Source: https://www.casey.vic.gov.au/policies-strategies/protected-disclosures-policy
Timestamp: 2019-11-18 17:02:33
Document Index: 630051054

Matched Legal Cases: ['art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 7', 'art 6', 'art 7', 'art 6', 'art 2', 'art 6']

Protected Disclosures Policy | City of Casey
Aproved: 3 September 2019
Council recognises the value of transparency and accountability in its administrative and management practices and supports the making of disclosures that reveal improper conduct. This policy outlines how any individual, including members of the public, staff and Councillors can disclose information which enables the prevention of fraud and corruption. This policy fulfils Councils requirement to establish and publish procedures under s 58 of the Act and by the Guidelines of the IBAC published under s 57 of the Act. The purpose of the Act is to encourage and facilitate the making of disclosures of improper conduct and detrimental action by public officers and public bodies.
Council will take all reasonable steps to protect people who make such disclosures from any detrimental action in reprisal for making the disclosure. It will also afford natural justice to the person or body who is the subject of the disclosure. Council's process for Welfare Management of a Protected Disclosure is outlined separately. An essential component of this protection is to ensure that information connected to a protected disclosure, including the identity of a discloser and the contents of that disclosure, are kept strictly confidential.
Council can only deal with disclosures which concern the Council, its employees, staff or officers. The conduct or action being disclosed may be one which has taken place, is still occurring, or is believed is intended to be taken or engaged in. Disclosures may also be made about conduct that occurred before the commencement of the Act on 10 February 2013. Disclosures about improper conduct or detrimental action by Council’s Councillors must be made to the IBAC or the Ombudsman. Those disclosures may not be made to the Council. This policy encompasses:
notifications Council is required to make about disclosures, to both disclosers and the IBAC
any complaint, concern, matter, allegation or disclosure (however described) purported to be made under Part 2 of the Act
the Guidelines published by IBAC under s 57 of the Act as at October 2016, copies of which may be downloaded from https://www.ibac.vic.gov.au/publications-and-resources/article/guidelines-for-making-and-handling-protected-disclosures (last accessed on 13 August 2019)
any one of the four bodies authorised to investigate a protected disclosure complaint, being IBAC, the Victorian Ombudsman, the Chief Commissioner of Police and the VI
the administrative head of an organisation. In the case of a local council, this is the Chief Executive Officer.
any complaint, concern, matter, allegation or disclosure (however described) made under Part 2 of the Act
a protected disclosure which has been determined and assessed by IBAC to be a protected disclosure complaint under s 26 of the Act
the person appointed under these procedures to oversee and coordinate the receipt of protected disclosures and related activities
a person appointed under these procedures to take protected disclosures
ensure any staff involved with handling protected disclosures are trained to receive and manage protected disclosures appropriately;
ensure that Council, as a whole, handles protected disclosures consistently and appropriately per its obligations under the Act, the Regulations, the IBAC’s Guidelines and these procedures; and
Employees, staff, members and Councillors are encouraged to raise matters of concern internally concerning Council staff or individual Councillors. In particular, employees, staff, and Councillors are encouraged to report known or suspected incidences of improper conduct or detrimental action following these procedures. All employees, staff, members and Councillors must refrain from any activity that is, or could be perceived to be, victimisation or harassment of a person who makes a disclosure. Furthermore, they should protect and maintain the confidentiality of a person they know or suspect to have made a disclosure.
Employees who wish to make a protected disclosure may make that disclosure to that employee’s direct or indirect supervisor or manager.
If a person wishes to make a protected disclosure about an employee of Council, that person may disclose to that employee’s direct or indirect supervisor or manager.
The supervisor or manager receiving the disclosure will:
immediately bring the matter to the attention of the Protected Disclosure Coordinator for further action under the Act
take all necessary steps to ensure the information disclosed, including the identity of the discloser and any persons involved, is secured, remains private and confidential
offer to remain a support person for the discloser in dealing with the Protected Disclosure Coordinator.
Council has appointed a Protected Disclosure Officer to receive disclosures and be the contact point for general advice about the operation of the Act for any person wishing to make a disclosure. The Protected Disclosure Officer is available to receive disclosures made internally within Council or from external sources. The Protected Disclosure Officer provides a confidential avenue of advice about the Act where staff or employees wish to raise a concern about their line managers, colleagues or supervisors.
The Protected Disclosure Officer will:
where more than one Protected Disclosure Officer is appointed, forward all disclosures and supporting evidence to the Protected Disclosure Coordinator for further action under the Act
where more than one Protected Disclosure Officer is appointed, offer to remain a support person for the discloser in dealing with the Protected Disclosure Coordinator.
Council’s Protected Disclosure Coordinator has a central role in the internal reporting system and maintains oversight over the system.
The Protected Disclosure Coordinator is:
to receive all disclosures forwarded from Council’s Protected Disclosure Officer;
the contact point for general advice about the operation of the Act and primary liaison with the IBAC and relevant integrity agencies regarding the Act
responsible for ensuring that Council carries out its responsibilities under the Act, any regulations made under the Act and any guidelines issued by the IBAC;
to take all necessary steps to ensure information received or obtained in connection with a disclosure, including the identities of the discloser and the person(s) to whom the disclosure relate, are kept secure, private and confidential at all times;
to advise the discloser, appropriately and under the Act, the stage at which the disclosure is at (whether it has been notified to the IBAC for assessment, etc.);
against a person for the making of a protected disclosure.
Protected disclosures may be made about any person who adversely affects the honest performance of the functions of Councillors, Council or its officers and employees. That includes any conspiracy or attempt to engage in such conduct.
For example, if a planning applicant tries to bribe a City of Casey officer to obtain a planning permit, the applicant would have engaged in the conduct referred to.
The term disclosure is interpreted under the Act in the ordinary sense of the word. The IBAC considers that a complaint or allegation that is already in the public domain will not normally be a protected disclosure. Such material would, for example, include matters which have already been subject to media or other public commentary.
A protected disclosure may:
The following are not protected disclosures under the Act:
a disclosure that has not been made following all of the procedural requirements of Part 2 of the Act and the prescribed procedures in the Regulations (also see section 4.6.2 of this policy below);
a disclosure made by an officer or employee of an investigative entity in the course of carrying out his or her duties or functions under the relevant legislation, unless the person expressly states in writing that the disclosure is a disclosure and the disclosure is otherwise made under Part 2 of the Act.
If Council receives any disclosures which do not meet all of the requirements of Part 2 of the Act or the prescribed procedures in the Regulations, Council will not be required to consider whether it is a protected disclosure under the Act.
However, Council will always consider whether it would be appropriate to inform the discloser how to disclose in a way that would comply with the requirements of the Act and the Regulations to ensure that persons are properly allowed to receive any appropriate protections available to them under the Act.
Also, Council is required to consider whether a disclosure that does not meet the requirements of the Act and the Regulations should be treated as a complaint, notification or referral to Council under any other laws or internal policies and procedures.
What can a disclosure be made about?
Improper conduct is defined in the Act to mean either corrupt conduct or specified conduct.
if that conduct could be proved beyond a reasonable doubt at a trial, amounts to:
one of the following three types of common law offences committed in Victoria:
Specified conduct is any one of the above types of conduct, or conduct that involves substantial mismanagement of public resources, risk to public health or safety, or risk to the environment, which would not constitute “corrupt conduct” but would nevertheless, if proved, constitute either:
It should be noted the risk with mismanagement or public health and safety or the environment must be “substantial”, requiring significant or considerable mismanagement, or significant or considerable risks to public health, safety or the environment.
It is an offence under the Act for a public officer or body to take detrimental action against a person in reprisal for making a protected disclosure. There are two essential components here: whether there is in fact “detrimental action”, as defined by the Act, and whether that action is being taken in reprisal against a person for making or being connected with a protected disclosure.
discrimination, disadvantage or adverse treatment to a person’s employment, career, profession, trade or business, including the taking of disciplinary action.
Also, a person can have taken detrimental action without having taken the action itself, but just by threatening to take such action. Further, the detrimental action need not necessarily have been taken (or threatened to be taken) against a person making a protected disclosure, but against any person connected with a protected disclosure.
threats to a person’s safety or property, including intimidating, harassing a discloser or the disclosers family or friends, otherwise causing personal injury or prejudice to the safety or damaging property of a discloser or their family or friends;
A disclosure must be made under Part 2 of the Act. Disclosures about improper conduct or detrimental action by Council or its employees and staff may be made to Council or one of four external authorities:
the VI concerning limited types of disclosures https://w.www.vic.gov.au/vicinspectorate/complaints/protected-disclosure-complaints.html ; or
The Chief Commissioner of Police concerning limited types of disclosures.
In most circumstances, disclosures about Council, its employees, agency staff or third-party contractors should be made to Council or the IBAC.
If a person does not wish their allegation or complaint to be treated as a disclosure made under Part 2 of the Act, the person must, at the time of making the disclosure, expressly state in writing that the disclosure is not a disclosure for the Act.
a Protected Disclosure Officer or Protected Disclosure Coordinator as identified in this policy;
to the direct or indirect manager of the person to whom the disclosure relates if that person is an employee of Council.
Written disclosure to Council must be:
sent by post addressed to the Protected Disclosure Officer/Coordinator of Council at
NARRE WARREN VIC 3805 or
sent by email to the office of Council at caseycc@casey.vic.gov.au or
a Protected Disclosure Officer identified in this policy;
the Protected Disclosure Coordinator specified in this policy.
Council recommends that the discloser ensures that the disclosure is sealed in an envelope which is marked with one or more of the following:
“Re: Protected disclosure”;
“To the personal attention of the CEO: Protected Disclosure”;
“To the personal attention of the Protected Disclosure Coordinator”; or
“To the personal attention of the Protected Disclosure Officer”.
Where a protected disclosure is sent via email, it is recommended that the subject line refers to ‘Protected Disclosure’.
Assessing a disclosure
When Council receives a complaint, report or allegation of improper conduct or detrimental action, it will confirm that the disclosure has been made following requirements of Part 2 of the Act. This will be the case even if the discloser does not refer to the Act or require the protections of the Act. The initial assessment is made on the nature of the information disclosed or on the belief that the discloser has about the nature of the information and not the disclosers intention.
Council will assess whether the information disclosed shows, or tends to show, that there is improper conduct or detrimental action taken in reprisal for the making of a protected disclosure. This may require Council to:
The Act allows Council to disclose the content of the disclosure by a person or body “to the extent necessary for taking lawful action in relation to the conduct that is the subject of an assessable disclosure including disciplinary process or action”. However, the IBAC notes that this does not allow the identity of the discloser to be revealed.
Assessment decisions – Not deemed to be a Protected Disclosure
If Council does not consider the matter to be a protected disclosure, then it may refer the matter to other relevant internal complaint or grievance management processes.
Council considers the disclosure is not a protected disclosure;
Assessment decision – Deemed to be protected disclosure
If Council decides a matter may be a protected disclosure under the Act, it will within 28 days of receiving the disclosure
notify the IBAC:
Council considers the disclosure may be a protected disclosure; and
Also, at the time of notifying the IBAC under s 21 of the Act or at any later time, Council may also provide the IBAC with any information obtained by Council regarding the disclosure in the course of its enquiries leading up to its notification of the disclosure to the IBAC.
it is an offence under s 74 of the Act to disclose that the disclosure has been notified to the IBAC for assessment under the Act.
Assessment by the IBAC
Once a disclosure has been notified to the IBAC, the IBAC must determine whether it is a protected disclosure complaint.
The IBAC must inform Council of its determination as to whether or not the disclosure is a protected disclosure complaint
In making its assessment, the IBAC may seek additional information from Council or the discloser if the IBAC considers there is insufficient information to make a decision.
If the IBAC determines the disclosure is not a protected disclosure complaint
If the IBAC determines the disclosure is not a protected disclosure complaint, the IBAC must advise the discloser in writing and within a reasonable time after the determination is made, that:
the IBAC has determined that the disclosure is not a protected disclosure complaint; and
the confidentiality provisions under Part 7 of the Act no longer apply with the disclosure; and
regardless of whether the IBAC has determined that the disclosure is a protected disclosure complaint, the protections under Part 6 apply to the disclosure.
Also, if the IBAC is of the view that the disclosure, although not a protected disclosure complaint, may be able to be dealt with by another entity, the IBAC may advise the discloser that:
the matter which is the subject of the disclosure may be able to be dealt with by an entity other than as a protected disclosure complaint; and
If the IBAC determines the disclosure is a protected disclosure complaint
If the IBAC determines a matter is a protected disclosure complaint, the IBAC must advise the discloser in writing and within a reasonable time after the determination is made, that:
the IBAC has determined that the disclosure is a protected disclosure complaint;
it is an offence under s 74 of the Act to disclose that the IBAC has determined that the disclosure is a protected disclosure complaint.
Once the IBAC has determined that a disclosure is a protected disclosure complaint, the discloser cannot withdraw that disclosure. However, under the IBAC Act, the IBAC can decide not to investigate a protected disclosure complaint if the discloser requests that it not be investigated.
Under the IBAC Act, the IBAC may dismiss, investigate, or refer a protected disclosure complaint.
If the IBAC dismisses a protected disclosure complaint, then it must do so on one of the grounds specifically set out in the IBAC Act. In particular, the IBAC must dismiss a protected disclosure complaint if the matter disclosed is a matter that neither the IBAC nor an investigating entity may investigate.
Depending on the action decided to be taken by the IBAC, the IBAC must also provide certain other information to the discloser. That information is set out at the chart on page 25 of the IBAC’s Guidelines for Making and Handling Protected Disclosures.[5]
Other investigative entities’ investigations of a protected disclosure complaint
If the IBAC or another investigative entity is investigating a protected disclosure complaint, it may be in contact with Council or person about which the disclosure has been made. This will be to conduct investigative enquiries.
Council or the person who has disclosed will be able to disclose information about the protected disclosure complaint to the investigative entity without breaching the confidentiality requirements of the Act.
The relevant investigative entity may also disclose the identity of the discloser and the content of the disclosure if necessary, to do so for their investigative action. If this is the case, then Council or the person to whom the information has been disclosed is bound by the confidentiality requirements of Part 7 of the Act.
Also, if Council or a public officer is advised of the identity of the discloser then they will be required to look after the welfare of the discloser and provide protection against possible detrimental action.
After its investigation, the relevant investigative entity must generally provide the discloser with information about the results of its investigation, including any action taken by the investigative entity and any recommendation by the investigative agency that action or further action be taken.
Protections for persons making a protected disclosure
Part 6 of the Act sets out the protections provided to persons who make a disclosure that is a ‘protected disclosure’, i.e., one that is made under Part 2 of the PD Act. In summary, they are as follows:
by making the protected disclosure, the whistle-blower is not committing an offence against the Constitution Act 1975 or any other law that imposes obligations of confidentiality or otherwise restricts the disclosure of information;
by making the protected disclosure, the discloser is not breaching any other obligation (made by oath, rule of law or practice) requiring them to maintain confidentiality; and
the discloser cannot be held liable for defamation concerning information included in a protected disclosure made
The protections in Part 6 apply from the time at which the disclosure is made. They apply even if Council receiving the disclosure does not notify the disclosure to the IBAC, and even if the IBAC has determined that the protected disclosure is not a protected disclosure complaint.
provide false or misleading information, or further information that relates to a protected disclosure, that the person knows to be false or misleading in a material particular, intending that the information be acted on as a protected disclosure (maximum penalty: a fine of 120 penalty units, 12 months’ imprisonment, or both)
claim that a matter is the subject of a protected disclosure knowing the claim to be false (maximum penalty: a fine of 120 penalty units, 12 months’ imprisonment, or both)
falsely claim that a matter is the subject of a disclosure that IBAC has determined to be a protected disclosure complaint (maximum penalty: a fine of 120 penalty units, 12 months’ imprisonment, or both).
A person who has made a disclosure is not protected against legitimate management action being taken by Council under the Act.
Also, although the person making a protected disclosure is not subject to criminal or civil liability for making the disclosure, the Act specifically provides that a person remains liable for their own conduct even though the person has made a disclosure of that conduct under the Act. Therefore, the discloser will still be held liable for their own conduct that they disclose as part of making a protected disclosure.
Taking disciplinary or other action against a person who has made a protected disclosure invariably creates the perception that it is being taken in reprisal for the disclosure.
The CEO will make the final decision on the advice of the Protected Disclosure Coordinator as to whether disciplinary or other action will be taken against a discloser. Where disciplinary or other action relates to conduct that is the subject of the disclosure, the disciplinary or other action will only be taken after the disclosed matter has been appropriately dealt with. In all cases where disciplinary or other action is being contemplated, any such action will not be taken without Council’s CEO ensuring that:
the fact that a person has made a protected disclosure is not a substantial reason for Council taking the action against the employee;
Maintaining confidentiality in relation to protected disclosure matters is crucial, among other things, in ensuring reprisals are not made against a discloser. Council will take all reasonable steps to protect the identity of the disclosure and the matters disclosed.
The obligation of confidentiality extends to any person receiving a disclosure or making a disclosure. It is in the interest of the discloser to ensure he or she does not discuss any related matters other than with authorised persons within Council, officers of the IBAC, or other persons authorised by law.
Council will ensure all data related to the disclosure is kept securely and accessible only by the Protected Disclosure Coordinator or Protected Disclosure Officer. Where necessary, a Welfare Manager may be able to gain access as appropriate to related welfare matters.
The Welfare Manager will not divulge any details relating to the disclosed matter to any person other than the Protected Disclosure Coordinator, an investigator appropriately authorised under the Act or the IBAC Act, or the CEO. All meetings between any relevant persons, including the Protected Disclosure Officer, the Welfare Manager and a discloser will be conducted discreetly to protect the confidentiality of the person making a protected disclosure.
However, the Act provides that certain information related to protected disclosures as contained in documents in the possession of Council will be exempt from the application of the FOI Act.
Council is required to contact the IBAC prior to providing any document originating from the IBAC or relating to a protected disclosure, if that document is sought under the FOI Act.
where the IBAC or the Victorian Inspectorate has determined that the assessable disclosure is not a protected disclosure and the whistleblower or City of Casey subsequently discloses the information;
any members of Council with specific responsibilities and functions to handle and manage protected disclosures under the Act, including the Protected Disclosure Coordinator and people involved in welfare management
The Protected Disclosure Coordinator will establish a secure register to record such information, and to generally keep account of the status of disclosures made under the Act. The Act prohibits the inclusion of any details, in any report or recommendation, that is likely to lead to the identification of a whistleblower. The Act also prohibits the identification of the person who is the subject of the disclosure in any particulars included in an annual report or any reports to Parliament.
Provide statistics related to Protected Disclosures for incorporation in Annual Report.
Make readily available, internally and to members of the public Council’s process to receive and manage Protected Disclosures.
Fulfil legislative obligations of Protected Disclosure Officer including requirements regarding confidentiality.
Divulging information obtained in connection or as a result of the handling or investigation of a protected disclosure without legislative authority. Maximum penalty: 60 penalty units, six months imprisonment, or both.
Disclosing that a disclosure has been assessed by the IBAC or the VI to be a protected disclosure complaint under the Act. Maximum penalty: 60 penalty units, six months imprisonment, or both.
[3] Although this may create difficulties in Council being able to communicate with the whistle-blower, and some of the notification requirements imposed on Council in relation to disclosures will not apply in relation to an anonymously made disclosure. In addition, it may impede Council’s ability to properly assess whether the complaint or allegation is a protected disclosure for the purposes of the Act.
[4] This section of the procedures comprises a summary of points drawn from pp 24 to 25 of the IBAC’s Guidelines for Making and Handling Protected Disclosures (https://www.ibac.vic.gov.au/publications-and-resources/article/guidelines-for-making-and-handling-protected-disclosures), last accessed 13 August 2019). For further information, please refer to those Guidelines.
[5] Available at https://www.ibac.vic.gov.au/publications-and-resources/article/guidelines-for-making-and-handling-protected-disclosures (last accessed 12 June 2019).