Corporate governance

Overview

ASADA's corporate governance practices comply with statutory and other external requirements, and aim to achieve sound administrative and financial management practice. They are designed to ensure the efficient, effective and ethical use of our resources. Key aspects of ASADA's corporate governance practices include:

clearly established role accountabilities, including clear delegations of authority and responsibilities
planning and monitoring of outputs, and
monitoring of our resource use, based on budgeting, financial accounting, audit, fraud control, risk management and other reporting systems.

Our corporate area provides operational support and strategic advice to the executive and staff. Issues covered include areas such as procurement, human resources, governance, resource management and budgeting, records management and information technology (IT).

ASADA has an overall framework in place for good governance, which aims to ensure we can fulfil our responsibilities with due diligence and accountability. Following are the major elements of our governance framework:

Management structure - Our executive responsibilities, organisational structure and senior committees are built around suitable terms of reference, appropriate controls and the ability to monitor activity and performance.
Management environment - We promote a culture that provides a coherent corporate planning framework, aligning our vision, strategies, planning processes and performance measures to meet clearly articulated goals. This is enhanced through leadership protocols, investing in people, a learning environment and succession planning.
Consistency and compliance - Our executive, management and staff adhere to Australian Public Service (APS) values, ethics and the APS Code of Conduct in the provision of their duties and functions. This is also underpinned by the ongoing development and maintenance of systems that provide guidance on policies, procedures and behaviours.
Monitoring and reporting - We maintain a focus on efficient and effective business and financial performance. This is achieved through regular reporting against key performance indicators and the ongoing evaluation and review of outputs and outcomes.

The ASADA Executive Committee is our primary decision-making body, and our Members and the Audit Committee help ensure accountability.

Our management structure has three levels, with the following established accountabilities:

the CEO/Chair is accountable for ASADA's management and strategic leadership
each Group Director is accountable for a particular group's management and strategic leadership, and
each Business Unit Manager is accountable for a unit's management and leadership.

Corporate/operational planning and performance management

ASADA's internal corporate planning and reporting framework is an integrated system linked to our financial management, human resource and business management systems.

We integrate our corporate planning processes through our performance management framework. The framework combines our business priorities with enabling strategies such as people management, collaboration with stakeholders, risk management and IT. It is directly aligned with the outcomes and outputs in the Portfolio Budget Statement (PBS) and incorporates the following plans:

The ASADA Strategic plan describes the vision, goals and priorities that underpin our business, and guides us in delivering the Australian Government's priorities.
Business plans outline deliverables at all levels to support the achievement of our goals. Each pillar prepares a plan identifying key priorities, performance information and underlying tactical plans to meet objectives.
Individual performance plans, which provide clarity for people in their work, include performance indicators to track progress against work requirements, and identify learning and development needs and career goals.

We meet our external reporting responsibilities through our PBS and our annual report.

ASADA Members

ASADA members operate in accordance with the powers and functions under the ASADA Act 2006 and the ASADA Regulations.

The ASADA Act provides for the appointment of a Chair and up to six non-governing members (including a Deputy Chair) by the Minister for the Arts and Sport. Given the complexity and sensitivity of ASADA's operations and to ensure a level of independence from government in the decision making process, ASADA's investigative and associated decision making functions are vested with the chair and members. For example, members decide on how individual cases are managed, the handling of findings and potentially the presentation of cases before sports tribunals and other bodies.

Key activities ASADA members contributed to in 2006-07 include:

the consideration and introduction of amendments to the NAD Scheme
overseeing the weightlifting investigation undertaken by ASADA
operating the ADRV Committee, as a sub-committee of the members, and
reviewing ASADA's operations under the ASADA Act 2006.

ASADA members held meetings on:

11 July 2006
12 September 2006
10 October 2006
12 December 2006
27 February 2007
24 April 2007
18 May 2007
20 June 2007

**Table 8:** ASADA member details at 30 June 2007
Position	Name	Date commenced	Date ending	Meetings eligible to attend	Meetings attended
Chair	Mr Richard Ings	14 March 2006	13 March 2009	8	8
Deputy Chair	Mr Geoff Levy	14 March 2006	13 March 2009	8	7
Member	Mr John Black	14 March 2006	13 March 2009	8	8
Member	Ms Jennifer Clark	14 March 2006	13 March 2008	8	8
Member	Ms Nicole Livingstone	14 March 2006	13 March 2008	8	6
Member	Prof Andrew McLachlan	14 March 2006	22 March 2010	8	5
Member	Dr Brian Sando	14 March 2006	22 March 2010	8	8

On 23 March 2007, the Minister for Arts and Sport re-appointed Professor McLachlan and Dr Sando for three years.

Mr Richard Ings (Chair)

Richard Ings is ASADA's first Chair and Chief Executive. Mr Ings assumed these roles when ASADA was officially launched on 14 March 2006. Before this, Mr Ings joined ASDA as its Chief Executive in September 2005, following five years working for the Association of Tennis Professionals, the governing body of the men's professional tennis circuit.

As the Executive Vice President of Rules and Competition, Mr Ings was responsible for ATP's anti-doping program management and brings extensive knowledge of anti-doping and sport to ASADA.

Mr Geoffrey Levy AO (Deputy Chair)

Geoffrey Levy brings legal and business experience to the ASADA membership. Mr Levy is currently the Executive Chairman of Investec Bank (Australia) Limited and Non-Executive Chairman of Miller's Retail Limited. He is also a Non-Executive Director of Ten Network Holdings Limited and STW Group Limited. Mr Levy is a former partner of Australian national legal firm, Freehills.

Mr John Black (Member)

John Black, a former Senator for Queensland, chaired the Senate Inquiry into Drugs
in Sport that led to the establishment of ASADA and the design of drug testing regimes
for Australian sport.

Ms Jennifer Clark (Member)

Jennifer Clark has had a long career in investment banking and as a non-executive director. She has been on various Australian Government Boards since 1991, including the Australian Sports Commission and the Australian Sports Foundation.

Ms Nicole Livingstone (Member)

Nicole Livingstone has an extensive and highly successful background in swimming, competing at three Olympic Games, various Commonwealth Games and many World Championships. She is also a respected sports commentator and an outspoken critic
of doping in sport.

Ms Livingstone has also been heavily involved in the Australian Olympic Committee's 'Live clean, play clean' anti-doping education program targeted at Australian junior elite athletes. Ms Livingstone brings much experience, including an athlete's perspective,
to the ASADA membership.

Prof Andrew McLachlan (Member)

Prof Andrew McLachlan is a pharmacist, teacher and researcher at the University of Sydney and Concord Hospital, with expertise in clinical pharmacology and drug testing.

Prof McLachlan educates pharmacists and other health professionals. He is a consultant to industry and government in the evaluation and safe use of medicines.

Dr Brian Sando OAM (Member)

Dr Brian Sando is a sports medicine practitioner, the Chair of the AOC Medical Commission and a member of the Commonwealth Games Federation Medical Commission.

Dr Sando has worked as a Medical Officer to seven Australian Olympic teams, four as Senior Medical Director and is a former president of Sports Medicine Australia. He is also a member of the WADA Health, Medical and Research Committee.

ASADA members
Back row: L-R, Mr John Black, Prof Andrew McLachlan, Dr Brian Sando
Front row: L-R, Mr Geoffrey Levy, Ms Jennifer Clark, Ms Nicole Livingstone, Mr Richard Ings (Chair)

Senior Management Committees

Executive Committee

ASADA's Executive Committee comprises the Chief Executive Officer and the four Group Directors of Detection, Deterrence, Enforcement and Support. This committee meets weekly.

The Executive Committee is responsible for high-level policy issues relating to ASADA's strategic leadership and management. This includes:

organisational development - shaping ASADA's future
policy development and coordination - involving major anti-doping issues, generally with implications that involve more than one business area
corporate governance - ensuring the efficient, effective and ethical use of resources, and
planning and allocating resources - meeting current and future work priorities.

Audit Committee

The Audit Committee functions in accordance with the Financial Management and Accountability Act 1997. It provides the Chair with assurance in relation to his responsibilities for financial reporting, maintaining an efficient system of internal controls, improving performance and accountability, and reviewing specific matters that may arise from external audit processes.

The Audit Committee comprises three external members: Ms Jennifer Clark (Chair), Mr Geoffrey Levy and Mr David Lawler. Representatives from the Australian National Audit Office (ANAO), ASADA's internal auditors, the Chief Financial Officer and the ASADA Chair attend all committee meetings. The Audit Committee met seven times during 2006-07.

Workplace Relations Committee

The Workplace Relations Committee was established under ASADA's certified agreement as a mechanism to consult with staff and provide advice to management on workplace issues, oversee the implementation of the certified agreement, and provide input into ASADA's successor agreement.

The committee discusses workplace issues in a spirit of cooperation and trust, and enables employees to receive information on workplace issues affecting them, including business progress and impacts of new initiatives. The committee allows employees to contribute their views on these issues.

The membership of the committee is a management representative (currently the Group Director Support) and four elected staff representatives. During the 2006-07 year, the committee met nine times.

Anti-Doping Rule Violation Committee

The Anti-Doping Rule Violation Committee (ADRVC) is a sub-committee that meets fortnightly and is made up of three ASADA Board Members: Dr Brian Sando (Chair), Mr Richard Ings and Professor Andrew McLachlan.

Section 47(i)(b) of the ASADA Act 2006 allows ASADA to delegate Section 21, Functions, and Section 22, Powers, to a committee consisting of two or more ASADA members. The functions of the ADRVC are to determine whether there is enough evidence for ASADA to seek (or not to seek) a 'show cause' explanation from athletes or athlete support personnel who have potentially committed an anti-doping rule violation. The ADRVC then determines whether there is sufficient evidence for ASADA to make a finding of an anti-doping rule violation and place the relevant details on our Register of Findings. Where relevant, the ADRVC also:

determines the appropriate sanctions/consequences of anti-doping rule violations
notes the opening of investigations into laboratory reports of elevated testosterone/epitestosterone ratios (or other naturally occurring hormones), and
reviews the progress of these investigations and determines when to conclude them.

The committee also determines whether any tribunal decision (such as decisions by the Administrative Appeals Tribunal or the Court of Arbitration for Sport) should be subject to appeal by ASADA, in cases where ASADA has a right of appeal. It also gives the ASADA Executive guidance on matters related to testing, investigations, result management or enforcement actions if there is any risk involved for ASADA.

Risk management

ASADA is committed to a comprehensive, coordinated and systematic approach to the management of risk. That approach is directed towards supporting managers to anticipate uncertain events, exploit opportunities and respond appropriately to potential weaknesses.

The Corporate Policy and Framework for Managing Risk and associated guidelines was approved in June 2007. This policy, which is consistent with the Australian/New Zealand standard for risk management (AS/NZS 4360:2004), aims to:

integrate and formalise existing risk management processes across ASADA
ensure appropriate identification, analysis and evaluation of relevant risks
continue monitoring risk and considering treatment strategies, and
establish a risk communication strategy and training framework for stakeholders.

General business risk

Risk identification in ASADA occurs at several levels:

The Executive team identifies strategic risks that apply to most areas of ASADA.
These risks are considered in business plans.
Group Directors and Business Unit Managers identify the main pressures, challenges and risks that may affect their objectives in their annual business plans. This includes consideration of the strategic risks identified by the Executive Committee.
During 2006-07 an external consultant undertook a major review of business risks, to identify all risks and to develop a revised risk management plan.

Financial risk in ASADA is managed through:

Chief Executive Instructions, available to all staff, which put into effect the FMA Act requirements and set out responsibilities and procedures that provide an overarching framework for transparent and accountable financial management. They also contain topics relating specifically to risk management and internal accountability.
The Internal Audit Plan, which identifies services and functions for auditing. It incorporates issues raised by the ANAO in its audit of our financial issues, policy evaluations, previous internal audits and strategic risk management issues, statements and, where appropriate, recent ANAO reports on cross-agency matters.
Monthly reports to ASADA members and oversight by the Audit Committee.

Risk management and insurable risks are aligned through Comcover and Comcare.

ASADA participated in the annual Comcover benchmarking survey, the results of which showed that we can improve on implementing our risk management framework, communication, training and awareness. The results from this are being built into objectives for the next financial year.

Fraud risk

ASADA developed a fraud control plan that meets our needs and complies with the Commonwealth Fraud Control Guidelines. As per the Guidelines, our fraud control policy will be reviewed and updated in 2007-08.

IT business continuity

ASADA aims to identify and manage risks associated with the delivery of IT services. IT governance includes:

the IT Disaster Recovery Plan, which sets out the strategies and processes to restore services if our central computing infrastructure is lost partially or completely. The plan aims to restore services within an appropriate time based on the how critical the system is
business continuity plans for our IT application systems, which set out alternate methods and processes to use, so we can continue to work while the IT environment is restored, and
an IT Security Policy that addresses the requirements to protect information holdings and secure operation of our IT resources. The policy is based on the protective security policies and standards in the Australian Protective Security Manual and the Australian Government Information and Communications Technology Security Manual.

Ethical standards

We have our own values statement reflecting and supporting the way ASADA functions within the APS legislative framework and forming part of our performance management system. We are committed to supporting and promoting the APS values and Code of Conduct in accordance with the APS Act.

The Chief Executive Instructions establish ASADA's financial administrative framework under the FMA Act. They provide the basis for effective, efficient, ethical and accountable use and management of Australian Government money and property. ASADA reviewed and updated the instructions in the 2006-07 year, together with the underlying procedural rules. The Chief Executive Instructions provide a user-friendly approach to financial management processes and give staff guidance to help them comply with legislation
and ASADA's ethical standards.

All corporate governance policies and procedures are available on our intranet site.

Social justice and equity impacts

ASADA recognises the importance of ensuring clients have equitable access to our range of services. We adhere to the principles of natural justice and procedural fairness enshrined in our governing legislation and carried through in the operating procedures
for doping control and results management processes.

Audit and investigations

Audits conducted within ASADA are undertaken with the aim of providing an effective, objective and independent assurance to the executive and the Audit Committee that resources are being used efficiently, effectively and ethically by providing quality, timely and cost-effective audit work.

Internal audit systems are conducted under the direction of the Audit Committee,
and the function for 2006-07 was outsourced to Acumen Alliance.

ASADA completed three audits in 2006-07:

Procurement to payment process audit - This review found that the processes involved in the procurement and accounts payable process were sound. The recommendations from the review were focused on the improvement of documented procurement and payables procedures and the education of staff in these areas.
Occupational health and safety management arrangements - This review found that ASADA is partially compliant with the Occupational Health and Safety Act 1991 and
its regulations. It has identified the corrective action areas.
Payroll review - This review found that the controls surrounding the payroll process were effective and mitigate risk, and that payroll transactions are being processed effectively. The audit did identify that there were some gaps in procedural documentation and that controls over timesheet processing may be ineffective.

A strategic internal audit plan will be developed for the 2007-08 financial year. The activities of the internal audit will be aligned with ASADA's broader risk and control framework, including risks arising at a corporate level.

In undertaking its work, internal audit will work cooperatively with key external stakeholders and partners, especially the ANAO.

Financial management

Internal budgeting processes have been enhanced to increase accountability at the Business Unit level, including a restructure of the Chart of Accounts.

In 2006-07 the timeliness, presentation and accuracy of internal reporting to the executive and the Members was enhanced, and accounting functions were brought in-house to improve internal and external reporting and accountability. In 2006-07 the processing of accounts and the preparation of face statements (which had been outsourced) were brought in-house.

There was an increased focus on helping staff in operational areas improve the recording and reporting of information, and on upgrading their general understanding of financial management and the government's accountability framework.

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