(1) The University is committed to protecting staff members who report wrongdoing in the workplace. (2) The purpose of this policy is to establish an internal reporting system for the making of disclosures about corrupt conduct, maladministration, serious and substantial waste of public money or government information contravention by staff members. Responsibilities of University staff members under the internal reporting system are outlined in Schedule 1. (3) Some reports of wrongdoing may be classified as protected or public interest disclosure under the Public Interest Disclosures Act 1994 (NSW) (PID Act). This policy specifically addresses those types of reports. (4) Other reports of wrongdoing may not meet the definition of a protected or public interest disclosure. However the University supports and encourages such reports as the University does not tolerate wrongdoing in the workplace. (5) The purpose of the PID Act is to ensure that public officials who wish to make public interest disclosures under the legislation receive protection from reprisals, and that the matters raised in public interest disclosures are properly investigated. (6) The PID Act aims to encourage and facilitate the disclosure - in the public interest - of corrupt conduct, maladministration, serious and substantial waste and government information contravention in the public sector. This is achieved by: (7) For the purpose of this Policy five categories of wrongdoing in the internal reporting system are: corrupt conduct; maladministration; serious and substantial waste of public money; government information contravention; and local government pecuniary interest contravention. Definitions of these concepts are outlined below: (8) The University is committed to the aims and objectives of the PID Act. It recognises the value and importance of contributions made by staff to enhance administrative and management practices and strongly supports reports being made by staff which disclose Corrupt Conduct, Maladministration, Serious or Substantial Waste, Government Information Contravention, Local Government Pecuniary Interest Contravention or Other Wrongdoing not covered by the PID Act. The University will: (9) This Policy applies to: (10) This Policy may also apply to other people who perform official functions and their conduct and activities could be investigated by an investigating authority. This includes volunteers and those contracted to work for the University. (11) Staff members are encouraged to report known or suspected incidents of Corrupt Conduct, Maladministration, Serious and Substantial Waste or Government Information Contravention in accordance with this Policy. (12) All staff members have an important role in supporting those who have made legitimate public interest disclosures. They must abstain from any activity that is or could be perceived to be victimisation or harassment of persons who make public interest disclosures. Further they should protect and maintain the confidentiality of persons they know or suspect to have made public interest disclosures. Staff members must notify their manager or supervisor immediately of any suspicions they have that reprisal against an internal reporter is occurring or has been threatened. (13) The responsibilities of staff members reporting wrongdoing include: (14) Staff members should be aware of other University policies which also apply to wrongdoing. Each Employee should be aware of these policies to follow the correct procedure in dealing with such conduct: (15) Staff members should report any wrongdoing they see within the University. Reports about the relevant categories of serious wrongdoing — Corrupt Conduct, Maladministration, Serious and Substantial Waste, Government Information Contravention, and Local Government Pecuniary Interest Contravention — will be dealt with under the PID Act as public interest disclosures and according to this Policy. (16) While Local Government Pecuniary Interest Contravention it is less likely to be relevant to the University context than to some other Public Authorities, staff should be aware that it falls under the PID Act in the event that they do encounter it. (17) Although reports about the previous five categories of conduct can attract the specific protections of the PID Act, staff members should report all activities or incidents that they believe are wrong. (18) These types of issues should be reported to a supervisor, in line with other relevant University policies. Even if these reports are not dealt with as public interest disclosures, the University will consider each matter and make every attempt to protect the employee making the report from any form of reprisal. Other relevant University policies include: (19) The University will support any staff member who reports wrongdoing. For a report to be considered a public interest disclosure, it has to meet all of the requirements under the PID Act. These requirements are: (20) Reports by staff members will not be considered public interest disclosures if they mostly question the merits of government policy and/or are made with the substantial motive of avoiding dismissal or other disciplinary action. (21) Reports of wrongdoing may be made in writing or verbally. Those making a report are encouraged to report in writing as this can help to avoid any confusion or misinterpretation. (22) If a report is made verbally, the person receiving the report must make a comprehensive record of the disclosure and ask the person making the disclosure to sign this record. The person making the disclosure should keep a copy of this record. (23) If concerned about being seen making a report, a person making a disclosure can ask to meet in a discreet location away from the workplace. (24) There will be some situations where someone may not want to be identified when making a report. Although these reports will still be dealt with by the University it is best if the person making a report does identify him or herself. This allows the University to provide any necessary protection and support, as well as feedback about the outcome of any investigation into the allegations. (25) It is important to realise that an anonymous report may not prevent a person making a disclosure from being identified. If the University does not know who made the report, it is very difficult for the University to prevent any reprisal action. (26) The University realises many staff will want their report to remain confidential. This can help to prevent any action being taken against those persons for reporting wrongdoing. (27) The University is committed to keeping identity, and the fact a wrongdoing has been reported, confidential. However there may be situations where this may not be possible or appropriate. The University will discuss with persons making a report whether it is possible to keep the report confidential. (28) If confidentiality cannot be maintained, the University will develop a plan to support and protect persons making a report from risks of reprisal. Persons making a report will be involved in developing this plan. (29) If reporting wrongdoing, the person making the report should only discuss the report with those dealing with it. (30) Staff members are encouraged to report general wrongdoing to their supervisor. However the PID Act requires that — for a report to be a public interest disclosure — it must be made to a public official in accordance with the organisation's disclosure procedures. For the University this means this Policy, Procedure and the Public Interest Disclosure Schedule 1. (31) Any supervisor who receives a report that they believe may be a public interest disclosure must refer the staff member making the report to one of the positions listed below. The broad responsibilities of these positions are outlined below, with more detail provided in the Public Interest Disclosure Schedule 1. (32) The following positions are the only staff within the University who can receive a public interest disclosure. (33) Disclosures Officers are responsible for receiving, forwarding and/or dealing with reports made in accordance with this policy. The University's Disclosures Officers are identified in Schedule 1. (34) The Disclosures Coordinator has pivotal position in the public disclosure reporting system and acts as a clearing house for reports. The Disclosure Coordinator receives reports, assesses them, refers them to people within the University who can deal with them appropriately. The University's Disclosures Coordinator and the responsibilities associated with the role are identified in Schedule 1. (35) Reports of wrongdoing may be made by any staff member directly to the Vice Chancellor (or his or her Executive Officer acting as delegate), rather than by way of the Disclosures Officers. The Vice Chancellor's responsibilities are identified in Schedule 1 but in summary he or she is responsible for: (36) Staff members are encouraged to report wrongdoing within the University, but internal reporting is not the only option. If the guidance below is followed, a staff member's report can still be a public interest disclosure. (37) Staff members can choose to make their report to an investigating authority. Staff members can do this first, or at any stage after their initial report to the University. If the report is about the Vice Chancellor, it should be made to an investigating authority. (38) Staff members can also choose to make a report to a Member of Parliament or a journalist, but only in limited circumstances. (39) The PID Act lists a number of investigating authorities in NSW that staff can report wrongdoing to and the categories of wrongdoing each authority can deal with. The authorities are: (40) Staff members should contact the relevant authority for advice about how to make a report to them. Contact details for each investigating authority relevant to the University are provided at Part O. (41) Staff members should be aware that it is very likely the investigating authority will discuss the case with the University. The University will make every effort to assist and cooperate with the investigating authority to ensure the matter is dealt with appropriately and there is a satisfactory outcome. The University will also provide appropriate support and assistance to staff members who report wrongdoing to an investigating authority. (42) To have the protections of the PID Act, staff reporting wrongdoing to a Member of Parliament (MP) or a journalist must have already made substantially the same report to one of the following: (43) Also, the University or investigating authority that received the report must have either: (44) Most importantly - to be protected under the PID Act - if a staff member reports wrongdoing to an MP or a journalist the staff member will need to be able to prove that he or she has reasonable grounds for believing that the disclosure is substantially true and that it is in fact substantially true. (45) If a staff member reports wrongdoing to a person or an organisation that is not listed above, the staff member will not be protected under the PID Act. This means the staff member may be in breach of legal obligations or the University's Code of Conduct — by, for example, disclosing confidential information. (46) For more information about reporting wrongdoing outside the University, contact the Disclosures Coordinator or the NSW Ombudsman's Public Interest Disclosures Unit. Their contact details are provided at Part O. (47) The Disclosures Officers, Disclosures Coordinator or Vice Chancellor (whoever has received the report) must keep full and detailed records of their assessment of the report and the reasons for it, and retain these records in a secure location. (48) Staff who report wrongdoing will be told what is happening in response to their report. When a staff member makes a report, he or she will be given: (49) The PID Act requires that a staff member is provided with an acknowledgement letter and a copy of this Policy within forty-five (45) days after having made a report. The University will attempt to get this information to you within five (5) working days from the date you make your report. (50) After a decision is made about how the report will be dealt with, the staff member will be given the following information within ten (10) working days from the date on which the decision was made: (51) If the Disclosures Officers, Disclosures Coordinator or Vice Chancellor elects to appoint an investigator to investigate the report, the Disclosures Officers, Disclosures Coordinator or Vice Chancellor will provide the investigator with a brief setting out; (52) During any investigation, the staff member who has made a report will be given: (53) At the end of any investigation, the staff member who has made the report will be given: (54) Detailed and secure records must be kept of any investigation of a report and the reasons for decisions about how the University will respond. (55) Each key interaction with the reporter, subjects of the report and witnesses must be carefully documented on the file, including: (56) Any documents obtained during the course of the investigation must also be placed on the investigation file or attached to it. (57) There must be no indication on the cover of a file that it involves a PID or the name of the internal reporter. (58) The University's PID file note template must be completed and included inside each PID file. (59) Electronic records must be secured and only accessed by appropriate people. (60) A 'clear desk' policy must be maintained for PID files (i.e. files must be locked up securely when the office is unattended). (61) The investigator will prepare a report at the end of the investigation. (62) At a minimum, the investigation report will include: (63) Procedural fairness should be considered before drafting an investigation report, particularly if any adverse comment is to be included about the conduct of an individual or organisation. If a person is not afforded procedural fairness before an investigation report is finalised and it contains adverse comment or recommendations for disciplinary or other action against them, this may be grounds for a legal challenge. (64) The PID Act provides protection for people reporting wrongdoing by imposing penalties on anyone who takes detrimental action substantially in reprisal for them making the public interest disclosure. (65) The University will not tolerate any reprisal action against staff who make a public interest disclosure. The criminal penalties that can be imposed include imprisonment or fines. Detrimental action is also misconduct that justifies disciplinary action. People who take detrimental action against someone who has made a public interest disclosure can also be required to pay damages for any loss suffered by that person. (66) Detrimental action means action causing, comprising or involving any of the following: (67) The University will act to protect staff who report wrongdoing from reprisals. (68) When a report is received, the University will ensure that a thorough risk assessment is conducted. This will identify any risks to the member of staff who reported the wrongdoing, as well as strategies to deal with those risks. (69) If the staff member believes that detrimental action has been or is being taken against them or someone else who has reported wrongdoing in reprisal for making a report, the staff member should tell their supervisor, the Disclosures Coordinator or the Vice Chancellor immediately. (70) All supervisors must report any suspicions they have that reprisal action against a staff member is occurring, or any reports that are made to them, to the Disclosures Coordinator or the Vice Chancellor (71) If the Disclosures Coordinator becomes aware of reprisal action against a person who has made a report, they will: (72) If a staff member reports reprisal action, that staff member will be kept informed of the progress of any investigation and the outcome. (73) The Vice Chancellor may issue specific directions to help protect against reprisals, including: (74) These directions will only be taken if the member of staff who made the report agrees to it. The Disclosures Coordinator will make it clear to other staff that this action was taken in consultation with the staff member and with management support — and it is not a punishment. (75) If a staff member has reported wrongdoing and feels that any reprisal action is not being dealt with effectively, the staff member may contact the Ombudsman or the ICAC — depending on the type of wrongdoing reported. Contact details for all these investigating authorities are included at Part O. (76) If a staff member makes a public interest disclosure in accordance with the PID Act, that staff member will not be subject to any liability and no action, claim or demand can be taken against that staff member for making the public interest disclosure. The staff member will not have breached any confidentiality or secrecy obligations and the staff member will have the defence of absolute privilege in defamation. (77) The University will make sure that staff who have reported wrongdoing, regardless of whether they have made a public interest disclosure, are provided with access to any professional support they may need as a result of the reporting process — such as stress management, counselling services, legal or career advice. (78) The University also has staff who will support those who report wrongdoing. These staff are responsible for initiating and coordinating support, particularly to those who are suffering any form of reprisal. Details are included at Schedule 2 to this Policy. (79) All supervisors must notify the Disclosures Coordinator if they believe a staff member is suffering any detrimental action as a result of reporting wrongdoing. (80) It is important that all staff are aware that it is a criminal offence under the PID Act to wilfully make a false or misleading statement when reporting wrongdoing. (81) The University is committed to ensuring staff who are the subject of a report of wrongdoing are treated fairly and reasonably. If a staff member is the subject of a report, that staff member will be: (82) This Policy will be reviewed by the University Legal Office periodically to ensure it meets the objectives of the legislation and facilitates the making of disclosures under the PID Act. (83) Staff members may access guidance and advice internally from the office of the Deputy Vice Chancellor. (84) Guidance about public interest disclosures is available from the NSW Ombudsman's website www.ombo.nsw.gov.au which includes a number of fact sheets including: (85) Staff members may access guidance and advice from the Deputy Vice Chancellor www.scu.edu.au/dvc/ and the NSW Ombudsman's website at www.ombo.nsw.gov.au (86) The contact details for external investigating authorities to which staff members may make a public interest disclosure or seek advice from are listed below: (87) For disclosures about corrupt conduct: (88) For disclosures about maladministration: (89) For disclosures about serious and substantial waste: (90) For disclosures about breaches of the GIPA Act:Public Interest Disclosures Policy
Section 1 - Preamble
Part A - Purpose of the Policy
Part B - The Object of the Act
Top of PageSection 2 - Definitions
Top of Page
Section 3 - Policy Statement
Part C - Support for Persons Who Report Wrongdoing
Part D - Roles and Responsibilities
Top of PageSection 4 - Procedures
Part E - What Should Be Reported?
Other Wrongdoing
Part F - Making A Report
When will a report be protected?
How to make a report
Can a report be anonymous?
Maintaining Confidentiality
Part G - Who can receive a report within the University?
Disclosures Officers
Disclosures Coordinator
Vice Chancellor
Part H - Who can receive a report outside the University?
Investigating authorities
Members of Parliament or journalists
Part I - After a report is made
Feedback to staff members who report wrongdoing
Record Keeping Requirements
Part J - Outcome and final investigation report
Protection against reprisals
Responding to reprisals
Protection against legal action
Part K - Support for those reporting wrongdoing
Part L - Sanctions for making false or misleading disclosures
Part M - Support for the subject of a report
Part N - Review
Section 5 - Guidelines and Resources
Part O - Guidelines
Part P - More Information and Resources
Sydney NSW 2000
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Independent Commission Against Corruption (ICAC)
Phone: 02 8281 5999
Toll free: 1800 463 909
Tel. typewriter (TTY): 02 8281 5773
Facsimile: 02 9264 5364
Email: icac@icac.nsw.gov.au
Web: www.icac.nsw.gov.au
Address: Level 21, 133 Castlereagh Street,
NSW Ombudsman
Phone: 02 9286 1000
Toll free (outside Sydney metro): 1800 451 524
Tel. typewriter (TTY): 02 9264 8050
Facsimile: 02 9283 2911
Email: nswombo@ombo.nsw.gov.au
Web: www.ombo.nsw.gov.au
Address: Level 24, 580 George Street, Sydney NSW 2000
Auditor-General of the NSW Audit Office
Phone: 02 9275 7100
Facsimile: 02 9275 7200
Email: mail@audit.nsw.gov.au
Web: www.audit.nsw.gov.au
Address: Level 15, 1 Margaret Street, Sydney NSW 2000
Information and Privacy Commission
Toll free: 1800 472 679
Facsimile: 02 8114 3756
Email: ipcinfo@ipc.nsw.gov.au
Web: www.ipc.nsw.gov.au
Address: Level 11, 1 Castlereagh Street, Sydney NSW 2000