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
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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
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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,
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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.
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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
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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
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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
substantial and specific
danger to the environment
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?
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
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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:
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.
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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.
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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.
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