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NNoorrtthh EEaasstt VViiccttoorriiaann RReeggiioonnaall WWaassttee
MMaannaaggeemmeenntt GGrroouupp
14TH ANNUAL REPORT
FOR THE YEAR ENDING JUNE 2011
ISSN 1839-3888
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TABLE OF CONTENTS TABLE OF CONTENTS ........................................................................................................ 2 1 EXECUTIVE SUMMARY ............................................................................................ 3
1.1 From the Chairperson ............................................................................................................................ 3 1.2 From the Executive Officer .................................................................................................................... 4
2 ESTABLISHMENT/ RESPONSIBLE MINISTER/ ROLE/ FUNCTIONS ...................... 5 2.1 Manner of Establishment and the Relevant Ministers ............................................................................ 5 2.2 NevRwaste Functions, Powers and Duties ............................................................................................ 5 2.3 Nature and Range of Services Provision ............................................................................................... 6 2.4 Organisational Structure ........................................................................................................................ 7
3 MANAGEMENT & GOVERNANCE ............................................................................ 8 3.1 Directors’ Roles...................................................................................................................................... 8 3.2 Strategic Direction and Authority Development ..................................................................................... 8 3.3 Officers of the Board .............................................................................................................................. 8 3.4 Biography of Directors ........................................................................................................................... 9 3.5 Sub Committees .................................................................................................................................. 10 3.6 Statement of Workforce Data ............................................................................................................... 11
4 OPERATIONS AND FINANCIALS ........................................................................... 12 4.1 Five Year Financial Summary .............................................................................................................. 12 4.2 Performance against Budget ............................................................................................................... 12
5 IMPLEMENTATION OF 2010-2011 BUSINESS PLAN ............................................ 13 5.1 Municipal Services and Facilities Program .......................................................................................... 13 5.2 Community Engagement Program ....................................................................................................... 16 5.3 Strategy and Performance Monitoring ................................................................................................. 17 5.4 Organisational Systems and Operations Program ............................................................................... 19 5.5 Public Affairs and Communications Program ....................................................................................... 21
6 PERFORMANCE AGAINST TOWARDS ZERO WASTE TARGETS ....................... 22 6.1 Waste Reduction Targets .................................................................................................................... 22 6.2 Recovery Rate Performance ................................................................................................................ 22
7 DISCLOSURES AND LEGISLATIVE COMPLIANCE .............................................. 23 7.1 Significant Changes in Financial Position during the Year ................................................................... 23 7.2 Consultancies Undertaken During the Reporting Period Over $100,000 ............................................. 23 7.3 Consultancies Undertaken During the Reporting Period Under $100,000 ........................................... 23 7.4 Major Contracts.................................................................................................................................... 23 7.5 Major Changes or Factors Affecting Performance ............................................................................... 23 7.6 Subsequent Events .............................................................................................................................. 23 7.7 Victorian Industry Participation Policy Disclosures............................................................................... 23 7.8 Information privacy............................................................................................................................... 23 7.9 Merit and Equity ................................................................................................................................... 24 7.10 Application and Operation of Freedom of Information Act 1982 .......................................................... 24 7.11 Whistleblowers Protection .................................................................................................................... 24 7.12 Compliance with Building and Maintenance Provisions of the Building Act 1993 ................................ 25 7.13 National Competition Policy ................................................................................................................. 25 7.14 Occupational Health and Safety .......................................................................................................... 26 7.15 Cultural Diversity - Aged, Youth, Koories, NESb ................................................................................. 26 7.16 Availability of other Information ............................................................................................................ 26 7.17 Disclosure Index .................................................................................................................................. 28
8 RISK MANAGEMENT ATTESTATION ..................................................................... 29 9 FINANCIAL REPORT ............................................................................................... 30
9.1 Accountable Officers Declaration ......................................................................................................... 30 9.2 Report on the Utilisation of Landfill Levy Funds Received ................................................................... 30 9.3 Audited Financial Statements and Notes ............................................................................................. 31 9.4 Independent Auditors Report ............................................................................................................... 48
10 APPENDICES .......................................................................................................... 50 10.1 Whistleblowers Protection Act – DSE Procedures ............................................................................... 50
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1 EXECUTIVE SUMMARY
1.1 From the Chairperson
The success of the North East Victorian Waste Management region in delivering of the State’s Towards Zero Waste strategy has been clearly demonstrated this past year. Results from surveys of our local government members have shown that the region reached a 47.3% diversion rate for municipal waste in 2009-2010 which is in line with the targets set out in the State Strategy. All NevRwaste members should be congratulated on this achievement.
The four Alpine Resorts based within the NevRwaste region have also been actively working towards waste diversion. One significant program delivered over the past year has enabled 134 businesses to divert food waste for recycling, resulting in over 70 tonnes of food organics being removed from landfill.
The organisation continues to maintain strong partnerships with our members, State agencies and other local organisations. We have worked to deliver a number of multi stakeholder projects with the local waste management industry, local government and other statutory authorities. Further information on the range of successful range of projects delivered in 2010-1011 can be found throughout this report.
Changes to the Best Practice Environmental Management regulations over the past year have resulted in the NevRwaste Board and members strongly considering the financial viability of landfills within the region. As a result the organisation has placed a high priority on working with members to ensure that an economically viable solution exists for waste disposal or management into the future. Working with our members and other State agencies to identify options for this issue will remain a high priority in the coming years.
The NevRwaste Board continues to effectively maintain strong sub committees to inform the Board on governance, financial and technical matters.
In partnership with the Board, the Audit Committee has commenced a comprehensive policy review process and the Committee continues to provide sound advice to the Board on the measures required to meet Accounting Standards and the requirements of other Acts and regulations.
The Technical Advisory Committee made up of Waste Management Officers from all ten NevRwaste members has also provided strong guidance around strategic waste management priorities and directions required within the organisation.
In accordance with the Financial Management Act 1994, I am pleased to present the Report of Operations for the North East Victorian Regional Waste Management Group (NevRwaste) for the year ending 30 June 2011.
Lisa Mahood
Chairperson
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1.2 From the Executive Officer
The 2010-2011 financial years have been extremely productive within the North East Victorian Waste Management Region.
We would like to thank our members, their officers and our partner organisations for their strong and continued support of NevRwaste and our programs during 2010-2011. With the assistance of these partners some significant achievements have been made, including:
A comprehensive investigation into the viability of kerbside food & garden organics collections for each member council.
The involvement of 134 businesses in a food organics recycling project at four Alpine Resorts, diverting 70+ tonnes of food waste for reprocessing.
A kerbside food and garden collection and reprocessing trial involving 600 households from three council areas.
The coordination of a new regional contract for the collection and recycling of electronic waste (e-waste) involving four councils.
The establishment of seven new e-waste recycling collection points, including infrastructure and signage.
The coordination of a cross border project, delivering education materials to individual households with the aim of improving the recovery of household recyclables.
The coordination of a multi stakeholder project which has delivered environmental education to over 500 primary school students from over 20% of the regions schools.
The establishment of 145 new public place recycling stations at nine high profile sites.
The re-establishment of a region wide steel recycling contract involving six councils.
In addition to these key projects NevRwaste continues to maintain effective systems for the governance of the organisation. These systems include an active Audit Committee who meet five times per annum providing guidance to the Board on financial, risk management and governance issues.
A more detailed explanation of the outcomes achieved in 2010-2011 can be found within this report.
Brooke Hermans
Executive Officer
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2 ESTABLISHMENT/ RESPONSIBLE MINISTER/ ROLE/ FUNCTIONS
2.1 Manner of Establishment and the Relevant Ministers
The North East Victorian Regional Waste Management Group is established under the section 50F of the Environment Protection Act 1970. The responsible Ministers during the 2010/2011 reporting period were Gavin Jennings MLC, Minister for Environment and Climate Change for the period 1 July 2010 to 1 December 2010 and Ryan Smith MP, Minister for Environment and Climate Change for the period from 2 December 2010 to 30 June 2011.
2.2 NevRwaste Functions, Powers and Duties
The functions and powers of a regional waste management group are set out in section 50H of the Environment Protection Act 1970 as follows:
(1) The functions of a regional waste management group are-
(a) to plan for the management of municipal waste in its region, working in partnership with the councils in its region; and
(b) to co-ordinate the activities of its members in its region to give effect in its region to State policies, strategies and programs relating to waste; and
(c) to facilitate and foster best practices in waste management.
(1A) In carrying out its functions a regional waste management group is-
(a) to plan for municipal waste management in its region including-
(i) preparing and keeping up to date a regional waste management plan;
(ii) implementing and promoting the plan;
(iii) setting performance targets for municipal waste reduction programs;
(iv) developing, implementing, supporting and promoting municipal waste reduction and recycling programs;
(b) to co-ordinate the waste management activities of its members including-
(i) introducing measures that lead to conformity of standards for waste reduction, waste management and litter prevention and control between its members;
(ii) investigating and advising on landfill disposal costs and charges in the region;
(iii) encouraging the training of staff involved in municipal waste management;
(c) to promote, commission and undertake research into waste management;
(d) to advise its members on best practices in municipal waste management;
(e) to promote improved waste management technologies;
(f) to promote and co-ordinate relevant community education in its region;
(g) to mediate disputes between its members.
(2) A regional waste management group may do anything that is necessary or
convenient to enable it to perform its functions.
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2.3 Nature and Range of Services Provision
NevRwaste develops and applies regional strategies and initiatives in the context of State policy, through the State’s regional waste management framework under the Environment Protection Act 1970. As such NevRwaste plans for municipal waste management at a regional level and facilitates and fosters best practice in waste management within the North East Victorian Waste Management Region, comprising the member municipalities of Alpine, Indigo, Mansfield, Towong, Benalla and Wangaratta and Wodonga.
Under enabling legislation in the Alpine Resorts Management Act 1997, Falls Creek, Mt Hotham and Mt Buller-Mt Stirling Alpine Resort Management Boards have taken the opportunity to initiate resort specific municipal waste initiatives, through membership of NevRwaste.
NevRwaste prepares and implements waste management plans and reports, as part of its core functions and statutory obligations. In doing so NevRwaste works in partnership with other government agencies to promote and to maintain the principles of sustainability.
NevRwaste articulates its long-term strategic position on the environment through the Regional Waste Management Plan, which is implemented through the business plan and reported on through this annual report.
More specifically NevRwaste operates in partnership with the Environment Protection Authority Victoria (EPA), Sustainability Victoria and local authorities to implement state policies and strategies, relating to solid waste management and resource efficiency, in a regional and local setting.
NevRwaste has a primary role in setting the regional strategic context for current and future waste management and resource recovery facilities.
The strategic regional context informs statutory planning processes undertaken by Local Government, EPA, and the State Government around the siting and establishment of waste management and resource recovery facilities.
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2.4 Organisational Structure
NORTH EAST VICTORIAN REGIONAL WASTE MANAGEMENT GROUP 2010-2011
BOARD OF MANAGEMENT
Indigo: Peter Graham O.A.M (Chairperson) Falls Creek: Ben Derrick (Deputy Chairperson)
Alpine: Daryl Pearce Benalla: Bill Hill
Towong: Phillip Coysh Mansfield: Jeff Whyte
Wodonga: Lisa Mahood Wangaratta:Ron Webb
Mt Buller- Stirling: Louise Perrin Mt Hotham: Nicole Epema
AUDIT COMMITTEE EXECUTIVE OFFICER EXECUTIVE COMMITTEE
Dr. Elizabeth Duncan (Chairperson) Roy Baird (Independent Member)
Terry Forrest (Independent Member) Ron Webb (Board Representative)
Brooke Hermans
Peter Graham (Chairperson) Ben Derrick
Officer Representative: Dimitri Scordalides or Mark Verbaken
OTHER OFFICERS
Kathy Dogshun (Administration) Kim Mueller (Regional Education Officer)
David Cocks (Project Officer) Linda Anania (Schools Environmental Education Directory
Support Officer)
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3 MANAGEMENT & GOVERNANCE
3.1 Directors’ Roles
NevRwaste Directors undertake a number of responsibilities including:
(a) approving, where appropriate, policy and other recommendations received from the Group, its sub-committees and staff
(b) monitoring all Group policies; reviewing and recommending changes to the Group’s internal strategies and policies manual
(c) reviewing the Board’s structure, approving changes, and preparing amendments
(d) participating in the development of the Group’s business plan, waste management plan, constitution and annual report
(e) considering and approving the Group’s annual budget
(f) approving the hiring and release of the Executive Officer
(g) assisting in developing and maintaining positive relations among the Board, committees, staff, and the community to enhance the Group’s mission
3.2 Strategic Direction and Authority Development
NevRwaste prepares and implements policies, strategies and programs that are articulated through its Regional Waste Management Plan and then implemented through the annual business planning and reporting process.
EPA approves the Regional Waste Management Plan prepared by NevRwaste.
DSE formally reviews NevRwaste’s annual report and advises the Minister on presentation of those reports to Parliament.
Sustainability Victoria provided the opportunity for additional funding to NevRwaste through tied grants and informally reviewed NevRwaste’s business plan.
3.3 Officers of the Board
NevRwaste’s Board is composed of ten directors representing each of the ten members. It met on five occasions in the 2010/2011 financial year. Each Director’s term of appointment and attendance record is shown below.
MEETING NUMBER AND DATE 1 2 3 4 5 6
Director Period of Appointment Appointed By
July
8, 2010
August
23, 2010
Septe
mber
9, 2010
Novem
ber
18, 2010
Marc
h 1
0, 2011
May 1
2, 2011
Daryl Pearce 1/07/2010 30/06/2011 Alpine Shire
Bill Hill 1/07/2010 30/06/2011 Benalla Rural City
Lisa Mahood 1/07/2010 30/06/2011 City of Wodonga
Ben Derrick 1/07/2010 30/06/2011 Falls Creek Resort
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Peter Graham 1/07/2010 30/06/2011 Indigo Shire
Jeff Whyte 1/07/2010 30/06/2011 Mansfield Shire
Louise Perrin 1/07/2010 30/06/2011 Mount Buller/Mt Stirling Resort
Nicole Epema 1/07/2010 30/06/2011 Mount Hotham Resort
Ron Webb 1/07/2010 30/06/2011 Rural City of Wangaratta
Phillip Coysh 1/07/2010 30/06/2011 Towong Shire
3.4 Biography of Directors
3.4.1 Director Daryl Pearce
Daryl Pearce is a councillor and Deputy Mayor on the Alpine Shire Council. He has a professional background in aviation and has worked within the secondary school industry. Daryl holds numerous other positions on local community organisations and has been on the NevRwaste Board since 2009.
3.4.2 Director Bill Hill
In 2010/2011 Bill was a councillor and Mayor of Benalla Rural City Council. Bill owns and operates a dairy farm in Molyullah and has been the President or Chairperson of a long list of local community organisations.
Bill has been a Director on the NevRwaste Board since 2009.
3.4.3 Director Lisa Mahood
Lisa is a current councillor and former Mayor for the City of Wodonga. Lisa operates a successful consultancy business specialising in business management and organisation strategies. She is also the Chair of the Albury-Wodonga based professional theatre company, Hothouse and sits as a Director on the North East Water Board. Lisa has been a Director on the NevRwaste Board since 2008.
3.4.4 Director Ben Derrick
Ben is the Natural Resources Management Officer for Falls Creek Resort Management. Ben is also the Chairperson of the Bogong Outdoor Education Centre. Ben was a member of the Australian Cross Country Ski Team from 1991-2006 and represented Australia many times while competing overseas.
Ben has been a Director on the NevRwaste Board since 2006.
3.4.5 Director Peter Graham O.A.M
Peter is a current councillor and former Mayor for the Indigo Shire Council. He is a retired soldier and telegraphist for the Post Master General's Department and is a dedicated and active member of the RSL.
Peter has served as the President of the Association of Victorian Regional Waste Management Groups, the Chairperson of Keep Australia Beautiful Victoria and was the Chairperson of the NevRwaste Board from 2003-2011.
3.4.6 Director Jeff Whyte
Jeff is a current councillor and the Deputy Mayor of the Mansfield Shire Council. Jeff is a local business owner in hospitality and tourism, operating the Jamieson Brewery. Jeff is also an active member of his community serving on numerous community organisations.
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Jeff has been a Director on the NevRwaste Board since 2008.
3.4.7 Director Louise Perrin
Louise is the Environmental Services Manager at Mt Buller Mt Stirling Resort Management a position she has held since 2004. Louise previously worked for CSIRO Wildlife and Ecology in Canberra.
Louise has been a Director on the NevRwaste Board since 2006.
3.4.8 Director Nicole Epema
Nicole is the Operations Manager at the Mt Hotham Resort Management Board, where she has been employed for the past 25 years. Nicole is also the Deputy Controller of Operations for the SES Bright Unit.
Nicole has been a Director on the NevRwaste Board since 2008.
3.4.9 Director Ron Webb
Ron is a councillor and former Mayor for the Rural City of Wangaratta. Ron is a retired CFA Regional Manager and Munititions Industry Safety/Security Coordinator. Ron holds a range of other positions within the local community including a current Justice of the Peace and a Board member on numerous other community organisations.
Ron has been a Director on the NevRwaste Board since 2010.
3.4.10 Director Phillip Coysh
Phillip is a councillor for the Towong Shire Council. He has been operating a farm in the Upper Murray for 45 years and has always taken an interest in regional issues.
Phillip has been a Director on the NevRwaste Board since 2008.
3.5 Sub Committees
Under its constitution and underlying Charter of Corporate Governance, NevRwaste establishes sub-committees according to its need and resources. In 2010/11 NevRwaste retained a permanent Audit Committee to ensure it met its obligations to the Financial Management Act 1994. The make-up, role, and output of that Committee is set by legislation and underlying Ministerial Directives.
3.5.1 Audit committee membership
In 2010/2011 period NevRwaste’s Audit Committee met five times. NevRwaste has appointed an internal auditor, Mr Terry Lant, to undertake internal activities and reporting to the Committee.
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MEETING NUMBER AND DATE 1 2 3 4 5
Director Period of
Appointment Role
August
18, 2010
Novem
ber
3,
2010
Febru
ary
16,
2011
May 2
, 2011
June 2
6, 2011
Elizabeth Duncan 1/07/10 30/06/10 Independent Chairman
Roy Baird 1/07/10 30/06/10 Independent Member
Terry Forrest 1/07/10 30/06/10 Independent Member
Ron Webb 1/07/10 30/06/10 NevRwaste Director
3.6 Statement of Workforce Data
In 2010/2011 NevRwaste employed between 3-5 people. The breakdown of staff for the Group is as follows:
ITEM 2009-2010 2010-2011
Total Employees 3 5
Male 0 1
Female 3 4
Part Time 2 3
Full Time 1 2
Equivalent Full Time (EFT) 2 3.4
Senior Management (salary less than $100,000) 1 1
Age: up to 34 3 0
Age: 35-plus 0 5
VPS 4 1 2
VPS 2 1 2
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4 OPERATIONS AND FINANCIALS
4.1 Five Year Financial Summary
2010-2011
2009-2010
2008-2009
2007-2008
2006-2007
$ $ $ $
Landfill Levy Revenue (Note 1) 303,914 260,288 237,314 232,405 226,651
Government contributions (Note 2)
76,471 150,777 254,285 232,770 121,193
Member contributions 123,477 119,882 119,420 80,410 119,327
Other revenue (Note 3) 81,464 18,951 36,326 36,364 25,847
TOTAL REVENUE 585,326 549,898 647,345 581,949 493,018
Administration &
Employment
386,896 355,909 372,255 310,076
364,453
Project Expenditure 323,680 162,397 282,382 161,843 94,492
TOTAL EXPENDITURE 710,576 518,306 654,637 471,919 458,945
Current Assets 381,383 399,871 428,822 424,987 312,650
Non-current assets 47,277 61,589 62,751 71,842 108,673
TOTAL ASSETS 428,660 461,460 491,573 496,829 421,323
Current Liabilities 122,537 26,374 85,863 79,681 66,090
Non-current liabilities 4,600 8,313 10,529 14,674 74,888
TOTAL LIABILITIES 127,137 34,687 96,392 94,355 140,978 Note 1 – Includes Landfill Levy and Government Grant (REO Funding) Note 2– TZW and Sustainability Fund grants for various projects and SV Gap funding and EPA gap funding Note 3 – Miscellaneous income from involvement in various projects and interest income.
4.2 Performance against Budget
INCOME Budget Actual
Member Contributions $123,478 $123,477
Landfill levy $303,965 $303,914
Regional Projects $141,109 $136,294
Interest Income $7,000 $19,401
Other Income $2,636 $2,240
TOTAL INCOME $578,188 $585,326
EXPENSES Budget Actual
Administration $134,441 $104,927
Employee Costs $262,104 $263,058
Regional Program costs $387,008 $323,680
Depreciation and amortisation $14,000 $18,450
Finance Costs $0 $461
Loss on disposal of property, plant & equipment $0 $0
TOTAL EXPENSES $797,553 $710,576
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5 IMPLEMENTATION OF 2010-2011 BUSINESS PLAN
The following report describes the progress on initiatives that were incorporated into the 2010/11 Business Plan.
5.1 Municipal Services and Facilities Program
The Municipal Program is the fundamental connection between RWMG’s, local government and Sustainability Victoria for programs and activities related to the provision of waste management services to the community.
2010/2011 Objective
Actions KPI’s Summary of Achievements
To divert greater than 10 tonne of electronic waste for recycling or reuse from landfill in 2010/2011
Establish collection systems including infrastructure and transport for electronic waste at more than 5 sites in the region
- At least 5 sites collecting e-waste by end of financial year
- Greater than 10 tonne of e-waste diverted for recycling
- 7 sites collecting e-waste at financial year end
- Collection of 35 tonne of electronic waste from new sites in North East Victoria in 2010-2011.
- Regional contract facilitated for Indigo, Alpine, Wangaratta and Benalla councils for the recycling of electronic waste. Contract awarded and three out of four councils have signed contracts with recycler.
- Production of 40 skips for the collection of electronic waste at 7 sites across the region
- Full scale collection and recycling to commence in July 2011 with estimated diversions of 100 tonne per annum (minimum)
Develop and deliver a promotional program to support e-waste recycling project
- 1 TV news spot on e-waste
- 3 newspaper articles on e-waste
- Advertising campaign
- Advertising campaign designed and ready for roll out
- Signage ordered and to be provided with infrastructure in early July
- Waiting on full roll out of infrastructure prior
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coordinated
- Signage provided at collection sites
to release of media and advertising
To carry out one organics processing trial and develop long term programs that reduce municipal food and garden organics to landfill in 2010-2011.
Work with Cleanaway to conduct trial of Core Composting Technology in Wodonga.
- Trial conducted with 600 households
- Trial evaluated
- Trial underway with 600 households from Indigo, Wodonga & Towong councils
- Evaluation planned at trial completion in August 2011.
Kerbside Organics Investigation
Update the 2009 organics study to reflect increases in landfill levies, costs from landfill reforms & calculations of a centralised facility in Wangaratta
Investigation of current NSW decentralised composting systems
Work with individual councils to prepare council reports to analyse cost/benefits (including triple bottom line) to seek ‘in principle’ agreement to go to EOI process for the collection and/or reprocessing of household organics
A siting assessment and development of site assessment criteria for use during EOI process
- Investigation Complete - Study Updated - 7 Individual Council reports
prepared - Siting Assessment complete - EOI developed & advertised
- 2009 Organics Study updated
- Investigation of the triple bottom line cost/benefits of kerbside collection of food and garden organics, including consideration of decentralised composting systems complete
- 7 council individual council reports on kerbside organics viability complete
- 3 councils in process of preparing to advertise tender that will include the kerbside collection of food and garden organics
- Sounding out of potential bidders complete
- Implication of siting with region considered within investigation
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Development of EOI for the collection and/or reprocessing of household organics
‘Sounding out’ potential bidders for the EOI to assess level of interest and conditions for them to submit a bid
Assistance in assessing EOI’s
To reduce the weight of container and paper and cardboard recyclables in household garbage bins by 25% by 2012
Assist in the delivery of the state wide ‘In the Right Bin’ Project to deliver TV advertisements on recycling through local stations
- TV adverts aired
- 5% reduction in weight of recyclables in garbage bins
- Program being led by another Regional Waste Management Group and has not commenced
Coordinate region wide recycling system education program, including household delivery or direct application to households bins of instructional information regarding the use of kerbside recycling bins linked to ‘In the Right Bin’ project.
- 25% reduction in weight of recyclables in garbage bins by 2012
- Information on recycling delivered to 49,000 households
- Information on recycling delivered to 18,512 households
- Information printed for additional 16,571 ready for delivery in October 2011
- Remaining households to be completed by end of 2011
- Assessment of % reduction in recyclables in garbage bins to be completed in 11/12
To divert greater than 10 tonne of silage wrap from landfill for recycling in 2011-2012
Work with TAPEX to promote the Plasback Program
- 10+ tonne of silage wrap recycled in 2010-11.
- Figures not available at the printing of this report
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5.2 Community Engagement Program
The focus of the Community Engagement Program is on building partnerships with key local groups including councils, organisations, schools and venues to encourage them to improve their waste management practices.
2010/2011 Objective
Actions KPI’s Summary of Achievements
To involve 10% of regional schools in waste and litter reduction education
Provide support to the Schools Environment Education Directory (SEED) Project, through attendance at COM and Advisory Meetings
- 3 COM meeting attended - 3+ Advisory meetings
attended
- 4 COM meetings attended
- 4 Advisory meetings attended
Deliver waste or litter related presentations at SEED Days
- Presentations made to 400+ students
- 20% of schools in region attended SEED Days (26 Schools)
- Presentations made to 539 students on waste & litter issues in 2010-2011
Maintain up to date SEED website and resources
- SEED website updated quarterly
- Website regularly updated
- New independent SEED website built in June 2011
To divert greater than 80 tonnes of additional recyclables from sporting facilities and turf clubs in 2010-2011
Coordinate Public Place Recycling Project at 8 Recreation Reserves and 1 Turf Club
- 95 new permanent and 50 new mobile PPR systems established
- 80+ tonnes of recyclables diverted for recycling from new systems
- 145 new public place recycling systems established (mobile & permanent) at 9 sites
- 200 tonnes of recyclables diverted from new systems per annum based on 10-11 audits
- Project resulted in on average a 38% reduction in litter at each ground
To support members to develop and implement programs to reduce
Participate in Murray Litter Task Force activities and programs
- Attendance at 2 meetings - Attendance at 1 meeting
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illegal dumping & littering
Support EPA Victoria forums on Illegal Dumping and Litter Enforcement
- Attendance at 2 meetings - Attendance at 1 meeting
- Project developed and funding secured to work with members around educating the community to secure their loads on route to resource recovery facilities and to extend Public Place Recycling in Alpine Resorts
To divert greater than 500 tonnes of organic waste from landfill for reprocessing from commercial premises in 2011-2012
Coordination of Food Recovery Trial in partnership with Resorts and 4 Site
- 500+ Tonnes of food waste diverted for recycling
- 30+ businesses participating in the program
- 134 Businesses involved in food waste collection at Alpine Resorts
- 70+ tonnes of food waste diverted from Alpine Resorts
Complete Household Organics Behaviour Change Program
- Final Report complete and publicity materials developed.
- Final Report Complete
- Executive Summary produced and distributed
5.3 Strategy and Performance Monitoring
The purpose of the Strategy and Performance Monitoring Program is to provide strategic data regarding regional performance including progress towards achieving the targets established in the Towards Zero Waste Strategy and reflected in the Regional Waste Management Plan.
2010/2011 Objective
Actions KPI’s Summary of Achievements
To monitor progress of Regional Waste Management Plan implementation and
Update data in Regional Waste Management Plan and prepare a progress report on achievements
- Data collected - Progress report prepared
- Data collected for inclusion in Business Planning process
- Board provided with progress report on
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report progress annually
issues surrounding approval of Regional Plan by EPA
Organics strategy for the planning and management of organic waste in the region is developed
Prepare organics strategy in consultation with members
- Organics strategy prepared and adopted by Board
- Production of organics strategy held off until all organics research was complete by organisation. Last of research will be complete August 2011.
- Strategy planning session held with members in June 2011.
Consult with members annually regarding NevRwaste’s strategic direction
Business Planning meeting held through Technical Advisory Committee Meeting
- Meeting held prior to May Board Meeting
- Business Planning meeting held with Technical Officers prior to the May Board Meeting
Annual meetings with member CEO’s and Directors to discuss NevRwaste’s direction
- Meetings held with 10 members
- Meetings held with all 10 member CEO’s
Board to monitor the implementation of the Business Plan
Business Plan implementation report presented to Board at each meeting
- 5 reports presented per annum
- 5 reports on business plan implementation presented to the Board
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Internal evaluation of programs informing organisations strategic direction
Internal evaluation reports prepared for all major projects
- 5+ evaluation reports prepared
- 4 reports prepared
Annual de-brief on project evaluations to integrate learning’s for next financial year
- Debrief held - Debrief held
Annual update of achievements distributed to all members
- Achievement update distributed
- To be completed
5.4 Organisational Systems and Operations Program
2010/2011 Actions KPI’s Summary of achievements
Professional development needs of staff and Directors identified and met
Quarterly performance and professional development reviews held with staff
- Quarterly reviews conducted
- Staff completing planned PD
- Quarterly reviews held
- Staff completed planned professional development
To maintain independent auditing measures to plan for the maintenance and improvement of internal operations and governance of the organisation
Annual review of Board performance conducted and relevant professional development delivered
- Annual review conducted - 50% of Directors to
undertake some PD
- Annual review not complete
- 30% of Board Directors and 100% of Audit Committee Directors attended professional development opportunities relating to core business.
5 Meetings of Audit Committee - 5 meetings of Audit Comm per year
- 5 Meetings held
Annual review of Audit Committee performance
- Annual review conducted & reported to Board
- Annual review of Audit Committee Performance reported to Board.
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Annual Audit Program established by the Board in collaboration with the Audit Committee
- Annual audit program adopted by Board
- Annual audit program adopted by Board
Quarterly visit by Internal Auditor to deliver audit set out in audit program
- 4 visits by internal auditor per annum
- 4 visits conducted by Internal Auditor with reports to Audit Committee & Board
To maintain up to date governance policies
Three yearly rotational review of all Charter of Governance documents
- 9 documents reviewed - Review commenced of all NevRwaste policies
To plan for and mitigate potential risks to the organisation
Annual review and mitigation of risks - Risk register reviewed annually
- Planned risk mitigation actions complete
- Risk Register reviewed and updated
- Planned risk mitigation actions complete
To ensure the strategic direction of NevRwaste meets the needs of its member organisations
Board to meet 5 times per annum - 5 Meetings per annum - 6 meetings held
To provide leadership, information and assistance on waste and litter management issues.
5 Meetings of Technical Advisory Committee per annum
- 5 meetings per annum - 6 Meetings held
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5.5 Public Affairs and Communications Program
Communication is a key element in all waste minimisation and materials efficiency programs which supports member councils and the community to effectively engage in programs and activities.
2010/2011 Actions KPI’s Summary of achievements
To maintain communications between NevRwaste and its stakeholders
Quarterly electronic newsletter distributed to all stakeholders
4 Newsletters per annum - 3 newsletters complete and distributed
Regional Education Officer attends and reports on activities at Education Officer Network Meetings
2 Meetings per annum - 2 meetings attended
Executive Officer and Chair attend and report on activities at Association of Regional Waste Management Group meetings
4 Meetings per annum - 4 meetings attended
To increase community awareness of waste management issues and opportunities
Promotion of NevRwaste Programs in local media
5+ newspaper articles per annum
- 2 NevRwaste media releases published relating to programs
Promotion of events coordinated by NevRwaste in local media
1+ newspaper articles per annum
- 5 NevRwaste events covered in local papers
Promotion of waste issues of relevance in the local media
2+ newspaper articles per annum
- 0 media release covering specific waste issues covered
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6 PERFORMANCE AGAINST TOWARDS ZERO WASTE TARGETS
The performance of the region against Towards Zero Waste (TZW) targets that relate to municipal waste is outlined in the section below. This data is based on the latest available data supplied by Sustainability Victoria through the local government surveys which relates to the 2009-2010. financial years.
6.1 Waste Reduction Targets
In 2009-2010 the region produced 40,822 tonnes of municipal solid waste. To fully achieve the TZW targets the region would need to have a production rate of 37,326 per annum by 2013-2014. Although the 09-10 production rates will not fully achieve the TZW targets they are in line with the forecasted production of 40,523.
For the production of the 2011-2014 Business Plans, Sustainability Victoria has worked with Regional Groups to establish specific regional municipal waste reduction targets. The target for North East Victoria is 43,666 which the North East Region is well placed to meet.
6.2 Recovery Rate Performance
In 2009-2010 the region achieved a 47.3% recovery rate, including the drop off of municipal materials at Resource Recovery Centres and the capture of materials at the kerbside. This rate has almost met the regional target of 48% listed in the 2010-2011 Business Plan for 2013-2014.
As previously mentioned for the production of the 2011-2013 Business Plans, Sustainability Victoria has worked with Regional Groups to establish specific regional municipal recovery rate targets. The target for North East Victoria has been set at 54% diversion by 2013-2014. Again the North East Victorian region is well placed to meet this target.
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7 DISCLOSURES AND LEGISLATIVE COMPLIANCE
7.1 Significant Changes in Financial Position during the Year
NevRwaste received Landfill Levy funds totalling $303,914. The utilisation of these are summarised in 9.2.
7.2 Consultancies Undertaken During the Reporting Period Over $100,000
There were no consultancies in excess of $100,000 entered into during the reporting period.
7.3 Consultancies Undertaken During the Reporting Period Under $100,000
Four consultants were utilised during the reporting period, to the total value of $35,374.50 excluding GST.
7.4 Major Contracts
NevRwaste did not enter into any contracts greater than $10 million in value during the reporting period.
7.5 Major Changes or Factors Affecting Performance
No major changes have occurred that would affect the performance of NevRwaste.
7.6 Subsequent Events
Other than those events disclosed below, there have been no other events that have occurred subsequent to 30 June 2011 which would, in the absence of disclosure, affect the agency’s operations in subsequent reporting period.
7.7 Victorian Industry Participation Policy Disclosures
The Victorian Industry Participation Policy (VIPP) aims to ensure that local suppliers can participate in procurement and industry assistance activities across Government, wherever they offer the best value for money.
The VIPP applies to tenders over $3 million in metropolitan Melbourne and $1 million in regional Victoria. There were no contracts over $1 million awarded by NevRwaste during the reporting period.
7.8 Information privacy
The Information Privacy Act 2000 established a regime for the responsible collection and handling of personal information in the Victorian public sector. NevRwaste complies with the ten Information Privacy Principles set out in the Act.
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7.9 Merit and Equity
NevRwaste is committed to the principles of equal employment opportunity and the establishment and maintenance of a non-discriminatory work environment. NevRwaste aims to ensure that all persons are assessed solely on the basis of merit with respect to recruitment, promotion and access to training and other programs and facilities. This approach reflects NevRwaste’s desire to have a work place free from discrimination, where each person has the opportunity to progress to the extent of their ability and the needs of the organisation.
NevRwaste is committed to the principles of merit and equity as covered under the Public Administration Act 2004, including:
EMPLOYERS MUST ENSURE EMPLOYEES MUST
Decisions are based on merit. Act impartially.
Employees are treated fairly and reasonably. Display integrity including avoiding real or apparent conflict of interests.
Equal Employment Opportunity is provided. Show accountability for actions.
Reasonable avenues of redress against unfair or unreasonable treatment.
Provide responsive service.
7.10 Application and Operation of Freedom of Information Act 1982
NevRwaste is a State Statutory Agency under the Environment Protection Act 1970, and so is a ‘Government Agency’ under the terms of the Freedom of Information Act 1982.
Accordingly, it is required to comply with the procedures that have been prescribed under which members of the public may gain access to information held by Agencies.
A decision to release information is made by either the Principal Officer or an Authorised Officer. The Board of NevRwaste has determined that the Authorised Officer is the Executive Officer. There was no request received under the Freedom of Information Act 1982 during the reporting period. For fee of $24.44 the public can make written application for copies of information held by NevRwaste to the following:
Mrs. Brooke Hermans
Authorised Officer
North East Victorian Regional Waste Management Group
Wangaratta Government Centre
62-68 Ovens St, WANGARATTA VIC 3677
Telephone: 5722 9433
Facsimile: 5722 9655
Email: [email protected]
7.11 Whistleblowers Protection
The Whistleblowers Protection Act 2001 came into effect on 1 January 2002. The Act is designed to protect people who disclose information about serious wrong doing within the Victorian Public Sector and to provide a framework for the investigation of these matters.
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The protected disclosure coordinator for DSE acts as an agent for the NevRwaste to receive disclosures under the Act to which they apply DSE procedures.
There were no disclosures under the Act, in relation to NevRwaste, during the year.
Disclosures of improper conduct by NevRwaste or its employees may be made to the following:
Jennifer Berensen
Protected Disclosure Coordinator
Dept of Sustainability and Environment
PO Box 500, East Melbourne Vic 3002
Telephone: 9637 8697
Facsimile: 9637 8128
Email: [email protected]
The Ombudsman Victoria
Level 9 459 Collins Street
MELBOURNE VIC 3000
Telephone: 9613 6222
Toll free: 1800 806 314
Report on disclosures for the period 1 July 2010 to 30 June 2011
Number of disclosures meeting the requirements of Part 2 of the Act, made to the department
0
Number of disclosures referred to the Ombudsman 0
Number of disclosures referred to the department by the Ombudsman 0
Number of disclosures referred by the department to the Ombudsman to investigate
0
Number of investigations of disclosures taken over by the Ombudsman from the department
0
Number of requests by complainants to have their disclosure investigated by the Ombudsman
0
Number of disclosures the department has declined to investigate 0
Number of disclosed matters that were substantiated on investigation 0
Number of recommendations made by the Ombudsman related to the department
0
7.12 Compliance with Building and Maintenance Provisions of the Building Act 1993
NevRwaste did not undertake any building works that fall within the provisions of the Building Act 1993, as its premises are leased and contractors provide any waste management services. NevRwaste complies with the building maintenance provisions of the Building Act 1993.
7.13 National Competition Policy
The national competition reform agenda has resulted in a greater emphasis on the encouragement of competition in the community. Competitive neutrality is a principle of the National Competition Policy and requires that, as far as practicable, government owned businesses compete with private sector businesses on the same footing. NevRwaste, as the independent manager of, and investor in, NevRwaste’s assets,
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purchases services and goods in line with the Victorian Government Purchasing Authority’s guidelines. In doing this, NevRwaste applies the following principles:
Value for Money
Open and Fair Competition
Accountability
VIPP policy
NevRwaste adheres to the principles of the National Competition Policy to ensure that any business competition with private entities takes place in an environment where NevRwaste has no competitive advantage. The Environment Protection Act 1970 specifically precludes NevRwaste from undertaking waste management activity that is being carried out on a commercial basis anywhere in Victoria. NevRwaste strictly adheres to relevant provisions of the Environment Protection Act 1970 in relation to this issue.
7.14 Occupational Health and Safety
NevRwaste provides programs to ensure that the human and financial costs of occupational injury and illness to staff are prevented or reduced, including improvements to safety of contractors, these include:
A regularly reviewed OHS Policy
OHS integrated into all staff inductions
Annual reviews of Office Safety
Quarterly reviews of Car Safety
OHS as a standing item on staff meeting agendas (held 6 weekly)
In 2010/2011 all staff undertook a Defensive Driving Course. No WorkCover claims were lodged during the period.
7.15 Cultural Diversity - Aged, Youth, Koories, NESb
All NevRwaste’s programs, services and strategies are planned to ensure that they reflect the needs of NevRwaste and its member’s community base and any of their particular cultural needs. NevRwaste is committed to policies, programs and strategies aimed at delivering culturally appropriate services to all North East Victorian’s.
7.16 Availability of other Information
Any information on the following, not included in the report of operations, is available on request, subject to subject to the Freedom of Information Act 1982, from NevRwaste’s Executive Officer either by phone on 5722 9433 or in writing to Wangaratta Government Centre, 62-68 Ovens St, WANGARATTA VIC 3676.
Declarations of pecuniary interest including details of shares held, which have been duly completed by relevant officers
Publications produced by NevRwaste
Changes in prices, fees, charges, rates and levies charged
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Major external reviews carried out on NevRwaste
Major research and development activities undertaken
Overseas travel undertaken including a summary of the objectives and outcomes of each visit
Major promotional, public relations and marketing activities undertaken by NevRwaste to develop community awareness of NevRwaste and its services
Assessments and measures undertaken to improve the OHS of employees
A general statement on IR within NevRwaste and details of time lost through industrial accidents and disputes
A list of major committees sponsored by NevRwaste, the purposes of each committee and the extent to which the purposes have been achieved
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7.17 Disclosure Index
Clause Disclosure Page
Report of Operations
Charter & purpose
FRD22B Manner of establishment and Relevant Minister 5
FRD22B Objectives, functions, powers and duties 5
FRD22B Nature and range of services provided 6
Management & structure
FRD22B Names of board members (major committees – objectives and achievements) 8
FRD22B Chart setting out organisational structure 7
FRD22B Workforce data 11
FRD22B Merit and Equity 24
FRD22B Application and operation of FOI Act 1982 24
Financial and other information
FRD22B Five year summary of the financial results 12
FRD22B Significant changes in financial position during the year 23
FRD22B Operational & budgetary objectives for the year and performance against those objectives 12
FRD22B Major changes or factors affecting performance 23
FRD22B Subsequent events which will affect operations in future years 23
FRD22B Consultancies > $100,000 23
FRD22B Consultancies – total No. and cost < $100,000 23
FRD12A Disclosure of major contracts 23
FRD22B Compliance with building and maintenance provisions of Building Act 1993 25
FRD22B Statement on implementation and compliance with National Competition Policy 25
FRD22B A statement of Occupational Health and Safety (OHS) matters 26
FRD22B Application and operation of the Whistleblowers Protection Act 2001 24
FRD25B Victorian Industry Participation Policy Act 2003 23
FRD22B Statement that information listed in 7.16 is available on request 26
FRD10 Disclosure Index 28
Cultural Diversity 26
Information Privacy 23
Financial Statements
Preparation
SD 4.( c) Statement of preparation on an accrual basis 35
SD 4.2( c) Statement of compliance with Australian Accounting Standards and authoritative pronouncements
35
SD 4.2( c) Statement of compliance with accounting policies issued by the Minister for Finance 35
Operating Statement
SD 4.2(b) Operating Statement for the year 31
SD 4.2(b) Operating revenue by class 31
SD 4.2(b) Depreciation 31
SD 4.2(b) Bad and doubtful debts 37
SD 4.2(b) Auditor-General’s fees 39
Balance Sheet
SD 4.2(b) Balance Sheet for the year 32
Assets
SD 4.2(b) Cash at bank or in hand 39
SD 4.2(b) Receivables, including trade debtors, loans and other debtors 32
SD 4.2(b) Other assets, including prepayments 32
SD 4.2(b) Property, plant & equipment 32
Liabilities
SD 4.2(b) Trade and other creditors 32
SD 4.2(b) Provisions, including employee benefits 32
Equity
SD 4.2(b) Reserves (Retained surplus) 32
Cash Flow Statement
SD 4.2(b) Cash Flow Statement for the year 34
Notes to the financial statements
FRD9A Notes to Financial Statements 35-46
FRD13 Government grants received or receivable and source 38 or 12
FRD23A Employee superannuation funds 37
Transactions with responsible persons and their related parties 46
FRD21A Responsible person and executive officer disclosure 47
SD 4.2(a) Statement of Recognised Income and Expenditure 31
SD 4.2(j) Accountable officer’s declaration 30
SD 4.5.5 Attestation on Risk Management 29
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8 RISK MANAGEMENT ATTESTATION
I, Lisa Mahood the Chairperson of the Board certify that the North East Victorian Waste Management Group has risk management processes in place consistent with the Australian/New Zealand Risk Management Standard and an internal control system is in place that enables the executive to understand, manage and satisfactorily control risk exposures.
The audit committee verifies this assurance and that the risk profile of the North East Victorian Regional Waste Management Group has been critically reviewed within the last 12 months.
Lisa Mahood
Chairperson
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9 FINANCIAL REPORT
9.1 Accountable Officers Declaration
FINANCIAL AUDITING
Financial auditing is under the control of the Victorian Auditor-General’s Office. That Office appointed Hugh McKenzie McHarg of Johnsons MME as the Auditor of the Group’s financial statements for the period ended June 30, 2011.
DECLARATION UNDER DIRECTION 9.1.3(IV) OF THE FINANCIAL MANAGEMENT ACT 1994
In accordance with Direction 9.1.3(iv) of the Financial Management Act 1994, NevRwaste will make all relevant information, such as declarations of pecuniary interest and details of overseas visits etc, available to the Minister on request.
9.2 Report on the Utilisation of Landfill Levy Funds Received
In 2010-2011 NevRwaste received $303,914 in direct funding from the landfill levy funding.
These funds were utilised to maintain the Core Costs of the organisation, their contribution towards this expense is outlined below:
Expense
Administration Expense $104,927
Employee costs $263,058
Depreciation and amortisation $18,450
Finance costs $461
Total $386,896
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9.3 Audited Financial Statements and Notes
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
NORTH EAST VICTORIAN REGIONAL WASTE MANAGEMENT GROUP ABN: 97 060 945 266
Statutory Certification
We certify the attached financial statements for North East Victorian Regional Waste Management Group have been prepared in accordance with Standing Direction 4.2 of the Financial Management Act 1994, applicable Australian Accounting Standards, Interpretations and other mandatory professional reporting requirements.
We further state that, in our opinion, the information set out in the comprehensive operating statement, statement of financial position, cash flow statement, statement of changes in equity and notes to the financial statements, presents fairly the financial transactions of the North East Victorian Regional Waste Management Group for the period ended 30 June 2011 and the financial position of the Group as at 30 June 2011.
We are not aware of any circumstances which would render any particulars included in the financial statements to be misleading or inaccurate.
Lisa Mahood
Chairperson, North East Victorian Regional Waste Management Group
Brooke Hermans
Executive Officer, North East Victorian Regional Waste Management Group
Dated this 16th day of August 2011
© State of Victoria, NevRwaste 2011. This publication is copyright. No part may be reproduced by any process except in accordance with the provisions of the Copyright Act 1968.
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9.4 Independent Auditors Report
49
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10 APPENDICES
The following is the DSE procedures that NevRwaste are committed to following in relation to the Whistleblower Protection Act.
10.1 WHISTLEBLOWERS PROTECTION ACT – DSE PROCEDURES
1. Statement of support to whistleblowers
The Department of Sustainability and Environment (DSE) is committed to the aims and objectives of the Whistleblowers Protection Act 2001. It does not tolerate improper conduct by its employees, officers or members, nor the taking of reprisals against those who come forward to disclose such conduct.
DSE recognises the value of transparency and accountability in its administrative and management practices, and supports the making of disclosures that reveal corrupt conduct, conduct involving a substantial mismanagement of public resources, or conduct involving a substantial risk to public health and safety or the environment.
DSE will take all reasonable steps to protect people who make such disclosures from any detrimental action in reprisal for making the disclosure. It will also take afford natural justice to the person who is the subject of the disclosure.
2. PURPOSE OF THESE PROCEDURES
These procedures establish a system for reporting disclosures of improper conduct or detrimental action by DSE or its employees. The system enables such disclosures to be made to the protected disclosure coordinator or to one of the nominated protected disclosure officers. Disclosures may be made by employees or by members of the public.
These procedures are designed to complement normal communication channels between supervisors and employees. Employees are encouraged to continue to raise appropriate matters at any time with their supervisors. As an alternative, employees may make a disclosure of improper conduct or detrimental action under the Act in accordance with these procedures.
3. OBJECTS OF THE ACT
The Whistleblowers Protection Act 2001 commences operation on 1 January 2002. The purpose of the Act is to encourage and facilitate the making of disclosures of improper conduct by public officers and public bodies. The Act provides protection to whistleblowers who make disclosures in accordance with the Act, and establishes a system for the matters disclosed to be investigated and rectifying action to be taken.
4. DEFINITIONS OF KEY TERMS
Three key concepts in the reporting system are improper conduct, corrupt conduct and detrimental action. Definitions of these terms are set out below.
4.1 Improper conduct
A disclosure may be made about improper conduct by a public body or public official. Improper conduct means conduct that is corrupt, a substantial mismanagement of public resources, or conduct involving substantial risk to public health or safety or to the environment. The conduct must be serious enough to constitute, if proved, a criminal offence or reasonable grounds for dismissal.
Examples
To avoid closure of a town’s only industry, an environmental health officer ignores or conceals evidence of illegal dumping of waste.
An agricultural officer delays or declines imposing quarantine to allow a financially distressed farmer to sell diseased stock.
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A building inspector tolerates poor practices and structural defects in the work of a leading local builder.
See 4.2 below for specific examples of corrupt conduct.
4.2 Corrupt conduct
Corrupt conduct means:
• conduct of any person (whether or not a public official) that adversely affects the honest performance of a public officer’s or public body’s functions
• the performance of a public officer’s functions dishonestly or with inappropriate partiality • conduct of a public officer, former public officer or a public body that amounts to a breach of public
trust • conduct by a public officer, former public officer or a public body that amounts to the misuse of
information or material acquired in the course of the performance of their official functions • a conspiracy or attempt to engage in the above conduct.
Examples
A public officer takes a bribe or receives a payment other than his or her wages or salary in exchange for the discharge of a public duty.
A public officer favours unmeritorious applications for jobs or permits by friends and relatives.
A public officer sells confidential information.
4.3 Detrimental action
The Act makes it an offence for a person to take detrimental action against a person in reprisal for a protected disclosure. Detrimental action includes:
• action causing injury, loss or damage • intimidation or harassment • discrimination, disadvantage or adverse treatment in relation to a person’s employment, career,
profession, trade or business, including the taking of disciplinary action. Examples
A public body refuses a deserved promotion of a person who makes a disclosure.
A public body demotes, transfers, isolates in the workplace or changes the duties of a whistleblower due to the making of a disclosure.
A person threatens, abuses or carries out other forms of harassment directly or indirectly against the whistleblower, his or her family or friends.
A public body discriminates against the whistleblower or his or her family and associates in subsequent applications for jobs, permits or tenders.
5. THE REPORTING SYSTEM
5.1 Contact persons within DSE
Disclosures of improper conduct or detrimental action by DSE or its employees, may be made to the Protected Disclosures Coordinator:
Jennifer Berensen
Manager Privacy and Legislation Projects
16/8 Nicholson Street East Melbourne 3002
Telephone: 9637 8697
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All correspondence, phone calls and emails from internal or external whistleblowers will be referred to the protected disclosure coordinator.
Where a person is contemplating making a disclosure and is concerned about approaching the protected disclosure coordinator or a protected disclosure officer in the workplace, he or she can call the relevant officer and request a meeting in a discreet location away from the workplace.
5.2 Alternative contact person
A disclosure about improper conduct or detrimental action by DSE or its employees, may also be made directly to the Ombudsman:
Ombudsman Victoria
Level 3, South Tower 459 Collins Street
Melbourne Victoria 3000
(DX 210174)
Internet: www.ombudsman.vic.gov.au
Email: [email protected]
Telephone: (03) 9613 6222
Toll Free: 1800 806 314
Ombudsman: Mr George Brouwer Telephone: (03) 9613 6202
The following table sets out where disclosures about persons other than employees of DSE should be made.
Person who is the subject of the disclosure
Person/body to whom the disclosure must be made
Employee of a public body That public body or the Ombudsman
Member of Parliament (Legislative Assembly)
Speaker of the Legislative Assembly
Member of Parliament (Legislative Council)
President of the Legislative Council
Councillor The Ombudsman
Chief Commissioner of Police The Ombudsman or Deputy Ombudsman
Member of the police force The Ombudsman, Deputy Ombudsman or Chief Commissioner of Police
6. ROLES AND RESPONSIBILITIES
6.1 Employees
Employees are encouraged to report known or suspected incidences of improper conduct or detrimental action in accordance with these procedures.
All employees of DSE have an important role to play in supporting those who have made a legitimate disclosure. They must refrain from any activity that is, or could be perceived to be, victimisation or harassment of a person who makes a disclosure. Furthermore, they should protect and maintain the confidentiality of a person they know or suspect to have made a disclosure.
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6.2 Protected disclosure officers
Protected disclosure officers will:
• be a contact point for general advice about the operation of the Act for any person wishing to make a disclosure about improper conduct or detrimental action
• make arrangements for a disclosure to be made privately and discreetly and, if necessary, away from the workplace
• receive any disclosure made orally or in writing (from internal and external whistleblowers) • commit to writing any disclosure made orally • impartially assess the allegation and determine whether it is a disclosure made in accordance with
Part 2 of the Act (that is, ‘a protected disclosure’) • take all necessary steps to ensure the identity of the whistleblower and the identity of the person who
is the subject of the disclosure are kept confidential • forward all disclosures and supporting evidence to the protected disclosure coordinator.
6.3 Protected disclosure coordinator
The protected disclosure coordinator has a central ‘clearinghouse’ role in the internal reporting system. He or she will:
• receive all disclosures forwarded from the protected disclosure officers • receive all phone calls, emails and letters from members of the public or employees seeking to make
a disclosure • impartially assess each disclosure to determine whether it is a public interest disclosure • refer all public interest disclosures to the Ombudsman • be responsible for carrying out, or appointing an investigator to carry out, an investigation referred to
the public body by the Ombudsman • be responsible for overseeing and coordinating an investigation where an investigator has been
appointed • appoint a welfare manager to support the whistleblower and to protect him or her from any reprisals • advise the whistleblower of the progress of an investigation into the disclosed matter • establish and manage a confidential filing system • collate and publish statistics on disclosures made • take all necessary steps to ensure the identity of the whistleblower and the identity of the person who
is the subject of the disclosure are kept confidential • liaise with the chief executive officer of the public body.
6.4 Investigator
The investigator will be responsible for carrying out an internal investigation into a disclosure where the Ombudsman has referred a matter to the public body. An investigator may be a person from within an organisation or a consultant engaged for that purpose.
6.5 Welfare manager
The welfare manager is responsible for looking after the general welfare of the whistleblower. The welfare manager will:
• examine the immediate welfare and protection needs of a whistleblower who has made a disclosure and seek to foster a supportive work environment
• advise the whistleblower of the legislative and administrative protections available to him or her • listen and respond to any concerns of harassment, intimidation or victimisation in reprisal for making
disclosure • ensure the expectations of the whistleblower are realistic.
7. CONFIDENTIALITY
DSE will take all reasonable steps to protect the identity of the whistleblower. Maintaining confidentiality is crucial in ensuring reprisals are not made against a whistleblower.
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The Act requires any person who receives information due to the handling or investigation of a protected disclosure, not to disclose that information except in certain limited circumstances. Disclosure of information in breach of section 22 constitutes an offence that is punishable by a maximum fine of 60 penalty units or six months imprisonment or both.
The circumstances in which a person may disclose information obtained about a protected disclosure include:
• where exercising the functions of the public body under the Act • when making a report or recommendation under the Act • when publishing statistics in the annual report of a public body • in criminal proceedings for certain offences in the Act.
However, the Act prohibits the inclusion of particulars in any report or recommendation that is likely to lead to the identification of the whistleblower. The Act also prohibits the identification of the person who is the subject of the disclosure in any particulars included in an annual report.
DSE will ensure all files, whether paper or electronic, are kept in a secure room and can only be accessed by the protected disclosure coordinator, protected disclosure officer, the investigator or welfare manager (in relation to welfare matters). All printed material will be kept in files that are clearly marked as a Whistleblower Protection Act matter, and warn of the criminal penalties that apply to any unauthorised divulging information concerning a protected disclosure.
All electronic files will be produced and stored on a stand-alone computer and be given password protection. Backup files will be kept on floppy disc. All materials relevant to an investigation, such as tapes from interviews, will also be stored securely with the whistleblower files.
DSE will not email documents relevant to a whistleblower matter and will ensure all phone calls and meetings are conducted in private.
8. COLLATING AND PUBLISHING STATISTICS
The protected disclosure coordinator will establish a secure register to record the information required to be published in the annual report, and to generally keep account of the status of whistleblower disclosures. The register will be confidential and will not record any information that may identify the whistleblower.
The register will contain the following information:
• the number and types of disclosures made to public bodies during the year • the number of disclosures referred to the Ombudsman for determination as to whether they are public
interest disclosures • the number and types of disclosed matters referred to the public body by the Ombudsman for
investigation • the number and types of disclosures referred by the public body to the Ombudsman for investigation • the number and types of investigations taken over from the public body by the Ombudsman • the number of requests made by a whistleblower to the Ombudsman to take over an investigation by
the public body • the number and types of disclosed matters that the public body has declined to investigate • the number and types of disclosed matters that were substantiated upon investigation and the action
taken on completion of the investigation • any recommendations made by the Ombudsman that relate to the public body.
9. RECEIVING AND ASSESSING DISCLOSURES
9.1 Has the disclosure been made in accordance with Part 2 of the Act?
Where a disclosure has been received by the protected disclosure officer or by the protected disclosure coordinator, he or she will assess whether the disclosure has been made in accordance with Part 2 of the Act and is, therefore, a protected disclosure.
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9.1.1 Has the disclosure been made to the appropriate person?
For the disclosure to be responded to by DSE, it must concern an employee, member or officer of DSE. If the disclosure concerns an employee, officer or member of another public body, the person who has made the disclosure must be advised of the correct person or body to whom the disclosure should be directed (see the table in 5.2). If the disclosure has been made anonymously, it should be referred to the Ombudsman.
9.1.2 Does the disclosure contain the essential elements of a protected disclosure?
To be a protected disclosure, a disclosure must satisfy the following criteria:
• did a natural person (that is, an individual person rather than a corporation) make the disclosure • does the disclosure relate to conduct of a public body or public officer acting in their official capacity • is the alleged conduct either improper conduct or detrimental action taken against a person in reprisal
for making a protected disclosure • does the person making a disclosure have reasonable grounds for believing the alleged conduct has
occurred?
Where a disclosure is assessed to be a protected disclosure, it is referred to the protected disclosure coordinator. The protected disclosure coordinator will determine whether the disclosure is a public interest disclosure.
Where a disclosure is assessed not to be a protected disclosure, the matter does not need to be dealt with under the Act. The protected disclosure officer will decide how the matter should be responded to in consultation with the protected disclosure coordinator.
9.2 Is the disclosure a public interest disclosure?
Where the protected disclosure officer or coordinator has received a disclosure that has been assessed to be a protected disclosure, the protected disclosure coordinator will determine whether the disclosure amounts to a public interest disclosure. This assessment will be made within 45 days of the receipt of the disclosure.
In reaching a conclusion as to whether a protected disclosure is a public interest disclosure, the protected disclosure coordinator will consider whether the disclosure shows, or tends to show, that the public officer to whom the disclosure relates:
• has engaged, is engaging or proposes to engage in improper conduct in his or her capacity as a public officer
• has taken, is taking or proposes to take detrimental action in reprisal for the making of the protected disclosure.
Where the protected disclosure coordinator concludes that the disclosure amounts to a public interest disclosure, he or she will:
• notify the person who made the disclosure of that conclusion • refer the disclosure to the Ombudsman for formal determination as to whether it is indeed a public
interest disclosure.
Where the protected disclosure coordinator concludes that the disclosure is not a public interest disclosure, he or she will:
• notify the person who made the disclosure of that conclusion • advise that person that he or she may request the public body to refer the disclosure to the
Ombudsman for a formal determination as to whether the disclosure is a public interest disclosure, and that this request must be made within 28 days of the notification.
In either case, the protected disclosure coordinator will make the notification and the referral within 14 days of the conclusion being reached by the public body. Notification to the whistleblower is not necessary where the disclosure has been made anonymously.
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10. INVESTIGATIONS
10.1 Introduction
Where the Ombudsman refers a protected disclosure to DSE for investigation, the protected disclosure coordinator will appoint an investigator to carry out the investigation.
The objectives of an investigation will be:
• to collate information relating to the allegation as quickly as possible (this may involve taking steps to protect or preserve documents, materials and equipment)
• to consider the information collected and to draw conclusions objectively and impartially • to maintain procedural fairness in the treatment of witnesses and the person who is the subject of the
disclosure • to make recommendations arising from the conclusions drawn concerning remedial or other
appropriate action.
10.2 Terms of reference
Before commencing an investigation, the protected disclosure coordinator will draw up terms of reference and obtain authorisation for those terms by the DSE Secretary. The terms of reference will set a date by which the investigation report is to be concluded, and will describe the resources available to the investigator to complete the investigation within the time set. The protected disclosure coordinator may approve, if reasonable, an extension of time requested by the investigator. The terms of reference will require the investigator to make regular reports to the protected disclosure coordinator who, in turn, is to keep the Ombudsman informed of general progress.
10.3 Investigation plan
The investigator will prepare an investigation plan for approval by the protected disclosure coordinator. The plan will list the issues to be substantiated and describe the avenue of inquiry.
It will address the following issues:
• what is being alleged • what are the possible findings or offences • what are the facts in issue • how is the inquiry to be conducted • what resources are required?
At the commencement of the investigation, the whistleblower should be:
• notified by the investigator that he or she has been appointed to conduct the investigation • asked to clarify any matters • provide any additional material he or she might have.
The investigator will be sensitive to the whistleblower’s possible fear of reprisals and will be aware of the statutory protections provided to the whistleblower.
10.4 Natural justice
The principles of natural justice will be followed in any investigation of a public interest disclosure. The principles of natural justice concern procedural fairness and ensure a fair decision is reached by an objective decision maker. Maintaining procedural fairness protects the rights of individuals and enhances public confidence in the process.
DSE will have regard to the following issues in ensuring procedural fairness:
• the person who is the subject of the disclosure is entitled to know the allegations made against him or her and must be given the right to respond (this does not mean the person must be advised of the allegation as soon as the disclosure is received or the investigation has commenced)
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• if the investigator is contemplating making a report adverse to the interests of any person, that person should be given the opportunity to put forward further material that may influence the outcome of the report and that person’s defence should be fairly set out in the report
• all relevant parties to a matter should be heard and all submissions should be considered • a decision should not be made until all reasonable inquiries have been made • the investigator or any decision maker should not have a personal or direct interest in the matter
being investigated • all proceedings must be carried out fairly and without bias. Care should be taken to exclude perceived
bias from the process • the investigator must be impartial in assessing the credibility of the whistleblowers and any witnesses.
Where appropriate, conclusions as to credibility should be included in the investigation report.
10.5 Conduct of the investigation
The investigator will make contemporaneous notes of all discussions and phone calls, and all interviews with witnesses will be taped. All information gathered in an investigation will be stored securely. Interviews will be conducted in private and the investigator will take all reasonable steps to protect the identity of the whistleblower. Where disclosure of the identity of the whistleblower cannot be avoided, due to the nature of the allegations, the investigator will warn the whistleblower and his or her welfare manager of this probability.
It is in the discretion of the investigator to allow any witness to have legal or other representation or support during an interview. If a witness has a special need for legal representation or support, permission should be granted.
10.6 Referral of an investigation to the Ombudsman
The protected disclosure coordinator will make a decision regarding the referral of an investigation to the Ombudsman where, on the advice of the investigator:
• the investigation is being obstructed by, for example, the non-cooperation of key witnesses • the investigation has revealed conduct that may constitute a criminal offence.
10.7 Reporting requirements
The protected disclosure coordinator will ensure the whistleblower is kept regularly informed concerning the handling of a protected disclosure and an investigation.
The protected disclosure coordinator will report to the Ombudsman about the progress of an investigation. Where the Ombudsman or the whistleblower requests information about the progress of an investigation, that information will be provided within 28 days of the date of the request.
11. ACTION TAKEN AFTER AN INVESTIGATION
11.1 Investigator’s final report
At the conclusion of the investigation, the investigator will submit a written report of his or her findings to the protected disclosure coordinator. The report will contain:
• the allegations • an account of all relevant information received and, if the investigator has rejected evidence as being
unreliable, the reasons for this opinion being formed • the conclusions reached and the basis for them • any recommendations arising from the conclusions.
Where the investigator has found that the conduct disclosed by the whistleblower has occurred, recommendations made by the investigator will include:
• the steps that need to be taken by DSE to prevent the conduct from continuing or occurring in the future
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• any action that should be taken by DSE to remedy any harm or loss arising from the conduct. This action may include bringing disciplinary proceedings against the person responsible for the conduct, and referring the matter to an appropriate authority for further consideration.
The report will be accompanied by:
• the transcript or other record of any oral evidence taken, including tape recordings • all documents, statements or other exhibits received by the officer and accepted as evidence during
the course of the investigation.
Where the investigator’s report is to include an adverse comment against any person, that person will be given the opportunity to respond and his or her defence will be fairly included in the report.
The report will not disclose particulars likely to lead to the identification of the whistleblower.
11.2 Action to be taken
If the protected disclosure coordinator is satisfied that the investigation has found that the disclosed conduct has occurred, he or she will recommend to the DSE Secretary the action that must be taken to prevent the conduct from continuing or occurring in the future. The protected disclosure coordinator may also recommend that action be taken to remedy any harm or loss arising from the conduct.
The protected disclosure coordinator will provide a written report setting out the findings of the investigation and any remedial steps taken to the Ombudsman, the whistleblower and the responsible Minister.
Where the investigation concludes that the disclosed conduct did not occur, the protected disclosure coordinator will report these findings to the Ombudsman and to the whistleblower.
12. MANAGING THE WELFARE OF THE WHISTLEBLOWER
12.1 Commitment to protecting whistleblowers
DSE is committed to the protection of genuine whistleblowers against detrimental action taken in reprisal for the making of protected disclosures. The protected disclosure coordinator is responsible for ensuring whistleblowers are protected from direct and indirect detrimental action, and that the culture of the workplace is supportive of protected disclosures being made.
The protected disclosure coordinator will appoint a welfare manager to all whistleblowers who have made a protected disclosure. The welfare manager will:
• examine the immediate welfare and protection needs of a whistleblower who has made a disclosure and, where the whistleblower is an employee, seek to foster a supportive work environment
• advise the whistleblower of the legislative and administrative protections available to him or her • listen and respond to any concerns of harassment, intimidation or victimisation in reprisal for making
disclosure • keep a contemporaneous record of all aspects of the case management of the whistleblower including
all contact and follow-up action • ensure the expectations of the whistleblower are realistic.
All employees will be advised that it is an offence for a person to take detrimental action in reprisal for a protected disclosure. The maximum penalty is a fine of 240 penalty units or two years imprisonment or both. The taking of detrimental action in breach of this provision can also be grounds for making a disclosure under the Act and can result in an investigation.
Detrimental action includes:
• causing injury, loss or damage • intimidation or harassment
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• discrimination, disadvantage or adverse treatment in relation to a person’s employment, career, profession, trade or business (including the taking of disciplinary action).
12.2 Keeping the whistleblower informed
The protected disclosure coordinator will ensure the whistleblower is kept informed of action taken in relation to his or her disclosure, and the time frames that apply. The whistleblower will be informed of the objectives of an investigation, the findings of an investigation, and the steps taken by DSE to address any improper conduct that has been found to have occurred. The whistleblower will be given reasons for decisions made by DSE in relation to a protected disclosure. All communication with the whistleblower will be in plain English.
12.3 Occurrence of detrimental action
If a whistleblower reports an incident of harassment, discrimination or adverse treatment that would amount to detrimental action taken in reprisal for the making of the disclosure, the welfare manager will:
• record details of the incident • advise the whistleblower of his or her rights under the Act • advise the protected disclosure coordinator or DSE Secretary of the detrimental action.
The taking of detrimental action in reprisal for the making of a disclosure can be an offence against the Act as well as grounds for making a further disclosure. Where such detrimental action is reported, the protected disclosure coordinator will assess the report as a new disclosure under the Act. Where the protected disclosure coordinator is satisfied that the disclosure is a public interest disclosure, he or she will refer it to the Ombudsman. If the Ombudsman subsequently determines the matter to be a public interest disclosure, the Ombudsman may investigate the matter or refer it to another body for investigation as outlined in the Act.
12.4 Whistleblowers implicated in improper conduct
Where a person who makes a disclosure is implicated in misconduct, DSE will handle the disclosure and protect the whistleblower from reprisals in accordance with the Act, the Ombudsman’s guidelines and these procedures. DSE acknowledges that the act of whistleblowing should not shield whistleblowers from the reasonable consequences flowing from any involvement in improper conduct. Section 17 of the Act specifically provides that a person’s liability for his or her own conduct is not affected by the person’s disclosure of that conduct under the Act. However, in some circumstances, an admission may be a mitigating factor when considering disciplinary or other action.
The DSE Secretary will make the final decision on the advice of the protected disclosure coordinator as to whether disciplinary or other action will be taken against a whistleblower. Where disciplinary or other action relates to conduct that is the subject of the whistleblower’s disclosure, the disciplinary or other action will only be taken after the disclosed matter has been appropriately dealt with.
In all cases where disciplinary or other action is being contemplated, the DSE Secretary must be satisfied that it has been clearly demonstrated that:
• the intention to proceed with disciplinary action is not causally connected to the making of the disclosure (as opposed to the content of the disclosure or other available information)
• there are good and sufficient grounds that would fully justify action against any non-whistleblower in the same circumstances
• there are good and sufficient grounds that justify exercising any discretion to institute disciplinary or other action.
The protected disclosure coordinator will thoroughly document the process including recording the reasons why the disciplinary or other action is being taken, and the reasons why the action is not in retribution for the making of the disclosure. The protected disclosure coordinator will clearly advise the whistleblower of the proposed action to be taken, and of any mitigating factors that have been taken into account.
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13. MANAGEMENT OF THE PERSON AGAINST WHOM A DISCLOSURE HAS BEEN MADE
DSE recognises that employees against whom disclosures are made must also be supported during the handling and investigation of disclosures. DSE will take all reasonable steps to ensure the confidentiality of the person who is the subject of the disclosure during the assessment and investigation process. Where investigations do not substantiate disclosures, the fact that the investigation has been carried out, the results of the investigation, and the identity of the person who is the subject of the disclosure will remain confidential.
The protected disclosure coordinator will ensure the person who is the subject of any disclosure investigated by or on behalf of a public body is:
• informed as to the substance of the allegations • given the opportunity to answer the allegations before a final decision is made • informed as to the substance of any adverse comment that may be included in any report arising from
the investigation • his or her defence set out fairly in any report.
Where the allegations in a disclosure have been investigated, and the person who is the subject of the disclosure is aware of the allegations or the fact of the investigation, the protected disclosure coordinator will formally advise the person who is the subject of the disclosure of the outcome of the investigation.
DSE will give its full support to a person who is the subject of a disclosure where the allegations contained in a disclosure are clearly wrong or unsubstantiated. If the matter has been publicly disclosed, the DSE Secretary of DSE will consider any request by that person to issue a statement of support setting out that the allegations were clearly wrong or unsubstantiated.
14. CRIMINAL OFFENCES
DSE will ensure officers appointed to handle protected disclosures and all other employees are aware of the following offences created by the Act:
• it is an offence for a person to take detrimental action against a person in reprisal for a protected disclosure being made. The Act provides a maximum penalty of a fine of 240 penalty units or two years imprisonment or both.
• it is an offence for a person to divulge information obtained as a result of the handling or investigation of a protected disclosure without legislative authority. The Act provides a maximum penalty of 60 penalty units or six months imprisonment or both
• it is an offence for a person to obstruct the Ombudsman in performing his responsibilities under the Act. The Act provides a maximum penalty of 240 penalty units or two years imprisonment or both
• it is an offence for a person to knowingly provide false information under the Act with the intention that it be acted on as a disclosed matter. The Act provides a maximum penalty of 240 penalty units or two years imprisonment or both.
15. REVIEW
These procedures will be reviewed annually to ensure they meet the objectives of the Act and accord with the Ombudsman’s guidelines.
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