pUBLIC iNTEREST Disclosures Act 1994- Internal Reporting Policy

Suite 1, Level 2, 1-17 Elsie Street, BURWOOD NSW 2134

PO Box 240, BURWOOD NSW 1805

Phone: 9911-9911 - Fax: 9911-9900

Email:

Website: www.burwood.nsw.gov.au

Public Document

Adopted by Council: 23 March 2015 (Min No. 34/15)

Trim No. 15/10893

Version No: 5

Ownership: Governance Co-ordinator

Public Interest Disclosures Act 1994 – Internal Reporting Policy

Index

1Purpose

2Council and Organisational Commitment

3Roles and Responsibilities of council officers

4What should be reported?

5When will a report be protected?

6How to make a report

7Can a report be anonymous?

8Maintaining confidentiality

9Who can receive a report within Burwood Council?

10Who can receive a report outside of Burwood Council?

11Feedback to the individual who reported wrongdoing

12Protection against reprisals

13Support for those reporting wrongdoing

14Sanctions for making false or misleading disclosures

15Support for the subject of a report

16Review

17More information

18Resources

19Referral to ICAC/POLICE

20Contact Person

Burwood Council Page 1 of 18

Version No: 5

Public Interest Disclosures Act 1994 – Internal Reporting Policy

1Purpose

This policy establishes an internal reporting system for the reporting of disclosures of corrupt conduct, maladministration, serious and substantial waste of public money, government information contravention or local government pecuniary interest contravention by Burwood Council, its Councillors and Council Officers. The system enables such public interest disclosures to be made to the Disclosure Co-ordinator, a Disclosure Officer, the General Manager or the Mayor if the disclosure is about the General Manager.

This policy is designed to complement normal communication channels between supervisors and other Council Officers. Council Officersare encouraged to continue to raise appropriate matters at any time with their supervisors, but as an alternative have the option of making a Public Interest Disclosures in accordance with this policy.

ThePublic Interest Disclosure Act 1994 (the PID Act) (previously known as the Protected Disclosures Act 1994 commenced operation on 1 March 1995) is effective from 1 July 2011.

The purpose of the PID Actis to ensure that public officials who wish to make disclosures under the legislation receive protection from reprisals and that the matters raised in the disclosures are properly investigated.

The PID Act aims to encourage and facilitate the disclosure - in the public interest - of corrupt conduct, maladministration, serious and substantial waste of public money, government information contravention or local government pecuniary interest contravention. This is achieved by:

  • enhancing and augmenting established procedures for making disclosures concerning such matters
  • protect persons from reprisals that might otherwise be inflicted on them because of these disclosures
  • providing for those disclosures to be properly investigated and dealt with

Local Government Requirements

The Local Government Act 1993 requires Council’s to adopt a Code of Conduct that incorporates the provisions of the Model Code of Conduct for Local Council in NSW. This sets the minimum requirements of conduct for Council Officials in carrying out their functions. It is underpinned by the key principles of integrity, leadership, selflessness, impartiality, accountability, openness, honesty and respect. In addition to stating the purpose and aims of the PID Act, the Model Code also states that “when dealing with a complaint that is or could be a PID” officers must comply with the confidentiality provision of the Act.

Also, the Standard Contract of Employment for General Managers and Senior Staff (other than the General Managers) of local Council’s in NSW requires these officers to facilitate Council Officers awareness of the procedures for making PIDs and of the protection provided by the PID Act. General Managers are also required to maintain satisfactory operation of Council’s reporting system (including PIDs).

Definitions

Affected Person - the person about whom the Disclosure is made

Public Official - is an employee of a local government authority, or any other individual who undertakes official public functions or acts in an official public capacity eg. Councillor, employee, consultants, contractors or volunteers

Source - the person making the Disclosure

Witness - another person who gives or affords evidence to the investigation

Support person - a person being interviewed is entitled to be accompanied by a support person during the interview. This person can also provide details of what happened during the interview if this is needed later

Scope

The Policy applies to all Councillors, employees, consultants, contractors and volunteers.

2Council and Organisational Commitment

To all Councillors and Council Officers:

  • Burwood Councildoes not tolerate corrupt conduct, maladministration, serious and substantial waste of public money, government information contravention or local government pecuniary interest contravention.
  • Burwood Councilis dedicated to the highest standard of ethical and accountable conduct.
  • Council Officers who come forward and report wrongdoing are helping to promote integrity, accountability and good management within Council.

Burwood Council is dedicated to:

  • the aims and objectives of the PID Act. It recognises the value and importance of contributions of Council Officer to enhance administrative and management practices and strongly supports disclosures being made by Councillors or Council Officers which disclose corrupt conduct, maladministration, serious and substantial waste of public money, government information contravention or local government pecuniary interest contravention
  • creating a climate of trust, where Council Officers are comfortable and confident about reporting wrongdoing
  • encouraging Council Officers to come forward if they have witnessed what they consider to be wrongdoing within the Council
  • keeping the identity of the Council Officer disclosing wrongdoing confidential, wherever possible and appropriate
  • taking all reasonable steps to provide protection to Council Officers who make such disclosures, from any detrimental action in reprisal for the making of the disclosure
  • dealing with reports thoroughly and impartially and if some form of wrongdoing has been found, taking appropriate action to rectify it
  • keeping Council Officers who make reports informed of their progress and the outcome
  • encouraging Council Officers to report wrongdoing within Council, but respecting any decision to disclose wrongdoing outside the Council – provided that disclosure outside the Council is made in accordance with the provisions of the PID Act
  • ensuring Managers and Supervisors at all levels in Council understand the benefits of reporting wrongdoing, are familiar with this policy, and aware of the needs of those who report wrongdoing
  • providing adequate resources, both financial and human, to:
  • encourage reports of wrongdoing
  • protect and support those who make them
  • provide training about how to make reports and the benefits of internal reports to the Council and the public interest generally
  • properly investigate allegations
  • properly manage any workplace issues that the allegations identify or thatresult from a report
  • appropriately address any identified problems

Michael McMahonJohn Faker

General ManagerMayor of Burwood

3Roles andResponsibilities of council officers

This Policy places responsibilities upon people at all levels within Burwood Council.

Employees

Employees are encouraged to report known or suspected incidences of corrupt conduct, maladministration or serious and substantial waste in accordance with this Policy.

All employees of Burwood Council have an important role to play in supporting those who have made legitimate disclosures or are reporting or investigating disclosures. They must abstain from any activity that is or could be perceived to be victimisation or harassment of a person or persons who has or have made Public Interest Disclosures. Further, they should protect/maintain the confidentiality of persons they know or suspect to have made disclosures or is reporting or investigating disclosures.

Disclosure Officers

The Disclosure Officer is responsible for receiving, forwarding and/or acting upon disclosures in accordance with this Policy. The following Council Officers are able to received disclosures as Disclosure Officers:

  • Governance Co-ordinator [Phone: 9911 9910]
  • Disclosure Co-ordinator - Internal Ombudsman (Executive Manager) [Phone: 9911 9808]
  • Manager Organisational Development [Phone: 9911 9813]
  • Deputy General Manager – Corporate, Governance & Community [Phone: 9911 9849]
  • Deputy General Manager – Land, Infrastructure & Environment [Phone: 9911 9850]
  • General Manager [Phone: 9911 9802]
  • Mayor (if disclosure concerns or involves the General Manager) [Phone: 9911 9801]

The Disclosure Officer will:

  1. provide the Source with a copy of Council’s Public Interest Disclosures Act 1994 - Internal Reporting Policy
  2. clearly explain to persons making disclosures what will happen in relation to the information received
  3. when requested, make arrangements to ensure that disclosures can be made privately and discreetly (if necessary away from the workplace)
  4. put in writing and date any disclosures received verbally (and have the Source sign the document)
  5. deal with disclosures impartially
  6. forward disclosures to the Disclosure Co-ordinator for assessment
  7. take all necessary and reasonable steps to ensure that the identity of persons who make disclosures, and the persons the subject of disclosures, are kept confidential (where this is practical and reasonable)
  8. support any person who has made a Public Interest Disclosures and protect them from victimisation, harassment or any other form of reprisal

Disclosure Co-ordinator

The Disclosure Co-ordinator has a pivotal position in the public interest reporting system and acts as a clearing house for disclosures. The Disclosure Co-ordinator was delegated authority from Council to investigate and report on Public Interest Disclosures to the General Manager, depending on which is appropriate. Further, the Disclosure Co-ordinator will seek from the General Manager, written authority to undertake each investigation pursuant to received Public Interest Disclosures. This authority will be saved onto the relevant file.

Disclosures made about the General Manager will be overseen by the Mayor and investigations conducted by Council’s Conduct Reviewer/Review Committee.

The Disclosure Co-ordinator provide alternative public interest reporting channel to a Nominated Disclosure Officer and the General Manager and will:

  1. impartially assess each disclosure to determine:
  1. whether the disclosure appears to be a Public Interest Disclosures within the meaning of the PID Act
  2. whether the disclosure covers another agency and should therefore be referred to the principal officer of the agency
  3. the appropriate action to be taken in relation to a disclosure that concerns Burwood Council, for example:
  • no action/decline
  • the appropriate person to take responsibility for dealing with the disclosure
  • preliminary or informal investigation, with written consent of the General Manager
  • formal investigation, with written consent of the General Manager
  • forward the complaint to the General Manager for prosecution or disciplinary action
  • referral to an investigating authority for investigation or other appropriate action, with written consent of the General Manager
  • forward the complaint to the General Manager for referral to the Police (if criminal matter) or the ICAC (if the matter concerns corrupt conduct)
  • consult with the General Manager about all disclosures received, other than where a disclosure concerns the General Manager and the General Manager
  1. be responsible for carrying out or co-ordinating any internal investigation arising out of a disclosure, subject to consent and any relevant directions of the General Manager
  2. report to the General Manager on the findings of any investigation and recommended remedial action
  3. take all necessary and reasonable steps to ensure that the identity of the person who has made a disclosure (where this is practical and reasonable), and any person who is the subject of disclosures, are kept confidential
  4. support any person who has made a disclosure and protect them from victimisation, harassment or any other form of reprisal
  5. provide access to any professional support such as stress management, counselling services, legal or career advice (in consultation with Organisational Development)
  6. provide feedback to both the Source or the Subject
  7. make and keep proper records about the receipt, assessment and management of Public Interest Disclosures, including the action taken and the determination of each disclosure
  8. report actual or suspected corrupt conduct to the General Manager in a timely manner to enable that person to comply with the ICAC Act
  9. report to Parliament on the Public Interest Disclosures that have been lodged in accordance with the PID Act, from 1 January, 2012

General Manager

Disclosures may be made directly to the General Manager. The General Manager will:

  1. impartially assess each disclosure to determine:
  1. whether the disclosure appears to be a Public Interest Disclosures within the meaning of the PID Act and if appropriate, provide the Disclosure Coordinator a written authority to conduct an investigation into the disclosure and draft a report including findings and recommendations
  2. the appropriate action to be taken in relation to the disclosure, for example:
  • no action/decline
  • the appropriate person to take responsibility for dealing with the disclosure
  • preliminary or informal investigation
  • formal investigation
  • prosecution or disciplinary action
  • referral to an investigating authority for investigation or other appropriate action
  • referral to the Police (if criminal matter) or the ICAC (if the matter concerns corrupt conduct)
  1. receive reports from the Disclosure Co-ordinator on the findings of any investigation of Staff and any recommendations for remedial action, and determine what action should be taken
  2. take all necessary and reasonable steps to ensure that the identity of the person who has made a disclosure, and any person who is the subject of disclosures, are kept confidential (where this is practical and reasonable)
  3. have primary responsibility for protecting any person who has made a disclosure, or provided information to any internal or external investigation of a disclosure, from victimisation, harassment or any other form of reprisal
  4. provide guidance and authority to the Disclosure Co-ordinator in order for her/him to fulfil that role
  5. be responsible for implementing organisational and/or policy reform identified as necessary following investigation of a disclosure
  6. report suspected criminal offences to the Police and actual or suspected corrupt conduct to the ICAC (under Section 11 of the ICAC Act)

The Mayor

The Mayor may receive public interest disclosures from any member of Council Officers of Burwood Council or any Councillor concerning the General Manager or a Councillor. The Mayor will:

  1. impartially assess each disclosure made to him/her about the General Manager or a Councillor to determine:
  1. whether the disclosure appears to be a Public Interest Disclosures within the meaning of the PID Act

Note: In making this assessment the Mayormust seek guidance from: the Disclosure Co-ordinator or General Manager (if appropriate); an investigating authority (ie. the ICAC, or Ombudsman; or the Office of Local Government).

  1. the appropriate course of action to be taken in relation to the disclosure (in consultation with the General Manager, if appropriate), for example:
  • no action/decline
  • the appropriate person to take responsibility for dealing with the disclosure
  • preliminary or informal investigation
  • formal investigation
  • prosecution or disciplinary action
  • referral to an investigating authority for investigation or other appropriate action
  • referral to the Police (if suspected criminal matter) or the ICAC (if the matter concerns corrupt conduct)
  1. take all necessary and reasonable steps to ensure that the identity of the person who has made a disclosure, and any person who is the subject of disclosures, are kept confidential (where this is practical and reasonable)
  1. have primary responsibility for protecting any person who has made a disclosure, or provided information to any internal or external investigation of a disclosure, from victimisation, harassment or any other form of reprisal

Note: all investigations relating the General Manager or a Councillor will be undertaken by Council’s independent Conduct Reviewer/Review Committee.

  1. report suspected criminal offences to the Police and actual or suspected corrupt conduct to the ICAC (under Section 11 of the ICAC Act)

Note: If the Mayor makes an assessment of a disclosure and it is determined to be a Public Interest Disclosures under the PID Act, then the Mayor must refer the matter to the proper investigating authority, depending on the nature of the Public Interest Disclosures as per Clause 19 (Referral to ICAC/Police).

Prohibitions

The General Manager is prohibited from having any involvement or giving directions to Council Officers in relation to any formal or informal complaints where he/she is the subject of the complaint. This does not prohibit the General Manager from providing information or a statement as part of the investigation process.

The Disclosure Co-ordinator is prohibited from having any involvement in relation to any formal or informal complaints where he/she is the subject of the complaint. This does not prohibit the Disclosure Co-ordinator from providing information or a statement as part of the investigation process.

4What should be reported?

You should report any suspected wrongdoing you see within Burwood Council. Reports about the five categories of serious wrongdoing will be dealt with under the PID Act as Public interest disclosures and according to this policy.

  • corrupt conduct
  • maladministration
  • serious and substantial waste of public money
  • government information contravention
  • local government pecuniary interest contravention

Corrupt Conduct

Corrupt conduct is the dishonest or partial exercise of official functions by a public official.

For example, this could include:

  • the improper use of knowledge, power or position for personal gain or the advantage of others
  • acting dishonestly or unfairly, or breaching public trust
  • a Council Official using their position in a way that is dishonest, biased or breaches public trust
  • for more information about corrupt conduct, see the NSW Ombudsman’s guideline on what can be reported

Maladministration

Maladministration is conduct that involves action or inaction of a serious nature that is contrary to law, unreasonable, unjust, oppressive or improperly discriminatory or based wholly or partly on improper motives.

For example, this could include:

  • making a decision and/or taking action that is unlawful
  • refusing to grant an approval for reasons that are not related to the merits of their application

For more information about maladministration, see the NSW Ombudsman’s guideline on what can be reported.