Registrars have in place a formal assessment of complaints process; see NRSCH Complaints Management policy and AGIS 2011.
Decisions to initiate an investigation are formally documented and are not taken lightly by Registrars. They are guided by:
Investigation reports are to be concise and include:
Once initiated, an investigation can only be closed on the provision of an investigation report by the investigator. This policy requirement mitigates any sense of capture or pressure on the investigative process.
Decisions to close investigations (and any subsequent enforcement decision) are to be formally captured, made visible to affected parties, and subject to disclosure. Closure should include an assessment of allegations against a balance of probabilities of whether they are proven, unsubstantiated, warranting further investigation, or not warranting further investigation. In addition, the investigation may find on other issues impacting compliance with National Law uncovered during the investigation and assess the level of proportional harm (by tenant and/or by organisational viability) and potential remedial actions for consideration by the Registrar.
Enforcement decisions arising from investigations are subject to the NRSCH Manage Enforcement Action Policy provisions.
Case closure meetings establish information disclosure processes relevant to the investigation. This includes how and in what form the investigation findings are put to the Provider. In addition, complainant/s should be notified of the closure of the investigation. Closure case meetings should also discuss and agree broader information sharing avenues including to: other Registrars; other pertinent enforcement/regulatory bodies; funding managers; shareholders; public statements; and Ministers.
The main roles and responsibilities for the implementation of this policy are as follows:
Registrars can provide investigation trained staff to support other Registrar’s investigations on a formal request for support and if investigative resources are available. In such cases, inter-state investigators will be considered members of the office of the requesting Registrar for the conduct of that investigation. Such arrangements may be subject to cost-recovery between states/territories.
The conduct of an investigation should allow all parties to voice their views on issues relating to noncompliance through an objective medium.
However, there may be occasions where affected parties (including the provider) disagree with findings of an investigation or believe the investigation did not accord with the principles noted under Section 6 above. In such circumstances, the affected party can seek internal review by request in writing to the primary Registrar. Where concerns are complex, the primary Registrar may seek the review services of another Registrar to review the investigation or another objective source.
To assist national consistency, Registrars will brief other participating Registrars on the broad nature of ongoing investigations and any resulting enforcement action. In addition, Registrars will brief other Registrars on closure and lessons learnt from investigations. Investigations may be used to inform compliance assessment processes. Trends may be reported by Registrars in public reports and directly with Peaks and Funding bodies.
NRSCH policies will be reviewed regularly and updated as required. Following any reviews and approval this policy will be uploaded to the NRSCH website and all previous versions archived.
07 Jul 2022
We acknowledge Aboriginal people as the First Nations Peoples of NSW and pay our respects to Elders past, present and future. We acknowledge the ongoing connection Aboriginal people have to this land and recognise Aboriginal people as the original custodians of this land.