Protected Disclosures Policy
Document ID
Document Number: HRP3
Issue Date: July 2006
Review Date: December 2007
Written by: Human Resources
Approved: CEO
Purpose
To define the procedures to be followed by Hutt Valley DHB Employees when seeking protection from liability or
unfavourable treatment by the organisation when disclosing information about alleged ‘serious wrongdoing’ within
or by Hutt Valley DHB.
Policy
Employees of Hutt Valley DHB who disclose information about ‘serious wrongdoing’ by Hutt Valley DHB
(HVDHB) or its representatives will be protected from disciplinary action, civil or criminal proceedings if :
- The disclosure is in regard to ‘serious wrongdoing’ within or by HVDHB;
- The Employee believes, on reasonable grounds, that the information is true or likely to be true;
- The employee wishes to disclose the information so that the serious wrongdoing can be
investigated; and
- The employee wishes the disclosure to be protected.
In making a disclosure under the Protected Disclosures Act 2000, the Employee must follow the internal
procedures as listed below.
- For the purposes of this policy, an Employee of HVDHB is:
- A current employee
- A former employee
- A person seconded into the organisation
- Independent contractors who are contracted to work for HVDHB
Serious Wrongdoing includes:
- An unlawful, corrupt or irregular use of public funds or public resources
- Acts, omissions or conduct that constitute a serious risk to public health or safety or the
environment
- Acts, omissions or conduct that constitute as serious risk to the maintenance of law and
detection of offences and the right to a fair trial
Acts, omissions or conduct that constitutes an offence
Acts, omission or conduct by a public official that is oppressive, improperly discriminatory, grossly
negligent, or that constitutes gross mismanagement.
Procedure on how to raise serious wrongdoing within or by the organisation.-
1. In the first instance, the Employee making the disclosure will report the alleged serious wrongdoing to his or
her:
1.
(a) Line Manager; or
2. (b) Service Manager.
2.
Where disclosure to a Line Manager or Service Manager is inappropriate due to the nature
of the allegation, or the Employee reasonably believes that the Line Manager or Service Manger may be
involved (either directly or by reason of relationship or association), the Employee making the disclosure
will report the serious wrongdoing to:
0.
(a) the General Manager, Human Resources; or
1.
(b) the Chief Operating Officer ; or
2.
(c) the Director of Planning and Funding, and Public Health;
3.
(d) the Chief Financial Officer
4.
(e) the Chief Executive Officer of Hutt Valley DHB if the employee making the
disclosure believes on reasonable grounds that a person listed in 2 (a) –(d)is or may be
involved in the alleged serious wrong-doing or is, by reason of any relationship or association
with a person who is or may be involved in the serious wrongdoing alleged in the disclosure,
not a person to whom it is appropriate to make the disclosure.
3.
The Manager who receives the allegation will:
0.
(a) Confirm with the Employee in writing as to whether they are seeking
protection in making the disclosure under the Protected Disclosures Act 2000.
1.
(b) Inform appropriate senior personnel of the allegation. (This will usually
include the CEO and Legal Counsel. The CEO may choose to inform the Board);
2.
(c) Be careful to avoid disclosing the information inappropriately to those with a
potential or actual conflict regarding the alleged serious wrongdoing;
3.
(d) Conduct an investigation;
4.
(e) Inform the personnel who are being investigated of:
1. (i) the investigation;
2. (ii) the right to comment on the allegations;
3. (iii) the right to have a representative;
4. (iv) the possible outcome of the investigation;
5. (v) the conclusions of the investigation
5.
(f) Maintain thorough records of the allegation and investigation;
6.
(g) Report back to the Employee making the disclosure in regard to the
progress and outcome of the investigation.
7.
(h) Facilitate the implementation of any recommendations arising from the
investigation.
4.
Where an Employee making an allegation of serious wrongdoing wishes to use a
representative to effect disclosure, that representative is bound by this policy. Where it appears a
complaint falls within the ambit of the Protected Disclosures Act, but the complaint does not refer to this,
the relevant manager will contact the Employee to confirm whether the Employee is relying on the
Protected Disclosures Act.
5.
Disclosure to the Chair (and Deputy) of the Board
Should the Employee reasonably believe that the person to whom the wrongdoing should be reported,
as stated in the internal process, is or may be involved (either directly or by reason of relationship or
association) in the serious wrongdoing being disclosed, the employee may disclose the information to
the Chair or Deputy Chair of the Board.
6.
Disclosure to an Appropriate Authority:
The Employee may choose to disclose the information regarding serious wrongdoing at an appropriate
authority in circumstance where:
0.
the Chair of the Board is or may be involved in the serious wrongdoing alleged
1.
there is a matter of urgency or exceptional circumstances
2.
there has been no action or recommended action in relation to the disclosure
within 20 days of the allegation of serious wrongdoing being made.
Should employees chose to disclose in these circumstances, they will only be covered
by the Protected Disclosures Act if they disclose to the following appropriate authorities
An Appropriate Authority includes:
3.
the Health and Disability Commissioner;
4.
the Medical Council;
5.
the Nursing Council;
6.
the Midwifery Council;
7.
Other professional bodies
8.
an Ombudsman;
9.
the Commissioner of Police;
10.
the State Services Commissioner;
11.
the Director of the Serious Fraud Office;
12.
the Solicitor General.
13.
the Controler and Auditor-General
14.
the Parliamentary Commissioner for the Environment
15.
the Police Complaints Authority
16.
all heads of public sector organisations including the Director General of Health
Employees will not be covered by the protected Disclosures Act should they disclose to the
following authorities or any other body such as the media.
17.
Members of Parliament;
18.
Ministers of the Crown;
7.
Disclosure to a Minister of the Crown or Ombudsman:
Where an employee has made a disclosure, through internal procedures, to the Chair (or Deputy) of the
Board, or to an Appropriate Authority (except when that Appropriate Authority is the Ombudsman), but
reasonably believes that the party to whom the disclosure was made:
0.
Has decided not to investigate the matter; or
1.
Has decided to investigate the matter but has not progressed with the
investigation within a reasonable timeframe of the disclosure being made; or
2.
Has investigated the matter but has not taken or recommended any action as
may be require
The employee may choose to disclose the information directly to a Minister of the Crown or
Ombudsman.
Confidentiality
Where an Employee discloses serious wrongdoing under The Protected Disclosures Act 2000, every endeavour
will be made by the party to whom the disclosure is made to not disclose information that may identify the
Employee unless;
The Employee consents in writing to the disclosure of the information
The part to whom the disclosure is made reasonably believes that the disclosure of the
identifying information is essential to an effective investigation of the allegations or is essential to
prevent serous risk to public health, public safety or the environment; or
It is necessary with regard to the principles of natural justice.
Reference
The Protected Disclosures Act 2000
