Integrity and Conduct Survey 2017

PUBLIC SECTOR COMMISSION INTEGRITY AND CONDUCT SURVEY 2017

PRINCIPAL OFFICER CERTIFICATION

To the best of my knowledge, this survey accurately reflects our activities between 1 July 2016 and 30 June 2017 (unless otherwise stated).

I recognise that our responses may be audited by the Commission. We have kept copies of any evidence used to complete the survey.

Name of organisation:......

Name of principal officer:......

Principal officer signature:......

Date: - 2 - Part A – Guiding behaviour

A1. When did you last complete a formal review of your code of conduct?

1 In 2016/17

2 In 2015/16

3 More than two years ago

4 Currently under review (not completed)

5 Not applicable – no code of conduct (skip to A3)

A2. When must your employees read and sign their commitment to your code of conduct? (select all that apply)

1 Pre-employment/induction

2 Promotion/transfer/acting/new contract

3 Performance discussions with managers

4 After breaches of ethical codes

5 New/updated code of conduct

6 Regularly (e.g. annually, bi-monthly, quarterly)

7 Ad hoc/infrequently

8 Never

A3. Do you have a distinct set of corporate values (separate to any code of conduct)?

1 Yes

2 No (skip to A5)

3 Currently being developed (skip to A5)

4 Not applicable – contained within code of conduct (skip to A5)

A4. What are your corporate values (ideally in one-word format)?______(limit characters)______

A5. Approximately what percentage of your employees have participated in ethics and integrity training in the last five years? (please put ‘0’ if none)

……………………………………  Information not available

- 3 - A6. Which of the following employment checks do you use for positions of trust? (for further information, please refer to https://publicsector.wa.gov.au/sites/default/files/documents/more_than_a_matter_of_trust.pdf) (select all that apply)

1 Integrity and conduct checks through your own information management system (e.g. if you have previously terminated applicants for misconduct)

2 Integrity and conduct checks through applicant referees/previous managers

3 Police clearances/conviction history/working with children check

4 Drug tests

5 Qualifications/professional membership confirmation

6 Financial services check (e.g. banned and disqualified persons)

7 100-point identification checks

8 Not applicable

- 4 - Part B – Reporting behaviour

B1. How do you advise contractors, clients and suppliers about how to report unethical behaviour? (select all that apply)

1 Induction

2 Feedback surveys/interviews

3 Posters/noticeboards in public areas

4 External facing website (internet)

5 Contracts/tenders/service agreements

6 Ad hoc/word of mouth

7 Other (please specify)______

B2. Are most reports of unethical behaviour by your staff investigated by your own employees?

1 Yes – current employees

2 No – more by external parties (including previous employees)

3 Not applicable – you have not received any allegations recently (skip to B5)

B3. In investigating the most recent report of suspected misconduct, at what stage did you first notify the Public Sector Commission or Corruption and Crime Commission?

1 Prior to investigation and as soon as the report was made

2 Prior to investigation and during/after a preliminary assessment of the report

3 Prior to decision and during/after investigation

4 After decision and investigation

5 No notification was made

7 Not applicable – you have not investigated any misconduct reports recently

B4. How do you ensure employees who report unethical behaviour are treated appropriately afterwards? (select all that apply)

1 Advise them of counselling/assistance services

2 Survey/interview them several months after the process has ended

3 Track any changes in their position/classification/contract

4 Track any changes in their use of leave entitlements

6 Not applicable – there is no follow up on reporting employees

- 5 - Grievances are a way for employees to raise issues about co-workers, management or organisational processes while disciplinary procedures are used by management to take action against an employee. Please consider this in answering the following two questions

B5. Did you complete any grievance cases about staff behaviour through a formal process during the year?

1 Yes

2 No (skip to Part C)

B6. For all completed grievance cases about staff behaviour, please complete the following table.

Type of grievance Number* of completed cases

a. Information not available ………..

b. Interpersonal conflict ………..

c. Bullying ………..

d. Discrimination ………..

e. Inappropriate behaviour in the workplace ……….. f. Others (please specify)…………….. ………..

* A completed case can be counted against more than one type of grievance.

- 6 - Part C – Public interest disclosures (PID)

C1. How often do you actively remind staff about reporting public interest information? (e.g. staff emails, information sessions, newsletters, case studies)

1 Monthly/quarterly

2 Biannually

3 Annually

4 Ad hoc/infrequently

5 Never

C2. Do you have the following requirements in place? (select all that apply)

1 At least one PID officer assigned to receive disclosures

2 Published procedures on how you manage any public interest disclosures

3 Neither

C3. What are the two main ways that you select your PID officers? (select TWO only)

1 Self-nomination

2 Nomination by managers

3 The chief executive or delegate selects from staff working in high risk line areas (e.g. access to public facilities, equipment or supplies)

4 The chief executive or delegate selects from staff with particular knowledge, skills and qualifications (e.g. investigator or auditor training)

5 The chief executive or delegate selects from staff working in positions of trust (e.g. chief finance officers, legal counsel)

6 The chief executive or delegate selects from staff reporting directly to the chief executive and/or governing body

7 Random selection from all employees

9 Not applicable – no PID officer has been selected

- 7 - C4. a. How many disclosures were b. How many were assessed c. For those NOT appropriate, please received in 2016/17? as appropriate under the PID tell us why that decision was (If none, put 0) Act? made?

______

NOTE: For all appropriate disclosures under the PID Act, please download this form:

http://surveys.publicsector.wa.gov.au/Documents/PID_Register.xlsm

Complete one for each disclosure and send to [email protected] by 16 August 2017.

Information entered into this form is password protected.

C5. In 2016/17, did you receive any allegations of non-compliance with:

 PID Act  PID officers’ code of conduct and integrity?

1 Yes to one or both (please specify)______

2 No to both

C6. The Commission has the following record of your PID officers. Please advise changes only to [email protected].

______

- 8 - Part D – Discipline breaches

D1. Did you complete any discipline processes in 2016/17 relating to possible breaches of your code of conduct or other staff behaviour policy?

1 Yes. How many?______

2 No (skip to end of the survey)

D2. What was the average length of time taken to complete discipline processes?

1 Information not available

2 Within 3 months

3 Between 3 and 6 months

4 Between 6 and 12 months

5 More than 12 months

D3. Did you find any breaches? (select all that apply)

1 Yes. How many?______

2 No

- 9 - D4. Across all completed discipline processes, what types of unethical behaviour were considered? (count processes in each relevant category – one discipline process may have more than one type of unethical behaviour considered)

ii. Number of Type of behaviour i. Number of processes with processes breach found Offensive or inappropriate personal behaviour (e.g. threatening a. ______or abusive language/conduct) b. Repeated unreasonable or inappropriate behaviour directed towards a worker, or group of workers, that creates a risk to ______health and safety (e.g. bullying)

c. Failure to manage conflict of interest ______(public role vs personal interests)

d. Inappropriate acceptance/provision of gift/benefit ______

e. Corrupt behaviour (e.g. misusing position for benefit for ______self/detriment to others)

f. Misuse of computer/internet/email (e.g. illegal content) ______

g. Discrimination, harassment. Sexual assault or other ______discriminatory/indecent behaviour

h. Illicit drug use/alcohol intoxication ______

i. Inappropriate physical behaviour (e.g. assault) ______

j. Inappropriate access/use/disclosure of information ______

k. Workplace bribes/theft (e.g. cash/workplace equipment) ______

l. Misuse of public resources (e.g. vehicles, credit card) ______

m.Fraudulent behaviour/falsification of information/records ______

n. Neglect of duty (e.g. careless or negligent behaviour in performance of duties) ______

o. Criminal behaviour outside work ______

p. Unauthorised secondary employment outside work ______

q. Disobeying or disregarding a direction or lawful order ______

r. Failing to act with integrity (e.g. intentionally failing to perform or acting in a dishonest way) ______

s. Others (please specify) ______

- 10 - D5. What were the outcomes for any breaches found? (count outcomes in each relevant category – each breach may have more than one outcome)

Type of outcome Number a. No sanction ____ (e.g. due to resignation/abandonment of employment) b. Training, counselling or improvement action ____ (e.g. reprimands, performance management, formal warnings/notices) c. Termination ____ (e.g. no renewal of contract) d. Other ____ (e.g. transfer, reduction in classification, change of duties, reduction in salary/fine)

Comment box – please provide any additional comments you would like to make about this survey. …………………………………………………………………………………………………………………………….

…………………………………………………………………………………………………………………………….

Thank you for completing this survey

- 11 -