HR P 001

PIRSA WHISTLEBLOWERS POLICY

PIRSA is committed to high levels of professionalism and ethical behaviour in delivering its services; and values transparency and accountability in its administrative and management practices. This policy supports a culture that:

gives employees ‘voice’ in matters of ethics

fosters an environment where people feel safe in discussing genuine and legitimate concerns about governance and ethical behaviour within PIRSA

encourages the challenge of inappropriate behaviour at all levels within PIRSA.

Document Control

Managed by: PIRSA Risk and Integrity Unit Responsible position:

Deputy Chief Executive Version: 3.0

Contact person: Tim Goodes Approved by: PIRSA Executive File & document number:

CORP F2008/000681

A258686

Contact position: Deputy Chief Executive Date approved: 19 June 2017 Status: Approved

Contact number: (08) 8226 4382 Next review date:

19 June 2020 Security classification:

Public

CONTENTS

1. TITLE.............................................................................................................................................. 4

2. POLICY STATEMENT....................................................................................................................4

3. PURPOSE.......................................................................................................................................4

4. SCOPE............................................................................................................................................ 4

5. OBJECTIVES................................................................................................................................. 4

6. POLICY DETAILS...........................................................................................................................5

6.1 Legislation............................................................................................................................... 5

6.2 Whistleblowers Protection Act roles and accountabilities........................................................5

6.2.1 Chief executive................................................................................................................ 5

6.2.2 Whistleblower contact officer...........................................................................................5

6.2.3 Whistleblower responsible officers...................................................................................6

6.2.4 Employees and contractors.............................................................................................6

6.3 Management of disclosures.....................................................................................................7

6.3.1 Reports............................................................................................................................ 7

6.3.2 Natural justice principles..................................................................................................7

6.4 Management of an employee that has been implicated in a disclosure..................................8

7. MONITORING, EVALUATION AND REVIEW................................................................................8

8. DEFINITIONS AND ABBREVIATIONS..........................................................................................8

9. ASSOCIATED DOCUMENTS.......................................................................................................10

9.1 Legislation............................................................................................................................. 10

9.2 SA Government.....................................................................................................................10

9.3 PIRSA....................................................................................................................................10

10. REFERENCES..............................................................................................................................11

APPENDIX A: MAKING A REPORT UNDER THE WHISTLEBLOWERS PROTECTION ACT............12

APPENDIX B: MANAGING REPORTS UNDER THE WHISTLEBLOWERS PROTECTION ACT........15

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Revision Record

Date Version Revision description

28/10/2008 1.0 Policy and procedure approved by PIRSA Corporate Executive.

25/02/2014 2.0 Revised policy approved by PIRSA Executive.

19/06/2017 3.0 Revised policy approved by Deputy Chief Executive.

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1. TITLE

PIRSA Whistleblowers Policy HR P 001.

2. POLICY STATEMENT

PIRSA is committed to high levels of professionalism and ethical behaviour in delivering its services;

and values transparency and accountability in its administrative and management practices. This policy

supports a culture that:

gives employees ‘voice’ in matters of ethics

fosters an environment where people feel safe in discussing genuine and legitimate concerns about

governance and ethical behaviour within PIRSA

encourages the challenge of inappropriate behaviour at all levels within PIRSA.

3. PURPOSE

The purpose of this policy is to:

describe PIRSA’s internal mechanisms, protocols and approach to the effective receipt and

management of disclosures of public interest information (as defined in section 8. Definitions and

Abbreviations of this policy)

ensure that PIRSA’s processes are aligned with the Whistleblowers Protection Act 1993 (the Act).

4. SCOPE

This policy applies to all PIRSA employees and contractors but, consistent with the Act, makes

allowance for the fact that members of the public can also make public interest information disclosures.

5. OBJECTIVES

The objectives of this policy are to:

raise awareness about the need for compliance with the Act and Code of Ethics for the South Australian Public Sector; and to protect informants against victimisation or reprisal

promote efficient management of PIRSA’s collective resources covering commercial in confidence

information, financial, capital and human resources

encourage the appropriate disclosure of public interest information

enhance PIRSA’s reputation as an organisation that takes its governance obligations seriously and

is recognised as an ‘ethical workplace’

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support the objectives of the Act by providing a framework for disclosure where maladministration,

waste or corrupt conduct in SA Public Sector public administration is suspected.

6. POLICY DETAILS

6.1 Legislation

The object of the Act is to facilitate the disclosure of maladministration and waste in the SA Public

Sector and of corrupt or illegal conduct by providing a means for making such disclosures and

appropriate protections for those who make disclosures.

The Act stipulates conditions which must be met in order for a person making a disclosure to receive

protection and immunity from civil or criminal liability, namely:

there must be an appropriate disclosure, and

the information disclosed must be public interest information.

These terms are defined in section 8. Definitions and Abbreviations of this policy.

The Act does not protect people who make false disclosures, where they know it to be false or are

reckless about whether it is false, and includes severe penalties (fine or imprisonment) for doing so.

Such disclosures may also be defamatory and therefore subject to legal action.

6.2 Whistleblowers Protection Act roles and accountabilities

6.2.1 Chief executive

The Chief Executive is responsible for ensuring that PIRSA has a clear policy and process for managing

any disclosures that fall under the Act and protecting informants in accordance with the Act.

6.2.2 Whistleblower contact officer

Given PIRSA’s business diversity and geographic dispersal, the PIRSA Chief Executive places

responsibility on a suitably qualified senior PIRSA officer to act as a ‘business neutral’ Whistleblower

contact to provide advice to a potential informant contemplating a disclosure.

The PIRSA Whistleblower Contact Officer does not receive or respond to disclosures but can provide

general advice. This advice should be confidential, unbiased, non-judgmental and objective. Advice will

be confined to matters such as an explanation of the Act and its key principles; clarification of PIRSA

policies, procedures and guidelines; and assistance identifying to whom the disclosure should be made.

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The PIRSA Whistleblower Contact Officer will be appointed by PIRSA Executive on the basis that the

officer occupies an independent role to that of PIRSA’s business divisions; and possesses qualities

such as trustworthiness, ability to relate to people and reassure them, diplomacy and tact, and ability to

be objective.

The current PIRSA Whistleblower Contact Officer appointed by PIRSA Executive is the Director,

Engagement, Performance and Reform, phone: (08) 8429 0118.

6.2.3 Whistleblower responsible officers

In accordance with section 7 of the Public Sector Act 2009 and Commissioner for Public Sector Employment’s Determination 4: Qualifications for Designated Whistleblower Contact Officers , PIRSA

has designated the Deputy Chief Executive and all Executive Directors as Responsible Officers under

the Act.

In summary, the role of a PIRSA Responsible Officer is to:

receive disclosures and determine if they are made in accordance with the Act

explain to the informant their rights and obligations

conduct and/or manage an investigation; or refer the disclosure to another appropriate authority for

investigation

ensure the informant is kept up to date with progress of the investigation and outcomes as far as

possible and in accordance with the law.

More detail on the role and responsibilities of a Responsible Officer are provided in Appendix B:

Managing Reports under the Whistleblowers Act.

6.2.4 Employees and contractors

Employees and contractors have a responsibility to report actual or suspected corrupt or illegal conduct

and/or fraudulent activities; as well as instances of official misconduct, maladministration or other public

interest information (as defined in section 8. Definitions and Abbreviations of this policy).

Such reports are to be made to a PIRSA Whistleblower responsible officer or an appropriate authority.

Where a matter falls within the responsibilities of the SA Independent Commissioner Against Corruption,

an employee should consider their reporting obligations under the Independent Commissioner Against Corruption Directions and Guidelines for Inquiry Agencies, Public Authorities and Public Officers.

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See Appendix A: Making a Report under the Whistleblowers Act, the PIRSA Fraud and Corruption Control Policy HR P 022 and the PIRSA Fraud Control Plan for more information on reporting

obligations.

6.3 Management of disclosures

6.3.1 Reports

The Act includes specific provisions relating to confidentiality, advice provided to informants and

offenses relating to victimisation of informants. It does not specify particular administrative procedures

for responding to disclosures, as each will have a unique set of circumstances and complexities and

may require a specific approach. Management of reports will be guided by Crown Law advice and other

relevant policies, guidelines and legislation.

Information on PIRSA’s approach to managing reports made under the Act is provided in Appendix B:

Managing Reports under the Whistleblowers Act.

6.3.2 Natural justice principles

The principles of natural justice underpin the management of all public interest information disclosures.

This ensures:

procedural fairness

that a fair decision is reached by an objective decision-maker

the rights of all individuals involved are protected

public confidence in the process is enhanced.

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6.4 Management of an employee that has been implicated in a disclosure

PIRSA recognises that employees against whom disclosures are made must also be supported. Such

employees will be reminded of their entitlement to access the PIRSA Health and Wellbeing Program (EAP) if required (Note: this link is only accessible by SA Public Sector employees on the PIRSA or

StateNet SA Government networks).

PIRSA will take all reasonable steps to ensure the confidentiality of the employee who is the subject of

the report during any assessment and/or consequential investigation. Where findings do not

substantiate the report, the results of the investigation and the identity of the employee who is the

subject of the disclosure will remain confidential.

Employees that are the subject of a report are entitled to know the allegations made against them and

will be given the right to respond. This does not mean however, that the person must be advised of the

allegation as soon as the report is received and/or that the investigation has commenced; or provided

with the identity of the informant which is to remain confidential.

7. MONITORING, EVALUATION AND REVIEW

The Deputy Chief Executive will ensure this policy is reviewed every three years, or sooner where there

is an amendment to the legislation and/or relevant directives or guidelines.

8. DEFINITIONS AND ABBREVIATIONS

Term Meaning

Appropriate

authority

The Whistleblowers Protection Act provides a detailed definition of an appropriate authority,

which includes a Minister of the Crown; a member of the police force; the SA Auditor

General; the SA Commissioner for Public Employment; the Chief Justice; an Ombudsman;

and an agency nominated Responsible Officer (as defined by in sub-section 5(4) of the

Act).

Note: disclosures may be made to people other than the appropriate authorities if it is,

given the circumstances of the case, reasonable and appropriate to do so. This would

include mandatory disclosure to the SA Office for Public Integrity .

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Term Meaning

Appropriate

disclosure

A person makes an appropriate disclosure where:

the person:

o believes on reasonable grounds that the information disclosed is true; or

o if not in a position to form a belief on reasonable grounds about the truth of the

information, but believes the information may be true and is of sufficient

significance to justify its disclosure so that its truth may be investigated; and

the disclosure is made to a person to whom it is reasonable, in the circumstances of

the case, and appropriate to make the disclosure (as defined in sub-section 5(2) of the

Act).

A disclosure is taken to have been made to such a person if it is made to an appropriate

authority (as defined in sub-section 5(4) of the Act).

Ethical

behaviour

Guidance of ethical behaviour is provided in the Code of Ethics for the South Australian Public Sector. This code includes clear values and principles of behaviour that are

expected of SA Public Sector employees.

Public interest

information

Information that tends to show:

that an adult person (whether or not a public officer), body corporate or government

agency is or has been involved (either before or after the commencement of the Act)

in:

o an illegal activity, or

o an irregular and unauthorised use of public money, or

o substantial mismanagement of public resources, or

o conduct that causes a substantial risk to public health or safety, or to the

environment, or

that a public officer is guilty of maladministration in or in relation to the performance

(either before or after the commencement of the Act) of official functions.

Whistleblower A person who makes an appropriate disclosure of public interest information in accordance

with the Act.

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Term Meaning

Victimisation Detriment caused to a person on the ground, or substantially on the ground, that the other

person or a third person has made or intends to make an appropriate disclosure of public

interest information. ‘Detriment’ includes injury, damage or loss; or intimidation or

harassment; or discrimination, disadvantage or adverse treatment in relation to a person’s

employment; or threats of reprisal (as defined in section 9 of the Act).

9. ASSOCIATED DOCUMENTS

9.1 Legislation

Whistleblowers Protection Act 1993

Independent Commissioner Against Corruption Act 2012

Equal Opportunity Act 1984

Freedom of Information Act 1991

Public Sector Act 2009

Public Sector (Honesty and Accountability) Act 1995

State Records Act 1997

9.2 SA Government

Code of Ethics for the South Australian Public Sector

Commissioner for Public Sector Employment Determination 4: Qualifications for Designated Whistleblower Contact Officers

Independent Commissioner Against Corruption Directions and Guidelines for Inquiry Agencies, Public Authorities and Public Officers

SA Office for Public Integrity

State Records of SA Whistleblowers Act 1993 – Implications for Records Management Recordkeeping Information Sheet RK031

9.3 PIRSA

PIRSA Fraud and Corruption Control Policy HR P 022

PIRSA Fraud Control Plan

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Note: the following links are only accessible by SA Public Sector employees on the PIRSA or StateNet

SA Government networks:

PIRSA Document and Records Management Policy IM P 002

PIRSA Document and Records Management Access Controls and Security Guideline IM G 007

PIRSA Freedom from Discrimination, Harassment and Bullying Policy HR P 006

PIRSA Grievance Resolution Procedure HR R 014

PIRSA Health and Wellbeing Program (EAP) intranet page

10. REFERENCES

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APPENDIX A: MAKING A REPORT UNDER THE WHISTLEBLOWERS PROTECTION ACT

PIRSA employees have a responsibility to report actual or suspected corrupt and/or fraudulent activities as

well as instances of official misconduct, maladministration or other public interest information. A member of

the public may also make a public interest information disclosure report to PIRSA using the mechanisms

described below.

Before making a report – things to consider

The Whistleblowers Protection Act 1993 (the Act) is designed to protect genuine whistleblowers that

disclose information they believe on reasonable grounds to be true; or if the information is of sufficient

significance to justify its disclosure may be true. The report must disclose public interest information defined

in section 8. Definitions and Abbreviations of this policy.

It is recommended that a potential informant read the Act and consider obtaining advice from:

PIRSA’s Whistleblower Contact Officer

a PIRSA Whistleblower Responsible Officer

a relevant union

the SA Ombudsman

the SA Commissioner for Public Sector Employment

the SA Office for Public Integrity

or other appropriate authority.

PIRSA’s Whistleblower Contact Officer does not receive reports but can provide general advice on the Act

and its key principles; PIRSA policies, procedures and guidelines; and who the disclosure should be

reported to.

The SA Independent Commissioner Against Corruption website provides access to the Independent Commissioner Against Corruption Directions and Guidelines for Inquiry Agencies, Public Authorities and Public Officers; and other tools to assist SA Public Sector officers understand their obligations under the

Independent Commissioner Against Corruption Act 2012 and concepts such as ‘forming a reasonable

suspicion’.

It should be noted that the Whistleblowers Protection Act does not protect people who make a false or

reckless claim.

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Making a report

It is recommended (but not required) that reports are in writing and provide as much detail as possible, e.g.:

the specific allegations

the time, date and location of the activity

any witnesses

supporting documentation or evidence, including emails, letters or invoices.

The informant is encouraged to identify themselves when making a report. Anonymous reports will be

investigated, however it should be noted that investigations may be limited if the informant is not able to

participate and/or act as a witness.

Who to report to

Under the Act, reports are to be made to an appropriate authority as defined in section 8. Definitions and

Abbreviations of this policy. This definition includes a whistleblower responsible officer nominated by an

agency, as well as other officers and entities such as a member of the police force, the SA Auditor-General,

the SA Commissioner for Public Sector Employment and an Ombudsman.

The Whistleblower Responsible Officers nominated by PIRSA are the Deputy Chief Executive and all

Executive Directors.

Where the matter being reported falls under the responsibility of the SA Independent Commissioner Against

Corruption, a public officer (which includes a SA Public Sector employee) must report the matter to the SA

Office of Public Integrity. The officer may also report the matter to a PIRSA Whistleblower Responsible

Officer so that an internal investigation can be considered.

More information is available on the SA Independent Commissioner Against Corruption website and in the

PIRSA Fraud Control Plan.

How reports are managed

All reports will be handled in accordance with the Whistleblowers Protection Act. Appendix B provides

information on PIRSA requirements for managing a report under the Act.

Confidentiality

The Act specifies that an informant’s identity will be kept confidential, except where they consent to it being

divulged or it is required to ensure proper investigation of the allegation.

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Consent or refusal to provide consent to divulge the informant’s identity must be obtained in writing.

Should the matter come before a court or tribunal, it is possible that the informant’s identity may be required

for the matter to progress.

Victimisation

The Act makes it an offence to victimise an informant, that is, to cause detriment to another person or a third

person who has or intends to make a report. ‘Detriment’ is defined in the Act to include injury, damage or

loss; intimidation or harassment; discrimination, disadvantage or adverse treatment in relation to a person’s

employment; or threats of reprisal.

If an informant believes they have been victimised as a result of a disclosure, this should be reported to the

PIRSA Whistleblower Responsible Officer who is responsible for taking action to address the matter. This

may include referral of the matter to another appropriate person or body for advice or action.

Obligation to assist investigation

To be protected by the Act, the informant must assist with any investigation of the matter conducted by the

police or any other official investigating authority. This does not however, oblige the informant to assist

investigations conducted by the authority to which their report relates (i.e. an internal investigation).

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APPENDIX B: MANAGING REPORTS UNDER THE WHISTLEBLOWERS PROTECTION ACT

Receipt of a report

When a PIRSA Whistleblower Responsible Officer receives a report they will:

listen to the disclosure without judgement

explain the rights and obligations of a whistleblower to the informant

explain how the matter will be progressed having regard to the Whistleblowers Protection Act (the Act);

Crown Law advice; and PIRSA policies, procedures and guidelines

provide appropriate support throughout the process, including referral to the PIRSA Health and Wellbeing Program (EAP) if required (Note: this link is only accessible by SA Public Sector employees

on the PIRSA or StateNet SA Government networks)

ensure natural justice principles are applied.

Appropriate investigation authority

The PIRSA Whistleblower Responsible Officer will make an assessment as to whether the matter should be

investigated internally or reported to another appropriate authority, e.g. if the matter relates to corruption,

maladministration or misconduct in SA Public Sector public administration as defined in the Independent

Commissioner Against Corruption Act, the matter must be reported to the SA Office of Public Integrity.

Crown Law advice may be sought by the PIRSA Whistleblower Responsible Officer as required. The

PIRSA Chief Executive will be informed of the matter as appropriate.

Recordkeeping

The PIRSA Whistleblower Responsible Officer will ensure that detailed, accurate records are to be securely

kept for each report received in accordance with section 7 of the Act; the State Records of SA Whistleblowers Act 1993 – Implications for Records Management Recordkeeping Information Sheet RK031; and the PIRSA Document and Records Management Policy IM P 002 and PIRSA Document and Records Management Access Controls and Security Guideline IM G 007 (Note: the latter two links are only

accessible by SA Public Sector employees on the PIRSA or StateNet SA Government networks).

The above requirements require information to be:

handled and filed in the PIRSA Objective EDRMS so that it is clearly classified as being an Act matter,

with an appropriate security classification protective marker and privileges applied. This is so that the

information is handled in the strictest confidence and only those that have a legitimate need can access

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the information. All whistleblower information is to be filed in Objective in a file under the folder

combination Human Resources Management – Fraud Corruption & Waste – Whistleblowers Protection

Act Disclosures, with appropriate descriptor folder or free text name which does not disclose the

Whistleblower's/informant’s identity

physical documents associated with the report must also be kept secure, with the level of security

classification clearly marked on the file cover and the physical file stored in a secure environment (e.g. a

locked cabinet with only appropriate employees having access).

Note: The State Records of SA Whistleblowers Act 1993 – Implications for Records Management Recordkeeping Information Sheet RK031 contains additional important SA Government directives on

handling and processing Freedom of Information (FOI) applications, making public access determinations

and disposal of records relating to whistleblowers matters.

Confidentiality

In accordance with the Act, an informant’s identity will be kept confidential, except where they consent to it

being divulged or it is required to ensure proper investigation of the allegation. Consent or refusal to provide

consent to divulge the informant’s identity must be obtained in writing.

The informant will be advised that should the matter come before a court or tribunal, it is possible that their

identity may be required to be disclosed for the matter to progress.

Victimisation

A PIRSA Whistleblower Responsible Officer will advise the informant of their protection from victimisation

under the Act, and will take action if the informant believes they are being victimised. Such action may

include referral to another appropriate authority for investigation.

Advice to informant

The PIRSA Whistleblower Responsible Officer will provide updates to the informant on the progress of the

investigation; and as much information as possible on its outcome in accordance with the law, and taking

into account the sensitivity and confidentiality of the matter.

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