Centrelink annual report 1999 – 2000 Contact officer
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- Internal Audit
- Australian National Audit Office Activity
- Report No 8, 1999–2000, Performance Audit, Managing Data Privacy in Centrelink
- Report No 20, 1999–2000, Performance Audit, Special Benefits
- Ombudsman
- Appeals
Appendix iiiInternal and External ScrutinyThe Audit Process in 1999–2000The Chief Auditor with Assurance and Assessment staff, augmented by a panel of audit and evaluation firms, continued to assist the Board and Management to discharge their responsibility for controlling Centrelink in a manner that results in the efficient and cost-effective management of risk with proper financial management and internal controls. The Audit Committee comprises the Chairman and two non-executive Board members and met quarterly during the year. An annual work program was developed on a risk assessment basis in consultation with the Australian National Audit Office and client agencies. It was considered by the Audit Committee and approved by the Board. The Committee monitored closely the progress and conclusions of audit work, responses to all internal and external audit findings, the financial statements process and the control environment. The Committee now considers quarterly reports on the operation of fraud and security controls. Audits covered all aspects of operations, including information systems, financial operations and systems and performance. Ad hoc audits and special investigations were added to the program as required. Assurance and Assessment coordinated the development of Centrelink’s first Strategic Risk Management Plan. This built on work in team, function, project and program risk assessment. The plan was endorsed by the Board for use in Centrelink’s corporate and strategic planning. Major evaluations are managed in parallel with the audit process. Assurance and Assessment also supported team-based evaluations and developed an Evaluation Handbook.
There were 143 unresolved findings and recommendations at the end of 1999–2000 and 222 were resolved during the year compared with 147 unresolved findings and 169 resolved in 1998–99. These numbers reflect both the importance of audit in the corporate governance of Centrelink and the very successful model for focusing management attention on resolution of issues identified. Assurance and Assessment surveys Centrelink managers about their progress in resolving all internal audit findings and external audit recommendations quarterly.These reports are considered at each of the Committee’s meetings with the Chief Auditor’s assessment, highlighting instances where he considered management had not resolved an issue or progress was unsatisfactory and the CEO’s views. In the case of ANAO reports, ANAO officers provided their assessment. The Committee invites relevant managers to present where warranted.
Report No 1, 1999–2000, Performance Audit, Implementing Purchaser/Provider Arrangements between Department of Health and Aged Care and CentrelinkThe objective of the audit was to determine the administrative effectiveness of the implementation of the service delivery arrangements between Centrelink and the Department of Health and Aged Care (Health) by examining project planning for, and management of, the implementation, and the establishment of ongoing purchaser/provider arrangements. The ANAO concluded that Centrelink and Health had achieved the implementation of aged care service delivery by the amended due date of 1 March 1998, as required by Government. Both Centrelink and Health complied with government policy, and legislative requirements. Report No 8, 1999–2000, Performance Audit, Managing Data Privacy in CentrelinkThe objective of the audit was to assess the systems put in place to protect data privacy.The audit reviewed the adequacy of the policies, procedures and the administrative framework associated with data privacy and the computer systems that are used to store and disseminate data. The ANAO also examined compliance with legislative requirements. The ANAO concluded that Centrelink had established key elements of a sound framework to meet the Information Privacy Principles in the Privacy Act 1988 and confidentiality provisions in other legislation. Generally, suitable policies, procedures and systems relevant to privacy issues are also in place. It made recommendations to improve Centrelink’s framework for the management of data privacy. Centrelink has accepted the findings in the report and is acting on them with a view to making further improvements in the protection of customers’privacy. In particular, Centrelink has introduced a Quality Assurance Framework which promotes and supports risk assessment at the team level and has developed its first Strategic Risk Management Plan which forms the overarching context for the development of individual risk assessments.
Report No 10, 1999–2000, Financial Statements Audit, Control Structures as Part of Financial Statements of Major Commonwealth Agencies for the period ended 30 June 1999The ANAO examined Centrelink’s control structures as part of its financial statements audit. The ANAO concluded that certain aspects of Centrelink’s information technology control structure and risk management practices could be improved to increase the level of assurance over the accuracy and validity of benefit payments. Significant audit findings were made in the areas of IT controls, the income support system, the Financial Management Information System and risk management. The ANAO acknowledged that considerable work had been undertaken by Centrelink in an effort to resolve all of the above issues. Report No 20, 1999–2000, Performance Audit, Special BenefitsThe audit examined the extent to which new claims for Special Benefit had been determined in compliance with the Social Security Act 1991, the Guide to the Act and other relevant guidelines, and whether Centrelink and FaCS had appropriate procedures to help ensure such compliance. The audit also examined whether procedures had been established to ensure that relevant and timely information is available to intending migrants, and newly arrived migrants, concerning their eligibility for Special Benefit. The ANAO concluded that there was a significant degree of non-compliance of Special Benefit new claim assessment decisions with the Act, the Guide to the Act and other relevant guidelines and that the procedures used to monitor and report the accuracy of assessments of Special Benefit new claims were not sufficiently reliable. The monetary effect of the incorrect assessments was relatively small. The resulting net overpayment of Special Benefit was estimated to be approximately $1.4 million or 2.3 per cent of total Special Benefit payments during the period covered by the audit. In relation to the provision of information concerning Special Benefit to intending and newly arrived migrants, the ANAO concluded that appropriate action had been taken. Centrelink agreed with the ANAO findings and has put in place processes and procedures to address the issues. The ANAO considered that the actions initiated and planned by Centrelink will, if implemented effectively, considerably improve the accuracy of the assessments of new claims for Special Benefit. Report No 21, 1999–2000, Financial Statements Audit, Audits of the Financial Statements of Commonwealth Government Agencies for the period ended 30 June 1999The Financial Statements for the period ended 30 June 1999 were unqualified. While Centrelink experienced difficulty throughout the financial year reconciling the Financial Management Information System, significant effort was applied to improve controls, and at year-end, to perform the reconciliation. The ANAO considered that Centrelink successfully completed the overall reconciliation within satisfactory materiality parameters. Report No 43, 1999–2000, Performance Audit, Planning and Monitoring for Cost Effective Service Delivery—Staffing and Funding ArrangementsThe overall objective of the audit was to determine whether Centrelink’s planning, monitoring and costing arrangements provide a sound basis to underpin its delivery of quality, cost-effective customer services. The ANAO concluded that Centrelink’s strategic and financial planning processes are sound, essentially reflecting good practice. However, it recommended more prescription to Area managers on resource distribution methodologies to ensure an appropriate alignment of staffing resources to meet local service delivery demands and an improved availability of management information at service outlet level. It also recommended an accelerated development of Activity Based Costing methodologies to improve capacity to report to Government on output costs and further improve cost effectiveness. Centrelink agreed with the ANAO’s findings and recommendations. While Centrelink accepted the need to continue to provide guidelines and to maximise national consistency across Australia, it saw final resource allocation decisions continuing to be based on local conditions in Areas. Also, Centrelink took careful note of the specific criticisms of its initial approach to Activity Based Costing and it has made considerable progress in addressing these issues since the time of the audit.
Report No 52, 1999–2000, Financial Statements Audit, Control Structures as part of the Audits of Financial Statements of Major Commonwealth Agencies for the period ended 30 June 2000Generally the ANAO acknowledged progress and focused on the need for further risk management. The ANAO concluded that the risk management framework should be strengthened to include an overarching assessment of the adequacy of existing mechanisms to maintain the risk of incorrect payment at an acceptable level and a high level risk management strategy focusing on the critical elements of Centrelink’s business. It also raised a number of remaining unresolved issues relating to information technology systems and controls, the IT general control environment, income support systems and compliance activity. OmbudsmanA valuable measure of the satisfaction of Centrelink’s customers with the service they receive is the number and type of complaints they make to the Ombudsman’s Office. Customers’concerns embrace a wide range of matters, including their perception of the fairness of legislation governing their benefits and disagreement with decisions which affect them. Typically there have been increases in complaints when rules change or new pay arrangements are put in place.Fortunately only little more than half of the total contacts with the Ombudsman’s Office by Centrelink customers are related to perceived faults with how Centrelink delivers services to them. The remainder are related to:
For the 2885 issues investigated, the Ombudsman concluded that there was:
It is particularly pleasing that the number of all customer contacts with the Ombudsman’s Office has significantly decreased from 11 599 in the previous reporting year to 9674 in the year just concluded, a decrease of 16.1 per cent. Most complaints are quickly resolved at local level while a much smaller number which involve more general issues of procedure and delivery are referred to the CEO. Increasingly there is close cooperation between the Ombudsman’s Office and Centrelink’s National Community Segments, with regular contact between officers of both agencies enabling a constructive exchange of information with the aim of resolving any problems relating to systemic matters. The emergence of a monitoring role for the Ombudsman’s Office in these matters is warmly welcomed. The past year has also seen quarterly reporting by the Office of complaints received from Centrelink’s customers. This has proved very valuable in tracking those payments which attract the greater number of complaints and in identifying any procedural matters which are affecting customer satisfaction. Centrelink, together with FaCS, provides a briefing to the Minister in relation to these quarterly Ombudsman releases. Centrelink has also been working closely with the Ombudsman’s Office to improve its customer feedback mechanisms. As indicated in its report, Balancing the Risks, issued in 1999, the Ombudsman’s Office is concerned that customers of Commonwealth agencies have ready access to information which affects their lives. The Ombudsman’s Office indicated then that the ‘life events’ model of customer service delivery being developed by Centrelink promised much greater effectiveness in this regard. The Ombudsman’s Office continues to monitor Centrelink’s steady progress in achieving this goal.
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