Link	SUPERSEDED
2020	Temporary variation to Instrument of Delegation	25-Mar-20	Link	CEASED
2020	Temporary delegations in response to COVID-19 1	1-Apr-20	Link	CEASED
2020	Temporary delegations in response to COVID-19 2	7-Apr-20	Link	CEASED
2020	1 of 2020	21-Sep-20	Link	SUPERSEDED
2021	1 of 2021	31-May-21	Link	SUPERSEDED
2021	2 of 2021	23-Jun-21	Link	SUPERSEDED
2021	3 of 2021	13-Sep-21	Link	SUPERSEDED
2021	4 of 2021	17-Dec-21	Link	SUPERSEDED
2022	1 of 2022	11-May-22	Link	SUPERSEDED
2022	2 of 2022	1-Jul-22	Link	SUPERSEDED
2022	3 of 2022	9-Aug-22	Link	SUPERSEDED
2022	4 of 2022	28-Oct-22	Link	SUPERSEDED
2023	1 of 2023	13-Mar-23	Link	SUPERSEDED
2023	2 of 2023	5-Sep-23	Link	SUPERSEDED
2023	3 of 2023	1-Dec-23	Link	SUPERSEDED
2024	1 of 2024	25-Mar-24	Link	SUPERSEDED
2024	2 of 2024	30-Apr-24	Link	SUPERSEDED
2024	3 of 2024	4-Jun-24	Link	SUPERSEDED
2024	4 of 2024	30-Jul-24	Link	SUPERSEDED
2024	5 of 2024	3-Oct-24	Link	SUPERSEDED
2025	1 of 2025	1-Jan-25	Link	SUPERSEDED
2025	2 of 2025	23-May-25	Link	IN FORCE
2025	3 of 2025

9. Financial Authorisations

9. Financial Authorisations

9.1 Financial Authorisation 1: Approve Proposed Expenditure of Agency Funds (Program 1.2)

9.2 Financial Authorisation 2: Approve Proposed Expenditure of Scheme Funds (Program 1.1)

9.3 Financial Authorisation 3: Enter or Vary an Arrangement

9.4 Financial Authorisation 4: Manage a Debt

9.5 Financial Authorisation 5: Asset Revaluations

9.6 Financial Authorisation 6: Disposal of Agency Assets

9.7 Financial Authorisation 7: Agency Asset Write-offs

9.8 Financial Authorisation 8: Investments

10. Appendix A: Assistance for Agency personnel involved in legal proceedings

10.1 Application

10.2 General Policy

10.3 Criteria for assistance

10.4 Basis for approving indemnification of Agency personnel against costs or damages

10.5 Level of assistance

10.6 Inquests and inquiries

10.7 Assistance to Agency personnel for subpoenas

10.8 Assistance to Agency personnel responding to notices or directions under the National Anti-Corruption Commission Act 2022 (NACC Act)

10.9 Assistance to Agency personnel as plaintiffs

10.10 Who makes the decision to assist

10.11 Legal representation

11. Version control table

Release 1

Release 2

Release 3

Release 4

Release 5

1. Purpose

2. Recommendation

3. Key Insights

4. Background

Consultation

Proposed Changes

5. Risks

6. Next steps

Attachments

National Disability Insurance Agency Accountable Authority Instructions (AAIs)

Contents

1. Introduction

1.1 Duties and responsibilities of officials

2. Corporate Governance

2.1 Duty to keep the Board informed

2.2 Professional judgement

2.3 Financial Authorisations

2.4 Risk Management

2.4.1 Instructions – all officials

2.5 Working with others

2.5.1 Instructions — all officials

2.6 Fraud Control

2.6.1 Instructions — all officials

2.7 Insurance

2.7.1 Instructions - officials responsible for insurance matters

2.8 Disclosure of interests

2.8.1 Instructions — all officials

2.9 Accounts, records and non-financial performance information

2.9.1 Instructions — all officials

2.10 Systems

2.11 Audit

2.11.1 Instructions — all officials

3. Procurement and other arrangements

3.1 Exemptions

3.2 Approving commitments of relevant money

3.2.1 Instructions – all officials

3.3 Entering into and varying arrangements

3.4 Administering an arrangement

3.5 Procurement

3.5.1 Instructions

3.6 Grants

3.6.1 Instructions – officials involved in grants administration

3.7 Inter-entity cooperation and agreements

3.7.1 Instructions – all officials

3.7.2 Instructions - officials establishing inter-entity agreements that involve financial commitments

3.8 Indemnities, guarantees and warranties

3.8.1 Instructions – all officials

3.8.2 Instructions – CEO and COO

3.8.3 Instructions – Exceptions

3.8.4 Instructions - officials authorised to provide a guarantee, indemnity or warranty

3.9 Official hospitality

3.9.1 Instructions — all officials