• Section 1 - Purpose and Context
• Section 2 - Where and How to Report Suspected Serious Wrongdoing
• How to Make a Report
• Disclosure Officers
• Recipient Managers
• Initial Action Taken on Receipt of a Report
• Section 3 - Assessment After a Report of Serious Wrongdoing is Made
• Report Assessment
• Risk Assessment
• Assessment by Disclosure Coordinator
• Section 4 - Deemed Public Interest Disclosures
• Section 5 - Referral to Chief People Officer
• Section 6 - Investigation
• Multiple Allegations
• Process
• Conclusion of Investigation
• Section 7 - Corrective Actions
• Section 8 - Review of Decisions
• Internal Review
• Section 9 - Reporting to ICAC
• Section 10 - Support
• Section 11 - Protection Against Detrimental Action
• Section 12 - External Reporting
• Section 13 - Protection Against Legal Liability
• Section 14 - Annual Return
• Section 15 - Review of Policy and Procedures

Section 1 - Purpose and Context

(1) These procedures apply to the enactment and administration of the Whistleblowing (Reporting Corruption and Other Serious Wrongdoing) Policy ("Policy").

(2) These procedures set out the way in which the University will:

1. deal with and investigate reports of suspected serious wrongdoing under the Policy
2. identify, manage and minimise risks to officers, staff and students who make reports and/or who are required to participate in the process
3. meet its statutory obligations under the Public Interest Disclosures Act 2022 (NSW), the Independent Commission Against Corruption Act 1988 (NSW) and any other relevant legislation
4. meet its obligations under the relevant Western Sydney University Staff Enterprise Agreements.

(3) Unless defined in these procedures, words and terms used in these procedures have the same meaning given to them in the Policy.

Section 2 - Where and How to Report Suspected Serious Wrongdoing

How to Make a Report

(4) Reports of suspected serious wrongdoing can be made orally or in writing, and must be made to a Disclosure Officer (or Recipient Manager) to receive protections under the Act. These people are detailed below. If a staff member who is not a Disclosure Officer receives a report, they must refer it to a Disclosure Officer immediately.

(5) A report involving the Chancellor, the Vice-Chancellor and President or a member of the Board of Trustees or one of its committees must be made directly to the Disclosure Coordinator (or another Disclosure Officer), who must then refer it to the appropriate external investigation agency or the report can be made directly to the appropriate external investigation agency. If the report involves one of the Disclosure Coordinators (specified below) the report must be made to the other Disclosure Coordinator. 

Disclosure Officers

(6) The University encourages reports of suspected serious wrongdoing (including voluntary public interest disclosures) to be made to the following Disclosure Officers authorised by the University for the purposes of the Policy and these Procedures:

1. the head of the agency as defined in the Act, who is the Vice-Chancellor and President of the University
2. the Disclosure Coordinator who is:
   1. the University Secretary or
   2. the Senior Deputy Vice-Chancellor, but only if the University Secretary has a conflict of interest in respect of, or is the subject of, a report of suspected serious wrongdoing, or is otherwise unavailable to act as Disclosure Coordinator.
3. the Chancellor, but only where the Vice-Chancellor and President has a conflict of interest in respect of, or is the subject of, a report of suspected serious wrongdoing
4. the Chief Audit and Risk Officer or
5. the Director, Complaints Management and Resolution.

(7) If the reporter prefers not to make a report to the above people, a voluntary public interest disclosure may also be made to the following Disclosure Officers:

1. a member of the Board of Trustees
2. the most senior ongoing employee who ordinarily works at each campus (typically the Campus Provost)

(8) The contact details for the Disclosure Officers is available on the Whistle Blowing at Western Sydney University webpage.

(9) A report may also be submitted to a Disclosure Officer via the Public Interest Disclosure Portal.

Recipient Managers

(10) If the reporter is an employee of the University, a voluntary public interest disclosure may also be made to the employee's manager (a Recipient Manager). For the purposes of the Policy and this Procedure, an employee’s manager is the person who directly, or indirectly, supervises them or to whom they report. A person may have more than one manager. For the avoidance of doubt, unless this manager is listed on the Whistle Blowing at Western Sydney University webpage, they are not a Disclosure Officer.

Initial Action Taken on Receipt of a Report

(11) Following receipt of a report of suspected serious wrongdoing, the Disclosure Officer must:

1. if requested or otherwise appropriate, arrange to meet with the reporter discreetly and, preferably, away from that person’s workplace or study area
2. ask the reporter to make a statement or follow the steps listed below:
   1. in the case of an oral report:
      1. make a comprehensive written record of it
      2. ask the reporter to sign that record and give them a copy and
      3. ensure that the record is filed in accordance with the Records and Archives Management Policy
3. explain the process for assessing a report, in accordance with Section 3 of these Procedures and include information on:
   1. how to keep the person’s identity confidential (if the person has not already self-disclosed)
   2. developing an appropriate risk management plan and
   3. provide the reporter with information about support available (eg. Employee Assistance Program).

(12) In appropriate circumstances, the above tasks, except for making a record in accordance with sub-clause c, may be undertaken by the Disclosure Coordinator.  Disclosure Officers are encouraged to inform the Disclosure Coordinator about all reports as soon as practicable. The Disclosure Coordinator will be able to provide assistance with any of the above matters.

(13) Following receipt of a voluntary public interest disclosure, the Recipient Manager must ensure the reporter is safe and provide them with information about support available (eg. Employee Assistance Program):

1. in the case of an oral report:
   1. make a comprehensive written record of it
   2. ask the reporter to sign that record and give them a copy
   3. submit the report via the Public Interest Disclosure Portal
   4. ensure that the record is filed in accordance with the Records and Archives Management Policy
2. communicate the disclosure in writing to the Disclosure Coordinator (or another Disclosure Officer) as soon as reasonably practicable.

Section 3 - Assessment After a Report of Serious Wrongdoing is Made

Report Assessment

(14) Each report of suspected serious wrongdoing must be assessed for the Disclosure Coordinator to decide whether:

1. it qualifies as a voluntary public interest disclosure
2. it should be investigated, taking into account whether:
   1. it can properly or effectively be investigated or
   2. it can be more appropriately resolved in another way, such as a process under another policy or
   3. through another process either separately or concurrently
3. it should be investigated internally, referred to an external investigator or an investigating authority
4. it involves a criminal offence, corrupt conduct or other conduct that should be reported or notified to the police or an investigating authority (for example, the Independent Commission Against Corruption)
5. there is any risk of detrimental action
6. any legal or other professional advice should be obtained.

Risk Assessment

(15) The Disclosure Coordinator must arrange for a risk assessment to be undertaken following receipt of a report. The risk assessment must be in writing, and:

1. assess the likelihood of detrimental action using a matrix which considers the seriousness and likelihood of potential detrimental action against a person as a result of the report, including against the reporter and the public official whose serious wrongdoing the report is about (excluding reasonable management action)
2. assess the likely impact on the person(s) who is/are the subject of the report, taking into account the seriousness of the matters raised in the report
3. include appropriate strategies to minimise or control risks of detrimental action and other adverse impacts
4. be monitored and regularly reviewed to ensure those strategies remain effective and take into account any changed circumstances
5. should be first discussed with the reporter.

(16) The Disclosure Coordinator must provide the outcome of the risk assessment to the Vice-Chancellor and President of the University.

Assessment by Disclosure Coordinator

(17) Following receipt of a report of suspected serious wrongdoing through a Disclosure Officer or Recipient Manager, the Disclosure Coordinator may, at any stage of the process, do any one or more of the following:

1. decide not to accept the report if it appears to be:
   1. an unsubstantiated allegation with no specific information that points to alleged serious wrongdoing
   2. not made as an honest or genuine report on reasonable grounds or contains false or misleading information
2. if the report does not involve serious wrongdoing but involves a complaint of another kind, refer it to be dealt with under the relevant policy or process, for example, the Complaint Management Policy
3. if the report includes suspected serious wrongdoing and other matters not covered by the Policy, the Disclosure Coordinator may determine that a combined preliminary inquiry should be undertaken, prior to deciding whether formal investigation is required
4. if the report is accepted and alleges serious wrongdoing against a staff member to whom a staff enterprise agreement applies:
   1. determine whether a preliminary inquiry should be undertaken in order to establish whether investigation under the enterprise agreement may be required and
   2. refer the matter to the Chief People Officer, regardless of whether a preliminary inquiry is conducted 
5. if the report is accepted and alleges serious wrongdoing against a public official to whom a staff enterprise agreement does not apply, arrange for investigation, enquiry, audit or other action of an investigative nature in relation to that report.

(18) If the report is not anonymous, the Disclosure Coordinator must provide the reporter with an acknowledgement and a copy of the Policy and these Procedures within 10 business days of receipt.

(19) If the report is not anonymous, and is a voluntary public interested disclosure, as soon as reasonably practicable the Disclosure Coordinator must ensure the reporter is informed:

1. that Part 3, Division 2 of the Act applies to the University's action in dealing with the disclosure
2. of how the University is dealing or proposes to deal with the disclosure
3. if the University makes a decision to not investigate the voluntary public interest disclosure or to cease such an investigation, the reasons for the decision
4. if the University refers the disclosure to an investigating authority, details of the referral
5. if the University decides to investigate the disclosure, updates on the progress of the investigation at least every three (3) months
6. if the University completes the investigation, the results and details of corrective action taken, proposed or recommended.

(20) The Disclosure Coordinator must ensure that the University provides the Ombudsman with written reasons explaining the decision, if the University decides in relation to a voluntary public interest disclosure to:

1. not investigate, serious wrongdoing nor refer, the disclosure to an investigating authority
2. cease investigating the disclosure without completing the investigation or referring the disclosure to an investigating authority.

Section 4 - Deemed Public Interest Disclosures

(21) The Vice-Chancellor and President of the University may determine a report is a voluntary public interest disclosure, even if the report would not otherwise be a voluntary public interest disclosure:

1. at the initiative of the Vice-Chancellor and President or at the reporters' request
2. if the Vice-Chancellor and President believes, honestly and on reasonable grounds, that the report shows or tends to show serious wrongdoing.

(22) The reporter must be advised in writing of any such determination. If a reporter made a request and the Vice-Chancellor and President declines to make the determination, the reporter must be informed of the decision and the reasons for the refusal.

(23) The Vice-Chancellor and President may revoke their determination if they form the view that the reporter wilfully made a false statement, misled, or attempted to mislead, the University or the person to whom the report was made.

(24) The Vice-Chancellor and President may delegate their function under this clause.

(25) If a deemed disclosure is referred to another agency under the Public Interest Disclosures Act 2022 (NSW) or another Act or law, the University must inform the other agency of the making of the determination.

Section 5 - Referral to Chief People Officer

(26) When a report is referred to the Chief People Officer, the Chief People Officer must:

1. obtain the approval of the Disclosure Coordinator to the terms of reference before any formal investigation begins pursuant to the relevant staff agreement and
2. ensure that any investigation is conducted in accordance with these Procedures, especially this Section, to the extent that these are not inconsistent with any procedures specified in the relevant staff agreement.

(27) At the conclusion of any investigation, or disciplinary proceedings conducted under the relevant staff agreement, the Chief People Officer or other person responsible for arranging or conducting that investigation (as the case may be) must provide the Disclosure Coordinator with:

1. a copy of the investigation report and
2. details of any action taken or proposed to be taken against the staff member.

Section 6 - Investigation

Multiple Allegations

(28) A report of suspected serious wrongdoing that involves a report of behaviour that includes conduct normally dealt with under another policy (such as bullying or harassment) may be investigated under these Procedures if the Disclosure Coordinator considers it appropriate or practical to do so.

Process

(29) A person who investigates, including as a preliminary investigation, a report of serious wrongdoing must:

1. conduct it in a thorough, fair and impartial manner and within the relevant terms of reference and, if applicable, in accordance with the requirements of the relevant staff agreement
2. prepare a written report of that investigation that sets out:
   1. the terms of reference or matters investigated
   2. the methodology adopted for that investigation
   3. a list of persons interviewed
   4. a list of all documents or systems reviewed
   5. an analysis of evidence obtained (including relevance)
   6. findings of fact and
   7. to the extent that this falls within the terms of reference any recommendations for action (including, for example, how systems might be improved).

(30) The written report must not reveal the identity of the reporter, except to the extent that this is necessary to include them in the list of witnesses interviewed or unless that person first gives their written consent.

Conclusion of Investigation

(31) Following receipt of an investigation report, the Disclosure Coordinator will:

1. finalise any reports to external agencies, such as the Independent Commission Against Corruption or the NSW Ombudsman
2. write to the person who made the disclosure and finalise the matter 
3. if the report identifies any systemic issues that require attention, refer them to the Chief Audit and Risk Officer for follow up with relevant management.

Section 7 - Corrective Actions

(32) If, after investigating a voluntary public interest disclosure, the University finds that serious wrongdoing or other misconduct has occurred, the University will take appropriate corrective action.  This may include:

1. terminating the employment or the contract of any person involved in the serious wrongdoing or misconduct
2. issuing a warning
3. a formal apology
4. reform within the University including:
   1. improvements to relevant policies or procedures
   2. structural change
   3. the reallocation of resources
   4. additional training or educational measures
5. the publication of a finding that serious wrongdoing or other misconduct is found to have occurred, ensuring the University takes appropriate corrective action
6. the payment of compensation to persons affected by serious wrongdoing or other misconduct.

(33) The Disclosure Coordinator will be responsible for ensuring appropriate corrective action occurs.

Section 8 - Review of Decisions

Internal Review

(34) Within 28 days of being informed of the decision, a person who makes a voluntary public interest disclosure may apply for an internal review of a decision:

1. that the report does not qualify as a voluntary public interest disclosure
2. that the University will cease to deal with the disclosure as a voluntary public interest disclosure because it is not in fact a voluntary public interest disclosure
3. that the University will neither investigate the relevant serious wrongdoing nor refer the disclosure to an investigating authority
4. that the University will cease investigating the relevant serious wrongdoing without either completing the investigation or referring the disclosure to an investigating authority.

(35) The application for internal review must be in writing to the Senior Deputy Vice-Chancellor and state the reasons the applicant considers the decision should not have been made. The applicant can provide relevant material for the internal reviewer to consider.

(36) The internal review will be undertaken by a Disclosure Officer who was not previously involved in the decision(s) under review.

(37) The internal reviewer will:

1. confirm the original decision or
2. decide the disclosure is to be dealt with, or continue to be dealt with, as a voluntary public interest disclosure.

(38) The internal reviewer must notify the applicant of their decision.

Section 9 - Reporting to ICAC

(39) If, at any point, the Disclosure Coordinator reasonably suspects that serious wrongdoing concerns or may concern corrupt conduct that is required to be reported under s.11 of the ICAC Act, they must (as appropriate):

1. advise the Vice-Chancellor and President to make that report or
2. arrange for legal advice for the Vice-Chancellor and President on whether the matter should be reported.

Section 10 - Support

(40) The University recognises that making a report of suspected serious wrongdoing can have a significant impact on a reporter and encourages them to seek free support through the Employee Assistance Program or University Counselling Service.

Section 11 - Protection Against Detrimental Action

(41) The University will not tolerate any detrimental action against:

1. staff who are reporters or are believed to be a reporter
2. a person who provides information as part of an investigation into serious wrongdoing
3. a person who investigates or proposes to investigate reports of serious wrongdoing.  

(42) It is unlawful for a person to take detrimental action against another person because they suspect, believe or are aware that the other person has, may have or proposes to make a public interest disclosure.  The suspicion, belief or awareness need only be a contributing factor for the detrimental action to be unlawful.  There are serious penalties for detrimental action including fines and imprisonment.

(43) It is unlawful to take detrimental action against a person who is investigating or proposes to investigate serious wrongdoing.

(44) The University will take disciplinary action against staff members or students involved in any detrimental action in breach of the Policy and/or the Act. 

(45) The University will refer evidence of detrimental action to the Commissioner of Police and the NSW Independent Commission Against Corruption. A report may also be made to another relevant investigation authority, such as NSW Ombudsman.

(46) Detrimental action must be reported promptly to the Disclosure Coordinator or a Disclosure Officer, so that appropriate action can be taken.

(47) Nothing in this Section precludes reasonable management action from being taken in relation to a public official as set out in the Act.

(48) The University will take action to support and help protect reporters against detrimental action, which may include:

1. issuing warnings to or taking disciplinary action against the public official whose serious wrongdoing the report is about
2. relocation of the public official whose serious wrongdoing the report is about, or reporters, to another location or position for which they are qualified for a limited time
3. suspending the public official whose serious wrongdoing the report is about, or granting temporary leave of absence to the reporter.

(49) Any action taken to minimise or control risk of detrimental action is intended to be a risk management strategy only, not a punishment or sanction.  It should be decided in consultation with the reporter and, if the public official whose serious wrongdoing the report is about is a University staff member, in accordance with the relevant staff agreement.

(50) A person who believes that detrimental action is not being dealt with effectively should contact:

1. the Vice-Chancellor and President or the Disclosure Coordinator
2. the Independent Commission Against Corruption or
3. the NSW Ombudsman.

(51) Reporters can initiate proceedings to seek compensation for detrimental action or to seek an injunction to prevent actual or possible detrimental action.

Section 12 - External Reporting

(52) A report may be made to one of the following investigating authorities before, after or instead of, a report to a Disclosure Officer or a Recipient Manager:

1. NSW Independent Commission Against Corruption for reports about corrupt conduct
2. NSW Ombudsman for reports about serious maladministration
3. NSW Auditor General for reports about serious or substantial waste
4. NSW Information Commissioner for reports about Government information contravention
5. Privacy Commissioner for reports about a privacy contravention.

(53) The University will assist and cooperate with an investigating authority to ensure reports are dealt with appropriately and any recommendations are implemented, as appropriate.

(54) Reports that qualify as voluntary public interest disclosures and made to a journalist or a member of Parliament are also protected by the Act, but only if:

1. the public interest disclosure is substantially true
2. that public official has already made substantially the same disclosure through the internal reporting system to a Disclosure Officer or to an investigating authority in accordance with the Act (previous disclosure)
3. the previous disclosure was not anonymous and
4. the investigating authority or Disclosure Officer to whom the matter was originally referred has:
   1. decided not to investigate the matter 
   2. decided to investigate the matter but has not completed the investigation within six months of the original disclosure being made 
   3. investigated the matter but has not recommended the taking of any action in respect of the matter
   4. failed to notify the person making the disclosure, within six months of the disclosure being made, of whether or not the matter is to be investigated.

Section 13 - Protection Against Legal Liability

(55) Under the Act, a public official is not subject to any liability for making a public interest disclosure, and no action, claim or demand may be taken or made of or against the person for making that disclosure. This is despite any duty of secrecy or confidentiality or any other restriction on disclosure by a public official.

(56) A person who has made a public interest disclosure under the Act also:

1. has a defence of absolute privilege in proceedings for defamation
2. does not incur civil or criminal liability for breaching duty of secrecy or confidentiality or another law or code of conduct that imposes a duty to maintain confidentiality with respect to any information disclosed
3. is not liable to disciplinary action because of that disclosure.

(57) The protection under the Act is essentially a protection against detrimental action that may be made against a public official because they have made a disclosure. However, this does not extend to any serious wrongdoing on the part of that public official.

(58) In relation to a witness public disclosure, these protections only apply to the extent that the information disclosed is relevant to the investigation or constitutes an independent disclosure.

Section 14 - Annual Return

(59) The Disclosure Coordinator must ensure the University provides an annual return to the Ombudsman in relation to each period of 12 months ending 30 June, including information about:

1. voluntary public interest disclosures received by the University
2. action taken by the University to deal with voluntary public interest disclosures
3. measures taken by the University to promote a culture in which public interest disclosures are encouraged.

Section 15 - Review of Policy and Procedures

(60) The Whistleblowing (Reporting Corruption and Other Serious Wrongdoing) Policy and these Procedures will be reviewed periodically to ensure these comply with the requirements of the Act and are an effective means of encouraging disclosures of serious wrongdoing throughout the University.