Primary Policy 4.2 Public Interest Disclosure – management › __data › assets › pdf_file › 0036 › 6793… · Public Interest Disclosure – management 1. Purpose This procedure

Compassion - Integrity - Dignity - Innovation - Courage Document ID 4.2.4 Primary Policy 4.2

Public Interest Disclosure – management 1. Purpose

This procedure describes how the Darling Downs Hospital and Health Service (DDHHS) is to

receive, assess, respond to and manage a Public Interest Disclosure (PID).

2. Scope

This procedure applies to members of the public and all permanent, temporary and casual

employees (including employees of the Department of Health), board members, executives,

volunteers, students, visiting medical officers, contractors their agents and assigns.

3. Procedure

3.1 What is a Public Interest Disclosure?

A PID is a disclosure in the public interest, of information about wrongdoing in the public sector

as set out in sections 12 and 13 of the Public Interest Disclosure Act 2010 Qld (PIDA).

For the information, or complaint, to be considered a PID and attract the protections afforded by

the PIDA the information must meet three criteria:

3.1.1 Public interest information about substantial and specific wrongdoings or danger

Any person may disclose information about:

a substantial and specific danger to the health or safety of a person with a disability

a substantial and specific danger to the environment

reprisal action following a PID.

Managing Public Interest Disclosure Page 1 of 21 Printed copies are uncontrolled

Our employees may also disclose information about:

corrupt conduct by another person

maladministration that adversely affects someone’s interests in a substantial and specific

way

a substantial misuse of public resources

a substantial and specific danger to public health or safety

a substantial and specific danger to the environment.

3.1.2 PID must be an appropriate disclosure

An appropriate disclosure meets the subjective and objective tests set out in the PIDA. This

means:

the discloser honestly and reasonable believes the information provided tends to show

the conduct or danger; or

the information tends to show the conduct or danger regardless of the discloser’s belief.

3.1.3 PID must be made to a Proper Authority

Proper authorities are persons and organisations authorised under the PIDA to receive

public interest disclosures. Proper authorities are:

the public sector organisation that is the subject of the PID

an agency that has authority to investigate the matter

a Member of the Legislative Assembly (an MP).

Proper authorities include:

Crime and Corruption Commission (CCC) – for corrupt conduct, including reprisal

Queensland Ombudsman (QO) – for maladministration

Queensland Audit Office (QAO) – for the misuse of public resources

Department of Communities, Child Safety and Disability Services and the Office of the

Public Guardian – for danger to the health and safety of a person with a disability

Department of Environment and Heritage Protection – for danger to the environment

An MP – for any wrongdoing or danger. MPs do not have any authority to investigate a

public interest disclosure.


An MP will need to refer the disclosure to another appropriate proper authority. For

example, the Minister for Health may refer the disclosure to the Department of Health.

3.2 Making a Public Interest Disclosure

A PID may be made to the DDHHS verbally or in writing, and may also be provided

anonymously or through an authorised third party.

3.2.1 If you are an employee:

your line manager

PID Coordinator

Phone: +61 7 4699 8062

Email: [email protected]

Post: PO Box 405, Toowoomba Qld 4350

The Health Service Chief Executive, Darling Downs Hospital and Health Service

Phone: +61 7 4699 8403



another proper authority with the power to investigate or remedy the matter – refer to

Section 3.1.3

a Member of Parliament

3.2.2 If you are a member of the public

Any DDHHS officer who may receive information or a complaint that relates to the

DDHHS - noting the complaint or information of alleged wrongdoing or danger may be

forwarded to other officers or units within the DDHHS

The Consumer Liaison Officer

Phone: +61 7 4616 6152


Post: PMB 2, Toowoomba Qld 4350

The Health Service Chief Executive, Darling Downs Hospital and Health Service

Phone: +61 7 4699 8403



mailto:[email protected]





Another proper authority with the power to investigate or remedy the matter – refer to

Section 3.1.3

A Member of Parliament.

3.3 Roles and Responsibilities

3.3.1 Health Service Chief Executive (HSCE) DDHHS

The HSCE has overall responsibility for ensuring that:

all employees are aware that they are required to conduct their duties to high professional

and ethical standards and always act in the public interest

reasonable procedures are in place to deal with a PID and that those procedures are

published to enable to members of the public and employees to access them

PIDs are promptly and properly assessed, investigated and dealt with, including

appropriate action being taken in relation to any wrongdoing in a PID

employees making a PID receive support and protection from reprisal

all legislative obligations in relation to reporting and investigation are met

all matters involving suspected corrupt conduct are assessed against the Crime and

Corruption Act 2001 section 40 guideline and treated accordingly, including referral to the

CCC where appropriate.

3.3.2 PID Coordinator

The Manager Workplace Relations will perform the role of DDHHS PID Coordinator. This

role is responsible for the overall coordination and implementation of the PID process.

The key responsibilities of the PID Coordinator include:

Ensuring that the DDHHS PID process steps are applied – Refer to Appendix A

receiving and assessing PIDs on behalf of the DDHHS

referring PIDs to other agencies and higher authorities where required in management

decisions

assessing the risks of reprisal

putting in place means to monitor for any signs of reprisal


taking action on the PID, which may involve making recommendations to the CEO for the

appointment of an investigator

informing the discloser of reasonable information

regularly evaluating and monitoring the effectiveness of PID policies and procedures

promoting awareness of PIDs throughout the DDHHS as part of a complaints

management awareness strategy to all employees, including targeted promotion to

officers who may be required to manage a PID

retaining records of and reporting on PIDs to the QO as required.

3.3.3 Executive Directors, Service Directors, Managers and Supervisors holding supervisory roles

Executive Directors, service directors, managers and supervisors are responsible for

maintaining an ethical culture and leading by example through:

providing clear guidance to employees on how to handle complex issues which may

involve corrupt conduct, while maintaining confidentiality and providing natural justice

ensuring that employees are aware of their obligations in relation to the requirements of

this policy

continually monitoring and assessing the workplace for signs of reprisal against a

discloser or subject officer under the principles of natural justice and taking appropriate

actions to protect that person or persons

ensuring that, if PID allegations are substantiated, investigation recommendations are

implemented quickly to reduce the risk of reoccurrence

retaining management responsibility for their workplace and employees to the maximum

extent possible during any PID process

notifying the PID Coordinator in situations where any detrimental actions are taken

against the discloser and discuss concerns and options for addressing the situation

before it escalates.

3.3.4 Workplace Relations Unit

HR Advisors are responsible for: ensuring any reports of wrongdoing that could amount to suspected corrupt conduct

and/or public interest disclosures are immediately referred to the PID Coordinator for

assessment.


3.3.5 Consumer Liaison Unit

Consumer Liaison Officers are responsible for:

referring any out public interest information about substantial and specific wrongdoings or

danger (refer to Section 3.1.1) received from patients or their advocates to the PID

Coordinator for assessment.

3.3.6 Employees

Our employees are responsible for:

being aware of and complying with all relevant whole-of-Government and DDHHS policies

and procedures, including; the Code of Conduct, reporting corrupt conduct and public

interest disclosures

being aware of what reprisal is and ensuring their actions towards a discloser or any

person associated with a disclosure does not amount to a reprisal

attending face to face training and / or completing corporate on-line training within

DDHHS relating to:

• Code of Conduct

• Ethics, Integrity and Accountability (ethical decision-making)

• Corrupt conduct prevention education

• Public Interest Disclosure

3.4 Assessing a Public Interest Disclosure

All disclosures made to the DDHHS or referred to it by another entity or member of the

Legislative Assembly will be assessed by the PID Coordinator with reference to the PIDA and

PID Standard and Standard Assessment Guide – Refer Appendix B.

In assessing a disclosure, the PID Coordinator will determine if:

the person making the disclosure is able to receive the protection of the PIDA and if the

disclosure concerns a matter about which a PID can be made

the person making the disclosure honestly believes on reasonable grounds that the

information tends to show the conduct or if the person has information that tends to show

the conduct


the disclosure has been made to an individual or entity who may receive a PID and been

made in accordance with this procedure or as permitted by the PIDA.

If there is doubt whether the disclosure is a PID, the PID Coordinator should assume that the

disclosure is protected by the PIDA and manage the disclosure as if it were a PID.

It is not necessary for the discloser to identify a matter as a PID, it is the DDHHS’s responsibility

to identify a PID as such and address it accordingly.

Each separate allegation will be reported as a separate PID, unless the matters are clearly

linked and it would be reasonable to view them as a single disclosure.

3.5 Referral to another entity

Where a matter is to be referred to another entity, or when the DDHHS is statutorily bound to

refer matter to an oversight agency (e.g. suspected corrupt conduct to the CCC), the referral

will be done in accordance with the legislative and administrative processes provided for under

the PIDA.

The PID Coordinator will not refer a PID to another agency if there is an unacceptable risk that

a reprisal would happen because of the referral.

In considering whether an unacceptable risk exists, the PID Coordinator will, wherever possible,

consult with the discloser.

3.6 A decision not to investigate a Public Interest Disclosure

Action must be taken on a PID unless it is assessed that no action may be taken.

The DDHHS will provide written reasons to a discloser of its decision not to investigate or

otherwise deal with a PID where:

the matter has already been investigated or dealt with through another appropriate

process


the DDHHS reasonably considers that the disclosure should be dealt with by another

appropriate process

the age of the information disclosed makes it impractical to investigate

the DDHHS reasonably considers that the disclosure is minor enough not to warrant an

investigation and that treating the matter as a PID would not be using DDHHS resources

appropriately

another entity that has jurisdiction to investigate the disclosure has notified the DDHHS

that investigation of the disclosure is not warranted.

A discloser may apply to the HSCE for a review of a decision not to consider information as a

PID or not to investigate or deal with a PID within 28 days of receiving such reasons.

Alternatively, the discloser may contact another appropriate agency in relation to the PID.

Even if no action is taken by the DDHHS, PID confidentiality requirements and protections

continue to apply.

Under the PIDA, a discloser may make a PID to a journalist if they have already made

essentially the same disclosure to a public sector entity that is a ‘proper authority’ and:

the entity has decided not to investigate or deal with the disclosure, or

the entity investigated the disclosure but did not recommend taking any action, or

the discloser was not notified within six months of making the disclosure whether or not

the disclosure was to be investigated or dealt with.

3.7 Risk Assessment

As soon as possible after receiving a PID, a risk assessment will be conducted by the PID

Coordinator to determine the level of risk of a reprisal to the discloser and to any other persons

associated with the disclosure — Refer to Appendix C

Appropriate protections, proportionate to the level of risk and the potential consequences of a

reprisal, will be put in place where a risk has been identified. This may include developing

specific strategies to reduce the level of risk to the discloser in the workplace and may include


consideration of the suspension or secondment of the person about who the disclosure is made

(the subject officer).

If the risk is determined to be sufficiently high, the PID Coordinator will, in consultation with the

discloser and any other relevant stakeholder, develop a protection plan for the discloser and

provide ongoing support including:

acknowledging that the making of the PID was the right thing to do and is valued

making a clear statement that the DDHHS will support the discloser through this process

ensuring that the discloser has appropriate support and protection from reprisal

regularly checking the discloser’s well-being where warranted

providing information to the discloser about the DDHHS’s employee assistance

mechanisms

liaising with the officers responsible for work health and safety if the discloser’s health

becomes a concern.

Where a reprisal is alleged or suspected of occurring, the PID Coordinator will:

attend to the discloser’s safety and/or that of any other affected parties as a matter of

priority

take all practical steps to minimise the possibility of reprisal by reviewing the risk

assessment and protective measures provided to the discloser

manage any allegation of reprisal as a PID in its own right.

The PID Coordinator will advise the discloser when all organised support arrangements have

been completed, although the obligation to provide protection from reprisal and maintain

confidentiality about PID matters continues after the investigation is closed.

The PID Coordinator may continue to monitor the discloser’s welfare (in association with the

relevant manager) for an additional period after the PID has been finalised so that any

unreported support needs can be identified and resolved.


3.8 Disclosures about an Individual

The DDHHS will ensure that all people involved in PIDs (as discloser or subject officer) are

offered an appropriate level of support and case management. Action will be taken to ensure

where possible that people’s identities and the details of the disclosure remain confidential.

Employees who have had a PID made against them are assumed to be innocent of any

adverse allegation until there is evidence to the required standard of proof to show otherwise.

The rules of natural justice apply to any employee who becomes a subject officer under

investigation in respect of an allegation made against them. In such instances, and through the

PID Coordinator, the employee has the right to:

know the substance of the allegations if a decision is going to be made about their

conduct

have a reasonable opportunity to put their case forward (whether in writing, at a hearing

or otherwise)

have a decision maker act fairly and without bias.

Providing natural justice does not mean that the employee should be advised of the allegation

as soon as it is received. Employee need not be told about an allegation if it is:

misleading

has no substance

not intended to act on the allegation.

Employees against whom an allegation has been made are to be reassured by the PID

Coordinator that the PID will be assessed impartially, objectively and reasonably and that it is

only an allegation until any evidence collected shows otherwise. They should be provided with

information of their rights, and the progress and outcomes of any investigation undertaken.

Employees who are the subject of an allegation may seek assistance from their legal

representative or union, or may utilise the services of the DDHHS’s employee assistance

program for advice and counselling.


Protection exists for those employees against whom an intentionally false PID is made. It is an

offence under section 66 of the PIDA, punishable by up to two years imprisonment, to

intentionally make a false or misleading statement intending it to be acted upon as a PID.

Making a false and misleading disclosure may also result in a disciplinary action being

commenced against the discloser.

The Queensland Public Service Code of Conduct provides that “we will support employees who

report genuine concerns of wrongdoing and manage any reports of wrongdoing in a fair,

transparent and consistent manner”. As such, employees will have performed their duty in

participating in an investigation and should not be treated adversely because of any

involvement in this process. Any substantiated allegations of adverse treatment on these

grounds may result in disciplinary action being taken.

The PID Coordinator will provide feedback to the PID discloser about the progress and the

outcome of the PID. The DDHHS also undertakes to keep a discloser who is not our employee

informed of progress on their PID.

Any apparent conflict between disclosure and confidentiality will be risk-managed through a

clear focus on the prevention of fraud, wrongdoing and unethical behaviour as outlined in this

policy.

3.9 Reporting responsibilities

The PID Coordinator is responsible for recording and reporting information regarding PIDs

received by the DDHHS as set out in Appendix D.

All documentation relating to a PID will be stored in a confidential file and secured in a locked

area. No details will be placed on personal files. If an employee is transferred to another agency

the PID file remains the property of the DDHHS.


3.10 Approval and review

The PID Coordinator is responsible for the preparation, review and maintenance of this

document. It will be reviewed annually, unless circumstances dictate that a review should be

undertaken sooner to ensure that the contents accord with relevant legislation and standards.

4. Primary policy

Ethics and Conduct (4.2)

5. Related policies, procedures and work instructions

Nil

6. Supporting documents

Disability Services Act 2006 QLD

Public Interest Disclosure Act 2010 Qld

Crime and Corruption Act 2001 Qld

Queensland Ombudsman Public Interest Disclosure Standard No. 1

Managing a public interest disclosure program – A guide for public sector organisations

Making a public interest disclosure: A guide for individuals working in the public sector

Handling a public interest disclosure: A guide for public sector managers and supervisors

Code of Conduct for the Queensland Public Service

HR Policy E9, Requirements for reporting corrupt conduct

Fraud Awareness training package - DDLOL

Ethics, Integrity and Accountability training package - DDLOL

7. Related standards

ISO 9001:2015 Quality Management Systems — Clause 6.1

8. Related values

Integrity

Dignity


https://www.legislation.qld.gov.au/LEGISLTN/CURRENT/D/DisabServA06.pdf

https://www.legislation.qld.gov.au/LEGISLTN/CURRENT/P/PubIntDisA10.pdf

https://www.legislation.qld.gov.au/LEGISLTN/CURRENT/C/CrimeandCorruptionA01.pdf

https://www.ombudsman.qld.gov.au/what-we-do/role-of-the-ombudsman/legislation-and-standard

https://www.ombudsman.qld.gov.au/improve-public-administration/public-interest-disclosures/public-interest-disclosure-resources/public-interest-disclosure-guides



https://www.forgov.qld.gov.au/code-conduct-queensland-public-service

https://www.health.qld.gov.au/__data/assets/pdf_file/0024/396132/qh-pol-218.pdf

9. Definitions

Term Definition Corrupt Conduct (1) Corrupt conduct means conduct of a person, regardless of

whether the person holds or held an appointment, that— a) adversely affects, or could adversely affect, directly or

indirectly, the performance of functions or the exercise of powers of—

(i) a unit of public administration; or (ii) a person holding an appointment; and

b) results, or could result, directly or indirectly, in the performance of functions or the exercise of powers mentioned in paragraph (a) in a way that—

(i) is not honest or is not impartial; or (ii) involves a breach of the trust placed in a person

holding an appointment, either knowingly or recklessly; or

(iii) involves a misuse of information or material acquired in or in connection with the performance of functions or the exercise of powers of a person holding an appointment; and

c) is engaged in for the purpose of providing a benefit to the person or another person or causing a detriment to another person; and

d) would, if proved, be— (i) a criminal offence; or (ii) a disciplinary breach providing reasonable grounds

for terminating the person’s services, if the person is or were the holder of an appointment.

(2) Without limiting subsection (1), conduct that involves any of the following could be corrupt conduct under subsection (1)—

(a) abuse of public office; (b) bribery, including bribery relating to an election; (c) extortion; (d) obtaining or offering a secret commission; (e) fraud; (f) stealing; (g) forgery; (h) perverting the course of justice; (i) an offence relating to an electoral donation; (j) loss of revenue of the State; (k) sedition; (l) homicide, serious assault or assault occasioning bodily harm or

grievous bodily harm; (m) obtaining a financial benefit from procuring prostitution or from

unlawful prostitution engaged in by another person; (n) illegal drug trafficking; (o) illegal gambling.

Detriment Includes - a) personal injury or prejudice to safety; and b) property damage or loss; and


c) intimidation or harassment; and d) adverse discrimination, disadvantage or adverse treatment about

career, profession, employment, trade or business; and e) financial loss; and f) damage to reputation, including, for example, personal,

professional or business reputation Disability a permanent disability or one likely to be permanent –

a) that is attributable to an intellectual, psychiatric, cognitive, neurological, sensory or physical impairment or a combination of impairments; and

b) that results in – (i) a substantial reduction of the person’s capacity for

communication, social interaction, learning or mobility; and (ii) the person needing support

Discloser A person who makes a public interest disclosure

Entity A public sector entity is any of the following— a) a committee of the Legislative Assembly, whether or not

a statutory committee; b) the parliamentary service; c) a court or tribunal; d) the administrative office attached to a court or tribunal; e) the Executive Council; f) a department;

Note— The following are, or are included in, departments—

• the Queensland Ambulance Service • the Queensland Fire and Rescue Service • the Queensland Police Service.

g) a local government; h) a registered higher education provider or TAFE

Queensland; i) the Queensland Agricultural Training Colleges under

the Queensland Agricultural Training Colleges Act 2005;

j) an entity established under an Act or under State or local government authorisation for a public, State or local government purpose;

k) an entity, prescribed under a regulation, that is assisted by public funds.

Environment a) ecosystems and their constituent parts, including people and communities; and

b) all natural and physical resources; and c) the qualities and characteristics of locations, places and areas,

however large or small, that contribute to their biological diversity and integrity, intrinsic or attributed scientific value or interest, amenity, harmony and sense of community; and

d) the social, economic, aesthetic and cultural conditions that affect,


or are affected by, things mentioned in paragraphs (a) to (c). (Environmental Protection Act 1994)

Journalist A person engaged in the occupation of writing or editing material intended for publication in the print or electronic news media.

Maladministration administrative action that: a) was taken contrary to law; or b) was unreasonable, unjust, oppressive, or improperly

discriminatory; or c) was unreasonable, unjust, oppressive, or improperly

discriminatory in the particular circumstances even though it is within the law; or

d) was taken for an improper purpose, or on irrelevant grounds, or having regard to irrelevant considerations; or

e) was an action for which reasons should have been given, but were not given; or

f) was based wholly or partly on a mistake of law or fact; or g) was wrong.

Official misconduct Conduct concerned with the performance of an officer’s duties that is not honest or impartial, a breach of the trust placed in the person, or a misuse of information or material acquired through the officer’s position and that could, if proved, be –

a) a criminal offence; or b) a disciplinary breach providing reasonable grounds for terminating

the person’s services, if the person is or was the holder of an appointment.

Public health or safety the health or safety of persons: a) under lawful care or control; or b) using community facilities or services provided by the public or

private sector; or c) in employment workplace

Public interest disclosure A disclosure of information specified in the Public Interest Disclosure Act 2010 (sections 12 and 13) and made to an appropriate public sector entity that has the responsibility or power to take appropriate action about the information disclosed or to provide an appropriate remedy.

Reprisal Causing, attempting to or conspiring to cause, detriment to another because, or in the belief that, they have made, or intend to make, a PID.

Subject Officer A subject officer is an employee who is the subject of a complaint or allegation where some level of management intervention might be required.

Substantial and specific (e.g. describing danger to the environment) While not defined in the Act, substantial means “of a significant or considerable degree”. It must be more than trivial or minimal and have some weight or importance. Specific means “precise or particular”. This refers to conduct or detriment that is able to be identified or particularised as opposed to broad or general concerns or criticisms.


10. Procedure revision and approval history

Executive Sponsor Executive Director Workforce Author Director Human Resources Approval Authority Corporate Service Improvement Committee (CorpSIC) Keywords public interest disclosures

Version Approved Effective Authority Comment Review

1.0 12/09/2013 12/09/2013 HSCE 1st version 12/09/2015 2.0 18/09/2017 18/09/2017 CorpSIC 2nd version 18/09/2020

Name: ____________________________

Signature: ____________________________

Chair: Corporate Service Improvement Committee

11. Appendices

Appendix A — PID Process Guide

Appendix B — Assessment Guide

Appendix C — Assessing the Risk of Reprisal Guide

Appendix D — Content of Reporting Record for a PID


Appendix A — PID Process guide

Disclosure received

Document the disclosure

• Ensure information about discloser and disclosure is appropriately recorded

Do a risk assessment

• Assess the risk of reprisal (when the disclosure is first made) in consultation with the discloser

• Develop and implement an appropriate program of support in consultation with discloser (could include appointment of a case manager or support person)

Communicate and record

• Provide written acknowledgement to discloser that PlD has been received and available information about planned action

• Determine confidentiality and recordkeeping arrangements for this PID

• Create an initial record of the PID in the PID reporting database

Assessment undertaken

Assess and determine action

• Undertake the assessment process to determine if no action required, or if action is required

• Consider the rights of the subject officer and take appropriate action

Feedback and support provided to

discloser

Inform the discloser

• Inform the discloser of the assessment outcome - either further action (including what action is proposed) or no action required (must provide written reasons for not investigating or dealing with the PID)

• Ensure the discloser is informed about confidentiality, the investigative process and the agency's commitment to continue reasonable management action

Reconsider risk assessment and risk of reprisal

• Reconsider risk assessment and support arrangements (e.g. does assessment outcome change earlier assessment?)

• Monitor workplace for signs of reprisal

If no further action after assessment - finalise PID report in the PID database

The matter is investigated

Investigate

• Undertake investigation

Continue to protect discloser and subject officer

• Protect the rights of the subject officer during the investigative process

• Support and regularly follow-up with the discloser

• Monitor the workplace for reprisal and take action as necessary

• Manage the impact of the investigation on the workplace

Investigation

completed and action taken

Act on investigation outcomes

• Determine outcome and take necessary action arising from investigation

• Update PID report in the PID database

Advise discloser of outcome

• If action is taken, provide the discloser with a written description of the results of the action (unless information is 'likely to adversely affect' - see PIDA 32 (4))

• Reassess risks to discloser, determine need for additional/on-going support and implement

Recordkeeping

• Ensure records of investigation appropriately secured '

Finalisation of matter

Finalise

• Finalise recordkeeping and ensure PID database record is accurate and complete

Consider improvements

• Consider any improvements to policies, or procedures as a result of the PID assessment, investigation and outcomes and advise the HSCE

Implement improvements

• Implement agreed improvements


Appendix B — Assessment guide

Criteria Considerations PID Act Notes

Is this public interest information under PID Act?

A public officer

NOT a public officer

s.7

Is the discloser an employee of the public sector entity that is being complained about or another entity? Consider their employment status - i.e. permanent, temporary, contractor or volunteer?

Is the disclosure about: substantial and specific

danger to health and safety of a person with a disability

substantial and specific

danger to the environment reprisal in connection with

a PID Does the disclosure relate to: corrupt conduct maladministration that

adversely affects a person's interests in a substantial and specific way

a substantial misuse of

public resources substantial and specific

danger to public health or safety


danger to the environment

Is the disclosure about: substantial and specific

danger to health and safety of a person with a disability


danger to the environment reprisal in connection with

a PID?

ss. 12 - 13

What is the issue raised in the complaint/disclosure? How did you reach this view?

Is it an appropriate disclosure?

Does the discloser honestly believe on reasonable grounds

that the information tends to show the conduct

Does the information tend to show that the conduct occurred (regardless of whether the person honestly believes the information tends to show the conduct)

ss. 12(3) or 13(3)

Why do you consider the disclosure is appropriate? Is there any reason to consider it inappropriate?

Is it made to a ‘Proper Authority’?

Was the matter disclosed to a proper authority?

ss14,15 or 16 s.17

Who is receiving the disclosure and what are the reasons why you consider the disclosure is made to a 'proper authority'? Are there any relevant considerations regarding how the disclosure may be made?

Decision and Action

Not assessed as meeting the PID requirements

What action should now be taken on this matter? (e.g. treat as a service complaint?) Was it a 'purported

PID'? (must inform the discloser of the result of the assessment).

Could be a PID, if made to a proper authority

What action should now be taken? Referral? Advice to complainant?

Assessed as a PID to this agency What action should now be taken? Is referral necessary or appropriate?

Comments and action Decision-maker and date


Appendix C — Assessing the risk of reprisal guide

Relevant law and standards One of the main purposes of the Public Interest Disclosure Act 2010 is to provide people who make PIDs with protection from reprisal. The Queensland Ombudsman’s Public Interest Disclosure Standard No. 1 (the PID Standard) requires a public sector entity CEO to conduct an assessment of the risk of reprisal to the discloser, and others associated with the matter, when a disclosure is received. The standard also requires protective measures to be proportionate to the risk of reprisal. If the risk is sufficiently high, an entity must prepare a protection plan. The PID Act also:

requires public officers be given support and offered protection from reprisals (s.28) prevents referral of disclosure to another public entity if there is an ‘unacceptable risk of reprisal’

(s.31). The PID Standard recommends the use of the Australian Standard for Risk Management— Principles and Guidelines (ISO 31000:2009). ISO 31000 states: ‘a risk is the effect of uncertainty on objectives’. In the case of a PID, the objective is to manage the risk of reprisal against the discloser and others associated with the disclosure. The risk management process includes:

establishing the context assessing risk • identification • analysis • evaluation

treating the risk monitoring and reviewing actions

Communication and consultation feeds into each step of the process Identify, assess and evaluate the risk of reprisal To identify and assess the risk of reprisal, you will need to consider the specific circumstances that apply to the PID. The following table provides general guidance on issues that could be considered in determining the risk of reprisal.


The disclosure Reprisal may be less likely Reprisal may be more likely How serious is the allegation about wrongdoing? For example, does the allegation involve large sums of money or significant disadvantage to a person or group?

Matter is in the lower range. If proven, it’s likely the matter could it be dealt with through management action

It’s serious. If proven, dismissal is highly likely or there is a high probability that it could lead to a criminal charge.

Timing? When did the event or behaviour take place? The disclosure relates to an isolated event or actions that occurred some time ago.

Disclosure relates to a current or ongoing practice. It occurs frequently.

The discloser What relationship or history is there between the discloser and the subject officer?

Little connection between the discloser and subject officer. No particular relationship or history.

A history of tension between the officers (for example, previous complaints or allegations of reprisal).

On a daily basis, how closely connected are the discloser and subject officer(s)?

Relatively low level connection – for example, work in different work units, little work interaction.

The subject officer is the discloser’s direct supervisor or makes decisions about the officer’s work.

Can there be adequate monitoring and response in the workplace environment for reprisal activity?

Yes. Discloser works in close proximity to other managers and work units; activities can be readily observed.

No. Discloser is isolated from observation.

How likely is it that the discloser’s identity will become known during the investigative process?

Unlikely. Likely.

What is the discloser’s employment status? Secure employment Less secure such as casual/temporary or seeking change to employment status (for example, seeking leave for family reasons, seeking to reduce hours to transition to retirement).

Has the discloser raised concerns about the risk of reprisal during the process of making a disclosure?

Not concerned. A specific threat has been made; or discloser has expressed concern and has provided reasons for that concern.

Have others raised concerns about the risk of reprisal? No The discloser’s manager or the subject officer’s manager has expressed concern about the potential for reprisal.

What support is available to the discloser? Discloser has strong support network in workplace. Little or no support available in workplace. Subject officer How many subject officers? One subject officer. A number of officers involved

in the allegations. What role or powers does the subject officer have? Little influence or decision- making power. Influential or with significant decision-making powers. Organisational environment What kind of impact would there be on the organisation if allegation is proven?

Relatively minor and contained Would be severe with widespread impact.

What is known about the culture of the workplace generally and the work area connected to the disclosure?

Strong ethical culture that encourages officers to speak-up about wrongdoing.

A history of inappropriate behaviours and harassment.

Is there anything known that would suggest someone other than the subject officer may take reprisal action?

Nothing known. Concerns raised by discloser or other person involved in the process.

How is the investigation undertaken? Internally conducted. Investigation is conducted outside the organisation.


Appendix D — Content of reporting record for a PID

The record of each PID which will include:

the name of the person making the PID (if known)

the subject of the PID

any action taken on the PID

any other information needed to comply with the reporting requirements of the QO,

including:

the date the disclosure was received, and who it was received from

the status of the discloser (i.e. entity employees, employees from another entity, member of

the public, anonymous)

the gender and status of the subject officer (employees member, non-employees member)

the relationship between the discloser and the subject officer

the geographical location of the subject officer

a summary of the allegation/information received

the involvement of an external agency/party

the action taken to minimize the risk of reprisal

the date the inquiry/investigation commenced and was completed

the outcome of the assessment, inquiry/investigation

the date the PID was resolved or closed

when the outcome was advised to the discloser

if no action was taken, the reason for the decision

other legal processes associated with the disclosure.


Documents

Primary Policy 4.2 Public Interest Disclosure – management › __data › assets › pdf_file › 0036 › 6793… · Public Interest Disclosure – management 1. Purpose This procedure