· web viewinformation about this document. these procedures have been published by yarra ranges...

EFFECTIVE DATE January 2020REVIEW DATE January 2021AUTHOR Marissa Gardiner

DIRECTORATE Corporate Services

Information about this document

These Procedures have been published by Yarra Ranges Council in compliance with s58 of the Public Interest Disclosure Act 2012 and the Guidelines published by the Independent Broad-based Anticorruption Commission as at December 2019.

Requests for hard copies and further information about Yarra Ranges Council’s handling of Public Interest Disclosures may be obtained from Council’s Public Interest Disclosure Coordinator, Ms Marissa Gardiner on (03) 9294 6261 or [email protected].

This document was last reviewed in January 2020

PUBLIC INTEREST (WHISTLE-BLOWERS) PROCEDURE

mailto:[email protected]

Public Interest Disclosure Procedures 2020

Contents

Abbreviations and key terms used in these Procedures

1. Statement of Support........................................................................................................4

2. About these Procedures....................................................................................................4

3. About the Victorian Public Interest Disclosure scheme.....................................................5

4. Councils reporting structures and disclosure commitments..............................................6

4.1 Roles and responsibilities of Council staff.................................................................6

4.2 Councillors, employees, contractors and volunteers.................................................7

4.3 Direct and indirect Managers, Executive Officers and Team Leaders.......................7

4.4 Public Interest Disclosure Officers............................................................................7

4.5 Public Interest Disclosure Coordinator......................................................................8

4.6 Welfare Manager.......................................................................................................9

5. Making a Disclosure........................................................................................................11

5.1 What is a Disclosure?..............................................................................................11

5.2 Who can make a disclosure?..................................................................................12

5.3 What can a disclosure be made about?..................................................................12

5.4 How do you make a disclosure?.............................................................................16

6. Handling Disclosures......................................................................................................18

6.1 Receipt of a disclosure.............................................................................................18

6.2 Acceptance of a disclosure......................................................................................18

6.3 Assessment of a disclosure.....................................................................................18

7. Assessment by IBAC......................................................................................................22

7.1 If IBAC determines the disclosure is not a PIC........................................................22

7.2 If IBAC determines the disclosure is a PIC..............................................................23

8. Welfare Management......................................................................................................24

8.1 Support available to disclosers and cooperators.....................................................24

8.2 Appointment of a Welfare Manager.........................................................................26

8.3 Protecting people making a disclosure....................................................................27

8.4 Protecting people who are the subject of a disclosure............................................28

8.5 Detrimental action...................................................................................................29

9. Criminal Offences............................................................................................................31

10. Confidentiality.................................................................................................................. 32

11. Records Management.....................................................................................................32

12. Training for staff..............................................................................................................33

13. Collating and publishing statistics...................................................................................34

14. Review............................................................................................................................ 34

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Abbreviations and key terms used in these Procedures

Assessable disclosure: Any disclosure that, under section 21(2), must be notified, or under section 21(3) may be notified, to the IBAC, the Victorian Inspectorate or the Integrity and Oversight Committee

Cooperators: People who have cooperated or intend to cooperate with the investigation of a public interest disclosure complaint

Discloser: A person who (purports to) make a complaint or allegation (however described) under the PID Act

Disclosure: Any complaint, concern, matter or allegation (however described) purported to be made in accordance with Part 2 of the PID Act

Guidelines: The Guidelines published by IBAC under section 57 of the PID Act as at December 2019.

IBAC Act: Independent Broad-based Anti-corruption Commission Act 2011

IBAC: Independent Broad-based Anti-corruption Commission

Investigative entity: Any one of the eight bodies authorised to investigate a public interest complaints.

IOC: Integrity and Oversight Committee, responsible for parliamentary oversight

PIC – Public Interest Complaint

PID – Public Interest Disclosure

PID Act: Public Interest Disclosures Act 2012

Procedures: This version of the procedures of Council, as established under section 58 of the PID Act

Public interest complaint: A public interest disclosure which has been assessed by IBAC, the Victorian Inspectorate or the Integrity and Oversight Committee and determined to be a public interest complaint under section 26 of the Act.

Public interest disclosure: Any complaint, concern, matter or allegation (however described) made in accordance with Part 2 of the Act.

Regulations: Public Interest Disclosure Regulations 2019

VI: The Victorian Inspectorate is the key oversight body in Victoria’s integrity system. The Inspectorate is responsible directly to the Parliament of Victoria.

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1. Statement of Support

Yarra Ranges Council is committed to the principles of the Public Interest Disclosures Act 2012 (PID Act) and the objectives of the Independent Broad-based Anti-Corruption Commission (IBAC). Council recognises the value of transparency and accountability in all administrative and management practices as a public agency.

Council does not tolerate improper conduct by any public officer, nor the taking of detrimental action against those who come forward to expose such conduct. Council supports the making of Public Interest Disclosures (PID) that reveal improper conduct or detrimental action taken in reprisal against persons who come forward to report such improper conduct.

Council will take all reasonable steps to receive disclosures about Yarra Ranges Council and its employees with full confidentiality. It will protect people involved with PIDs from detrimental action and provide for their welfare. Council will also afford natural justice to any person who is the subject of a PID.

2. About these Procedures

Yarra Ranges Council is required to establish and publish procedures under section 58 of the PID Act and in accordance with the Guidelines of IBAC, published under section 57 of the PID Act. Council is obliged to ensure these procedures are readily available to members of the public as well as internally to all Councillors, staff, contractors and volunteers.

These procedures are a resource for disclosers and potential disclosers, whether they be a Councillor, staff member, contractor, volunteer or an external member of the public; essentially, any individual who wants to find out how to make a disclosure, receive the protections available under the PID Act, and discover how the discloser and their disclosure will be managed and handled by Council.

All disclosures regarding local government Councillors must be made directly to IBAC or the Victorian Ombudsman. Council is not legislatively permitted to receive disclosures about Councillors.

These procedures cover:

Councils reporting structures and PID commitments; How disclosures may be made to Council; How Council manages the receipt of disclosures; How Council assesses disclosures and determines if they are a PID; Notifications Council is required to make about PID’s, to both disclosers and to IBAC; and How Council protects certain people involved in the PID process, namely

o PID disclosers,o Persons who are subjects of PIDs and PICs, ando Other persons connected to PIDs, such as a witness or persons cooperating with an

investigation.

This procedure only applies to disclosures of improper conduct or detrimental action as defined in the PID Act. It does not detract from Council’s other complaint-handling procedures. Councils complaint policy can be accessed here.

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https://www.yarraranges.vic.gov.au/Council/Corporate-documents/Policies-strategies/Customer-complaint-policy?BestBetMatch=complaints%7C9a2195ed-d3ca-463c-a2be-6143a6f8a084%7C4b89be37-1488-4d2a-95f7-33ed31d02f72%7Cen-AU


3. About the Victorian Public Interest Disclosure scheme.

Victoria’s public interest disclosure scheme is vitally important in ensuring that people who report improper conduct and corruption in the Victorian public sector (disclosers) can do so in the knowledge that they will be protected.

Protections include keeping the identity of the person reporting improper conduct confidential and protecting them from reprisals including bullying, harassment or legal action.

Throughout 2018/2019, amendments were made to several Acts relating to the operation of Victoria’s integrity system, established to facilitate the confidential disclosure and investigation of improper conduct in relation to public bodies and public officers.

The new legislated arrangements aim to improve access for those making PIDs and flexibility for agencies investigating PIDs.

Overall, the new PID scheme will provide a lower threshold for making PIDs to IBAC, a ‘no wrong door’ principle for handling PIDs made to a receiving agency, and increased flexibility and alternative pathways for how investigating agencies handle PIDs and Public Interest Complaints (PICs).

The legislation has established a new parliamentary oversight committee, the Integrity and Oversight Committee1 (IOC), consolidating the oversight of several Victorian integrity agencies, including the Independent Broad-based Anticorruption Commission (IBAC).

A person may make a public interest disclosure regarding staff of that agency to any of the following public sector bodies who are legislatively authorised to receive a disclosure:

• IBAC• Victorian Ombudsman• Victorian Inspectorate (in relation to IBAC and the Public Interest Monitor)• Victoria Police• Public Service Bodies (within the meaning of the Public Administration Act 2004) – e.g.

State Government Departments or some Administrative offices.• Local councils• Judicial Commission of Victoria• IOC (in relation to the Victorian Inspectorate)• President of the Legislative Council (limited to members of the Legislative Council)• Speaker of the Legislative Assembly (limited to members of the Legislative Assembly).

Subject to a series of threshold tests, the simplified evolution of the disclosure process is:

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Disclosure Public Interest Disclosure (PID)

Public Interest Complaint (PIC)


4. Councils reporting structures and disclosure commitments.

Council supports a workplace culture based on trust, ethics and authenticity; where the making of disclosures is supported by the organisation and the right of any individual to make a disclosure is taken seriously.

Yarra Ranges Council will:

be visible, approachable, openly communicative and lead by example in establishing a

workplace that supports the making of disclosures and the impartial investigation of PIDs

and PICs;

ensure these procedures, including detailed information about how disclosures may be

made and to whom, are accessible and publicised via Councils website;

provide appropriate training at all levels of the organisation to raise awareness of how a

disclosure may be made, how disclosures are assed and determined to be PIDs;

guarantee reporting system are centralised and secure, accessible only by appropriately

authorised officers, allowing the flow of information to be tightly controlled to enhance

confidentiality and minimise the risk of reprisal;

not tolerate the taking of detrimental action in reprisal against any person for making a

disclosure, and will take any reasonable steps to protect such persons from detrimental

action being taken against them;

take the appropriate disciplinary and other action against any staff, contractors or

volunteers engaged in the taking of detrimental action;

afford natural justice and treat fairly those who are the subject of allegations contained in

disclosures; and

ensure that the Council handles PIDs consistently and appropriately in accordance with its

obligations under the PID Act, the Regulations, IBAC’s Guidelines and these procedures;

4.1 Roles and responsibilities of Council staff

Yarra Ranges Council has established a centralised reporting system for receiving and handling disclosures. The system ensures that:

only a small number of senior staff, including the Chief Executive Officer, are involved in the lifecycle management of all disclosures;

confidentiality of the information and the identity of the individuals involved with a disclosure are maintained throughout the process;

a specified framework exists for the receipt, assessment and notification of disclosures; and

the role of disclosure assessment is distinct from the welfare management of persons making a disclosure.

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4.2 Councillors, employees, contractors and volunteers

Councillors, employees, contractors and volunteers are encouraged to report known or suspected incidences of improper conduct or detrimental action in accordance with these procedures, whether such conduct or action has taken place, is suspected will take place, or is still occurring.

All Councillors, employees, contractors and volunteers of Yarra Ranges Council have an important role to play in supporting those who have made a legitimate disclosure in accordance with the PID Act. All persons 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.

4.3 Direct and indirect Managers, Executive Officers and Team Leaders

Employees of Council who wish to make a disclosure may make that disclosure to their direct or indirect Manager, Executive Officer or Team Leader if appropriate.

If a person wishes to make a disclosure about an employee of Yarra Ranges Council, that person may make the disclosure to that employee’s direct or indirect Manager, Executive Officer or Team Leader.

The Manager, Executive Officer or Team Leader receiving the disclosure will:

immediately bring the matter to the attention of the PID Coordinator for further action in accordance with the PID Act ;

commit to writing down any disclosures made orally; 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; and offer to remain a support person for the discloser in dealing with the PID Coordinator.

4.4 Public Interest Disclosure Officers

Each of Councils’ four (4) Directors have been nominated as Public Interest Disclosure Officers (PID Officer). They have a supporting role to the PID Coordinator. He or she will:

make arrangements for a disclosure to be made privately and discreetly and, if necessary,

away from the workplace;

receive any disclosure made orally or in writing from internal or external sources;

commit to writing down any disclosure made orally;

forward all disclosures and supporting evidence to the PID Coordinator for further action in

accordance with the PID Act;

take all necessary steps to ensure the information disclosed, including the identity of the

discloser and any persons involved is secure, private and confidential;

provide a point of contact in the absence of the PD Coordinator; and

offer to remain a support person for the discloser in dealing with the PID Coordinator.

The PID Officers appointed by Yarra Ranges Council are:

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Director Corporate Services

Po Box 105 Lilydale VIC 3140

Ph.: 1300 368 333

Director Environment & Engineering


Ph.: 1300 368 333

Director Communities


Ph.: 1300 368 333

Director Planning Design & Development


Ph.: 1300 368 333

Depending on the circumstances, it may be necessary for Council to appoint other or

additional PID Officers. At such times, Council will endeavour to provide the names and

contact details of those persons.

4.5 Public Interest Disclosure Coordinator

The Public Interest Disclosure Coordinator (PID Coordinator) has a central role in the internal reporting system. He or she will:

be the primary contact for specific advice about the operation of the PID Act and the

integrity agencies such as IBAC or the IOC, for any person wishing to make a disclosure

about improper conduct or detrimental action;

liaise with the PID Officers and receive all PIDs forwarded from the PID Officers;

receive phone calls or written disclosures directly from members of the public, Councillors

or Council employees seeking to make a disclosure;

make arrangements for a PIDs to be made privately and discreetly and, if necessary, away

from the workplace;

take all necessary steps to ensure the confidentiality of the identity of the person making

the disclosure, the identity of the person who is the subject of the disclosure, and all

content or information about the content of the disclosure;

appoint a welfare manager to support a person making a disclosure, where appropriate;

impartially assess the disclosure and determine whether it may be a PID made in

accordance with Part 2 of the PID Act;

notify IBAC of all disclosure that may constitute PID;

be responsible for ensuring Yarra Ranges Council carries out its responsibilities under the

PID Act and Guidelines;

coordinate the reporting system and manage a confidential filing system;

collate and publish statistics on disclosures, as required by the PID Act; and

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liaise with IBAC in regard to the PID Act.

The PID Coordinator appointed by Yarra Ranges Council is:

Ms Marissa Gardiner

Coordinator Information Management


Ph.: 1300 368 333

Depending on the circumstances, it may be necessary for Council to appoint another PID

Coordinator. At such times, Council will endeavour to provide the name and contact details of

this person.

4.6 Welfare Manager

The Welfare Manager is responsible for looking after the general welfare of the person making a PID. The Welfare Manager will:

examine the immediate welfare and protection needs of a person who has made a PID

and seek to foster a supportive work environment;

advise a person making a PID of the legislative and administrative protections available to

him or her;

listen and respond to any concerns of detrimental action;

keep a record of all aspects of the case management of a person making a PID, including

all contact and follow up action;

endeavour to ensure the expectations of a person making a PID are realistic;

take all reasonable steps to ensure confidentiality of the identity of the person making a

PID and the identity of the person who is the subject of the PID, and the content or

information about the content, are kept confidential; and

liaise with the PID Coordinator, as appropriate.

A Welfare Manager may also be appointed for a person who is the subject of a PID (if they

are aware of the disclosure) or they may be referred to the Employee Assistance Program

(EAP) for support and assistance.

The Welfare Manager appointed by Yarra Ranges Council is:

Mr Paul Wilson

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Executive Officer – Workplace Relations


Ph.: 1300 368 333

Depending on the circumstances, it may be necessary for Council to appoint another Welfare

Manager. At such times, Council will endeavour to provide the name and contact details of

this person.

5. Making a Disclosure

5.1 What is a Disclosure?

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A disclosure may be made about two things under the PID Act :

(i) improper conduct (such as corrupt conduct) of public bodies or public officers; and

(ii) detrimental action taken by public bodies or public officers in reprisal against a

person for the making of a disclosure.

The term ‘disclosure’ is interpreted under the PID Act in the ordinary sense of the word, for

example, as a “revelation” to the person receiving it. IBAC considers that a complaint or

allegation that is already in the public domain will not normally be a PID. Such material would,

for example, include matters which have already been subject to media or other public

commentary.

The conduct or action being disclosed about 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 prior to the commencement of the PID Act on the 1st January

2020.

The following are not disclosures under the PID Act : a disclosure that has not been made in accordance with all of the procedural requirements

of Part 2 of the Act and the prescribed procedures in the Regulations;

a disclosure made by a discloser who expressly states in writing, at the time of making the

disclosure, that the disclosure is not a disclosure under the PID Act ; and

If Council receives any disclosures which do not meet all of the requirements of Part 2 of the

PID Act or the prescribed procedures in the Regulations, Yarra Ranges Council will not be

required to consider whether it is a disclosure under the PID Act. However, Council will

always consider whether it would be appropriate to inform the discloser how to make the

disclosure in a way that would comply with the requirements of the PID Act and the

Regulations in order to ensure that persons are properly afforded the opportunity to receive

any appropriate protections available to them under the PID Act.

In addition, Yarra Ranges Council is required to consider whether a disclosure that does not

meet the requirements of the PID Act and the Regulations should be treated as a complaint,

grievance, notification or referral to the Council in accordance with any other laws or internal

policies and procedures.

5.2 Who can make a disclosure?

A disclosure may:

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• only be made by a natural person (or a group of individuals making joint disclosures);

• be made anonymously;

• be made even where the discloser is unable to identify precisely the individual or the

organisation to which the disclosure relates; and

• also be a complaint or submission (however described) made under another law.

It should be noted that some of the protections set out in the PID Act protecting a discloser

are available only to the person who makes a disclosure. As a consequence of this, if a

person makes a disclosure by ‘notifying’ the agency on behalf of another individual, then it is

the ‘notifier’ who may receive those protections, and not the person on whose behalf they

have made the disclosure. The person on whose behalf the disclosure has been made will

only be entitled to protections against detrimental taken against them in reprisal for the

disclosure made by the notifier.

Anonymous disclosures may create difficulties in the Council being able to communicate with

the discloser, and some of the notification requirements imposed on the 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 PID for the

purposes of the PID Act.

5.3 What can a disclosure be made about?

A disclosure must be about the’ improper conduct’ of a person, public officer or public body in their capacity as a public officer or public body as outlined in the following diagram:

reprisal for a protected disclosure

AND

OR OR

In assessing whether there is improper conduct or detrimental action, Council will look critically at all available information about the alleged conduct and about the discloser. Preliminary questions Council may seek answers to, or consider, include:

What is the discloser’s connection to the alleged conduct – is the discloser a victim, a

witness, or a participant in the conduct alleged about?

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The alleged conduct is either improper conduct or detrimental action taken against a person in reprisal for a protected disclosure

The information shows or tends toshow that the improper conduct or

detrimental action against a person has occurred, is occurring or is proposed to be

engaged in by a person.

The discloser believes on reasonablegrounds the information shows or tends

to show the improper conduct ordetrimental action against a person has occurred, is occurring or is proposed to

be engaged in by a person.


How did the discloser come to know about the conduct – was or is the discloser directly

involved in it, did the discloser observe it happening to another person or did someone

else tell the discloser about it?

How detailed is the information provided – is there sufficient information to enable the

Council to consider whether there is improper conduct or detrimental action?

How reliable is the information given to the Council – is it supported by other information?

5.3.1 Improper conduct

Improper conduct includes corrupt conduct, criminal offences and other conduct specified in the PID Act. If the conduct is trivial, it will not meet the threshold of improper conduct.

Improper conduct is defined as any behaviours or actions that:

adversely affect the honest performance by a public officer or public body of their public

functions;

adversely affect the effective performance or exercise by a public officer or public body of

the functions or powers of the public officer or public body and results in the person, or an

associate of the person, obtaining:

− a licence, permit, approval, authority or other entitlement under any Act or subordinate

instrument that the person or associate would not have otherwise obtained;

− an appointment to a statutory office or as a member of the board of any public body

under any Act or subordinate instrument that the person or associate would not have

otherwise obtained;

− a financial benefit or real or personal property that the person or associate would not

have otherwise obtained; or

− any other direct or indirect monetary or proprietary gain that the person or associate

would not have otherwise obtained.

When assessing allegations of improper conduct, the PID Officers and PID Coordinator are obligated to identify a link between the conduct and the official function of a public officer or public body.

Central to the notion of improper conduct is the theory of “public trust”.

“Public trust” is a concept that provides a basis ‘for obligations of honesty and fidelity in public officers that exist to serve, protect and advance the interests of the public’.

A person acting in their official capacity is exercising ‘public power’ that is derived from their public office holding and may be controlled or influenced by legislative provisions, administrative directions, or constitutional principles or conventions. There is an expectation that members of the community rely on and trust their public bodies and officials to act honestly. The expectation is that public officers will not use their positions for personal advantage, or use the influence of their public office for improper purposes where there is a duty to act objectively and impartially.

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Disclosers or the PID Officers/Coordinator will need to identify that there is a link between the alleged improper conduct of a person or an organisation and their function as a public officer or a public body.

5.3.2 Corrupt conduct

Corrupt conduct of a public officer or public body engaged in their capacity as a public officer or a public body that constitutes is defined as:

a criminal offence

serious professional misconduct

dishonest performance of public functions

an intentional or reckless breach of public trust

an intentional or reckless misuse of information or material acquired in the course of the

performance of the functions of the public officer or public body

a substantial mismanagement of public resources

a substantial risk to health or safety of one or more persons

a substantial risk to the environment

5.3.3 Serious Professional Misconduct

Serious professional misconduct is not defined in the PID Act, but a way to think about it is to question of there was a serious failure to exhibit the skills and experience required to perform the responsibilities of the office, as well as to determine if a serious breach of professional conduct occurred in the workplace.

To identify whether serious professional misconduct has occurred, disclosers and PID Officers/Coordinators must consider if:

the person has behaved in a way that is inconsistent with the expectations, skills and

responsibilities of their office

the behaviour the person engaged in was in their capacity as a public officer

the misconduct was serious.

Factors to consider when assessing whether misconduct is serious are:

if the behaviours were persistent, repeated or premeditated

what risks were posed to others or the consequences of the behaviour (including for the

public officer and others)

the level of public trust and responsibility attached to the public office

the amount of money involved in the wrongdoing

how the conduct is perceived by the person’s peers

whether the conduct would result in significant disciplinary or potentially criminal penalties

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the size of the discrepancy between what the person should have done and what they did

whether it should have been apparent to the person that they were wrong.

5.3.4 Detrimental action

It is an offence for a person to take, threaten to take or allow another person to take detrimental action against another person in reprisal for making a public interest disclosure.

There are two essential components here: whether there is in fact “detrimental action”, as defined by the PID Act, and whether that action is being taken in reprisal against a person for making or being connected with a protected disclosure.

Detrimental action as defined by the PID Act includes:

action causing injury, loss or damage;

intimidation or harassment; and

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

career, profession, trade or business, including the taking of disciplinary action.

A person doesn’t need to have actually taken the detrimental action, but can have threatened to do so, or incited or permitted someone else to do so.

Examples of detrimental action prohibited by the PID Act include:

threats to a person’s personal safety or property, including intimidating, harassing a discloser or the discloser’s family or friends, otherwise causing personal injury or prejudice to the safety or damaging property of a discloser or the discloser’s family or friends;

the demotion, transfer, isolation or change in duties of a discloser due to him or her having made a disclosure;

discriminating or disadvantaging a person in their career, profession, employment, trade or business; or

discriminating against the discloser or the discloser’s family and associates in subsequent applications for promotions, jobs, permits or tenders resulting in financial loss or reputational damage.

5.4 How do you make a disclosure?

A disclosure must be made in accordance with Part 2 of the PID Act.

One of the most critical requirements of the PID Act is that disclosures are made to a body authorised under the Act to receive the disclosure.

Council can only deal with disclosures which concern Council, its employees, staff or officers.

Disclosures about improper conduct or detrimental action by Councillors must be made to IBAC or to the Ombudsman. Those disclosures may not be made to the Council.

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5.4.1 Private verbal disclosures

Disclosures can be made in person, by phone or by leaving a voice mail message.

At Yarra Ranges Council, verbal disclosures can be made to the PID Coordinator, PID Officers, direct and indirect Managers, Executive Officers and Team Leaders.

Calls can be made to any of these individuals via 1300 368 333

Verbal disclosures must be made in private. This means the person making the disclosure must reasonably believe that only the following people (other than themselves) are present or able to listen to the conversation:• a lawyer representing the person making the disclosure (if any)• one or more people to whom a disclosure can be made under the PID Act or PID Regulations.

This does not preclude a group of individuals from making a joint disclosure.

If the disclosure is made verbally, the person receiving the disclosure should make notes at the time. This person can also record the conversation but should give prior warning that the conversation will be recorded. The conversation should not be recorded if the discloser objects.

5.4.2 Written disclosures

A written disclosure can be provided to Council by:

• delivering it in person to 15 Anderson Street, Lilydale VIC 3140• mailing it to the office via Po Box 105. Lilydale VIC 3140• emailing the PID Coordinator, PID Officers, direct and indirect Manager, Executive Officer or Team Leader.• completing the online form available on the IBAC and the Victorian Ombudsman websites.

A disclosure cannot be made by fax.

5.4.3 Anonymous disclosures:

A person doesn’t need to identify themselves to make a disclosure.

An anonymous disclosure can be made by using unverifiable email addresses, through anonymous phone calls, or in a face-to-face conversation or meeting where the person refuses to identify themselves (provided the meeting or conversation takes place in private in accordance with the PID Regulations).

If the disclosure comes from an email address where the identity of the person making the disclosure cannot be determined, the disclosure will be treated as an anonymous disclosure.

5.4.4 Disclosures that do not relate to Council (misdirected disclosures)

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If an individual makes a disclosure to Yarra Ranges Council with the ‘honest belief’ it is the right organisation, however the disclosure is in fact not about Council or its employees, the PID Coordinator will continue to assess the disclosure to decide if it is a potential public interest disclosure and refer it to IBAC accordingly.

If an individual makes a disclosure to Yarra Ranges Council knowing it is not the right organisation, the PID Coordinator will direct the discloser to the appropriate organisation. The disclosure is not protected under the PID Act in this circumstance.

6. Handling Disclosures

6.1 Receipt of a disclosure

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When Yarra Ranges Council receives a complaint, report or allegation of improper conduct or detrimental action, the first step will be to determine whether the disclosure has been made in accordance with Part 2 of the PID Act .

The receiving authorised officer must ask the following questions about the disclosure: Has a natural person (an individual person rather) made the disclosure? Does the disclosure relate to conduct of a public body or public officer acting in their official

capacity? Does the alleged conduct constitute either improper conduct or detrimental action taken

against a person? Does the person making a disclosure have reasonable grounds for believing the alleged

conduct has occurred?

If the answer to one or more of the above elements is yes, the disclosure satisfies Part 2 of the PID Act, and the discloser is entitled to receive protections under Part 6 of the PID Act.

6.2 Acceptance of a disclosure

Where it is determined that a disclosure meets the requirements under Part 2 of the PID Act, the following action will be taken:

1. If the receiving officer is not the PID Coordinator or a PID Officer, the officer must advise the PID Coordinator/Officer a disclosure has been received, if appropriate.

2. The PID Coordinator/Officer will advise the Chief Executive Officer of the disclosure, if appropriate.

3. The PID Coordinator will establish a confidential file relating to the disclosure; and4. The PID Coordinator/Officer will contact the discloser.

The PID Coordinator/Officer must ensure that the person making the disclosure is kept informed of any and all action taken in relation to his or her disclosure, and the time frames that apply. The person making the disclosure will be given reasons for decisions made by Council in relation to a disclosure. All communication will be in plain English.

6.3 Assessment of a disclosure

If the disclosure satisfies the requirements of Part 2 of the PID Act, Council is required to determine whether the disclosure may be a public interest disclosure by going through a two-step assessment process recommended by IBAC.

This will be the case even if the discloser does not refer to the PID Act or require the protections of the PID Act. The initial assessment is made on the nature of the information disclosed or in the belief that the discloser has about the nature of the information, and not the discloser’s intention.

First step

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The first question the PID Coordinator/Officer must answer is 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 requires the PID Coordinator/Officer to ascertain whether the information satisfies the ‘elements’ of improper conduct or detrimental action, as defined in the PID Act and whether any of the relevant exceptions apply. This may require the PID Coordinator/Officer to:

seek further information; conduct a discreet initial enquiry; seek (further) evidence from the discloser; ascertain whether there is sufficient supporting material to demonstrate that the conduct or

actions covered by the PID Act have occurred, are occurring or are likely to occur.

If it is not clear that the information disclosed does show or tend to show that there is improper conduct or detrimental action, then the PID Coordinator/Officer will go on to the second step below.

Second step

This requires the PID Coordinator/Officer to ask whether the discloser believes on reasonable grounds that the information shows or tends to show there is improper conduct or detrimental action.

That is, does the person actually believe that the information shows, or tends to show, there is improper conduct or detrimental action? A reasonable belief requires the belief to be based on facts that would be sufficient to make a reasonable person believe there was improper conduct or detrimental action.

This reasonable belief does not have to be based on actual proof that the improper conduct or detrimental action in fact occurred, is occurring, or will occur, but there must be some information supporting this belief. The grounds for the reasonable belief can leave something to surmise or conjecture, but it must be more than just a reasonable suspicion, and the belief must be probable.

According to IBAC, simply stating that improper conduct or detrimental action is occurring, without providing any supporting information, would not be a sufficient basis for having a reasonable belief. In IBAC’s view, a belief cannot be based on a mere allegation or conclusion unsupported by any further facts or circumstances.

Other matters that IBAC suggests the PID Coordinator/Officer consider are:

The reliability of the information provided by the discloser, even if it is second or third-hand. For example, how would the discloser have obtained the information?

The amount of detail that has been provided in the information disclosed, and The credibility of the discloser, or of those people who have provided the discloser with

information.

When making a decision as to whether the event or behaviours show or tends to show that there was improper conduct or detrimental action, the PID Coordinator/Officer may seek guidance from IBAC.

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Urgent Action

The elements of improper conduct (that is not corrupt conduct) are qualified by the requirement that the activity would be a criminal offence or grounds for immediate dismissal based on the Staff Code of Conduct or Yarra Ranges Council Enterprise Agreement, if proven. Either such events require immediate, urgent action.

In some circumstances, the disclosure may be about improper conduct that may pose an immediate threat to health and safety of individuals, preservation of property, or may consist of serious criminal conduct.

Example of this provided by IBAC include where the disclosure may be about: a child protection worker allegedly sexually assaulting children in care; a council worker allegedly lighting bush fires; or a person threatening to poison the water supply.

In these cases, Council can take immediate action while considering whether or not it is an assessable PID that must be notified to IBAC or awaiting IBAC’s decision on a notified matter.

It may also be necessary to report criminal conduct to Victoria Police for immediate investigation, or take appropriate action against an employee, in accordance with existing organisational policy and procedure, to prevent further improper conduct.

The PID Act allows the Council to disclose the content of the disclosure by a person or body “to the extent necessary for the purpose of taking lawful action in relation to the conduct that is the subject of an assessable disclosure including disciplinary process or action”. However, IBAC notes that this does not allow the identity of the discloser to be revealed. Reporting the alleged conduct to the Victoria Police as criminal conduct, or taking legitimate management action against the subject of the disclosure in order to prevent future conduct, may be appropriate courses of action in these circumstances.

6.4 Notification

6.4.1 If Council does not consider the disclosure to be a protected disclosure

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If Council does not consider the disclosure to be a protected disclosure, then it will notify the discloser in writing within 28 days after the disclosure was made, of the following information:

the disclosure is not considered to be a protected disclosure; the disclosure has not been notified to IBAC for assessment; and the protections under Part 6 of the PID Act apply, regardless of whether the disclosure is

notified to IBAC for assessment.

Council is not required to notify a disclosure to IBAC if it does not consider it to be a PID. It may also decide to deal with the matter as a complaint directed to Council for resolution.

Notifications to a discloser do not need to be provided by Council in response to an anonymously-made disclosure.

6.4.2 If Council considers the disclosure may be a protected disclosure

If the PID Coordinator/Officer considers the disclosure may be a PID, then they are required to notify the disclosure to IBAC for assessment and to notify the discloser. Such a disclosure is now called an ‘assessable disclosure’.

The PID Coordinator/Officer must notify the discloser in writing within 28 days after receipt that:

the disclosure has been notified to IBAC for assessment; and it is an offence under section 74 of the PID Act to disclose that the disclosure has been

notified to IBAC for assessment under the PID Act.

Additionally, the PID Coordinator/Officer must notify IBAC in writing within 28 days of receipt that:

Council considers the disclosure may be a PID, and Council is notifying the disclosure to IBAC for assessment.

Once a notification is made to IBAC, then IBAC must assess whether, in its view, the assessable disclosure is a PIC.

6.4.3 Protections for public officers

A public officer is given specific protections under the Act to provide information to other public officers or to IBAC in dealing with a disclosure they have received. When a public officer acts in good faith and in accordance with the Act, Regulations and IBAC’s Guidelines, the public officer does not commit an offence under laws imposing a duty to maintain confidentiality or restricting the disclosure of information.

7. Assessment by IBAC

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Once a disclosure has been notified to IBAC, it must determine whether it is a public interest ‘complaint’.

In making its assessment, IBAC may seek additional information from Council or from the discloser if IBAC considers there is insufficient information to make a decision.

If IBAC is of the view the assessable disclosure is not a PID, then it is also not a PIC.

If IBAC is of the view the assessable disclosure is a PID, then it must determine that the disclosures is in fact a “public interest complaint”.

IBAC must inform Council of its determination as to whether or not the PID is a PIC:

In writing, and Within a reasonable time after making the determination.

7.1 If IBAC determines the disclosure is not a PIC

If IBAC determines the disclosure is not a PIC, IBAC must advise the discloser in writing and within a reasonable time after the determination is made, that:

IBAC has determined that the disclosure is not a PIC; and as a consequence of that determination:

o the disclosure will not be investigated as a PIC; ando the confidentiality provisions under Part 7 of the Act no longer apply in relation to the

disclosure; and

regardless of whether IBAC has determined that the disclosure is a PIC, the protections under Part 6 apply to a PID.

In addition, if IBAC is of the view that the disclosure, although not a PIC, may be able to be dealt with by another entity, IBAC may advise the discloser that:

the matter which is the subject of the disclosure may be able to be dealt with by that entity other than as a PIC; and

if the discloser wishes to pursue the matter, to make a complaint directly to that entity.

If this is the case, IBAC will also advise the relevant notifying entity that the discloser has been given this advice.

IBAC is also able to consider whether it wishes to treat the assessable disclosure as a notification made to IBAC under the IBAC Act.

7.2 If IBAC determines the disclosure is a PIC

7.2.1 Notification to the discloser

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If IBAC determines the disclosure is a PIC, IBAC must advise the discloser promptly, in writing after the determination is made, that:

IBAC has determined that the disclosure is a PIC; regardless of the determination, the protections available to a discloser of a PID Part 6 of

the Act apply; the discloser has rights, protections and obligations under the Act as contained in sections

72, 74 and Parts 6 and 7 of the Act, including an explanation of the effect of those sections and Parts of the Act; and

it is an offence under s 74 of the Act to disclose that IBAC has determined that the disclose is a PIC.

Once IBAC has determined that a disclosure is a PIC, the discloser cannot withdraw that disclosure. However, IBAC is afforded the discretion to not investigate a PIC, if the discloser requests it not be.

7.2.2 Further actions IBAC may take

Once IBAC has established whether or not the assessable disclosure is a PIC, then it decides what action it might take under IBAC Act. Under section 58 of the IBAC Act, IBAC may dismiss, investigate, or refer the matter.

Dismissed disclosures must be done so on one of the grounds set out in section 68 of the IBAC Act, and sub-sections 68(2), (3) and (4) which specifically relate to the dismissal of a PIC.

When IBAC decides to investigate alleged conduct, IBAC must be reasonably satisfied that the PIC relates to ‘serious corrupt conduct’ (ss60(2) of the IBAC Act). At the conclusion of its investigation, IBAC must provide the discloser with information about the results of its investigation, including any action taken by IBAC and any recommendation by IBAC that action or further action be taken.

Alternatively, IBAC may decide to refer the PIC to the relevant investigating entity. Disclosures about police personnel conduct to the Chief Commissioner of Police, and other disclosures to the Victorian Ombudsman.

If IBAC determines that the disclosure is not a PIC, it may advise the discloser that they should make a complaint directly to the relevant public body.

At the conclusion of its investigation, IBAC must provide the discloser with information about the results of its investigation, including any action taken by IBAC and any recommendation by IBAC that action or further action be taken (subject to certain exceptions).

IBAC may provide written information about the commencement, conduct or result of an investigation, including any actions taken and any recommendation made that any action or further action be taken to the relevant principal officer. However, IBAC must not provide any information that is likely to lead to the identification of a discloser.8. Welfare Management

Council is committed to the protection of genuine disclosers against detrimental action taken in reprisal for the making of PIDs.

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The protection of persons making genuine PIDs about improper conduct or detrimental action is essential for the effective implementation of the PID Act. In addition, the PID Act extends the need for welfare management to people who have cooperated or intend to cooperate with an investigation of a PIC (“co-operators”). Persons who are the subject of allegations will also have their welfare protected.

Council shall endeavour to ensure disclosers and cooperators are protected from direct and indirect detrimental action being taken against them in reprisal for the PID. Council will ensure its workplace culture supports disclosers and cooperators. Such support will extend to the relevant persons regardless of whether they are internal to the organisation (e.g., employees, Councillors, other officers) or external members of the public. However, different legislative responsibilities (including those external to the PID Act) apply to persons internal to the organisation, and to persons who may be clients or users of the Council’s services. Those derive from various legislative and administrative obligations to:

ensure the health and wellbeing of employees of a public sector body under laws including those relating to Occupational Health and Safety, the Charter of Human Rights and Responsibilities Act 2006, the Public Administration Act 2004, and various Victorian Public Sector Codes of Conduct (as relevant); and

comply with various relevant laws, policies and practices when making administrative and other decisions or taking particular actions affecting a customer, client or user of the public body’s services.

Generally, for internal persons, the Council will ensure a supportive work environment and respond appropriately to any reports of intimidation or harassment against these persons. For external persons, the Council will take reasonable steps to provide appropriate support. The Council will discuss reasonable expectations with all persons receiving welfare management in connection with a protected disclosure.

8.1 Support available to disclosers and cooperators

In accordance with IBAC’s ‘Guidelines for public interest disclosure welfare management’, Council will support disclosers and cooperators by:

keeping the individual informed, by providing:o confirmation that the disclosure has been received;o the legislative or administrative protections available to the person;o a description of any action proposed to be taken;o if action has been taken by the Council, details about results of the action known to the

Council;

providing active support by:o acknowledging the person for having come forwardo assuring the discloser or cooperator that they have done the right thing, and the

Council appreciates them coming forward;

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o making a clear offer of support;o assuring them that all reasonable steps will be taken to protect them;o giving them an undertaking to keep them informed as far as the Council is reasonably

able to;

managing their expectations by undertaking an early discussion with them about:o what outcome they seek;o whether their expectations are realistic;o what Council will be able to reasonably deliver;

maintaining confidentiality by:o ensuring as far as is possible that other people cannot infer the identity of the discloser

or cooperator;o reminding the discloser or cooperator not to reveal themselves or to reveal any

information that would enable others to identify them as a discloser or cooperator;o ensuring that hardcopy and electronic files relating to the disclosure are accessible only

to those who are involved in managing disclosures in Council;

proactively assessing the risk of detrimental action being taken in reprisal (rather than reactively waiting for a problem to arise and a complaint made by the discloser or cooperator), that is, actively monitor the workplace, anticipating problems and dealing with them before they develop as far as is possible;

protecting the discloser or cooperator by:o examining the immediate welfare and protection needs of the person and seeking to

foster a supportive work environment;o listening and responding to any concerns the person may have about harassment,

intimidation or victimisation in reprisal for their actions;o assessing whether the concerns the person may have about harassment, intimidation

or victimisation might be due to other causes other than those related to the protected disclosure;

preventing the spread of gossip and rumours about any investigation into the protected disclosure; and

keeping through and complete records of all aspects of the case management of the person, including all contact and follow-up action.

8.2 Appointment of a Welfare Manager

Section 58 of the PID Act requires Yarra Ranges Council to establish procedures for the protection of a person making a disclosure from reprisal for making a disclosure.

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The PD Coordinator/Officer may appoint a Welfare Manager to advise and protect a discloser or a cooperator. The Welfare Manager may be sourced externally through the EAP provider, where disclosures are made by employees to avoid any potential conflicts of interest and to ensure an impartial, third party view is provided.

The following matters will be taken into consideration when deciding whether to appoint a welfare manager:

are there any real risks of detrimental action against the discloser or cooperator, taking into account their particular circumstances?

whether the Council can take the discloser or cooperator seriously and treat them with respect?

whether the Council will give the discloser or cooperator effective support, including keeping the discloser informed of the status of the disclosure?

can the Council protect the person from suffering repercussions, by dealing with the matter discreetly and confidentially, and responding swiftly and fairly to any allegations that the discloser or cooperator has in fact suffered retribution?

If the answer to the first question is ‘yes’, then IBAC recommends the appointment of a dedicated welfare officer. If the answer to the first question is ‘no’ and the Council can meet the needs set out in the remainder of the questions, IBAC suggests there may be no need for a dedicated welfare officer to be appointed for that particular case.

In most circumstances, a welfare officer will only be required where a PIC proceeds to investigation, but each PID received by Council will be assessed on its own merits.

The Welfare Manager will provide reasonable support and they will discuss the issue of reasonable expectations with the person making a disclosure. The level of support provided to the person will require the written approval of the Chief Executive Officer and will be documented. A copy of the agreement will be provided to the discloser.

If appointed, the Welfare Manager will, in addition to providing the general support set out above at 8.1:

advise the discloser or cooperator of the legislative and administrative protections available to him or her, including providing practical advice;

listen and respond to any concerns of harassment, intimidation or victimisation in reprisal for making a disclosure; and

not divulge any details relating to the PID/PIC to any person other than the PID Coordinator or the CEO.

8.3 Protecting people making a disclosure

Part 6 of the PID Act sets out the protections provided to persons who make a disclosure that it is made in accordance with Part 2 of the PID Act .

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In summary, the protections are as follows:

the discloser is not subject to any civil or criminal liability for making the disclosure; the discloser is not subject to any administrative action (including disciplinary action) for

making the disclosure; by making the disclosure, the discloser 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 disclosure, the discloser is not breaching any other obligation (made by oath, rule of law or practice) requiring him or her to maintain confidentiality; and

the discloser cannot be held liable for defamation in relation to information included in a PID made by him or her.

These protections apply to a disclosure made under Part 2 of the PID Act from the time at which the disclosure is made to Council or IBAC. Protections apply regardless if IBAC has determined that the disclosure is a PID or not.

All employees will be advised that it is an offence for a person to take detrimental action in reprisal for a disclosure. Penalties can include fines and/or imprisonment.

8.3.1 Loss of protections caused by actions of the discloser

A discloser is not protected if they commit an offence under section 72 or 73 of the PID Act, as follows:

a person must not provide false or misleading information, or further information that relates to a disclosure, that the person knows to be false or misleading in a material particular, intending that the information be acted on as a PID (penalty = 120 penalty units or 12 months imprisonment, or both)

a person must not claim that a matter is the subject of a PID knowing the claim to be false (penalty =120 penalty units or 12 months imprisonment, or both)

a person must not falsely claim that a matter is the subject of a disclosure that IBAC has determined to be a PIC (penalty =120 penalty units or 12 months imprisonment, or both).

8.3.2 Person making the disclosure implicated in improper conduct

Where a person who makes a disclosure is implicated in improper conduct, Yarra Ranges Council will protect the person making the disclosure from reprisals in accordance with the PID Act, the Guidelines and this procedure. Council acknowledges that the act of making a disclosure does not exclude the person making the disclosure from being subject to reasonable consequences flowing from any involvement in improper conduct. Section 42 of the PID Act specifically provides that a person’s liability for his or her own conduct is not affected by the person’s disclosure of that conduct under the Act. However, in some circumstances, an admission may be a mitigating factor when considering disciplinary or other action.

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The Chief Executive Officer will make the final decision as to whether disciplinary or other action will be taken against a person making a PID in line with the Staff Code of Conduct and Yarra Ranges Council Enterprise Agreement.

Where disciplinary or other action relates to the conduct of the person making the disclosure, 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, the Chief Executive Officer must be satisfied that it has been clearly demonstrated that:

the decision to proceed with disciplinary action is not causally connected to the making of the disclosure (as opposed to the content of the disclosure or other available information);

there are good and sufficient grounds that would fully justify action against any other person not making a PID in the same circumstances; and

there are good and sufficient grounds that justify exercising any discretion to institute disciplinary or other action.

The PD Coordinator/Officer will thoroughly document the process including recording the reasons why the disciplinary or other action is being taken, and the reason why the action is not in reprisal for the making of a disclosure. The PD Coordinator/Officer will clearly advise the person making the disclosure of the proposed action to be taken, and of any mitigating factors that have been taken into account.

8.4 Protecting people who are the subject of a disclosure

Yarra Ranges Council recognises that employees against whom disclosures are made must also be supported and afforded natural justice. Until a PIC is resolved, the information about the person remains only an allegation. Council will take all reasonable steps to ensure the confidentiality of the person who is the subject of the disclosure is maintained throughout the assessment and investigation process.

The PID Act limits the release of information about the content of an assessable disclosure and the identity of the discloser to certain specified circumstances as set out in Part 7 of the Act. Council will make a decision about whether or when the subject of a disclosure will be informed about a PID involving an allegation made against him or her. It is possible that the subject of the disclosure may never be told about the disclosure if it is not determined to be a PIC, or if a decision is made to dismiss the disclosure.

Additionally, Council may give information about the disclosure to the subject of the disclosure if it is directed or authorised to do so by the investigative entity investigating the PIC, or for the purpose of taking action with respect to the conduct alleged, including disciplinary action.

8.4.1 Welfare services

A person who is the subject of a disclosure, and who is made aware of their status as such may have a welfare manager appointed by Council, or be referred to Council’s EAP program

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for welfare assistance. Alternatively, the PD Coordinator/Officer will provide support and advice to the subject of a disclosure, particularly in relation to their rights and obligations under the PID Act, Councils internal reporting system, these procedures, and any other relevant law or code of conduct. Council will consider each matter on a case by case basis, taking into account the particular circumstances of the person and the PID/PIC.

8.4.2 Natural Justice

IBAC has noted that affording the subject of a disclosure natural justice means that if a decision is to be made about their conduct this person has the right to:

be informed about the substance of the allegations against them; be given the opportunity to answer the allegations before a final decision is made; be informed about the substance of any adverse comment that may be included in any

report arising from an investigation; and have his or her defence set out fairly in any report.

8.4.3 If the allegations are wrong or unsubstantiated

Yarra Ranges Council will provide full support to Council employee’s who have been the subject of a disclosure where the allegations have been found, through investigation, to be incorrect or unsubstantiated. In such circumstances, Council will ensure that no adverse consequences arise for this person as a result of the disclosure or its investigation. This is particularly essential in circumstances where information has been publicly disclosed that identifies the subject, or where information has become public knowledge across Council and the subject is an employee, contactor, volunteer or Councillor.

Further, if the matter has been publicly disclosed by Yarra Ranges Council, the CEO will consider any request by that person to issue a statement of support setting out that the allegations were clearly incorrect or unsubstantiated.

8.5 Detrimental action

If any person reports an incident of harassment, discrimination or adverse treatment that may amount to detrimental action apparently taken in reprisal for a disclosure, the Welfare Manager or PD Coordinator/Officer must record details of the incident and advise the person of their rights under the Act.

Detrimental action taken against another person in reprisal for a PID/PIC is:

when the person takes, or threatens to take, detrimental action against the other person because, or in the belief that:o the other person or anyone else has made, or intends to make, the disclosure; oro the other person or anyone else has cooperated, or intends to cooperate, with an

investigation of the disclosure; or for either of the reasons above, the person incites or permits someone else to take or

threaten to take detrimental action against the other person.

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All persons are reminded it is a criminal offence to take detrimental action against another person in reprisal for a PID/PIC under the PID Act. The penalty for committing such an offence in contravention of the Act is a maximum fine of 240 penalty units, usually increasing 1 July every year in accordance with arrangements made under the Monetary Units Act 2004, two years imprisonment or both.

In such circumstances, Council will be careful about making preliminary enquiries or gathering information concerning such an allegation of detrimental action so that, to the extent it is reasonably able to, it protects the integrity of any evidence that might be later relied upon in a criminal prosecution.

In addition, the taking of detrimental action in reprisal for making a disclosure can be grounds for a person to make a further disclosure with respect to that conduct. The disclosure of this allegation will then be assessed by the Council as a new disclosure under Part 2 of the PID Act. Where the detrimental action is of a serious nature likely to amount to a criminal offence, the Council will also consider reporting the matter to the police or IBAC (if the matter was not already the subject of a disclosure notified to IBAC).

A discloser of a PID may also: take civil action against the person who took detrimental action against the discloser and

seek damages; take civil action against Council jointly and severally to seek damages if the person who

took detrimental action against the discloser took that action in the course of employment with, or while acting as an agent of Council; and

apply for an order or an injunction from the Supreme Court

9. Criminal Offences

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Yarra Ranges Council will ensure officers appointed to handle disclosures and all other employees are aware of the following offences created by the PID Act:

it is an offence for a person to take detrimental action against a person in reprisal for a protected disclosure;

it is an offence for a person to divulge information obtained as result of the handling or investigation of an assessable disclosure unless it is in accordance with the exceptions set out in the Act; and

it is an offence for a person to knowingly provide false or misleading information under the Act with the intention that it be acted on as a protected disclosure.

Civil action may also be applicable when a person has taken detrimental action against another in reprisal for a protected disclosure. They may be found liable in damages to the discloser. Yarra Ranges Council may also be found vicariously liable.

Protections for public officers

A public officer is given specific protections under the PID Act to provide information to other public officers or to IBAC in dealing with a disclosure they have received. When a public officer acts in good faith and in accordance with the Act, Regulations and IBAC’s Guidelines, the public officer does not commit an offence under laws imposing a duty to maintain confidentiality or restricting the disclosure of information.

10. Confidentiality

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Yarra Ranges Council will take all reasonable steps to protect the identity of a person making an assessable disclosure and the content of that disclosure. Maintaining confidentiality is crucial in ensuring reprisals are not made against a person making a disclosure.

In some circumstances, a disclosure may be about improper conduct that poses an immediate threat to the health and safety of individuals, relates to the preservation of property, or constitutes serious criminal conduct. In such circumstances, council is authorised to take immediate action to remove the threat or report criminal conduct to Victoria Police for immediate investigation, or take management action against an employee to prevent future conduct.

The Act prohibits any person who receives information via an assessable disclosure, from disclosing the content or information about the content of that assessable disclosure, except in certain limited circumstances. Disclosure of information in breach of section 52 and section 53 of the Act constitutes a criminal offence.

The circumstances in which a person may disclose information obtained about an assessable disclosure are outlined in section 54 of the Act.

While the Yarra Ranges Council is required to include certain information about Public Interest Disclosures in its Annual Report, the PID Act prohibits the inclusion of any particulars in any report or recommendation that are likely to lead to the identification of a person making a PID.

11. Records Management

Yarra Ranges Council will ensure all files, whether paper or electronic are kept in a secure manner and can only be assessed by the PID Coordinator, CEO, PID Officers or the Welfare Manager (in relation to welfare matters). All printed material will be kept in files that are clearly marked as a ‘PID matter’ and warn of the criminal penalties that apply to any unauthorized divulging of information concerning a protected disclosure.

All electronic files will be either password protected, stored separately or secured. All materials relevant to an investigation, such as tapes from interviews, will also be stored securely with access only by authorised officers, as listed above.

All phone calls and meetings will be conducted in private. Transmission of files containing sensitive information will not be sent to devices that have general staff access.

As a further assurance of confidentiality, a person cannot obtain information about a PID by application under the Freedom of Information Act 1982.

11.1 Exemption from the Freedom of Information Act 1982 (FOI Act)

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The FOI Act provides a general right of access for any person to seek documents in the possession of Yarra Ranges Council.

Documents may not be subject to the Freedom of Information Act 1982 if they disclose information that:

relates to a public interest disclosure or police complaint disclosure is likely to identify a person who has made a public interest disclosure.

IBAC requires public bodies to ensure that any officers handling freedom of information requests are aware of this section.

Council is required to contact IBAC prior to providing any document originating from IBAC or relating to a protected disclosure, if that document is sought under the FOI Act.

12. Training for staff

Yarra Ranges Council will:

ensure that Councillors, staff, contractors and volunteers have access to a copy of these procedures in hard or soft copy;

incorporate into its induction procedures training about Council’s general obligations under the PID Act and the rights and obligations of all Councillors, staff, contractors and volunteers; and

introduce periodic refresher courses for all Councillors, staff, contractors and volunteers about their rights and obligations under the PID Act.

Further, Council will provide additional training and assistance to:

any members of Council with specific responsibilities and functions to handle and manage PIDs under the PID Act, including the PID Coordinator, PID Officers and people involved in welfare management;

its complaint handling staff to ensure that any complaints received will be dealt with consistently and in accordance with the PID Act as required;

any staff with functions and duties under the FOI Act or with responsibilities for information management, to ensure that no prohibited information is disclosed under the Act and to ensure there is appropriate liaising with the staff of IBAC or other investigative agencies where required in response to a request for access under the FOI Act; and

all staff and employees dealing with customers to ensure any potential disclosures received from external sources can be handled appropriately in accordance with the PID Act and these procedures.

13. Collating and publishing statistics

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The PID Coordinator will establish a secure register to record the information required by the Act to be published in the Annual Report. The register will be confidential and will not record any information that may identify the person making a protected disclosure.

Council will include in its Annual Report:

(a) information about how to access the procedures established by the Council under Part 9 of the Act; and (b) the number of disclosures notified to IBAC under section 21(2) during the financial year

14. Review

These procedures will be reviewed annually or upon significant change to the Act, the Regulations or IBAC’s guidelines to ensure they comply with the requirements of the Act, the Regulations and IBAC’s guidelines.

15. Related documents

Public Interest Disclosures Act 2012 (Vic)

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Public Interest Disclosure Regulations 2013 (Vic)

Independent Broad-based Anti-corruption Commission Guidelines for Making and

Handling Public Interest Disclosures 2019

Independent Broad-based Anti-corruption Commission Guidelines for Public interest

disclosures Welfare Management 2019

Complaints Policy

Staff Code of Conduct

Councillor Code of Conduct

Freedom of Information Act 1982 (Vic)

CONTROLLED DOCUMENT INFORMATIONAuthorisation DetailsThis document is a controlled document. Before using this document, check it is the latest version by referring to the ECM controlled document folder identified below or Council’s intranet. Unless

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otherwise shown, printed or downloaded versions of this document are uncontrolled.

Audience: Council Wide - All Council Staff

Department: Information Management

Officer: Marissa Gardiner – Executive Officer Information Management.

Review Timeframe:Max < 4 years

1 year Next Scheduled Review Date:

January 2021

Authorisation: ELT

Related Document Information, Standards & References

Related Legislation: Public Interest Disclosure Act 2012IBAC Act 2011Freedom of Information Act 1982

Related Policies (Council & Internal):

Complaints Policy

Related Procedures, Guidelines, Forms, OHS Modules/PCD’s, Risk Assessments, Work Method Statements:

Standards & Other References

IBAC Guidelines

Version History

Version No

Date Changed

Modified By Details and Comments

1 03/12/2015 Marissa Gardiner

Full review of all sections and amendments made on best practise comparison with LG agencies.


Full review of all sections and amendments made on best practise comparison with LG agencies.


Full review of all sections and amendments based on legislative amendments of 2019/2020.

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