Establishing Oversight Mechanisms

What Do We Mean by Oversight Mechanisms? Oversight refers to maintaining a watchful eye on something. An oversight mechanism is the system or process used to maintain a watchful eye.

Why Establish Oversight Mechanisms? To assure accountability. To control quality. To ensure adherence to laws and regulations. To control unfair treatment, corruption, illegality, and unethical behavior. To ensure the effectiveness of programs or efforts for which you have responsibility. To help improve the wellbeing for everyone.

Who Should Be Involved in Establishing Oversight Mechanisms? It often makes sense to involve a variety of people and groups in the oversight process. Those from the groups most affected by the issue or situation involved. Those providing the service or products for which oversight is directed (i.e., those being overseen). Those ultimately responsible for the success of the effort – program directors, school principals, elected or appointed officials, etc. Funders and others contributing resources or support to the implementation of the effort. Community activists concerned with the issue or effort in question.

When Should You Establish Oversight Mechanisms? Short answer: Whenever oversight is necessary. When an effort or new program or organization is starting. When a problem needs to be prevented from occurring again. When the quality or effectiveness of an effort or program is in question. When there is an agreement, contract, or regulation to be followed. When an entity is engaged in an activity that is potentially harmful to the community, its members, or society.

How Do You Establish Oversight Mechanisms? In most situations, gather a group of stakeholders to plan and set up oversight mechanisms. Decide what kind of oversight you need: Oversight in terms of accountability. Oversight of the operation of a program, effort, or organization. Oversight of conduct of a service, organization, government agency, etc. Oversight of the performance of individuals in an organization or institution. Oversight of the conduct of individuals in organizations and government. Oversight of processes to make sure they’re conducted properly. Oversight of agreements and contracts to be sure that their terms are carried out as specified. Oversight to protect vulnerable individuals.

Choose an oversight mechanism that is best suited to the type of oversight you expect to conduct. Oversight mechanisms can take a number of different forms, depending on their purpose: Oversight by a designated or responsible individual or group. External oversight by a funder, government agency, or other responsible body. An oversight committee. A watchdog group. A monitoring and evaluation process. Spot checks by staff, supervisors or program directors. Regular oral and/or written reports on the work being done and its results. Mechanical oversight, as by the use of cameras, audio recorders, or mechanical inspection of activities and products.

Decide Who Will Conduct the Actual Oversight This will be determined, at least in part, by what kind of oversight you’re conducting.

Decide on the Methods You Will Use to Conduct the Oversight Individual and group interviews with administrators or managers and staff members, present and past participants, funders, and others affected by or familiar with the entity’s work. Casual conversation with staff members and administrators. Direct observation of the work of the entity. Embedding into the work of the entity, also known as participant observation. Study of organizational or agency files, records, and financial reports, as well as its history, funding sources, and philosophy.

Train Those Who Will Conduct the Oversight if Necessary Get to know the organization or entity you’re overseeing. Understand that people may not want you there. Try to establish a rapport with people you interview or interact with. Listen carefully. Use open-ended questions as much as possible. Whenever you’re engaging in oversight activities, use all your senses. Take careful notes. Respect people’s time. Produce reports regularly. Praise people for their work where appropriate.

Create an Analysis and Reporting System Both the process and the observations that come out of oversight should be recorded for two reasons: To show that the organization, institution, or effort is doing its job in keeping track of what goes on. To use the information to improve both oversight and the quality of the operation.

Determine How You Will Use Oversight What areas of the work or organization will you oversee? What purpose will your oversight serve? How will you use the information you get from oversight to analyze your work and change it to improve it?

Evaluate the effectiveness of your oversight mechanism and adjust it as necessary Oversight itself should be monitored. Check regularly, at least every few months.

Continue oversight over the long term Oversight is a long-term commitment. Exercising good oversight helps to maintain progress. You need to establish oversight mechanisms that can be sustained indefinitely.

In Summary We set up oversight mechanisms to keep a watchful eye on things. Oversight mechanisms often work best when both those who employ them and those subject to them participate in their development and implementation.