Public Interest Disclosure Policy

Serious wrongdoing is defined in the PID Act as one or more of the following categories:

• corrupt conduct — such as a public official accepting a bribe, or the improper use of knowledge, power or position for personal gain or the advantage of others. 
• serious maladministration — such as taking an action that is unlawful, or an agency systemically failing to comply with proper recruitment processes when hiring staff.
• a government information contravention — such as destroying, concealing or altering records to prevent them from being released under a Government Information Public Access application.
• a local government pecuniary interest contravention — such as a senior council staff member recommending a family member for a council contract and not declaring the relationship.
• a privacy contravention — such as unlawfully accessing a person’s personal information on an agency’s database.
• a serious and substantial waste of public money — such as an agency not following a competitive tendering process when contracting with entities to undertake government work.

Further definitions of each category are available in Schedule 2 of the PID Act. Corrupt conduct is defined in Part 3 of the Independent Commission Against Corruption Act 1988 (ICAC Act).

When you make a report of wrongdoing, you do not need to state to us what category of serious wrongdoing you are reporting or that you are reporting serious wrongdoing.

When a public official report suspected or possible serious wrongdoing in the public sector, their report will be a PID if it has certain features which are set out in the PID Act.

There are three types of PIDs in the PID Act:

• Voluntary PID: This is a PID where a report has been made by the public official because they decided, of their own accord, to come forward and disclose what they know.
• Mandatory PID: This is a PID where the public official has made a report about serious wrongdoing because they have a legal obligation to make that report, or because making that report is an ordinary aspect of their role or function in an agency.
• Witness PID: This is a PID where a person discloses information during an investigation of serious wrongdoing following a request or requirement of the investigator.

This policy mostly relates to making a voluntary PID and how we will deal with voluntary PIDs. People who make a mandatory PID or a witness PID are still entitled to protection. More information about protections is available in section 5 of this policy.

You can find more information about mandatory and witness PIDs in the Ombudsman’s guidelines.

1.2.1 Voluntary PIDs

Voluntary PIDs are the kind of PIDs most people have in mind when they think about public interest reporting and ‘whistleblowing’.

They involve a public official making a report because they have information that they believe shows (or tends to show) serious wrongdoing, where they are not under a legal obligation to make that report and where it is not an ordinary part of their role to report such wrongdoing.

Any public official (refer to section 2 of this policy) can make a voluntary PID. A public official can make a PID about serious wrongdoing relating to any agency, not just the agency they are working for. This means that we may receive PIDs from public officials outside our Department. It also means that you can make a PID to any agency, including an integrity agency like the Independent Commission Against Corruption (ICAC) and the NSW Ombudsman. Annexure B of this policy has a list of integrity agencies.

A report is a voluntary PID if it has all of the following five features, which are set out in sections 24 to 27 of the PID Act:

1. A report is made by a public official (see section 2 of this policy)
2. It is made to a person who can receive voluntary PIDs (see section 3.3 of this policy)
3. The public official honestly and reasonably believes that the information they are providing shows (or tends to show) serious wrongdoing
4. The report was made orally or in writing 
5. The report is voluntary (meaning it is not a mandatory or witness PID).

You will not be expected to prove that what you reported happened or is serious wrongdoing. You do have to honestly believe, on reasonable grounds, that the information you are reporting shows or tends to show serious wrongdoing.

Even though you do not have to prove the serious wrongdoing happened or provide evidence, a mere allegation with no supporting information is unlikely to meet this test.

If we make an error and do not identify that you have made a voluntary PID, you will still be entitled to the protections under the PID Act.

If you make a report and believe we have made an error by not identifying that you have made a voluntary PID, you should raise this with the Disclosure Coordinator, a disclosure officer or your contact officer for the report. If you are still not satisfied with this outcome, you can seek an internal review, or we make seek to conciliate the matter. You may also contact the NSW Ombudsman. Further information on rights to internal review and conciliation is found in section 4.7 of this policy.

1.2.2 Deeming that a report is a voluntary PID

The Secretary or the Disclosure Coordinator, can, in certain circumstances, determine that a report is a voluntary PID even if the report does not otherwise have all the features of a voluntary PID. This is known as the ‘deeming power.’ By deeming that a report is a voluntary PID, it ensures that reporters are provided with protections under the PID Act.

If you make a report that has not met all the requirements of a voluntary PID, you can refer your matter to the Secretary or the Disclosure Coordinator to request that they consider deeming your report to be a voluntary PID.

A decision to deem a report to be a voluntary PID is at the discretion of the Secretary or the Disclosure Coordinator.  For more information about the deeming power, see the Ombudsman’s guidelines.

You can make a voluntary PID:

• in writing — this could be an email or letter to a person who can receive voluntary PIDs.
• orally — have a private discussion with a person who can receive voluntary PIDs. This can be face-to-face, via telephone or virtually. The person receiving your oral disclosure must make a written record of the disclosure.
• anonymously — write an email or letter or call a person who can receive PIDs to make a report without providing your name or anything that might identify you as the maker of the report. A report will only be considered anonymous if there is no reasonable or practical way of communicating with the person making the report. Even if you choose to remain anonymous, you will still be protected under the PID Act. It may be difficult, however, for the Department to investigate the matter(s) you have disclosed if we cannot contact you for further information.

For a report to be a voluntary PID, it must be made to certain public officials.

1.3.1 Making a report to a public official who works for the Department

You can make a report inside the Department to:

• the Secretary
• the Disclosure Coordinator – refer to Annexure A
• a disclosure officer for the Department – refer to Annexure A
• the Ethics & Integrity Team by emailing ethics@dciths.nsw.gov.au.
• your manager — this is the person who directly, or indirectly, supervises you. It can also be the person who you directly, or indirectly, report to. You may have more than one manager. Your manager will make sure that the report is communicated to a disclosure officer on your behalf or may accompany you while you make the report to a disclosure officer.
• the Department’s external Integrity Hotline (includes an anonymous report option). This service is provided by Core Integrity and reports can be made by: 
  • Phone:1800 303 406
  • Online: Use the online portal or scan the QR Code:

•  
  • Email:DCITHSIntegrityHotline@coreintegrity.com.au
  • Post: PO Box 730, Milsons Point 1565

1.3.2 Making a report to a recipient outside of the Department

You can also make your report to a public official in another agency (meaning an agency you do not work for) or an integrity agency. These include:

• the head of another agency — this means the head of any public service agency
• an integrity agency — a list of integrity agencies is located at Annexure B of this policy
• a disclosure officer for another agency — ways to contact disclosure officers for other agencies is in an agency’s PID policy which can be found on their public website
• a Minister or a member of a Minister’s staff but the report must be made in writing.

If you choose to make a disclosure outside of this Department, it is possible that your disclosure will be referred to this Department so that appropriate action can be taken.

1.3.3 Making a report to a Member of Parliament (MP) or journalist

Disclosures to MPs or journalists are different to other reports. You can only disclose a report of wrongdoing as a voluntary PID to an MP or journalist in the following circumstances:

• You must have first made substantially the same disclosure (described here as a ‘previous disclosure’) to someone who can receive disclosures.
• The previous disclosure must be substantially true.
• You did not make the previous disclosure anonymously.
• You did not give a written waiver of your right to receive information relating to your previous disclosure.
• You did not receive the following from the Department:
  • notification that the Department will not investigate the serious wrongdoing and will also not refer the previous disclosure to another agency, or
  • the following information at the end of the investigation period:
    • notice of the Department’s decision to investigate the serious wrongdoing
    • a description of the results of an investigation into the serious wrongdoing
    • details of proposed or recommended corrective action because of the previous disclosure or investigation.

Investigation period means:

• after six months from the previous disclosure being made, or
• after 12 months if you applied for an internal review of the Department’s decision within six months of making the disclosure.

If all the above requirements are met, your disclosure to an MP or journalist may be a voluntary PID.

You should provide as much information as possible so we can deal with the report effectively. The type of information you should include is:

• date, time and location of key events
• names of person(s) involved in the suspected wrongdoing, their role, title and how they are involved
• your relationship with the person(s) involved, such as whether you work closely with them
• your explanation of the matter you are reporting
• how you became aware of the matter you are reporting
• possible witnesses
• other information you have that supports your report.

When a disclosure officer in the Department receives a report which is a voluntary PID, or looks like it may be a voluntary PID, the person who made the report will receive the following information from the Disclosure Coordinator or the Department’s Ethics & Integrity Team:

• You will receive an acknowledgment that the report has been received. This acknowledgement will:
  • state that the report will be assessed to identify whether it is a PID.
  • state that the PID Act applies to how we deal with the report.
  • provide clear information on how you can access this PID policy.
  • provide you with details of a contact person and available supports.
• If the report is assessed a voluntary PID, we will, as soon as possible: 
  • discuss with you:
    • to establish whether you are at risk of detrimental action, and to take steps to mitigate the risk of detrimental action occurring against you.
    • whether you need support networks to be put in place and how this will be assessed on an ongoing basis.
    • how updates will be provided to you.
  • inform you how we intend to deal with the report. This may include:
    • that we are investigating the serious wrongdoing.
    • that we will refer the report to a different agency (if appropriate) to deal with the voluntary PID. If we do this, we will provide you with details of this referral.
    • if we decide to not investigate the report and to not refer it to another agency for it to be investigated, we will tell you about the reasons for this decision. We will also notify the NSW Ombudsman of this decision.
• We will inform you if your report is not in fact a voluntary PID, and we have decided not to deal with it as one, if you have stated that your report is a voluntary PID.
• If we decide to investigate the serious wrongdoing, we will provide you with updates on the investigation at least every three months. During this time, if you would like more frequent updates, you should contact the contact person who was nominated when you made the report.
  • We will provide you with the following information once the investigation is complete:
    • a description of the results of the investigation – that is, we will tell you whether we found that serious wrongdoing took place.
    • information about any corrective action(s) as a result of the investigation – this means we will tell you what action we took in relation to the person who engaged in the serious wrongdoing or if the serious wrongdoing was by our Department, what we have put in place to address that serious wrongdoing.
  • Corrective action could include taking disciplinary action against someone or changing the practices, policies, and procedures that we have in place which led to the serious wrongdoing.
  • There may be some details about both the findings made because of the investigation and the corrective action taken that cannot be revealed to you. We will always balance the right of a person who makes a report to know the outcome of that report, with other legal obligations we have.
• If you have made an anonymous report, in many cases we may not be able to provide this information to you.

Once a report that may be a voluntary PID is received, it will be referred by the recipient to the Disclosure Coordinator for assessment. The Disclosure Coordinator will look at the information contained in the report to see if it has the features of a voluntary PID. This assessment is undertaken to identify whether the report is a voluntary PID or another type of disclosure, and to make sure that the right steps are followed.

The Disclosure Coordinator or the Secretary will review the proposed assessment and then determine whether the report is voluntary PID. If it is a voluntary PID, we will ensure that we comply with the requirements in the PID Act.

A report that relates to the Disclosure Coordinator will be referred to the Secretary. A report that relates to the Secretary will be referred to an integrity agency.

2.2.1 Where the report is not, or ceases to be, a voluntary PID

If the report is not a voluntary PID, we will let you know that the PID Act does not apply to the report and how we will deal with the concerns raised in the report. Even if your report is not a voluntary PID, it will still need to be dealt with or through an alternate process.

We may also stop dealing with a voluntary PID because it is not actually a voluntary PID (meaning it does not have all the features of a PID). If we cease dealing with a voluntary PID, we will tell you about the reasons for this decision.

If you are not happy with this assessment or otherwise disagree with it, you can raise it with the person who has communicated the outcome with you or a disclosure officer or request an internal review or that the matter be conciliated – refer to section 4.7.

2.2.2 Where the report is a voluntary PID

If the report is assessed as a voluntary PID:

• The Department’s Ethics & Integrity Team will review and determine the appropriate nature and scope of any investigation to be conducted under the oversight of the Deputy Secretary, Corporate Services or the Secretary, including any decision to appoint an external investigator.
• In most cases the Department will investigate to make findings about whether the serious wrongdoing disclosed in the report occurred, who was involved, who was responsible, and whether the people involved, or the agency engaged, in serious wrongdoing.
• There may be circumstances where we decide that the report should be referred to another agency, such as an integrity agency. For example, reports concerning possible corrupt conduct may be required to be reported to the ICAC in accordance with section 11 of the ICAC Act.
• Before referring a matter, we may discuss the referral with the other agency, and we will provide you with details of the referral and a contact person or email within the other agency.
• There may be circumstances where we believe an investigation is not warranted — for example, if the conduct has previously been investigated. If we decide not to investigate a report and to not refer the matter to another agency, we must let you know the reasons for this and notify the NSW Ombudsman.

We understand that people who make voluntary PIDs may want their identity and the fact that they have made a report to be confidential.

Under the PID Act, information tending to identify a person as the maker of a voluntary PID (known as identifying information) is not to be disclosed by a public official or an agency.

There are certain circumstances under the PID Act that allow for the disclosure of identifying information. These include:

• where the person consents in writing to the disclosure.
• where it is generally known that the person is the maker of the voluntary PID because of their voluntary self-identification as the maker.
• when the public official or the Department reasonably considers it necessary to disclose the information to protect a person from detriment.
• where it is necessary the information be disclosed to a person whose interests are affected by the disclosure.
• where the information has previously been lawfully published.
• when the information is disclosed to a medical practitioner or psychologist for the purposes of providing medical or psychiatric care, treatment or counselling to the individual disclosing the information.
• when the information is disclosed for the purposes of proceedings before a court or tribunal.
• when the disclosure of the information is necessary to deal with the disclosure effectively.
• if it is otherwise in the public interest to disclose the identifying information.

We will not disclose identifying information unless it is necessary and authorised under the PID Act.

We will put in place steps to keep the identifying information of the maker and the fact that a report has been made confidential. It may not be possible for us to maintain complete confidentiality while we progress the investigation, but we will do all that we can to not unnecessarily disclose information from which the maker of the report can be identified. We will:

• Limit the number of people who are aware of the maker’s identity or information that could identify them.
• Ensure that any person who does know the identity of the maker of a PID is reminded that they have a legal obligation to keep their identity confidential.
• Ensure that only authorised persons have access to emails, files or other documentation that contain information about the identity of the maker.
• Provide information to the maker of the PID about the importance of maintaining confidentiality and advising them how best to protect their identity, for example, by telling them not to discuss their report with other staff.

If confidentiality cannot be maintained or is unlikely to be maintained, we will:

• Advise the person whose identity may become known.
• Update the risk assessment and risk management plan.
• Implement strategies to minimise the risk of detrimental action.
• Provide supports to the person who has made the PID.
• Remind persons who become aware of the identifying information of the consequences for failing to maintain confidentiality, and that engaging in detrimental action is a criminal offence and may also be a disciplinary matter.

The Department will not tolerate any detrimental action being taken by any person against a person who has made a PID, investigators, witnesses, or a person the report is about.

We will assess and take steps to mitigate detrimental action from being taken against the maker of a voluntary PID, a person whose conduct is the subject of a PID, investigators and witnesses.

We will take steps to assess and minimise the risk of detrimental action by:

• completing a risk assessment and establishing a risk management plan that will be maintained and reassessed throughout the entirety of the matter.
• providing information to the maker of a PID about:
  • how the Department will communicate with them to identify and manage risks of detrimental action.
  • what supports are available or will be provided.
• implementing strategies to mitigate risks of detrimental action.

The Ethics & Integrity Team will prepare the risk assessment and risk management plan for approval by either the Disclosure Coordinator, the Deputy Secretary, Corporate Services or the Secretary.

If you believe detrimental action is occurring, refer to section 5.5 of this policy for information about how to report it and how the Department will deal with allegations of a detrimental action offence.

The Department will ensure that persons who report wrongdoing are provided with information on how to access support services. Employees of the Department have access to the Department’s Employee Assistance Program (EAP). Our EAP provider Converge International can be contacted at any time on 1300 687 327.

Persons who report wrongdoing will be allocated a key contact person, who will generally be a member of the Ethics & Integrity Team. The key contact person will work with the person to keep them updated about their report, manage the risks of detrimental action, and to respond to any concerns around confidentiality or how their report is being dealt with.

The NSW Ombudsman can provide advice about the PID Act and reporting generally.

The findings of an investigation into serious wrongdoing will be provided to the appropriate decision maker with authority to determine:

• what steps will be taken to address any recommendations in the findings,
• who will be responsible for ensuring any corrective action takes place, and
• how the maker of a voluntary PID will be notified of the corrective action.

The decision maker will be determined on the basis of the matter under investigation, however it will generally be either the Secretary or the Deputy Secretary, Corporate Services.

If, after an investigation, it is found that serious wrongdoing or other misconduct has occurred, the Department must take the most appropriate action to address that wrongdoing or misconduct. This is also known as corrective action.

Corrective action can include:

• a formal apology
• improving internal policies to adequately prevent and respond to similar instances of wrongdoing
• providing additional education and training to staff where required
• taking employment action against persons involved in the wrongdoing (such as termination of employment, relocation, a caution, or reprimand
• payment of compensation to people who have been affected by serious wrongdoing or other misconduct.

2.7.1 Internal review

People who are making or have made a voluntary PID can seek an internal review of the following decisions made by the Department:

• that the Department is not required to deal with the report as a voluntary PID.
• to stop dealing with the report because the Department decided it was not a voluntary PID.
• to not investigate the alleged serious wrongdoing and not refer the report to another agency.
• to cease investigating the serious wrongdoing without either completing the investigation or referring the report to another agency for investigation.

The Department will ensure internal reviews are conducted in compliance with the PID Act.

If you would like to make an application for an internal review, you must apply in writing to the Disclosures Coordinator (refer to Annexure A for contact details) within 28 days of being informed of the Department’s decision. The application should state the reasons why you consider that the Department’s decision should not have been made. You may also submit any other relevant material with your application.

The internal review will be dealt with by a person (the reviewer) who was not substantially involved in making the decision or dealing with the report. Internal reviews will be completed within 20 working days of the reviewer receiving all information supplied by the applicant.

The reviewer will notify the applicant of their decision, and the Department will give effect to that decision.

2.7.2   Voluntary dispute resolution (conciliation)

If a dispute arises between the Department and a person who has made a report which is, or may be, a voluntary PID, we may request the NSW Ombudsman to conciliate the dispute. Conciliation is a voluntary process and will only be suitable for disputes where the Department and the maker of the report are willing to resolve the dispute.

When you make a voluntary PID you receive special protections under the PID Act.

We are committed to taking all reasonable steps to protect you from detriment because of having made a PID. We are also committed to maintaining your confidentiality as much as possible while the PID is being dealt with.

We will not tolerate any type of detrimental action being taken against you because you have made a report, might make a report, or are believed to have made a report.

The maker of a voluntary PID is protected in the following ways:

• Protection from detrimental action
  • A person cannot take detrimental action against another person because they have made a voluntary PID or are considering making a PID. Detrimental action includes bullying, harassment, intimidation, or dismissal.
  • Once we become aware that a voluntary PID by a person employed or otherwise associated with the Department that concerns serious wrongdoing relating to the Department, we will undertake a risk assessment and take steps to mitigate the risk of detrimental action occurring against the person who made the voluntary PID.
  • It is a criminal offence for someone to take detrimental action against a person because they have made or may make a voluntary PID. It is punishable by a maximum penalty of 200 penalty units or imprisonment for five years or both.
  • A person may seek compensation where unlawful detrimental action has been taken against them.
  • A person can apply for a court order (injunction) where detrimental action is threatened or has occurred (for example, an order to prevent dismissal or to require reinstatement).

Note that a person who makes a PID can still be subject to reasonable management action (such as ordinary performance reviews and performance management). Provided such action is not taken because of the PID, it is not detrimental action under the PID Act.

• Immunity from civil and criminal liability

Some public officials are often subject to a duty of confidentiality that prevents them disclosing certain information that they obtain or become aware of at work. Sometimes, to make a PID, public officials will need to breach or disregard such confidentiality duties. If that happens, a public official cannot be disciplined, sued, or criminally charged for breaching confidentiality.

• Confidentiality

Public officials and agencies must not disclose information tending to identify a person as the maker of a voluntary PID unless doing so is permitted by the PID Act.

• Protection from liability for own past conduct

The Attorney General can give the maker an undertaking that a disclosure of their own past conduct will not be used against them if a person discloses their own wrongdoing or misconduct while making a report. This undertaking can only be given on application by an integrity agency to the Attorney General.

The maker of a mandatory or witness PID is protected in the following ways:

• Protection from detrimental action other than reasonable management action, including the right to compensation and the ability to apply for an injunction to prevent the commission or possible commission of a detrimental action offence.
• Immunity from civil and criminal liability for breaching a duty of secrecy or confidentiality.
• Protection from liability for own past conduct if given by the Attorney General on application by an integrity agency.

A more detailed definition of these three protections is included in section 5.1.

The maker of a mandatory or witness PID is not entitled to the confidentiality protections that apply to the maker of a voluntary PID. However, where possible and provided it does not hinder an investigation, the Department will maintain the confidentiality of a maker’s identity whether it is a mandatory or witness PID, or some other type of complaint.

Investigators of serious wrongdoing also have protection from detrimental action other than reasonable management action, including the right to compensation and the ability to apply for an injunction to prevent the commission or possible commission of a detrimental action offence.

Detrimental action is defined in section 32 the PID Act as an act or omission that causes, comprises, involves, or encourages detriment to a person or a threat of detriment to a person (whether expressed or implied). Detriment to a person includes:

• injury, damage, or loss
• property damage
• reputational damage
• intimidation, bullying or harassment
• unfavourable treatment in relation to another person’s job
• discrimination, prejudice, or adverse treatment
• disciplinary proceedings or disciplinary action, or
• any other type of disadvantage.

Detrimental action does not include:

• lawful action taken by a person or body to investigate serious wrongdoing or other misconduct
• the lawful reporting or publication of a finding of serious wrongdoing or other misconduct
• the lawful making of adverse comment, resulting from investigative action
• the prosecution of a person for a criminal offence
• reasonable management action taken by someone in relation to a person who made or may make a PID. For example, a reasonable appraisal of a PID maker’s work performance.

If you experience adverse treatment or detrimental action, such as bullying or harassment, you should report this immediately.

You can report any experience of adverse treatment or detrimental action directly to the Department through person occupying a role listed in Annexure A of this policy. You can also report detrimental action to an integrity agency listed in Annexure B of this policy.

If the Department receives an allegation that a detrimental action offence has occurred or may occur, we will:

• acknowledge the report of alleged detrimental action.
• inform the person who the alleged action has been taken against about how they will be updated and what supports will be offered.
• determine whether detrimental action is occurring, and if so, take all steps possible to stop the action and protect the person(s).
• consider whether disciplinary action should be taken against anyone that has taken detrimental action.
• refer any evidence of a detrimental action offence to the Commissioner of Police and the ICAC or the Law Enforcement Conduct Commission (whichever is applicable).
• notify the NSW Ombudsman about the allegation of a detrimental action offence being committed.

The Ethics & Integrity Team is responsible for taking the above steps as approved by either the Disclosure Coordinator, the Deputy Secretary, Engagement, Operations & Governance, or the Secretary.

The Secretary is responsible for:

• fostering a workplace culture where reporting wrongdoing is encouraged.
• receiving disclosures and reports of wrongdoing from public officials.
• ensuring there is a system in place for assessing disclosures.
• ensuring the Department complies with this policy and the PID Act.
• ensuring that the Department has appropriate systems for:
  • overseeing internal compliance with the PID Act,
  • supporting public officials who make voluntary PIDs, including by minimising the risk of detrimental action,
  • implementing corrective action if serious wrongdoing is found to have occurred,
  • complying with reporting obligations regarding allegations or findings of detrimental action, and
  • complying with yearly reporting obligations to the NSW Ombudsman.

The Department’s Disclosure Coordinator is the Chief People Officer. The Disclosure Coordinator is responsible for:

• receiving reports of wrongdoing from public officials.
• acknowledging reports of wrongdoing made under this policy.
• assessing whether a report is a PID, including deeming a report as a voluntary PID.
• providing updates to the maker of a voluntary PID about how their report is being dealt with, including providing updates during an investigation at intervals of not more than 3 months.
• directing the activities of the Ethics & Integrity Team in accordance with this policy, including the performance of investigations into serious wrongdoing.
• preparing risk assessment and management plans to minimise the risk of detrimental action, other than reasonable management action, being taken against a person as a result of a report of wrongdoing.
• managing allegations or evidence of a detrimental action offence appropriately.
• ensuring that applications for internal review are dealt with appropriately.
• implementing this policy and maintaining the Department’s systems to comply with this policy and the PID Act.

The Deputy Secretary, Engagement Operations & Governance is responsible for:

• ensuring the Department’s systems to comply with this policy and the PID Act are operating effectively.
• ensuring the appropriate nature, scope and performance of an investigation into serious wrongdoing.
• ensuring adequate resources are available for the Department to implement this policy.

Disclosure officers are responsible for:

• receiving reports of wrongdoing from public officials.
• receiving reports when they are passed on to them by managers.
• ensuring reports are dealt with appropriately, including by referring them to the Disclosure Coordinator or the Secretary.
• ensuring that any oral reports that have been received are recorded in writing.
• maintaining confidentiality and supporting the person who has made a report.
• completing mandatory training in relation to their responsibilities under the PID Act within 3 months.

The responsibilities of managers include:

• receiving reports of wrongdoing from persons that report to them or that they supervise.
• passing on reports they receive to a disclosure officer – refer to Annexure A.
• completing mandatory training in relation to their responsibilities under the PID Act within 3 months.

All employees must:

• report suspected serious wrongdoing or other misconduct.
• report suspected detrimental action being taken as a result of a report of wrongdoing.
• use their best endeavours to assist in an investigation of serious wrongdoing if asked to do so by a person dealing with a voluntary PID on behalf of the Department.
• treat any person dealing with or investigating reports of serious wrongdoing with respect.

All employees must not take detrimental action against any person who has made, may in the future make, or is suspected of having made, a PID. You also must not disclose information tending to identify a person as the maker of a voluntary PID unless doing so is permitted by the PID Act.

The Department will keep full and accurate records with respect to all information received in connection with the PID Act. This ensures that the Department complies with its obligations under the State Records Act 1998.

All records relating to reports of wrongdoing are maintained confidentially in restricted access locations by the Ethics & Integrity Team, in compliance with the Department’s Records Management Policy.

Each year the Department will provide an annual return to the NSW Ombudsman which includes:

• information about voluntary PIDs received by the Department during each return period (yearly with the start date being 1 July).
• action taken by the Department to deal with voluntary PIDs during the return period.
• how we promoted a culture in the workplace where PIDs are encouraged.

The Ethics & Integrity Team will prepare and complete the annual return at the direction of the Disclosure Coordinator.

The Deputy Secretary, Corporate Services has oversight of this policy and whether it is operating effectively, including whether the Department is continuing to comply with the PID Act and whether the policy is meeting its purpose.

Non-compliance with the PID Act or this policy may be determined to be misconduct and result in disciplinary action being taken in accordance with the Government Sector Employment Act 2013.

The Disclosure Coordinator will provide advice, at least annually, on the performance of this policy to the Secretary and the Department’s Audit & Risk Committee. This advice will include any non-compliance and the actions taken or recommended to improve the performance of this policy.