Objective
To set out the process for employees to report an identified wrongdoing
Background
FNDC's Fraud, Corruption and Whistleblowing Policy sets out FNDC's expectations for its staff and other stakeholders to ensure compliance with the provisions of the Protected Disclosures Act.
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1.0
Identify or suspect a Serious Wrongdoing
a
Determine if the information you have is considered to relate to a serious wrongdoing.
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Note
What is a Serious Wrongdoing?
The Act defines Serious Wrongdoing as any serious wrongdoing of any of the following types:
(a) an unlawful, corrupt, or irregular use of funds or resources of a public sector organisation
(b) an act, omission, or course of conduct that constitutes a serious risk to public health or public safety or the environment
(c) an act, omission, or course of conduct that constitutes a serious risk to the maintenance of law, including the prevention, investigation, and detection of offences and the right to a fair trial
(d) an act, omission, or course of conduct that constitutes an offence
(e) an act, omission, or course of conduct by a public official that is oppressive, improperly discriminatory, or grossly negligent, or that constitutes gross mismanagement
b
Refer to FNDC's Fraud, Corruption and Whistleblowing Policy to review policy requirements and guidelines, including, but not limited to, the following subjects:
- who can make a protected disclosure
- when is a disclosure protected
- how will you be protected
- responsibilities of an 'internal authority'
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Note
Will my name be kept confidential?
As a general rule, the identity of an employee who makes a protected disclosure must be kept confidential.
The person to whom a protected disclosure is made or referred must use his or her best endeavours not to disclose information that might identify the employee.
There are exceptions to this general rule which are:
a. where the employee consents in writing to the disclosure of their identity;
b. the person who has acquired knowledge of the protected disclosure reasonably believes that disclosure of identifying information;
i. is essential to the effective investigation of the allegations in the protected disclosure;
ii. is essential to prevent serious risk to public health or public safety or the environment; or
iii. is essential having regard to the principles of natural justice.
Grounds for refusing identification
This confidentiality provision can be cited by FNDC as a ground for refusing disclosure of information requested pursuant to the Local Government Official Information and Meetings Act 1987, if that disclosure might identify a person who has made a protected disclosure.
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2.0
Make disclosure (either Internally or Externally)
a
Contact one of two Protected Disclosure Officers at FNDC, either during or after business hours
TK2 contains the information of who the contacts are
b
Contact EAP Services Whistleblowing Hotline on 0800 327 669 and select the option of reporting 'A wrongdoing in your organization's whistleblower hotline'.
This is an external whistleblowing option for staff should they not feel comfortable making a disclosure internally.
EAP Services provide a 24 hour telephone response line, a confidential and impartial reporting process and can also provide critical incident and trauma support service (counselling) for employees and their families where appropriate.
EAP Services will provide a report detailing the disclosure back to FNDC Protected Disclosure Officers who will then conduct any necessary investigation.
Should you wish to know more about EAP Services, please refer to their website below.
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3.0
Action Protected Disclosure
- External Whistleblowing Service Provider
- Protected Disclosure Officer
a
Action receipt of disclosure quickly and set expectations / estimated timeframes back to whistleblower.
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Note
20 day timeframe
There is a 20 day timeframe to adhere to under the Protected Disclosures Act - any investigation must be completed within this time period. If not, the disclosure may be referred by the whistleblower to an external authority.
b
Let the whistleblower know that as per the Fraud, Corruption and Whistleblower Policy, FNDC will not tolerate any attempt by any employee or contractor to apply any sanction or detriment (bullying) to any person who has reported serious wrongdoing and will treat such sanction or detriment by its employees as a serious disciplinary matter.
c
Establish the basis of the claim and gather evidence - ensure as much evidence as possible is provided to enable the investigation to be completed without setbacks.
d
Notify the Chief Executive Officer and relevant 2nd Tier Manager of the Protected Disclosure (unless you believe the Chief Executive Officer and/or 2nd Tier Manager is involved in the serious wrongdoing).
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Note
What if you suspect the Chief Executive Officer may be involved in the serious wrongdoing?
The Protected Disclosure Officer, whoever you make the disclosure to, will investigate without the involvement of the CEO and refer the disclosure to the appropriate authority if necessary.
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4.0
Arrange for Investigation to be Carried Out
- Chief Executive Officer
- Protected Disclosure Officer
a
Arrange for the disclosure to be fully investigated.
b
Ensure that all reasonable efforts are made to protect the identify of a person making a disclosure, unless that person gives consent in writing that his or her identity may be disclosed.
c
Inform stakeholders of investigation, if required.
p-decision
Actioned within 20 working days?
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Yes
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Continue
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No
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Navigate to ProcessPROCESS
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5.0
If fraud evident, notify key stakeholders
- Chief Executive Officer
- Chief People Officer
- Protected Disclosure Officer
a
Arrange urgent meeting between Chief Executive, Chief People Officer, Legal Services and any other Managers and/or staff the CEO would like involved.
b
Report full details of the misconduct and discuss proposed follow-up action.
c
Consult with Inhouse Counsel on legal ramifications of misconduct.
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6.0
Complete follow-up action
- Chief Executive Officer
- Chief People Officer
- Protected Disclosure Officer
a
Notify the person who has made the disclosure about the investigation findings and proposed action and ensure they continue to be informed and supported throughout the process.
b
Direct the relevant Manager / General Manager to put necessary controls in place to mitigate further losses and prevent reoccurrence of similar misconduct.
c
Advise the Council's Insurers as appropriate (depending on nature of the fraud).
d
Notify the appropriate authority (NZ Police).
e
Provide summary of investigation to Mayor and Elected Members.
f
Consider media advice of misconduct and work with Communications Manager to establish approach.
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7.0
Carry out Disciplinary Procedures (where relevant)
- Chief Executive Officer
- Chief People Officer
- In-House Counsel
a
Follow relevant disciplinary procedures outlined in FNDC/s Disciplinary Matters Policy and Disciplinary and Dismissal Guidelines for Managers.
b
Report any breaches to the Chief Executive
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Note
What if an employee has made a malicious disclosure, or a line manager has not responded appropriately to a disclosure?
Disciplinary action should be considered under the Code of Conduct and Disciplinary Policy.
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8.0
Pursue loss recovery and prosecution (if applicable)
- Chief Executive Officer
- Chief People Officer
- In-House Counsel
a
Wherever possible, attempts should be made to recover financial losses by repayment or reparation.
b
Commence prosecution proceedings if applicable.
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9.0
Complete lessons learnt review
- Audit & Assurance Specialist
a
Complete review of internal controls in place within processes / business units where fraud has occurred.
b
Report on recommended improvements to internal controls to ensure measures are taken to prevent a recurrence of the misconduct and work with teams to ensure any action needed to strengthen future responses to fraud are implemented.
c
Schedule follow-up audits in this area as required to ensure controls are adequate and no further fraudulent behaviour is occurring.
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10.0
Implement identified improvements
- Chief Executive Officer
- Chief People Officer
a
Receive lessons learnt review and action any improvement recommendations.
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Responsible
Roles and systems that perform process activities
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Roles
- ALL STAFF
- Audit & Assurance Specialist
- Chief Executive Officer
- Chief People Officer
- External Whistleblowing Service Provider
- In-House Counsel
- Protected Disclosure Officer
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Systems
Accountable
For ensuring that process is effective and improving
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Process Owner
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Process Expert
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Automation Specialists
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Approvers
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Publishers
Consulted
Those whose opinions are sought
Stakeholders
None noted
Stakeholders from Linked Processes
Process
Owner
Expert
Process Group
| Disclosure to External Authority |
Celine Carlisle |
Celine Carlisle |
Transformation & Assurance |
| Lodging a Complaint |
Jill Coyle |
Debbi Norman |
People & Capability |
Informed
Those notified of changes via dashboard notifications
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