standing committee on public accounts annual and financial … · 2017. 4. 11. · annual and...

Standing Committee on Public Accounts Annual and Financial Reports 2015-2016

ACT Ombudsman and ACT Auditor-General Portfolios Questions on Notice

Public hearings of 28 February 2017

Type of Questions No Asked By Directorate / Portfolio Subject Answer

date QON 32 Mr Coe ACT Ombudsman New Freedom of Information Scheme 28.03.2017 QON 33 Mr Coe ACT Ombudsman Reportable Conduct Scheme 28.03.2017 QON 34 Mr Coe ACT Ombudsman Budget – ACT Ombudsman services and ACT Policing complaint handling 28.03.2017 QON 35 Mr Coe ACT Auditor-General Health audit and letter to Mr Jeremy Hanson CSC MLA 23.03.2017 QON 36 Mr Coe ACT Auditor-General Health audit and letter to Mrs Vicki Dunne MLA 23.03.2017 QON 37 Mr Coe ACT Auditor-General Health audit findings 23.03.2017 QON 38 Mr Coe ACT Auditor-General Health data in Report of Government Services 23.03.2017

LEGISLATIVE ASSEMBLY FOR THE AUSTRALIAN CAPITAL TERRITORY

STANDING COMMITTEE ON PUBLIC ACCOUNTS

VICKI DUNNE MLA (CHAIR), MICHAEL PElTERSSQN MLA (DEPUTY CHAIR), BEC CODY MLA, ALISTAIR COE MLA

Inquiry into referred 2015-16 Annual and Financial Reports

ANSWER TO QUESTION ON NOTICE

Tuesday, 28 February 2017

Asked by Mr Alistair Coe MLA:

In relation to: New Freedom of Information scheme 1. Please provide an outline of the role of the Ombudsman in monitoring the operation and

compliance with the new Freedom of Information scheme2. Please explain how the Ombudsman proposes to function in their new role in regards to the new

Freedom of Information scheme and an overview of the' resources required.3. What guidelines and frameworks have been put in place to accommodate the new duties and

responsibilities?4. Has the ACT Ombudsman reviewed the timeframes set out in legislation regarding Freedom of

Information requests?a. When was the review conducted and what were the results?

Acting ACT Ombudsman: The answers to the Member's questions are as follows:

Question 1.

The ACT Ombudsman will have the following new functions under the Freedom of Information Act 2016

(FOi Act 2016):

• reviewing the decisions of agencies and Ministers on access applications• referring suitable matters for mediation by a registered mediator• considering applications from respondents to extend of time to decide an access application• monitoring the operation of the Act, including the publication of open access information by

agencies, and agencies and Minsters compliance with both the ACT and an annual statementmade by the Chief Minister

• making open access declarations (notifiable instruments) in relation to government information• making guidelines (notifiable instruments) on application of the Act• investigating complaints about agencies and Ministers performance of functions under the Act• being consulted by the Minister before the Minister determines a fee for the purposes of the

Act• being consulted by the Executive before the Executive makes a regulation for the Act• reporting annually to the Legislative Assembly on the operation of the Act.

Question 2

The ACT Ombudsman will implement the functions assigned to it by the FOi Act 2016, and will work closely with ACT government directorates and agencies to do so. The Ombudsman is currently engaged with ACT

Civic Square, London Circuit (GPO Box 1020) Canberra ACT2601 T (02) 6205 0127 F (02) 6205 0432 E [email protected],au W www.parliament.act,gov.au

Printed on 100¾ recycled paper

QON 32

2 8 MAR 2017

government agencies at inter-directorate committees facilitated by the Justice and Community Safety Directorate.

The ACT Ombudsman is negotiating with Justice and Community Safety Directorate to secure funding to support the development of these new functions. The functions are substantial and will require a number of additional staff at sufficiently senior levels to be engaged with freedom of information expertise that can be adapted to the ACT scheme. Non-staff resources, including case management systems and publications will also need to be developed and funded.

Question 3.

Once resources are available, the ACT Ombudsman will develop its own guidelines and frameworks to implement these new functions.

Guidelines and frameworks for ACT government agencies are being developed by a Working Group attached to the ACT Government FOi impiementation Project Board. The Project Board and the Working Group are chaired by the Justice and Community Safety Directorate, which has portfolio responsibility for the implementation of the FOi Act 2016.

Question 4 and 4(a) No·

Approved for circulation to the Standing Committee on Public Accounts

t2 Signature: By Richard G , g udsman

Date: Lif-. 1 , 17

Page 2 of2

QON 33


STANDING COMMITTEE ON PUBLIC ACCOUNTS VICKI DUNNE MLA (CHAIR), MICHAEL PITTERSSON MLA (DEPUTY CHAIR), BEC CODY MLA,

ALISTAIR COE MLA

Inquiry into referred 2015-16 Annual and Financial Reports ANSWER TO QUESTION ON NOTICE

Tuesday, 28 February 2017 2 8 MAR 2017

· Asked by Mr Allstair Coe MLA:

In relation to: the Reportable Conduct Scheme 1. Please provide an outline of how the Reportable conduct Scheme was developed; how it has been

implemented and its achievements or outcomes since its commencement. 2. Please p·rovide a breakdown of how the extra appropriation of $1.3 million that will be spent in

relation to the Reportable Conduct scheme.

Acting ACT Ombudsman: The answers to the Member's questions are as fo!lows:-

Question 1.

The Reportable Conduct Scheme was a policy initiative led by the Chief Minister Treasury and Economic Development Directorate (CMTEDD). A Discussion Paper was released by CMTEDD in February 2016. The Legislation was passed by the Assembly in August 2016.

The Ombudsman implementation plan is a two staged process:

i. .Mapping and relationships (August 2016- February 2017) The Ombudsman has established ongoing working relationships with key agencies to facilitate feedback, coordination and information exchange processes. The Ombudsman also engaged with other states to understand how those Reportable Conduct Schemes are working/will work.

ii. Awareness raising (February 2017 -July 2017) The Ombudsman is raising awareness of the Scheme and the role of the ACT Ombudsman with those employers responsible for reporting under the Scheme. We are consulting employers, representative groups and ACT directorates and agencies.

The Scheme commences on 1 July 2017. Implementation is currently on track.

Question 2.

The $1.336 million to fund the ACT Ombudsman functions under the scheme is spread overfouryears, in accordance with an agreement between the Commonwealth Ombudsman and Chief Minister, Treasury and Economic Development Directorate.; 2016-17 -$473 000; 2017-18 - $282 000; 2018-19 -$288 000; and 2019-20 - $293 000.

Civic Square, London Circult (GPO Box 1020) Canberra ACT 2501 T (02) 5205 0127 F (02) 5205 0432 E [email protected],au W www.parllament.act.gov.au

Printed on 100% recycled paper

I I '

I ! l

I I I l

The difference in the funding between the first year and following years reflects the initial costs associated with the implementation of the Scheme. These include staff to scope, develop relationships, prepare support material and promote the Scheme; the creation of new IT infrastructure in the Ombudsman's office; and the promotion and provision of information to employers subject to the Scheme.

In subsequent years the funding will be directed to staffing and on costs, estimated to be two full time equivalent staff.


Signature: ~ Date: :l't' · 3 ,,1

By Richard Glenn, Acting ACT Ombudsman

Page 2 of2

QON 34


STANDING COMMITTEE ON PUBLIC ACCOUNTS VICKI DUNNE MLA (CHAIR), MICHAEL Pm'ERSSON MLA{DEPUTY CHAIR), BECCODY MLA, ALISTAIR COE MLA

Inquiry into referred 2015-16 Annual and Financial Reports ANSWER TO QUESTION ON NOTICE

Tuesday, 28 February 2017

Asked by Mr Alistair Coe MLA: 2 8 MAR 2017

~ J..,

~~ ACT LA o~ In relation to: budget 1'T.EE st.JI?'?.

1. Please provide a breakdown of the $540,141 paid for ACT Ombudsman services in 2 2. Please provide a breakdown of the $607,242 paid for complaint handling and oversight in relation

to ACT Policing in 2015-16

Acting ACT Ombudsman: The answer to the Member's question ls as follows:-The ACT Ombudsman received a total of $1,043,104 {GST exclusive) from the ACT Government for the 2015-16 year for the delivery of a range of Ombudsman and other oversight services to the ACT community.

The figures can be broken dbwn as follows: • $820,799 was expenditure attributable to the functions of the ACT Ombudsman team and the ACT

Policing Complaints and Part V reviews, • $196,390 was spent on indirect costs pertaining to the Operations and the Public Contact Team, • $98,211 reflects the ACT's proportion of executive management costs of the office.


Signature: 1~1~--• __ _ Date: ~~. 3, '7

By the Richard Glenn, Acting ACT Ombudsman

Ci11lc Square, London Circuit (GPO Box 1020) Canberra ACT 2601 T (02) 6205 0127 F (02) 6205 0432 E [email protected] W www.parliarnent.act.gov.au

Printed on 100% recycled paper

LE·GISLATIVE ASSEMBLY FOR THE AUSTRALIAN CAPITAL TERRITORY

STANO ING COMMITTEE ON PUBLIC ACCOUNTS VICKI DUNNE MLA (CHAIR), MICHAEL PffiERSSON MLA (DEPUTY CHAJR), BEC (;ODY MLA, ALISTAIR COE MLA

Inquiry into referred 2015-16 Annual and Financial Reports

ANSWER TO QUESTJON ON NOTICE

Tuesday 28 February 2017

Asked by Alistair Coe Ml:A:

In relation to:

1. Health audit and Ietterto Mr Jeremy Hanson csC MLA;2. Health audit and letter to Mrs Vicki Dunne MLA;3. Health audit findings; a�d4. Health data in Report on .Governm$nt Services,

ACT Auditor-General: The answer to the Member's question is as follows:-

QoN35:

In a letter dated 1 August 2016 to Mr Jeremy Hanson csc MLA, it was advised that ACT Health were to provide the Auditor�General with an update in six months time on the implementation of impr.ovements in the recording of data, pc1rtit:u.larly emergency department data.

1. Have you received tliat update from ACT Health?a. If not, has the Auditor�General's office approached ACT Hearth to ask for an update?b. If the update has been received, will the Auc{jtor�General's office consider undertaking a

performance audit into ACT Health's record keeping and the integrity of ACT Health's data?

1, Y�s. An up.date was received on 20 December 20;1.6.

a. N-0t applicable.b. The Auditor-General is currently considering what action to tc;lke in relatton to issues associated

with the Health Directorate's management and repqrting of performance info'.mation1 includili&potenti<;1l performance audit activity,. As stated by the Auditor General at the StandingCommittee of Public Accounts hearing on 28 February 2017:

'There is just so muc.h happening in the health space that we are trying to look at alf the different pieces of information and then target which wouf d be the appropriateJ which is why I said we might do more than one audit' and �-· we are lookfog right across a suite of things that have been brought to our attention.'

CiVicSquare, London Circult(GPO Box1020) Canberra ACT2601 T {02} 6205 0127 F {02) 6205 0432 E [email protected];au W www.parliam!=llt.act.gov.au

Printed on 100% reeycled paper

QON 35-38

2 3 MAR 2017

1•~' /;.... . 4\~l' U\' ~$~

QoN36: In a letter Mrs Vicki Dunne MLA received in February, it was indicated that an external consultant, Who has a background in auditing and heaJth funding, was engaged to provide advice regarding the reports prepared by PricewaterhouseCoopers (PWC} in relation to the Health Directorate's management of data and reporting of its performance information. The Office or the Auditor-General also received a copy of the advice.

1. Please outline the nature 1;1f the consultant's advil:e and !ifs flnd.ings.a. Following the receipt: of that advice, what fs your next course of action?b. Will the advice be released publicly by the Auditor-General or the Health Directorate?c. Is it usual for an external 1:ontractorto be engaged by the Audit offic� for such a purpose?

i. What was the period of the engagement of the consultant?ii. What were the terms of reference or the guidance provided to the consultant?iii. What was the cost of the .cpnt1qct with the CO!lsultant?

z. In relation tQ the information in the letter to Mrs Vicki .Dunne MLA on the withdrawn audit clearances,please outline the advice received from the Health Directorate in relation to the inte�rity of data and thepotential qualification of the financ.i;,d staternants of the Health-Directorate and the ACT Local Hospital Network Directorate.

1. The consultant's advice was sought for the purpose of informing the Auditor-General'sdeclsion-maklng with respect to potential action to take in relation to issues associated with

· th� Health Pirectorate's management and reporting pf perfonnance information, incluc:Ui;igpotential performance audit activity. Accori:iingly,.Jt wot,dd nbt be appropriate to divulge thisinformation.

a. The Audit Office ls considering the advice, along with <J range of other information, forthe purpose of deciding what action to take in relation to issues assoch,rt;ed with theHeaith Directorate's management and reporting of performance information, includrngpotential performance audit activity. As stated by the Auditor Gener.al at the StandingCommittee of Public Accounts hearing on 28 February 2017:

'there ls just so much. happening in the health space that we are trying to look at all the dfffererit

pi<:;ces of information and then target which would be the ·appropriateJ which is Why I said we

might do more than one audit' and � .. we ctre looking right across a suite of things that have been

brought to our attention/

b. No. The Audit Office1 as a matter of course, does not share audit working papers orother Information collect�d for the purpose of informing potential performance auditor investigative activity.

c, Yes, The Audit-Office eniages subject matter exr.erts and other consultants to provide advice on a range of matters including, in this instance, advice to assist in detennlning what action to tal<,.e in relation to issues associated with the Health Directorate,.s management and reporting of performance information, including potential performaiice audit activity. i. The corn.mltant was engaged to provide three days' services over a period of time in

mid to late January 2017. Page 2 of4

Ii. It would be inappropriate to provide the terms of reference or guidance provided to the consultant. As noted previously the Audit Office, as a matter of course, does not share audit working papers or other information collected for the purpose of informing potential performance audit or investigative activity .. The Audit Office would similarly not provide information on the terms of reference or guidance provided to the consultant.

iii. $6,549.97 (GSTinclusive).

2. The Audit Office sought information from the ACT Health Directorate for the purpose ofinforming the Auditor-General's decision-making with respect to potential action to take inreJation to issues associated with the Health Directorate1s management and reporti_ng ofperformance information, including potential performance audit at�Jvity. It would beinappropriate for the Audit Office to provide this materi_al unless it was explicitly agreed to bythe ACT Health Directorate.

The Audit Office l:@s consulted with the Health Directorate; which has advised that it h-;:1sprepared a number of responses to Questions on Notice arising from the Standing Committeeon Health, Ageing an.d community Services' inquiry Into the ACT Health Directorate's 2015�16Annual and Fi!lanclal Report. The Health DlreGtorate has advised,

1 am of the opt,ion that the responses to the QONS pn:pare·d by Health have sufficiently addressedinquiries from the member and the Committeesj and do not believe that any further detail isrequired.

QoN37:

The report into the 2015-16 financial audits indicated th.at one previously reported audit finding in the Health Directorate w�s not resolved in relation to credit card acquittals; and four new audit findings were identified in the 2015-16 annual report. Further, in relation to ACT Local Hospital Network Directorate, one new audit finding was identified in relation to explanations of major variances.

.

.

1. Do these findings show thatthere are major problems with Health data and financial information inthe ACT?

a. What information has been provided to or uncovered by the Auditor-General about how thesefindings are being addressed?

i. Have any key reasons been identified by the Auditor-General as the reason.the HealthDirectorate has failed to address these findings?ii. Has a cultural problem been identified in the Health Directorate by the AuditorGeneral?

1. No audit opinion can be made on this issue as the audit was a financial audit. The obJe.ctive of afinancial audit is to enable the Auditor-General to express an opinion on whether the financialreports of the Territory and its agencies are presented fairly and in accordance with the relevantlegislation, Australian Accounting Standards and other mandatory financial repo1:f=ing requirements.

a. As noted on page 71 (Health Directorate) and page 31 (ACT Local Hospital NetworkDirectorate) of Report No.11/2016, the Directorates have agreed to addre�s all auditfindings.

P;:ige3 of4

I I '

I I

II

I I! I

i I

I I I .

i

I i

i. Not applicable. Apart frpm the one audit finding on credit card acquittals, all audit .findings were reported for the first time as part of the 2015-16 financial auditprogram:

ii. Financial audits do not seek to identify 'cultural problems' and no audit opjnion Cqnbe made on this issue.

QoN38:

In relation to: Health data in Report on Government Services

1. Has the Auditor-General now received information from the Health Directorate on the gaps in theReport on Government Services for 2017 (the ROGS)?

1. Yes.

a. If yes, when was that information received?i. If yes, outline the explanation from the Health Directorate as to why the datawas not provided ih time for the ROGS.

b. If no, has the Health Directorate indicated when the information will be provided?i. If no, has �he Health Directorate explained to Auditor why the information isdelayed?

a. The Audit Office received a response from the Health Directorate on 9 March 2017.

i. The Audit Office sought informatiqn from the ACT Health Directorate for thepurpose of informing the Auditor-General's decision-making with respect topotential action to take in relation to issues associated with the HealthDirectorate's management and reporting of performance informat1on,including potential performance audit activity. It would be inappropriate forthe Audit Office to pn;,vlde this mati:!rial unless it was explicitly agreed to by theACf Health Directorate.

The Audit Office has consulted with the Health Directorate, which has advisedthat it {ias prepared a number of responses to Questions on Notice arisflig fromthe Standing Committee on Health, Ageing ahd Community Services' inquiryinto tlie ACT Health Oirectorate's 2015-16Annuc1l and Financial Report. TheHealth Directorate has advised

I am of the opinion that th� responses to the QDNS prepared by Health have sufficiently addressed

inqujries from the member and the Committees, and do not believe that any further detail is

required.

b. Not applicable,i, Not applicable.


Signature: ff By the ACT Auditor-General

Page4of4

standing committee on public accounts annual and financial … · 2017. 4. 11. · annual and...

Documents