Public interest disclosure policy

Purpose

This policy demonstrates how WorkCover will ensure practical and effective procedures are implemented to meet the requirements of the Public Interest Disclosure Act 2010 (PID Act).

Policy statement

WorkCover Queensland (WorkCover) is committed to ensuring the highest standards of professional and ethical conduct in our organisation. A Public Interest Disclosure (PID) is a disclosure in the public interest of information about a serious wrongdoing or danger in the public sector. For an allegation to be considered PID under the PID Act it must be:

• public interest information about serious wrongdoing or danger
• an appropriate disclosure
• made to a proper authority.

WorkCover values the disclosure of information about suspected wrongdoing so that it can be properly assessed and, when appropriate, properly investigated.

By complying with the PID Act, WorkCover will ensure that:

• the public interest is promoted by facilitating PIDs of wrongdoing;
• any public officer who makes a PID is given appropriate support;
• appropriate consideration is given to the interests of persons who are the subject of a PID;
• PIDs made to WorkCover are properly assessed and, where appropriate, properly investigated and addressed;
• appropriate action is taken in relation to any wrongdoing which is the subject of a PID;
• a management program for PIDs made to WorkCover, consistent with the standards issued by the Queensland Ombudsman, is developed and implemented; and
• persons making PIDs are offered protection from reprisal by WorkCover or other public officers of WorkCover.

The PID policy and management program are reviewed annually and updated as required to ensure the requirements of the PID Act and the PID standards issued by the Queensland Ombudsman continue to be met.

Background

This policy is based on the following:

• Public Interest Disclosure Act 2010 (PID Act)
• Public Interest Disclosure Standard No.1/2019: PID Management Program (PID Standard No.1/2019)
• Public Interest Disclosure Standard No.2/2019: Assessing, investigating and dealing with PIDs (PID Standard No.2/2019)
• Public Interest Disclosure Standard No.3/2019: PID data recording and reporting (PID Standard No.3/2019)

This policy considers the following:

• Ombudsman Act 2001
• Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019
• Crime and Corruption Act 2001
• Public Records Act 2002
• Public Sector Ethics Act 1994 (Qld)
• Anti-Discrimination Act 1991
• Human Rights Act 2019

Accountability and responsibility

The below table outlines the accountabilities and responsibilities of each role and the appropriate officer in relation to PIDs:

WorkCover's PID Management Program

The PID management program at WorkCover encompasses:

• commitment to encouraging the internal reporting of wrongdoing;
• Senior Leader endorsement of the value to WorkCover of PIDs and the proper management of PIDs;
• a communication strategy to raise awareness among employees about PIDs and WorkCover’s PID procedure;
• a training strategy to give employees access to training about how to make a PID, information on the support available to a discloser, and advice on how PIDs will be managed;
• specialist training and awareness about PIDs for Senior Leaders and other employees who may receive or manage PIDs, disclosers or workplace issues relating to PIDs;
• the appointment of delegated officers to be responsible for issues related to the management of PIDs;
• ensuring effective systems and procedures are in place so that issues and outcomes from PIDs inform improvements to service delivery, business processes and internal controls; and
• regular review of the PID policy and evaluation of the effectiveness of the PID management program.

What is a PID?

A PID is a disclosure in the public interest, of information about wrongdoing or danger in the public sector. Any person (whether or not they are a public officer) can make a disclosure 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 caused by commission of an offence or contravention of a condition in certain environmental legislation; or
• reprisal because of a belief that a person has made,or intends to make a disclosure.

In addition, public officers (i.e. WorkCover employees) can make disclosures about the following public interest matters:

• corrupt conduct;
• maladministration that adversely affects a person’s interests in a substantial and specific way;
• a substantial misuse of public resources;
• a substantial and specific danger to public health or safety; or
• a substantial and specific danger to the environment.

An appropriate disclosure is where:

• the discloser has an honest and reasonable belief that the information provided tends to show the conduct or danger; or
• the information tends to show the conduct or danger regardless of the discloser's belief.

Information that 'tends to show' wrongdoing or danger must be more than a mere suspicion or bald allegations. There must be information that indicates or supports a view that the wrongdoing or danger has or will occur. The discloser is not required to undertake any investigative action before making a disclosure and does not need to provide any evidence.

An issue in relation to the acceptance or rejection of an individual workers' compensation claim is not a PID. These issues are managed through WorkCover's review process. Complaints about WorkCover's services are managed through WorkCover's Customer complaints policy.

A disclosure amounts to a PID and is covered by the PID Act even if the:

• discloser reports the information as part of their duties i.e. an auditor reporting a fraud or an occupational health and safety officer reporting a safety breach;
• disclosure is made anonymously i.e. the discloser is not required to give their name or any identifying information;
• discloser has not identified the material as a PID i.e. it is up to WorkCover to assess information received and decide if it is a PID; and/or
• disclosure is unsubstantiated following investigation i.e. the discloser is protected when the information they provide is assessed as a PID, whether or not it is subsequently investigated or found to be substantiated.

Information may still be a disclosure under the PID Act even if the information turns out to be incorrect or unable to be substantiated, provided the discloser had a genuine and reasonable belief that it did occur. This allows for genuine misinterpretations of information to fall within the scope of the PID Act.

Why make a PID?

Employees who are prepared to speak up about public sector misconduct, wastage of public funds, suspected unlawful activity or danger to health, safety or the environment can be the most important sources of information to identify and address problems at WorkCover. The disclosure of information about wrongdoing is supported because:

• implementing systems for reporting and dealing with wrongdoing contributes to the integrity of WorkCover;
• suspected wrongdoing can be properly evaluated and investigated;
• the outcomes of PIDs can include actions to fix problems and improvements to systems that prevent fraud and other economic loss to WorkCover; and
• the community's trust in WorkCover is strengthened by having strong processes in place for reporting wrongdoing.

When making a PID the discloser receives the protections provided under the PID Act, including:

• confidentiality i.e. the discloser's name and other identifying information will be protected to the extent possible;
• protection against reprisal i.e. the discloser is protected from unfair treatment by WorkCover and employees of WorkCover as a result of making the PID;
• immunity from liability i.e. the discloser cannot be prosecuted for disclosing the information but is not exempt from action if they engaged in wrongdoing; and
• protection from defamation i.e. the discloser has a defence against an accusation of defamation by any subject officer.

How to make a PID?

A PID must be made to a proper authority to receive disclosures of the type being made.

Disclosers are initially encouraged to make a disclosure via WorkCover’s Whistleblower Hotline Service or through an appropriate officer of WorkCover. A discloser can make a PID in any way, including anonymously, either verbally or in writing.

The Whistleblower Hotline Service provides an independent whistleblower service that allows disclosers to anonymously, or in confidence, report a PID via:

• a dedicated 1800 toll free number 1800 718 465;
• a dedicated email address workcoverqld@pkf.com.au or
• Submitting a report through a dedicated web portal to report PIDs electronically www.pkftalkintegrity.com/?wcq.

Alternatively, a person can make a PID directly to WorkCover:

• through the email address PID@workcoverqld.com.au;
• in writing (Attn: PID Coordinator, WorkCover Queensland, GPO BOX 2459, Brisbane Qld 4001);
• to any person in a leadership position;
• to People Operations;
• to WorkCover's CEO; or
• to a member of WorkCover's Board.

The recipient of the PID should immediately liaise with the PID Coordinator for guidance before taking any actions, including investigation.

If the matter is not resolved, or the discloser is concerned about confidentiality, the disclosure may be made to another appropriate agency, such as

• the Crime and Corruption Commission (CCC) for disclosures about corrupt conduct;
• the Queensland Ombudsman for disclosures about maladministration;
• the Queensland Audit Office for disclosures about a substantial misuse of public funds; or
• Member of the Legislative Assembly (MP).

In addition, a person may make a complaint under the Anti-Discrimination Act 1991 about a reprisal in accordance with Section 44 of the PID Act. A complaint can be lodged with the Queensland Human Rights Commission.

A disclosure can also be made to a journalist if a valid PID was initially made to a proper authority and the property authority:

• decided not to investigate or deal with the disclosure; or
• investigated the disclosure but did not recommend taking any action; or
• failed to notify the discloser within six months of making the disclosure whether or not the disclosure was to be investigated or otherwise dealt with.

A person who makes a disclosure to a journalist in these circumstances is protected under the PID Act. However, disclosers should be aware that journalists are not bound under the confidentiality provisions of section 65 of the PID Act.

To assist in the assessment, and any subsequent investigation of a PID, disclosers are requested to:

• provide contact details i.e. email address or phone number;
• provide as much information as possible about the suspected wrongdoing, including:
  • who was involved;
  • what, when and where it happened;
  • why what happened is wrong i.e. what laws/policies/procedures haven’t been followed;
  • whether there were any witnesses, and if so, who they are;
  • any evidence that supports the PID, and where the evidence is located;
  • any further information that could help investigate the PID; and
  • provide this information in writing.

Deciding whether a matter is a PID

If there is any doubt as to whether a matter is a PID, further information may be obtained to inform the decision. If doubt still remains, the matter will be considered and managed as a PID.

Mere disagreements over policy do not meet the threshold for a PID under the PID Act.

It is an offence under the PID Act to intentionally give false or misleading information intending it be acted on as a PID. Employees may be subject to disciplinary action for intentionally giving false or misleading information in a PID, or during an investigation into a PID.

In circumstances where a discloser states they are making a PID, but it is assessed that the matter is not a PID, WorkCover will advise the discloser:

• that their information has been received but was not assessed as a PID;
• the reasons for the decision;
• the review rights available if the discloser is dissatisfied with the decision and how to request a review;
• any action WorkCover proposes to take in relation to the matter; and
• any other options the discloser has in relation to the matter.

Assessing a PID

The PID Coordinator will assess the disclosure in accordance with the PID Act, the PID standards and WorkCover’s PID policy, and any other relevant procedures.

Once the matter has been assessed as a PID, the PID Coordinator will advise the discloser:

• that their information has been received and assessed as a PID;
• the action to be taken by WorkCover in relation to the disclosure, which could include referring the matter to an external agency for investigating;
• the likely timeframe involved;
• the name and contact details of WorkCover’s PID Support Officer they can contact for updates and advice;
• the discloser’s obligations regarding confidentiality;
• the protections the discloser has under the PID Act;
• the commitment of WorkCover to keep appropriate records and maintain confidentiality, except as permitted under the PID Act;
• how updates regarding intended actions and outcomes will be provided to the discloser; and
• contact details for WorkCover’s Employee Assistance Program or other appropriate support services.

If the PID has been made anonymously and the discloser has not provided any contact details, WorkCover will not be able to acknowledge the PID or provide any updates.

Referring a PID

WorkCover may decide there is another proper authority that is better able to deal with the PID, and refer the PID to that agency. This may be because:

• the PID concerns wrongdoing by that agency or an employee of that agency; or
• that agency has the power to investigate or remedy the matter.

It may also be necessary to refer the PID to another agency because of a legislative obligation such as the referral to Crime and Corruption Commission Queensland (CCC) where there is reasonable suspicion that the matter involves or may involve corrupt conduct.

Where it is decided that a matter is to be referred to another entity, the PID Coordinator will conduct a risk assessment prior to the referral. The referral will not proceed if there is an unacceptable risk of reprisal.

The confidentiality obligations of the PID Act permit appropriate officers of WorkCover to communicate with another agency about the referral of a PID. The officers will exercise discretion in their contacts with any other agency.

The discloser will be advised of the action taken by WorkCover.

Risk assessment and protection from reprisal

A discloser should not suffer any form of detriment because they, or someone else, has made a PID (or in the belief they have made a PID). Upon receiving a PID, the PID Coordinator will conduct a risk assessment to assess the likelihood of the discloser (or witnesses or affected third parties) suffering reprisal action as a result of having made the disclosure. Actions may include developing a specific strategy to reduce the level of risk to the discloser (or witnesses or affected third parties). The risk assessment will consider the actual and perceived risk to the discloser (or witnesses or affected third parties) suffering detriment and will include consultation with the discloser.

A risk assessment will be undertaken if the discloser is anonymous on the basis of information available in the PID.

The PID Coordinator will develop and implement a risk management plan consistent with the assessed level of risk and arrange any reasonably necessary support or protection for the discloser (or witnesses or affected third parties). The risk of reprisal is regularly assessed whilst managing the PID and, if required the risk management plan is reviewed.

In the event of reprisal action being alleged or suspected, the PID Coordinator will:

• attend to the safety of the discloser (or witnesses or affected third parties) as a matter of priority
• review the risk assessment, risk management plan and any protective measures needed to mitigate any further risk of reprisal; and
• manage any allegation of a reprisal as a PID in its own right.

Declining to take action on a PID

The PID Coordinator may decide not to investigate or deal with a PID in various circumstances, including:

• the information disclosed has already been investigated or dealt with by another process;
• the information disclosed should be dealt with by another process;
• the age of the information makes it impractical to investigate;
• the information disclosed is too trivial to warrant investigation and dealing with it would substantially and unreasonably divert WorkCover resources from the performance of its functions; or
• another agency with jurisdiction to investigate the information has informed WorkCover that an investigation is not warranted.

Review rights

If a decision is made not to investigate or deal with a PID, the PID Coordinator will give the discloser written reasons for that decision. If the discloser is dissatisfied with the decision, they can request a review by writing to WorkCover’s PID Coordinator within 28 days of receiving the written reasons for decision.

Communication with disclosers

The PID Coordinator, will acknowledge receipt of the PID in writing as soon as practicable. The discloser will be provided with information that meets the requirements of the PID Act and the PID standards, including:

• the action taken in response to the PID;
• the protections under the PID Act;
• confidentiality obligations of the discloser and WorkCover; and
• support arrangements.

WorkCover will maintain contact with the discloser and provide regular updates during the management of the PID.

After finalising action in response to the PID, the PID Coordinator will advise the discloser in writing of the action taken and the results of the action.

Confidentiality

WorkCover and the external service provider through which WorkCover provides its Whistleblower Hotline Service will make every attempt to protect confidential information throughout the PID process. A discloser’s identity may need to be disclosed to provide natural justice to Subject Officers or respond to a court order, legal directive, or court proceedings.

WorkCover will ensure that communication with all parties involved will be arranged discreetly to avoid identifying the discloser wherever possible. Whilst WorkCover will make every attempt to keep disclosers details confidential, it cannot guarantee that others will not deduce their identity.

All parties involved (including disclosers, Subject Officers, witnesses and affected third parties) have obligations to maintain confidentiality under the PID Act except in the limited circumstances provided in the Act.

WorkCover can make a record or disclose confidential information in the following circumstances:

• for the purpose of administering the PID Act;
• for a proceeding in court or a tribunal;
• if the person to whom the confidential information relates provides written consent to the disclosure;
• if it is not reasonable to obtain the person's consent, and making the record or disclosing the confidential information is unlikely to harm the interests of the person and is reasonable in all the circumstances (for example, to refer a PID to another proper authority to action);
• if the disclosure of the confidential information is necessary to provide for the safety or welfare of a person; or
• to comply with another Act.

The following people at WorkCover, when necessary, will have access to PIDs including the information in the PID register:

• the appointed PID Support Officer;
• Risk and Assurance;
• People Operations;
• the appointed investigator;
• CEO;
• Board; and
• Risk and Audit Committee.

In addition, the external service provider will also have access to PID information where disclosers choose to make a PID via the Whistleblower Hotline Service.

Other dedicated officers may have access to PID information where the discloser's prior consent has been obtained or where required by law.

Support for disclosers

WorkCover recognises that providing appropriate support to a discloser is an important feature of effective PID management.

An employee who has made a PID in accordance with the PID Act:

• is not subject to any civil or criminal liability or any liability arising by way of administrative process, including disciplinary action, for making a disclosure;
• has not committed an offence under any Act that imposes a duty to maintain confidentiality; and
• has a defence of 'absolute privilege' in the case of a defamation action in relation to the information disclosed in the PID.

The PID Coordinator will undertake an assessment to identify the support needs of a discloser. Where appropriate, a PID Support Officer will be assigned to the discloser.

The PID Support Officer will assist the discloser to access information about PIDs, protections available under the PID Act and the PID management process. The PID Support Officer will proactively contact the discloser to offer support. Information and support will be provided to the discloser until the matter is finalised.

Making a PID does not prevent reasonable management action. That means that the discloser will continue to be managed in accordance with normal, fair, and reasonable management practices during and after the handling of the PID.

Investigating a PID

If the PID Coordinator makes the decision to investigate a PID, this will be done with consideration for the:

• principles of natural justice;
• obligation under the PID Act to protect confidential information;
• obligation under the PID Act to protect officers from reprisal; and
• interests of Subject Officers.

An external investigator from WorkCover’s Whistleblower Hotline Service provider will be appointed for each PID investigated.

If as a result of investigation, the information about wrongdoing provided in the PID is substantiated, appropriate action will be taken. Examples of actions that may be taken are outlined in the ‘Noncompliance’ section below.

Where the investigation does not substantiate wrongdoing, WorkCover will review systems, policies and procedures to identify whether there are improvements that can be made and consider if employee training is required.

Rights of subject officer

Subject Officers who have had a PID made against them are assumed to be innocent of allegations until there is evidence to the required standard of proof to show otherwise.

WorkCover will protect their rights by:

• assuring them that the PID will be dealt with impartiality, fairly and reasonably in accordance with the principles of natural justice;
• confirming that the PID is an allegation only until information or evidence obtained through an investigation substantiates the allegation;
• providing them with information about their rights, and the progress and outcome of any investigation; and
• referring them to the Employee Assistance Program for support.

Information and support will be provided to a Subject Officer until the matter is finalised. Where appropriate, a PID Support Officer will also be assigned to the Subject Officer.

Timeframes for assessing and responding to a PID

• WorkCover will assess and investigate PIDs made by disclosers in a timely manner. Depending on the circumstances, the PID may require a detailed investigation or a less formal approach. Therefore, setting a time limit to respond to PIDs or take action is not appropriate.
• The PID Coordinator will acknowledge receipt of the PID in writing as soon as practicable.
• WorkCover will maintain contact with the discloser and provide regular updates during the management of the PID.
• After finalising action in response to the PID, the PID Coordinator will advise the discloser in writing of the action taken and the results of the action.
• If a decision is made not to investigate or deal with a PID, the PID Coordinator will give the discloser written reasons for that decision. If the discloser is dissatisfied with the decision, they can request a review by writing to WorkCover’s PID Coordinator within 28 days of receiving the written reasons for decision.

Record keeping and reporting

In accordance with its obligations under the PID Act and the Public Records Act 2002, WorkCover will ensure that:

• accurate data is collected about the receipt and management of PIDs through the maintenance of a PID register, including PIDs reported internally or via WorkCover’s Whistleblower Hotline Service; and
• anonymised data is reported to the Queensland Ombudsman in their role as the oversight agency, through the PID reporting database.

Records about disclosures, investigations and related decisions will be kept secure and accessible only to appropriately delegated officers involved in the management of the PID.

A quarterly update of PIDs is reported to the Risk and Audit Committee and the Board.

Tax whistleblower protections

Under Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019, protections are offered for tax whistleblowers making eligible disclosures, which may include non-compliance with tax laws or tax avoidance behaviour. To qualify for protection, the disclosure must be made to:

• the ATO Commissioner or a member of the ATO audit team;
• an auditor of the whistleblower entity; or
• the PID Coordinator.

Training and communication

WorkCover recognises the importance of providing training to employees on PID matters and ensuring that ongoing training is provided. WorkCover ensures that employees have access to training about how to make a PID, information on the support available to a discloser, and advice on how PIDs will be managed.

On an annual basis, all WorkCover employees must complete annual refresher training on PIDs. All employees are provided with information about the reporting of wrongdoing and the operation of the PID Act in conjunction with mandatory Fraud and Corruption training provided to all employees as part of their induction and annual training. A record of training is maintained within WorkCover’s Learning Management System.

WorkCover ensures that Senior Leaders and other employees who may receive or manage PIDs undertake specialised training relevant to their role. WorkCover employees who have designated responsibility in relation to PIDs are to attend comprehensive PID training provided by the Office of the Queensland Ombudsman.

Non-compliance

WorkCover employees have an obligation act in accordance with WorkCover policies. Any employee in breach of the PID policy, may result in disciplinary action under the Disciplinary policy.

If, as a result of a PID, wrongdoing is substantiated, appropriate action will be taken. In this instance, the PID Coordinator will advise the discloser in writing of the action taken and the results of the action. Actions may include one or more of the following:

• stopping the conduct or preventing it from recurring (e.g. providing training and awareness, introducing new technology); 1.14 Public Interest Disclosure Policy 13
• implementing or changing policies, procedures or practices;
• offering mediation or conciliation;
• taking disciplinary action in accordance with WorkCover’s Disciplinary policy against a person responsible for the conduct; and/or
• referring the conduct to the Queensland Police Service or another person, organisation or entity that has the jurisdiction to take further action (e.g. initiating legal proceedings against those involved in criminal activity).

Policy review

This policy will be reviewed on an annual basis or earlier when significant changes occur to processes or relevant PID obligations.

The PID policy has been endorsed by the ELT and approved by the CEO for implementation. Risk and Assurance maintains ongoing review of the PID policy with annual RAC review and approval.

Contact

For further clarification of this policy, please contact the PID Coordinator.

Definitions

The below table outlines the key terms and definitions used within this policy: