Policy Directive -...

Policy Directive

Ministry of Health, NSW73 Miller Street North Sydney NSW 2060

Locked Mail Bag 961 North Sydney NSW 2059Telephone (02) 9391 9000 Fax (02) 9391 9101

http://www.health.nsw.gov.au/policies/

spacespace

Public Interest Disclosuresspace

Document Number PD2011_061

Publication date 30-Sep-2011

Functional Sub group Corporate Administration - GovernancePersonnel/Workforce - Conduct and ethics

Summary Provides procedures for receiving, assessing and managing publicinterest disclosures in compliance with 2011 amendments to ProtectedDisclosures legislation, now known as the Public Interest Disclosures Act1994. The policy is intended to ensure that reports of wrongdoing relatingto corruption, serious and substantial waste, maladministration andgovernment information contravention are treated appropriately and thatstaff who make reports will be protected from reprisal.

Replaces Doc. No. Protected Disclosures Procedures in Health Services (Policy andGuidelines for the Development of) [PD2005_135]Protected Disclosures Policy - NSW Department of Health [PD2005_263]

Author Branch Corporate Governance Unit

Branch contact Jane Smart 9391 9582

Applies to Local Health Districts, Speciality Network Governed Statutory HealthCorporations, Board Governed Statutory Health Corporations, ChiefExecutive Governed Statutory Health Corporations, Affiliated HealthOrganisations, Public Health System Support Division, Community HealthCentres, Dental Schools and Clinics, NSW Ambulance Service, Ministryof Health, Public Health Units, Public Hospitals

Audience All staff

Distributed to Public Health System, Health Associations Unions, NSW AmbulanceService, Ministry of Health

Review date 30-Sep-2016

Policy Manual Accounting - DoH

File No. 11/4273

Status Active

Director-GeneralspaceThis Policy Directive may be varied, withdrawn or replaced at any time. Compliance with this directive is mandatoryfor NSW Health and is a condition of subsidy for public health organisations.

POLICY STATEMENT

PD2011_061 Issue date: September 2011 Page 1 of 2

PUBLIC INTEREST DISCLOSURES

PURPOSE The purpose of this policy directive is to provide procedures for receiving, assessing and dealing with public interest disclosures in compliance with the Public Interest Disclosures Act 1994 (NSW). In accordance with the public interest and the core values of NSW Health – Collaboration, Openness, Respect and Empowerment – all NSW Health staff who become aware of wrongdoing are encouraged to report it. This policy directive is intended to give NSW Health staff confidence that, if they report any instances of wrongdoing involving corrupt conduct, maladministration, serious and substantial waste or failure to deal appropriately with Government information in accordance with this policy, the report will be treated appropriately and staff will be protected from reprisals.

MANDATORY REQUIREMENTS The Public Interest Disclosures Act 1994 (NSW) requires public authorities to have a policy and procedure for receiving, assessing and dealing with public interest disclosures. NSW Health is committed to being open and accountable by encouraging staff to raise their concerns about corrupt conduct, maladministration and other serious wrongdoing and by providing protection for those staff who speak out about wrongdoing. NSW Health aspires to an ethical organisational environment, where all staff are confident that a disclosure of wrongdoing will be managed effectively. NSW Health is committed to effectively:

• Identifying wrongdoing

• Protecting individuals who report wrongdoing from any adverse actions motivated from their reports

• Holding those responsible for wrongdoing accountable for their actions

• Addressing systemic issues which make the organisation vulnerable to wrongdoing

• Ensuring that allegations of wrongdoing are dealt with fairly and within a reasonable timeframe

NSW Health will support staff to report instances of wrongdoing relating to:

• Corrupt conduct

• Maladministration

• Serious and substantial waste

• Government information contravention either internally or to an appropriate external agency for investigation.

POLICY STATEMENT


When a report of wrongdoing is made within NSW Health, we will

• treat the disclosure confidentially where possible

• appropriately assess the disclosure and investigate if necessary

• conduct investigations in accordance with the principles of procedural fairness

• develop plans to minimise the risks of reprisal to the person making the report

• take appropriate action against anyone who threatens or takes reprisal against a person who made a disclosure or a person believed to have made a disclosure

IMPLEMENTATION Principal Officers are required to:

• Ensure that the contents of this policy directive are effectively communicated to staff within their agency and that staff are aware of the protections available under the Public Interest Disclosures Act 1994 to a person who makes a public interest disclosure.

• Ensure that the agency complies with the obligations under the Act and this policy.

• Designate a Disclosures Co-ordinator (who may be the principal officer) as being responsible for receiving public interest disclosures on behalf of the authority and who will be responsible for the functions outlined within this policy.

• Comply with their roles and responsibilities as outlined in this policy. All staff are required to:

• Comply with this policy in reporting wrongdoing, supporting a person who has reported wrongdoing and not taking any detrimental action against a person who has made a public interest disclosure.

REVISION HISTORY Version Approved by Amendment notes September 2011 (PD2011_061)

Deputy Director-General Health System Support

Policy update to reflect changes in legislation. Replaces PD2005_134 and PD2005_263

October 2002 (PD2005_263)

Director-General Protected Disclosures policy for the Department of Health. Originally issued as Circular 2002/95

November 1998 (PD2005_134)

Director-General Protected Disclosures policy for health services. Originally issued as Circular 98/101

ATTACHMENTS 1. Public Interest Disclosures: Procedures

Public Interest Disclosures

PROCEDURES

Issue date: September 2011 PD2011_061


PROCEDURES

PD2011_061 Issue date: September 2011 Contents page

CONTENTS 1 BACKGROUND .................................................................................................................... 1

1.1 About this document ...................................................................................................... 1 1.2 Key definitions ............................................................................................................... 1 1.3 Legal and legislative framework .................................................................................... 2 1.4 Related Policies ............................................................................................................ 3

2 Roles and responsibilities .................................................................................................. 3 2.1 Ministry of Health .......................................................................................................... 3 2.2 Principal Officers ........................................................................................................... 3 2.3 Disclosures Co-ordinator ............................................................................................... 4 2.4 Disclosures Officers ...................................................................................................... 5 2.5 Staff involved in investigating a public interest disclosure .............................................. 5 2.6 Managers and Supervisors ............................................................................................ 6 2.7 All Staff .......................................................................................................................... 6

3 What is a Public Interest Disclosure .................................................................................. 6

3.1 When will a disclosure be protected under the Act? ...................................................... 6

4 Making a public interest disclosure ................................................................................... 7 4.1 Verbal public interest disclosures .................................................................................. 7 4.2 Who can receive a public interest disclosure? ............................................................... 7

5 Management of public interest disclosures within NSW Health ...................................... 8

5.1 The Principal Officer ...................................................................................................... 8 5.2 Disclosures Co-ordinator ............................................................................................... 8 5.3 Managers and Supervisors to immediately refer all disclosures..................................... 9 5.4 Confidentiality ................................................................................................................ 9 5.5 Information provided to staff who have made a disclosure .......................................... 10 5.6 Assessment process ................................................................................................... 10

6 Investigation process ....................................................................................................... 11

6.1 Terms of Reference ..................................................................................................... 11 6.2 Information obtained during an investigation ............................................................... 11 6.3 Procedural Fairness .................................................................................................... 11 6.4 Conclusion of Investigation .......................................................................................... 12

7 Consequences of Reprisals ............................................................................................. 12

7.1 What is a reprisal?....................................................................................................... 13 7.2 Responding to - and reducing the risk of - reprisals ..................................................... 13

8 Protection against legal action ........................................................................................ 14

9 Support for staff reporting wrongdoing .......................................................................... 15

10 False or misleading disclosures ...................................................................................... 15

11 Rights of Staff Members subject to a public interest disclosure ................................... 15

12 Reporting Requirements .................................................................................................. 15

13 More information ............................................................................................................... 16

14 Appendices ........................................................................................................................ 17


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1 BACKGROUND

1.1 About this document

NSW Health is committed to encouraging any Staff Member who considers that he or she has witnessed wrongdoing to come forward and report the wrongdoing.

These procedures are designed to assist NSW Health to ensure that the workplace is an environment where

• Employees are encouraged to disclose wrongdoing without fear of reprisal

• Disclosures of wrongdoing are assessed and dealt with in a fair and efficient manner The Ombudsman’s guidelines and model internal reporting policy as required by the Public Interest Disclosures Act 1994 (NSW) have been considered in formulating these procedures.

1.2 Key definitions

For the purposes of this policy, the following definitions apply: Agency - public health organisations, the Ambulance Service of NSW, the Ministry of Health and all other agencies or organisations under the control and direction of the Minister for Health or the Director-General for Health. Corrupt Conduct – ‘Corrupt Conduct’ is broadly defined in Sections 8 and 9 of the ICAC Act 1988. The key notion is the misuse of public office. Commonly it involves the dishonest or partial use of power or position resulting in one person being advantaged over another. Corruption can take many forms including (but not limited to):

• Official misconduct • Bribery and blackmail • Unauthorised use of confidential information • Fraud, and • Theft

Government Information Contravention – a failure to properly fulfil functions under the Government Information (Public Access) Act 2009 (the GIPA Act). For example, this could include:

• Destroying, concealing or altering records to prevent them from being released • Knowingly making decisions contrary to the GIPA Act • Directing another person to make a decision contrary to the GIPA Act

Fraud - dishonesty, generally in the context of a false representation made by means of a statement or conduct, with the intention of gaining a material advantage. Fraud is a form of corrupt conduct and should be reported to ICAC. Investigating Authority – is

• the Auditor-General • the Independent Commission Against Corruption (ICAC) • the Ombudsman


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• the Police Integrity Commission (PIC) • the PIC Inspector • the Division of Local Government, Department of Premier and Cabinet • the ICAC Inspector, and • the Information Commissioner.

Maladministration – conduct which involves action or inaction of a serious nature that is: • Contrary to law; or • Unreasonable, unjust, oppressive or improperly discriminatory; or • Based wholly or partly on improper motives. NSW Health – refers collectively to public health organisations, the Ambulance Service of NSW, the Ministry of Health and all other agencies and organisations under the control and direction of the Minister for Health or the Director-General of Health. Principal Officer – the Chief Executive of an Agency, or the Director-General, NSW Health (in relation to the Ministry). Public Interest Disclosure - a disclosure of wrongdoing which meets the requirements for protection under Part 2 of the Public interest Disclosures Act 1994. This type of disclosure was formerly referred to as a protected disclosure. Public Health Organisation – a public health organisation for the purpose of this policy refers to a local health district, or a statutory health corporation, or an affiliated health organisation in respect of its recognised establishments and recognised services as listed in the Health Services Act 1997. Public Official - an individual who is an employee of, or otherwise in the service of a public authority and includes all Staff Members of NSW Health, persons engaged under contracts, such as visiting medical officers. Serious and Substantial Waste - any uneconomical, inefficient or ineffective use of resources, authorised or unauthorised, which results in significant loss/wastage of public funds/resources. Staff Member - any person working in a casual, temporary

or permanent capacity in NSW Health, including consultants, contractors, board members and any person performing a public official function whose conduct could be investigated by an investigating authority. Wrongdoing – any wrongful conduct, including but not limited to serious wrongdoing relating to corrupt conduct, maladministration, serious and substantial waste or failure to deal appropriately with Government Information. Not all wrongdoing will be capable of being considered a public interest disclosure and attract the protections afforded under the legislation, for example bullying and harassment or practices which may affect the health and safety of staff or patients. 1.3 Legal and legislative framework The Public Interest Disclosures Act 1994 (NSW) (“the Act”) represents the NSW Government’s commitment to maintaining the integrity of the public sector. The Act provides

http://www.legislation.nsw.gov.au/maintop/view/inforce/act+92+1994+cd+0+N�


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legislative protection from reprisals for people who have made a disclosure of serious wrongdoing and specifies penalties for making false disclosures or taking reprisals against someone who has made a disclosure.

Section 6D of the Act requires public authorities to have a policy governing the procedures for receiving, assessing and dealing with public interest disclosures.

The Independent Commission Against Corruption Act 1988 governs the reporting of corruption to the ICAC. Principal Officers are required to report any public interest disclosure relating to corruption to ICAC.

The Occupational Health and Safety Act 2000 relates to workplace safety and welfare and imposes a duty on employers to ensure the health, safety and welfare of their staff. In certain circumstances, failure to provide protection for a Staff Member who makes a disclosure could constitute a breach of obligations under the Act. 1.4 Related Policies The following policies may be of assistance when considering this document:

• Code of Conduct • Reporting Corrupt Conduct • Managing possible misconduct

2 Roles and responsibilities

2.1 Ministry of Health The Ministry of Health is responsible for setting policy direction for the development of public interest disclosures procedures within NSW Health.

2.2 Principal Officers Principal Officers are responsible and accountable for: • establishing and maintaining a working environment that encourages staff to report

wrongdoing • establishing an effective internal reporting system to appropriately deal with reports of

wrongdoing, support staff who make public interest disclosures and prevent reprisal following a public interest disclosure

• leading by example to support an organisational culture that values and encourages the making of disclosures, is committed to minimising corrupt conduct, maladministration, serious and substantial waste and GIPA contravention

• establishing a public interest disclosures procedure, including reporting channels, and overseeing regular evaluations of the effectiveness of management of disclosures within the agency

• reporting on public interest disclosures in accordance with the Act/Regulations and the requirements of the Ombudsman (including annual reporting and provision of statistics to the Ombudsman)

• providing staff with access to this policy, information about the Act, internal and external reporting channels and ensuring that staff are aware about the protections available to people making public interest disclosures

• initiating appropriate assessments and/or investigations and risk



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management strategies following a disclosure and keeping informed about the management of disclosures,

• taking appropriate disciplinary, remedial or other managerial action after an investigation

• implementing organisational change identified as necessary as a result of a disclosure • complying with a request for information from the Ombudsman as required by the Act • nominating a Disclosures Co-ordinator to assist with the management of disclosures

and advising the Ministry of Health of the nominated Disclosures Co-ordinator • ensuring that contact details for the Disclosures Co-ordinator and Disclosures Officers

are published on the agency’s intranet • reporting public interest disclosures to third parties where appropriate (for example

ICAC, the Director-General) • arranging for allegations concerning reprisal to be promptly investigated by an

appropriately independent and senior investigator • reporting any evidence of reprisal to ICAC or the Commissioner of Police

2.3 Disclosures Co-ordinator Under the Act the Principal Officer of each agency is required to nominate a Disclosures Co-ordinator (which may be the Principal Officer) who will be responsible for:

• Managing public interest disclosures made by Staff Members • Maintaining confidential records of disclosures • Co-ordinating annual reporting as required by the Act • Co-ordinating the reporting of disclosures statistics to the Ombudsman as required by

the Act/Regulations • Liaising with the Ombudsman’s Public Interest Disclosures unit in relation to training,

education and monitoring • Liaising with external investigating authorities in relation to public interest disclosures

as required • Keeping identities of reporters and subjects of disclosures confidential where possible • Developing and implementing plans to minimise reprisal risks associated with

disclosures at an early stage including conducting risk assessments throughout the management process (as required)

• Reporting regularly in writing to the Principal Officer on progress of assessment, investigation and management of public interest disclosures

• Supervising and providing guidance and direction to assist the Disclosures Officers in fulfilling their functions

• Promptly assessing disclosures and monitoring efficiency so that public interest disclosures are addressed within appropriate timeframes

• ensuring that a person who has made a disclosure is provided with a copy of this policy and a written acknowledgement of their disclosure as soon as possible, but within 45 days

• ensuring that a person who has made a disclosure is provided with appropriate information about the outcome of their disclosure within 6 months

• Monitoring and reporting to the Principal Officer on the risk of reprisal and managing the investigation of any allegation of reprisal


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The Principal Officer may delegate the functions of the Disclosures Co-ordinator to the head of a nominated unit within the agency, for example – • Internal Audit • Corporate Services • Human Resources • Professional Standards/Professional Practice Units Staff in the nominated unit will then be appointed as Disclosures Officers and the unit can function to co-ordinate the acceptance, management and investigation of disclosures.

2.4 Disclosures Officers The Principal Officer may nominate Disclosures Officers according to organisational requirements.

Disclosures Officers are responsible and accountable for:

• Providing staff with information about making public interest disclosures • Accepting public interest disclosures from Staff Members within their agency • Conducting a risk assessment when accepting a disclosure • Advising the Principal Officer and/or Disclosures Co-ordinator as soon as possible if

they receive a public interest disclosure (but otherwise keeping the disclosure confidential)

• Seeking advice from the Principal Officer and/or Disclosures Co-ordinator where they receive a complaint but are unsure whether it is a public interest disclosure

• Assisting the Disclosures Co-ordinator in formulating and implementing plans to protect a Staff Member making a disclosure from reprisal or any form of detrimental action as a result of the disclosure

• Assisting the Disclosures Co-ordinator with the assessment and investigation of public interest disclosures as required

• Providing support to Staff Members who have made or are the subject of a public interest disclosure

• contributing to an organisational culture that gives a clear message that making public interest disclosures is encouraged and valued

• assisting with the implementation of staff awareness and training about public interest disclosures

2.5 Staff involved in investigating a public interest disclosure Staff involved in conducting investigations are accountable and responsible for:

• maintaining confidentiality, in accordance with Section 22 of the Act • conducting all investigations in accordance with the requirements of procedural

fairness • maintaining an awareness of, and minimising, reprisal risks and alerting the

Disclosures Co-ordinator where they arise • finalising investigations of public interest disclosures within 6 months from the date of

assessment


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2.6 Managers and Supervisors Managers and supervisors are responsible for:

• maintaining staff awareness of this policy and the protections available to people making public interest disclosures

• providing information about public interest disclosures to staff under their supervision

• recognising when a disclosure made to them may be a public interest disclosure and immediately escalating the matter to a Disclosures Officer, Disclosures Co-ordinator or the Principal Officer.

• When they become aware of a public interest disclosure, being alert for any suspected or threatened reprisal and assisting in prevention of reprisal under direction of the Disclosures Co-ordinator or a Disclosures Officer.

2.7 All Staff All staff are responsible for:

• reporting wrongdoing • making disclosures in good faith and in the public interest • keeping disclosures and the identities of those making or subject to disclosures

confidential in the event that they become aware of a disclosure • providing relevant information to assist in the assessment or investigation of a

disclosure • where they become aware of a public interest disclosure, supporting colleagues who

have reported wrongdoing and reporting any suspected or threatened reprisal in relation to a report of wrongdoing

3 What is a Public Interest Disclosure

A public interest disclosure is a report made by a public official that relates to wrongdoing which is a matter of public interest – namely corrupt conduct, maladministration, serious and substantial waste of public money or government information contravention.

Disclosures about corrupt conduct, maladministration, serious and substantial waste of public money and government information contravention will be dealt with as public interest disclosures and according to this policy.

For more information about what should be reported and how to make a report, please consult Appendix 1.2 to this policy, Guide to Making a Public Interest Disclosure or the NSW Ombudsman’s guidelines.

3.1 When will a disclosure be protected under the Act? For a report to be considered a public interest disclosure, the person making the disclosure must

• Be a Staff Member at the time the disclosure is made

• Make the report voluntarily

• Honestly believe on reasonable grounds that the information shows, or tends to show, wrongdoing.

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This means that a public interest disclosure cannot be based on a mere allegation that is unsupported by any facts, circumstances or evidence. It is not necessary for the person reporting the wrongdoing to prove that wrongdoing occurred, but there must be some information to support their allegation.

A belief is considered to be an “honest belief” unless there is evidence to the contrary.

Information which would show, or tend to show wrongdoing may include:

• Direct observation of wrongdoing

• Corroborative observation by others

• Evidence such as unbalanced accounts or contradictory records

4 Making a public interest disclosure

The preferred format for a public interest disclosure is in writing, however a disclosure made verbally (either face-to-face or over the telephone) will also be protected if it meets the legislative requirements for a public interest disclosure.

The advantages of a disclosure made in writing include:

• It provides an accurate record of the disclosure

• It avoids confusion or misrepresentation

• It facilitates the inclusion of supporting information.

More detailed information for people considering making a public interest disclosure is contained in Appendix 1.2 to this policy, Guide to Making a Public Interest Disclosure, which generally reflects the Ombudsman’s Model Internal Reporting Policy.

4.1 Verbal public interest disclosures If a report is made in person or over the telephone, the person receiving the report should take detailed notes of the conversation and refer the reporter to the Disclosures Co-ordinator or Principal Officer, who will make a comprehensive written record of the disclosure.

The person making the disclosure will be requested to sign the record, but may elect not to do so, and this should be noted on the written record. Sometimes this will not be possible, for example where a public interest disclosure is made anonymously over the phone. 4.2 Who can receive a public interest disclosure? Within NSW Health • The Director-General • The Principal Officer of an Agency • The Disclosures Co-ordinator of an Agency • A Disclosures Officer of an Agency Outside of NSW Health • the Auditor-General — for serious and substantial waste • the Independent Commission Against Corruption (ICAC) — for corrupt conduct • the Ombudsman — for maladministration


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• the Police Integrity Commission (PIC) — for police misconduct • the PIC Inspector — for disclosures about the PIC or its staff • the Division of Local Government, Department of Premier and Cabinet — for serious and

substantial waste in local Government agencies • the ICAC Inspector — for disclosures about the ICAC or its staff • the Information Commissioner — for disclosures about a government information

contravention.

In limited circumstances, a member of parliament or a journalist (for further information please see Appendix 1.2 to this policy, Guide to Making a Public Interest Disclosure, which generally reflects the Ombudsman’s Model Internal Reporting Policy).

5 Management of public interest disclosures within NSW Health

5.1 The Principal Officer The Principal Officer will, with the assistance of the Disclosures Co-ordinator: • decide whether a report is a public interest disclosure

• determine what needs to be done next, including investigation or referring the matter to an external investigating authority if appropriate

• be kept informed about the progress of assessment and investigation of disclosures

• establish systems and risk-management strategies to support and protect staff who report wrongdoing in order to prevent reprisal

• refer actual or suspected corrupt conduct to the Independent Commission Against Corruption

• if appropriate, refer actual or suspected serious criminal conduct to the NSW Police

• decide what needs to be done to correct any problem that has been identified

• refer any evidence of reprisal or detrimental action to the Commissioner of NSW Police or the Independent Commission Against Corruption

Refer to ss2.2 for details of the responsibilities of the Principal Officer. 5.2 Disclosures Co-ordinator The Disclosures Co-ordinator is nominated by the Principal Officer to manage disclosures, maintain confidential information about reports of wrongdoing and liaise with external investigating authorities about disclosures. The Disclosures Officer will be pro-active in protecting staff from reprisal and will develop a plan to minimise the risk of reprisals if appropriate. The Disclosures Co-ordinator may be assisted by Disclosures Officers in fulfilling their obligations depending on organisational requirements. The Disclosures Co-ordinators for each agency within NSW Health will be listed on agency’s Intranet and the Disclosures Co-ordinator contacts list published by the Corporate Governance Unit, NSW Ministry of Health. The Disclosures Co-ordinator will ensure that

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contact details for Disclosures Officers (if any) within each agency are published on that agency’s intranet. The Disclosures Co-ordinator will:

• liaise with the person who made the disclosure and provide them with information as required by this policy (including a written acknowledgment and copy of this policy and procedures) as soon as possible, but definitely within 45 days of the report being made

• Inform the person making the disclosure of the availability of EAPS • conduct an assessment of the report and decide whether it is a public interest

disclosure • ensure that the person who made the disclosure has an opportunity to regularly

communicate relevant information to the person managing the disclosure • manage the investigation of the disclosure (if appropriate) • maintain a confidential database of information about public interest disclosures • advise the person who made the disclosure about the outcome of the assessment

process and the finalisation of any investigation within 6 months from the date of the report

• manage the reporting of information externally • liaise with external investigating authorities if required • keep the Principal Officer informed of the progress and outcome resulting from the

public interest disclosure.

Refer to ss2.3 for details of the responsibilities of the Disclosures Co-ordinator. The person making the public interest disclosure, or a person about whom the public interest disclosure relates may wish or can be offered a support person (this could be the Union, EAP or other). The support person should not otherwise be involved in the matter.

5.3 Managers and Supervisors to immediately refer all disclosures Any supervisor who receives a report that they believe may be a public interest disclosure will:

• not commence any inquiry into the matter • refer the matter to either the Principal Officer, Disclosures Co-ordinator or a

Disclosures Officer as soon as possible • not discuss any aspect of the disclosure with anyone other than the person who made

the report, the Principal Officer, the Disclosures Co-ordinator or Disclosures Officer.

If a supervisor or manager receives a report and they are not sure whether the matter is a public interest disclosure, they should arrange to confidentially discuss the matter with the Principal Officer or the Disclosures Co-ordinator to seek advice about how to manage the report as soon as possible. 5.4 Confidentiality Under the Act, a person who has made a public interest disclosure is required to maintain confidentiality and should only discuss the matter with the Disclosures Co-ordinator, Disclosures Officer or Principal Officer.


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Agencies will not disclose information that might identify a person who has reported wrongdoing unless:

(a) The person consents in writing to the disclosure of the information, or it is generally known that the person made the disclosure because they voluntarily identified themselves, or

(b) It is essential, having regard to the principles of natural justice, that information be disclosed to a person whom the information may concern, or

(c) The Agency considers that the disclosure of identifying information is necessary to investigate the matter effectively or it is otherwise in the public interest to do so.

5.5 Information provided to staff who have made a disclosure The Disclosures Co-ordinator is responsible for ensuring that staff who report wrongdoing are provided with the following information: • A written acknowledgement that the disclosure has been received (where possible) • a copy of this policy • the name and contact details of a person dealing with the disclosure This information must be provided within forty-five (45) days from the date of the report but will be provided as soon as possible. At the end of any investigation or if a decision is made not to investigate, the Disclosures Co-ordinator will provide the following information: • advice to indicate that appropriate action has been, or is proposed to be, taken in

response to the disclosure and any problem identified. Where a disclosure has resulted in disciplinary action, the disciplinary process will remain confidential and is managed separately to the disclosure. The person who has made the disclosure will not be provided with details of the disciplinary process or the nature of any action taken but may be advised that their disclosure has resulted in appropriate action. This information will be given within six months of the disclosure being made.

5.6 Assessment process When a disclosure is received, the report will be assessed by either the Principal Officer or the Disclosures Co-ordinator to determine whether it meets the criteria for a public interest disclosure as stated in the Act and defined in s 3 of this policy.

If the report is not a public interest disclosure, but relates nonetheless to a legitimate workplace grievance or other misconduct complaint, it will be referred for appropriate action.

If further information is required in order to determine whether the report is a public interest disclosure, then appropriate further action may be taken. Confidentiality will be preserved wherever possible.

This action may include:

• Conducting interviews with people identified as having relevant information

• Obtaining relevant documents and information in order to assess whether there is sufficient evidence to substantiate the allegations


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Once the assessment process is complete, the person making the report will be advised about the outcome of the assessment process and any proposed further action (such as referral to be dealt with as a grievance or misconduct complaint; or investigation of a public interest disclosure).

6 Investigation process

Once a decision has been made to investigate a matter, the parameters of the investigation should be set by the Principal Officer or Disclosures Co-ordinator.

The Principal Officer is responsible for approving

• the decision to investigate

• the terms of reference for the investigation

• the appointment of an internal or external investigator. 6.1 Terms of Reference The terms of reference should include

• Alleged conduct (and relevant persons)

• Key issues for investigation

• Key criteria (e.g. legislative requirements, policy requirements, code of conduct provisions)

• Tasks and recommended timeframes

• Who the report should be directed to 6.2 Information obtained during an investigation Confidentiality must be maintained when dealing with a public interest disclosure. It is the responsibility of the officer conducting the investigation to ensure that information related to an investigation is filed and stored in a secure location to prevent unauthorised access. 6.3 Procedural Fairness Procedural fairness, also known as natural justice, requires decision-makers to follow a fair and reasonable process when making a decision. It is essential that the rules of procedural fairness be followed when any decision is made which will directly affect a person’s rights or interests.

Following the rules of procedural fairness limits errors or weaknesses in an investigation or decision-making process to ultimately result in a more robust decision which will be less open to appeal.

Procedural fairness requires that persons:

• make reasonable inquiries or investigations, and ensure that any decision is made on findings of fact that are based on sound reasoning and relevant evidence;

• act fairly and without bias in making decisions;

• ensure that there is no actual or perceived conflict of interest; and


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• conduct any assessment or investigation without any undue delay.

Before any final determination is made (regardless of the form it may take, eg report, memorandum or correspondence) a person who is the subject of a disclosure (or whose interests may be adversely affected by a decision) being investigated by an agency has the right to be:

• Informed of the substance of the allegations against them

• Informed of the substance of any adverse finding arising out of an investigation and proposed action

• Given a reasonable opportunity to provide a response to allegations (orally or in writing), put their case and material they consider relevant and have their response taken into account before any final determination is made.

Occasionally, where serious risks to safety or substantial public funds are at risk, there may be competing public interests to be taken into account – in these cases advice (for example from Compliance Unit, Ministry of Health) may be required to ensure that procedural fairness principles are adhered to. 6.4 Conclusion of Investigation At the conclusion of the investigation, the investigation report including findings and any recommendations must be provided to the Principal Officer and the Disclosures Co-ordinator for appropriate action.

The Principal Officer will:

• decide what, if any, action is to be taken in relation to the subject of the disclosure

• decide whether any systemic or organisational changes are necessary as a result of issues identified during the investigation.

The Disclosures Co-ordinator will:

• notify the person who made the disclosure that the investigation has been finalised, and provide them with appropriate information about the outcome.

• ensure that accurate statistics are recorded in the database

• manage the implementation of recommendations of the investigation.

7 Consequences of Reprisals

The Act provides protection for people reporting wrongdoing by imposing penalties on anyone who takes detrimental action against a person substantially in reprisal for making a public interest disclosure. The provisions extend to circumstances where a person takes such reprisal action in the mistaken belief that a person made a public interest disclosure.

The criminal penalties that can be imposed include imprisonment or fines (100 penalty unit or imprisonment for 2 years, or both). Detrimental action is also misconduct that justifies disciplinary action. A person who takes detrimental action against someone who has made a disclosure may be required to compensate that person for loss suffered.


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The Principal Officer must refer any evidence of reprisal action against staff who have made a public interest disclosure (or are believed to have done so) for investigation to the Commissioner of Police or the Independent Commission Against Corruption. 7.1 What is a reprisal? A reprisal is any detrimental action taken substantially because someone has made, or is suspected to have made, a public interest disclosure in accordance with the Act.

Detrimental action is defined in the Act to mean action causing, comprising or involving any of the following: • injury, damage or loss • intimidation or harassment • discrimination, disadvantage or adverse treatment in relation to employment • dismissal from, or prejudice in, employment • disciplinary proceedings.

7.2 Responding to - and reducing the risk of - reprisals In order to meet the obligations contained in the Act, the Principal Officer and Disclosures Co-ordinator should establish procedures to protect staff who report wrongdoing from reprisals, including:

• Conducting a risk assessment when accepting each disclosure, to o establish who else is aware of the disclosure o identify whether it will be possible to maintain confidentiality o establish the best way to communicate with the person making the disclosure

without arousing suspicion o identify any particular areas of concern, for example whether the subject of the

disclosure is already suspicious that a disclosure may have been made o identify any immediate or potential risks to other people including staff and

patients or to the agency. • Developing an appropriate strategy to minimise the risk of reprisal as appropriate to

the circumstances of the case. • Conducting investigations discreetly as possible without jeopardising an effective

investigation and using strategies which will minimise speculation about the matter, for example:

o Making more general initial inquiries, so as not to identify the person who made the disclosure

o obtaining information via a general audit of records rather than seizing specific information directly relating to the disclosure

o conducting a records based analysis rather than interviewing staff. • Keeping lines of communications open so that the Principal Officer or Disclosures Co-

ordinator will be immediately aware of any actual or apprehended reprisal.

For further information on strategies to reduce the risk of reprisals, please contact the Compliance Unit, NSW Ministry of Health for assistance.


PROCEDURES


Principal Officer

The Principal Officer may issue specific directions to help protect against reprisals some examples of this which might be available include:

• Issuing general warnings to all staff that reprisals are not tolerated • meeting with staff making a public interest disclosure to discuss their concerns and

implement strategies to minimise the risk of reprisals • issuing warnings, or taking other disciplinary action to those alleged to have taken

reprisal action against the member of staff who made (or is thought to have made) the disclosure

• relocating the member of staff who made the disclosure or the subject officer within the current workplace

• transferring the member of staff who made the disclosure or the Staff Member who is the subject of the allegation to another position for which they are qualified or considering leave options.

Care should be taken when making decisions - particularly those involving relocation, transfer or leave of absence - to ensure that the decision itself is not perceived as a form of reprisal. Managing Reprisal Allegations If the Disclosures Co-ordinator becomes aware of allegations of reprisal action against a person who has made (or is thought to have made) a disclosure, they will:

• advise the Principal Officer of the allegations

• provide assistance to the Principal Officer in assessing whether there is evidence of reprisal requiring referral to ICAC and liaise with ICAC on appropriate action

• give the results of that assessment to the Principal Officer for a decision.

Principal Officer The Principal Officer must

• report any evidence of reprisal to the Commissioner of Police or the Independent Commission Against Corruption

• if it has been established that reprisal action is occurring against someone who has made a disclosure (or is thought to have made a disclosure), take steps to stop that activity and protect the person being subjected to the reprisal action

• manage the implementation of appropriate disciplinary action that may arise out of reprisal behaviour.

8 Protection against legal action

A person making a disclosure in accordance with the Act, which meets the requirements for public interest disclosures, will not be subject to any liability and no action, claim or demand can be taken against them for making the disclosure. A person making a public interest


PROCEDURES


disclosure will not have breached any confidentiality or secrecy obligations and will have the defence of absolute privilege in defamation.

9 Support for staff reporting wrongdoing

All NSW Health staff who have reported wrongdoing, regardless of whether they have made a public interest disclosure, are able to access the Employee Assistance Program, which provides free, professional and confidential counselling services to staff.

10 False or misleading disclosures

It is a criminal offence under the Act to wilfully make a false or misleading statement when reporting wrongdoing. There are serious penalties if a person knowingly makes false or misleading disclosures, including possible criminal charges (50 penalty units or imprisonment for 12 months, or both) and disciplinary action for misconduct.

11 Rights of Staff Members subject to a public interest disclosure

NSW Health is committed to ensuring staff who are the subject of a report of wrongdoing are treated fairly and reasonably. The disclosure will be investigated as discreetly as possible within a reasonable timeframe and there will be a strong emphasis on maintaining confidentiality with respect to the subject’s identity wherever possible during and after the investigation Staff who are the subject of a disclosure will be: • treated fairly and impartially

• entitled to seek independent advice and representation

• advised that they are able to access the Employee Assistance Program

• at an appropriate stage of the investigation, informed as to the substance of the allegations and any proposed action

• given the opportunity to respond to an allegation made against them and to make submissions about any proposed action prior to any decision adverse to their interests being made

• formally advised of the result of any investigation in relation allegations against them, whether the result is favourable or unfavourable

• where appropriate, entitled to a letter of comfort where an investigation has indicated that there is no evidence to substantiate the allegations against them

12 Reporting Requirements

Public Interest disclosures data will be reported to the Ombudsman for each 6 month period ending on 30 June and 31 December as required by the Act and regulations. The report will

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PROCEDURES


provide statutory information on the agency’s compliance with its obligations under the Act, and must be provided to the Ombudsman within 30 days after the end of the 6 month period. The Act requires reporting by agencies in accordance with the requirements contained in the regulation. To enable the preparation of these reports Agencies must maintain a secure database. It is anticipated that the reports will require information in relation to how public interest disclosures are

• received • assessed • investigated • finalised, and • any other information required to be reported under the Act and regulations.

The Disclosures Co-ordinator will be responsible for the management of the database and co-ordinating provision of statistics to the Ombudsman. A copy of the statistics provided to the Ombudsman should also be provided to the Compliance Unit, Ministry of Health. It is important that these statistics are accurately maintained as they will form part of the agency’s annual report or, where appropriate, be submitted to the Ministry of Health for inclusion in the Ministry of Health’s Annual Report.

13 More information

More information around public interest disclosures is available on our intranet. Staff can also access advice and guidance from the Compliance Unit, Legal and Corporate Governance Branch, Ministry of Health on (02) 9391 9477 and the NSW Ombudsman’s website at www.ombo.nsw.gov.au.


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PROCEDURES


14 Appendices

This policy directive is supported by a number of Appendices. The Appendices are also available online at the Compliance Unit webpage.

Appendix Number Title and link

Appendix 1.1 Implementation Checklist

Appendix 1.2 Guide to Making a Public Interest Disclosure

Appendix 1.3

Template – Public Interest Disclosure Form

Appendix 1.4 Template – Public Interest Disclosure Assessment


POLICY STATEMENT


Implementation checklist

Assessed by: Date of Assessment:

IMPLEMENTATION REQUIREMENTS Not commenced

Partial compliance Full compliance

1. Staff are aware of the policy and the protections available under the Public Interest Disclosures Act 1994

Notes:

2. Disclosure Co-ordinator has been nominated and details published on intranet and provided to Ministry of Health

Notes:

3. Public Interest Disclosures training provided to all managers and supervisors

Notes:

4. Strategies to prevent corruption, maladministration, serious and substantial waste and government information contravention are included in Health Service Business Plans

Notes:

5. Establish database and procedures for collecting statistics on Public Interest Disclosure for reporting to NSW Ombudsman and annually as required by legislation

Notes:

6. Establish procedures for risk assessment and management strategies for effectively dealing with disclosures and minimising reprisal risks

Notes:

GUIDE TO MAKING A PUBLIC INTEREST DISCLOSURE


Introduction

This guide has been developed to reflect the Ombudsman’s Model Internal Reporting Policy and it is intended to provide simple information to a person considering making a public interest disclosure. The guide accompanies the NSW Health policy directive in relation to public interest disclosures. Please note that the definitions and requirements specified in the policy directive also apply in this guide. The policy provides more detailed information on how public interest disclosures are managed by NSW Health and the rights and obligations of staff in relation to public interest disclosures.

1. What is a public interest disclosure?

A public interest disclosure is a report made by a public official that relates to wrongdoing which is a matter of public interest – namely corrupt conduct, maladministration, serious and substantial waste of public money or government information contravention.

These disclosures are different from a general complaint or grievance which is usually a dispute between two parties capable of resolution between the parties through conciliation.

Complaints are generally made where a person feels aggrieved about a decision or action taken in relation to them, whereas a person making a public interest disclosure may not be personally affected by the wrongdoing they are disclosing.

People who make reports about the four categories of serious wrongdoing, which satisfy the requirements of the Public Interest Disclosures Act 1994 (the Act) - are subject to protection under the Act which is not available in relation to other complaints.

1.1 When will a disclosure be protected under the Act?

For a report to be considered a public interest disclosure, the person making the disclosure must

• Be a Staff Member at the time the disclosure is made

• Make the report voluntarily

• Honestly believe on reasonable grounds that the information shows, or tends to show, wrongdoing which concerns corrupt conduct, maladministration, serious and substantial waste or government information contravention.

1.2 When will a disclosure not be protected? A disclosure will not be considered a public interest disclosure if it:

• Does not meet the criteria outlined above

• Is a mere allegation or suspicion not based on facts

• Mainly questions the merits of government policy

• Is made with the sole or substantial motive of avoiding dismissal or other disciplinary action



2. What type of conduct can be the subject of a public interest disclosure?

a. 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 member of the public influencing or trying to influence a public official to use their position in a way that is dishonest, biased or breaches public trust.

b. 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.


• making a decision and/or taking action that is unlawful

• refusing to grant someone a licence for reasons that are not related to the merits of their application.

c. Serious and substantial waste of public money

Serious and substantial waste is the uneconomical, inefficient or ineffective use of resources that could result in the loss or wastage of public resources.


• not following a competitive tendering process for a large scale contract

• having severely inadequate processes in place for a system involving large amounts of public funds.

d. Government information contravention

A government information contravention is a failure to properly fulfil functions under the Government Information (Public Access) Act 2009 (GIPA Act).


• destroying, concealing or altering records to prevent them from being released

• knowingly making decisions that are contrary to the legislation

• directing another person to make a decision that is contrary to the legislation.

For more information about what types of conduct are considered to be public interest disclosures, see the NSW Ombudsman’s guideline on what can be reported.

http://www.ombo.nsw.gov.au/publication/PDF/guidelines/PID_guideline_B2-What_should_be_reported_6June2011.pdf�



3. How to make a public interest disclosure within NSW Health

You can make your report a) in person

b) via telephone

c) by email

d) in writing

The best way to make a public interest disclosure is in writing, however a report made verbally will also be protected if it is considered a public interest disclosure. You are encouraged to make a report in writing in order to avoid confusion or misrepresentation and so that supporting information can be included in your report.

If you make your report verbally, the person receiving the report will make a comprehensive written record of the disclosure and you will be requested to sign the record, although you can choose not to sign the record. You may request a copy of the record. Sometimes this may not be possible, such as where a report is made over the phone.

3.1 Who can I make a public interest disclosure to?

You can make your disclosure to: • The Disclosures Co-ordinator at your agency • The Chief Executive of your agency • A Disclosures Officer at your agency (their details are on your intranet) • If the disclosure relates to the Disclosures Co-ordinator or Chief Executive at your

agency, you can make your disclosure to the Disclosures Co-ordinator at the Ministry of Health

• The Director-General, NSW Health

If you are concerned about making a report, you can contact the Disclosures Co-ordinator or a Disclosures Officer and arrange to discuss your disclosure in a discreet location.

If you make your report to a manager or supervisor, they are required to refer your report to the Disclosures Co-ordinator, Chief Executive or the Director-General for appropriate management. The manager or supervisor should not conduct any inquiries or investigations into the matter themselves. 3.2 Can a report be anonymous? You are encouraged to identify yourself in your disclosure. Although anonymous reports will still be assessed and managed as public interest disclosures, the advantages of identifying yourself are that

• you can receive protection and support, • you will be able to provide further information if required to assist with the

assessment of the disclosure, and • you can receive feedback about the outcome of any investigation into the

allegations. It is important for you to understand that making an anonymous disclosure may not prevent you from being identified. Without knowing who made the report, it is very difficult for NSW Health to effectively prevent reprisal action.



3.3 What information should be included in the disclosure? To enable us to effectively deal with the disclosure, you should include the following information: • Your name and the date you are making the disclosure

• A description of the wrongdoing you are reporting

• The type of wrongdoing you are reporting (corrupt conduct, maladministration, serious and substantial waste or government information contravention) if possible

• The name and position of the people involved

• The name and position of any person who might have relevant information

• The date or time-frame in which the wrongdoing occurred

• The date of the report of wrongdoing

• Any other relevant information or supporting evidence which is or may be available

• Any other information that you consider would assist with the investigation of this matter

3.4 Confidentiality If you make a public interest disclosure, you are required by the Act to maintain confidentiality.

This means that you should only discuss your disclosure with those dealing with it.

Keeping your disclosure confidential will help to reduce the risk of any action being taken against you as a result of your report of wrongdoing and make an investigation easier.

NSW Health is committed to keeping your identity, and the fact you have made a disclosure, confidential. However there may be situations where this may not be possible or appropriate. This includes where:

(d) You consent in writing to the disclosure of the information, or it is generally known that you made the public interest disclosure because you voluntarily identified yourself, or

(e) It is essential, having regard to the principles of natural justice, that information be disclosed to a person whom the information may concern, or

(f) NSW Health considers that the disclosure of identifying information is necessary to investigate the matter effectively or it is otherwise in the public interest to do so.

4. How to make a disclosure to an External Investigating Authority

Staff are encouraged to make public interest disclosures to NSW Health so that these matters can be promptly addressed. You can also make your report to an external investigating authority and you will still be protected from reprisals by the provisions of the Act. You can do this at any stage, even after your initial report to NSW Health. 4.1 Making a report to an Investigating Authority The investigating authorities in NSW who can accept and investigate public interest disclosures are:



• the Auditor-General — for serious and substantial waste • the Independent Commission Against Corruption (ICAC) — for corrupt conduct • the Ombudsman — for maladministration • the Police Integrity Commission (PIC) — for police misconduct • the PIC Inspector — for disclosures about the PIC or its staff • the Division of Local Government, Department of Premier and Cabinet — for serious

and substantial waste in Local Government agencies • the ICAC Inspector — for disclosures about the ICAC or its staff • the Information Commissioner — for disclosures about a government information

contravention.

You should contact the relevant authority for advice about how to make a disclosure to them. Contact details for each investigating authority are provided at the end of this guideline. You should be aware that it is very likely the investigating authority will discuss the case with NSW Health. We will make every effort to assist and cooperate with the investigating authority to ensure the matter is dealt with appropriately.

4.2 Making a public interest disclosure to a Member of Parliament or a journalist In some circumstances, it is possible to make a disclosure to a Member of Parliament or a journalist. To obtain the protections provided by the Act, when making a disclosure to a Member of Parliament (MP) or a journalist, you must have already made substantially the same report to one of the following: • the Director-General of NSW Health

• the Chief Executive of a NSW Health agency

• an external investigating authority in accordance with the Act.

Also, NSW Health or the investigating authority that received the disclosure must have either: • decided not to investigate the matter

• decided to investigate the matter, but not completed the investigation within six months of the original report

• investigated the matter but not recommended any action as a result

• not told the person who made the report, within six months of the report being made, whether the matter will be investigated.

Most importantly – to be protected under the Act – if you make a disclosure to an MP or a journalist you will need to be able to prove that you have reasonable grounds for believing that the disclosure is substantially true and that it is in fact substantially true.

5. What happens next?

You will be provided with a copy of the NSW Health Policy on Public Interest Disclosures, and your disclosure will be managed in accordance with the policy. This



means that you will receive written acknowledgement of your disclosure, and be advised who you can contact to discuss your disclosure, within 45 days.

At the end of the process you will be given information about whether your disclosure has been investigated and whether action has been or is proposed to be taken in relation to your disclosure.

The Act provides protection from reprisal but your agency can only protect you if they are aware of any reprisal. You should report any suspected or threatened reprisal relating to your disclosure to the Disclosures Co-ordinator or a Disclosures Officer as soon as possible so that the agency can take appropriate action.

6. Further information

For more information about public interest disclosures, you can contact the Compliance Unit, NSW Ministry of Health, or the Public Interest Disclosures Unit, NSW Ombudsman.

7. Contact Details for External Investigating Authorities

The contact details for external investigating authorities that staff can make a public interest disclosure to or seek advice from are listed below. For disclosures about corrupt conduct: 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: [email protected] Web: www.icac.nsw.gov.au Address: Level 21, 133 Castlereagh Street, Sydney NSW 2000

For disclosures about maladministration: 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: [email protected] Web: www.ombo.nsw.gov.au Address: Level 24, 580 George Street, Sydney NSW 2000

For disclosures about serious and substantial waste: Auditor-General of the NSW Audit Office Phone: 02 9275 7100 Facsimile: 02 9275 7200 Email: [email protected] Web: www.audit.nsw.gov.au Address: Level 15, 1 Margaret Street, Sydney NSW 2000

For disclosures about serious and substantial waste in local government agencies: Division of Local Government in the Department of Premier and Cabinet Phone: 02 4428 4100 Tel. typewriter (TTY): 02 4428 4209 Facsimile: 02 4428 4199 Email: [email protected] Web: www.dlg.nsw.gov.au Address: 5 O’Keefe Avenue, Nowra, NSW 2541

For disclosures about breaches of the GIPA Act: Information Commissioner Toll free: 1800 463 626 Facsimile: 02 8114 3756 Email: [email protected] Web: www.oic.nsw.gov.au Address: Level 11, 1 Castlereagh Street, Sydney NSW 2000



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Signed:__________________________ Date:____________ Witness: __________________________

Page 1 of 1

PUBLIC INTEREST DISCLOSURE

ESSENTIAL INFORMATION

Do you work for a NSW Health agency (including as a volunteer, contractor or board member) Yes No Do you work for another Public authority? Yes No

PUBLIC INTEREST DISCLOSURE

Where did the wrongdoing occur? What does the report of wrongdoing relate to? (You can tick more than one box)

Corrupt Conduct Serious/Substantial Waste of resources Grievance

Maladministration Government information contravention Other Please provide a brief description of the matter you are reporting.

NSW Health agency involved The name and position of the people involved The name and position of any person who might have relevant information The date and time-frame in which the wrongdoing occurred Any other relevant information or supporting evidence which is available or should be sought Any other information that you consider would assist with the assessment or investigation of this incident

Is there any other information which would assist in the assessment of this matter (witnesses, records etc) If so, please provide details?

OPTIONAL INFORMATION

Personal Details

Name: Postal Address: Phone No. Email address: Preferred contact method in relation to disclosure: (phone/email/letter)

Reporting Details

Have you reported this to any other employee in your organisation? Yes No

If so, what action been taken by that person? Have you reported this wrongdoing to another organisation? (You can tick more than one box)

ICAC The NSW Ombudsman The NSW Auditor General The Information Commissioner Other (Please state)

When did you make the report?

Is the organisation investigating your complaint? Yes No Don’t know

Are you currently or have you been the subject of a disciplinary or criminal investigation in relation to the matter you are reporting? Yes No

What was the result of that disciplinary/criminal action?

Declaration

I have made this report voluntarily. I honestly believe that the matter I am reporting shows (or tends to show) wrongdoing.

Signed:__________________________ Date:____________ Page 1 of 1

DISCLOSURES ASSESSMENT

1. Is this complaint immediately identified as a Public Interest Disclosure?

Yes No Further information required

2. What action is to be taken?

Matter referred to Disclosures Co-ordinator/Chief Executive

Complainant provided with EAPS information

Further assessment

Matter referred externally:

Written acknowledgment and copy of PID Policy provided to reporter ? Date:

Notify Department of Health and ICAC if corruption allegations?

Date: Person notified:

Refer complainant to for matter to be dealt with as grievance

3. Other information:

File No: Trim No:

Please return this form marked “Private and Confidential” within 7 days to:

Chief Executive/Disclosures Co-Ordinator LHD XX Address Address NSW 2XXX

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