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Part 3.1 Corporate Governance
Senior positions occupied during 2017–18 were as follows:
Inspector-General of Intelligence and Security (Statutory officer)
The Honorable Margaret Stone, appointed 24 August 2015
Deputy Inspector-General of Intelligence and Security (SES Band 2)
Mr Jake Blight
During the reporting period Mr Jake Blight had periods of acting as the Inspector-General.
Assistant Inspector-General of Intelligence and Security (SES Band 1)
Mr Stephen McFarlane
Mr Stephen McFarlane joined the Office of the IGIS on 8 February 2018.
SENIOR MANAGEMENT COMMITTEES
The Audit Committee is the only senior management committee for the agency.
The functions of this committee are detailed under Internal Audit and Risk Management.
CORPORATE AND OPERATIONAL PLANNING
The office's corporate and operational planning processes are straightforward in nature, reflecting the small size and specialist function of the office.
The office addresses these matters through:
- an annual forward planning process to set strategic priorities
- weekly meetings between the IGIS and senior staff members, to review and document operational priorities
- monthly meetings between the IGIS and all office staff, during which internal guidelines, procedures and governance issues are discussed
- a forward plan for inspection activities in each intelligence agency, which is determined in consultation with the relevant agency head (in accordance with section 9A of the IGIS Act)
The Australian Government's Protective Security Policy Framework provides a structure for Australian government agencies to manage security risks proportionately and effectively, and provide the necessary protection for the Government's people, information and assets. The governance arrangements and core policies in the framework describe the higher level protective security outcomes and identify mandatory compliance requirements which IGIS must meet.
As at 30 June 2018, we were fully compliant with all 36 mandatory requirements.
INTERNAL AUDIT AND RISK MANAGEMENT
The membership and functions of the Audit Committee are structured according to the PGPA Act. At 30 June 2018 the members were Mr Trevor Kennedy (Attorney-General's Department) as Chair, Ms Sarah Vandenbroek (Department of Communications and the Arts) and Mr Jake Blight (IGIS) as members. The Inspector-General attends the meetings as an observer.
The Audit Committee meets on a periodic basis to consider matters including:
- risk management
- internal control
- financial statements
- compliance requirements
- internal audit
- external audit
- governance arrangements
The Committee reviews the Risk Management Plan annually based on its assessment of the office risk performance over the period. The Risk Management Plan includes controls designed to mitigate risks including the following:
- personnel related risks
- accidental or intentional loss of information
- segregation of duties
- failure or compromise of information technology systems
- physical security of the office and facilities
- corporate liability
- fraud prevention, detection and management
- corporate compliance requirements
Through its various mitigation strategies, the residual risk accepted by the office is maintained within the low-medium levels in each of the categories listed above.
ETHICAL STANDARDS AND FRAUD CONTROL
We maintained our commitment to ethical standards by ensuring staff were aware of the relevant requirements.
The office has established and maintains appropriate systems of risk oversight, management and internal controls in accordance with section 16 of the PGPA Act and the Commonwealth Risk Management Policy.
The Risk Management Plan includes controls designed to mitigate risks including personnel related risks, accidental or intentional loss of information, segregation of duties, failure or compromise of information technology systems, physical security of the office and facilities, fraud prevention, detection and management, and corporate compliance requirements.
Regular monitoring of risks is undertaken, considered and discussed by the management team and reported to the Audit Committee.
EMPLOYMENT OF SES OFFICERS
The office has three SES positions: one SES Band 2 position and two SES Band 1 positions. The SES Band 2 position is filled by Mr Jake Blight on an acting arrangement, and one SES Band 1 position is substantively filled by Mr Stephen McFarlane. As a result of Mr Blight's acting arrangement one SES Band 1 position is currently vacant. The terms and conditions of all SES officer employment, including salary, are set out in a section 24(1) determination and are based broadly on SES remuneration within the Attorney-General's Department.
EMPLOYMENT OF PERSONS FOR A PARTICULAR INQUIRY
Section 35(2AA) of the IGIS Act requires the annual report to comment on the employment under section 32(3) of any person to perform functions and exercise powers for the purposes of a particular inquiry, and any delegation under section 32AA to such a person. No person was employed under section 32(3) in the reporting period.
REPORTS BY THE AUDITOR-GENERAL, PARLIAMENTARY COMMITTEES, THE COMMONWEALTH OMBUDSMAN OR AN AGENCY CAPABILITY REVIEW
There were no reports on the operation of the office's (other than the report on financial statements) by any of the above bodies. It should be noted that the office is not within the jurisdiction of the Commonwealth Ombudsman.
The office has received an unqualified audit report from the Australian National Audit Office (ANAO) in relation to its financial statements.
Further details of the office's interaction with parliamentary committees are available in the Annual Performance Statement section of this report.
DECISIONS BY THE JUDICIARY, TRIBUNALS OR THE INFORMATION COMMISSIONER
No judicial decisions or decisions made by administrative tribunals or the Information Commissioner had, or may have, a significant impact on the operations of the office.