• Section 1 - Purpose of Policy
• Section 2 - Application and Scope  
• Section 3 - Policy Principles
• Section 4 - Public Interest Disclosures (PIDs)
• Section 5 - What is Serious Wrongdoing?
• Section 6 - Reporting Wrongdoing
• Who can make a Report?
• Report format
• Internal Reporting of Serious Wrongdoing
• External Reporting of Serious Wrongdoing
• Making a Report to a Member of Parliament or Journalist:
• Deeming that a Report is a voluntary PID
• Section 7 - Protection of Reporters
• Protection from detrimental action:
• Immunity from civil and criminal liability
• Confidentiality
• Protection from liability for own past conduct
• Section 8 - Reporting Detrimental Action
• Section 9 - Review and Dispute Resolution
• Internal review:
• Voluntary dispute resolution:
• Section 10 - Roles and Responsibilities
• Section 11 - Recordkeeping and Reporting
• Section 13 - Definitions

Section 1 - Purpose of Policy

(1) To outline the University’s approach to managing public interest disclosures.

(2) To ensure compliance with section 42 of the Public Interest Disclosures Act 2022 (PID Act).

Section 2 - Application and Scope  

(3) This Policy applies to, and for the benefit of, all public officials in NSW, including:

1. all permanent, fixed term and casual employees of the University;
2. affiliates, associates, fellows, conjoint employees, and anyone working for, or representing the University;
3. consultants, contractors, and their employees working for the University; and
4. individuals, such as volunteers, who may perform public duties on behalf of the University.

(4) This Policy does not apply to:

1. people who have received services from the University and want to make a complaint about those services. For information on how to do this, refer to the Complaints Management Policy; and
2. people, such as providers, who provide services to the University, for example, employees of a company that sold computer software to the University.

Section 3 - Policy Principles

(5) The University takes reports of serious wrongdoing seriously. We are committed to building a ‘speak up’ culture where our staff, students, associates and affiliates are encouraged to report any conduct that they reasonably believe involves wrongdoing.

(6) The University encourages staff to report all wrongdoing regardless of whether they think it is a serious wrongdoing. It is important to understand what is, or may be occurring within the University environment. The University will then ensure the report is handled appropriately under the PID Act, or if it is not a PID, in line with other University policies and procedures. Even where a report is not a PID, it will be managed in accordance with University UOW’s policy documents for dealing with reports and complaints, where relevant.

(7) The University relies on our staff, volunteers, contractors and subcontractors speaking up when they become aware of wrongdoing. This Policy, along with the associated Serious Wrongdoing Internal Reporting Procedure, documents the University’s commitment to building a speak up culture. Part of that speak up culture is having in place a framework that facilitates public interest reporting of wrongdoing by:

1. protecting those who speak up from detrimental action
2. imposing duties on the University to take appropriate action to investigate or otherwise deal appropriately with reports of wrongdoing.

(8) The University is committed to:

1. promoting a culture of trust, integrity, ethical behaviour, accountability and transparency where persons are comfortable about reporting wrongdoing;
2. encouraging and supporting persons to come forward if they have witnessed what they consider to be wrongdoing within the University;
3. treating all reports of wrongdoing with confidentiality and care, regardless of whether or not they meet the criteria for protection under the Public Interest Disclosures Act 2022;
4. dealing with reports impartially, promptly and reasonably and, if some form of wrongdoing has been found, taking appropriate action;
5. keeping an internal reporter informed of the progress of their report and broadly of any outcomes; and
6. ensuring Managers and Supervisors at all levels understand the benefits of reporting wrongdoing, are familiar with this Policy and Procedures for internal reporting of wrongdoing, and aware of the needs of those who make or are the subject of a report.

Section 4 - Public Interest Disclosures (PIDs)

(9) This Policy relates primarily to reports of voluntary PIDs and how the University will manage voluntary PIDs.

(10) People who make mandatory PID or a witness PID are still entitled to protection. More information about protections is available in Section 7 of this Policy.

(11) Public interest disclosures protected by the PID Act:

1. voluntary PID: This is where the person makes a report of serious wrongdoing because they decided, of their own accord, to come forward and disclose what they know;
2. mandatory PID: This is where the person has made a report about serious wrongdoing because they have a legal obligation to make the report, or because making that report is an ordinary aspect of their role or function at the University; and
3. witness PID: This is where a person discloses information during an investigation of serious wrongdoing following a request for requirement of the investigator.

(12) For a report to be considered a voluntary PID it must meet the following requirements under the PID Act:

1. the report must be made by a public official as specified in the Policy; and
2. the report must be made to a person who can receive reports of serious wrongdoing as identified as specified in this Policy; and
3. the reporter must honestly and reasonably believe that the information shows or tends to show serious wrongdoing; 
4. the report is made orally or in writing; 
5. the report is voluntary (meaning it is not a mandatory or witness PID); and
6. actual proof of the serious wrongdoing is not required, however a mere allegation with no supporting information is unlikely to meet the requirement of belief on reasonable grounds.

Section 5 - What is Serious Wrongdoing?

(13) Serious wrongdoing is:

1. corrupt conduct, such as a University employee accepting a bribe or engaging with organised crime;
2. fraud (a subset of corruption, such as acting dishonestly in breach of public trust);
3. serious maladministration, such as the University systematically failing to comply with proper recruitment processes when hiring staff;
4. government information contravention, such as destroying, concealing or altering records to prevent them from being released under a Government Information Public Access application;
5. privacy contravention, such as unlawfully accessing a students personal information on the University’s database; or
6. a serious and substantial waste of public money – such as an agency not following a competitive tendering process in accordance with University Policy.

(14) When making a report, there is no need to state to the University that serious wrongdoing is being reported and/or what category of serious wrongdoing is being reported.

Section 6 - Reporting Wrongdoing

Who can make a Report?

(15) The report must be made by a public official, which includes:

1. a University staff member; 
2. a consultant, contractor or other individual performing public duties on behalf of the University; or
3. a public official from another agency.

(16) A public official can make a PID about serious wrongdoing related to any agency, not just the University. This means that the University may receive PIDs from public officials outside of UOW. It also means that a person can make a PID to any agency, including an integrity agency like the Independent Commission Against Corruption (ICAC) and the NSW Ombudsman. See the Serious Wrongdoing Reporting Procedure for a list of integrity agencies.

Report format

(17) In writing: this could be an email or letter to a person who can receive reports

(18) Orally: have a private discussion with a person who can receive reports. This can be face-to-face, via telephone or virtually.

(19) Anonymously: write an email or letter or call a person who can receive a report without providing a name or anything that might identify a person as the maker of the report. Even where the reporter chooses to remain anonymous, they will still be protected under the PID Act. It may be difficult, however, for the University to investigate the matter(s) disclosed where the University cannot contact the reporter for further information.

Internal Reporting of Serious Wrongdoing

(20) A report of serious wrongdoing can be made within the University to:

1. the Vice-Chancellor and President as Principal Officer;
2. a Nominated Disclosure Officer – a list of disclosure offers for the University can be found in the Serious Wrongdoing Reporting Procedure; and
3. a reporter’s Manager – this is the person who directly, or indirectly, supervises the reporter. Staff may have more than one Manager, a report can be made to any Manager of that supervises the reporter. The Manager may not be a Nominated Disclosure Officer. If this is the case, the Manager will make sure that the report is communicated to a Disclosure Officer on behalf of the reporter or theymay accompany the reporter to a Disclosure Officer to make the report.

External Reporting of Serious Wrongdoing

(21) A report of serious wrongdoing can be made outside the University to:

1. WBS Whistleblowing Services - an external agency that has been engaged by the University to receive reports on behalf of the University. Reports can be made anonymously. Refer to the Serious Wrongdoing Reporting Procedure for information about how to make a report to WBS;
2. a report can also be made to another public official outside of the University, including:
   1. the Head of another agency – this means the Head of any public service agency;
   2. an integrity agency – a list of integrity agencies is can be found on the Serious Wrongdoing Reporting Procedure;
   3. a Disclosure Officer for another agency – ways to contact Disclosure Officers for other agencies is located in an agency’s PID Policy which can be found on their public website; and
   4. a Minister or a member of a Minister’s staff but the report must be made in writing.

(22) If you choose to make a disclosure outside of the University, it is possible that the disclosure will be referred back to the University so that appropriate action can be taken.

Making a Report to a Member of Parliament or Journalist:

(23) Disclosures to MPs or journalists are different to other reports. A person may only disclose a report of wrongdoing as a voluntary PID to an MP or journalist in the following circumstances:

1. the person making the report must have first made substantially the same disclosure to someone who can receive disclosure;
2. the previous disclosure must be substantially true;
3. the person making the report did not make the previous disclosure anonymously;
4. the person making the report did not give a written waiver of their right to receive information relating to their previous disclosure;
5. the person making the report did not receive the following from the University:
   1. notification that UOW will not investigate the serious wrongdoing and will also not refer the previous disclosure to another agency;
   2. the following information at the end of the investigation period:
      1. notice of UOW’s decision to investigate the serious wrongdoing;
      2. a description of the results of an investigation into the serious wrongdoing;
      3. details of proposed or recommended corrective action as a result of the previous disclosure or investigation;
6. investigation period means:
   1. after six months from the previous disclosure being made;
   2. after 12 months if you applied for an internal review of the agency’s decision within six months of making the disclosure; or
   3. if all of the above requirements are meet, disclosure to an MP or journalist may be a voluntary PID.

Deeming that a Report is a voluntary PID

(24) The Vice-Chancellor and President (VC) or their delegate can, in certain circumstances, and at their sole discretion, deem that a report is a voluntary PID even if the report does not otherwise have all the features of a voluntary PID.

(25) Where a report is deemed as a voluntary PID, reporters are provided with protections under the PID Act.

Section 7 - Protection of Reporters

(26) If the University assesses a report to constitute a PID, the reporter is entitled to special protections under the PID Act.

(27) The University is committed to taking all reasonable steps to protect anyone from detriment because of having made a PID.

(28) The University is committed to maintaining the confidentiality of reporters as much as possible while the PID is being dealt with.

(29) The University will not tolerate any type of detrimental action being taken against a reporter because they have made a report, or are believed to have made a report.

Protection from detrimental action:

(30) A person cannot take detrimental action against another person because they have made a voluntary PID or are considering making a PID. Detrimental action includes bullying, harassment, intimidation or dismissal.

(31) Once the University becomes aware that a voluntary PID has been made, the University will undertake a risk assessment and take steps to mitigate the risk of detrimental action occurring against the reporter.

(32) It is a criminal offence for someone to take detrimental action against a person because they have made or may make a voluntary PID. It is punishable by a maximum penalty of 200 penalty units or imprisonment for five years or both.

(33) A person may seek compensation where unlawful detrimental action has been taken against them.

(34) A person can apply for a court order (injunction) where detrimental action is threatened or has occurred (for example, an order to prevent dismissal or to require reinstatement).

(35) Note that a person who makes a PID can still be subject to reasonable management action (such as ordinary performance reviews and performance management). Provided such action is not taken because of the PID, it is not detrimental action under the PID Act.

Immunity from civil and criminal liability

(36) Some public officials are often subject to a duty of confidentiality that prevents them disclosing certain information that they obtain or become aware of at work. Sometimes, in order to make a PID, public officials will need to breach or disregard such confidentiality duties. If that happens, a public official cannot be disciplined, sued or criminally charged for breaching confidentiality.

Confidentiality

(37) Public officials and agencies must not disclose information tending to identify a person as the maker of a voluntary PID unless doing so is permitted by the PID Act.

(38) The University will protect the identity of reporters as much as reasonably possible.

(39) The person receiving the disclosure must discuss any limitations on confidentiality with the reporter as soon as practical after receiving the report.

(40) A reporter may request a meeting at an alternative location away from their immediate work area, the work area of the subject/s of the disclosure or the work area of the person receiving the disclosure.

(41) The University will not disclose the identity the reporter or any information that is likely to lead to the identification of the reporter unless the prior consent of the reporter is obtained in writing.

(42) Breaching the confidentiality of a reporter may be considered an offence under the relevant Legislation.

Protection from liability for own past conduct

(43) The Attorney General can give the maker an undertaking that a disclosure of their own past conduct will not be used against them if a person discloses their own wrongdoing or misconduct while making a report. This undertaking can only be given on application by an integrity agency to the Attorney General.

Section 8 - Reporting Detrimental Action

(44) If a reporter experiences adverse treatment or detrimental action, such as bullying or harassment, this should be reported immediately.

(45) A reporter can report any experience of adverse treatment or detrimental action directly to the Senior Manager, Complaints Management Centre, Chief Integrity Officer, VC, a Nominated Disclosure Officer.

(46) A reporter can also report any experience of adverse treatment to an external integrity agency.

Section 9 - Review and Dispute Resolution

Internal review:

(47) Reporters who make voluntary PIDs can seek internal review of the following decisions made by the University:

1. that the University is not required to deal with the report as a voluntary PID;
2. to stop dealing with the report because UOW decided it was not a voluntary PID;
3. to not investigate the serious wrongdoing and not refer the report to another agency; or
4. to cease investigating the serious wrongdoing without either completing the investigation or referring the report to another agency for investigation.

(48) The University will ensure internal reviews are conducted in compliance with the PID Act.

(49) Where the reporter wishes to make an application for an internal review, they must apply in writing within 28 days of being informed of the University’s decision. The application should be made to the VC and state the reasons why the reporter considers the University’s decisions should not have been made. Other relevant material may also be submitted with their application.

Voluntary dispute resolution:

(50) If a dispute arises between UOW and a person who has made a report which is, or may be, a voluntary PID, UOW may request the NSW Ombudsman to conciliate the dispute. Conciliation is a voluntary process and will only be suitable for disputes where UOW and the maker of the report are willing to resolve the dispute.

Section 10 - Roles and Responsibilities

(51) Certain people within the University have responsibilities under the PID Act.

(52) The Vice-Chancellor and President as Principal Officer is responsible for:

1. fostering a workplace culture where reporting is encouraged;
2. receiving disclosures from public officials;
3. ensuring there is a system in place for assessing disclosures;
4. ensuring the University complies with this Policy and the PID Act; and
5. ensuring that the University has appropriate systems for:
   1. overseeing internal compliance with the PID Act;
   2. supporting those who make voluntary PIDs, including by minimising the risk of detrimental action;
   3. implementing corrective action if serious wrongdoing is found to have occurred;
   4. complying with reporting obligations regarding allegations or findings of detrimental action;
   5. complying with yearly reporting obligations to the NSW Ombudsman; and
   6. complying with reporting to the ICAC any matter where there is a reasonable suspicion that corrupt conduct has occurred or may occur.

(53) The Nominated Disclosure Coordinator is responsible for:

1. receiving reports of serious wrongdoing from internal or external reporting persons;
2. conducting a preliminary assessment of all reports to determine if the report constitutes serious wrongdoing or requires referral to an alternative University process;
3. informing the Principal Officer and Chief Integrity Officer;
4. informing the SWRC; and
5. being the point of contact for the reporter.

(54) Disclosure Officers are responsible for:

1. receiving reports from public officials;
2. receiving reports passed on to them by Managers;
3. ensuring reports they receive are referred to WBS; and                              
4. ensuring any oral reports received are recorded in writing.

(55) Managers are responsible for:

1. receiving reports from  to WBS or a Nominated Disclosure Officer.

(56) All employees must:

1. report suspected wrongdoing and misconduct;
2. use their best endeavours to assist in an investigation of serious wrongdoing if asked to do so by a person dealing with a voluntary PID on behalf of the University;
3. treat any person dealing with or investigating reports of serious wrongdoing with respect; and
4. not take detrimental action against any person who has made, may in the future make, or is suspected to have made, a PID.

Section 11 - Recordkeeping and Reporting

(57) The University must keep full and accurate records with respect to all information received in connection with the PID Act. This ensures that UOW complies with its obligations under the State Records Act 1998.

(58) Uphold the principles regarding the creation, maintenance and storage of records in accordance with the Records Management Policy.

(59) Deidentified reports are submitted quarterly to the Risk, Audit and Compliance Committee (RACC) providing information about reports of serious wrongdoing received to assist the University in identifying and addressing potential systemic issues.

(60) Each year the University will provide an annual return to the NSW Ombudsman which includes:

1. information about voluntary PIDs received by UOW during each return period;
2. action taken by UOW to deal with voluntary PIDs during the return period; and
3. how UOW promoted a culture in the workplace were PIDs are encouraged.

Section 12 - Compliance with the PID Act

(61) The Principal Officer with the Chief Integrity Officer and Senior Manager, Complaints Management Centre are responsible for ensuring compliance with the PID Act and the effectiveness of this Policy.

(62) The University’s Risk, Audit and Compliance Committee will receive information about non-compliance of the PID Act from the Chief Integrity Officer.

Section 13 - Definitions