11.Under CLEB guidelines investigations must be managed in a uniform, systematic manner. The flow chart at Attachment A summarises the following steps.
12.Create a file
A separate “Investigation in Confidence” file should be created for any action involving an allegation.
13.Record the allegations (Attachment B)
All allegations should be recorded in a Preliminary Report. (See Attachment B).
Copies of all reports should also be held on file at the State Office until the investigation is finalised. Records on investigations, including the reports to FPG are regarded as “Investigation-in-Confidence” and should be stored appropriately in locked containers.
14.Assess the allegation and decide what action to take
This should be recorded in the Investigator's Comments section of the Preliminary Report and maintained in an investigation file.
The decision to proceed or not to proceed with an investigation is to be made by the Office Manager upon the Comcare Investigator's recommendation. This suggested level of approval may be altered by the direction of the Area General Manager. The Manager, Fraud Prevention Group should be advised of any direction by the Area General Manager to alter the above arrangement and what the direction entails.
The Preliminary Report will include the following information:
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the decision;
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brief reason for the decision;
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date of the decision; and
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name and designation of the person making the decision
15.Forward a copy of Preliminary Report to Fraud Prevention Group (Attachment B)
The Preliminary Report should be forwarded to Fraud Prevention Group (FPG) within ten working days of receipt of the allegation.
When comments are appropriate, the Manager FPG will note these in the designated block of the Preliminary Report. Comments will likely relate to suggested approaches to investigations, similar investigations run elsewhere within Comcare, advice on investigation plans and other relevant matters. These comments will not be to direct an investigation to be opened or not be opened.
16.Complete Interim Reports if necessary (Attachment C)
Interim Reports (See Attachment C) should be sent to Fraud Prevention Group 90 days after the Preliminary Report and thereafter every 90 days until the investigation is finalised. This report will contain details of actions completed from the date of the Preliminary Report to the current date and have attached any relevant documents (statements, running sheets, etc.) for review.
17.Send a Final Report to Fraud Prevention Group (Attachment D)
Final Reports should be sent to Fraud Prevention Group at the conclusion of the investigation. This report (See Attachment D) will have attached to it any relevant documentation needed to make it a complete report. If the information is to be put forward to the DPP as a Brief of Evidence, the Final Report, with the Brief enclosed, will form a short summary. If a Brief of Evidence is not included with the report, the Final Report will need to contain other information, such as the investigation outcome, the decision on what if any administrative action is to be taken and why. It should also include any recommendations on how subsequent investigations should be handled - “lessons learned”. It must contain the reason why the investigation was closed and who made this decision. Also, an updated Investigation Intelligence Report must be submitted.
18.Complete an Addendum Report if necessary (Attachment E)
An Addendum Report can be used if further information becomes available after an investigation has been finalised, e.g. to report the results of a prosecution or record relevant information subsequently received. (See Attachment E).