Transformational Change Initiatives and Internal Audit s Role

Transcription

1 Transformational Change Initiatives and Internal Audit s Role Management of SCARY RISK Presented by John Dardo Deputy Commissioner and ATO Chief Digital Officer Australian Taxation Office Rizwana Ali Executive Director, Internal Audit Quality & Methodology Australian Taxation Office September 2015

2 ATO Fast Facts collect over $300 billion of net revenue employ over 18,000 staff 27 sites (in-sourced and out-sourced) lots of different clients, including: 13 m individuals 2 m businesses 800k employers 700k trusts 510k smsf 55k tax practitioners 1,300 large or multinational companies 2

3 Understanding context

4 Channel analytics: transitioning to electronic Electronic Paper Other non-digital Current state Activity Statement lodgment for all businesses without a TAN against the account Future state Fringe Benefit Tax lodged for all business TFN declarations lodged for all business Payment summary lodgements for all business 4

5 Speech analytics 5

6 Increasing digital interactions Transitioning Entities GST > $20m to digital Activity Statement lodgment Reducing Paper Warehouse review Content Cleanse Website, forms, publications & internal scripts and training 96% of Large paper AS lodgers 97% of SME paper AS lodgers 99% of Government paper AS lodgers 94% of NFP paper AS lodgers Agents self-serve 70% of correspondence directed to self-serve 20% of Agent calls directed to self-serve paper products reviewed 618 retired or transitioned to online 20m items removed and recycled Mandating EFT 3m individuals moved from cheque to EFT refunds in 2013/14 only 3 complaints (0.0001%) 3000 opportunities were identified to delete out-dated content or streamline clients into digital options. Of these opportunities: 90% have been published with the remaining material being redesigned Promoting Online Services ATO mobile app mytax simplified return mygov - is mandatory for e-tax, mytax & ATO online 3m enrolments since May 2014 (less than 0.01% complaints) 6

7 Future state authentication.across Govt? 7

8 mygov ATO joined in May

9 ATO voice biometric Launched in Sep 2014 Every voice has unique physical and behavioural attributes. They include Relatively stable characteristics: Vocal tract length Vocal tract shape Vocal cord length (pitch) Gender (breathiness) Nasal cavity size and shape Speaking rate and prosody Language, dialect, and accent Transient characteristics: Health Emotional state Environment 9

10 ATO Online Customised end-to-end 10

11 the external facing improvements are also being complemented by internal facing transformation.

12 OLD WORLD VIEW FUTURE VIEW Inbound voice Outbound voice Other Siebel work Items Converged Inbound voice Outbound voice Other Siebel work Items Converged Genesys Control Outbound Dialler Control ESC Some Manual Production Control -Web chat -Virtual Assistant -Escorted browse ESC -Web chat -Virtual Assistant -Escorted browse TEAM BIN 001 TEAM BIN 002 TEAM BIN 003 TEAM BIN 2800 Manual workload routing & sharing! Only some seats on! Only some! some floors in 13 sites seats in 5 sites Distributed to 2800 team bins! Work is prioritised and delivered to appropriately SKILLED staff anywhere in the country. 1 Forecasting, Demand Management & Prioritisation?? 2 Workforce Planning & Skills Profiling?? 3 Workflow Design & Scripting S S?? S?? ES 4 Work Distribution & Real Time Management?? 5 6 Performance Management & Coaching QA, Analytics & Reporting?????? 12

13 Omni-channel Architecture Work is prioritised and delivered to the next available, skilled operator anywhere, anytime across the entire ATO network. OLD WORLD Silo Segregated workforce Segregated work types Segregated channels Site based limitations Some auto/mostly manual allocation Duplicated and inconsistent enabling functions (QA, coaching, skills & forecasting) Low resilience (vulnerable to outages) FUTURE Integrated Holistic national workforce (in-sourced AND out-sourced) Consolidated work types Omni-channel capabilities National capacity (any seat, any site) Auto allocation of highest priority work Consolidated national enabling functions High resilience (not site dependent) 13

14 Outcomes - Phone 14

15 Outcomes Non-phone 15

16 Internal Audit Helping with Transformational Change Initiatives CLASSIFICATION Title of presentation 16

17 Who Here Is Experiencing Organisational Changes? New Technology Leadership Turnover Corporate Strategy Economic Conditions Layoffs & Hiring Freeze Increased Hiring New Geographic Market Third Parties Mergers & Acquisitions New Product Launch Legislations & Regulations Operational Processes Customer Behaviours Competition Access to Capital (Funding) Business Model 17

18 Internal Audit (IA) Function Reinvention Updated IA methodology - outcome based from process driven Internal Audit staff signed up to be Change Agents Significantly increased advisory support Working closely with second line functions such as Corporate Risk A Director assigned to Reinventing the ATO Increased use of specialists / contractors Flexibility to add/shift Reinvention related assurance & advisory work Primarily a shift in the mindset of IA staff to engage during change (Well defined processes to Developing / Unstable processes) More emphasis on Risk Management of future initiatives or the change journey 18

19 Internal Audit Advisory Budget since July 2014 ( days yearly) Completed Work Review Best Practices and Gaps in Program Management Methodology Design Working closely with the second line functions Risk and Program Management Review of Demand Management Risk Assessment of Reinventing the ATO Risk Assessment of the six programs of change Reviewing Treatment Plans Upcoming Work Gap Analysis of Program Management Methodology High level governance review of the six programs of change Deep dives depending on review results Review relevant Program and Project plans Assist Enterprise Program Management Office to develop an Assurance Framework Risk Interdependency Network - Determine how all the risks and treatment plans are connected and understand relationship of different risks, drivers and interdependencies 19

20 Number of Audits Information Security Strategic Change Management Climate Change and Extreme Weather Events Geopolitical Instability Data Privacy Third-Party Relationships Compliance Management Risk Culture Strategic Workforce Planning Digital Marketing Number of Full Audits 7 Audit Allocation by CEB Hot Spots CEB Hot Spots Build a culture that embodies our values and transforms the client experience Allocation based on Reinventing the ATO strategies 8 Simplify interactions, maximise automation and reduce costs 1 Connect with the community and other agencies in meaningful ways 0 Influence policy and law design for more certain outcomes Re-inventing the ATO Strategies 9 Use data smarter and improve decisions, services and compliance 2 Reshape the workforce to optimise capability and performance 20

21 The advisory role that Internal Audit has played, along with their assistance in facilitating and documenting the Reinventing ATO risk assessment workshops, has been extremely helpful, effective and professional. Thank you for the ongoing effort and support. - Assistant Commissioner, Reinventing the ATO Program Office

22 Questions? 22