1. The University strives to conduct its affairs in a responsible and transparent manner.
   
2. The University expects members of the University community to conduct themselves in accordance with University policies, the Code of Conduct and the general law.
   
3. The University will take all reasonable steps to ensure that any person who has made a disclosure of the nature outlined in this policy is protected from unfair treatment, harassment or retaliatory action as a result of having made that disclosure. This same protection is extended to a person implicated by a disclosure during the course of any investigation.

Definitions

"Protected Disclosure" and "disclosure" refer to the reporting to the University of allegations of corrupt conduct, maladministration or the serious and substantial waste of University resources by any member of the University community.

"University community" includes all persons having an involvement in the activities of the University including Council members, staff, students, academic visitors and contractors.

"External Agency" refers to a body that has authority to investigate actions and members of the University community or the University itself such as:

(i) The Australian Federal Police;
(ii) The Commonwealth Auditor-General;
(iii) An Ombudsman; and/or
(iv) A professional association empowered to investigate the conduct of its members.

Disclosed Conduct

The following are examples of the kind of conduct that might be disclosed:

• Serious breach of policies and administrative procedures, particularly for
  personal gain;
• Fraud or other criminal behaviour;[1]
• Non-compliance with laws and regulations;
• Misuse or mismanagement of the University's resources;
• Practices resulting in danger to health or safety, particularly of students or staff;
• Practices endangering the environment; and
• Attempts to conceal any of the above.

Comments made by members of the University community that are critical of University policies or actions generally, or contribute to public debate about the University, are not intended to be addressed by this policy.

[1] Section 6 of the Crimes Act 1914 states that any person who receives, or assists another person, who is to his knowledge, guilty of an offence against a law of the Commonwealth or of a Territory, in order to enable him to escape punishment or to dispose of the proceeds of the offence shall be guilty of an offence. Therefore, if a person knows that an offence, in the form of fraud or other illegal act, has been committed and fails to report it, that person may be guilty of being an accessory after the fact under the Crimes Act 1914. In the case of suspected criminal activities, individuals may wish first to seek legal advice.

Confidentiality

Where a member of the University makes a disclosure in accordance with this policy, the University will take all reasonable steps to ensure that:

• the identity of the person(s) making a disclosure is protected.
• confidentiality is maintained with respect to any information disclosed and the identity of persons disclosing it.

A persons identity may need to be disclosed where:

• The University Officer supervising any investigation (see step 3)
  determines that disclosure of information and identity is essential to
  investigate the matter effectively (including for natural justice reasons);
• The discloser(s) consents in writing to the release of their identity;
• The discloser(s) breaches the confidentiality of an investigation; and/or
• The allegation results in criminal prosecution or other civil proceeding.

Anonymous Disclosures

In view of the protection afforded to a person raising a bona fide concern, it is preferred that a person will provide their name to the University when making a disclosure. Anonymous disclosures of serious allegations, if supported by sufficient evidence to justify an investigation, may be investigated. In making a determination, regard will be had to the:

• Seriousness of the issue raised;
• Credibility of the complaint;
• Evidence provided;
• Prospects for further investigation; and
• Fairness to the person being investigated.

Protection from Action

Where a member of the University community makes a disclosure in accordance with this policy the University will take all reasonable steps to protect that person from detrimental action such as:

• Unfair treatment, harassment, intimidation or retaliatory action by persons named or implicated by the disclosure. This same protection is extended to any person implicated by a disclosure during the course of any investigation;
• Discrimination, disadvantage or harassment in relation to employment or study or other rights or advantages they may possess as a member of the University community; and
• Disciplinary proceedings.

The University encourages staff to make disclosures in good faith to the Risk Management & Audit Office in the first instance.

The University is only able to extend coverage of this policy to a member of the University community when the disclosure has been made to the University through the Risk Management & Audit Office or other officer specified at step 2 of the Procedures.

Where a disclosure has been made in good faith to an External Agency, the University will provide the protection available under this policy, once it has been informed of the content of the disclosure. The University will co-operate with an investigation conducted by the External Agency.

The protection offered under this policy is not intended to cover public "whistleblowing" to the media, nor reports to other agencies when the University has not been informed. A person wishing to make a disclosure outside of this policy framework should seek their own legal or other advice about whether protections are or are not available when considering making such a disclosure. Protection may be available for example under legislation dealing with specific disclosures such as The Occupational Health and Safety (Commonwealth Employment) Act 1991 or under The Ombudsman Act 1976 or by the Auditor-General.

PROCEDURES

Step 1 - Reporting Alleged Fraud

Internal

Unless dictated otherwise by University policy or legislation (eg. research falsification), any disclosure should be made in the first instance to the staff members supervisor. If the supervisor is involved in the suspected fraudulent activity then the Risk Management and Audit Office (RMAO) should be advised on ext. 52505. A report may be given verbally, but should be supported in writing (not email) wherever possible.

The Risk Management & Audit Office will undertake a preliminary assessment to determine whether the matter should be dealt with under this procedure. If they consider that the matter should be dealt with under a different procedure, the individual making the disclosure will be advised of the appropriate steps that should be taken.

External Agencies - Alternative Avenues for Disclosure

Individuals are encouraged to raise matters within the channels described above, but they also have the right to make a report to an outside body such as the Commonwealth Ombudsman.

Step 2 Initial Consideration of Reports

The Risk Management & Audit Office will consider the information/allegations made and report the allegations and any further information in confidence to the Vice-Chancellor within ten working days.

If a disclosure relates to the Vice-Chancellor, the matter will be reported to the Chancellor. If the disclosure relates to the Chancellor, the report will be made to the Vice-Chancellor who must report the disclosure to Council for its consideration at the first available opportunity.

Step 3 Investigation of Reports

The Vice-Chancellor, or other relevant person identified in step 2, will consider the substance of the disclosure and will decide whether or not an investigation should be conducted, and if so, what form it should take.

In the first instance, if a University procedure already exists for investigating the substance of the disclosure (for example staff misconduct procedures under the Enterprise Agreement), then the Vice-Chancellor will refer any further investigation to the appropriate officer under those procedures.

If there is no other procedure available and the Vice-Chancellor considers the substance of the disclosure is serious enough to warrant an investigation, an Investigating Officer will be appointed and the person against whom the allegation has been made so informed by the Vice-Chancellor.

The Investigating Officer may be a senior officer of the University or a person external to the University. Reports alleging criminal activity will be referred to an external fraud control service provider or to the Australian Federal Police for investigation.

The Investigating Officer will report the outcome of any investigation to the Vice-Chancellor. The Vice-Chancellor will consider the report and may decide either to:

• Take no further action;
• Consider action as provided under existing procedures/policies; and /or initiate disciplinary action under the misconduct procedures;
• Refer the matter to the Australian Federal Police.

The person making the allegation and the person against whom the allegation has been made will be notified in writing by the Vice-Chancellor no later than ten working days after the Vice-Chancellor's decision has been made.

Malicious, Frivolous or Vexatious Disclosures

Misconduct procedures may be used by the University if a disclosure is investigated and found to be malicious, frivolous or vexatious (EA clause 47 and student Discipline Rules).

Record Keeping

Documents that relate to a specific protected disclosure will be placed on a confidential file created and registered by University Records and maintained in accordance with the University's records and archives management policy.

Where a disclosure is investigated, the outcome of the investigation will be placed on the file.