In its first three months of operation, the Clean Energy Regulator focused on designing and implementing core elements of its governance framework.
Elements of the corporate governance framework include: senior leadership and management committees; business planning; risk management; fraud control; audit; Chief Executive Instructions; human resources policies and guidelines; and organisational structure.
When fully implemented, the framework will help to ensure that the Clean Energy Regulator meets its objectives and delivers efficient and accountable public administration.
The Clean Energy Regulator has established a Business Planning Framework that consists of a number of documents designed to articulate the business priorities and deliverables at the various levels within the Clean Energy Regulator. The framework will be aligned with other corporate management frameworks, such as the frameworks for internal resource allocation, individual performance and development, risk management, and internal reporting, as they are developed.
During the reporting period the Agency started to develop the Corporate and Annual plans. The Corporate Plan covers three years and contains the strategies and policies to achieve the objectives of the Regulator. The Annual Plan outlines the annual priorities to be delivered from an organisational perspective and has a strong link to the Corporate Plan.
The management committees that assist the Chief Executive Officer to fulfil her responsibilities are described in Table 4.1.
Table 4.1: Management committees at 30 June 2012
The Clean Energy Regulator is utilising the risk management framework of the Department of Climate Change and Energy Efficiency while developing a new framework tailored for the Clean Energy Regulator.
During the reporting period, the Clean Energy Regulator established a comprehensive approach to the assessment of risks, including fraud risks, associated with the management of the Agency and the delivery of new capabilities, regulatory functions and administrative services.
The reporting period also saw significant progress in developing fraud control measures, including fraud prevention, detection, investigation, reporting and response strategies, to support an agency fraud control plan to be finalised in 2012. The fraud control plan will build on fraud control measures and plans already in place for specific business areas.
The Clean Energy Regulator established an intelligence function to deliver services, receive and assess allegations of fraud and minimise the incidence of fraud in the Agency.
A memorandum of understanding was signed with the Australian Securities and Investments Commission to facilitate inter-agency cooperation, including on matters that are relevant to fraud control. Work on developing memoranda of understanding with the Australian Taxation Office, the Australian Competition and Consumer Commission and the Australian Energy Regulator was well progressed during the reporting period.
A number of controls were implemented to mitigate the opportunity for fraud, including legislative controls, an online fraud and ethics awareness training package and course, and directions to staff issued under the Public Service Act 1999. These directions restrict staff from acquiring an account in the Australian National Registry of Emissions Units and accessing or attempting to gain access to such an account as an authorised representative. Staff must also advise the Chair of the Clean Energy Regulator if they have particular interests which may represent a conflict with their responsibilities.
The Clean Energy Regulator’s internal audit program is being developed to align with the Agency’s strategic risks and statutory requirements. The internal audit program will also be informed by and respond to the activities of external bodies such as the Australian National Audit Office and the Joint Committee of Public Accounts and Audit. There were no internal audits in the period from 2 April to 30 June 2012.
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