Disclosure of Wrongdoing (Whistleblower) Policy

Disclosure of Wrongdoing (Whistleblower) PolicyHuman Resources Policy

1Purpose

The purpose of the policy is to protect employees, secondees, former employees and contractors who raise concerns about serious wrongdoing in Victoria University of Wellington and its subsidiaries under the Protected Disclosures Act 2000. The University provides for the disclosure of any serious wrongdoing to include matters of a sexual nature.

2Organisational Scope

This is a University-wide policy.

3Definitions

For purposes of this policy, unless otherwise stated, the following definitions shall apply:

Employee
(as defined in the Act): / Any existing or former employee, or a home worker, or person seconded to VictoriaUniversity, a contractor to the University, or a person concerned in the management of the University.
University: / Victoria University of Wellington and its subsidiaries.

4Policy Content and Guidelines

4.1Who Can Make A Disclosure?

(a)Any employee can make a disclosure.

(b)Employees have the option to make their report to a same gender person in an appropriate managerial position if the matter is of a sexual nature, related to harassment or of any other inappropriate nature.

(c)When making a disclosure of serious wrongdoingunder the Act, the employee should advise that the disclosure is made under the Act for it to qualify as a protected disclosure though failure to do so does not preclude a disclosure being later considered as protected under the provisions of the Protected Disclosures Act 2000.

4.2Protected Disclosures under the Act

An employee may make a protected disclosure of a wrongdoing under the Act if:

(a)The disclosure is about serious wrongdoing at, or by, VictoriaUniversity. Wrongdoing includes any wrongdoing of any of the following types, whether the wrongdoing occurs before or after the commencement of the Act:

(i)an unlawful, corrupt, or irregular use of public funds or public resources; or

(ii)an act, omission, or course of conduct that constitutes a serious risk to public health or public safety or the environment; or

(iii)an act, omission, or course of conduct that constitutes a serious risk to the maintenance of law, including the prevention, investigation, and detection of offences and the right to a fair trial; or

(iv)an act, omission, or course of conduct that constitutes an offence; or

(v)an act, omission, or course of conduct by a public official that is oppressive, improperly discriminatory, or grossly negligent, or that constitutes gross mismanagement; and

(b)The employee believes on reasonable grounds that the information he/she wishes to disclose is true or likely to be true; and

(c)The employee wishes to disclose this information so that the wrongdoing can be investigated; and

(d)The employee wishes the disclosure to be protected.

(e)If an employee of an organisation believes, on reasonable grounds, that the information disclosed is about serious wrongdoing as defined by the Protected Disclosures Act 2000, but that belief is mistaken, the information will be treated as a protected disclosure under the Act.

4.3Making a Disclosure

(a)An employee who wishes to make a disclosure must report the disclosure to their manager unless:

(i)the employee reasonably believes the manager is involved in the wrongdoing; or

(ii)the manager has a personal relationship or association with someone who is believed to be involved in the wrongdoing.

(b)If clause 4.4 (a) (i) or (ii) applies, the employee may report the wrongdoing to any other senior manager within the organisation.

(c)If the employee reasonably believes that s/he cannot approach any level of management because they may be involved or associated with the wrongdoing, the employee may approach one or more of the following authorities:

(i)the Chancellor and/or other Officers of Council (other than the Vice-Chancellor);

(ii)the Commissioner of Police;

(iii)the Controller and Auditor-General;

(iv)the Director of the Serious Fraud Office;

(v)the Inspector General of Intelligence and Security;

(vi)an Ombudsman;

(vii)the Parliamentary Commissioner for the Environment;

(viii)the Independent Police Conduct Authority;

(ix)the Solicitor-General;

(x)the State Services Commissioner;

(xi)the Health and Disability Commissioner;

(xii)the head of any public sector organisation which comprises members of a particular profession or calling and which has power to discipline its members.

4.4Submission of a Disclosure

(a)The submission of a disclosure must be reported as soon as is practicable.

(b)Once a disclosure has been submitted and specified as a protected disclosure under the Act, the reporting manager must notify a member of the Senior Management Team, and assess whether the disclosure meets the criteria (as set out in clause 4.2).

(c)If the disclosure concerns a person within the University who is senior to the reporting manager, the reporting manager must escalate the matter to any other senior manager, the Deputy Vice Chancellor or the Vice Chancellor.

(d)If it is determined that the disclosure should be investigated, a formal investigation will be commenced and preliminary findings made within 20 working days.

(e)The employee may appeal a decision not to investigate a disclosure to the Vice Chancellor or, for a serious disclosure under the Act, to any Minister of the Crown or to the Ombudsman.

4.5Investigation of a Disclosure

(a)Subject to clauses 4.5(c) and (d), the reporting manager will be responsible for carrying out the investigation unless that manager considers, after consultation with the Director of Human Resources, that the matter would be more suitably and conveniently investigated by another person.

(b)Where a criminal offence is probable or possible, the investigator may also refer it to the police or other enforcement agency.

(c)An investigation carried out under clause 4.5 (a) will be conducted in accordance with the principles of natural justice.

(d)The investigator will determine whether or not the allegation of wrongdoing is substantiated, and if so, whether it should be referred for disciplinary procedures.

(e)Any disciplinary action taken will follow the processes set out under the Conduct Policy and in the Discipline and Dismissal procedures of the Victoria University Collective Employment Agreements.

4.6Appeals

(a)If a disclosure has not been investigated in the time frame specified in 4.5(d), the employee may appeal to the Deputy Vice Chancellor or the Vice Chancellor for the disclosure to be investigated forthwith.

(b)Where a decision has been made to take no action in respect of a disclosureand the employee continues to believe on reasonable grounds that the matter is true, the employee may appeal that decision to the Chief Operating Officer or the Vice Chancellor.

(c)Where a final decision has been made to take no action in respect of a serious disclosure under the Protected Disclosures Act 2000 and the employee continues to believe on reasonable grounds that the matter is true, the employee may appeal that decision to an Ombudsman or Minister of the Crown.

4.7Protection for Employees Who Make Disclosures

Every person to whom a disclosure is made or referred must use his or her best endeavours not to disclose information that might identify the employee who made the disclosure unless:

(a)That employee consents in writing to the disclosure of their identity; or

(b)The person who has acquired knowledge of the disclosure reasonably believes that disclosure of identifying information:

(i)is essential to the effective investigation of the allegations; or

(ii)is essential to prevent serious risk to public health or public safety or the environment; or

(iii)is essential having regard to the principles of natural justice.

(c)Any employee who makes a protected disclosure under the Act is immune from criminal or civil proceedings, and disciplinary action in relation to that disclosure, provided that the employee did not make the disclosure in bad faith or know it to be false.

4.8Retaliatory Action and Victimisation

(a)Where an employee feels they have been victimised or retaliated against for making a general disclosure or a protected disclosure under the Act, they may take a personal grievance under the Employment Relations Act 2000 or make a complaint under the Human Rights Act 1993.

(b)VictoriaUniversity treats seriously any allegation of victimisation or retaliation. Allegations of this nature that are established may result in disciplinary action under the Conduct Policy.

5Legislative Compliance

The University is required to manage its policy documentation within a legislative framework.The legislation directing this policyis the:

Employment Relations Act 2000

Human Rights Act 1993

Protected Disclosures Act 2000

6References

Conduct Policy

Fraud Policy

Previous Version: DisclosureofSeriousWrongdoingProcedure

7Appendices

None

8Approval Agency

Vice Chancellor

9Approval Dates

This policy was originally approved on: / 1 January 2001
This version was approved on: / 29 June 2009
This version takes effect from: / 29 June 2009
This policy will be reviewed by: / 29 June 2012

10Policy Sponsor

Director, Human Resources

11Contact Person

The following person may be approached on a routine basis in relation to this policy:

Manager, HR Projects and Policy

Note: Please contact your Manager or your Human Resources Manager/ Human Resources Advisor if you have any questions about this policy.