Monitoring
Read CloseWhen we receive a notification, refer a matter or make a recommendation, we can monitor it to ensure the public sector organisation takes adequate and appropriate action. Sometimes we can require the recipient of the referral to provide us with regular updates and/or reports on the matter.
Monitoring the response to referrals is crucial to understanding whether the organisation has the capacity to deal with the complaint or misconduct generally, and whether the actual complaint has been dealt with appropriately.
We monitor all referred assessments, investigations, public reports and recommendations, and most police notifications.
We may also selectively monitor referred complaints and notifications based on the following criteria:
- Is the matter about serious misconduct?
- Could the matter involve a designated (senior) public officer?
- Does the matter involve serious systemic or organisational issues, such that independent oversight is necessary?
- Is the public sector organisation unfamiliar with our processes and/or likely to be unfamiliar with managing misconduct matters?
- Have we had recent and/or serious concerns about how the organisation manages misconduct?
- Is the matter a protected disclosure under the Public Interest Disclosure Act 2002 (Tas)?
When we decide to monitor a matter, we set follow-up dates to maintain regular contact with public sector organisations, usually every 6 months.
Referrals resulting from investigations are particularly important because our Board may have made recommendations on how it thinks the organisation should deal with the matter.
When we receive a response to a referred investigation, we review the response and prepare a report for the Board. The Board then considers whether it is satisfied with the response and may take further action if required.
Triage
Read CloseThe Oversight and Compliance Team triage initial and final notifications, as well as the outcomes of referred matters and recommendations. We use set criteria for different types of matters to assess the adequacy of a public sector organisation’s approach and the outcome.
Depending on the type of matter and the outcome, we will review the matter during triage and follow the steps in our escalation matrix (see below) to decide how we should respond.
Escalation Matrix
Read CloseWe use an escalation matrix to decide what to do when we receive outcomes about monitored referred matters, recommendations and notifications.
The steps described below depend on our level of satisfaction with the public sector organisation’s response to the matter.
| 1. Send an acknowledgement | If we have nothing positive or constructive to say, the outcomes will still be acknowledged. |
| 2. Request more information | If we don't have enough information to make a decision, we will request further information. |
| 3. Provide written feedback | We aim to provide constructive advice and/or positive feedback about how public sector organisations have managed misconduct. |
| 4. Discuss the matter further | We may discuss the matter and provide written feedback. |
| 5. Conduct an audit | We may audit a public sector organisation's approach to a matter, for example, if we are unsure about whether the action taken is adequate, or if it involves a high misconduct risk area. |
| 6. Conduct an own-motion investigation | If a matter warrants further inquiry, we may consider conducting an own-motion investigation. |
| 7. Refer the matter or submit a report | If there is a potential breach of the law, we may refer a matter to the Commissioner of Police, Director of Public Prosecutions or other appropriate person. We may submit a report to the Joint Standing Committee on Integrity and/or the relevant minister. |
| 8. Prepare a pubic report | We may table a report in Parliament about the matter and our concerns. |
Own-motion Investigations
Read CloseOur Board can initiate own-motion investigations (OMIs) into the policies, practices and procedures of organisations.
We will often conduct preliminary research (that is, a project) to help decide whether an OMI is needed. An OMI may also occur after we have conducted an ad hoc audit into a matter and have serious concerns about that matter.
Significant oversight and compliance OMIs have included the following:
- 2018 – Report of an own-motion investigation into the management of information by Tasmania Police
- 2017 – An own-motion investigation into the management of misconduct in the Tasmanian public sector (PDF, 1.2 MB) – this included the creation of the Guide to managing misconduct in the Tasmanian public sector and a corresponding training course, and
- 2015 – An own motion investigation into policies, practices and procedures relating to receiving and declaring of gifts and benefits in the Tasmanian State Service. (PDF, 5.0 MB)
We have a structured process for developing OMIs and research projects, in which our senior staff consider potential matters against set criteria.