Proceduresfor Determiningbreachesofthecodeofconductandfordeterminingsanction

Proceduresfor determiningbreachesoftheCodeofConductandfordeterminingsanction

I,FinnPratt,theSecretaryoftheDepartmentofSocialServices('theDepartment'),establish theseproceduresundersubsection15(3)ofthePublicServiceAct1999('theAct').

These procedurescommenceonthedatesigned.

TheseproceduressupersedethepreviousproceduresmadefortheDepartment under subsection15(3)oftheAct,butthepreviousprocedures maycontinuetoapplyfortransitional purposes.

FinnPratt

DatedthisdayofNovember2013.

1. Applicationofprocedures

1.1.TheseproceduresapplyindeterminingwhetherapersonwhoisanAPSemployeein theDepartment, orwhoisaformerAPSemployeewhowasemployedinthe Departmentatthetimeofthesuspectedmisconduct,hasbreachedtheAPSCodeof Conduct('theCode')insection13ofthePublicServiceAct1999('theAct').

1.2.Theseproceduresapplyin determiningany sanctionto beimposedonanAPS

employeeintheDepartmentwhohasbeenfoundtohavebreachedtheCode.

1.3. Theseprocedures,astheyapplytodeterminingwhethertherehasbeenabreachof the Code,applytoanysuspectedbreachoftheCodeexceptforoneinrespectofwhicha decisionhadbeenmadebefore1July2013tobeginaninvestigationtodetermine whethertherehadbeenabreachoftheCode.

1.4.Theseprocedures,astheyapplytodetermininganysanctionforbreachoftheCode, applywhereasanctiondecisionisunderconsiderationon orafter1July2013.

1.5.Intheseprocedures,areferencetoabreachoftheCodebyapersonincludesa reference toapersonengaginginconductsetoutinsubsection15(2A)oftheActin connectionwiththeirengagementasanAPSemployee.

Note: NotallsuspectedbreachesoftheCodeneedto be dealtwithbywayofdeterminationunder theseprocedures.Inparticularcircumstances,anotherwayofdealingwithasuspected breachoftheCodemaybemoreappropriate,includingperformancemanagement.

2. Availabilityofprocedures

2.1.Asprovidedforinsubsection15(7)oftheAct,theseprocedures arepubliclyavailable ontheDepartment'swebsite.

3. Breachdecisionmakerandsanctiondelegate

3.1. AssoonaspracticableafterasuspectedbreachoftheCodehasbeenidentifiedandthe Secretaryof theDepartment('theSecretary')oroneof thefollowingDepartmental employees:

theChiefOperatingOfficer;or

theGroupManager,CorporateSupport;or theBranchManager,PeopleBranch;or

theSectionManager,WorkplaceRelationsandConduct,

hasdecidedtodealwiththesuspectedbreachundertheseprocedures, theSecretary orthatemployeewillappointadecisionmaker('thebreachdecisionmaker')tomakea determinationundertheseprocedures.

Note: TheAustralianPublicServiceCommissioner'sDirections 2013providethatwherethe conductofanAPSemployeeraisesconcernsthatrelatebothtoeffectiveperformanceand possiblebreachesoftheCode,theAgency Headmust,beforemakingadecisionto commenceformalmisconductaction,haveregardtoanyrelevantstandardsandguidance issuedbytheAustralianPublicServiceCommissioner.

3.2. NothingpreventstheSecretaryortheaboveemployeesfromappointingthemselvesas thebreachdecisionmaker.

3.3. Theroleofthebreachdecisionmakeristodetermineinwritingwhetherabreachofthe

Codehasoccurred.

3.4. The breach decision maker may seek theassistance ofaninvestigator withmatters includinginvestigatingtheallegedbreach,gatheringevidenceandmakinga reportof recommendedfactualfindingstothebreachdecisionmaker.

3.5. The person who is to decide what, if any, sanction is to be imposed on an APS employeewhoisfoundtohavebreachedtheCodemustholdadelegationofthepower undertheActtoimposesanctions('thesanctiondelegate').

3.6.Theseproceduresdonot preventthebreachdecisionmakerfrombeingthesanction delegateinthesamematter.

Note: Anydelegationofpowersunder theActthatisproposedtobemadetoapersonwhoisnot anAPSemployeemustbeapprovedinwritinginadvancebytheAustralianPublic Service Commissioner.Thisisrequiredbysubsection 78(8)oftheAct.Thiswouldinclude delegationofthepowerundersubsection15(1) toimposeasanction.

Note: Appointmentasabreachdecisionmakerundertheseproceduresdoesnotempowerthe breachdecisionmakertomakea decisionregardingsanction.OnlytheSecretaryora personwhohasbeendelegatedthe powerundersection15oftheActandrelatedpowers, suchas undersection29oftheAct,maymakeasanctiondecision.

4. Personorpersons makingbreachdeterminationandimposing anysanction tobeindependentandunbiased

4.1. Thebreachdecisionmakerandthesanctiondelegatemustbe,andmustappeartobe, independentandunbiased.

4.2. The breach decision maker and the sanction delegate must advise the Section Manager,Workplace RelationsandConduct,PeopleBranchinwritingiftheyconsider that they may not be independent and unbiased or if they consider that they may reasonablybeperceivednottobeindependent andunbiased,forexampleiftheyarea witnessinthematter.

5. Thedeterminationprocess

5.1. Theprocessfordeterminingwhetherapersonwhois,orwas,anAPSemployeeinthe DepartmenthasbreachedtheCodemustbecarriedoutwithaslittleformality,andwith asmuchexpedition,asaproperconsiderationofthematterallows.

5.2. Theprocessmustbeconsistentwiththeprinciplesofproceduralfairness.

Note: Proceduralfairnessgenerallyrequiresthat:

•thepersonsuspectedofbreachingtheCodeisinformedofthecaseagainstthem(i.e.any materialthatisbeforethedecisionmakerthatisadversetothepersonortheirinterestsand thatiscredible,relevantandsignificant)

•thepersonisprovidedwithareasonableopportunitytorespondandputtheircase,in accordance withtheseprocedures, beforeanyfinaldecisionismadeonbreachorsanction

•thedecisionmakeractswithoutbiasoranappearanceofbias

•thereislogicallyprobativeevidencetosupportthemaking,onthebalanceofprobabilities, of adversefindings.

5.3. AdeterminationmaynotbemadeinrelationtoasuspectedbreachoftheCodebya personunlessreasonablestepshavebeentakento:

a)informthepersonof:

i. the details of the suspected breach of the Code (including any subsequent variationofthosedetails);and

ii. wheretheperson isanAPSemployee, thesanctions thatmaybeimposed on themundersubsection15(1)oftheAct;

and

b) givethepersonareasonable opportunitytomakeawrittenstatement,orprovide furtherevidenceinrelationtothesuspectedbreach,within7calendardaysorany longerperiodthatisallowed.

Note: Thisclause isdesigned toensure thatbythetime the breach decision maker comes to make a determination, reasonable steps have been taken for the person suspected of breach tobeinformed ofthecase against them.itwillgenerally alsobegoodpractice to givethe personnoticeatanearlystageintheprocessofasummaryofthedetailsofthe suspectedbreachthatareavailableatthattimeandnoticeoftheelementsoftheCodethat aresuspectedtohavebeenbreached.

Note: Thebreach decision makermaydecidetogivetheperson theopportunity tomakebotha writtenandanoralstatement.

5.4. Apersonwhodoesnotmakeastatementinrelationtothesuspectedbreachisnot,for thatreasonalone,tobetakentohaveadmittedtocommittingthesuspectedbreach.

5.5. Forthepurposeofdeterminingwhetherapersonwhois,orwas,anAPSemployeein theDepartmenthasbreachedtheCode,aformalhearingisnotrequired.

5.6. Thebreachdecisionmaker(orthepersonassistingthebreachdecisionmaker,ifany) wheretheyconsiderinallthecircumstancesthattherequestisreasonable,mustagree toarequest madebythepersonwhoissuspected ofbreaching theCodetohave a supportpersonpresentinameetingorinterviewtheyconduct.

6. Sanctions

6.1. Theprocessfordecidingonsanctionmustbeconsistentwiththeprinciplesof proceduralfairness.

6.2. IfadeterminationismadethatanAPSemployeeintheDepartmenthasbreachedthe Code,asanctionmaynotbeimposedontheemployeeunlessreasonablestepshave beentakento:

a)informtheemployee of:

i. thedeterminationthathasbeenmade;

ii. thesanctionorsanctions thatareunderconsideration;and

iii. the factorsthat are under considerationin determiningany sanctionto be imposed;and

b)givetheemployeeareasonableopportunitytomake a writtenstatement inrelation tothesanctionorsanctionsunderconsiderationwithin7calendardays,orany longerperiodthatisallowedbythesanctiondelegate.

Note: Thesanctiondelegatemaydecidetogivetheemployeetheopportunitytomakebotha writtenandanoralstatement.

Note: AsanctioncannotbeimposedonapersonwhoisaformerAPSemployee.

7. Recordofdeterminationandsanction

7.1. Ifadeterminationinrelation toasuspectedbreachoftheCodebyapersonwhois,or was,anAPSemployeeintheDepartment ismade,awrittenrecordmustbemadeof:

a) thesuspected breach;and b) thedetermination;and

c)wherethepersonisanAPSemployee--anysanctionsimposedasaresultofa determination thattheemployeehasbreachedtheCode;and

d)ifastatementofreasonswasgiventothepersonregardingthedeterminationin relationtosuspectedbreachoftheCode,or,inthecaseofanemployee,regarding thesanctiondecision--thatstatementofreasonsorthosestatementsofreasons.

Note: TheArchivesAct1983andthePrivacyAct1988applytodepartmentalrecords.

8. Procedurewhenanongoingemployeeistomovetoanotheragency

8.1. Thisclauseappliesif:

a)apersonwhoisanongoingAPSemployeeintheDepartmentissuspectedof havingbreachedtheCode,and

b)theemployeehasbeeninformedofthemattersmentionedin5.3.(a);and c).thematterhasnotyetbeenresolved,and

d)adecisionhasbeenmadethat,apartfromthisclause, theemployeewouldmove toanotheragencyinaccordancewithsection 26oftheAct(includingon promotion).

8.2. Unless the Secretary and the new Agency Head agree otherwise, the movement

(includingonpromotion)doesnottakeeffectuntilthematterisresolved.

8.3. Forthepurposeofthisclausethematteristakentoberesolvedwhen:

a)adeterminationinrelationtosuspectedbreachoftheCodeismadeinaccordance withtheseprocedures;or

b)theSecretarydecidesthatadeterminationisnotnecessary.

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