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Part Five: Annexures

Annex 1: Summary of Inquiries and Complaints

Table 1.1 IGIS Act Inquiries actioned between 1 July 2013 and 30 June 2014

Agency Source Inquiry Date initiated Date finalised Duration (days)
ASIS IGIS The provision of weapons and the training in and use of weapons and self-defence techniques by ASIS 15 April 2013 29 November 2013 228
ASIO IGIS The attendance of legal representatives at ASIO interviews 1 May 2013 24 January 2014 268
ASIO/DIAC/AFP Prime Minister The matter of an Egyptian irregular maritime arrival who was the subject of an Interpol red notice [Mr E] 6 June 2013 13 March 2014 280
ASIS IGIS The management of weapons by ASIS in a particular location 10 June 2014 Ongoing

Table 1.2 Summary of complaints handled administratively by OIGIS between 1 July 2013 and 30 June 2014

Agency Number of complaints From public From intelligence agency employee or ex-employee
ASIO (visa security assessments) 487 487 0
ASIO (all other complaints) 13 8 5
ASIS 2 0 2
DSD 2 2 0
DIGO 0 0 0
DIO 0 0 0
ONA 0 0 0
TOTAL Complaints 504 497 7

Annex 2: Salary ranges for APS Employees in OIGIS in 2013-14

OIGIS Band APS Level Salary Range 1 July 2013–30 June 2014 ($)
SES Band 1 SES Band 1 7179 458
OIGIS Band 4 EL2 133 967
130 796
128 258
119 013
112 564
OIGIS Band 3 EL1 107 810
104 635
96 710
OIGIS Band 2 APS6 89 973
87 199
84 027
80 063
APS5 76 101
74 513
72 531
70 155
APS4 68 569
66 586
65 003
63 021
OIGIS Band 1 APS3 61 038
59 453
57 866
56 680
APS2 55 092
53 509
51 129
49 543
APS1 48 355
46 373
45 184
45 138

7 The salary reported in the 2012–13 annual report was incorrect and should have been reported as $174 232.

Annex 3: Agency resource statements

Table 3.1 Agency Resource Statement and Resources for Outcomes 2013-14

Actual available
appropriation
for 2013-14
$'000
(a)
Payments made
2013-14
$'000
(b)
Balance remaining
2013-14
(a) – (b)
Ordinary Annual Services
Departmental Appropriation
  Prior year departmental appropriation 2 049 2 038 11
  Departmental appropriation 2 248 238 2 010
  S31 Relevant Agency Receipts 410 - 410
  Total 4 707 2 276 2 431
  Administered expenses - - -
  Total - - -
Total ordinary annual services A 4 707 2 276 2 431
Other services
  Departmental non-operating - - -
  Total - - -
Total other services B - - -
Total available annual appropriations 4 707 2 276 2 431
Special appropriations - - -
Total special appropriations C - - -
Special accounts - - -
Total special accounts D - - -
Total resourcing
A+B+C+D 4 707 2 276 2 431
Less appropriations drawn from annual or special appropriations above and credited to special accounts and/or CAC Act bodies through annual appropriations - - -
Total net resourcing for agency 4 707 2 276 2 431

Table 3.2 Expenses and Resources for Outcome 1

Outcome 1: Independent assurance for the Prime Minister, senior ministers and Parliament as to whether Australia's intelligence and security agencies act legally and with propriety by inspecting, inquiring into and reporting on their activities Budget
2013-14
$'000
(a)
Actual expenses
2013-14
$'000
(b)
Variation
2013-14
$'000
(a) – (b)
Program 1.1: Office of the Inspector-General of Intelligence and Security
Departmental expenses
  Ordinary annual services (Appropriation Bill No.1) 2 178 2 179 (1)
  Revenue from independent sources 150 (150)
  Special appropriations
  Special Accounts
  Expenses not requiring appropriation in the Budget year 131 163 (32)
Total for Program 1.1 2 309 2 492 (183)
Outcome 1 Totals by appropriation type
Departmental expenses
  Ordinary annual services (Appropriation Bill No.1) 2 178 2 179 (1)
  Revenue from independent sources 150 (150)
  Special appropriations
  Special Accounts
  Expenses not requiring appropriation in the Budget year 131 163 (32)
Total expenses for Outcome 1 2 309 2 492 (183)
Budget 2013-14 Actual 2013-14
Average Staffing Level (number) 12 12 -

Annex 4: Requirements for Annual Reports

Description Requirement Part of Report Page
Letter of transmittal Mandatory Preliminary i
Table of contents Mandatory Preliminary ii-iii
Index Mandatory Annex 86-92
Glossary Mandatory Preliminary iv
Contact officer(s) Mandatory Preliminary inside front cover
Internet home page address and internet address for report Mandatory Preliminary inside front cover
Review by agency head Mandatory Overview 3-5
Summary of significant issues and developments Suggested Overview 1-5
Overview of agency's performance and financial results Suggested Overview 1-5,31-2
Outlook for following year Suggested Overview 5
Significant issues and developments - portfolio Portfolio departments-suggested Overview N/A
Role and functions Mandatory Overview 1,4,5
Organisational structure Mandatory Management &Accountability 33
Outcome and programme structure Mandatory Performance 6-7,80
Where outcome and programme structures differ from PB Statements/PAES or other portfolio statements accompanying any other additional appropriation bills (other portfolio statements), details of variation and reasons for change Mandatory Performance N/A
Portfolio structure Portfolio departments-mandatory N/A N/A
Review of performance during the year in relation to programmes and contribution to outcomes Mandatory Performance 6-32
Actual performance in relation to deliverables and KPIs set out in PB Statements/PAES or other portfolio statements Mandatory Performance 6-32
Where performance targets differ from the PBS/PAES, details of both former and new targets, and reasons for the change Mandatory N/A N/A
Narrative discussion and analysis of performance Mandatory Performance 6-32
Trend information Mandatory Performance 15-16,32
Description Requirement Part of Report Page
Significant changes in nature of principal functions/services Suggested N/A N/A
Performance of purchaser/provider arrangements If applicable, suggested Management & Accountability 34,36
Factors, events or trends influencing agency performance Suggested Overview 1-5,18
Contribution of risk management in achieving objectives Suggested Management & Accountability 3,33-34
Performance against service charter customer service standards, complaints data, and the department's response to complaints If applicable-mandatory N/A N/A
Discussion and analysis of the department's financial performance Mandatory Management & Accountability 31-2
Discussion of any significant changes in financial results from the prior year, from budget or anticipated to have a significant impact on future operations Mandatory Managements & Accountability 31-2
Agency resource statement and summary resource tables by outcomes Mandatory Annex 79-80
Agency heads are required to certify that their agency complies with the 'Commonwealth Fraud Control Guidelines' Mandatory Preliminary i
Statement of the main corporate governance practices in place Mandatory Management & Accountability 33-5
Names of the senior executive and their responsibilities Suggested Management & Accountability 33
Senior management committees and their roles Suggested Management & Accountability 33
Corporate and operational plans and associated performance reporting and review Suggested Management & Accountability 33,4
Internal audit arrangements including approach adopted to identifying areas of significant financial or operational risk and arrangements to manage those risks Suggested Managements Accountability 33,4
Policy and practices on the establishment and maintenance of appropriate ethical standards Suggested Managements & Accountability 34
How nature and amount of remuneration for SES officers is determined Accountability Suggested Managements 34-5
Significant developments in external scrutiny Mandatory Managements & Accountability 4,35
Judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner Mandatory Overview 4
Description Requirement Part of Report Page
Reports by the Auditor-General, a Parliamentary Committee, the Commonwealth Ombudsman or an agency capability review Mandatory Management & Accountability 4,35
Assessment of effectiveness in managing and developing human resources to achieve departmental objectives Mandatory Management & Accountability 35-6
Workforce planning, staff turnover and retention Suggested Management & Accountability 35-6
Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and Australian Workplace Agreements (AWAs) Suggested Management & Accountability 34-5,36
Training and development undertaken and its impact Suggested Management & Accountability 36
Work health and safety performance Suggested Management & Accountability 38
Productivity gains Suggested Management & Accountability 3-4,12,18
Statistics on staffing Mandatory Management & Accountability 35
Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs Mandatory Management & Accountability; Annex 2 Salary ranges 34-5,36
Performance pay Mandatory Management & Accountability 36
Assessment of effectiveness of assets management If applicable-mandatory N/A 31-2
Assessment of purchasing against core policies and principles Mandatory Management & Accountability 34,36
Summary statement detailing the number of new consultancy services let during the year; the total actual expenditure on all new consultancy contracts let during the year (inclusive of GST); the number of ongoing consultancy contracts that were active in the reporting year; and the total actual expenditure in the reporting year on the ongoing consultancy contracts (inclusive of GST). A statement noting that information on contracts and consultancies is available through the AusTender website. Mandatory Management & Accountability 36
Absence of provisions in contracts allowing access by the Auditor-General Mandatory Management & Accountability 36
Contracts exempted from publication in AusTender Mandatory Management & Accountability 37
Description Requirement Part of Report Page
Financial Mandatory Financial Statements 39–75
Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011) Mandatory Management &Accountability 38
Advertising and Market Research (section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns Mandatory Management &Accountability 37
Ecologically sustainable development and environmental performance (section 516A of the Environment Protection and Biodiversity Conservation Act 1999) Mandatory Management &Accountability 37
Compliance with the agency’s obligations under the Carer Recognition Act 2010 If applicable, mandatory N/A N/A
Grant programmes Mandatory N/A N/A
Disability reporting – explicit and transparent reference to agency-level information available through other reporting mechanisms Mandatory Management &Accountability 38
Information Publication Scheme statement Mandatory Management &Accountability 37
Correction of material errors in previous annual report If applicable – mandatory N/A N/A
Agency Resource Statements and Resources for Outcomes Mandatory Annex 3 79-80
List of requirements Mandatory Annex 4 81-4

Index

A

Accountable Authority Instructions, 34

address and contact details, inside front cover

Administrative AppealsTribunal, 1,14-15

administrative tribunals, 1,4

advertising and market research, 37

agency resource statements, 79-80

alcohol consumption, 11

analytic independence inquiry of 2012-13,implementation of recommendations, 17

ANAO see Australian National Audit Office

Anti-Money Laundering and Counter Terrorism Financing Act 2006,30-1

Archives Act 1983

IGIS role in FOI and Archives matters, 1,14-15

asset management, 31-2

Assistant Inspector-General of Intelligence and Security, 7, 33

assumed identities, 30

Attorney-General, 2,22,23,31

ASIO submissions to, 18

reporting on warrants to, 19

Attorney-General's Guidelines, 18,20

Audit Committee, 33-4, 38

Auditor-General, 35 see also Australian National Audit Office

audits

independent auditor's report, 31,35

internal audit, 33-4

AusCheck, 14

AusTender, 36, 37

Australian Federal Police, 4,9-10

Australian Geospatial-Intelligence Organisation see Defence Imagery and Geospatial Organisation (DIGO)

Australian Government Solicitors, 37

Australian Human Rights Commission referrals to OIGIS, 13

Australian Intelligence Community see intelligence agencies

Australian National Audit Office

access clauses, 36

and accountability of AIC agencies, 1

audit report, 31,35

Australian persons, communication and retention of intelligence on see privacy rules compliance

Australian Secret Intelligence Service (ASIS)

assumed identities, 30

AUSTRAC information access and use, 31

complaints, 13,77

employment related matters, 13

IGIS briefings for ASIS officers, 7

inquiries relating to, 10-11,77

inspections of, 24-6, 30, 31

ministerial authorisations to collect intelligence, 24-5

new powers proposed, 5

privacy rules, 23-5

procedural changes as a result of IGIS recommendations, 11,25

recordkeeping, 31

review of operational files, 25

role and functions, 2, 23

weapons use and issues, 10-11,26

Australian Security Intelligence Organisation (ASIO)

analytic independence inquiry of 2012-13, implementation of recommendations, 17

assumed identities, 30

AUSTRAC information access and use, 31

complaints (non visa-related), 13,77

complaints (visa-related), 8-10,12, 77

employment related matters, 13-14

exchange of information with foreign liaisons, 21-2

IGIS briefings for ASIO officers, 7

information sharing, 9-10

information use within ASIO, 22

inquiries relating to, 4,8-10,77

inspections of, 18-22,31

investigations by, 19

legal representation at ASIO interviews, 4,8-9

management of Mr E (asylum seeker) case, 9-10

Preservation Notices (telecommunications data), 21

procedural changes as a result of IGIS recommendations, 9,10, 22

questioning and detention warrants, 20

recordkeeping, 17,18,19

role and powers, 2,5,18,21

taxation information access, 21

telecommunications data and interceptions, 19-21

warrant operations, 19-20

Australian Security Intelligence Organisation Act 1979 (ASIO Act), 2,13,18,21

breaches of, 19,20

Australian Signals Directorate see Defence Signals Directorate (DSD)

Australian Taxation Office (ATO), 21

Australian Transaction Reports and Analysis Centre (AUSTRAC), 30-1

Aviation Security Identification Cards, 14

B

Blight, Jake, 7, 33, 34

briefings

for IGIS by agencies, 7

by IGIS for agency officers, 7

business processes, 3

C

changes in agency procedures see procedural changes as a result of IGIS recommendations

Chief Executive Instructions, 34

codes of conduct, 34

collaboration

Immigration/ASIO/AFR 8,9-10

OIGIS/Ombudsman, 13

Commissioner of Taxation, 21

Commonwealth Disability Strategy, 38

Commonwealth Ombudsman, 4,13,30,35

complaints handling, 11-14

contacts handled administratively, 16

employment-related matters, 13-14

non visa-related, 13,16,77

numbers and trends, 15-16,77

OIGIS engagement with other agencies, 13,14

role of IGIS, 1,11-12

summary, 77

timeliness, 17

visa-related, 8-10,12,15-16,77

see also inquiries

consultants, 36

contact details, inside front cover

contracts, 36-7

corporate and operational planning, 33

corporate governance, 33-5

court decisions, 4

Crimes Act 1914,30

cross-agency inspections, 30-1

currency movements, 31

Cybercrime Legislation Amendment Act 2012,21

D

Defence Imagery and Geospatial Organisation (DIGO), 2

complaints handled administratively by OIGIS, 77

inspections of, 29-30

privacy rules, 23-4

role, 2-3

Defence intelligence agencies, 2-3

Defence Intelligence Organisation (DIO)

analytic independence inquiry (2012-13), implementation of recommendations, 17

complaints handled administratively by OIGIS, 77

inspections of, 30

privacy guidelines compliance, 30

recordkeeping, 17

role, 2-3

Defence Signals Directorate (DSD), 2

complaints handled administratively by OIGIS, 13,77

inspections of, 26-9

ministerial authorisations to collect intelligence, 26-9

privacy rules, 23-4, 27, 29

procedural changes as a result of IGIS recommendations, 27,28-9

recordkeeping, 28,29

role, 3

TIA Act compliance, 28

delegations (administrative), 34

deliverables, 6

Department of Defence, 2 see also Minister for Defence

Department of Immigration and Border Protection see Immigration

Department of Immigration and Citizenship see Immigration

Department of the Prime Minister and Cabinet, 36,37

Director-General of ASIS, 11, 24, 25, 26, 30 Director-General ofSecurity (ASIO), 21,30

disability reporting, 38

E

ecologically sustainable development, 37

effecting change in agencies see procedural changes as a result of IGIS recommendations

Egyptian irregular maritime arrival, and actions of Commonwealth agencies, 4,9-10

employment (OIGIS), 34-5, 36

employment-related grievances within intelligence agencies, 13-14

engagement of IGIS with intelligence agencies, 7

enterprise agreements, 36

environmental performance, 37

ethical standards, 34

exchange of information see information sharing

exempt contracts, 37

expenditure, 31,80

expert evidence provision, 1

external scrutiny, 4,35

F

financial intelligence information, 21,30-1

Financial Management and Accountability Act 1997, 33,34

financial performance

agency resource statements, 79-80

summary, 31-2

financial statements, 35,39-75

firearms, 11

foreign agencies, exchange of information with, 21-2,27

foreign conflicts, Australians involved in, 20

fraud control, i, 34

freedom of information

IGIS role in FOI and Archives matters, 1,14-15

OIGIS as exempt agency (FOI Act), 37

Freedom of Information Act 1982,1,14,37

functions

intelligence agencies, 2-3

OIGIS, 1,4,5

funding, 31-2, 79-80

future (outlook), 5

G

glossary, iv

H

Health and Safety Representative, 38

highlights of year, 3-4

human resources management, 35-6

human rights and discrimination matters, 22

human source operations (ASIO), 18

I

identities, assumed, 30

Immigration

information sharing and recordkeeping, 8, 9-10

inquiries relating to, 4,8-10

procedural changes as a result of IGIS recommendations, 10

immigration detention, 4

independent auditor's report, 31,35

Information Commissioner, 1,4

Information Publication Scheme, 37

information sharing

Immigration/ASIO/AFR 8,9-10

inquiries

completed, 4,8-11,77

employment of persons for a particular inquiry, 35

implementation of recommendations see procedural changes as a result of IGIS recommendations

inquiry function and powers, 1,7-8

legal representation at ASIO interviews, 4,8-9

numbers and trends, 15

ongoing, 11,77

requested by Prime Minister, 9-10

timeliness, 16-17

workload, 4

inspections

agencies subject to ISA Act, 23-4

ASIO activities, 18-22, 31

ASIS activities, 24-6, 30, 31

AUSTRAC access and use, 30-1

cross-agency inspections, 30-1

DIGO activities, 29-30

DIO privacy guideline adherence, 30

DSD activities, 26-9

forward plan, 33

ONA privacy guideline adherence, 30

overview of activities, 18

role of IGIS, 1

Inspector-General of Intelligence and Security, 33

briefings, 7

review of year, 3-5

role and powers, 1,4,5

submissions to inquiries and reviews, 5

Inspector-General of Intelligence and Security Act 1986, 1,13

intelligence agencies, 2-3

AUSTRAC information access and use, 30-1

complaints (non visa-related), 13,16

complaints against agencies see complaints handling; inquiries

cross-agency inspections, 30-1 see also inspections

effecting change in agencies see procedural changes as a result of IGIS recommendations

employment-related grievances, 13-14

engagement with, 7

inspection of, 23-31

limits to functions, 23

oversight of, 1,5

public interest disclosure scheme, 4,14,16,30

regular points of contact (officers), 7

roles and functions, 2-3

Intelligence Services Act 2001 (ISA), 2,3

agencies subject to ISA Act see intelligence agencies

breaches of, 11,13,16, 24-5, 26, 29

limits on intelligence agencies' functions, 23

privacy rules, 23-5

internal audit, 33-4

Internet home page, inside front cover

Interpol red notices, 4,9,10

irregular maritime arrivals

complaints about security assessments, 15

inquiry concerning actions of Commonwealth agencies concerning Mr E, 4,9-10

J

judicial decisions, 4

K

key performance indicators, 6-7

key strategies, 6

L

leadership groups addressed by Inspector-General, 7

learning and development, 36

legacy incidents, 27,28-9

legal representation at ASIO interviews, 4,8-9

legal services, 37

legislation (enabling Act), 1

legislative changes, 4

letter of transmittal, i

M

management and accountability (OIGIS), 33-8

Maritime Security Identification Cards, 14

market research, 37

memoranda of understanding, 13,21,31

Minister for Defence, 3, 26, 27, 28, 29

Minister for Foreign Affairs, 2,31

ministerial authorisations to collect intelligence, 23-30

N

National Disability Strategy, 38

national intelligence priorities, 23

national security, 2,3,5,10

National Security Committee of Cabinet, 23

National Security Legislation Amendment Bill (No. 1)2014,5

nationality, presumption of, 23, 24-5, 27, 29

natural disasters, 3

non-salary benefits, 36

notifiable incidents (WHS), 38

O

Office of National Assessments (ONA)

complaints handled administratively by OIGIS, 77

inspections of, 30

privacy rules compliance, 30

role, 2

Office of National Assessments Act 1977 (ONA Act), 2

Ombudsman, 4,13, 30, 35

operational files, review of, 25

operational planning (OIGIS), 33

organisational structure, 33

outcome and program, 6-7

financial performance summary, 31-2

performance report, 6-32

resources for outcome, 79-80

outlook, 5

outreach program, 7

overview by Inspector-General, 3-5

P

Parliamentary Joint Committee on Intelligence and Security, 1,5

parliamentary oversight of OIGIS, 4,35

performance indicators, 6-7

performance pay, 36

performance report, 6-32

personal information in ASIO files, 22 see also privacy rules compliance

personal security see protective security

planning (OIGIS), 33, 34

Portfolio Budget Statements, 6

portfolio relationship, 1

powers of IGIS, 1 see also roles and functions (IGIS)

presentations and outreach, 7

Preservation Notices (stored telecommunications data), 21

Prime Minister, 1,2,5

inquiry requests, 9-10

see also Department of the Prime Minister and Cabinet

priorities

risk-based approach to prioritising work, 3

privacy rules compliance, 22, 23-5, 27, 29, 30

procedural changes as a result of IGIS recommendations, 17-18

AFP, 10

ASIO, 9,10,22

ASIS, 11,25

DSD, 27, 28-9

Immigration, 10

procurement, 34,36

program, 6-7

protection for complainants/information providers, 8

protective security, 34

Public Governance, Performance and Accountability Act 2013, 34

Public Interest Disclosure Act 2103,4

Public Interest Disclosure scheme, 4,14,16,30

Public Service Act 1999 code of conduct provisions, 13

purchasing, 34,36

Q

questioning and detention warrants, 20

R

recordkeeping

ASIO, 17,18,19

ASIS, 31

DIO, 17

DSD, 28, 29

Immigration, 9-10

value of, 13

remuneration

APS employees, 36,78

non-salary benefits, 36

SES, 34-5

resources for outcome, 79-80

risk management, 33-4

risk-based approach to prioritising work, 3

roles and functions

intelligence agencies, 2-3

OIGIS, 1,4,5

S

salary ranges, 78

security

defined, 2

clearances for OIGIS staff, 36

policy for use of information holdings within ASIO, 22

protective security, 34

visa applicant checks see visa security assessment processes

self-defence techniques, 10-11,26

Senate Legal and Constitutional Affairs References Committee, 5

Senate Standing Committee on Finance and Public Administration, 4

senior executive, 33

Senior Executive Service (SES) officer remuneration, 34-5

senior management committees, 33

staff, 35-6,80

strategies, 6

structure (organisational), 33

study assistance, 36

submissions to inquiries and reviews, 5

T

Taxation Administration Act 1953 (TAA), 21

taxation information, 21

Telecommunications (Interception and Access) Art/979 (TIA Act), 5,19-21,28

telecommunications interception warrants, 19-20

telecommunications locational information or subscriber data, 20-1

tendering see purchasing

Thom, Vivienne, 1,33 see also Inspector-General of Intelligence and Security

training and development, 36

trends

finances, 32

inquiries and complaints, 15-16

tribunal decisions, 4

V

visa security assessment processes

complaints handling, 12

complaints numbers and trends, 15-16

interviews, 4,8-9

new processes, 12

shortcomings addressed, 9-10

W

warrant operations by ASIO, 19-20

weapons use and issues, 10-11,26

website address, inside front cover

whistleblower protection scheme see Public Interest Disclosure scheme

WorkHealth and Safety Act 2011,38

work health and safety (OIGIS), 38

workload, 4,5,18

workplace agreements, 36

Y

year in review, 3-5

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