Regulatory Officer Training Program No.1 – June/July 2015 Session 2 Day (Module) 1

Regulatory Officer

Training ProgramNo.1 – June/July 2015

Session 2 Day (Module) 1

© CIT Solutions Pty Ltd 2014© CIT Solutions Pty Ltd 2015

The Braithwaite Model

Whiteboard discussion…..identifying functions, roles and objectives…


Compliance response model



In your groups, consider where the following compliance activities / responses might fit on the ‘compliance pyramid’: Court injunctions Targeted compliance

education Criminal prosecution Infringement notices Enforceable undertakings Compliance notices

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Australian Government Investigation Standards

The 2011 AGIS recognises the diverse context within which Australian Government agencies operate and the more prominent role non criminal sanctions play in investigative responses.

The concepts defined in AGIS are designed to allow agencies (both large and small) to apply them to their own operations and to maintain a minimum quality standard within investigations.


Australian Government Investigation Standards

In your groups, develop a definition of an ‘investigation’

AGIS defines an investigation as:

“…a process of seeking information relevant to an alleged, apparent or potential breach of the law, involving possible judicial proceedings. The primary purpose of an investigation is to gather admissible evidence for any subsequent action, whether under criminal, civil penalty, civil, disciplinary or administrative sanctions. Investigations can also result in prevention and/or disruption action.”

© CIT Solutions Pty Ltd 2015

Policy Development & Implementation


Policy development and Implementation

The process commences when policy makers determine the most appropriate response to a social, economic or environmental challenge

The preferred regulatory response is outlined in legislation

Using its legislated powers, a regulator administers its regulatory functions to achieve defined policy objectives


Group Exercise

In your groups, identify a recent social, economic or environmental challenge that has been addressed using statutory compliance….


Governance, organisation and resourcing

As groups, consider how you ‘operationalize’ your existing legislation

Things to consider: Org structure Policy Inspections Investigations Intelligence Audits


Values - Principles

Ethics and Conduct


What are the values of the Public Service and your organization?

Why do organizations have values statements?

How does this relate to the role of a compliance officer and a regulatory inquiry/activity?

What does procedural fairness mean for you?

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Joe’s storyMick is a senior detective admired and respected by Joe who happens to be married to Mick’s sister. Mick and Joe are working together investigating a drug dealer.

“The dealer has got a mile of form, including getting kids hooked on drugs, physical and sexual assault on minors, and more. Surveillance informs Mick that the drug dealer has just made a buy. As we approach the apartment block we notice a bag come flying out of the window of the dealer’s flat, landing on the street outside. It was full of heroin. We found no drugs in the flat. Mick thought it would be more of a sure thing if we found the evidence in the flat. The defence would find it more difficult to deny possession. Last night Mick tells me that he has signed a statement saying we both found the parcel of heroin under the sink in the flat. He said all I had to do was go along with the story in court and everything will be sweet, no worries.”

WHAT DO YOU DO?Extracted from the account of real incident from NSW Police (names changed) discussed inS Miller, P Roberts & E Spence, Corruption and Anti-Corruption: An Applied Philosophical Approach (Pearson Prentice Hall, New jersey 2005) pp.85-90


Do you?

Should you?


What should a public servant do when a government pursues a morally

objectionable policy?

Are there any theoretical, philosophical or practical limits to being apolitical and professional? If so, what are they?

Insufficient APS documented guidance on this could place public servants in compromising position: do they act immorally byimplementing a morallyoffensive policy orunprofessionally by undermining or refusingto implement that policy.

(“Following orders” is no defence in law.)

http://www.canberratimes.com.au/national/public-service/uncomfortable-echoes-of-eichmann-20140301-33t5l.html (accessed 4 March 2014)

http://www.canberratimes.com.au/national/public-service/uncomfortable-echoes-of-eichmann-20140301-33t5l.html

http://www.canberratimes.com.au/national/public-service/uncomfortable-echoes-of-eichmann-20140301-33t5l.html

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Can a employee participate in public protest demonstrations against government policy?

Former Immigration Department employee Michaela Banerji


Officers are morally responsible for their actions

The decision to investigate Formation of true belief … … justified on basis of reasoning, decision-

making and logical inference Propositional knowledge expressed in a manner

accessible to multiple users (in less philosophical idiom: a Final Report)

Part of the chain of responsibility in respect of furthering the justifiable end of regulatory process


Morally-justified harming OR

Noble cause corruption?


Morally-justified harming or noble cause corruption?

Moral justification for causing harm typically requires

three conditions that must be present together:

Acts of “noble cause corruption” do not comply with all three

conditions.


Compliance and responding to adverse events

Minimum standards for Australian government agencies conducting investigations

Examples of Expectationsand Guidance: what are yours?

Professionalism in compliance/investigation


“Whilst undertaking an investigation, it is important to obtain and record the best evidence available to maximise the possibility of a successful outcome for the investigation. All evidence collected must be reliable and relevant to the aims of the investigation.

The AGIS establishes the recommended minimum standards in regard to:

Procedures and methodologies for obtaining, recording and storing relevant and admissible evidence, and

The exercise of legislated powers and authority in the conduct of investigations.

The powers and procedures of investigators in each agency may differ considerably. This section is concerned with those practises that should be generic to all agencies.”

Introduction to Part 4, p.13

Compliance Officers


What is a ‘Compliance Officer?


Compliance roles

In groups, discuss the different roles an inspector/compliance officer might be required perform as a compliance officer in your organization – under differing legislation…

Group Exercise


Compliance Officer toolkit

Notebook for contemporaneous notes

Copy of ‘the Act and Regs’

Digital voice recorder

Digital camera

Exhibit register

PPE (OHS)


Key attributes of a Compliance Officer

Strong ethics and values

Accountable

Transparent

Lateral thinker

Independent operator who with team values


Take a break

Documents

Regulatory Officer Training Program No.1 – June/July 2015 Session 2 Day (Module) 1