Plan Id: 597Plan Description: Job Services Australia Program Risk Plan 2012-13Version: 4
DEEWR Risk Management Plan
Access: Open
Plan ID / 597Plan Description / Job Services Australia Program Risk Plan 2012-13
Plan Type / Program
Current Status / Submitted for Approval
Next Review Date / 30/04/2013
Plan Owner / LAKER, Linda (LL0063)
Plan Approver / DRAYTON, Moya (MD2889)
Date Last Updated / 07/12/2012
Organisation Unit / 50030089
RISK MANAGEMENT PLAN PROFILE
Risk Rating Summary / -Number of Risks / 10
Risk Rating / Current - Operational / Current - Departmental / Target - Operational / Target - Departmental
Low / 3 / 3 / 10 / 10
Medium / 6 / 6 / - / -
High / 1 / 1 / - / -
Extreme / - / - / - / -
Treatment Summary / -
Number of Treatments / 38
Treatment Status / Ongoing / Proposed / Completed
- / 38 / 0 / 0
CONTEXT
Objectives / Purpose, budget, timeframes, and impact on staff etc. Refer to program guidelines, business plans or other documentation.- / Job Services Australia will help to boost employment participation and the productive capacity of the Australian workforce, address skills shortage areas and better meet the needs of employers through:
tailored assistance for job seekers;
early assistance to the most disadvantaged job seekers;
better meeting the skills needs of employers;
enhancing opportunities for work experience, including Work for the Dole and Green Corps;
an effective compliance system; and
streamlining programs and processes to reduce the burden of administration and red tape, which will cut the costs for JSA providers.
Environment / Internal and external environment including legal, regulatory, policy requirements such as FMA Act, relevant standards etc.
- / Legal and regulatory requirements which must be complied with in the implementation and delivery of Job Services Australia.
2012-15 Employment Services Contractand Funding Deed
Social Security Act 1991
Financial Management and Accountability Act 1997 and DEEWR Chief Executive Instructions
Commonwealth Procurement Guidelines
Job Seeker Compliance Framework
Contract Management Framework and the Employment Services Charter Of Contract Management (employment services)
Privacy Act 1988
Freedom Of Information Act 1989
Departmental probity requirements
Commonwealth Fraud Control guidelines
Additional legal and regulatory requirements will be considered on a project by project basis. These may include enabling program legislation and Electronic Transaction Act.
Stakeholders / Internal and external stakeholders.
- / Federal Ministers – Minister Ellis, Minister Shorten, Minister Collins.
DEEWR National office staff – Employment Cluster.
DEEWR state office staff – Account and Contract Managers.
Job Services Australia Providers.
Job Seekers.
Department of Human Services.
Peak bodies i.e. NESA, Jobs Australia, ACOSS.
Risk History / Details of major risk exposure during the past three years, explanation of how the risks occurred and any corrective action taken.
- / No major risks incidents have occurred since the implementation of the Job Services Australia model on 1 July 2009.
Related Plans / Plan ID / Plan Description / Relationship
597 / Job Services Australia Program Risk Plan 2012-13 / Other
597 / Job Services Australia Program Risk Plan 2012-13 / Other
597 / Job Services Australia Program Risk Plan 2012-13 / Parent
RISK SUMMARY
Risk ID / Risk Description / Risk Category / Current Operational Rating / Current Departmental Rating / No. of Treatments / No. of Events5467 / Providers obtain unfair gains through:
claim of payments to which they are not entitled;
manipulation of records in relation to the provider’s performance of the Employment Services Deed; and
Unauthorised access to confidential information / Fraud / High / Medium / 7 / -
5468 / The financial stability of JSA providers in times of economic change is jeopardised through:
poor financial practices or business models;
lack of internal adaptive change management processes; and
low caseload flows. / Strategic / Medium / Medium / 3 / -
5471 / The public image of JSA funded programs is adversely affected by:
ineffective engagement and management of stakeholders by policy and program areas;
miscommunications to Providers and other stakeholders; and
lack of shared commitment to a positive image of JSA. / Stakeholder/Relationship / Medium / Medium / 2 / -
13594 / Inconsistent management of Deed leads to failure to achieve program objectives. / Implementation/Service Delivery / Medium / Medium / 3 / -
13595 / Data and Intelligence is not used efficiently and effectively to identify non-compliant provider behaviour. / Implementation/Service Delivery / Medium / Medium / 6 / -
13596 / Reduction in department resourcing and skills base jeopardises the effectiveness of JSA program. / Resource Management / Low / Medium / 3 / -
13597 / ESS functionality and capability does not meet the specified program and or business policy need including supporting providers in their business. / Planning/Processes / Low / Low / 8 / -
13598 / Failure to align and deliver policy and program agendas across agencies (particularly DHS) inhibit the delivery of desired objectives. / Implementation/Service Delivery / Medium / High / 2 / -
13601 / Inability to rapidly change JSA administration to meet changing political, economic or policy environment. / Planning/Policy / Medium / Low / 3 / -
13602 / Mismatch of job seeker expectations about entitlements and obligations leads to reputational damage. / Reputational / Low / Low / 1 / -
TREATMENT SUMMARY
Treatment ID / Treatment Description / Treatment Owner / Mitigation/ Contingency / Treatment Status / Next Review Date / No. of Related Risks / No. of Monitoring Notes10249 / Program level risk assessment are:
Maintained; and
Reviewed by all relevant parties. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
10256 / Effective communication strategies facilitate:
productive consultation and liaison with key stakeholders and leading industry bodies;
the discussion and management of emerging issues with all stakeholders;
ongoing dialogue between National Office, State Office and program areas to develop, implement and maintain program assurance and contract management activities;
reporting the results of assurance activities; and
promulgating positive outcomes and lessons learned. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 3
10261 / Identify, initiate and manage strategic partnerships outside the department to improve service delivery and achieve required outcomes. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 3
10270 / Enforce the Deed requirement that providers submit financial statements to the department for testing financial viability. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
10271 / Ensure guidelines and operational policy documents are clear (i.e. not ambiguous) and are easily accessible to providers. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
10278 / Contract management is based on a robust framework of risk assessments with a focus on capacity building. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
10289 / Effective coordination between National Office, State Office Network and policy areas in the reporting, implementation and management of compliance. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
10290 / Contractual requirement for providers to take all reasonable steps to prevent fraud upon the Commonwealth, including the implementation of a fraud control plan. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
10322 / Ensure sufficient and appropriate resourcing through:
capability development in staff members;
targeted training and staff development; and
ongoing review of resource allocation to achieve work deliverables. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 3
13997 / Monitoring through site visits, desktop monitoring or other processes the minimum required sample of claims and payments of fees or the use of:
Employment Pathway Fund;
Job Placements and Outcome Fees;
Work Experience; and
Other programs, e.g. NEIS, Connecting People with Jobs. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 3
23358 / Approved Deed management strategy developed, implemented, resourced and monitored/reviewed for its effectiveness in mitigating inconsistent advice. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23359 / Departmental policy, guidelines, advices and training materials are:
Accessible to relevant stakeholders; and
Reviewed and updated regularly. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23360 / Provider contracts and funding management processes clearly articulate obligations. Quality assurance processes include:
advice and clearance through departmental legal areas when required;
regular and random program assurance and contract activities review, compliance assessments, site visits and data; and
appropriate escalation to National Office through established processes e.g. Question Manager and AM Teleconference. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23388 / Contract Management staff apply legislative and contractual requirements and public accountability standards. / Redacted / Mitigation / Ongoing / 18/01/2013 / 1 / 2
23389 / Analysis by Contract Managers against identified reports to assess organisations that meet criteria identified by JSAG. Desktop monitoring and follow up action where appropriate to be documented. / Redacted / Mitigation / Ongoing / 17/01/2013 / 1 / 1
23390 / Data analysis aligns with the priorities in the department’s program assurance strategy. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23391 / Establish data mining/production protocols to ensure consistency across National and State Offices. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23392 / Program monitoring procedures established/enforced to assist in early detection of service delivery anomalies. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23393 / Risk assessment undertaken against possible areas for data interrogation for the identification of non-compliant provider behaviour for the effective rationing of limited resources. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23394 / EPF and Linkages team monitoring of EPF expenditure and identification of anomalies. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23395 / Human intelligence (i.e. tip off line, CSL line) to inform data interrogation for non-compliant provider behaviour / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23396 / Regular review of work priorities and identification of areas of duplication and over staffing. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23405 / Recruit appropriately skilled/experienced staff. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23418 / Implement and manage protocols to reallocate business, in the event provider/s exits the market due to financial stress. / Redacted / Mitigation / Ongoing / 17/01/2013 / 1 / 1
23419 / Systems development tasks to be developed and prioritised, and reviewed (including through Employment Systems Board) in line with DEEWR/provider/other/ stakeholder needs. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23420 / Feedback on systems use and issues by staff and providers is forwarded to ESG. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23421 / IT systems support the reporting and management requirements for each program / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23422 / DEEWR and DHS IT systems support program delivery, as appropriate. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23423 / Develop workarounds and offline contingency plans and procedures ensuring all staff (DEEWR/provider) are aware of these and have appropriate access. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23424 / Regular, scheduled and on demand communications are costed and developed into IT solutions. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23425 / Program areas ensure clear and timely identification of needs to fit in with IT business and funding schedules. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23426 / Strong relationship between program areas and ESG to ensure that policy requirements are reflected in IT system. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23427 / Undertake regular and continual monitoring of service delivery and management by providers, DHS and departmental staff, escalating when necessary. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23428 / Implementation/use of governance arrangements to identify inconsistencies and manage solutions. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23429 / Provide accurate and timely advice to Ministers and Government requests. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23430 / Provide ongoing advice and feedback to Ministers on current and emerging issues, escalating when necessary through appropriate internal governance mechanisms (i.e. Employment Steering Committee). / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23431 / Managing JSA budget processes guided by the requirements of the Financial Management and Accountability Act 1997 (FMA) and Charter of Budget Honesty Act 1998. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
23432 / National Office and State Network identify, initiate and manage strategic partnerships outside the department to:
improve positive messaging about JSA
clearly articulate service expectations to job seekers. / Redacted / Mitigation / Ongoing / 29/03/2013 / 1 / 1
Risk ID: / 5467
Risk Description: / Providers obtain unfair gains through:
claim of payments to which they are not entitled;
manipulation of records in relation to the provider’s performance of the Employment Services Deed; and
unauthorised access to confidential information.
Risk Category: / Fraud
- / Current Risk Rating
Operational / Current Risk Rating
Departmental / Target Risk Rating
Operational / Target Risk Rating
Departmental
Likelihood / Likely / Unlikely / Rare / Rare
Consequence / Moderate / Moderate / Minor / Minor
Risk Rating / High / Medium / Low / Low
Justification for accepting the risk / -
Treatment ID / Treatment Description / Treatment Owner / Treatment Status / Mitigation/Contingency / Next Review Date
10249 / Program level risk assessment are:
maintained; and
reviewed by all relevant parties / Redacted / Ongoing / Mitigation / 18/01/2013
10271 / Ensure guidelines and operational policy documents are clear (i.e. not ambiguous) and are easily accessible to providers. / Redacted / Ongoing / Mitigation / 18/01/2013
10289 / Effective coordination between National Office, State Office Network and policy areas in the reporting, implementation and management of compliance. / Redacted / Ongoing / Mitigation / 18/01/2013
10290 / Contractual requirement for providers to take all reasonable steps to prevent fraud upon the Commonwealth, including the implementation of a fraud control plan. / Redacted / Ongoing / Mitigation / 18/01/2013
13997 / Monitoring through site visits, desktop monitoring or other processes the minimum required sample of claims and payments of fees or the use of:
Employment Pathway Fund;
Job Placements and Outcome Fees;
Work Experience; and
Other programs, e.g. NEIS, Connecting People with Jobs. / Redacted / Ongoing / Mitigation / 18/01/2013
23388 / Contract Management staff apply legislative and contractual requirements and public accountability standards. / Redacted / Ongoing / Mitigation / 18/01/2013
23389 / Analysis by Contract Managers against identified reports to assess organisations that meet criteria identified by JSAG. Desktop monitoring and follow up action where appropriate to be documented. / Redacted / Ongoing / Mitigation / 17/01/2013
Risk ID: / 5468
Risk Description: / The financial stability of JSA providers in times of economic change is jeopardised through:
Poor financial practices or business models;
Lack of internal adaptive change management processes; and
Low caseload flows.
Risk Category: / Strategic
- / Current Risk Rating Operational / Current Risk Rating
Departmental / Target Risk Rating
Operational / Target Risk Rating
Departmental
Likelihood / Unlikely / Unlikely / Rare / Rare
Consequence / Moderate / Moderate / Minor / Minor
Risk Rating / Medium / Medium / Low / Low
Justification for accepting the risk / -
Treatment ID / Treatment Description / Treatment Owner / Treatment Status / Mitigation/Contingency / Next Review Date
10270 / Enforce the Deed requirement that providers submit financial statements to the department for testing financial viability. / Redaction / Ongoing / Mitigation / 18/01/2013
10278 / Contract management is based on a robust framework or risk assessments with a focus on capacity building. / Redaction / Ongoing / Mitigation / 18/01/2013
23418 / Implement and manage protocols to reallocate business, in the event provider/s exits the market due to financial stress. / Redaction / Ongoing / Mitigation / 17/01/2013
Risk ID: / 5471
Risk Description: / The public image of JSA funded programs is adversely affected by:
Ineffective engagement and management of stakeholders by policy and program areas;
Miscommunications to Providers and other stakeholders; and
Lack of shared commitment to a positive image of JSA.
Risk Category: / Stakeholder/Relationship
- / Current Risk Rating Operational / Current Risk Rating
Departmental / Target Risk Rating
Operational / Target Risk Rating
Departmental
Likelihood / Unlikely / Unlikely / Rare / Rare
Consequence / Moderate / Moderate / Minor / Minor
Risk Rating / Medium / Medium / Low / Low
Justification for accepting the risk / -
Treatment ID / Treatment Description / Treatment Owner / Treatment Status / Mitigation/Contingency / Next Review Date
10256 / Effective communication strategies facilitate:
Productive consultation and liaison with key stakeholders and leading industry bodies;
The discussion and management of emerging issues with all stakeholders;
Ongoing dialogue between National Office, State Office and program areas to develop, implement and maintain program assurance and contract management activities;
Reporting the results of assurance activities; and
Promulgating positive outcomes and lessons learned. / Redacted / Ongoing / Mitigation / 29/03/2013
10261 / Identify, initiate and manage strategic partnerships outside the department to improve service delivery and achieve required outcomes. / Redacted / Ongoing / Mitigation / 29/03/2013
Risk ID: / 13594
Risk Description: / Inconsistent management of Deed leads to failure to achieve program objectives.
Risk Category: / Implementation/Service Delivery
- / Current Risk Rating Operational / Current Risk Rating
Departmental / Target Risk Rating
Operational / Target Risk Rating
Departmental
Likelihood / Likely / Likely / Unlikely / Unlikely
Consequence / Minor / Minor / Minor / Minor
Risk Rating / Medium / Medium / Low / Low
Justification for accepting the risk / -
Treatment ID / Treatment Description / Treatment Owner / Treatment Status / Mitigation/Contingency / Next Review Date
23358 / Approved Deed management strategy developed, implemented, resourced and monitored/reviewed for its effectiveness in mitigating inconsistent advice. / Redacted / Ongoing / Mitigation / 29/03/2013
23359 / Departmental policy, guidelines, advices and training materials are:
Accessible to relevant stakeholders; and
Reviewed and updated regularly. / Redacted / Ongoing / Mitigation / 29/03/2013
23360 / Provider contracts and funding management processes clearly articulate obligations. Quality assurance processes include:
Advice and clearance through departmental legal areas when required;
Regular and random program assurance and contract activities review, compliance assessments, site visits and data; and
Appropriate escalation to National Office through established processes e.g. Question Manager and AM Teleconference. / Redacted / Ongoing / Mitigation / 29/03/2013
Risk ID: / 13595
Risk Description: / Data and Intelligence is not used efficiently and effectively to identify non-compliant provider behaviour
Risk Category: / Implementation / Service Delivery
- / Current Risk Rating Operational / Current Risk Rating
Departmental / Target Risk Rating
Operational / Target Risk Rating
Departmental
Likelihood / Likely / Likely / Unlikely / Unlikely
Consequence / Minor / Minor / Minimal / Minimal
Risk Rating / Medium / Medium / Low / Low
Justification for accepting the risk / -
Treatment ID / Treatment Description / Treatment Owner / Treatment Status / Mitigation/Contingency / Next Review Date
23390 / Data analysis aligns with the priorities in the department’s program assurance strategy. / Redacted / Ongoing / Mitigation / 29/03/2013
23391 / Establish data mining/production protocols to ensure consistency across National and State Offices. / Redacted / Ongoing / Mitigation / 29/03/2013
23392 / Program monitoring procedures established/enforced to assist in early detection of service delivery anomalies. / Redacted / Ongoing / Mitigation / 29/03/2013
23393 / Risk assessment undertaken against possible areas for data interrogation for the identification of non-compliant provider behaviour for the effective rationing of limited resources. / Redacted / Ongoing / Mitigation / 29/03/2013