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Last updated: : 18 September 2007

Note for file: A report on recordkeeping in the Australian Public Service

Case studies

‘Getting it Right’—Centrelink

Agency Background

Centrelink is a service provider for a large number of policy departments, and delivers a wide range of Commonwealth payments and services to nearly 6.5 million citizens across Australia. Recently Centrelink and five other agencies were brought under the umbrella of the Department of Human Services.

People can access Centrelink by a range of channels that are serviced by over 25,000 staff nationally. These channels include over 400 local Customer Service Centres, a nationally networked Call Centre, internet access, Interactive Voice Response (IVR), SMS and secure on line mail.

Given the large public outlays of over $63 billion pa in the provision of income support payments and entitlements, and the legislative framework Centrelink operates in, there is a strong requirement for good recordkeeping.

The Centrelink Recordkeeping Environment

Centrelink maintains records to support the transactions and decisions made in relation to customer entitlements and services, as well as records for administrative transactions and decisions. The records are a combination of electronic and paper.

For customer records, a large transaction system is used to capture, assess and generate payments and entitlements. In Centrelink this is referred to as the Income Security Integrated System (ISIS). An electronic archive supports ISIS for storing parts of the customer record that do not require immediate online access. As people can access Centrelink by a range of channels, the systems supporting the channels, such as internet access and IVR, also require recordkeeping functionality.

Paper claims and supporting evidence such as proof of identity, proof of income and assets are also required to be kept as a record. This documentation that is “born as paper” is kept as a record using a commercial off the shelf recordkeeping software system. This system is used to record the paper based customer evidence, and to record where the paper record is located. A unique Centrelink Reference Number (CRN) is used as the common recordkeeping meta data between the ISIS electronic record and the paper recordkeeping system.

For administrative records, there are a range of unstructured systems that do not have recordkeeping functionality, such as email and shared drives for electronic documents. Centrelink also has a range of structured finance and staff transaction systems that have some recordkeeping functionality.

The paper recordkeeping system is used to manage the records in these unstructured systems in conjunction with a policy of “print to file.” It is also used to support the finance and staff transaction systems by creation of administrative paper files for the paper documentation and evidence. Given the large volumes of records, coupled with difficulties in compliance and access, this is a recognized area for improvement.

Approach to Recordkeeping

Several formal frameworks are utilized for recordkeeping within Centrelink. These include:

• the use of National Archives of Australia (NAA) approved Record Disposal Authorities (RDAs), and the Administrative Functions Disposal Authority (AFDA);
• compliance with AS ISO standard 15489 and use of the NAA “Design, Implement a Recordkeeping System” (DIRKS) process;
• an agency Information Management Strategy;
• published Recordkeeping Policy and guidelines;
• Chief Executive Instructions (CEIs);
• staff induction and ongoing training;
• compliance and improvement via internal and external audit and risk programs.

The policy departments; the government of the day; and citizens are also assured of payment correctness via the legislative framework Centrelink operates in including the appeals system; Freedom of Information access; and the Privacy Act.

Looking internally, Centrelink is presently updating its Information Management Strategy for 2006–2008, which includes requirements for recordkeeping policy and procedures.

• The national record management team are responsible for the development, implementation and regular review process of records management policy and procedures for administrative and customer paper based records, ensuring that the AS ISO 15489 is met.
• Centrelink has published Chief Executive Instructions (CEIs), which includes recordkeeping requirements.
• Recordkeeping is also reviewed as part of the internal and external audit and risk program. The national record management team work with the auditors to ensure that audit requirements are met and that any adverse audit findings are addressed appropriately.

Looking externally, Centrelink uses the National Archives of Australia recordkeeping framework, ensuring that the relevant recordkeeping standard AS ISO 15489 is met.

• For administrative records, the generic Administrative Functions Disposal Authority (AFDA) is used to determine what records are kept and for how long.
• For customer records, Centrelink is the service provider on behalf of a range of policy departments. As the physical custodian of the record, Centrelink uses the Record Disposal Authority (RDA) of the policy department to determine the retention period of records, sentencing and disposal.
• As a customer may receive more than one payment, entitlement or service through Centrelink, and these may be on behalf of different policy departments, Centrelink applies the longest retention period of the applicable RDAs to the customer record.
• Centrelink is presently undertaking the National Archives of Australia DIRKS process. In 2006–07 this includes a review of Stage B and the development of Stage C of the DIRKS process, resulting in the approval of a Centrelink RDA by NAA.
• Centrelink also ensures that RDA's of our policy departments are adequate for the business that we are delivering on their behalf.
• The National Archives self assessment workbook for Information Management and Recordkeeping will also be used to review and improve recordkeeping in 2006–07.

Paper Records Management

Centrelink has implemented targeted records management solutions for its customer and administrative paper files. For customer records this acknowledges a hybrid recordkeeping environment where the customer record comprises the electronic record on ISIS as well as the supporting evidence as recorded in the paper recordkeeping system. This has significantly improved the capability to know what records exist; where they are located; and to retrieve the records when required.

Approximately 19 million paper files and “batched” documents are bar coded and recorded in the recordkeeping data base. The records are stored in a network of 9 purpose built Record Management Units (RMUs) around Australia. These RMUs have capacity to expand the racking vertically like a meccano set by adding mezzanine flooring and additional shelving, thereby significantly increasing the storage foot print of the warehouse. The RMUs are located in light Industrial areas, which reduces the storage cost when compared with keeping records in business area Customer Service Centre office space.

Synergies have also been achieved within the Department of Human Services, through Centrelink providing the Child Support Agency a paper record management solution. The existing Centrelink paper record management capabilities were leveraged to provide this solution, including the recordkeeping system, storage in the network of Centrelink RMUs, courier contracts for transport, and secure waste disposal contract arrangements. This has resulted in nearly one million Child Support Agency paper records being bar-coded, recorded and stored.

Resourcing

There are approximately 230 staff nationally undertaking direct records management duties, and due in large to the in-house solution for paper record management. The number of staff fluctuates through out the year depending on peaks and troughs. The staff mainly consist of ongoing employee's, with non-ongoing employed to assist during peak periods. Specific duties range from file creation, registration, maintenance, sentencing, disposal, storage, through to policy and procedures, training, outreach, addressing and resolving internal and external audits.

Training and Awareness

Everyone in Centrelink has recordkeeping responsibilities as part of their normal duties. This aligns with the National Archives Capability Framework and Centrelink’s recordkeeping policy.

Within Centrelink, a “Getting it Right” communication campaign was used to increase staff awareness, training and compliance with recordkeeping responsibilities.

All network staff (Customer Service Advisor's) receive induction training under the “Getting It Right” program. The record management components of the training concentrate on recordkeeping in relation to customer records, with generic reference to administrative recordkeeping.

All new graduates in the National Support Office receive induction training where the record management components of the training concentrates on recordkeeping in relation to administrative records, with generic reference to customer recordkeeping.

Records management also features in “the Essentials Program” which comprises non-compulsory awareness courses run for existing staff wishing to improve their knowledge of Centrelink. “Team talks” provided by record management staff are available on request and are shaped to the specific business needs of that team.

Centrelink continuously strives to identify and implement best practice with management support, stakeholder input and colleague buy in. In a large organization such as Centrelink, this requires that records management be recognized as a stakeholder. The profile of recordkeeping is raised by using marketing material from the NAA “Keep the knowledge, make a record” suite of products to raise awareness of services and responsibilities.

Centrelink participates in information sharing and learning that address record / information management, to keep abreast of industry trends and standards. Records Management Team staff attend meetings, conference and information sessions provided by both government and private industry including AGIMO, RMAA, NAA, DHS Communities of Practice, vendors, or other appropriate information specialists.

Next Steps

The “Information Management Strategy for 2006–08”, which includes recordkeeping requirements, will be used as the framework to update policies, procedures and systems to support digital recordkeeping. This will be complemented by completing National Archives “self-assessment work book for information management and recordkeeping”. This will ensure compliance with best practice.

The known gaps in Centrelink’s recordkeeping approach at this stage are in relation to administrative recordkeeping for emails and electronic documents. There is also the opportunity to implement imaging for paper records and associated workflow. It is anticipated that gaps and opportunities in recordkeeping requirements and/or capabilities will be addressed by specific business cases.

For further information on the recordkeeping practices in Centrelink, please contact:

Noel Thomas
Business Manager, Records Management
Phone: 02 6244 5669

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