40th Annual Report 1999–2000

Corporate Overview

NLA Annual Report Cover - George Raper "The Melancholy Loss of H.M.S. Sirius off Norfolk Island

{Click here to view image full size}Sir John Longstaff (1861–1941)
Portrait of Henry Lawson 1900
painting; oil on canvas; 41 x 30.5 cm

The acquisition of this semi-formal sketch of Henry Lawson
by John Longstaff complements correspondence, drafts and notes
by Lawson held in the Library's Manuscript Collection
From the Pictorial Collection

Role

The functions of the Library are set out in Section 6 of the National Library Act 1960:

(a) to maintain and develop a national collection of library material, including a comprehensive collection of library material relating to Australia and the Australian people;

(b) to make library material in the national collection available to such persons and institutions, and in such manner and subject to such conditions, as the Council determines with a view to the most advantageous use of that collection in the national interest;

(c) to make available such other services in relation to library matters and library material (including bibliographical services) as the Council thinks fit, and in particular, services for the purposes of:

(i) the library of the Parliament;
(ii) the Departments and authorities of the Commonwealth; and
(iii) the Territories; and

(d) to cooperate in library matters (including the advancement of library science) with authorities or persons, whether in Australia or elsewhere, concerned with library matters.

The Library is one of several agencies within the Communications, Information Technology and the Arts portfolio with responsibilities for collecting Australian cultural heritage materials and making these available to the Australian public. The Hon. Peter McGauran MP, Minister for the Arts and the Centenary of Federation continued as the Minister responsible for the Library together with the Portfolio Minister, Senator the Hon. Richard Alston. The affairs of the Library are conducted by the National Library Council, with the Director-General as chief executive officer and member of the Council.


Legislation

The Library was established under the National Library Act 1960, which defines the Library's role, corporate governance and financial management framework. As a Commonwealth statutory authority, the Library is subject to the Commonwealth Authorities and Companies Act 1997. This Act provides reporting, accountability and other rules for the Library including:


Organisation

The Library's senior management structure comprises the Director-General, the Deputy Director-General and six Assistant Directors-General. The following chart describes the divisional organisational structure and senior staff at 30 June.

Organisation Structure at 30 June 2000

Organisation Structure as at 30 June 2000

The next major section of this report, Report on Operations, describes the objectives, performance indicators and performance outcomes for each of the Library's output areas. These areas of activity are described in terms of the key outputs of the Library.


Corporate Governance

The Library has the following key elements of corporate governance.

National Library Council

The National Library Act 1960 provides that a Council shall conduct the affairs of the Library. The Council consists of 12 members including the Director-General, one Senator elected by the Senate, and one member of the House of Representatives elected by that House. A list of Council members and their attendance at Council meetings is at Appendix 1.

The Council considered a range of policy issues including:

In addition to its Audit Committee, the Council has one other advisory committee, the Fellowship Scheme Advisory Committee. Details are given at Appendix 1.

The Committee of the Whole was disbanded during the year, with all issues now addressed as part of the proceedings of Council meetings.

Audit Committee

The Audit Committee is a committee of the Council with the following role:

The Audit Committee has a minimum of three non-executive members of Council, the Director-General, and a member of the Corporate Management Group. Committee membership currently includes four non-executive members of Council. A list of Audit Committee members and attendance at meetings appears at Appendix 1. The Audit Committee met on four occasions throughout the year. The internal and external auditors attended all meetings.

The Audit Committee approved the Annual Audit Plan for internal audit that identifies audits, their objectives and an estimate of their cost.

The Council reviewed the role and charter of the Audit Committee in keeping with the recommendations of the July 1997 report of the Australian National Audit Office, Audit Committees.

Corporate Management Group

The Corporate Management Group, consisting of the Director-General, Deputy Director-General and Assistant Directors-General, provides leadership to the Library in both strategic and operational areas. In particular, the Corporate Management Group monitors the achievement of objectives and strategies, oversees budget matters, develops policy, coordinates activities across the organisation, and oversees a range of operational issues. The Corporate Management Group meets weekly.

A number of cross-organisational committees advise the Corporate Management Group in key areas such as IT and collection development/management.

Corporate planning framework

The Library issued its statement of Directions for 2000–2002, described in the Director-General's report. To ensure a keen organisational focus on the achievement of its directions, the Library commenced the development of the Balanced Scorecard as an integrated management model, linking planning, budgeting, performance monitoring, communication and reporting. The Balanced Scorecard provides a useful strategic planning support and performance measurement system to supplement the Outcomes and Outputs framework. The Library will implement the Balanced Scorecard next year.

Risk management framework

The Library adopted the AS/NZS 4366:1999 Risk Management standard to provide an integrated risk management framework incorporating the following areas: building risk, protective security, IT risk, business risk, fraud risk, insurance risk, contingency planning and disaster recovery.

The Library continued to use its program of internal audits as a quality assurance mechanism with regard to risk management. This year audits were conducted on fraud risk, protective security, IT risk and contingency and disaster recovery planning. It is proposed to continue this program with audits of business risk assessment and strategic risk assessment scheduled for the coming year.

The use of an integrated risk management framework has allowed the Library to achieve improved efficiency in risk management, widened the awareness of risk management issues and improved the quality of information available for planning and decision making purposes.


Public Accountability

External and internal audit

The Library's Audit Committee met four times during the year. Eight reports were submitted to the committee by Deloitte Touche Tohmatsu (contracted to provide internal audit to the Library). The Library did not participate in any Australian National Audit Office Audits during the year but reported to the Minister for the Arts and the Centenary of Federation on action taken in response to the recommendations contained in the Auditor-General reports detailed below:

Australian National Audit Office reports

The following reports contain Auditor-General recommendations implemented by the Library:

Deloitte Touche Tohmatsu reports

Internal audit reports prepared by Deloitte Touche Tohmatsu:

Deloitte Touche Tohmatsu completed a Fraud Risk Assessment and Fraud Control Plan which were endorsed by the Commonwealth Law Enforcement Board. Deloitte Touche Tohmatsu also completed a Strategic Internal Audit Plan 2000–2002 for the Library which was approved by the Audit Committee at its April 2000 meeting.

A circular on the Australian Public Service Values and Australian Public Service Code of Conduct was made available to staff through the Library's intranet.

Parliamentary committees

The House of Representatives Standing Committee on Legal and Constitutional Affairs held enquiries into the Copyright Amendment (Digital Agenda) Bill 1999 on 23 September 1999 and 14 October 1999. The Joint Committee on Publications conducted a meeting on 9 December 1999 on issues related to non-print material tabled in Parliament. The Library appeared at each of these hearings. On 5 June 2000 members of the Joint Committee on Publications visited the Library for further discussion on issues relating to non-print materials.

Ministerial Directions

In June 2000, the Minister for the Arts and the Centenary of Federation issued a Ministerial Direction under Section 28(1) of the Commonwealth Authorities and Companies Act 1997, outlining the Government's general policies in relation to IT infrastructure services. The Direction reaffirmed that IT infrastructure services across all Budget-funded agencies be outsourced subject to the outcome of a competitive tendering process. The outsourcing process is to include cooperation with, and participation in, the industry development framework and requirements are to be enunciated and implemented through the Whole of Government IT Outsourcing Initiative. The Library is participating in Group 11 within this initiative.

Legal actions

No legal action was commenced during the year against the Library.

Ombudsman

No issues relating to the Library were referred to the Commonwealth Ombudsman.

Freedom of Information

The Library received no requests for access to documents under the Freedom of Information Act 1982 (Cwlth). A Freedom of Information Statement is provided at Appendix 3. A list of key supporting policies and documents is provided at Appendix 4.

Indemnities and insurance premiums

Indemnity is provided to directors and officers of the Library under the coverage of the Library's insurer, Comcover. Comcover is a Commonwealth Government self-managed fund for insurable risk.

Premiums are levied as part of the overall insurance coverage and are based on the agreed insurance value and previous claims history.

Social justice and equity

The Library continued its commitment to meeting the Government's objective of enhancing social justice and equity, outlined in the principles within the Charter of Public Service in a Culturally Diverse Society.

The Library aims to provide all Australians with equitable access to its collections and services in a manner appropriate to their individual needs. This is achieved through a variety of means including the provision of collection and bibliographic data to support the library system throughout Australia, through travelling exhibitions in regional Australia, and through making collections and services accessible through the Internet. Communication on services available to all Australians, regardless of their location, was significantly enhanced through the increased use of the Library's web site.

The Library's role involves the collection of Australian library materials in all community languages. These publications are preserved for current and future research.

The Library continues to maintain a high standard of physical access to the building through implementation of the Disability Action Plan. This plan addresses the particular needs of users with disabilities through strategies such as wheelchair access, special parking, special toilet facilities, and training of staff.

In the area of IT systems, the Library has undertaken several initiatives to improve access:

The Library addressed the Government's guidelines concerning workplace diversity through its Workplace Diversity Program (reported separately). As part of its commitment to recognise, value and nurture the different skills and competencies of staff and to utilise these differences in ways that enhance organisational performance, the Library continued its staff education program on cross-cultural awareness and workplace diversity issues.

Dr Barry Jones at the Library's sell-out conference 'Challenging AUstralian History: Discovering New Narratives'Dr Barry Jones, a former member of the Council of the National Library,
was among the high profile audience members at the Library's sell-out conference:
'Challenging Australian History: Discovering the New Narratives'

Photograph by Damien McDonald

Service Charter

The Library continued to work to the service standards and complaints procedures established in its Service Charter in 1998. The Service Charter states the Library's commitment to users, including targets for responses, turnaround times and expected staff behaviour. It is displayed prominently throughout the Library and is accessible on the Library's web site (www.nla.gov.au). The complaints procedures comply with Standards Australia Complaints Handling Standard AS 4269-1995.

The Library receives a significant amount of feedback from users. User feedback is usually dealt with on the spot but, on occasions, users chose to take up issues formally.

During the year, the Library received 44 formal complaints. The average time taken to resolve these was 7.2 days. The most common cause for complaint was the photocopiers (eight complaints), a contracted service provided in the Library's reading rooms. The Library's restrictions on access to certain Internet sites and to email was the next major cause for complaint (four complaints). Other complaints included: the service in the cafeteria (a contracted service), stack delivery times, and noise levels within reading rooms. Relevant issues have been addressed, including with contractors involved in service delivery.

Altogether, 85 per cent of surveyed complainants were satisfied with the manner in which their complaint was handled.

Many more formal compliments were received than complaints. The most common compliments related to excellent staff service and the high standard of the Library's public programs activities. The Library's development activities, such as the PANDORA archive of online electronic publications, the PADI subject gateway to information about digital preservation issues and the Australian Libraries Gateway, received many compliments from other libraries and their users.

The Library's performance against stated Service Charter targets was as follows:

Consultancy services

The Library engaged 35 consultants to undertake consultancy work, with an individual value of more than $2000, at a total cost of $733 482. Consultancy services are used when there is a requirement for specialised services that cannot be undertaken by Library staff due to lack of expertise, insufficient in-house resources or where independent advice is required. The successful consultant is selected according to Commonwealth procurement guidelines. The consultancies relate to building, information technology, accountability and various management issues. Details of the consultancies are provided at Appendix 5.


Corporate Management Issues

Industrial Democracy: workplace agreement

The Library's Consultative Committee met four times. The committee continued to provide a forum for consultation and discussion between management, staff and unions.

A survey of staff was undertaken during September 1999 to obtain feedback on the Library's 1998–2000 Certified Agreement, assess the strengths and weaknesses of the negotiation process, and incorporate findings into planning for the next Agreement. Findings from the survey showed that overall, respondents were happy with the content of the Certified Agreement, they found it easy to understand and use in the workplace and considered themselves better off as a result of the Agreement.

Planning for the next Certified Agreement commenced this year.

Workplace Diversity Program

The Library maintained a Workplace Diversity Program. The program emphasised the importance of valuing workplace difference as a good management practice. Corporate training in equity and cross-cultural awareness issues was provided to support the objectives of the program.

The Library has a diverse mix of staff and consistently exceeds the Australian Public Service norm for the employment of women, people with disabilities and people from linguistically and culturally diverse backgrounds. The Bringing Them Home Oral History Project is an initiative arising from the National Inquiry into the Separation of Aboriginal and Torres Strait Islander Children From their Families. The project, which commenced in 1999, is coordinated by an Indigenous staff member and has involved the engagement of fifteen Indigenous Australians to undertake field interviews.

The Library continues to participate in the Australian Public Service Indigenous Employment Group, a cross-agency forum to exchange information and strategies on Indigenous career development.

The Library also maintains a network of staff contact officers covering three principal areas: promotion of workplace diversity, elimination of workplace harassment, and assistance for staff with disabilities.

No formal grievances concerning workplace diversity matters were received during the year.

Occupational Health and Safety

The Occupational Health and Safety Committee met five times to consider a range of issues associated with the application of occupational health and safety principles throughout the Library.

This year occupational health and safety initiatives included the development and testing of a new model for the provision of health and safety services, and the provision of training for staff in manual handling and use of storage and retrieval equipment.

The Library made no notifications to Comcare Australia under Section 68 of the Occupational Health and Safety (Commonwealth Employment) Act 1991.

Comcare Australia commenced a planned investigation under the Occupational Health and Safety (Commonwealth Employment) Act in June 1999 as part of an ongoing program of investigations within Commonwealth agencies. The purpose of the investigation was to assess compliance by the Library with the Act and its associated Regulations. Comcare's investigation covered seven areas: duty of care; workplace arrangements; hazard management; training/supervision; accident reporting and investigation; workplace environment; and regulations. After investigation, Comcare considered that the Library had achieved an overall satisfactory result. Two recommendations were made concerning procedures for working in confined spaces and for use of equipment in the Mitchell exhibitions workshop. The Library acted on these recommendations.

The Library has continued to provide an independent, professional counselling facility to assist staff with work-related problems.

Streamlining the personnel management function

The Library continued to streamline its personnel management function following its participation in the Public Service & Merit Protection Commission's People Management Benchmarking Study. Personnel management costs were further reduced by realisation of savings from the implementation of the Certified Agreement 1998–2000.

An analysis of options for retaining or replacing the Library's Human Resource Management System led to a recommendation to implement the Aurion system, scheduled for July 2000.

Implementation of the GST

During the year the Library completed an assessment of GST issues, identification of business changes required and implementation of the required changes. The objective of the GST Implementation Plan was to ensure that the Library was equipped to introduce the GST on 1 July 2000 and that all business systems were capable of complying with the requirements of the taxation reforms.

The Library's performance was evaluated by the Department of Finance and Administration. The Library's implementation program was also subject to internal audit.

Energy consumption

The Library was awarded the Best Performance in Public Buildings by the Commonwealth Government's Australia Greenhouse Office in March 2000. The Library has achieved a reduction of greenhouse gas emissions and energy consumption of 13 per cent over the past two years.

Cooperation on corporate management issues within the Communications, Information Technology and the Arts portfolio

The Library chaired the Corporate Management Forum, comprising senior executives with corporate management responsibilities from seven agencies within the Communications, Information and Technology and the Arts portfolio, and two other agencies. The forum considers common issues in the areas of personnel management, financial management, infrastructure management, corporate planning and public programs with a view to achieving economies of scale and best practice.

Some key outcomes include:


Information Technology Issues

Digital Services Project

In October, the Library selected software to support the development of metadata repositories and search services for its digital collections. The PictureAustralia service was developed using this software, and a number of other applications—such as IMAGES1 and the Register of Australian Archives and Manuscripts (RAAM)—were migrated to this platform.

In August, the Library issued a Request for Tender for a Digital Collection Management System, but did not identify any suitable solutions through this process. As a result, the Library divided the digital collection management part of the Digital Services Project into three sub-projects. One of these sub-projects (the PANDORA Collecting System, being developed in-house) was well advanced by June. The Library developed Request for Quotation documents for the other two sub-projects (the Digital Object Management System and the Digital Object Storage System) and released them in June. The Library is working to a target date of June 2001 for the completion of the three project components.

Whole of Government IT Outsourcing Initiative

In July 1999 the Library joined Group 11 within the Whole of Government IT Outsourcing Initiative, subject to a number of conditions such as delivery of value for money, maintenance or improvement of service levels, the option of a separate contract with the service provider, and the exclusion of the Kinetica service from the scope.

The Director-General established an internal IT Outsourcing Steering Committee which examined and approved the Risk Management Plan and the key components of the Request for Tender, including the Statement of Work, the service levels specification and the draft Services Agreement.

The Director-General was satisfied that the Group 11 Request for Tender contained a comprehensive and precise description of the Library's requirements, that its specification of service levels matched or exceeded the Library's current performance, and that post-transition risks were satisfactorily addressed in the draft Services Agreement. The Group 11 Request for Tender is expected to be issued in July 2000.

Business continuity planning

The Library's Year 2000 project undertook testing and compliance assessment of 34 business-critical systems. Contingency plans for these systems were also prepared. The Library encountered no problems with transition through the critical dates of 1 January and 29 February.

With the assistance of a consultant, the Library developed an IT Disaster Recovery Plan. The Library also commissioned a Business Continuity Planning Review by Deloitte Touche Tohmatsu. The report of this review will give the Library a framework to extend and continually review its business continuity plans.

The intranet and corporate documents

In order to improve access by staff to its corporate information, the Library commenced a project to redesign and upgrade its corporate intranet. This project was close to completion by the end of June. The Library also developed a comprehensive set of Recommendations for the Management of Corporate Electronic Documents, whose principles and recommendations have informed the development of the intranet. A project plan for the implementation of the recommendations has been completed.

The Library's web site

The Library's public web site contains over 6000 documents describing the Library, its collections, services and activities. During the year a total of 2135 documents (19 per cent above target) were added to or updated on the site.

Service availability

The average availability during the year of the eight key service areas was as follows:

Service Availability (%)
Local Area Network 100.0
Microsoft NT servers 99.9
Microsoft Exchange 99.7
Web services 99.7
Integrated Library Management System 97.1
PANDORA 100.0
Finance One 99.8
Kinetica Document Delivery Service 100.0

The target availability of 99.5 per cent was exceeded for all services except for the Integrated Library Management System, which suffered poor availability in one month due to deficiencies in a new release of software provided by the supplier.

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