Role Description Director, Audit, Risk and Ethics

Transcription

1 Role Description Director, Audit, Risk and Ethics Cluster Agency Division/Branch/Unit Location Planning and Environment Office of Environment and Heritage Office of the Chief Executive Sydney Classification/Grade/Band Senior Executive Band 1 Senior Executive Work Level Standards Role Number ANZSCO Code PCAT Code Work Contribution Stream: Professional/Technical/Specialist TBC TBC TBC Date of Approval March 2018 Agency Website Agency overview The NSW Office of Environment and Heritage (OEH) aims to enrich life in NSW by helping the community to conserve and enjoy our environment and heritage. For more information go to Primary purpose of the role The Director, Audit, Risk and Ethics leads the internal audit, risk and governance functions of the Office of Environment and Heritage and provides advice directly to the Chief Executive and to the Audit and Risk Committee for strategic direction and accountability of these functions. The Director is the designated Chief Audit Executive for the Office of Environment and Heritage. The Director, Audit, Risk and Ethics also leads the ethics and integrity function of the Office of Environment and Heritage, and is responsible for the implementation of strategies and processes to prevent fraud and corruption, including management of integrity complaints and investigations. Key accountabilities Identify risks to the organization that should be included in the internal audit program Develop the internal audit program for approval by the Chief Executive and the Audit and Risk Committee Lead the conduct, oversight and management of the program internal audits and the preparation of all documentation related to audit and risk committee and audit processes, ensuring that recommended improvements are fully implemented Deliver regular reports to the Chief Executive and Senior Executives, complete with responses to audit report findings and recommendations Deliver regular reports to Chief Executive and the Audit and Risk Committee, complete with responses to audit report findings and recommendations Lead the management and monitoring of the OEH Risk Management Framework. 1

2 Lead the ethics and integrity function of the Office of Environment and Heritage, including the implementation of strategies and processes to prevent fraud and corruption and the management of integrity complaints and investigations. Key challenges Driving a greater understanding and appreciation of audit and risk, and the implications of failure to respond appropriately to threats as they emerge, in a highly sensitive and political environment Creating a consistent and high level of risk mitigating practice across all areas of the organisation, as a key mainstream management obligation and performance expectation Key relationships Who Internal Why Chief Executive Provide expert and independent advice through monitoring and review of the organisation s governance processes Contribute to decision making Identify emerging issues/risks and their implications and propose solutions Report on progress towards business objectives and discuss future directions Executives Provide expert advice, counsel and recommendations on risk identification, assessment, management and mitigation matters to influence organisational decisions and initiatives Audit and Risk Committee Provide expert advice, counsel and recommendations Oversee, lead, guide and support Direct Reports Lead, guide and support External Executive Director, Governance and Chief Audit Executive Department of Planning and Environment Set performance expectations and manage team performance and development Provide expert advice and contribute to decision making Identify emerging issues/risks and their implications and propose solutions Report on progress towards business objectives and discuss future directions Other NSW Government Agencies Establish professional networks and relationships across other jurisdictions to maintain currency of issues, share ideas and learnings, and collaborate on common responses to emerging and/or developing issues NSW central agencies Align the agency s internal audit strategies and practices with NSW Audit Office and NSW Treasury directions and requirements Role Description Director, Audit, Risk and Ethics 2

3 Who External Vendors/Service Providers and Consultants Why Negotiate and approve contracts or service level agreements with external providers (e.g. auditors, etc.) to ensure optimised return on investment Role dimensions Decision making The Director, Audit, Risk and Ethics: operates with a high level of autonomy and is fully accountable for the accuracy, integrity and quality of the content of advice and opinions provided to the Chief Executive on matters referred. determines their key work priorities within the context of agreed work plans and will consult with the Chief Executive on the more complex sensitive and political issues that have a significant impact on OEH s functions or may affect the delivery of public sector wide policy and practice. acts within the standard delegated decision making authority relating to the branch and refers decisions outside its control to the Chief Executive, and provides authoritative advice to the Chief Executive. has a leadership role in developing and delivering corporate strategies, programs, key priorities and reforms. has key advisory relationships with the Executives within the OEH. Reporting line For compliance with Treasury Policy TPP 15-03, Internal Audit and Risk Management Policy for the NSW Public Sector: Administrative reporting to the Chief Executive Functional reporting to the Chair of Audit and Risk Committee for strategic direction. Direct reports TBA Budget/Expenditure TBA Essential requirements Tertiary qualification in a relevant discipline with relevant work place experience. Extensive knowledge and experience working within the provisions of the Public Finance & Audit Act 1983, Treasurer s Circulars and Directions, Treasury Policies TPP and TPP 16-02, and other relevant policies and guidelines Capabilities for the role The NSW Public Sector Capability Framework applies to all NSW public sector employees. The Capability Framework is available at Role Description Director, Audit, Risk and Ethics 3

4 Capability summary Below is the full list of capabilities and the level required for this role. The capabilities in bold are the focus capabilities for this role. Refer to the next section for further information about the focus capabilities. NSW Public Sector Capability Framework Capability Group Capability Name Level Display Resilience and Courage Act with Integrity Manage Self Value Diversity Communicate Effectively Commit to Customer Service Work Collaboratively Influence and Negotiate Deliver Results Plan and Prioritise Think and Solve Problems Demonstrate Accountability Finance Technology Procurement and Contract Management Project Management Manage and Develop People Inspire Direction and Purpose Optimise Business Outcomes Manage Reform and Change Highly Role Description Director, Audit, Risk and Ethics 4

5 Focus capabilities The focus capabilities for the role are the capabilities in which occupants must demonstrate immediate competence. The behavioural indicators provide examples of the types of behaviours that would be expected at that level and should be reviewed in conjunction with the role s key accountabilities. NSW Public Sector Capability Framework Group and Capability Level Behavioural Indicators Personal Attributes Act with Integrity Relationships Communicate Effectively Relationships Work Collaboratively Relationships Influence and Negotiate Highly Model the highest standards of ethical behaviour and reinforce them in others Represent the organisation in an honest, ethical and professional way and set an example for others to follow Ensure that others have a working understanding of the legislation and policy framework within which they operate Promote a culture of integrity and professionalism within the organisation and in dealings external to government Monitor ethical practices, standards and systems and reinforce their use Act on reported breaches of rules, policies and guidelines Present with credibility, engage varied audiences and test levels of understanding Translate technical and complex information concisely for diverse audiences Create opportunities for others to contribute to discussion and debate Actively listen and encourage others to contribute inputs Adjust style and approach to optimise outcomes Write fluently and persuasively in a range of styles and formats Build a culture of respect and understanding across the organisation Recognise outcomes which resulted from effective collaboration between teams Build co-operation and overcome barriers to information sharing, communication and collaboration across the organisation and cross-government Facilitate opportunities to engage and collaborate with external stakeholders to develop joint solutions Engage in a range of approaches to generate solutions, seeking expert inputs and advice to inform negotiating strategy Use sound arguments, strong evidence, and expert opinion to influence outcomes Determine and communicate the organisation s position and bargaining strategy Represent the organisation in critical negotiations, including those that are cross-jurisdictional, achieving effective solutions in challenging relationships, ambiguous and conflicting positions Role Description Director, Audit, Risk and Ethics 5

6 NSW Public Sector Capability Framework Group and Capability Level Behavioural Indicators Results Think and Solve Problems Business Enablers Project Management People Management Optimise Business Outcomes People Management Manage Reform and Change Pre-empt and avoid conflict across organisations and with senior internal and external stakeholders Identify contentious issues, direct discussion and debate, and steer parties towards an effective resolution Undertake objective, critical analysis to draw accurate conclusions that recognise and manage contextual issues Work through issues, weigh up alternatives and identify the most effective solutions Take account of the wider business context when considering options to resolve issues Explore a range of possibilities and creative alternatives to contribute to systems, process and business improvements Implement systems and processes that underpin high quality research and analysis Prepare clear project proposals and define scope and goals in measurable terms Establish performance outcomes and measures for key project goals, and define monitoring, reporting and communication requirements Prepare accurate estimates of costs and resources required for more complex projects Communicate the project strategy and its expected benefits to others Monitor the completion of project milestones against goals and initiate amendments where necessary Evaluate progress and identify improvements to inform future projects Develop workforce plans that effectively distribute organisational resources to achieve business goals Plan for strategic use of human resources that links to wider organisational aims and goals Encourage others to strive for ongoing performance improvement Align systems and processes to encourage improved performance and outcomes Clarify purpose and benefits of continuous improvement for staff and provide coaching and leadership in times of uncertainty Assist others to address emerging challenges and risks and generate support for change initiatives Translate change initiatives into practical strategies and explain these to staff and their role in implementing them Implement structured change management processes to identify and develop responses to cultural barriers Role Description Director, Audit, Risk and Ethics 6