NDIA Accountability Project

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NDIA Risk Committee meeting of 14 September 2023

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NDIA Risk Committee meeting of 14 September 2023

The contents of this document are OFFICIAL: SENSITIVE

  • Agenda Item: 3.2
  • Agenda Item: Matters arising and ongoing
  • Paper Type: For Decision
  • SLT Sponsor: Debbie Mitchell, PSM, DCEO Governance, Risk and Integrity

The Committee noted the Matters Arising and Ongoing report which identifies:

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

and agreed to close the matters proposed to be closed.

Matters to be closed at meeting

  1. Meeting & agenda item: 2 March 2023, Risk Committee, 4.6 Chief Counsel Report Summary: Advise Risk Committee if the Agency provides training to planners on note taking. Responsible: Matt Swainson transferred to Scott McNaughton Recommended status: Propose to Close Matter has been superseded, refer to 24 May 2023 Risk Committee 3.2 Matters Arising item (below).

  2. Meeting & agenda item: 24 May 2023, Risk Committee, 3.2 Matters Arising Summary: DCEO Scott McNaughton to provide an update to the Risk Committee on the steps the Agency is taking directly with staff and through PACE to ensure good quality and appropriate note taking. Responsible: Scott McNaughton Recommended status: Propose to Close

Current actions taken directly with staff to ensure good quality and appropriate note taking:

  • Frontline training is initially delivered for all new starters (as previously reported to Risk Committee).
  • Current quality assurance (QA) program for planning assesses the quality of a random sample of plans each month. The QA program includes a question AIX01 “Has the interaction guide been followed on the participants record?” This question assesses accuracy, appropriateness of language, inclusion of factual and relevant information in interactions. It is noted the QA manual (for QA staff) also requires specific interactions to reviewed to assess other QA questions.
  • Monthly QA results and trends are collating in reports and distributed by account managers to each of the frontline teams involved in planning decisions.

Matters arising report 3.2.1

NDIA Risk Committee meeting of 14 September 2023

  • Additionally, any systemic trends from QA results are incorporated into continuous improvement (CI) training modules for frontline staff. Historical focus areas have included notes used to justify planning decisions.
  • As we transition to PACE, the Performance Management and Quality Learning team has leveraged the ecosystem of knowledge (Communications, Knowledge Management, and formalised Training), to shift this existing capability to the new ways of working within the PACE system.

There are a range of PACE / 3Ps enhancement that will further strengthen and improve the quality and appropriateness of note taking, these include:

  • PACE case structure includes:
    • more structured data fields, reducing the volume of ‘free text’ interactions / notes required to be entered.
    • guided workflows and embedded knowledge articles (guidance) that step staff and partners through processes, including the information they need to capture as notes.
  • PACE will have an embedded Decision, Justification & Evidence framework that provides a logical and consistent structure on the level of information required to be recorded within a PACE case to support a decision.
  • PACE User Interface will provide staff and partners with an opportunity to review (and amend) information in correspondence, as the participant would receive it, before it is sent.
  • PACE will have a centralised location for all case notes and activities relating to that case. These will be displayed as a chronological timeline on both the case and the related person account and improved audit logs will capture staff who complete this work.

  1. Meeting & agenda item: 24 May 2023, Risk Committee, 4.1 Chief Risk Officer Report Summary: DCEO Debbie Mitchell PSM and COO Samuel Porter to prepare an issues paper for the Risk Committee regarding changes to debt recovery arrangements from an audit and accounting perspective. Responsible: Debbie Mitchell PSM Recommended status: Propose to Close A verbal update will be provided as part of the Chief Risk Officer Report at agenda item 4.1..

  2. Meeting & agenda item: 24 May 2023, Risk Committee, 4.2 Strategic Risks 2023/24 Summary: DCEO Debbie Mitchell PSM to include the treatment of cyber risk in the risk mitigations against strategic risk 6, to be considered by the Board for approval as part of the NDIA Corporate Plan. Responsible: Debbie Mitchell PSM Recommended status: Propose to Close

Matters arising report 3.2.2

NDIA Risk Committee meeting of 14 September 2023

Cyber risk mitigation against strategic risk 6 updated and approved as part of the NDIA Corporate Plan by the NDIA on 25 May 2023.

Meeting & agenda item: 2 March 2023, Risk Committee, 4.1 Chief Risk Officer Report

[redacted — s47C deliberative process; s 47E(d) operations of agency]

Matters arising report 3.2.3

NDIA Risk Committee meeting of 14 September 2023

s 47C s 47E(d)

Future State

Performance Management and Quality (PMQ) Branch (within Service Delivery) are working with the PACE Design and Build team to transition Quality Assurance onto the PACE system. This initiative is currently in the design phase. When completed on system, it is anticipated that Quality Assurance findings will be visible to delegates and their line managers, and can be used to inform future decisions. It is anticipated that this will drive further improvement through facilitating coaching and learning opportunities.

Internal Audit are assisting PMQ to review how the Quality Assurance program will transition to PACE, and how good decision making on Reasonable and Necessary Supports will be measured. It is expected that this will be completed close to the PACE National expansion date.

  1. Meeting & agenda item: 24 May 2023, Risk Committee, 4.4 Chief Counsel Report Summary: DCEO Debbie Mitchell PSM to provide advice to the Board on [redacted — s47]

  2. Meeting & agenda item: 24 May 2023, Risk Committee, 4.4 Chief Counsel Report Summary: Chief Counsel Matt Swainson to provide advice to the Risk Committee on [redacted]

  3. Meeting & agenda item: (Transferred to Risk Co) 28 February 2023, ICTD Committee, 2.3 Claims Point of Sale Summary: Approach Andrew Colvin for his view on what the assurance program for design of CPOs should look like and report back to ICTD Committee before the next meeting. Responsible: Alex Stewart Recommended status: Propose to Close

The C-POS Program raised this issue with the Chief Risk Officer (CRO) within the program’s steering committee. It was agreed that C-POS will be on the Agency’s annual

Matters arising report 3.2.4

NDIA Risk Committee meeting of 14 September 2023

audit plan. The exact timing and engagement with external parties will be determined as part of that plan.

  1. Meeting & agenda item: 2 March 2023, Risk Committee, 4.1 Chief Risk Officer Report Summary: [redacted — s42]

  2. Meeting & agenda item: (Transferred to Risk Co) 28 September 2022, ICTD, 2.2 Digital Update Summary: Provide a paper to the Risk Committee on how the payment architecture could be optimised (i.e. if you were going to redesign the payments system what would you do – including potential legislative change). Responsible: Nicole Glazebrook Phoebe Thompson Samuel Porter Recommended status: Propose to Close The NDIS Review is looking at payments and the Board has been briefed on possible recommendations.

Open matters

  1. Meeting & agenda item: (Transferred to Risk Co) 23 November 2022, ICTD Committee, 2.8 Improving the Cyber Security Profile of NDIA Providers Summary: Prepare a further paper on the background considerations and options for improving the cyber security profile of NDIA providers. Responsible: Ian Frew Lyle Wells & Rebecca Falkingham Samuel Porter Recommended status: Open Chief Operating Officer will report back to the Risk Committee in the first meeting of 2024.

Matters arising report