NDIA Accountability Project

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Audit and Risk Committee, 6 June 2024

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Matters Arising and Ongoing

The contents of this document are OFFICIAL: SENSITIVE

Meeting: Audit and Risk Committee, 6 June 2024 Agenda Item: 3.3 Agenda Item: Matters arising and ongoing Paper Type: For Decision SLT Sponsor: Debbie Mitchell, DCEO Governance, Risk & Integrity Draft resolution: The Committee noted the Matters Arising and Ongoing report which identifies:

  • Matters to be closed at the meeting, and
  • Open matters,

and agreed to close the matters proposed to be closed.

Matters to be closed at meeting

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 4.1 Finance Activity Update Summary: Management to advise the Committees of any delays in responding to ANAO requests. Responsible: Debbie Mitchell Recommended status: Propose to Close Reporting on delays in responses to ANAO requests for information (RFIs) has been incorporated into the Audit Management Report.
  2. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 6.1 Chief Risk Officer Report (Q2) Summary: Management to provide clarification regarding the cohort term ‘children without plans’ in relation to the HWL Ebsworth data breach. Responsible: Debbie Mitchell Recommended status: Propose to Close The Chief Risk Officer Report Q2 2023–24 was amended to clarify this term for the 27 March Board meeting.
  3. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committee, 3.2 Audit & Risk Committee Charter Summary: Board secretariat to amend the charter to reflect:
  • Consistent use “Audit & Risk Committee” throughout
  • Consistent reference to PGPA Rule
  • Delete repeated dot point at section 5
  • Adjust “membership” to confirm that Board Chair cannot be a member (observer only)

Meeting & agenda items

  • Adjust attendance to confirm that the Committee determines attendees, in consultation with CEO
  • Adjust membership to minimum of 4, with quorum of 3
  • Include reference to ‘performance statements’ in ANAO section

Adjust Conflict of Interest section to reflect that, in rare occasions, members may not be aware of a COI until they receive paper Responsible: Board Secretariat Recommended status: Propose to Close

Completed. Charter published on NDIA website and NDIA Board intranet (internal) page.

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 7.1 Audit Management Report Summary: Board Secretariat to distribute links to previous ANAO Board Governance audits of Corporate Commonwealth Entities. Responsible: Board Secretariat Recommended status: Propose to Close

Provided to A&R Committee members on 14 March 2024.

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committee, 7.2 ANAO audit report on Management of Complaints by the NDIA Summary: The Board secretariat to provide Dr Watt with previous Board papers regarding complaints. Responsible: Board Secretariat Recommended status: Propose to Close

Paper loaded to Diligent for Dr Watt on 13 May 2024.

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 7.2 ANAO audit report on Management of Complaints by the NDIA Summary: Mr McGregor to update Agency response with feedback from the Committees. Responsible: Tom McGregor Recommended status: Propose to Close

Response updated as per Committee’s feedback and provided to the ANAO.

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 8.1 ANAO Audit Activity Update Summary: ANAO to provide the date of the next Audit Committee Chairs forum to the Chair. Responsible: ANAO Recommended status: Propose to Close

ANAO provided details to the Board Secretariat, these were passed along to the Chair.

Joint Audit & Risk Committees - Agenda Items

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 6.2 Legal Risk Report Summary: Mr Swainson to [redacted — s42] – legal professional privilege

  2. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 7.1 Audit Management Report Summary: Mr Sullivan to engage with the Chair on the best format for the open audit items report. Responsible: Mark Sullivan Recommended status: Propose to close

The draft report format is in final stages of drafting and will shortly be considered by the Senior Leadership Team (SLT). Following SLT consultation and agreement on format and content, a penultimate version will be discussed with the Chair, including the best mechanism to finalise the report. It is expected that the report will be finalised in Q4 2023–24.

Open matters

  1. Meeting & agenda item: 23 November 2022, ICTD Committee, 2.8 Improving the Cyber Security Profile of NDIA Providers (Transferred to Risk Co) Summary: Prepare a further paper on the background considerations and options for improving the cyber security profile of NDIA providers. Responsible: Samuel Porter Recommended status: Open ETA 6 June 2024 meeting.

  2. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 3.3 Committee meeting dates and forward agenda Summary: Board Secretariat to review proposed schedule against ANAO audit milestones and organise a meeting with the Chair and management to discuss any additional meeting requirements. Responsible: Board Secretariat Recommended status: Open Ongoing – Board Secretariat working with CRO office to determine audit milestones to be considered.

Joint Audit & Risk Committees

  1. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 6.2 Legal Risk Report Summary: Mr Swainson to [redacted — s42]

  2. Meeting & agenda item: 14 March 2024, Joint Audit & Risk Committees, 7.1 Audit Management Report Summary: Board Secretariat to liaise with new Audit and Risk Committee Chair and Office of the CEO regarding attendance of Commonwealth Ombudsman at future meeting. Responsible: Board Secretariat Recommended status: Open Board Secretariat liaising with OCEO and A&R Co Chair to determine appropriate meeting.