Misconduct Resistance Framework - Corruption and Crime ...

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HOW DOES THE FRAMEWORK APPLY TO YOUR AGENCY? The Misconduct Resistance Framework outlines the Commission’s view on what a whole of agency approach to effective misconduct management should involve. It highlights the areas and issues that agencies should address, and the outcomes they should strive to achieve. The outcomes, and more specifically the twelve key elements which underpin them, provide the benchmarks which agencies should use to assess their performance. The key elements are not prescriptive in terms of how agencies should address them or which strategies they should adopt. However, the Commission will use these elements as standards in its own review and monitoring of the whole sector and individual agency performance in managing misconduct. Agencies are not expected to implement the framework without first considering their needs and required resources. Each agency should ensure that their approach to addressing the outcomes reflects their core business and takes into account their risk environment. The size and complexity of misconduct resistance systems and strategies will depend on the nature and extent of the misconduct risks faced. The framework is intended to be a practical resource for agencies to assist them in the planning, implementation and review of their own misconduct resistance efforts. Agencies can use it in a number of different ways, depending on their needs: – Those beginning to tackle the issue of misconduct resistance can use the framework to guide where to start. – Those with misconduct resistance strategies already in place can use the framework for self assessment and progress monitoring. – Any agency can use the framework at any stage to benchmark its performance as a whole (or individual work areas) over time, and against the performance of similar organisations. This framework is supported by the Misconduct Resistance Integration Guide and a series of targeted tools. These provide more detailed and practical guidance on how to integrate misconduct resistance strategies into existing agency governance and risk management systems. The Integration Guide provides a simple methodology and a place to start using Focus Questions, Signs of Success and Ideas to Build Capacity. WHO SHOULD USE THE FRAMEWORK? The Misconduct Resistance Framework outlines an approach to managing misconduct that can be applied by all public authorities in WA, including State government departments, boards, public utilities, local government councils and universities. It has been written for public sector senior executives, councillors, managers and those with specialist responsibilities for related areas in corporate governance. Senior Executives: Chief Executive Officers (CEOs) of all agencies and councillors in local government have primary responsibility for addressing integrity issues and misconduct matters as part of their wider governance responsibilities. They also have a responsibility under the Corruption and Crime Commission Act 2003 to report misconduct to the Commission and to ensure that the agency has the internal procedures and environment that enables reporting to occur. If you are a CEO or councillor the framework provides you with a model to meet these legal obligations, identifying the strategic issues that need to be addressed for you to establish an effective misconduct resistance approach within your agency. It also provides you with a review mechanism for monitoring and benchmarking your agency’s progress against best practice outcomes. Managers: If you are a manager or hold a specialist position within an agency, you are responsible for implementing, integrating and monitoring misconduct resistance strategies within your agency on a day-to-day basis. You can use the framework to support your accountability role and report to your senior executives, CEO or council on the implementation and effectiveness of your agency strategies. You can also use the framework to strengthen, monitor and evaluate your own business unit performance and progress. 5
HOW DOES MISCONDUCT RESISTANCE FIT INTO EXISTING PUBLIC SECTOR INTEGRITY AND ACCOUNTABILITY FRAMEWORKS? The public sector operates within a complex arrangement of accountability and regulatory requirements. Some of these, like the criminal justice system, equal opportunity and occupational health and safety provisions, affect all Western Australians. Others only relate to the public sector, and include a mix of legislation, policies, oversight by independent bodies and administrative review systems. The reach of the public sector accountability framework extends to all aspects of agency operations, including its governance and administration; financial management; reporting requirements; staff conduct and; service delivery. The general aim of these arrangements is to ensure integrity and accountability in the operation of government services. They protect and promote public interests by using sector-wide standards and principles, which are supported by relevant legislation and policy, and regulated through oversight and reporting arrangements. The Corruption and Crime Commission is one part of the wider public sector accountability framework. The Commission’s main role is to ensure that allegations of misconduct by public officers are responded to appropriately by building capacity to prevent misconduct, and helping agencies deal with specific complaints. There are other important bodies, each with their own areas of responsibility for public sector integrity and accountability. WA Public Sector Integrity & Accountability Framework WA WIDE REqUIREMENTS COVERING BOTH PUBLIC AND PRIVATE SECTORS WorksAfe (DoceP) OCCUPATIONAL HEALTH & SAFETY STANDARDS WA Police CRIMINAL BEHAvIOUR equAl oPPorTuniTy coMMission WORKPLACE HARASSMENT & DISCRIMINATION state records records management PUBLIC SECTOR SPECIFIC REqUIREMENTS state supply commission regulates public sector purchasing ombudsman administrative actions & decisions Auditor General auditing financial management & performance ccc individual misconduct DlGrD local government legislation & regulations information commissioner FOI decisions DTf managing public sector finances oPssc HR standards & codes of ethics PSc Public sector management Misconduct is just one of the many integrity risks that agencies need to manage. The outcomes necessary for effective misconduct resistance do not only impact misconduct – they are also relevant to many other areas of agency integrity and accountability, which in turn contribute to an agency’s misconduct resistance. Misconduct resistance cannot and should not operate in isolation. The Misconduct Resistance Framework seeks to integrate the management of misconduct with other relevant accountability and regulatory requirements, both conceptually and practically. It also aims to highlight the importance of recognising misconduct as a significant business risk and addressing it in existing agency governance, staff conduct and service delivery frameworks and systems. 6
Page 1 and 2: An Integrated Governance Approach t
Page 3 and 4: “[Misconduct management is] essen
Page 5: OUTCOME: THE RIGHT AGENCY CULTURE A
Page 9 and 10: An IntegrAted governAnce ApproAch t
Page 11 and 12: What is the integRation guide? The
Page 13 and 14: THE RIGHT AGENCY CULTURE AGENCY CUL
Page 15 and 16: the right values Your agency’s co
Page 17 and 18: The RIGhT woRkplACe behAvIouR Your
Page 19 and 20: THE RIGHT AGENCY OPERATIONAL STRATE
Page 21 and 22: THE RIGHT POLICIES Your policy plat
Page 23 and 24: THE RIGHT TREATmENT Your misconduct
Page 25 and 26: THE RIGHT uNdERSTANdING Your staff
Page 27 and 28: THE RIGHT AGENCY MANAGEMENT ENVIRON
Page 29 and 30: THE RIGHT pRIORITY Misconduct resis
Page 31 and 32: the right mindset Misconduct consci
Page 33 and 34: THE RIGHT COMMuNICATION Your agency
Page 35 and 36: REFERENCES and RESOURCES In the fol
Page 37 and 38: KPMG 2004, Forensic Fraud Survey 20
Page 39 and 40: NOTES 27
Page 41 and 42: ACKNOWLEDGMENTS The Misconduct Resi
Page 43 and 44: WhaT iS MiSConduCT ReSiSTanCe? Misc
Page 45 and 46: The healTh CheCk RepoRT This report
Page 47 and 48: Who Should Take ReSponSibiliTy foR
Page 49 and 50: An IntegrAted governAnce ApproAch t

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