PUBLIC SECTOR COMMISSION

INTEGRITY AND CONDUCT SURVEY 2017

PRINCIPAL OFFICER CERTIFICATION

To the best of my knowledge,this survey accurately reflects our activities between 1 July 2016 and 30June2017(unless otherwise stated).

I recognise that our responses may be audited by theCommission.We havekept copies of any evidence used to complete the survey.

Name of organisation:......

Name of principal officer:......

Principal officer signature:......

Date:......

Part A – Guiding behaviour

A1.When did you last complete a formal review of your code of conduct?

1In 2016/17

2In 2015/16

3More than two years ago

4Currently under review (not completed)

5Not applicable – no code of conduct (skip to A3)

A2.Whenmustyour employeesreadand signtheir commitment to your code of conduct?(select all that apply)

1 Pre-employment/induction

2Promotion/transfer/acting/new contract

3Performance discussions with managers

4After breaches of ethical codes

5New/updated code of conduct

6Regularly (e.g. annually, bi-monthly, quarterly)

7Ad hoc/infrequently

8Never

A3.Do you havea distinct set of corporate values (separate toany code of conduct)?

1Yes

2No(skip to A5)

3Currently being developed (skip to A5)

4Not applicable – contained within code of conduct (skip to A5)

A4.What are your corporate values(ideally in one-word format)?______(limit characters)______

A5.Approximately what percentage of your employees have participated in ethics and integrity training
in the last five years? (please put ‘0’ if none)

…………………………………… Information not available

A6.Which of the following employment checks do you use for positions of trust?
(for further information, please refer to

(select all that apply)

1Integrity and conduct checks through your own information management system
(e.g.ifyou have previously terminatedapplicants for misconduct)

2Integrity and conduct checks through applicant referees/previous managers
3Police clearances/conviction history/working with children check

4Drug tests

5Qualifications/professional membership confirmation

6Financial services check (e.g. banned and disqualified persons)

7100-point identification checks

8Not applicable

Part B – Reporting behaviour

B1.How do you advisecontractors, clients and suppliers about how to reportunethical behaviour?

(select all that apply)

1Induction

2Feedback surveys/interviews

3Posters/noticeboards in public areas

4 External facing website (internet)

5Contracts/tenders/service agreements

6Ad hoc/word of mouth

7Other (please specify)______

B2. Are most reports of unethical behaviour by your staff investigated by your own employees?

1 Yes– current employees

2No – more by external parties (including previous employees)

3Not applicable – you have not received any allegationsrecently (skip to B5)

B3.In investigating themost recent report of suspected misconduct, at what stagedid you firstnotify the Public Sector Commission or Corruption and Crime Commission?

1 Prior to investigation and as soon as thereport was made

2Prior to investigation and during/after a preliminary assessment of the report

3Prior to decision and during/after investigation

4 After decision and investigation

5No notification was made

6Other (please specify)______

7Not applicable – you have not investigated any misconduct reports recently

B4.How doyou ensure employees who report unethical behaviour are treated appropriately afterwards?

(select all that apply)

1 Advise themof counselling/assistance services

2Survey/interview themseveral months after the process has ended

3Track any changes in their position/classification/contract

4Track any changes in their use of leave entitlements

5Other (please specify)______

6Not applicable – there isno follow up on reporting employees

Grievances are a way for employees to raise issues about co-workers, management or organisational processes while disciplinary procedures are used by management to take action against an employee. Please consider this in answering the following two questions

B5.Did you complete any grievance cases about staff behaviour through a formal process during the year?

1 Yes

2No (skip to Part C)

B6.For all completed grievance cases about staff behaviour, please complete the following table.

Type of grievance / Number* of completed cases
  1. Information not available
/ ………..
  1. Interpersonal conflict
/ ………..
  1. Bullying
/ ………..
  1. Discrimination
/ ………..
  1. Inappropriate behaviour in the workplace
/ ………..
  1. Others (please specify)……………..
/ ………..

* A completed case can be counted against more than one type of grievance.

Part C – Public interest disclosures (PID)

C1.How often do you actively remind staff about reporting public interest information? (e.g. staff emails, information sessions, newsletters, case studies)

1Monthly/quarterly

2Biannually

3Annually

4Ad hoc/infrequently

5Never

C2. Do you havethe following requirements in place?

(select all that apply)

1 At least one PID officer assignedto receive disclosures

2 Published procedures on how you manage any public interest disclosures

3Neither

C3.What arethetwomainways that you select your PID officers?

(select TWO only)

1 Self-nomination

2Nomination by managers

3The chief executive or delegate selects from staff working in high risk line areas(e.g. access to public facilities, equipment or supplies)

4The chief executive or delegate selects from staff with particular knowledge, skills andqualifications(e.g. investigator or auditor training)

5The chief executive or delegate selects from staff working in positions of trust (e.g. chief finance officers, legal counsel)

6The chief executive or delegate selects from staff reporting directly to the chief executive and/or governing body

7Random selection from all employees

8Other (please specify)______

9Not applicable – no PID officer has been selected

C4.a. How many disclosures were received in 2016/17?(If none, put 0)

/

b. How many were assessed as appropriateunder the PID Act?

/

c. For those NOT appropriate, please tell us why that decision was made?

____

/

____

/

____

NOTE:For all appropriate disclosures under the PID Act, please downloadthis form:

Complete one for each disclosure and send to by 16 August2017.

Information entered into this form is password protected.

C5.In 2016/17, did you receive any allegations of non-compliance with:

PID Act

PID officers’ code of conduct and integrity?

1 Yes to one or both (please specify)______

2No to both

C6.The Commission has the following record of your PID officers. Please advise changes only to .

______

Part D – Discipline breaches

D1.Did you complete any discipline processes in 2016/17 relating to possible breaches of your code of conduct or other staff behaviour policy?

1 Yes. How many?______

2No(skip to end of the survey)

D2.What was the average length of time taken to complete discipline processes?

1Information not available

2 Within 3 months

3Between 3 and 6 months

4Between 6 and 12 months

5More than 12 months

D3.Did you find any breaches?

(select all that apply)

1Yes. How many?______

2No

3Information not available

D4. Across all completed discipline processes, what types of unethical behaviourwere considered?

(count processes in each relevant category – one discipline process may have more than one type of unethical behaviour considered)

1Information not available

Type of behaviour /
  1. Numberof processes
/ ii. Number of processes with
breach found
  1. Offensive or inappropriate personal behaviour (e.g. threatening or abusive language/conduct)
/ ____ / ____
  1. Repeated unreasonable or inappropriate behaviour directed towards a worker, or group of workers, that creates a risk to health and safety (e.g. bullying)
/ ____ / ____
  1. Failure to manage conflict of interest
    (public role vs personal interests)
/ ____ / ____
  1. Inappropriate acceptance/provision of gift/benefit
/ ____ / ____
  1. Corrupt behaviour (e.g. misusing position for benefit for self/detriment to others)
/ ____ / ____
  1. Misuse of computer/internet/email(e.g. illegal content)
/ ____ / ____
  1. Discrimination, harassment. Sexual assault or other discriminatory/indecent behaviour
/ ____ / ____
  1. Illicit drug use/alcohol intoxication
/ ____ / ____
  1. Inappropriate physical behaviour (e.g. assault)
/ ____ / ____
  1. Inappropriate access/use/disclosure of information
/ ____ / ____
  1. Workplace bribes/theft (e.g. cash/workplace equipment)
/ ____ / ____
  1. Misuse of public resources(e.g. vehicles, credit card)
/ ____ / ____
  1. Fraudulent behaviour/falsification of information/records
/ ____ / ____
  1. Neglect of duty (e.g. careless or negligent behaviour in performance of duties)
/ ____ / ____
  1. Criminal behaviour outside work
/ ____ / ____
  1. Unauthorised secondary employment outside work
/ ____ / ____
  1. Disobeying or disregarding a direction or lawful order
/ ____ / ____
  1. Failing to act with integrity (e.g. intentionally failing to perform or acting in a dishonest way)
/ ____ / ____
  1. Others (please specify) ______
/ ____ / ____

D5.What were the outcomes for any breaches found?
(count outcomes in each relevant category – each breach may have more than one outcome)

1Information not available

Type of outcome / Number
  1. No sanction
(e.g. due to resignation/abandonment of employment) / ____
  1. Training, counselling or improvement action
(e.g.reprimands, performance management, formal warnings/notices) / ____
  1. Termination
(e.g.no renewal of contract) / ____
  1. Other
(e.g. transfer, reduction in classification, change of duties, reduction in salary/fine) / ____

Comment box – please provide any additional comments you would like to make about this survey.

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Thank you for completing this survey

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