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Corporate governance

 

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.

Corporate and operational planning

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.

Committees

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

Executive Board
Membership
  • Chief Executive Officer (Chair)
  • General Counsel
  • All executive general managers
Role and meetings
  • Provides a formal venue for planning and reviewing papers that will be referred to the Regulator for information and decision-making.
  • Meets monthly.
Senior Leadership Team
Membership
  • The same as the Executive Board membership.
Role and meetings
  • Makes decisions regarding the day-to-day business of the Clean Energy Regulator relating to finance, people and operations management.
  • Meets fortnightly.
Extended Leadership Team
Membership
  • Chief Executive Officer
  • General Counsel
  • All executive general managers
  • All general managers
Role and meetings
  • Facilitates information sharing and collaboration between divisions and focuses on operational concerns of line managers.
  • Meets fortnightly.
Audit Committee
Membership
  • Independent member (Chair)
  • Member of the Regulator
  • Two officers of the Clean Energy Regulator
Role and meetings
  • Provides independent assurance and assistance to the Chief Executive Officer on the Clean Energy Regulator’s risk, control and compliance framework, and its external accountability responsibilities under the Financial Management and Accountability Act 1997. This includes providing assurance on the preparation of the annual financial statements.
  • Is responsible for the oversight and direction of the internal audit work program.
  • Meets four to five times per year.
Program Board
Membership
  • Chief Executive Officer (Chair)
  • All executive general managers
  • General Manager, Clean Energy Regulator Delivery Division
  • External member
Role and meetings
  • Supports the Chief Executive Officer in providing assurance, to government and other stakeholders, that the required program outcomes will be delivered.
  • Meets monthly.
Procurement Review Committee
Membership
  • Chief Financial Officer (Chair)
  • General Counsel
  • Two general managers appointed by the Committee chair
  • Procurement Officer
Role and meetings
  • Ensures that major procurement activities are conducted in accordance with the Australian Government’s financial and procurement policies.
  • Is responsible for reviewing the establishment of any standing offer, multi-use list and memorandum of understanding related to sourcing goods or services from an Australian Government department.
  • Meets weekly or more frequently as required.
Security Management Committee
Membership
  • Agency Security Executive (Chair)
  • Chief Information Security Officer
  • General Manager, Regulatory, Strategy and Intelligence
  • Information Technology Security Advisor
  • Agency Security Advisor
  • Assistant Agency Security Advisor
Role and meetings
  • Provides a centralised source of strategic direction and advice on the Clean Energy Regulator’s protective security and information technology policies and practices.
  • Meets monthly.
Staff Consultative Committee
Membership
  • Executive General Manager, Corporate Services (Chair)
  • Representatives from:
    • management
    • each division
    • Community and Public Sector Union
    • Media, Entertainment and Arts Alliance
Role and meetings
  • Provides a forum for consultation between senior managers and employee representatives on workplace issues, and allows the views of employees to be taken into account in the decision-making process.
  • Meets monthly.
Shared Services Management Committee
Membership
  • Clean Enegry Regulator
    • Executive General Manager, Corporate Services (Co-chair)
    • General Manager, e-Business and Information Services
    • Manager, Finance
    • Manager, Human Resources
    • Manager, Client Services
  • Department of Climate Change and Energy Efficiency
    • First Assistant Secretary, Corporate Services (Co-chair)
    • Chief Information Officer
    • Chief Financial Officer
    • Assistant Secretary, Human Resources and Business Services
Role and meetings
  • Provides a formal venue for discussion and decisions relating to the operation and delivery of shared services between the Clean Energy Regulator and the Department of Climate Change and Energy Efficiency.
  • Meets monthly.

Risk management

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.

Fraud prevention and control

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.

Internal audit

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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