5. organisational governance appendix table of contents · 2013-12-06 · summary of local factors...

CMA Corporate Governance Manual 24 November 2010 Section 5 Appendix

5. Organisational Governance

Appendix

Table of ContentsTable of ContentsTable of ContentsTable of Contents

�� Risk Management Framework............................................................................................... 1

�� Draft Three-year Internal Audit Plan.................................................................................... 24

�� Legislative Compliance Framework and Register.................................................................. 27

�� Non-Statutory Compliance Register..................................................................................... 45

M Code of Conduct ................................................................................................................. 50

�� Business Ethics Statement................................................................................................... 73

�� Fraud and Corruption Prevention Strategy........................................................................... 77

�� Protected Disclosure Policy and Procedure .......................................................................... 85

�� Complaint Handling and Allegations Policy .......................................................................... 98

M Identified and Targeted Positions...................................................................................... 105

M Structural Reform Info Sheet 1 – Workplace Reform Process – Guide for Managers............ 114

M Structural Reform Info Sheet 2 – Managing Excess Employees Manager Responsibilities .... 118

M CMA Change Management Protocols ................................................................................ 126

�� Recruitment and Selection Checklist.................................................................................. 132

M Working with Children Policy ............................................................................................ 134

�� Induction Toolkit .............................................................................................................. 135

�� Induction Checklist ........................................................................................................... 139

M Excessive Recreation Leave Guideline................................................................................ 148

M Work and Development System Guidelines ....................................................................... 151

M Loss of Driver’s Licence Guideline...................................................................................... 191


M Respectful Workplace: Policy and Procedures for Addressing Workplace Issues and Formal

Grievances............................................................................................................................... 194

�� Occupational Health and Safety Policy Statement.............................................................. 215

M Occupational Health and Safety Risk Management System ................................................ 216

M Injury Management and Workers Compensation Policy and Procedures............................. 329

�� OH&S Checklists ............................................................................................................... 361

�� OH&S Checklist 1 – Managers OHS Self Assessment .......................................................... 363

�� OH&S Checklist 2 – Manual Tasks Risk Assessment ............................................................ 383

�� OH&S Checklist 3 –Field Operations Risk Checklist ............................................................. 387

�� OH&S Checklist 4 –Office Safety ........................................................................................ 397

�� OH&S Checklist 5 – Work Station Set-Up ........................................................................... 403

�� OH&S Checklist 6 –Contactor OHS Management................................................................ 407

�� OH&S Checklist 7 – Staff Working from Home................................................................... 411

�� OH&S Checklist 8 – Staff Working from Home (Regular Instances for a Specified Period) .... 415

M Alcohol and Drugs in the Workplace Policy ........................................................................ 421

�� Employee Assistance Program........................................................................................... 434

M Exit Procedures................................................................................................................. 436

M ServiceFirst Employee Termination Checklist ..................................................................... 440

�� Exit Procedures Checklist .................................................................................................. 442

�� Intellectual Property Policy ............................................................................................... 445

�� What roles are associated with OBJECTIVE?....................................................................... 453

�� Freedom of Information Policy and Procedures ................................................................. 455

�� Government Information (Public Access) Guidelines.......................................................... 480

�� DECCW Policy and Guidelines for the Release of Information under the Government

Information (Public Access) Act 2009........................................................................................ 496

�� Privacy Management Plan Format..................................................................................... 526

M Protocol for Ministerial Correspondence and Briefings ...................................................... 527

�� Guidelines for Developing Funding Project and Program Policies and Procedures ............... 531


�� Memorandum of Understanding – ‘A Catchment Management Partnership’ ...................... 537

�� Memorandum of Understanding with Local Government and Shires Associations of NSW .. 552

�� Memorandum of Understanding – Native Vegetation Management................................... 559

�� Corporate Services Matrixes and Procedures..................................................................... 571

�� Corporate Services Matrix................................................................................................. 576

�� Service Level Agreement – DECCW Legal Services .............................................................. 599

CATCHMENT MANAGEMENT AUTHORITIES

RISK MANAGEMENT FRAMEWORK �

CMA Corporate Governance Manual 24 November 2010 Section 5 Appendix 1

Stage One:Stage One:Stage One:Stage One:

Establishing the Context Establishing the Context Establishing the Context Establishing the Context ---- Risk Management Policy and Risk Management Policy and Risk Management Policy and Risk Management Policy and

Strategy Statement FormatStrategy Statement FormatStrategy Statement FormatStrategy Statement Format

The first stage in the risk management framework is to establish the context within which risks must

be managed. This sets the scope for the rest of the risk management process. This should involve

an assessment of both the internal and external environment and their interaction. ‘Establishing the

Context’ information can, for convenience, be embedded in CMA Risk Management Policy and

Strategy statements.

A template for the content of Risk Management Policy and Strategy Statements is set out below.

Risk and Risk Management Overview

A general statement of risk management concepts and their application, including

� Purpose

� Benefits

� Limitations.

Risk Management Policy

A summary of the key policy issues.

Business Environment

Summary of local factors and conditions (both controllable and uncontrollable).

Objectives

A brief statement of risk management objectives, e.g.:

� Identifying risks to NRM activities using a well structured and systematic process.

� Reviewing activities and identifying barriers to the success of those activities, including risks

associated with not undertaking those activities, or consequences derived from the NRM

activities themselves.

� Managing all risks associated with NRM activities.

� Regularly reviewing and updating risk management strategies.

Scope (Risk Context)




Detail of all the work activities that risk management will apply to for each organisational level.

Risk Tolerance

This is a general statement of the CMA’s tolerance to risk, or alternatively appetite for risk. Risk

tolerance may vary for different activities. ‘Tolerance’ should reflect the extent of controls and

resources an organisation is prepared to apply in order to mitigate risks. This is usually a product of

the significance of risks as reflected by the likelihood and consequences of them occurring.

Roles and Responsibilities

In regard to:

� Board

� Risk and Audit Committee

� General Manager

� Senior Management Group (acting collectively, if appropriate)

� Business Manager

� Project Managers

� All staff.

Risk Structure and Information Flows

Preferably a diagrammatic representation of key roles and information flows throughout the CMA.

Application of risk management to specific work priorities and activities

Areas highlighted for specific risk management focus could include:

� Financial management

� Project and Contract Management

� Occupational Health and Safety

� Environment

� Program and service delivery.

Legislation and Context

� Details of relevant legislation, directives and standards and how compliance will be assured.

� Details of other irrelevant internal policy, strategy and procedures.

Reporting Requirements and Processes

� What risk events are to be reported?

� Reporting processes and responsibilities.




Critical Success Factors

For example:

� Creation of a viable structure to support risk management

� Active commitment and involvement by management and board members

� Communication and training to ensure a consistent and thorough approach across the

organisation

� Relevant documentation to support decision making and demonstrate compliance

� Monitoring and review to aid continuous improvement, sustainability of the processes and

relevance to our operations and environment

� Compliance with policy, procedures and plans.




Stage Two:Stage Two:Stage Two:Stage Two:

Identifying and Categorising RisksIdentifying and Categorising RisksIdentifying and Categorising RisksIdentifying and Categorising Risks

This section addresses the processes and mechanisms that can be applied to identify risks within

CMAs and to format those identified risks into workable descriptions.

Identifying Risks - Analysis Techniques

There are various techniques that can be used to identify risks. The approach used will depend on

the risk context to be analysed and the purpose of the risk management study. Techniques include:

� Hold workshops with key stakeholders, including subject matter experts to brainstorm risks,

their causes, consequences and controls

� Conduct structured interviews with people who work directly in that area of business

� Individual evaluations using questionnaires

� Using judgment based on industry practice, published literature, experience and records

� Test marketing and market research

� Use consensus techniques to rate risk exposure (e.g. Delphi Technique)

� Reference previous risk assessments, project deliverables and other historical work data and

records

� Draw cause-and-effect diagrams and process flowcharts to identify problem areas

� Perform an organisational SWOT analysis to identify strengths, weaknesses, opportunities

and threats

� Use computer and other modelling tools

� Use fault trees and event trees

� Use risk profile data that already exists.

Defining and Formatting Risks

A risk is an event that is uncertain, i.e. it may or may not occur. A risk may be a negative event that

should be prevented or its impacts mitigated. A risk may also be a positive event and the likelihood

of it occurring should be enhanced if it will be of advantage to the organisation.

Accurate risk description is important because it displays that all the relevant issues associated with

the risk are identified and understood. It also provides a sound basis for implementing effective risk

mitigation initiatives.




CMAs should have agreed principles when defining (or describing) risks. What is meant when a risk

is defined and described must be clearly understood by all staff and stakeholders. Each risk

description should be clear, concise and should always contain a verb. The description should also

include the key elements of a ‘cause’ and a ‘consequence’.

For example: It is not sufficient to describe a risk as ‘insecure sources of funding’. This is simply a

statement of a ‘cause’. A complete risk description would also include the ‘consequence’, i.e. ‘failure

to complete projects as a result of insecure sources of funding’.

In some cases, a risk cause may have multiple consequences. Alternately a consequence may be the

result of more than one risk causes. The following diagrams may assist to ensure that both the

causes of the risk and the consequences of the risk are identified and documented.

Categorising Risks

Although it is not set out as a stage in the risk management framework provided by International

Risk Management Standard ISO 31000, the establishment of risk categories is a good practice to

Risk Cause: Risk Consequence (1):

Risk Consequence (2):

Risk Cause (1):

Risk Cause (1):

Risk Consequence:

Risk Cause: Risk Consequence:




ensure that all key organisation activities are taken into account and scanned during the risk

identification process. It also helps to identify who are the risk owners and sets the framework and

responsibilities for risk mitigation action plans.

The National Resource Commission (NRC) has developed a risk categorisation model for use by

CMAs. It is summarised below. It is recommended that this model should be adopted by all CMAs.

Risk Category

Strategic Risks (arising at CMA Board level)

Planning

risk that strategic planning may not set the most effective direction

Governance

risk that governance arrangements do not effectively monitor and maintain strategic direction

Reporting and Review

risk that communication between the Board, its staff and its investors does not support strategic

direction

Operational Risks (arising at CMA management and staff level)

Business Systems

risk that business systems do not support the effective implementation of the CAP

Personnel

risk that CMA staff cannot support the effective implementation of the CAP

Financial Management

risk that financial management systems cannot support the effective implementation of the CAP

External Risks (arising from external factors)

Natural Processes

risk that significant variance in natural processes (from the average) may impair effective

implementation of the CAP

Political, Social and Economic Factors

risk that political, social and economic factors do not support the effective implementation of the CAP

Funding

risk that investment flows do not support the effective implementation of the CAP




Stage Three:Stage Three:Stage Three:Stage Three:

Rating RisksRating RisksRating RisksRating Risks

Introduction

Identified risks should be rated to ascertain how serious they are in relation to the CMA’s specific

context.

Risk rating involves the following factors:

� How risk likelihoods are rated

� How risk consequences are rated

� How the likelihood and consequences rating are combined to produce an overall risk rating.

There are two different stages of risk rating:

� Initially the inherent inherent inherent inherent riskriskriskrisk is rated, i.e. without taking any risk mitigation actions or current

controls into account. This assumes a worst-case scenario rating.

� Then the residual riskresidual riskresidual riskresidual risk is rated, i.e. taking the impacts of any risk mitigation actions and

current controls into account to determine if they have reduced the risk.

Inherent risk rating

Risk Likelihood Rating

Likelihood is the subjective assessment of a risk occurring in a given time period. CMAs should use

the following chart to determine the ‘likelihood’ of risks occurring:

Rating Likelihood of Occurrence

Almost Certain 5 Is expected to occur again either immediately or within a short period of time

(likely to occur most weeks or months).

Likely 4 Will probably occur in most circumstances (several times a year).

Possible 3 Possibly will recur – might occur at some time (may happen every 1 to 2 years).

Unlikely 2 Possibly will recur – could occur at some time in 2 to 3 years.

Remote 1 Unlikely to recur – may occur only in exceptional circumstances (every 3-5

years).




Risk Consequence Rating

Consequence is a loss or gain associated with a given risk. To rate the consequence, ask: How does

this consequence affect the CMA? CMAs should use the following risk consequence rating chart:




Risk ConsequencesRisk ConsequencesRisk ConsequencesRisk Consequences

ValuesValuesValuesValues

OperationalOperationalOperationalOperational ComplianceComplianceComplianceCompliance FinanciaFinanciaFinanciaFinancial EnvironmentalEnvironmentalEnvironmentalEnvironmental Reputation/RelevancReputation/RelevancReputation/RelevancReputation/Relevanc

eeee ResourcesResourcesResourcesResources

InsignificantInsignificantInsignificantInsignificant

1111

Operational performance of

the CMA is not being

materially affected. Small

delays/interruptions possible.

No injuries. Common

illnesses

Little or no impact to

code of conduct or

acceptable industry

standards. No

accountability or legal

implications

No financial loss Activities have nil

or very temporary

effect on the

environment

Minor unsubstantiated

negative publicity but

public perception of the

CMA remains intact

Short term absence or

staffing changes.

Nil or very minor

equipment or asset

damage

MinorMinorMinorMinor

2222

Minor disruption to project

management schedules, or

operations resulting in

temporary impact on

efficiency or effectiveness.

Minor injuries/ illness/ short

time loss

Some accountability

implications but would

not affect CMA’s ability

to meet key reporting

requirements.

<$10,000 loss

Activities cause

minor damage or

impact that can

easily be remedied

Minor negative publicity

alters public perceptions

of the CMA slightly, but

no significant damage or

disruption occurs.

Staff vacancies or lost

time by key staff. Minor

damage or breakdown.

Equipment or asset can

be repaired easily or

locally.

ModModModModerateerateerateerate

3333

System failure causes

disruption to CMA or major

projects resulting in delayed

delivery/cost overrun.

Recoverable impact on

operations Injuries/illness

require first aid &/or ongoing

medical treatment

Some difficulty in

complying with key

reporting requirements

Failure to meet key

compliance/governance

criteria requiring

corrective action

> $10,000 loss

External audit

would raise

significant issues

for prompt

attention

Activities cause

damage or impact

that requires

containment

and/or

rehabilitation

and/or restoration

Considerable adverse

public reaction would

result in some damage

and disruption to the

organisation. Media

fallout

Extended staff vacancy

periods or loss of key

staff members

Poor staff retention

Asset/equipment failure

or damage renders it off

line whilst repairs are

undertaken




Risk ConsequencesRisk ConsequencesRisk ConsequencesRisk Consequences

ValuesValuesValuesValues

OperationalOperationalOperationalOperational ComplianceComplianceComplianceCompliance FinanciaFinanciaFinanciaFinancial EnvironmentalEnvironmentalEnvironmentalEnvironmental Reputation/RelevancReputation/RelevancReputation/RelevancReputation/Relevanc

eeee ResourcesResourcesResourcesResources

MajorMajorMajorMajor

4444

Major disruption to

processes/ systems where

significant re-planning is

required to proceed.

Effectiveness and efficiency

significantly reduced. Lost

opportunities. Extensive

injuries/ multiple injuries and

time off

Non compliance with

reporting requirements

Breach of legal or

governance criteria

requiring government

intervention

Private legal action

against organisation

> $100,000 loss

External audit

qualification and

government

attention

Fraudulent

activities

Activities cause

serious damage or

impact on the

environment that

will require

extensive

management –

potentially

permanent

Loss of confidence in the

CMA. High media impact.

Impact on the

Government portfolio

resulting in public inquiry

or investigation

Significant failure or

damage renders

equipment or asset U/S

and must be replaced

Significant staff

shortages and/or loss of

key skill sets

CriticalCriticalCriticalCritical

5555

Failure of multiple systems

that places the CMA in a

position where it cannot

operate. Objectives can no

longer be achieved. Fatalities.

Complete breach of

legislation that results in

shut down and

investigations.

Private legal action

makes future operations

untenable

Major loss >

$1,000,000

Regulatory body

ceases CMA

operations.

Permanent

deleterious

environmental

impact or change

Major adverse

repercussions and loss of

public confidence

impacting government.

Significant and

unrecoverable

reputation damage

ceases business.

Complete equipment or

asset failure renders

CMA untenable.

Significant loss of

management or board

members or skill sets




Assessment of the Level of Inherent Risk

The conversion of the combination of consequences and likelihood into inherent risk ratings is

achieved by the use of the following matrix.

Consequences

Likelihood Insignificant Minor Moderate Major Critical

Almost Certain Low Medium High Extreme Extreme

Likely Low Medium High High Extreme

Possible Low Low Medium High Extreme

Unlikely Low Low Low Medium High

Remote Low Low Low Low Medium

The following table explains what the ‘risk ratings’ mean in terms of appropriate management

responses:

Risk Level Management Action

Extreme Immediate Action - must be managed by Board & senior management with

a detailed plan

High Detailed research and management planning required by senior

management – Board to be advised of progress

Moderate Senior and line management manage by specific monitoring or response

procedures

Low Line Managers manage by routine procedures

Residual risk rating

Residual risk rating assessments should take into account the effect of any preventive or corrective

controls and strategies that have been applied in the attempt to mitigate risk. Preventive controls

address the likelihood of risks occurring and corrective controls address the consequences of risks

occurring.




In practice, the same risk likelihood and consequence process, as conducted to determine inherent

risks, is undertaken again. However, this time likelihood and consequence ratings are adjusted, to

take account of the effect of any preventive and corrective controls that are currently in place for

the purpose of mitigating the identified risks.

The following diagram illustrates how the residual risk rating process should occur:

Inherent Likelihood

e.g. Possible

Assess effectiveness of

Preventative Controls

e.g. Effective

Gives a Residual Likelihood

e.g. Rare

Inherent Consequence

e.g. Major

Assess effectiveness of

Corrective Controls

e.g. Qualified

Gives a Residual

Consequence

e.g. Moderate

Inherent Rating

e.g. High

Residual Rating

e.g. Low

Introduce Corrective Controls

Reduce the Inherent Consequence




Stage Four:Stage Four:Stage Four:Stage Four:

RecordinRecordinRecordinRecording Risk Information g Risk Information g Risk Information g Risk Information –––– The Risk Register The Risk Register The Risk Register The Risk Register

CMAs should maintain risk registers as the prime consolidated record of all identified risks, risk

ratings and current and planned risk mitigation initiatives to reduce levels of risk in accordance with

CMA’s established risk tolerance levels.

The responsibility for maintaining the Register and coordinating the associated Risk Treatment

Action Plans should be formally overseen by senior management. The Risk Register should be

reviewed formally on an annual basis.

A suggested risk register format is set out below.




CMA RISK REGISTER FORMAT

#### Risk

Description Risk Causes Risk Consequences

Lik

eli

ho

od

Co

nse

qu

en

ce

Inh

ere

nt

Ris

k

Lev

el

Current Risk Controls

Re

sid

ua

l R

isk

Lev

el

Re

sid

ua

l R

isk

is

Acc

ep

tab

le (

Y/N

)

Planned Additional Risk

Control Activity and

timeframe

Risk Owner

Da

te o

f la

st d

raft

Am

en

dm

en

t




Stage FiveStage FiveStage FiveStage Five::::

Treating RisksTreating RisksTreating RisksTreating Risks

Introduction

Risk Treatment can be defined as the selection and implementation of appropriate options for

managing risk. The decision on how to treat risk should take the broader risk context into account.

Low priority risks are usually accepted and monitored. All other risks should be considered for risk

treatment and inclusion in the action plan. These are the risks that:

� Do not have preventive or corrective controls.

� Have existing controls that are inadequate and need to be improved.

� Have existing controls that may once have been adequate but now need to have new

controls added, as circumstances have changed due to new influencing factors or

current risk rating are no longer acceptable.

Example Treatment Strategies

The treatment options as set out in International Risk Management Standard ISO 31000:

Avoid the activity that creates the risk

In deciding to avoid a particular risk altogether the following should be seriously considered:

� Are legitimate programs being affected by this decision?

� By avoiding the risk are you simply ignoring a problem that exists?

� Are you selecting a lower risk option and foregoing the potential benefit of undertaking

an activity?

Reduce the likelihood of an occurrence

Actions that can be taken to reduce or control risks include:

� Regular inspections and audits

� Routine and preventive maintenance programs

� Supervision




� Review of design

� Adequate controls (e.g. install warning signs, erect safety barriers, cut down low

hanging branches, wear PPE, use a buddy system)

� Involvement of all stakeholders in identifying risks

� Have in place a good disaster recovery and business continuity management program

� Instil a risk management culture into the organisation - make sure that there is

commitment from the most senior to the most junior person.

Insure or transfer the risk

Can the risk be transferred to another party and/or appropriately covered by an insurance facility?

The choice of an option should be evaluated on a risk versus benefit basis. The cost of implementing

an option should be balanced with the benefit that the option derives.

Accept or retain the risk

Some risks are worth taking. It is important, however, to determine if the CMA is in a position either

legally or financially to carry the risks.

Risk treatment plan or action plans

Once risks are identified and rated, they have to be mitigated by some form of response or

treatment. CMAs should develop risk treatment plans or action plans for risks that need to be

actively managed. The responsible people best positioned to manage the risk should be involved in

the development of risk treatment action plans.

Two alternative approaches to developing and maintaining risk treatment action plans are set out

below:

• Streamlined risk treatment

• Sophisticated risk treatment.

Streamlined Risk Treatment Action Plan

This ‘streamlined’ approach can be used in the earlier stages of risk management framework

implementation to minimise the degree of complexity while staff are learning the principles and

requirements.




The Action Plan records in one consolidated document all the details of the risks together with the

strategies to mitigate those risks suggested by CMA management, staff or expert advisors.

The Action Plan has columns to assign a responsible manager for the implementation of the risk

mitigation strategies.

Responsibility for monitoring the Action Plan should be formally assigned to the Audit Committee.

Actions arising from the Action Plan should be integrated with other planning and reporting

mechanisms within the CMA in order to ensure that the identified risks are managed effectively.

A sample of a streamlined risk treatment action plan is set out below.




SAMPLE - STREAMLINED RISK TREATMENT ACTION PLAN

####

Risk areaRisk areaRisk areaRisk area

DRAFTDRAFTDRAFTDRAFT

Current risk Current risk Current risk Current risk

levellevellevellevel Recommended additional risk controlsRecommended additional risk controlsRecommended additional risk controlsRecommended additional risk controls

Targeted risk Targeted risk Targeted risk Targeted risk

level (after level (after level (after level (after

additional additional additional additional

treatment treatment treatment treatment

aaaapplied)pplied)pplied)pplied)

AccountabilityAccountabilityAccountabilityAccountability TimingTimingTimingTiming

Business RisksBusiness RisksBusiness RisksBusiness Risks

1111

2222

3333




Sophisticated Risk Treatment Action Plan

This ‘sophisticated’ approach is for use by more experienced practitioners who require more analytical and

accountable assessments of the effectiveness of risk control activity.

For this method, Risk Treatment Action Plans take account of the difference between preventive and

corrective controls and actions:

� Preventive controls address the likelihood of risks occurring

� Corrective controls address the consequences of risks occurring.

Risk Treatment Action Plans usually take the format of one page for each identified risk, where detailed

information about the risk and the treatment action can be recorded and updated as required. Action

plans are linked to Risk Registers by using unique risk numbers for each risk.

A format for the development of Risk Treatment Action Plans is set out below. This format requires input

of data in regard to the ‘control importance’ and the ‘control status’. The tables below explain these

concepts.

Control ImportanceControl ImportanceControl ImportanceControl Importance DescriptionDescriptionDescriptionDescription

Key This control is critical to the management of this risk

Fallback This control is put in place in case the key control(s) fail

Redundant This control is a duplication of another control in case the key control does not

work properly of fully

Obsolete This control is no longer current

Control StatusControl StatusControl StatusControl Status DescriptionDescriptionDescriptionDescription

Existing This control has already been implemented

In Progress This control is being implemented

Planned The implementation of this control has been scheduled but the control has not

yet been implemented




SAMPLE – SOPHISTICATED RISK TREATMENT ACTION PLAN

Risk No:Risk No:Risk No:Risk No: Risk Description:Risk Description:Risk Description:Risk Description: Risk Consequence Description:Risk Consequence Description:Risk Consequence Description:Risk Consequence Description:

Control TypeControl TypeControl TypeControl Type Control Control Control Control

DescriptionDescriptionDescriptionDescription

Control Control Control Control

EffectivenesEffectivenesEffectivenesEffectiveness s s s

RatingRatingRatingRating


OwnerOwnerOwnerOwner


Importance Importance Importance Importance

RatingRatingRatingRating


StatusStatusStatusStatus

Control Improvement Control Improvement Control Improvement Control Improvement

ActionActionActionAction

Improvement Improvement Improvement Improvement

Action OwnerAction OwnerAction OwnerAction Owner

PreventivePreventivePreventivePreventive

CorrectiveCorrectiveCorrectiveCorrective

Control TypeControl TypeControl TypeControl Type Forecast BudgetForecast BudgetForecast BudgetForecast Budget Review DateReview DateReview DateReview Date Planned Start DatePlanned Start DatePlanned Start DatePlanned Start Date Planned finish DatePlanned finish DatePlanned finish DatePlanned finish Date Actual Start DateActual Start DateActual Start DateActual Start Date ActActActActual finish ual finish ual finish ual finish

DateDateDateDate

PreventivePreventivePreventivePreventive

CorrectiveCorrectiveCorrectiveCorrective




Stage Six:Stage Six:Stage Six:Stage Six:

Monitoring, Reviewing and Reporting RisksMonitoring, Reviewing and Reporting RisksMonitoring, Reviewing and Reporting RisksMonitoring, Reviewing and Reporting Risks

Introduction

Once risk mitigation treatment action has been established, monitoring, reviewing and reporting is

the next crucial step of the Risk Management process. It is important to monitor and review, at

every stage, the performance of the Risk Management process and any changes which may affect it

on an ongoing basis.

Organisations must develop relevant policies and procedures to continually ensure that the risk

management process remains relevant and is providing the best outcomes for the organisation and

its projects.

The results of monitoring and review activity are recorded on the risk register and the Risk

Treatment Action Plan.

Focus of Monitoring and Review

The reasons for ongoing risk monitoring and review include:

� To ensure that the policies and procedures are being followed

� To regularly review risk profiles to ensure that they are still valid

� To ensure that risk assessments are valid

� To ensure that action plans are being managed

� To ensure that risk management initiatives will be successful on an ongoing basis.

Tools and Techniques

Organisations should not rely solely on management to monitor and review the effectiveness of risk

management processes. Preferably, a range of techniques should be applied to introduce more

independent perspectives as well. There are a number of techniques and tools that an organisation

may use in monitoring and reviewing the treatment of identified risks. Examples include:

� Internal Audit

� External Audit

� Tracking budget versus actual expenditure




� Actual progress made on action plans already developed to determine if they are

realistic

� Performance management systems

� External consultancies/reviews

� Variance analysis

� Stakeholder feedback

� Benchmarking against other organisations’ risk management processes.

Reporting on the Risk Management Process

A comprehensive risk management reporting system is required that combines:

� Scheduled periodic reporting to the Board on the status of the risk management

framework and all identified risks, including progress in implementing planned risk

mitigation activity.

� A system or procedure for reporting significant potential and actual risks as they

emerge to the General Manager and the Board.

Reports should be compiled and presented in accordance with the following tables:

Emerging Risks

Level Financial Consequence Reporting Process Reporting

Frequency

1. $5000 to $30,000 To General Manager and Finance and Risk

Committee Monthly

2. $30,000 to $100,000 To General Manager, Board, Finance & Risk

Committee and Audit Committee Immediately

3. $100,000 or more

To General Manager, Board, Finance & Risk

Committee and Audit Committee, Director

General DECCW

Immediately




Periodic Reporting Schedule

Report

Recipient Report

Prepared

By Frequency Content / Purpose

Board, F&R

Committee

and Audit

Committee

Operational

Risk

Framework

Progress

Report

Operational

Risk Sponsor

and /or

Internal

Audit Team

Monthly

(during

initial

implementa

tion of

framework)

The report provides the Board and Finance and

Audit Committees with an update on the

progress of the operational risk framework

implementation.

Board, F&R

Committee

and Audit

Committee

Risk Events General

Manager.

Monthly All actual and potential operational risk events

that have occurred during the period and have

been reported to the Finance & Audit

Committees.

Board, F&R

Committee

and Audit

Committee

Register of

Active

Operational

Risk Issues.

Operational

Risk Sponsor

and / or

internal audit

team.

Monthly Report gives a status report on all outstanding

risk issues and action items.

General

Manager

Operational

Risk

Summary

Each

Manager.

Quarterly The reports include confirmation that controls

are operating and report on any current risk/

compliance matters.


DRAFT THREE-YEAR INTERNAL AUDIT PLAN �


YEAR 1YEAR 1YEAR 1YEAR 1

Auditable UnitsAuditable UnitsAuditable UnitsAuditable Units CommentsCommentsCommentsComments

Legislative and Regulatory

Compliance

Audit issues to include:

• Identification of all legislative requirements and associated

regulations, policy that CMAs are required to comply with

• Identification of the risks associated with non-compliance with

each piece of legislation, regulation and/or policy.

• Identification of systems and controls in place, as well as

management responsibility, to ensure an appropriate level of

compliance.

• Assessment of the effectiveness of the level of compliance for all

key legislative requirements.

If non-compliance or weaknesses in existing controls are identified,

recommend new systems and controls or improvements to exiting

systems and controls.

Fraud and Corruption Control

planning and systems


• Assessment of the vulnerabilities of CMAs functions and

activities to fraud and corruption,

• Identification of those areas at most risk

• Identification and assessment of existing measures (plans and

controls) which mitigate identified risks

• Suggest further control improvements, where necessary.

Project Management systems This audit would focus on project planning and reporting. Issues to be

addressed include

• Compliance with business systems and processes for project

management

• Efficiency and effectiveness of the project management planning

process (assessment of a selection of project plans)

• Final reporting process (assessment of a selection of final

reports for small, medium and large projects)

• Quality of documentation of Project decisions and related

information and overall project recordkeeping standards.

Documented

• Project monitoring and reporting

• Relevant information systems/business systems

OH&S Framework and Systems Audit coverage to include OHS implications of office workplaces, field

environments and travel demands. Issues include:

• OHS plans and policies

• Appropriateness of structures and procedures in place

• Compliance with legislative requirements

• Contractor and volunteer group OHS implications






Governance Structures and

Arrangements

Audits issues include:

• Compliance with Board Charters and members’ roles

• Board meeting accountability arrangements

• Board probity and ethics compliance

• Board organisation, skills, succession planning

• Sub-committee arrangements and operations

• Quality of information and support to Boards

• Quality of Board/Management relationships

Human Resource Management Audit issues include;

• Performance management, learning and development

• Recruitment

• Retention

• Industrial relationship management

• Leave management

• Engaging contractors

Budget Management Audit focus on both administrative and project budget management,

including:.

• Budget Controls

• Timeline management

• Ongoing Monitoring processes

• Progress reporting systems

Payment Systems and Processes Review of financial and administrative controls and compliance;

additional focus on claims processing and certification. Issues to

include:

• Financial system documentation – compliance with external

requirements and best practice

• Payment timeframes

• GST compliance






Stakeholder Relationship

Management

Audit issues to include:;

• Identification of risks associated with individuals and

organisations with a direct influence on and/or interest in the

CMA’s operations. (Community, Federal agencies, State Agencies,

Local Government)

• Ensuring ongoing communication and consultation with key

stakeholders. Processes for external communication and

community engagement

• Effectiveness of engagement structures, arrangements and

processes

• CMA compliance with established processes and procedures

Investment Selection and Priority

systems and processes


• Identifying priority investment issues

• Strategic decision-making

• Probity of investment selection

• Alignment to CAP outcomes

• Funding allocation processes

NRM Data systems and

management


• Business system requirements properly identified

• Do systems effectively support achievement of strategic and

business objectives?

• Effectiveness of software toolset

• Alignment with Information Management strategies

• Effectiveness of NRM management information systems

• Security and access controls

Contracted Service Delivery

(SLAs)

Audit to focus on any shared services arrangements in which CMAs

may participate. Audit issues to include:

• Governance and contractual arrangements

• quality of service delivered

• compliance with established performance measures

• performance reporting

• responsibility for internal controls

• dispute resolution mechanisms.


SAMPLE LEGISLATIVE COMPLIANCE FRAMEWORK AND

COMPLIANCE REGISTER

�


Legislative Compliance Framework model

The following diagram sets out the key issues and stages of a legislative compliance model.

Compliance Register

A Compliance Register should be adopted to provide a clear summary of all key legislative

compliance requirements, responsibilities, risk ratings and current compliance status. The

Compliance Register should include the following fields:

� Reference Number

� Instrument (legislative provisions)

Statutory ObligationsStatutory ObligationsStatutory ObligationsStatutory Obligations

Governance LegislationGovernance LegislationGovernance LegislationGovernance Legislation Administered LegislationAdministered LegislationAdministered LegislationAdministered Legislation

ResponsibilitiesResponsibilitiesResponsibilitiesResponsibilities

Compliance Compliance Compliance Compliance AAAAssessmentsssessmentsssessmentsssessments

Compliance Assurance Compliance Assurance Compliance Assurance Compliance Assurance

InitInitInitInitiativesiativesiativesiatives

Reporting ComplianceReporting ComplianceReporting ComplianceReporting Compliance


SAMPLE LEGISLATIVE COMPLIANCE FRAMEWORK AND

COMPLIANCE REGISTER

�


� Prime responsible manager

� Current residual risk rating

� Current level of compliance, (i.e. compliant, partially compliant, not compliant or

unknown)

� Comments (e.g. separation of responsibilities, other impacting issues)

� Actions to resolve sub-optimal compliance.

The Compliance Register is the prime accountability document to publicly demonstrate current

compliance status.

Accountability mechanism

Managers with identified responsibility for specific legislative compliance requirements should

be required to complete and sign pro forma compliance acknowledgement letters annually. A

suggested deadline is 30 April every year to enable an overall consolidated compliance

statement to be produced by 30 June.

These acknowledgement letters should include the following information:

� Reference number

� Description of legislative provision

� Current compliance status

� Comments

� Actions to resolve (if required)

� Signed acknowledgement Statements, e.g.: “fully compliant to best of awareness” etc.

Reporting compliance

The Business Manager should have responsibility for assessing compliance acknowledgement

letters received from responsible managers. The following actions should subsequently occur:

� The Legislative Compliance Register is updated

� An annual legislative compliance report is produced for presentation to the Audit and

Risk Management Committee and the Director-General. This report should focus on and

summarise areas of non-compliance and associated risks.


Catchment Management Authorities

LEGISLATIVE COMPLIANCE REGISTER

Ref Legislation Requirements Responsible

Officer

Actions taken to

Comply and Comments

Compliance

Assessment

Last

Action

Date

1. FINANCIAL MANAGEMENT

1.1 Public Finance

and Audit Act

1983

Section 9: Compliance with Treasurer’s Directions

with respect to the principles, practices and

procedures to be observed in the administration

of financial affairs of the State.

Section 10: Compliance with Treasurer’s

expenditure control authority

Section 11: Heads of authorities must ensure that

there is:

� an effective system of internal control

over the financial and related operations

of the authority;

� wherever practical, maintain an effective

internal audit program and organisation

� an accounting manual for use within the

authority.

Section 12: Expenditure must be

� within limits of officer delegations

� Must not be in excess of Consolidated

Fund limits as set by the annual

Appropriation Act.

General

Manager

e.g.

Budgetary and

financial monitoring

systems

Internal controls

systems

Updated sec 12 and 13

delegations

Internal audit program

Compliant reporting

regime



Officer

Actions taken to

Comply and Comments

Compliance

Assessment

Last

Action

Date

Section 13: Officers shall not authorise payment

of counts unless the account is approved by an

authorised officer.

Section 18: Accounting officers receiving money

must bank in accordance with Acts and

Regulations

Department Heads to ensure that proper books

and records are keep of the operations of

Departments

Section 45D: Department Heads shall, within six

weeks of the end of the financial year, prepare

and submit a financial report of the year to the

Minister and the Auditor-General.

Section 45E: Standards that financial reports must

comply with

1. 2 Appropriation

Act 2007

Annual appropriation Acts set out the revenue

allocated to Ministers for all Government

departments. (There is no clear statutory

requirements made of Departments, but there is

an implication that expenditure cannot exceed

stated limits, i.e. to be read to conjunction with

Section 12(3) of Public Finance and Audit Act

General

Manager

Appropriate budgetary

controls in place



Officer

Actions taken to

Comply and Comments

Compliance

Assessment

Last

Action

Date

1983.

1.3 Fringe Benefit

Tax Assessment

Act 1986

Comply with the requirements of FBT Assessment

Act

General

Manager

Compliance via SLA

with Service First

Compliant

1.4 Goods and

Services Tax

legislation

Comply with the requirements of GST Tax

legislation

General

Manager

Compliance via SLA

with Service First

Compliant

1.5 Payroll Tax Act

2007

Comply with the requirements of Payroll Tax Act

General

Manager

Compliance via SLA

with Service First

Compliant

1.6 Superannuation

Guarantee

legislation

Comply with the provisions of Superannuation

Guarantee legislation in regard to the assessment

and contribution of payments.

General

Manager

Compliance via SLA

with Service First

Compliant

1.7 Superannuation

Choice

legislation

Comply with the provisions of Superannuation

Choice legislation in regard to providing

employees with a lawful choice as to where

contributions are to be directed.

General

Manager

Compliance via SLA

with Service First

Compliant



Officer

Actions taken to Comply and

Comments

Compliance

Assessment

Last

Action

Date

2. HUMAN RESOURCES MANAGEMENT

2.1 Public Sector

Management

and

Employment Act

2000

Chapter 1A: Generally defines categories of

employment, powers of Divisional Heads and attached

conditions. Specific provisions are mainly requiring

agency compliance are:

Section 4F: Structure for delegation of powers

Chapter 2: Framework for recruitment and staffing

structure

Part 2.1: Permissible categories of employment; number

of employees must not exceed number set by the

Treasurer; positions to be classified in accordance with

guidelines

Part 2.2: Creation of Department heads and their

responsibilities

Part 2.3: Requirements relating to the appointment to

positions

Part 2.4: Requirement relating o the appointment of

temporary employees

Part 2.7: Requirements relating to the management of

General

Manager

e.g.

Establishment and

recruitment controls in

place

Leave management systems



Officer


Comments

Compliance

Assessment

Last

Action

Date

conduct and performance

Part 3.1: Appointment and conditions of service relating

to executive officers

Part 3.2: Requirements relating to the mobility of staff

2.2 NSW Industrial

Relations Act

1996

Part 1: Provides framework, requirements and

obligations associated with award setting, industrial

dispute resolution.

Part 4: Entitlement to parental leave

Part 6: Dealing with unfair dismissal claims

Part 10: Obligations in regard to the payment of

remuneration

Chapter 3: Reconciliation and arbitration of industrial

disputes; powers of he Commission.

General

Manager

E.g.

Systems have conditions

embedded.

Operative JCC in place.

Compliant

2.3 Crown

Employees

(Public Sector

Conditions of

Employment)

Reviewed

Award 2006

Obligation to ensure the implementation and

maintenance of all conditions of employment specified

in the Award except where other local arrangement

have been negotiated.

General

Manager

Systems ensure Award

conditions are applied.

Compliant



Officer


Comments

Compliance

Assessment

Last

Action

Date

2.4 Occupational

Health & Safety

Act 2000

Section 8: Duty of employers to ensure the health,

safety and welfare at work of all employees (with

explanation to as the extent of this duty)

Division 2: Duty of employers to consult with

employees; the nature and extent of consultation; and

the establishment of OH&S Committees and their

functions.

Section 23: Unlawful dismissal of employees in relation

to health and safety issues

Section 86: Notification of specified incidents to

WorkCover

General

Manager

e.g.

Policy and improvement

plan

Risk management program.

Workplace inspections

Establishment of OH&S

Committee

Formal; plan of workplace

inspections

2.5 Workplace

Injury

Management

and Workers

Compensation

Act 1998

Chapter 3: Employers injury management plan

obligations including ‘return to work’ policies

Section 63: Employers to keep a register of injuries

Section 69: Employers must forward claims for

compensation to insurers within 7 days of receipt

Section 243: Restrictions on disclosure of information

General

Manager

E.g.

Policy statement and

program for compliance



Officer


Comments

Compliance

Assessment

Last

Action

Date

2.6 Workers

Compensation

Act 1987

Part 2: Liability of employers for injuries received by

workers and compensation

Part 3: Payment of compensation benefits (and

categories of benefits)

Section 155: Employers must obtain an insurance policy

from a licensed insurer to cover potential liabilities

under the Act

Part 8: Protection of injured workers from dismissal

General

Manager

E.g.

Insurance to cover potential

liabilities

Compliant

2.7 Anti-

Discrimination

Act 1977

Part 2: Prohibition of discrimination of the basis of race

Part 2A: Prohibition of sexual harassment in the

workplace

Part 3: Unlawful for employers to discriminate on the

basis of sex, in regard to applicants and employees

Part 3A: Prohibition on the basis of transgender grounds

Part 4: Prohibition on the grounds of martial status

Part 4A: Prohibition on the grounds of disability

Part 4B: Prohibition on the grounds of a person’s

responsibilities as a carer

General

Manager

e.g.

Recruitment and

Employment practices

comply with statutory

requirement



Officer


Comments

Compliance

Assessment

Last

Action

Date

Part 4C: Prohibition on the grounds of homosexuality

Part 4E: Prohibition on compulsory retirement of the

grounds of age

Part 4F: Prohibition on HIV/AIDS vilification

Part 4G Prohibition of age discrimination

Part 9A: Special provisions for employment in the public

sector

Section 122J: Requirement to prepare and implement

an equal employment opportunity management plan

2.8 Commission for

Children and

Young People

Act 1998

Division 3: Duties of employers General

Manager



Officer


Comments

Compliance

Assessment

Last

Action

Date

3. INFORMATION MANAGEMENT

3.1 State Records

Act 1998

Key compliance requirements are:

Section 10: Chief Officer has an obligation to ensure

agency complies with requirement of Act and Regs

Section 11: Obligation to protect records – safe custody

and proper preservation

Section12 (1): Make and keep full and accurate records

of activities of office

Section 12(2): Establish and maintain a record

management program in conformity with standards and

codes

Section 12(4): Arrangement s with SRA to permit

monitoring of record management program

Section 21: Protection of records – offences for

improper disposal or loss

Part 4: Requirements for transferring documents do

longer in use to the SRA (Archiving)

General

Manager



Officer


Comments

Compliance

Assessment

Last

Action

Date

Part 6: Public access to records after 30 years

3.2 Freedom of

Information Act

1989

Part 2 – publication of Statement of Affairs and

Summary of Affairs

Part 3 – Public access to documents

Part 4 - Amendment of records

Part 5 - External Review

Section 68 – reports to Parliament (in Annual Reports)

FOI

Administrato

r

E.g.

Systems in place to ensure

compliance

3.3 Government

Information

(Public Access)

Act 2009

Part 2 – Publication guides

Part 3 – Disclosure logs

▪ Annual Report to Minister

FOI

Administrato

r

E.g.


compliance

3.4 Privacy and

Personal

Information Act

1998

Section 21: Agencies must comply with the information

Protection principles set out in Division 1 of the Act.

Section 32: Agencies must comply with any Privacy

Code of Practice that applies to an agency

Section 33: Agencies must prepare and implement a

privacy management plan

Privacy

Officer

E.g.

PMP in place for compliance

with privacy principles



Officer


Comments

Compliance

Assessment

Last

Action

Date

Section 53: Agencies are to undertaken internal reviews

of complaints by aggrieved persons regarding the

management of personal information.

3.5 Health Records

and Information

Privacy Act 2002

Section 11: Agencies are to comply with the Health

Privacy Principles and any code of practice that may

apply.

Privacy

Officer

E.g.

Systems to ensure

compliance

3.6 Annual Reports

(Statutory

Bodies) Act 1984

Part 2: Format, content and deadline requirements for

Annual Reports on the operation and financial status of

departments.

General

Manager

E.g.

Annual Report published in

compliance with reporting

requirements



Officer


Comments

Compliance

Assessment

Last

Action

Date

4. CONDUCT AND PROBITY

4.1 Independent

Commission

Against

Corruption Act

1994

Section 11: Principal officers are required to report to

ICAC any matter suspected on reasonable grounds

concerns or may concern corrupt conduct.

Division 2, 3 and 4: ICAC investigation, examination and

search powers – requirement for agencies/persons to

cooperate.

Section 54: ICAC may request agencies make reports to

relation to matters and actions taken by the agency.

General

Manager

E.g.

Systems to ensure

compliance in place

4.2 Ombudsman

Act 1974

Section 18: Requirement to provide information and/or

documents

Section 20: Allow Ombudsman to enter premises and

inspect documents

Section 26(5): Must notify actions taken in response to a

report by the Ombudsman

Section 26A: Payment of compensation if so directed by

Ombudsman

General

Manager

E.g.

Compliance arrangements in

place

4.3 Protected Part 2: How public officers should make protected General E.g.



Officer


Comments

Compliance

Assessment

Last

Action

Date

Disclosures Act

1994

disclosures and how agencies should management them

and protect rights regarding corrupt conduct,

maladministration and serious and substantial waste.

Manager/Di

sclosure

Officer

Policy and reporting

framework in place

4.4 Administrative

Decisions

Tribunal Act

1997

Division 2: Agencies must provide reasons for decisions

upon the request of an interested person. If not received

within a reasonable time, then the Tribunal may order

that it be provided.

Section 53: Agencies must appropriately deal with

requests for internal review of decisions.

Section 58: Agencies must lodge documents with ADT as

requested.

Section 60: ADT may make orders staying the operation

of a decision or action

Section 66: The Tribunal may vary or substitute a

decision for the decision of the agency

Section 74(6): ADT may direct that agencies participate

in Preliminary conferences

FOI

Administrat

or

E.g.


compliance



Officer


Comments

Compliance

Assessment

Last

Action

Date

5. PROPERTY AND PROCUREMENT

5.1 Public Sector

Management

(Goods and

Services)

Regulation 2000

Section 40: Heads of agencies are responsible for

� Ensuring that systems comply with the

requirements of the Regulation and any Board

Directions

� Preventing acquisition of excessive goods and

services

� Identifying excess goods for disposal

Section 41: PS employees must does obtain or attempt

to obtain or dispose of any goods and services contrary

to the provisions of the Regulation.

General

Manager

E.g.

Requirement to purchase

from State Contracted

providers in the first instance

Smart-Buy and E-

procurement available on-

line via Service First

Procedures and systems in

compliance with purchasing

standards for tendering and

RFQ requirements.



Officer


Comments

Compliance

Assessment

Last

Action

Date

6. ADMINISTERING LEGISLATION

6.1 Catchment

Management

Authorities Act

2003

Section 9 – Ministerial Control

(1) An authority is, in the exercise of its functions,

subject to the control and direction of the

Minister.

(2) An authority is to provide the Minister with

such information and material as the Minister

may require in relation to its policies, programs

and procedures.

Part2: Establishment and government of CMAs

Part: 3 Functions of CMAs

Part 4: Catchment Management Plan requirement

Part 5: Annual Planning Requirements

Part 6: Financial compliance requirements

Board/

General

Manager

E.g.

List systems in place to

ensure compliance

6.2 Native

Vegetation Act

2003

Section 14: In determining applications for vegetation

clearing Minister must be have regard to Catchment

Management Plans

E.g.

List systems in place to

ensure compliance



Officer


Comments

Compliance

Assessment

Last

Action

Date

Section 35 Powers of entry and inspection

(delegated/authorised officers)

Division 3: DG’s Powers (delegated officers)


SAMPLE NON-STATUTORY COMPLIANCE REGISTER �


(Note:

1. The list below is not necessarily a complete list but provides a starting point.

2. Policies change or are up dated from time to time so the list and the requirements will need regular

review)

Requirement Directive Agency CMA Compliance Initiatives Last Action

Date

Culture and Ethics

Code of

Conduct

Premier’s Memo

97-10

DPC

Statement of

Business Ethics

Developing a

Statement of

Business Ethics –

ICAC 2004

ICAC

Fraud and

Corruption

Prevention

Strategy

NSW Audit

Office

Guarantee of

Service

Premier’s

Memos 92-31, &

94-44

State Plan

priority 8

DPC

Guidelines for

Managing

External

Complaints and

Allegations

Effective

Complaint

Handling (2004)

NSW

Ombudsman

Information Management

Network

Acceptable Use

Policy

Premiers Circular

99-9

DPC





Date

Intellectual

Property

Management

Intellectual

Property

Management

Framework for

the NSW Public

Sector

DPC

Electronic

Information

Security

PM2001-14,

PC2003-02,

PC2001-46

Service,

Technology

and

Administration

Information

Management &

Technology

Strategic Plans

Director

General’s letter

to all CEOs,

PC2003-15

Service,

Technology

and

Administration

Staff Management

Disability

Action Plan

NSW

Government

Disability Policy

Department of

Aging,

Disability and

Homecare

Ethnic Affairs

Priority

Statement

(EAPS)

Part 1 of the

Community

Relations

Commission and

Principles of

Multiculturalism

Act 2000

Premier’s Memo

97-07

Community

Relations

Commission

Action Plan for

Women

Government

Policy – Action

Plan for Women

DPC

Overseas Visits Premier Circular

2005-03

DPC





Date

OHS

Performance

Report

CEC Working

Together – Public

Sector OHS &

Injury

Management

Strategy 2005-08

Treasury

Workforce

Profile Survey

PC00-39, PC01-

18, PC01-30,

PC2003-42,

TC03/12

DPC

Asset Management and Procurement

Purchasing

Card Policy and

Procedures

Review of Credit

Card Use – Best

Practice TC

05/06 15 August

2005

Treasurer’s

Directions 205

Premiers

Department

Policy Guidelines

Treasury / DPC

Land Disposals Premier Memo

2003-03

DPC

Total Asset

Management

Plans

Treasury Policy

and Guidelines

Paper TPP 04-03.

TAM Policy PM

2002-10

Treasury

Cleaner NSW

Government

Fleet

PM2005-03

Planning, Finance and Budgeting





Date

Results and

Services Plan

Allocation letters

and Treasury

Circulars

Treasury

Budget

Allocation –

agency

response

March allocation

letter

Treasury

Cash Forecasts Treasury

technical paper –

Cash forecasting

and banking

Treasury

Liability to

Consolidated

Fund

TC00-14 Annual

treasury circular

outlining

financial

accounting

arrangements for

the Crown entity.

Issues under the

Public Finance

and Audit Act

1983 s9(2)

Treasury

Survey of

emerging

accounting

issues

Annual TC

outlining

financial

reporting

requirements.

Issued under

Public finance

and audit Act

1983

Treasury

Out of pocket

expenses and

Christmas

season parties

Ministerial

Circular 2008-24

DPC

Environmental Management





Date

Energy

Management

Policy and Plan

(GEMP) /

Sustainability

Policy

PM98-35 Treasury

Waste

Reduction

Purchasing

Strategic Plans

(WRAPP)

PM2003-05 DECCW

Community Outcomes

Improving

Outcomes for

Aboriginal

People and

their

Communities

M2006-10


CODE OF CONDUCT ○M


DECCW Code of Ethical Conduct

http://www.environment.nsw.gov.au/resources/whoweare/09651ethicalconduct.pdf


SAMPLE BUSINESS ETHICS STATEMENT �


Introduction

In the course of carrying out our responsibilities, Catchment Management Authorities (CMAs) have

dealings with many organisations, including the private sector, other government agencies and non-

government organisations. These dealings include purchasing goods and services, regulation,

contracting out activities and entering into partnerships to undertake particular activities.

Catchment Management Authorities are committed to conducting their business affairs on a sound

commercial and ethical basis in a manner consistent with NSW Government policies. CMAs will look

to service providers who share our ethical values, as detailed in the CMA Code of Conduct. We seek

to work with people and organisations with a commitment to the highest standards of honesty,

integrity and fairness in all of their dealings. In addition, CMAs look to the organisations that

demonstrate and adopt sustainable practices.

Common high ethical standards encourage a fair and productive relationship in our business dealings.

It also helps to promote and maintain public confidence in CMA’s integrity and trust in our business

dealings and expenditure of public monies.

CMAs key business principles

‘Best value for money’ is the primary principle for all CMA business relationships with suppliers of

goods and services. Best value for money does not automatically mean the lowest price. CMAs

balance all relevant factors, including cost, quality, reliability, sustainability, experience and

timeliness in determining value for money.

Achieving value for money involves ensuring that business relationships are honest, ethical, fair and

consistent. CMA business dealings will be transparent and open to public scrutiny wherever possible.

CMAs are committed to the purchase of all goods and services through established NSW

Government contracts systems. In selecting suppliers, CMAs and DECCW will place a high weighting

how the entities will apply sustainable practices in the use of resources and in waste management.

What you can expect from us

CMAs will ensure that their policies, procedures and practices related to leasing, hiring, tendering,

contracting, licensing, sponsorships, commercial partnerships or alliances, and the purchase of

goods or services are consistent with best practice, Government policies and the highest standards

of ethical conduct. CMAs are committed to the NSW Government Procurement Policy and

associated codes of practice.

When doing business with external parties, CMA staff are accountable for their actions and are

expected to:




� Use public resources effectively and efficiently

� Deal fairly, honestly and ethically with all individuals and organisations

� Avoid any conflicts of interest (whether real or perceived)

All CMA procurement activities are guided by the following core business principles:

� All potential suppliers will be treated with impartiality and fairness and given equal access to

information and opportunities to submit bids

� All procurement activities and decisions will be fully and clearly documented to provide an

effective audit trail and to allow for effective scrutiny and performance review of contracts

� Tenders will not be called unless CMAs have a firm intention to proceed to contract

� No confidential or proprietary information will be improperly or unlawfully disclosed.

What we ask of you

We require all providers of goods and services to observe the following principles when doing

business with CMAs:

� Help CMAs to prevent unethical practices in our business relationships

� Comply with CMA’s procurement policies and procedures

� Declare actual or perceived conflicts of interest

� Act ethically, fairly and honestly in all dealings with CMAs

� Refrain from engaging in collusive practices, including offering CMA employees inducements,

gifts or incentives that might appear to be designed to improperly influence their conduct

� Comply with privacy legislation in relation to personal information obtained through your

dealings with CMAs

� Take all reasonable steps to prevent disclosure of confidential CMA information

� Refrain from publicly discussing CMA business or information obtained through your

involvement with CMAs

� Refrain from making comments or statements that would lead anyone to believe that you

are representing CMAs

� Comply with all the on-site occupational health and safety requirements

� Provide accurate and reliable advice and information

� Deliver quality and value for money

� Respect the environment, comply with environmental laws and act sustainably in the use of

resources and waste management.




Why is compliance important?

By complying with our Statement of Business Ethics, you will be able to advance your business

objectives fairly. It will also prepare you and your organisation for dealing with the ethical

requirements of other public sector agencies. You should also be aware of the consequences of not

complying with CMA's ethical requirements. Demonstrated corrupt or unethical conduct could lead

to:

� Termination of contracts

� Termination of business relationships and partnerships

� Loss of future work

� Loss of reputation

� Investigation for corruption

� Referral for criminal investigation

Practical guidance notes

Incentives, gifts, benefits

In general, CMAs insist that its staff not accept gifts, benefits, travel or hospitality offered to them

during the course of their work. You should not offer such 'incentives' to CMA staff. Any form of gift

or benefit offered to CMA employees to influence the way they do work will be reported

immediately under CMA policies and procedures. These gifts cannot be kept by staff; they are

recorded and either destroyed or passed on to charity, as appropriate. Under no circumstances

should cash be offered to CMA employees.

Contracting employees

All contracted and sub-contracted employees are expected to comply with the CMA Business Ethics

Statement. If you employ sub-contractors in your work for CMAs, please make them aware of this

statement and our expectation that they will abide by it.

Occupational health and safety

CMAs are committed to promoting the occupational health of its staff and to preventing all work-

related injuries and illness. Contractors/consultants will be informed of relevant safety

requirements before entering a site, and are required to comply.

Intellectual property rights

In business relationships with CMAs, parties must respect each other's intellectual property rights

and formally negotiate any access, licence or use of intellectual property.




Confidentiality

All CMA information should be treated as confidential unless its use and/or disclosure is clearly

authorised. If in doubt, ask the CMA officer who organised your contract for advice.

Use of CMA equipment, resources and information

CMA equipment, resources and information should only be used for authorised purposes relating to

work for CMAs.

Conflicts of interest

All CMA staff are required to disclose any potential conflicts of interest. You are also expected to

advise CMAs of any potential conflict of interest.

Alcohol and drugs

No person should enter the CMA work sites or return to work if they are under the influence of

alcohol or other drugs that could impair their work or endanger them or others.

Bullying, harassment and discrimination

CMAs do not tolerate workplace bullying, harassment and discrimination under any circumstances.

Secondary and post-separation employment of DECCW staff

CMA staff require written approval to accept secondary employment outside the authorities.

Approval depends on whether the job could have an adverse impact on work with CMAs and

whether any potential issues of conflict of interest can be managed. CMA staff must also to avoid

allowing decisions and actions to be influenced by plans for future employment outside CMAs. In

addition, if former CMA staff are employed by an organisation with a business relationship to CMAs,

they cannot use or disclose confidential or sensitive information acquired while working with a CMA.

Breach of CMA's business ethical standards

Any concerns about a possible breach of CMA’s business ethical standards or the actions or

behaviour of a CMA employee, should be reported to the General Manager of the CMA you are

dealing with, either in writing or by telephone.


SAMPLE FRAUD AND CORRUPTION PREVENTION

STRATEGY

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1. Introduction

1.1 Overview

This Fraud and Corruption Prevention Strategy sets out the fraud and corruption prevention policies

and procedures followed by the Catchment Management Authorities (CMAs). It details CMA's

approaches to the prevention, detection, reporting and investigation of fraud and corruption. It also

identifies current activities that may be susceptible to fraud and corruption, and provides strategies

for better management and control of those activities.

Effective implementation of this strategy will help ensure that public confidence in the integrity of

CMAs is maintained and our ability to achieve natural resource outcomes will be enhanced.

1.2 CMA's policy and attitude to fraud and corruption

CMAs promote an organisational culture that will not tolerate any act of fraud or corruption. This

Fraud and Corruption Prevention Strategy is designed to put this principle into practice.

Apart from the legal consequences of fraud and corruption, improper acts have the potential to

damage CMA's public image and reputation. Unresolved allegations can also undermine an

otherwise credible position and reflect negatively on innocent individuals.

All staff must be above fraud and corruption. Sanctions will apply to those who are not. In addition,

staff must act so they are not perceived to be involved in such activities. Through transparent and

accountable decision-making, together with open discussion by staff and managers about the risks

of fraud and corruption, CMAs seek to foster an organisational climate which does not tolerate fraud

or corruption.

CMAs will deal fairly with all parties in the course of investigating allegations of fraud or corruption.

However, if fraud or corruption is proven, CMAs will apply appropriate sanctions. Possible sanctions

include suspension without pay, dismissal, and loss of accumulated employer superannuation

contributions. Matters referred to the Independent Commission Against Corruption (ICAC) or NSW

Police may lead to criminal proceedings.

The prevention of fraud and corruption requires that all staff members act ethically and

professionally in accordance with CMA's Code of Conduct. The Code is published on CMA to insert

location.



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1.3 Relationship with other CMA policies and plans

In addition to the Code of Conduct, this strategy has a close relationship with the following policies,

plans and documents:

� CMA’s Risk Management Policy and Framework

� CMA’s Internal Audit Plans

� CMA’s Policy and Approach for Managing External Complaints and Allegations

� CMA’s Protected Disclosure Guidelines

� NSW Government Personnel Handbook (Chapter 9 – Discipline).

CMA's approach to fraud and corruption, as set out in this strategy, is designed to comply with the

Auditor-General's Ten Attributes of Best Practice in Fraud Control (www.audit.nsw.gov.au) and is

based on the standards, principles and strategies set out in Australian Standard AS 8001-2008 –

Fraud and Corruption Control.

2. Definitions of fraud and corruption

Fraud and corruption can be distinguished from other forms of unethical behaviour. The following

definitions are based on those contained in the Australian Standard for Fraud and Corruption

Control (AS 8001-2008).

Corruption

Dishonest activity in which a director, executive, manager, employee, contractor, volunteer or work

experience student acts contrary to the interests of DECCW and abuses his/her position of trust in

order to achieve some personal gain or advantage for him or herself or for another person or entity.

Fraud

Dishonest activity, by CMA employees, contractors, volunteers, work experience students or external

persons, causing actual or potential financial loss to DECCW, including the theft of moneys or other

property. This includes the deliberate falsification, concealment, destruction or improper use of

documentation used for a normal business purpose or the improper use of other information or

position.

Examples of fraud and corruption are provided in Appendix A.



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3. Roles and responsibilities

3.1 CMA Board

The CMA Board considers and approves all policies and procedures relating to the control and

investigation of fraud and corruption.

The responsibilities of the Board are as follows:

� Reviewing and approving ethical policies, systems and procedures for organizational aspects

of the CMA’s work

� Ensuring that mechanisms for responding to potentially unethical circumstances are

appropriate

� Ensuring that areas of work that are of inherently higher risk in terms of ethics and

corruption are identified and that preventive strategies are in place

� Monitoring the ethical health and culture of the CMA and responding to any problems.

3.2 CMA General Manager

The CMA General Manager is responsible for ensuring appropriate fraud and corruption prevention

strategies are in place, including:

� Producing fraud and corruption policies, procedures and training proposals

� Liaising with internal and external investigators

� Assuring the quality of investigation processes and reports

� Providing advice to staff affected by internal investigations

All staff need to be aware of these strategies and their responsibility to disclose any incidents of

fraud or corruption they become aware of.

The responsibilities of the CMA General Manager are:

� Ensuring ethical policies, systems and procedures for all aspects of CMA work are in place,

current and that staff are aware of them and comfortable with their use

� Ensuring that staffing policies and practices are fair and equitable

� Ensuring that appropriate risk assessment is undertaken so that areas of work that are of

inherently higher risk in terms of fraud and corruption are identified and that preventative

strategies are in place

� Ensuring that adequate monitoring of the ethical culture of the CMA occurs and reports are

regularly provided to the Board



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� Reporting any disclosures or other information regarding fraud and corruption allegations to

the Board, the Minister, ICAC and police where required

3.4 Business Manager

The CMA Business Manager is responsible for:


� Liaising with external investigators



3.4 CMA Audit Committee

The CMA Audit Committee is responsible for overseeing the effectiveness of the CMA’s fraud and

corruption control strategies and plans.

3.5 Senior Managers

The CMA Business Manager is responsible for:


� Liaising with external investigators



3.6 All managers

All CMA managers are responsible for:

� Monitoring their workplaces to identify and address situations that are likely to raise ethical

dilemmas (e.g. by establishing good procedural guidance for decision-making, particularly

the exercise of discretion)

� Ensuring that staff are not placed in potentially difficult or compromising situations (e.g. by

working alone in the field where they may face compromising situations)

� Being available and supportive to staff who require guidance on ethical dilemmas

� Fostering a work environment free of harassment, discrimination, victimisation, corruption,

maladministration and waste

� Ensuring that staff are aware of the principles contained in the Code of Conduct and the

established systems and procedures for addressing ethical problems



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� Supporting and protecting staff who report, in good faith, instances of potentially unethical

or corrupt practices

� Ensuring that staff are treated fairly, equitably and in accordance with legislation and policy

(e.g. access to training and other development possibilities)

3.7 All CMA staff

All CMA staff have a duty to:

� Act ethically, lawfully and in accordance with the principles contained in the Code of

Conduct

� Report potentially unethical or corrupt practices via the established mechanisms

4. Fraud and corruption risk management

4.1 Regular program for fraud risk assessment

An important part of fraud and corruption prevention is understanding where the areas of risk are in

relation to CMA's responsibilities and functions. CMAs undertake annual authority-wide risk

assessments focusing on strategic operational and external factors. In addition, risk assessments are

undertaken for all new projects and reviewed at key points in the project cycle. All potential risk

areas and identified and a risk management plan is implemented to mitigate high and medium risk

issues.

Potential fraud and corruption is a standing issue which must be considered every time a risk

assessment is undertaken.

The CMA Governance Manual sets out guidance material and standards for undertaking risk

assessments and implementing a risk management framework (see Section 4).

4.2 CMA's current fraud and corruption risk assessment

CMAs to insert a brief summary of identified high fraud and corruption issues and controls in place

to mitigate those risks

5. Conflicts of interest

5.1 CMA's conflict of interest policy

A conflict of interest exists when it is possible that a staff member could be influenced, or perceived

to be influenced, by a personal interest when carrying out their duties. CMA's Code of Conduct

provides detailed guidance regarding conflicts of interest.



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The community, CMA's clients, stakeholders and colleagues expect all CMA decisions to be impartial

and not influenced by inappropriate considerations. It is corrupt behaviour to knowingly make a

decision influenced by a conflict of interest.

5.2 Dealing with conflicts of interest

If a conflict of interest exists, could arise or could reasonably be perceived by third parties to exist,

the issue should be raised in writing with the Protected Disclosure Officer, who must then inform the

General Manager. Employees and their managers have a joint responsibility to avoid or resolve

conflicts of interest.

To resolve conflicts that arise, or could arise, staff, their managers and the General Manager should

consider the significance of the conflict and apply one of the following options:

� Where the potential for conflict is minimal or can be eliminated by disclosure or effective

supervision, record the details of the situation and take no further action

� Dispose of the conflicting personal interest (e.g. sell the shares; give up the second job)

� Do not participate in the particular task which may, or may appear to, raise a conflict of

interest (e.g. we should declare our interest and not participate in any way in the selection

process for a position or a tender which has attracted an application from a friend or relative)

� Consider whether the conflict is significant enough to require transfer, either on a

permanent or temporary basis, from the area of work where the conflict exists.

6. Procedures for reporting fraud and corruption

Consistent with its strong commitment to ensuring an ethical workplace, CMAs have developed and

published policies and processes to facilitate the reporting of suspicions of corrupt conduct,

maladministration, or serious and substantial waste of public money, in accordance with the

Protected Disclosures Act 1994.

This guidance material, Making a Protected Disclosure, is located at Section 4 of the CMA

Governance Manual. It sets out:

� Procedures for making disclosures to CMAs

� Procedures for making disclosures to appropriate external agencies

� Procedures for dealing with anonymous reports

� Protection for people making protected disclosures from reprisals that might otherwise be

inflicted on them because of their disclosures

� Provisions for disclosures to be investigated and dealt with.



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Members of the public, clients and stakeholders can report suspicions of fraud or corruption by

ringing CMA’s published contact phone numbers or by writing to the General Manager. Anonymous

reports from members of the public will be treated in accordance with the merits of the issues raised

and the adequacy of the information provided.

7. Procedures for fraud and corruption investigation

7.1 Internal investigations

CMA’s Handling Complaints and Allegations provides procedures for conducting internal

investigations and notifying appropriate external agencies. It is located at Section 4 of the CMA

Governance Manual.

CMAs document all processes and findings of probity investigations undertaken. These documents

are managed and stored securely to protect confidentiality.

7.2 External investigative resources

CMAs may engage specialist external investigation and audit services to investigate probity

allegations when the circumstances suggest that it is appropriate to provide an additional level of

'arms length' independence to establish the facts.

The General Manager has a statutory duty to report to ICAC any matters that she/he suspects, on

reasonable grounds, may involve corrupt conduct, including fraud. The ICAC publication Reporting

corrupt conduct to the ICAC: Guidelines for principal officers, provides more details and is available

online at www.icac.nsw.gov.au.

CMAs notify NSW Police in circumstances where criminal offences are suspected. CMAs are subject

to the Public Finance and Audit Act 1983 and have an obligation to report certain matters of a

serious nature to the Auditor-General. Matters may also be referred to the Crown Solicitor, Director

of Public Prosecutions or the Ombudsman. The General Manager determines when such referrals

occur.

8. Internal audit strategy

8.1 Internal audit fraud control function

CMA's internal audit programs include items considered to be of high fraud and corruption risk, in

particular, focusing on financial transactions (including cash handling), procurement, allocation of

incentives and asset security. Audits are undertaken in accordance with CMA Internal Audit Plans

which are approved and monitored by a sub-committee of the Board.



STRATEGY

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9. Plan to enhance CMA's fraud and corruption controls

9.1 Communication Framework

The following communication framework is implemented to ensure staff are aware of their

responsibilities regarding fraud and corruption prevention:

� Staff are briefed regarding the Fraud and Corruption Prevention Strategy when they join a

CMA

� All staff are have ready access to the Culture and Ethics component of the CMA Governance

Manual

� All managers are required to regularly remind staff of CMA’s policy, stance and controls

regarding fraud and corruption

9.2 Fraud Control Health Checks

All staff undertake Fraud Control Health Checks every two years as part of the CMA continuous

improvement approach to the management of fraud and corruption.

10. Review of fraud control arrangements

Once fully implemented, CMA's Fraud and Corruption Prevention Strategy will be subject to an on-

going process of continuous improvement, monitoring and adjustment to ensure its viability in

addressing all current fraud and corruption issues. It will be reviewed every two years.

All required control actions, resulting from identified fraud and corruption risks will be reviewed to

ensure they have been effectively implemented. Senior management will be required to regularly

report on the controls they manage to reduce the possibility of fraud and corruption.


SAMPLE PROTECTED DISCLOSURE POLICY AND

PROCEDURE

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1. Purpose of the Policy

The prime purpose of this policy is to set out Catchment Management Authorities’ (CMAs)

commitment to the provisions and principles of the Protected Disclosures Act 1994 (PD Act),

establish procedures to inform staff and to ensure the effective implementation of all statutory

requirements.

CMAs recognise that whistleblowers can play an important role in organisational accountability by

bringing wrongdoing to the attention of those who can effect change. The protection of

whistleblowers is fundamental to the implementation of the and to organisational integrity.

The fundamental element of this policy is the implementation of an internal reporting policy that:

� Confirms that CMAs recognise the value and importance of individual staff contributions to

high standards of administrative and management practices and strongly supports reporting

of corrupt conduct, maladministration or serious and substantial waste of public money

� Confirms that CMAs do not tolerate corrupt conduct, maladministration or serious and

substantial waste of public money

� Commits to an effective response to internal disclosures in a way that will protect the

identity of the whistleblower, wherever possible and appropriate

� Establishes procedures for protecting whistleblowers against reprisals for making a

disclosure

� Supplements normal communication channels between supervisors and staff. It is not

intended that all issues must be raised as protected disclosures rather that an option to do

so is clearly available

This policy should be read in conjunction with CMA’s Code of Conduct, Grievance Policy and

Handling Complaints and Allegations Policy.

2. The objects of the Act

The PD Act commenced operation on 1 March 1995. The purpose of the Act is to ensure that staff

who make disclosures under the legislation receive protection from reprisals, and that the matters

raised in the disclosures are properly investigated.

The PD Act aims to encourage and facilitate the disclosure, of corrupt conduct, maladministration

and serious and substantial waste in the public sector. This is achieved by:

� Enhancing and augmenting established procedures for making disclosures concerning such

matters



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� Protecting people from reprisals that might otherwise be inflicted on them because of these

disclosures, and

� Providing for disclosures to be properly investigated and dealt with

3. What disclosures are protected?

Who can make a protected disclosure?Who can make a protected disclosure?Who can make a protected disclosure?Who can make a protected disclosure?

Under the PD Act public officials may make protected disclosures. This includes public servants,

council employees, councillors, MPs and any other persons who have public official functions or act

in a public official capacity (and are within the jurisdiction of at least one investigating authority). A

public official may make a protected disclosure about a NSW agency even if that person has never

been or is no longer employed by that agency.

About what can a protected disclosure be made?About what can a protected disclosure be made?About what can a protected disclosure be made?About what can a protected disclosure be made?

To be protected under the PD Act, a disclosure must ‘show or tend to show’ ‘corrupt conduct’ (s.10),

‘maladministration’ (s.11) or ‘serious and substantial waste of public money’ (s.12 and s.12B).

Corrupt conductCorrupt conductCorrupt conductCorrupt conduct

Corrupt conduct is defined in s.8 and 9 of the ICAC Act. The definition used in the Act is intentionally

quite broad — corrupt conduct is defined to include the dishonest or partial exercise of official

functions by a public official. Conduct of a person who is not a public official, when it adversely

affects the impartial or honest exercise of official functions by a public official, also comes within the

definition.

Corrupt conduct can take many forms. Taking or offering bribes, public officials dishonestly using

influence, blackmail, fraud, election bribery and illegal gambling are some examples.

MaladministrationMaladministrationMaladministrationMaladministration

Maladministration is defined in the PD Act as conduct that involves action or inaction of a serious

nature that is:

� Contrary to law, or

� Unreasonable, unjust, oppressive or improperly discriminatory, or

� Based wholly or partly on improper motives (s.11).

The conduct covered by these terms includes:

� Contrary to law, for example:

• a decision or action contrary to law

• a decision or action ultra vires (i.e. the decision-maker has no power to make the

decision or do the act)



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• a decision or action contrary to lawful and reasonable orders from people or

agencies with authority to make or give such orders

• a breach of natural justice or procedural fairness

• improperly exercising a delegated power (e.g. a decision or action not authorised by

a delegation or acting under the direction of another)

• unauthorised disclosure of confidential information

• a decision or action induced or affected by fraud

� Unreasonable, for example:

• a decision or action inconsistent with adopted guidelines or policies or with a

decision or action

• which involves similar facts or circumstances not justified by any evidence, or so

unreasonable that no reasonable person could so decide or act (i.e. irrational)

• an arbitrary, partial, unfair or inequitable decision or action

• a policy that is applied inflexibly and without regard to the merits of an individual

case

• a decision or action that does not take into account all relevant considerations or

that takes into account irrelevant considerations

• serious delays in making a decision or taking action

• failing to give notice of rights

• giving wrong, inaccurate or misleading advice leading to detriment

• failing to apply the law

• failing to rectify identified mistakes, errors, oversights or improprieties

• a decision or action based on incorrect or misinterpreted information

• failing to properly investigate

� Unjust, for example:

• a decision or action not justified by any evidence or that is unreasonable

• a partial, unfair, inequitable or unconscionable decision or action

� Oppressive, for example:

• an unconscionable decision or action

• where the means used are not reasonably proportional to the ends to be achieved

• an abuse or power, intimidation or harassment

� Improperly discriminatory, for example:

• the inconsistent application of a law, policy or practices when there is no reasonable,

justifiable or appropriate reason to do so

• applying a distinction not authorised by law, or failing to make a distinction which is

authorized or required by law

� Based wholly or partly on improper motives, for example:



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• a decision or action for a purpose other than that for which a power was conferred

(i.e. in order to achieve a particular outcome)

• a conflict of interest

• bad faith or dishonesty

• seeking or accepting gifts or benefits in connection with performance of official

duties

• misusing public property, official services or facilities.

Serious and Serious and Serious and Serious and substantial waste of public moneysubstantial waste of public moneysubstantial waste of public moneysubstantial waste of public money

The term serious and substantial waste is not defined in the PD Act. The Auditor-General provides

the following working definition:

Serious and substantial waste refers to the uneconomical, inefficient or ineffective use of resources,

authorised or unauthorised, which results in a loss/wastage or public funds/resources.

In addressing any complaint of serious and substantial waste, regard will be had to the nature and

materiality of the waste.

Waste can take many forms, for example:

� Misappropriation or misuse of public property

� The purchase of unnecessary or inadequate goods and services

� Too many staff being employed in a particular area, incurring costs which might otherwise

have been avoided

� Staff being remunerated for skills that they do not have, but are required to have under the

terms or conditions of their employment

� Programs not achieving their objectives and therefore the costs being clearly ineffective and

inefficient

Waste can result from such things as:

� The absence of appropriate safeguards to prevent the theft or misuse of public property

� Purchasing procedures and practices which fail to ensure that goods and services are

necessary and adequate for their intended purpose, and

� Purchasing practices where the lowest price is not obtained for comparable goods or

services

DisclosuresDisclosuresDisclosuresDisclosures must show or tend to show the conduct alleged

A disclosure must be more than a mere allegation made without substantiation. A disclosure must

include evidence that if substantiated would amount to the alleged conduct, or at least tend to do so.

CMA to include an example of relevance



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What disclosures are not protected?What disclosures are not protected?What disclosures are not protected?What disclosures are not protected?

Protection is not available for disclosures which:

� Are ‘made’ frivolously or vexatiously

� Primarily question the merits of government policy

� Are made solely or substantially with the motive of avoiding dismissal or other disciplinary

action

In what circumstances is a disclosure protected?In what circumstances is a disclosure protected?In what circumstances is a disclosure protected?In what circumstances is a disclosure protected?

Disclosures that show or tend to show corrupt conduct, maladministration, or serious and

substantial waste of public money are protected under the Act if they are made:

� To a person or position nominated in this internal reporting policy, or

� To [insert title of principal officer] of [insert name of agency], or

� To one of the investigating authorities nominated in the Act

Further adviceFurther adviceFurther adviceFurther advice

More detailed explanation of the terms and requirements of the PD Act can be obtained from one or

more of the following:

� The nominated protected disclosures coordinator for each CMA

� The NSW Ombudsman (for general advice)

� The ICAC

� Audit Office

4. Anonymous reports

The PD Act does not refer to anonymous disclosures, or impose any obligation on a person to

identify themselves in a disclosure. It seems likely that anonymous disclosure can be protected

under the Act in the event that the identity of the person making the disclosure becomes known.

Anyone claiming to be the author of an anonymous disclosure would be responsible for proving the

claim.

A person’s need for protection, and their rights and obligations, are the same whether they made

their disclosure anonymously or identified themselves.

5. Sanctions for making false or vexatious allegations

It is a criminal offence to wilfully make a false or misleading statement when making a disclosure

(s.28 of the PD Act). While there are no criminal sanctions for making a disclosure frivolously or

vexatiously, such a disclosure would not be protected under the Act. Such a decision can only be



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made by the relevant investigating authority or the General Manager. The whistleblower will be

given an opportunity to be heard (either in person or in writing) before such a decision is made final.

6. To whom and how whistle blowing concerns can be directed internally

To whom should an internal disclosure be made?To whom should an internal disclosure be made?To whom should an internal disclosure be made?To whom should an internal disclosure be made?

The people or positions within CMAs to whom internal disclosures can be made in accordance with

the Act and this policy are:

� The disclosures coordinator

� A nominated disclosures officer

� The General Manager

How can disclosures be made?How can disclosures be made?How can disclosures be made?How can disclosures be made?

Disclosures can be made in writing or orally (although if made orally the recipient should make a

comprehensive record of the disclosure and request that the whistleblower sign this record). Where

a person contemplating making a disclosure is concerned about being seen to approach the person

to whom they are intending to disclose, they can request a meeting in a discreet location away from

the workplace.

Roles and responsibilities of staff of Roles and responsibilities of staff of Roles and responsibilities of staff of Roles and responsibilities of staff of CMAsCMAsCMAsCMAs

All CMA staff are encouraged to report known and suspected incidences of corrupt conduct,

maladministration or serious and substantial was in accordance with this policy. Staff also have an

important role to play in supporting those who have made legitimate disclosures. They should

protect and maintain the confidentiality of any person they know or suspect to have made

disclosures. They must not in any way victimise or harass any person who has made a disclosure.

The following officers have additional and specific roles in relation to protected disclosures.

Nominated CMA disclosure officersNominated CMA disclosure officersNominated CMA disclosure officersNominated CMA disclosure officers

Nominated disclosure officers are responsible for receiving, forwarding and/or acting upon

disclosures made in accordance with the policy. Nominated disclosure officers will:

� Clearly explain to the person making a disclosure what will happen in relation to the

information received and make arrangements to ensure that disclosures can be made

privately and discreetly, if necessary

� Put in writing and date any disclosures received orally (and have the person making the

disclosure sign the document)

� Take all necessary and reasonable steps to ensure that the identity of the person who has

made a disclosure, and any person who is the subject of a disclosure, are kept confidential



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� Support any person who has made a disclosure and protect them from victimisation,

harassment or any other form of reprisal.

� Forward disclosures to the General Manager for information, advice and/or assessment

Disclosure Officers, in consultation with General Managers unless the disclosure concerns the

General Manager, impartially assess each disclosure to determine:

� Whether the disclosure appears to be a protected disclosure within the meaning of the Act

� Whether the disclosure concerns another agency and should therefore be referred to the

principal officer of that agency

� The appropriate action to be taken in relation to a disclosure that concerns the CMA, for

example:

• no action/decline

• possibly identify a more appropriate person to take responsibility for dealing with

the disclosure

• preliminary or informal investigation

• formal investigation

• prosecution or disciplinary action

• referral to an investigating authority for investigation or other appropriate action, or

• referral to the NSW Police Force (if a criminal matter) or the ICAC (if the matter

concerns corrupt conduct)

� Be responsible for either carrying out or coordinating any internal investigation arising out of

a disclosure, subject to any relevant directions of the general manager

� Report to the general manager in a timely manner on the findings of any investigation and

recommended remedial action

Disclosures may be made directly to the General Manager rather than by way of the internal

reporting system established under this policy. In such circumstances, the General Manager will

undertaken the tasks listed for the Disclosure Officer.

7. To whom, how and when whistle blowing concerns can be directed externally

It is not a requirement under the Act that a whistleblower has to make an internal disclosure. A

whistleblower can opt to make his or her disclosure to an investigating authority, either in the first

instance or at any point afterwards.

Investigating authoritiesInvestigating authoritiesInvestigating authoritiesInvestigating authorities

The investigating authorities named in the Act are:

� The NSW Ombudsman — concerning maladministration



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� The Independent Commission Against Corruption (ICAC) — concerning corrupt conduct

� The ICAC Inspector — concerning disclosures about the ICAC or its staff

� The Auditor-General — concerning serious and substantial waste in state government

agencies

� The Police Integrity Commission (PIC) — concerning police misconduct

� The PIC Inspector — concerning disclosures about the PIC or its staff

Contact the relevant investigating agency for advice on how to make a disclosure to that agency.

Disclosures to members of Parliament or to journalistsDisclosures to members of Parliament or to journalistsDisclosures to members of Parliament or to journalistsDisclosures to members of Parliament or to journalists

In certain very limited circumstances, disclosures to an MP or a journalist may be protected. The

person making the disclosure to a journalist or an MP must have already made substantially the

same disclosure to the CMA Disclosure Officer or General Manager to or to an investigating

authority in accordance with the Act.

The agency or investigating officer to whom the matter was originally disclosed must have:

� Decided not to investigate the matter, or

� Decided to investigate the matter but not completed the investigation within six months of

the original disclosure, or

� Investigated the matter but not recommended any action as a result, or

� Failed to notify the person making the disclosure, within six months of the disclosure being

made, of whether the matter is to be investigated

A person making the disclosure to an MP or journalist must have reasonable grounds for believing

that the disclosure is substantially true and the disclosure must be substantially true.

8. Confidentiality

The PD Act requires investigating authorities, to whom protected disclosure are made or referred,

not to disclosure information that might identify or tend to identify persons who make such a

disclosure. The exceptions to this requirement are where:

� The person consents in writing to the disclosure o f that information, or

� It is essential, having regard to the principles of natural justice, that the identifying

information be disclosed to the person who is the subject of the disclosure, or

� The investigating authority is of the opinion that disclosure of the identifying information is

necessary to investigate the matter effectively or disclosure is otherwise in the public

interest.



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It is essential that a person who has made a disclosure does not draw attention to themselves as

reporters or to their disclosure and does not alert the subjects of a disclosure that a report has been

made about them. It is very important that whistleblowers themselves are mindful of the need for

confidentiality.

Under the Freedom of Information Act 1989 (FOI Act), a document is exempt from release if it

contains matter the disclosure of which would disclose matters relating to a protected disclosure

within the meaning of the Act.

9. Commitment to protect whistleblowers

CMA General Managers are committed to protecting and respecting any member of staff who makes

a bona fide disclosure, not just those who make disclosures covered by the PD Act.

All staff who report wrongdoing will be supported, protected and their disclosures appropriately

acted upon. No staff member who reports wrongdoing through appropriate channels will suffer

disciplinary action for having done so.

Protection against reprisalsProtection against reprisalsProtection against reprisalsProtection against reprisals

The PD Act provides protection by imposing penalties on a person who takes detrimental action

against another person substantially in reprisal for a protected disclosure. Penalties can be imposed

by means of fines and imprisonment. Detrimental action means action causing, comprising or

involving any of the following:

� Injury, damage or loss

� Intimidation or harassment

� Discrimination disadvantage or adverse treatment in relation to employment

� Dismissal from, or prejudice in, employment, or

� Disciplinary proceedings

In any such proceedings the whistleblower only needs to show that they made a protected

disclosure and suffered detrimental action. It then lies on the defendant to prove that the

detrimental action shown to have been taken against the whistleblower was not substantially in

reprisal for the person making the protected disclosure.

Any member of staff who believes that detrimental action is being taken against them substantially

in reprisal for the making of an internal disclosure in accordance with this policy should immediately

bring the allegations to the attention of the Protected Disclosures Officer or the General Manager.

If a member of staff who made an internal disclosure feels that such reprisals are not being

effectively dealt with, they should contact the Ombudsman, the ICAC or the Audit Office, as

appropriate.



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If an external disclosure was made to an investigating authority, the authority will either deal with

the allegation or provide advice and guidance to the person concerned.

Protection against actionsProtection against actionsProtection against actionsProtection against actions

The PD Act provides that a person is not subject to any liability for making a protected disclosure and

no action, claim or demand may be taken or made of or against the person for making the disclosure.

This provision has effect despite any duty of secrecy or confidentiality or any other restriction on

disclosure by a public official. A person who has made a protected disclosure has a defence of

absolute privilege in proceedings for defamation.

A person who has made a protected disclosure is taken not to have committed any offence against

an Act which imposes a duty to maintain confidentiality with respect to any information disclosed.

10. Assessment of the risk of reprisal

The CMA Disclosure Officer will discuss with the whistleblower the likelihood of their identity

becoming known and the possibility of any reprisal action.

An agreed approach to deal with either or both of these situations will be developed and

documented at the time of the initial disclosure or at any time where it becomes necessary following

the disclosure.

The whistleblower will be given advice about who to contact if they believe they, their colleagues or

relatives are the subject of reprisal action. Advice will also be given about what level of information

it will be necessary for them to provide.

11. Procedures for responding to reprisals

If it has been assessed that there is a high likelihood of reprisals against the whistleblower, an

assessment may be made of their organisational position/work performance at the point in time of

their reporting. This will provide a benchmark against which alleged reprisals can be measured.

Allegations of actions taken in reprisal for the making of a disclosure will be promptly and thoroughly

investigated. Appropriate disciplinary or criminal action will be taken against anyone proven to have

taken any action in reprisal for the making of a disclosure.

If it becomes necessary, consideration will be given to relocating the whistleblower within the CMA,

temporarily transferring him or her to an equivalent position in another agency or assisting him or

her to obtain appropriate alternative employment. This will only be done with the agreement of the

whistleblower and the General Manager will make it clear to other staff that this action was taken at

the whistleblower’s request, with management support and that it is not a punishment.



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12. The rights of persons the subject of a disclosure

The rights of any person who is the subject of a disclosure will also be protected. In this regard:

� The confidentiality of the identity of any person who is the subject of a disclosure will be

protected and maintained (where this is practical and appropriate)

� All disclosures will be assessed and acted on impartially, fairly and reasonably

� Responsible officers who receive a disclosure in accordance with this policy are obliged to:

• protect and maintain the confidentiality of the identity of any person who is the

subject of a disclosure (where this is practical and appropriate)

• assess the disclosure impartially, and

• act fairly towards any person who is the subject of a disclosure

� All disclosures will be investigated as discreetly as possible, with a strong emphasis on

maintaining the confidentiality of both the identity of the whistleblower and any person who

is the subject of a disclosure (where this is practical and reasonable)

� Where investigations or other inquiries do not substantiate a disclosure, the fact the

investigation/inquiry has been carried out, the results of the investigation/inquiry, and the

identity of any person who is the subject of a disclosure will be kept confidential, unless they

request otherwise

� A person who is the subject of an internal disclosure (whether a protected disclosure under

the Act or otherwise) which is investigated by or on behalf of an agency, has the right to be:

• informed as to the substance of the allegations

• informed as to the substance of any adverse comment that may be included in a

report/memorandum/letter or the like arising out of any such investigation, and

• given a reasonable opportunity to put their case (either orally or in writing) to the

people carrying out the investigation for or on behalf of the agency before any final

decision/determination/report or the like is made

� Where the allegations in a disclosure have been investigated by or on behalf of an agency,

and the person who is the subject of any allegations is aware of the substance of the

allegations, the substance of any adverse comment, or the fact of the investigation, they

should be formally advised as to the outcome of the investigation, regardless of the

outcome

� Where the allegations contained in a disclosure are clearly wrong or unsubstantiated, the

person who is the subject of a disclosure is entitled to the support of the agency and its

senior management (the nature of that support, i.e. what is reasonable and appropriate

would depend on the circumstances of the case, e.g. it could include a public statement of

support or a letter setting out the agency’s views that the allegations were either clearly

wrong or unsubstantiated)



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13. The investigative process

All disclosures will be promptly and thoroughly assessed. Decisions as to the most appropriate

action to be taken on the disclosure will also be made promptly. The basis for these decisions will be

properly documented.

If an internal investigation is to be conducted, terms of reference will be drawn up in order to clarify

the key issues to be investigated. An investigation plan will be developed to ensure all relevant

questions are addressed, the scale of the investigation is in proportion to the seriousness of the

allegation(s) and sufficient resources are allocated.

An internal investigation will be authorised by the General Manager or delegated officers and an

appropriate investigator appointed.

Strict security will be maintained during the investigative process. All information obtained will be

locked away to prevent unauthorised access.

All relevant witnesses will be interviewed and documents examined. Contemporaneous notes of all

discussions, phone calls and interviews will be made. Where possible, interviews will be taped.

A report will be prepared when an investigation is complete. This report will include:

� The allegations

� A statement of all relevant facts and the evidence relied upon in reaching any conclusions

� The conclusions reached and their basis

� Recommendations to address any wrongdoing identified and any other matters arising

during the investigation

The principles of procedural fairness (natural justice) will be observed. In particular, where adverse

comment about a person is to be included in a report, the person affected will be given an

opportunity to comment beforehand and any comments will be considered before the report is

finalised.

14. Guarantee of feedback

Any member of staff who makes a bona fide disclosure of wrongdoing is entitled to feedback. This

feedback will include:

At the outset:

� Acknowledgement of receipt of the disclosure

� The timeframe within which they will be advised of action to be taken, and



PROCEDURE

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� The name and contact details of a person who will be able to advise them on what is

happening

After a decision is made as to how their disclosure will be dealt with:

� The action that will be taken on their disclosure, and

� Likely timeframes for any investigation.

During the course of any investigation:

� The ongoing nature of the investigation

� Progress and reasons for any delay, and

� Advance warning if their identity is to be disclosed

At the completion of any investigation:

� Sufficient information to demonstrate that adequate and appropriate action was taken

and/or is proposed in respect of their disclosure and any systemic issue brought to light, and

� Advice as to whether s/he will be involved in any further matters, e.g. disciplinary or criminal

proceedings

15. Reviews of the policy

This policy will be reviewed annually to ensure that it meets the objects of the legislation and

facilitates the making of disclosures.


SAMPLE HANDLING COMPLAINTS AND ALLEGATIONS

POLICY

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1. Introduction

Like all other public agencies, the Catchment Management Authorities (CMAs) may receive

complaints and allegations about the decisions and actions of members of staff. CMAs are

committed to ensuring that these complaints and allegations are promptly and properly dealt with.

Accordingly, CMAs have established systems for assessing and responding to complaints and

allegations. These systems are designed to provide for an objective assessment of the issues raised,

be fair to all the parties involved, and be appropriate for different situations.

CMA's approach to managing complaints and allegations is based on the standards of customer

service, accountability and administrative behaviour set out in the Premier’s Memorandum 95–29,

Frontline Complaint Handling and the NSW Ombudsman’s Effective Complaint Handling Guidelines

(2000). These guidelines stress that good complaint handling is not only good client and customer

service but is also an important source of management information.

2. CMA policy

People who make complaints or allegations are entitled to a review of the issues they raise and a

considered response.

Each complaint or allegation will be assessed or investigated and resolved as quickly as reasonably

possible.

When errors or systemic problems are identified, the CMA will work to rectify them. When

allegations of improper or corrupt behaviour are found to be true, appropriate action will be taken

in accordance with the established Premier's Department guidelines.

3. Distinguishing complaints and allegations

Appropriately, CMAs make a distinction between complaints and allegations and has established

different processes for dealing with each category CMAs recognise, however, that in practice the

difference may not always be clear-cut and has therefore taken steps to ensure managers have

advice and assistance to help them in making this distinction.

3.1 Complaints3.1 Complaints3.1 Complaints3.1 Complaints

CMAs defines complaints as expressions of dissatisfaction with their service delivery and any

associated administrative matters such as decisions, procedures and fees/charges, where the

complainant requests or demands that the CMA reconsider a decision or take some form of remedial

action. (Where people express dissatisfaction with a CMA but do not expect further action to be



POLICY

�


taken, their views are noted but are not treated as 'complaints' under the authority’s complaints

handling system.)

Complaints may concern fairly straightforward issues. They include claims of incorrect advice and

expressions of dissatisfaction with delays or with the adequacy of CMA's regulatory or conservation

actions. They do not include complaints about Government policy nor claims that CMA staff have

acted improperly, abused their powers, or acted corruptly. (These latter claims fall into the

'allegations' category.)

Some complaints are capable of being resolved fairly quickly without the need for in-depth

consideration and assessment or detailed reporting. Others will require more detailed work to be

done.

Complaints can be about:

� Decisions, for example:

• The merits of a decision – whether it is correct or not (but not questioning Government

policy)

• The exercise of discretion – whether unfair, unreasonable, inequitable or inappropriate

matters were taken into account

• The appropriateness of CMA's response in dealing with an environmental or

conservation issue – whether it was inadequate or incorrect

� Failure to act, for example:

• Not taking action or otherwise responding to a request for the CMA to exercise its

discretionary or obligatory powers

• Failure to provide information when requested to do so

� Service delivery systems, for example:

• The administrative systems or compliance/enforcement procedures are too onerous,

officious or otherwise inappropriate

� Communication problems, for example:

• Correspondence was officious, ambiguous, bureaucratic, incomprehensible or

otherwise unhelpful

• Failure or unreasonable delays in responding to correspondence, emails, phone

messages or other approaches



POLICY

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� Incorrect or misleading advice, for example

• Incorrect, misleading or incomplete information was provided in response to a request

• Incorrect, misleading or incomplete information was contained in CMA publications or

on the website

� Behaviour, for example:

• An officer was abrupt, rude, unsympathetic or aggressive, in person, on the phone, or in

an email or other written correspondence to a member of the public. (However, if the

alleged behaviour was significantly inappropriate, the matter may be investigated as an

allegation)

3.2 Allegations3.2 Allegations3.2 Allegations3.2 Allegations

Allegations concern probity issues or other matters that have the potential to seriously compromise

CMA's public reputation. In general, allegations are more serious than complaints: they allege some

form of misconduct, including allegations of corrupt conduct. Sections 8 and 9 of the Independent

Commission Against Corruption Act 1988 provide a detailed definition of what constitutes 'corrupt

conduct'.

Examples of allegations include:

� Abuse of power, e.g. an officer has shown bias, behaved improperly or misused their

authority when dealing with an external issue or with external clients

� Theft or other misuse of CMA resources

� Corrupt behaviour, e.g. taking or offering bribes, dishonestly using influence, blackmail,

fraud

� Decisions influenced by improper considerations

� Undeclared conflicts of interests

� Serious and substantial waste, resulting in significant loss or waste of public funds or

resources

� Public behaviour detrimental to CMA's reputation, e.g. public drunkenness while in uniform,

or reckless driving in a CMA vehicle

3.3 Exclusions3.3 Exclusions3.3 Exclusions3.3 Exclusions

Complaints and allegations do not include:

� A request for services or information



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� Dissatisfaction and dispute about decisions for which there is an established or formal right

of review or reconsideration, e.g. a statutory right of review such as the right of appeal to

the Administrative Decisions Tribunal in relation to Freedom of Information decisions

� Dissatisfaction and dispute about the substance of Government policy or about CMA's

policies and legislative powers for meeting its statutory roles

4. Managing complaints and allegations

The objective of complaint handling is to resolve issues and problems that are raised by the public,

clients or stakeholders. By contrast, when responding to allegations, CMAs are seeking to determine

if any wrongdoing has occurred. If an impartial fact finding investigation reveals that it has not, the

reputation of the agency and its staff is restored. If wrongdoing has occurred, CMA's policy is to take

appropriate action against those responsible, to maintain and protect our reputation as an ethical

organisation.

4.1 Managing complaints4.1 Managing complaints4.1 Managing complaints4.1 Managing complaints

The purpose of complaints handling is to resolve the matter, rather than to apportion blame. CMA's

approach is to establish the facts and put in place any measures necessary to resolve the problem,

including dealing with any underlying causes of complaints.

This approach allows complaints to be handled speedily without the need for formal investigations.

However, if in the course of handling a complaint, information is obtained that suggests that a CMA

staff member may have acted improperly or corruptly, the matter will be formally investigated:



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� In accordance with CMA's internal investigation guidelines if there is alleged corrupt conduct

� In accordance with Premier's Department disciplinary guidelines if there is alleged

misconduct, which may or may not be related to alleged corrupt conduct

4.2 Managing allegations4.2 Managing allegations4.2 Managing allegations4.2 Managing allegations

As a general principle, DECCW expects all allegations to be investigated, although there may be

some circumstances where investigation is not appropriate or needs to be delayed to enable some

other overlapping process to be finalised.

It should be acknowledged that CMAs may receive allegations which are based on

misunderstandings, or made for improper or tactical purposes, such as to obtain a favourable

decision or treatment. Accordingly, the investigation procedures have proper safeguards to protect

the interests of staff who are wrongly accused of improper or corrupt conduct, including procedures

to maintain confidentiality.

However, if an investigation concludes that staff have acted contrary to the principles of the CMA

Code of Conduct and disciplinary action is recommended, then such recommendations will be

implemented.

5. Anonymous allegations

Anonymous complaints and allegations are more difficult to investigate, because the complainant

cannot be contacted to provide more information about the allegations made. In addition, any

consideration of the issues raised or investigation conclusions cannot be reported back to the

complainant.

However, CMAs treat anonymous complaints and allegations seriously. The fact that they are

anonymous does not make complaints or allegations untrue. The appropriate response to

anonymous complaints and allegations has to be determined based on the nature and significance of

the information provided. Where the matter raised is serious and sufficient information has been

provided to make it feasible, DECCW will undertake an investigation.

6. Vexatious complainants

Occasionally complainants refuse to accept CMAs assessments and conclusions regarding their

complaints or allegations and may pursue a strategy of frequently lodging complaints about the

same issues with various DECCW officers or other agencies. This behaviour may constitute

harassment and has the potential to inappropriately distract CMAs from their service delivery

priorities. People who take this course of action may be considered to be vexatious complainants.



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The decision to treat a complainant as 'vexatious' is not made lightly. It is taken only if a CMA is

confident that all the issues raised in the complaint or allegation have been properly addressed and

full assessments and conclusions reported to the complainant. In such cases the CMA may decide to

no longer respond to issues that have already been dealt with. Where this is the case, a letter signed

by the General Manager will be sent to the complainant advising that the CMA will no longer

respond to matters already considered and responded to.

However, it is important to note that if a vexatious complainant raises new issues which have not

previously been dealt with, then the CMA will consider and respond to those new issues.

7. Making a complaint or allegation to a CMA

7.1 How to make a complaint or allegation7.1 How to make a complaint or allegation7.1 How to make a complaint or allegation7.1 How to make a complaint or allegation

CMAs will deal with any complaint or allegation in accord with established procedures, regardless of

how that complaint or allegation is received. However, we can most effectively deal with these

matters if complaints or allegations are made:

� In writing where possible, as this helps ensure that everyone has the same understanding of

the problem and that no aspect of the complaint is overlooked. We understand, however,

that not everyone is able or comfortable to make their complaint in writing. Verbal

complaints and allegations will still be taken seriously and properly dealt with.

� Directly to the CMA (at least in the first instance) so that we know about and can deal with

the problem quickly

� By providing a name and contact details so that if we need to get further information to help

resolve the problem, we can do so

If you know their contact details, it is best to write to or telephone the CMA you wish to complain

about. The contact details for all CMA offices are listed [CMA to insert details].

If you wish to make an allegation of some form of serious misconduct, it is helpful if you write direct

to the General Manager, marking your letter 'confidential'.

7.2 What to expect from 7.2 What to expect from 7.2 What to expect from 7.2 What to expect from CMAsCMAsCMAsCMAs

CMAs will deal with any complaint or allegation as quickly as possible. Complaints will be managed

by the supervisor or manager of the area about which the complaint has been made, with oversight

by a more senior manager. Investigation of allegations will be managed by a senior manager who is

not closely involved with the allegations, and where appropriate undertaken by an external

investigator.

In the case of a complaint, the CMA will try to resolve the matter within 21 days of receiving it. If

this is not possible, the CMA will contact you to advise of the reason for the delay and when we



POLICY

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expect to be able to report back to you. Once a complaint has been dealt with, the CMA will contact

you to let you know what we have done, or are doing in relation to your complaint.

Investigation of an allegation may take longer, particularly if the matter is complex. The CMA will

acknowledge receipt of an allegation, and if possible advise of the anticipated time until the matter

will be resolved. Once the investigation is complete, and the CMA has decided how it will respond to

the investigation findings and recommendations, you will be advised of the outcome.

In either case we may contact you for further information or to clarify some points to help us resolve

the issue.

7.3 What to do if you are unhappy with CMA's response7.3 What to do if you are unhappy with CMA's response7.3 What to do if you are unhappy with CMA's response7.3 What to do if you are unhappy with CMA's response

If you are dissatisfied with a CMA’s response to a matter which has been dealt with at a local level,

you can write to the General Manager to request a review. In all cases, you can contact an

appropriate external agency.

8. Complaints to external agencies

Members of the public may complain about the performance or behaviour of a CMA or of individual

CMA officers to the NSW Ombudsman, the Independent Commission Against Corruption (ICAC) or

other agencies such as Privacy NSW.

The Ombudsman or ICAC may determine that the complaint or allegation is of such importance or

sensitivity as to warrant their independent investigation and public report, and they may conduct

those investigations themselves. In most cases, however, complaints are forwarded to CMAs for

review and report back.

Other complaint handling agencies also usually refer complaints back to CMAs for us to review and

report back to them on what we have done, or propose to do.


IDENTIFIED AND TARGETED POSITIONS POLICY ○M


DECCW POLICY: IDENTIFIED AND TARGETED POSITIONS

1.0 INTRODUCTION

In support of the DECCW commitment to workforce diversity, equal employment opportunity and affirmative action principles, this policy has been developed to complement the planning and policy components of the DECCW Equity and Diversity Framework, and other mainstream policies and procedures relating to recruitment, selection and workforce management. Identified and targeted positions have two important, inter-related functions. They are:

• To help ensure the effective development and delivery of policies and programs affecting the diverse range of groups within the diverse community of NSW, including Aboriginal people and women, in line with DECCW and NSW Government goals; and

• The provision of an important method of recruitment of members of EEO target groups (including Aboriginal people and women) with the appropriate skills and knowledge to perform these positions.

Identified and Targeted Positions can make an important contribution to the recruitment and career advancement of members of EEO groups in DECCW, and to a more effective and diverse workforce within the agency.

2.0 AIM OF POLICY

The purpose of the Identified and Targeted Positions Policy is:

• In the case of Identified Positions, to help ensure that the most suitable person is selected to undertake development and delivery of policies and programs in the context of the business of DECCW; and

• In the case of targeted positions, to assist in the provision of enhanced employment opportunity for EEO target group members, by targeting recruitment activities.

3.0 LEGISLATIVE & POLICY FRAMEWORK

The following lists the legislation and policies relevant to identified and targeted positions at DECCW. Many of these documents can be accessed through the NSW Premiers Department website at http://www.premiers.nsw.gov.au or on the DECCW Intranet pages.

• DECCW Aboriginal Employment and Development Strategy

• DECCW EEO and Diversity Strategy




• The Racial Discrimination Act 1975 (Commonwealth).

• The Sex Discrimination Act 1984 (Commonwealth).

• The Disability Discrimination Act 1992 (Commonwealth).

• Anti-Discrimination Act 1977 (NSW).

• Public Sector Personnel Handbook. Chapter 2 Recruitment, selection & appointment

• Public Sector Employment and Management Act 2002

• Public Sector Management (General) Regulation 1996

• DECCW Awards

4.0 DEFINITIONS

EEO Target Groups: in the New South Wales Public Service these groups include women, Aboriginal and Torres Strait Islander peoples, people with a disability and people from racial, ethnic and ethno-religious minority groups. Employees: all permanent, temporary and casual staff of DECCW. For the purposes of this policy, contractors engaged by DECCW are covered by it, and the rights and responsibilities it confers. Aboriginal Person: someone of Australian Aboriginal descent who identifies as an Aboriginal Australian, and who is known/accepted as such by an Aboriginal community. Managers: all staff who have supervisory responsibilities as part of their position descriptions. Women: persons who are female and, in this case, in the workforce.

5.0 POLICY

5.1 What is an Identified Position? In the New South Wales state public sector, an Identified Position is one in which:

• All or the majority of the duties involve the development and/or delivery of policy, programs and services which impact upon a group identified by race, sex or age and/or involve interaction with these groups or their representatives. (The occupant of this type of Identified Position is required to satisfy the Essential Selection Criteria relating to their race, sex or age and have an understanding of the issues affecting the EEO target group, and is required to communicate effectively and sensitively with the EEO target group)

(Note: a position may also be identified to improve employment outcomes for the relevant EEO target group in order to meet the NSW Government’s EEO benchmarks, in the context of the agency’s core business and priorities identified under the DECCW Equity and Diversity Framework. This type of identification would be considered in specific circumstances only, and would need to be supported by specific strategies developed in consultation with the Human Resources Branch). In the context of the business of DECCW, identification of positions is only available on the basis of Aboriginality, or on the basis of gender for some Aboriginal Identified positions. The status of any positions currently identified on the basis of gender only will be reviewed once they are vacated.




Examples of positions that could be considered for identification under this policy include, but are not limited to:

• Service delivery positions that have Aboriginal people as a significant portion of the target group.

• Positions involving substantial liaison and interaction with Aboriginal people, and requiring knowledge of, and affiliation with local communities.

• Data collection and/or policy development in areas and issues of significance to or affecting Aboriginal people

Sections 122J and 122K of the NSW Anti-Discrimination Act apply in respect of procedures for Identified Positions, as outlined in Section 6.0 of this policy. These sections require DECCW to prepare and lodge its EEO and Diversity Strategy with the Office of Employment Equity and Diversity (OEED). Inclusion of strategies related to the identification of positions will afford DECCW exception to employment-related provisions of the NSW Anti-Discrimination Act. Section 122J - DECCW is required to incorporate strategies in its EEO and Diversity Strategy and Aboriginal Employment and Development Strategy for identified positions for members of an EEO target group as part of its Equity and Diversity Framework. In these circumstances, exemption from the provisions of the Anti-Discrimination Act is provided by Section 122J of Part 9A, enabling the Director General to approve the Identification of a position as Aboriginal. Variations to the EEO and Diversity Strategy require a submission from the DECCW to the Director of Equity and Diversity (Premier’s Department) for approval.

5.2 What is a Targeted Position? A Targeted Position is one where recruitment and selection activities are targeted at maximising applications from a particular group within the community, for example, Aboriginal people, women, people with a disability, people of a particular age group or people from a racial, ethnic or ethno-religious minority group. The process for selection is based on merit and need not result in the recruitment of a member from one of these groups. Effectively, although recruitment activity is targeted, membership of a particular race or gender is not a criterion for selection. The reasons for targeting positions may include the achievement of Government benchmarks around the participation in public employment for EEO target group members. Section 122J of the NSW Anti-Discrimination Act guides procedures for Targeted Positions, as outlined in Section 6.0 of this policy. Section 122J - DECCW may provide strategies in its EEO and Diversity Strategy or Aboriginal Employment and Development Strategy for targeting employment in a range of positions to members of an EEO target group as part of its equal employment opportunity management plan (Equity and Diversity Framework). In these circumstances, exemption from the provisions of the Anti-Discrimination Act is provided by Section 122J of Part 9A.

6.0 PROCEDURES




6.1 Establishment and Approval of Identified or Targeted Positions The following steps must be followed in the establishment and approval of positions identified or targeted for any of the reasons outlined in Section 5.0. Step 1 Approval Process

• Prepare submission to Director-General, via Workforce Planning for approval of an Identified Position or a Targeted Position under s122J of the NSW Anti-Discrimination Act 1977. Forward submission to the Workforce Planning Section in the first instance. A proforma for this process is attached to this policy.

• Note: The Executive Director Cultural Heritage will approve the identification of generic roles within the Cultural Heritage Division. A list of generic positions is attached to this policy.

• Note: For new positions, existing procedures for position creation should also be followed (refer to Recruitment and Selection Policy)

Step 2 Workforce Planning

• Workforce Planning will assess the request, submit to the Director General, and communicate the outcomes of this process to the relevant Manager.

Step 3 Advertise Position

• Refer to requirements under Section 6.2 of this Policy. This process is managed by the Service Centre.

6.2 Advertising an Identified or Targeted Position

All Identified and Targeted Positions should be advertised both internally and externally through the following

media (as a minimum):

• Sydney Morning Herald and Daily Telegraph

• The New South Wales Government Jobs website

• NSW Public Service Notices

Positions that are Aboriginal Identified or Aboriginal Targeted Positions should also be advertised through:

• The Koori Mail and National Indigenous Times newspapers

• Selected regional newspapers, where appropriate

• Job Network; and




• Colleges, universities and Aboriginal community organisations.

In cases when an Identified Position is advertised, the following footnote is to be included: “This is an identified position under the DECCW Equity and Diversity Framework in accordance with Part 9A of the Anti-Discrimination Act 1977. Aboriginality is an essential criterion”.

In cases where a Targeted Position is advertised, the following footnote is to be included:

“This is a targeted position under the DECCW Equity and Diversity Strategy (for positions targeted on the basis of age, gender, disability or ethnicity) / DECCW Aboriginal Employment Strategy. (For positions targeted on the basis of Aboriginality) for the employment of a ………………….. in accordance with Part 9A of the Anti-Discrimination Act 1977”

Any special procedures designed to make the process of selection more accessible for identified or EEO target

groups should be detailed in the advertisement.

6.3 Selection for Identified and Targeted Positions 6.3.1 Aboriginal Identified Positions

The core criteria below outline a basic level of attributes and skills that make up the mandatory selection criteria for all positions identified as Aboriginal, in addition to other criteria related to knowledge, qualifications and experience required.

1. The first mandatory criterion that applies to all Aboriginal Identified positions is Aboriginality. Aboriginality is determined in accordance with three main requirements. This means that to satisfy this criterion, an applicant must:

• Be of Aboriginal descent, and

• Identify as an Aboriginal, and

• Be accepted as an Aboriginal by the Aboriginal community.

Applicants will be required to provide a supporting letter from a local Aboriginal Land Council or community group

addressing this criterion. Note: a supporting letter is not required where:




1. An applicant has been previously employed by the Department, and has therefore satisfied this criterion. 2. The Aboriginal representative(s) on the selection panel is satisfied that the criterion has been met, and the

decision is documented in the selection paperwork.

The other three mandatory criteria for all Identified Positions are skill-based. They are:

3. Demonstrated ability to engage with Aboriginal people and communities, and superior understanding and sensitivity to Aboriginal culture and the issues affecting Aboriginal people.

4. Capacity to flexibly develop local responses to community needs. 5. Demonstrated skills in cross-cultural communication. (Criteria 2, 3 and 4 will not apply where a position is identified to improve employment outcomes for the relevant EEO target group, as detailed previously – Section 5.1 of this policy). Managers may build upon the core criteria to meet the specific requirements for particular positions. For example, where the ability to interact effectively with a specific local or regional community is required, it can be incorporated in the criteria, by including wording such as “demonstrated cultural association with one or more of the local Aboriginal communities” in the Selection Criteria for the position. Care should be taken not to make the criteria so specific as to either disadvantage or restrict opportunities for other applicants. Refer to Section 6.3.3 for advice on the weighting of these criteria.

*“Cultural Association” is defined as a person’s connection to or relationship with Aboriginal cultural heritage based on their traditions, observances, customs, beliefs or history. It may be based on social or spiritual values, and include cultural responsibilities for an item or place. Although Cultural Association is used in the Aboriginal Land Rights Act 1983 to denote traditional connections with lands, for the purposes of this policy, cultural association also includes social, historic and non-traditional associations.

6.3.2 Positions Identified for Gender In DECCW, a position would only be identified on the basis of gender if it were also first identified as Aboriginal. The DECCW is the custodian of gender-sensitive Aboriginal cultural heritage information, and gender can therefore be a genuine requirement. 6.3.3 Weighting of Selection Criteria for Identified Positions The skill-based selection criteria for Aboriginal Identified Positions (numbered 2 and 3 in Section 6.3.1 above) may be weighted to indicate that some attributes will be judged to be more important than others. These specific criteria for Identified Positions are likely to be more important in positions where the duties relate to the development, implementation, monitoring or evaluation of policies and programs which directly impact upon particular groups. They are also important in positions providing a high level of service delivery to members of particular groups within the community. In positions that provide technical or administrative support to units or programs serving EEO target groups, the skills needed to meet these criteria would be less important and can be weighted accordingly.




6.3.4 Selection Criteria for Targeted Positions The targeting of a position is intended to attract applications from members of particular groups, but selection is based on merit, in accordance with standard NSW public sector recruitment practice. Accordingly, as selection for targeted positions does not involve membership of a particular EEO target group, the selection criteria should not require this as mandatory.

6.4 The Selection Process for Identified and Targeted Positions The selection process should be in accordance with the principles and procedures outlined in Public Sector Personnel Handbook Chapter 2 Recruitment, selection & appointment and DECCW Recruitment and Employment Fact Sheets and Forms. Selection Panels for Identified Positions will be established at the commencement of the selection process and will comprise at least one member, and, wherever possible, an equal or majority representation, of the relevant EEO target group. This requirement also applies when having community representatives on the panel. This requirement is mandatory. For Aboriginal Identified positions, the inclusion of an Aboriginal person on the selection panel will assist with the effective assessment of selection criteria unique to Identified Positions. Additionally, they may be able to suggest appropriate alternatives to traditional selection processes that may suit the target recruitment group. In cases where knowledge and empathy with a particular community or particular group within that community is required, it is expected that a representative of that community or group is included in the selection process. Where this occurs, the convenor of the selection panel is responsible for informing the person assisting the panel of the relevant selection process and requirements. In addition, in planning interviews for such positions, conducting them in community venues, for example, Land Council offices or Health Centres, could be considered. In determining the suitability of non-Aboriginal members for a selection panel for an Aboriginal Identified Position, preference should be given to officers who have undertaken Cultural Awareness Training within the previous two years. 6.5 Reversing “Identification” in Particular Circumstances If effort to recruit a member of the Identified group (e.g. Aboriginal) is not successful, the position may be considered for temporary conversion to a mainstream position, and advertised more broadly without the essential criterion relating to the original identification of the position. In this case, a temporary, un-identified position must be created, and recruited to for a maximum period of 12 months. Attempts to recruit to the Identified position must be clearly documented and the decision to un-identify the position justified and endorsed by the relevant Director, and approved by the Director-General. Submissions are to be referred to Workforce Planning in the first instance.




6.6 Higher Duties in an Identified Position In terms of being paid higher duties in an Identified Position, where an employee satisfactorily performs all duties

and responsibilities of the vacant position during the period of acting in higher duties, payment of the HDA shall

be at the full rate (100%) (refer to the Personnel Handbook Section 7-11.4.1). Where the employee does not

undertake all duties and responsibilities of the vacant position, or where they do not meet the core criteria

outlined in Section 6.3.1 of this policy, the amount of the HDA shall be proportionately reduced. In such cases,

the duties, responsibilities and accountabilities that will not be undertaken must be mutually agreed upon in

writing prior to the beginning of the period of higher duties. The percentage payment must also be agreed upon

in writing prior to the beginning of the period of higher duties.

6.7 Temporary Appointment and Temporary Employment in Identified Positions Wherever possible, the essential selection criterion relating to the identified EEO target group (e.g. Aboriginality, or Aboriginality & Gender) is the paramount consideration for filling of a temporary vacancy in an Identified Position. However, temporary appointment and temporary employment in Identified Positions can only occur in accordance with the following guidelines:

• For Identified Positions, there are to be no temporary appointments or temporary employment from outside the identified EEO target group. However, a person who does not satisfy the essential selection criterion relating to the identified EEO target group, can perform the duties of the position and be paid a Higher Duties Allowance (HDA) of up to 80% for a period up to 3 months. At the end of the 3-month period, the option of sourcing a person from another agency who does satisfy the essential selection criterion relating to the identified EEO target group should be considered.

Please note: Positions that focus on Aboriginal gender issues and are Identified as both Aboriginal and Female/Male will be left vacant if both these criteria cannot be met. In exceptional circumstances the Director Cultural Heritage may approve the application of an HDA of up to 80% for these positions in accordance with this policy, provided that cultural requirements for the management of confidential and sensitive information are upheld. 6.8 Maintaining Identified Positions Once a position has been Identified, it cannot be unidentified, except in the circumstances provided for in Section 6.5. 6.9 Reporting on Identified and Targeted Positions In accordance with Part 9A of the Anti-Discrimination Act 1977, DECCW will regularly provide an updated list of positions which have been identified and targeted pursuant to this policy, to OEED. This list (compiled from Schedule 1 to the DECCW Aboriginal Employment and Development Strategy and Schedule 1 to the DECCW EEO and Diversity Strategy) will be updated and provided to OEED in January, April, July and October of each year. Workforce Planning coordinates the submission of this list.

7.0 RESPONSIBILITIES




Director-General – approval of Identified and Targeted Positions (referred by Workforce Planning).

Managers and Directors – consideration and recommendation of the identification or targeting of positions

through staffing plans. Recruitment and selection, and orientation processes, and the ongoing management of

diversity within work teams.

Workforce Planning Section – Recommendations to the Director-General for the identification/targeting of

positions, maintenance of staff establishment data and Position Description development and ratification.

Senior Workforce Planner – provision of policy advice, interpretation and assistance in relation to this policy.

8.0 IMPLEMENTATION AND REVIEW OF POLICY

Review Date: July 2010 Reviewers: Human Resources Branch in consultation with managers. DECCW Executive


STRUCTURAL REFORM INFORMATION SHEET 1

WORKPLACE REFORM PROCESS –

A GUIDE FOR MANAGERS

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```Structural Reform Template No. 1 : General Advice and HR Contacts

HUMAN RESOURCES BRANCH

Structural Reform Information Sheet – 2009/1

July 2009

Workplace Reform Process – A Guide for Managers

Structural reform is an important evolutionary step for most large organisations. Effective structural

reform ensures improvements and changes are implemented in an organised and timely manner.

The following checklist identifies the critical elements required of Directors / Managers when seeking

passage to Structural Reform within the Department of Environment and Climate Change (DECCW).

The list is not exhaustive and recognises that each structural reform initiative is unique. To ensure the

unique elements of each process are recognised and addressed, it is critical that discussions be held

between the Director and Human Resource staff before the proposals for change commence and also

throughout the change management process.

ISSUE ACTION RESPONSIBILIT

Y

Rationale • Finalisation of the rationale for the process. This rationale should articulate the reasons for making structural changes. Reasons could include changes in legislation, government direction or funding.

• Benefits to both staff and the organisation should also be articulated. This includes benefits such as varied work, matrix arrangements or greater frontline engagement.

• The rationale should also identify any areas proposed for integration and, if required, state what work is proposed to cease.

Director /

Manager +

support from

workforce

planning + human

resources advisor





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• If positions are proposed to reduce, a process for equitably determining how these positions will be filled should also be included.

• Development of a draft timeframe for implementation.

• Potential impacts on staff should be identified, though bearing in mind the need for full and transparent consultations.

Organisation

Charts

Current and proposed organisation charts will need to be

developed. The current chart will need to identify staff / title /

grade / position numbers / units etc. The proposed organisation

chart will not include staff, rather will include a listing of

proposed functions to enable consultation with staff.

Director /

Manager +

support from

workforce

planning

Redeployment The document should also confirm the process for redeploying

staff (if required).

Director /

Manager +

support from

human resources

advisor

Consultation You will need to develop a strategy for the consultation process

including the dissemination of information to staff, timeframes

for responses from staff and unions and timeframes for

management responses. It is practice within DECCW to refer

structural reform proposals to the Joint Consultative Committee

– Structural Reform Sub Committee (JCC _ SRSC) before

commencing the formal consultation phase with staff.

Director /

Manager /

Organisation

Development

All proposals for significant structural change proposals must be approved by the Director General.

DECCW recognises the important contributions and support provided by unions in the change

management process. Significant structural change proposals are discuss at the JCC SRSC. The JCC

SRSC recognises a three stage process for the conduct of structural reform initiatives:





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Stage 1 – Thinking: This stage involves initial consultations with staff and managers about the current

and proposed organisational needs. In some instances this will include the engagement of external

consultants to conduct scoping and stakeholder needs analyses. At the end of Stage 1 significant

proposals will be discussed at the JCC SRSC;

Stage 2 – Talking: Formal consultation with staff;

Stage 3 – Doing: Implementation of the new structure and redeployment processes.

Proposals referred to the JCC SRSC require the development of a document outlining the following

points:

a. old structure; b. proposed structure (in functional terms); c. rationale (including benefits to staff and the organisation); d. potential impact on staff; e. consultations to date and proposed consultations (including dates and general information

discussed. Any responses from staff should also be included).

Things to consider when developing a structural change proposal.

1. Consult with the Human Resources Branch early in the process as the Branch is available to assist Director’s with every stage of the process from developing structures, developing position descriptions, the consultation process with staff and unions, matching staff to new positions, implementing new structures and redeploying staff.

2. All new structures have to be signed off by the Director General and a copy of the approval sent to the Director Human Resources

3. New structures are discussed at the JCC Structural Reform Sub-Committee prior to finalisation – Directors generally attend these meetings to discuss their proposals

4. Position Descriptions are needed for all new structures – Workforce Planning can assist by developing new position descriptions and evaluating grading levels

5. Having a strong rationale for any changes is the key to articulating why the change is proposed





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Key Human Resource Branch Contacts

Name Position Focus Area Telephone

Steve McNab Director All restructuring issues 9585-6603

Gail May A/Manager Workforce Planning Workforce Planning issues 9585-6627

Mariela Graham Manager HR Advisory Services Staff issues in restructures 9585-6354

Mark Whybrow A/Manager Employee Relations Industrial issues 9585-6985



MANAGING EXCESS EMPLOYEES –

MANAGER RESPONSIBILITIES

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HUMAN RESOURCES BRANCH

Structural Reform Information Sheet - No 2

Managing Excess Employees

The Department of Premier and Cabinet Managing Excess Employees in the NSW Public

Sector November 2008 Policy has been issued and contains some important agreed areas

of reform arising from the settlement of the Crown Employees (Public Sector Salaries –2008)

Award matter.

The policy also outlines agency responsibilities for the management of excess staff with

redeployment as the principle means for managing excess employees.

Agency responsibilities

Agencies are responsible for managing organisational change including employees affected

by the change.

The DECCW is required to make decisions on organisational change through a systemic

planning process that takes into account good employment practices which focus on all of

the employee’s skills, not just those which are currently recognised or utilised.

When assessing strategies for reducing numbers of employees, the Department is required

to consider the viability of a range of options including natural attrition, limiting recruitment

and introducing flexible work practices.





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Any organisational change process must focus on positions or jobs, not individual

employees.

Management of Excess Staff

DECCW is required to:

� Provide all excess employees with a copy of the policy � Inform excess employees in writing of their status, rights and obligations � Register all excess employees with Public Sector Workforce Office (PSWO) � Where approved invite excess employees to express an interest in voluntary redundancy

or where redeployment is considered impractical, subject to approval, offer voluntary redundancy

� Ensure that excess employees are given meaningful work to perform, preferably at their substantive grade

� Keep excess employees fully informed of redeployment opportunities � Ensure retention periods and/or salary maintenance periods are managed and

communicated to excess employees � Case manage individual excess employees

Management Responsibilities

Senior Manager

� Obtain approval to make an employee excess and where approval has been given, invite expressions of interest for a VR or offer a VR

� Formally advise the employee of their status (the letter is generated by the HR Branch) � Oversee and monitor the number and management of excess employees, including

identification of possible redeployment opportunities within their Division/Group � Ensure funding for the excess employee, including funding for meaningful work and/or

development or re-training funds are available, until such time that the excess employee is permanently redeployed or an offer of voluntary redundancy is made and accepted. NOTE: funding responsibilities temporarily cease if an excess employee is undertaking temporary duties in a funded position





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Line Manager (Substantive Manager)

� Verbally advise the employee of their excess status, once approval has been given � Advise the HR Advisory Services section once this has been done in order to issue

written notification to the excess employee � Participate in the case management process for individual excess employees � Immediately release excess employees for redeployment opportunities � Allow reasonable time for the excess employee to prepare and participate in the

redeployment process, including any possible training or re-training � Where necessary, ensure meaningful work has been identified for the excess employee

and that the work has been described. The manager will be required to liaise with the Workforce Deployment Coordinator and Workforce Planning to provide a statement articulating duties at the appropriate level.

� Identify redeployment opportunities for the excess employee within the section/area or other areas as appropriate

� Maintain regular contact with the excess employee and HR Branch Workforce Redeployment Co-ordinator to ensure redeployment is undertaken in an expeditious and sensitive manner

Excess Employee Responsibilities

� Participate fully in the redeployment process and maintain a proactive job search � Provide all the necessary information to facilitate redeployment � Register for sector wide redeployment with the PSWO, Recruitment and Redeployment

Unit (RRU) � Make themselves available to be considered for redeployment to a vacancy � Accept reasonable redeployment opportunities � Maintain regular contact with the HR Branch Workforce Redeployment Co-ordinator to

facilitate redeployment

Human Resources Responsibilities

� Generate correspondence to advise an employee of their excess status and/or to call for an expression of interest for a VR or offer a VR

� Communicate to excess employees their rights, entitlements and obligations





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� Ensure all the necessary information to facilitate redeployment is obtained for individual excess staff and ensure this information is maintained

� Provide information and reports to assist managers monitor the number and management of excess employees

� Allocate a redeployment case co-ordinator (Workforce Redeployment Co-ordinator) to assist and support excess officers

� Register excess employees with the RRU for redeployment opportunities across the NSW Public Service

� Facilitate the redeployment process by developing with the excess employee and management an individual redeployment plan to assist the excess employee to identify skills gaps, training requirements and redeployment opportunities

� Maintain regular contact with the excess employee and manager to ensure redeployment is undertaken in an expeditious and sensitive manner

Other Information that Managers Should Know

Relinquishment

Employees who are:

� on an employee initiated secondment; or � on more than 12 months leave without pay; or � at the conclusion of a period of approved study leave, and the Department has permanently backfilled their position after giving the employee notice

and the employee has chosen not to return, in line with the policy, the employee will be

managed as an excess employee and have all the rights, entitlements and obligations

afforded to excess employees. The Department should only consider relinquishment where

there is a strong likelihood of placing the employee permanently when the employee returns.

Redeployment Plans

Although the needs for each employee will differ, redeployment plans may include:

� access to professional vocational counselling regarding career transition, training opportunities and occupational information

� access to stress management counselling � placement on programs to upgrade existing skills, including payment of fees, allowances,

and equipment





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Meaningful Work

During the retention period the excess employee must focus on seeking permanent

redeployment. Agencies must ensure that while the excess employee is not in a suitable

position they are meaningfully engaged to ensure skills are maintained and developed.

Meaningful work may include:

� providing assistance where there is a sudden or unusual increase in workload � tasks resulting from staff being away from the workplace � assisting with discretionary projects � working in different areas or business units

The work allocated should be as close to the employee’s former substantive level as

possible but should not be the exact duties of the former position the employee held.

Retention Period

Included in the new policy is the provision for a 12 month retention period that commences

as soon as an employee is declared excess. The retention period allows the Department

time to source redeployment opportunities either permanent or temporary for excess

employee.

The retention period may operate as a continuous 12 month block during which an excess

employee is allocated meaningful work, or it may be cumulative, in that it can be suspended

and recommenced according to the funding of any temporary role the excess employee may

perform.

The retention period will:

� cease upon redeployment to a permanent position. Redeployment may be within the DECCW, or if necessary to another agency; or

� be suspended if the excess employee is temporarily placed into a temporary funded position including short term vacancies such as backfilling arrangements to a permanent position which is temporarily vacant; or





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� be suspended if the excess employee has been directed to take leave.

The retention period will recommence when either the funding is no longer available for the

temporary position, or the vacancy is filled, or the fixed period of a temporary appointment

comes to an end.

When the 12 months of the retention period has been completed the provisions of section

2.4 of the Managing Excess Employees policy relating to redundancy may be considered by

the Department, however, managers should be aware that this is not the preferred option for

the Department and will only be considered as a last and unavoidable resort.

The retention period operates separately to any salary maintenance for which excess

employees may qualify.

Salary Maintenance Period

It is the Department’s aim to redeploy excess employees into a permanent vacant position at

their substantive grade. However in the event that there is no suitable position available,

salary maintenance is the provision of ‘top up’ to an excess employees’ wages where they

are placed in positions of lower remuneration, either temporarily or permanently, to a

cumulative maximum of 12 months.

In all cases where the excess employee is placed in a position of a lower grade or allocated

work of lower value this must be treated as a period of salary maintenance.

If an excess employee gains a placement in a position of equivalent or higher value than his

or her substantive salary, the period of salary maintenance is suspended and that period of

employment does not count as part of the 12 month salary maintenance period.

NOTE: Permanent public service employees whose salary is reduced because a suitable

position at their existing salary is not available, may be entitled to priority assessment for

future positions at their previous salary within their agency.





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The table below provides a guide to suspending the retention period or initiating the salary

maintenance ‘top up’.

Where the excess employee is: Retention period

suspended?

Salary maintenance

applied?

Temporarily placed in a suitable position at grade YES NO

Temporarily placed in a position at higher grade YES NO

Temporarily placed in a position more than one

grade or 5% lower than their former substantive

salary

NO YES

Not placed in a suitable position NO

YES if allocated work

of lower value

Attending a career transition centre or vocational

training NO NO

Voluntary Redundancy

VR is a voluntary termination payment to a permanent employee. The payment includes a

severance payment and retraining support. Under the Job Assist scheme the Department

may also reimburse employees for certain expenses on a case-by-case basis. VRs can only

be offered in certain cases and must be approved by the Director General. VR programs

must be approved by the Minister.

Redundancy as a Last and Unavoidable Resort

In line with the policy, as a last and unavoidable resort only, the Department may make

redundant an excess employee where an alternative position is not found within the retention

period (12 months). In these instances DECCW must consult with the PSWO and engage in

meaningful consultation with affected employees and unions. There are 8 requirements

stipulated in the policy which DECCW must comply with in order to undertake this action.





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Please refer any further enquiries to:

The HR Advisory Section

Your HR Advisor or the Workforce Deployment Co-ordinator

Key Human Resource Branch Contacts

Name Position Focus Area Telephone

Steve McNab Director All restructuring issues 9585-6603

Gail May A/Manager Workforce Planning Workforce Planning issues 9585-6627

Mariela Graham Manager HR Advisory Services Staff issues in restructures 9585-6354

Mark Whybrow A/Manager Employee Relations Industrial issues 9585-6985


CMA CHANGE MANAGEMENT PROTOCOLS ○M



RECRUITMENT AND SELECTION CHECKLIST �


Week Process Step Suggested

Timeframe **

Delegation ** /

Responsibility

Complete

Consider whether the position is required 1-2 days CMAs �

Update position description 1-2 days CMAs and

DECCW in

consultation �

Review changes to position description

and re-evaluate (if required)

10 days DECCW �

Seek approval to fill the position 3 days DECCW �

�

&

� Consider submission and approve / reject

the recruitment action

10 days DECCW �

Prepare and review advertisement and

send to ServiceFirst (NB. Display ads must

be approved by DPC)

1-2 days CMAs

�

Prepare job information package and

submit advertisement

Up to 5 days

from receipt

ServiceFirst � �

Matching process conducted for any

excess staff

3 days DECCW and case

managers across

Public Sector �

Advertisement appears and closes

Field inquiries from potential applicants

Establish Selection Panel and seek

approval for composition

2-3 weeks CMAs � �

to

� Collect and collate applications 2-3days Service First

�

Short list or cull applications �

� Schedule interviews and/or practical

exercises

Within 5 days of

receipt of

recruitment file

Selection Panel

�


RECRUITMENT AND SELECTION CHECKLIST �



Timeframe **

Delegation ** /

Responsibility

Complete

Conduct interviews and/or practical

exercises �

Conduct referee checks �

Decide on preferred applicant(s) and

eligibility list applicants �

Finalise Selection Report

Within 10-12

days of receipt

of the

recruitment file

Selection Panel

�

Review Selection Report and approve or

disapprove recommendation

1-2 days CMAs �

Make a verbal job offer(s) Within 2 days of

approval

CMAs �

Finalise recordkeeping and despatch file

with all paperwork including applications

to ServiceFirst

Within 2 days of

approval

CMAs

�

Prepare letter of offer(s) and advise

eligibility and unsuccessful applicants

Within 3 days of

receipt of the

file

ServiceFirst

� � Arrange for commencement of and

induction of new employee

Prior to entry on

duty

CMAs �

** It should be noted that the above timeframes and delegations apply to positions in a CMAs

approved staffing strategy. CMAs are reminded that the DECC Human Resources Delegations should

be checked at various stages of the recruitment and selection process.


WORKING WITH CHILDREN POLICY ○M


Under development


INDUCTION TOOLKIT �


Supervisor's and manager's toolkit for induction

The supervisor's and manager's toolkit for induction has been developed to assist supervisors

and managers to effectively induct new employees to their workplace and the activities of the

work unit.

DECCW wants to introduce new employees to the department in a manner that enables them

to be a productive contributor during their time with us. The success of an induction program

relies on careful preparation and delivery of the program in a timely and efficient manner.

This toolkit will ensure that the common questions and concerns new employees have about

being in a new job are addressed, and that the information that is legislatively required to be

given to new employees is provided.

The supervisor's and manager's toolkit for induction includes:

Access to the corporate online induction program which provides a departmental -

wide introduction to DECCW

Details for the site specific induction, including checklists and tools that managers and

supervisors can use to help make the first few days and weeks of an employee's new job

enjoyable and rewarding.

An outline for a divisional induction program that can be adapted for a CMA wide

induction is also available on the DECCW intranet.

THE CORPORATE ONLINE INDUCTION PROGRAM

The corporate online induction program provides staff with a "big picture" view of DECCW, its

roles, responsibilities and structures and an overview of the conditions of service and policies

and procedures relevant to all staff.

This program should be undertaken by all permanent and temporary staff within the first

three weeks of their employment.

The purpose of this program is to introduce employees to the Department as a whole and

help them feel a part of it.




To arrange for a new employee to undertake the corporate induction program please contact

Learning and Development unit on (02) 9585 6802. You will need to provide the employee's

full name, and the name of the CMA in which they are employed.

SITE SPECIFIC INDUCTION

The site specific induction is designed for all staff new to a work site, including staff

transferring in from another part of DECCW. Relevant components should also be undertaken

with contractors (eg tour of worksite, occupational health and safety information).

The site specific induction program focuses on the actual job and the work environment

including the people, location, policies and work practices involved. It's aim is to help staff

settle into their new job and quickly become more comfortable, confident and competent in

their new position.

This program is to be delivered by the employee's supervisor or manager - it is too important

to be delegated. The supervisor's responsibility is to set the tone and create an environment

that helps reduce the employee's anxiety. The relationship with the supervisor is critical to

the employee's success on the job.

The program is structured around a series of checklists that cover information and material

relevant to new employees. The information is to be delivered in the first 6 weeks of the new

staff member's employment to ensure that s/he receives all the relevant information in a

time frame that will not overload her/her with too much information at once.

The Site Specific Induction covers:

Preparing for the new employee

The employee's first days

The employee's first week

Finalisation of the induction process

The DECCW induction checklist outlines the information you should be covering over the

induction period. While all the information must be completed within the first 6 weeks of the

staff member's employment select the information you give her/him each day. Remember

not to overwhelm the person with too much information at once.

Take the following actions to prepare for a new worker in the workplace:




� Inform the staff that a new employee will be joining the work unit. Tell them

who the person is; when they will be commencing; what s/he will be doing

and where s/he will be located. You may also want to share some

information about her/him such as previous job/department, background

and qualifications.

� Prepare the employee's work area.

� Select another member of the work unit to be the newcomer's "buddy". This

person's responsibilities will be to show the new worker around the work

area, make introductions, answer questions, provide some basic training and

instruction and generally help make him/her feel welcome and included in

the group.

� Review the information to be covered with the employee on the first day.

� Organise a meaningful first work assignment.

The following checklist will help supervisors and managers to ensure that they are fully

prepared for the new employee

Making sure that the first days of work for a new employee are a satisfying and rewarding

experience can be achieved through a mix of induction activities and time reserved for the

new employee to get "stuck into" the work they have been employed to do.

In other words, a mix of reading, filling in forms, talking with people, time for reflection and

settling into new work area together with actual work will combine to help a new employee

quickly feel valued and an important part of the organisation.

Start completing the DECCW Induction checklist during the employee's first days in the work

unit. This checklist will provide you with an outline of the information you should be covering

to both help the new employee settle in and to ensure the Department meets its legislative

requirements as an employer.

As well as providing the new staff member with information give them time to get used to the

new work unit - show him/her to their work space and allow them to settle in.

If you are partnering the new employee with a "buddy" introduce them on their first day and

have the buddy introduce the new employee to the various duties involved in the position.




At the end of the day, the supervisor should meet again with the new employee to answer

any questions, review important information, give encouragement and reinforce how pleased

all staff are to have a new worker on the team.

Ensure the new employee has a variety of tasks to perform during the first week, and support

from the designated buddy.

At the end of the first week, the supervisor should meet with the employee again to check on

his/her progress; answer questions; and provide additional information. They should continue

going through DECCW Induction Checklist and mark completed areas off.

The new employee's activities for the coming week should also be discussed and plans made

for further discussions and information sharing.

The induction process should be completed after approximately six weeks on the job.

While ongoing training and support will be required over the coming months, the basic

information that the employee needs to settle into the workplace and commence performing

their duties should have been covered.

Ensure that the DECCW induction checklist and signed by both the employee and yourself by

the end of the 6th week of employment. Then forward the completed checklist to the service

centre for inclusion on the staff member's personnel file. This will ensure that all legislative

requirements associated with induction are met.


INDUCTION CHECKLIST �


Preparing for the New Employee

The attached checklist will help you ensure you are ready for your new employee’s arrival and

induction. You should complete this in the week prior to the new employee commencing duties.

□ Other staff informed that a new person is starting and what the person’s job will be.

□ Familiarise yourself with the DEC Induction Checklist and print out a copy of it ready to

complete with new employee

□ Copies made of necessary and useful information such as position description and

Division/Branch organization chart

□ Create a list of activities and interesting task for the new employee’s first day.

□ Create a list of activities to complete during the new employee’s first week on the job.

□ Assign a staff member to serve as a “buddy” to the new employee.

□ Meet with the assigned “buddy” to discuss your expectations of his or her interaction with the

new employee.

□ Schedule time in your diary to spend with the new worker on his or her first day and

throughout the first week.

□ Prepare the new employee’s work area – clean & well organised; with all necessary

equipment and supplies




Workplace Induction Checklist

This induction checklist provides a structure for induction, ensures consistency across all

Divisions and ensures the process is properly documented and recorded. The

manager/supervisor should ensure that Sections 1 to 4 are completed as soon as possible

and that the remaining sections are completed within six weeks of the new staff member’s

commencement.

Name

Position

CMA

Location Start Date

Manager/Supervisor Name Position

Tick when

completed

Follow up action

(if required)

1 IT Issues

1.1 ‘Request for New User Network Access’ form completed &

faxed to ICT Service Desk (02 9860 1005) □

1.2 ‘SAP User Access Request Form’ completed & faxed to

SAP Helpdesk (02 9895 7874). This is only required for

higher level access (reporting and data entry).

□

1.3 CMA’s Agency IT Administrator emailed

[email protected] requesting new

employee’s access to Objective, if required.

□

1.4 CMA’s computer system and intranet resources explained □




Tick when

completed

Follow up action

(if required)

2 Pay & HR Issues

2.1 Ensure all paperwork sent from ServiceFirst has been

completed & returned (signed letter of offer returned to

ServiceFirst Recruitment, and other forms to ServiceFirst

Payroll)

□

2.2 Pay cycle explained □

2.3 ServiceFirst Contact details – Payroll & leave entitlements □

2.4 Explain Employee Self Service, how to access, & electronic

payslips □

2.5 Confirm staff member has received details of ESS login &

is accessing ESS (received automatically via email after

commencement)

□

3 Administrative Procedures

3.1 Provide listing of staff in work unit and contact details □

3.2 Keys, identity/authority cards and/or access cards issued □

3.3 Issues of stores, stationery and petty cash explained □

3.4 Use of telephones explained □

3.5 Procedures for use of CMA motor vehicles explained □




Tick when

completed

Follow up action

(if required)

3.6 Advertising of vacancies explained □

3.7 Dress code/uniform requirements explained □

3.8 Uniform ordered (as required) □

3.9 Personal Protective equipment issued/ordered as required □

3.10 Work station, computer, phone, stationery, etc organised

as required □

3.11 Access to parking explained & organised (if available) □

3.12 Workplace adjustments for new staff with a disability

undertaken (if required) □

4 Tour of Work Area

4.1 Identify work location and amenities □

4.2 New staff member introduced to team members & key

staff/managers □

4.3 New staff member introduced to buddy □

4.4 Local emergency procedures, responses and evacuation

procedures explained □

4.5 Hazardous/restricted areas highlighted □

4.6 Location of first aid facilities and identify First Aid Officer

explained □




Tick when

completed

Follow up action

(if required)

4.7 Location of resources and stores □

4.8 Location of bulletin boards and notice boards □

4.9 Location and operation of equipment (eg photocopier, fax) □

5 Goals And Objectives

5.1 Overview of CMA’s objectives, major activities and

organizational structure □

5.2 Names of key personnel in CMA and explanation of their

responsibilities provided □

5.3 Objectives, responsibilities and duties of position provided □

5.4 Explanation of how position relates to other positions in the

team/work unit provided □

5.5 Performance expectations/standards discussed (see

Section 8 also) □

5.6 Initial work assignments discussed □

5.7 Online Corporate Induction completed □

5.8 Ongoing and future work roles, tasks and objectives

discussed □




Tick when

completed

Follow up action

(if required)

6 HR Policies and Procedures

6.1 Hours of work, flexible working hours, core and bandwidth,

rosters explained □

6.2 Use of flex sheet or time sheet explained □

6.3 Leave entitlements and procedures including sick leave

policy, recreation leave, extended leave, study time, etc

explained

□

6.4 Procedures for notification if absent from duty explained □

6.5 Information provided on where to locate details of

conditions of employment and relevant award □

6.6 Procedures for probationary period and permanent

appointment (if applicable) explained □

6.7 Staff services including Spokeswomen Program, Employee

Assistance Program, Aboriginal Network discussed □

6.8 Information on unions provided □

6.8 Equal Employment Opportunity policy explained □

6.9 DECCW Harassment and Bullying Prevention policy

explained □

6.10 DECCW Policy on Resolution of Workplace Grievances

explained □

6.11 Advertising and accessing of learning and development

opportunities explained □

6.12 Code of Ethical Conduct explained and shown how to

access on DECCWnet □




Tick when

completed

Follow up action

(if required)

7 Legislation and Policies

7.1 Briefing on legislation impacting on the position/role

provided □

7.2 Advice on location of relevant policies provided □

7.3 Advice on location of procedures, processes and manuals

relevant to position provided □

7.4 Details of any responses/reports required by legislation

provided □

7.5 Details of meeting attendance and information required

provided □

8 Development of A Performance Management Plan

8.1 Performance Management system explained & forms

provided □

8.2 Link to learning and development explained and options for

learning and development discussed □

8.3 Date set for first meeting regarding initial workplan with

new staff member □

8.4 Nomination procedure for internal and external Learning

and Development activities discussed □

8.5 Career development opportunities within the CMA,

DECCW and Public Sector discussed, including locating

information on vacancies

□




Tick when

completed

Follow up action

(if required)

9 Occupational Health and Safety `

9.1 Emergency procedures explained including

communication, evacuation and first aid arrangements □

9.2 OHS responsibilities as per the OHS Policy explained

including accident, near miss, injury management and

hazard reporting processes

□

9.3 Contact details of OHS Representative provided □

9.4 Workplace/site specific hazards/restricted areas highlighted

and risk controls explained (including off-site locations

where relevant)

□

9.5 OHS information, policies and procedures, including

requirement for JSA’s/SWMS, explained and shown how to

access documents (DECCWnet or hard copy as

appropriate)

□

9.6 Employee advised of legislation and codes of practice

relevant to his/her work □

9.7 Workstation set-up checklist completed, where relevant □

9.8 Equipment and plant that requires specific induction

(including personal protective equipment) identified and an

appropriate induction program established

□

9.9 Employee given an opportunity to ask questions in relation

to OHS issues □




New Staff Member’s Signature Date

Manager/Supervisor’s Signature Date

The completed checklist is to be retained by the CMA.


EXCESSIVE RECREATION LEAVE GUIDELINES ○M


In the interest of the health and wellbeing of staff, the CMA is committed to ensuring staff regularly

use their recreation leave entitlements. It is important that all staff take a recreation leave break, of

at least 10 consecutive working days during the leave year wich is 1 December to 30 November. This

allows an adequate rest and absence from the workplace.

In order to achieve this, the CMA will monitor staff recreation leave balances and implement action

to ensure staff take appropriate recreation leave.

� Staff can only accrue a maximum of 40 days recreation leave

� Staff stationed in an area of NSW which attracts a higher rate of annual leave should not

accrue more than 40 days recreation leave however local flexibility can be employed in the

management of leave balances.

� At least 2 consecutive weeks (10 consecutive working days) of recreation leave should be

taken by a staff member every year.

� Other types of leave, for example flex leave, travel time, extended leave, etc., do not form

part of the 2 consecutive weeks leave

� Pro-rata provisions apply for part-time staff. For example, staff who work a 21 hours week

are required to take 42 hours recreation leave over 2 weeks and accrue up to 168 hours

recreation leave

� Applications for recreation leave must be made on the Application for Leave of Absence

Form (or approved electronic equivalent) and be approved by the delegated officer prior to

the staff member taking leave

Management Responsibilities

� General Managers are responsible for reminding staff of CMA requirements to manage

excess recreation leave credits

� Managers are responsible for regularly monitoring staff leave balances and ensuring that

staff have taken the minimum required period of 2 weeks recreation leave

� Recreation leave balances are available on fortnightly pay advice slips and will also be

available through Employee Self Service and Manager Self Service.

� Managers must consider the business need and implement annual leave rosters to ensure all

staff are able to take at least the minimum requirement of 2 weeks recreation leave each

year. Staff should identify a 2 week block of leave for the coming year when completing the

leave roster

� Managers who have members of staff not involved in the delivery of front line services

should encourage staff to take 2 weeks recreation leave over the Christmas period

� Managers may take into consideration any special circumstances which may impact on the

taking of 2 consecutive weeks recreation lave within the 12 month period

� Managers and staff must make every effort to reduce excess leave balances




� Managers with staff identified as having in excess of 40 days recreation leave must negotiate

with the staff member to develop and implement individual leave management plans for

those staff to reduce their credits to a suitable level within a reasonable period of time.

Ongoing leave accrual must be accommodated in this reduction

� Managers must take action to support staff reducing excess leave balances, for example,

reallocating the staff member’s work while they are on leave or arranging for another staff

member to act in their position. Managers are to redistribute work in the staff member’s

absence to ensure that there is a minimum of backlog of work on the staff member’s return

to work

� All leave options are to be explored to allow a staff member to reduce their excess leave,

including blocks of leave, 4 day weeks, 9 day fortnights, and combinations of these options

� Individual leave management plans should be reviewed and renegotiated if required

� If a staff member cannot meet the required timeframe to reduce their recreation leave

balances, a submission detailing reasons for inability to meet the timeframes as well as

expected timeframes to reduce the leave balance, must be presented to the Manager.

� Requests for flex leave should be closely managed where staff with excessive recreation

leave balances do not have a negotiated leave management plan in place. The manager may

limit or deny a request for flex leave where the staff member has a recreation leave balance

in excess of 40 days. The reason for any restriction is based on the staff member not having

a plan in place to reduce their excess recreation leave balance. The restriction on the taking

of flex leave does not apply if:

• an employee has an approved plan to reduce their excess recreation leave

balance, or

• management has denied applications for recreation leave, which would have

led to the required reduction of excess leave, due to operational requirements

� The General Manager may direct staff with excessive leave balances to take periods of

recreation leave where a leave management plan cannot be negotiated and where the staff

members expected timeframes cannot reasonably be accommodated. The HR Advisor can

help explore options in these situations.

Procedures

� Managers develop and implement annual leave rosters for all work areas

� Staff apply for leave on the Application for Leave of Absence form (or approved electronic

equivalent) and forward it to ServiceFirst for processing

� Managers regularly monitor recreation leave balances to assist in leave management

� Staff identified as having in excess of 40 days recreation leave develop an individual leave

management plan in consultation with their manager




� Annual circular sent to all staff advising of CMA requirements for the management of

excessive recreation leave credits

Delegations

See DECCW Human Resources Delegations

Enquiries

Leave Balances Managers

Incorrect Leave Balances on Payslips ServiceFirst

Recreation Leave Balance Reports ServiceFirst and CMA

manages with SAPHR

access

Assistance with developing Individual Leave Management Plans DECCW HR Advisor

Review of Individual Leave Management Plans Managers

Assistance with exploring options when leave reduction

timeframes are not met

DECC HR Advisor


WORK AND DEVELOPMENT SYSTEM GUIDELINES ○M


Work and Development System Guidelines

http://deccnet/wds/resources/WDSGuidelines200808.pdf


WORK AND DEVELOPMENT SYSTEM GUIDELINES ○M



LOSS OF DRIVER’S LICENCE GUIDELINE ○M


Loss of Licence - Guideline

1 Introduction 1.1 This guideline has been developed in the JCC Policy Sub-Committee in consultation with the

relevant unions & management.

1.2 It is recognised that a driver’s licence is an essential requirement to fulfil employment duties for some positions in the DECCW. This guideline is applicable to employees where a driver’s licence is an essential requirement to fulfil employment duties and where the employee’s driver’s licence has been suspended, cancelled, expired or had restrictions placed on it.

2 Purpose of the Guideline 2.1 The purpose of this guideline is to ensure that:

• Staff are aware of the processes and options that will be considered in the case of a suspension or loss of licence

1;

• Managers have guidance on the processes and options available when assessing business, workplace and officer impacts when a staff member can not legally operate a vehicle; and

• The Department applies its discretion in a reasonable and transparent manner.

3 The Guideline

ISSUE ACTION

Suspension, restriction or

expiration of licence

DECCW staff must notify their supervisor immediately when they become

aware that their drivers’ licence has been suspended, cancelled, expired

or had restrictions placed on it by a court of law or when they otherwise

become aware that they are not, at law permitted to drive a motor vehicle.

Furthermore in accordance with the Code of Conduct, staff that have been

charged with a criminal offence which may be punishable by imprisonment

for 12 months or more must immediately advise their Executive member.

DECCW staff must not attempt to drive a DECCW vehicle, or any vehicle

in the course of their employment duties without a current valid and

unrestricted drivers licence.

NB: Failure to notify their supervisor, or driving a vehicle without a current

and appropriate licence, will be investigated and may result in disciplinary

action and possible dismissal.

Licence suspension or

cancellation for up to 3 months

The local manager will identify suitable alternative duties for the staff

member in these circumstances. Where it is not possible to identify such

alternative duties, the staff member involved will be required to take any

available recreation or extended leave followed by leave without pay

pending the lifting of restrictions on their drivers licence.

1 Licence for both a land vehicle and sea vehicles.




Field duties (including Fire Fighting duties) will be restricted for staff who

do not hold a valid and unrestricted drivers licence.


cancellation for between 3

months to 12 months

The Regional Manager/Branch Manager2, in consultation with the local

manager, will identify suitable alternative duties. Where suitable

alternative duties cannot be identified or are not available for the whole of

the period, the staff member involved will be required to take any available

recreation and/or extended leave for the whole or the remaining period of

suspension or cancellation.

In cases where staff involved do not have enough recreation or extended

leave to cover or make up the whole of the period of suspension or

cancellation, the Regional Manager/Branch Manager will determine:

1. if leave without pay is applicable pending the lifting of restrictions on the officer’s drivers licence; and

2. if this will cause unreasonable hardship for the organisation.

Field duties (including Fire Fighting duties) will be restricted for staff who

do not hold a valid and unrestricted drivers licence.

During the period that the staff member is absent, DECCW reserves the

right to fill a position through a temporary appointment for the duration of

the absence.


cancellation for greater than 12

months

DECCW will carefully review the circumstances, however DECCW

reserves the right to terminate the employment of any staff member

concerned on the ground that failure to hold a valid current driver’s licence

amounts to breach of an inherent term of the employment contract.

Consultation with Human Resources and the relevant union should occur

where termination of employment is considered.

3.1 The above arrangement is intended to apply only in situations relating to permanent staff. DECCW would reserve the right to terminate the employment of a temporary staff member who loses their licence for any period of time in situations where the holding of a current unrestricted drivers licence is an inherent requirement of the position.

3.2 DECCW staff cannot use either their employment or their position with the Department as a reference for a staff member who is required to attend court in relation to action in respect of his/her drivers licence. Character references for staff members who have lost their drivers licences or attendance at any court proceedings with/for the employee in relation to the matter by a DECCW staff member must be as a private citizen.

2 Branch Manager - the Head of a Branch (Branch Director) or the General Manager of the CMAs




3.3 In respect of situations where staff have their drivers licence suspended or cancelled on more than one occasion, DECCW reserves the right to consider each case on its merits and to take appropriate action in light of the circumstances.

3.4 A request to review of a decision to terminate employment because of the loss or suspension of a licence for greater than 12 months or for multiple suspensions may be made to:

• Executive Directors – Parks Management for the Parks and Wildlife Group; Culture and Heritage Division, Corporate Services Division, Botanic Gardens Trust and Scientific Services Division; and

• Deputy Director Generals – Climate Change, Policy and Programs Group and Environment Protection and Regulation Group.

4 Employee Assistance Program (EAP) 4.1 The EAP is a confidential counselling service available to all DECCW employees and their

immediate families at no cost. As some staff who experience a loss of licence, including the circumstances under which this may occur, may be impacted in their personal and work life, managers should provide the employee concerned with information about the EAP. Information on the EAP can be found in the Employee Assistance Program booklets available from Human Resource Branch.

4.2 Access to the service can be through either self referral, supervisor referral or via a relevant employee representative.

5 Employee Representation & Dispute Resolution 5.1 Staff may seek the assistance of their union in line with the dispute resolution procedures

contained in the relevant Awards and DECCW policies & procedures.

6 Other policies that may apply in conjunction with this policy 6.1 Alcohol and other Drugs Policy – Managers, when making assessments relating to driving

offences as a result of drugs or alcohol should consider whether the provisions of this policy can be applied to assist the staff member.

6.2 Code of Ethical Conduct – All staff must ensure their actions meet the standards required of an officer under the Code of Ethical Conduct.


RESPECTFUL WORKPLACE:

POLICY AND PROCEDURES FOR ADDRESSING

WORKPLACE ISSUES AND FORMAL GRIEVANCES

○M


Respectful Workplace

Policy and procedures for addressing workplace issues and formal

grievances

http://deccnet/humanresources/resources/RespectfulWPpolicy.pdf


OCCUPATIONAL HEALTH AND SAFETY POLICY STATEMENT �


Occupational Health Occupational Health Occupational Health Occupational Health

and Safety Policy

DECCW is committed to the health, safety and welfare of all its employees, contractors, volunteers

and visitors to our workplaces. We aspire to zero harm to people. Our fundamental belief is that all

injuries can be prevented.

We are committed to implementing a systematic risk management approach to occupational health

and safety (OHS) to establish and maintain the safest work environment practicable, including the

following key components:

� complying with all legislative requirements related to OHS

� ensuring a system is in place to facilitate effective consultation regarding OHS issues

� ensuring OHS is incorporated into all planning documents including the corporate, divisional and

branch plans

� ensuring people in the workplace perform in accordance with their specific OHS responsibilities

through performance agreements and supervision

� ensuring an effective system is in place to facilitate hazard identification, risk assessment and

control

� encouraging the reporting of all injuries and near misses and ensuring effective investigation and

remedial action is carried out

� where an employee is injured, facilitating their return to meaningful work as soon as safely

possible

� ensuring OHS is a regular agenda item at all management and staff meetings

� establishing performance targets for reduced workplace injury/illness rates and OHS

management system implementation in line with Government strategies

� providing adequate instruction, training and information

� effectively promoting and communicating OHS matters including staff and contractor

responsibilities and accountabilities

� monitoring OHS performance on an ongoing basis and regularly reviewing the management of

OHS.

Lisa Corbyn Director General Department of Environment, Climate Change and Water NSW

28 May 2008


OCCUPATIONAL HEALTH AND SAFETY

RISK MANAGEMENT SYSTEM

○M


OHS Risk Management System

http://deccnet/safetyemergency/RiskManagementGuideline.htm


INJURY MANAGEMENT AND WORKERS COMPENSATION

POLICY AND PROCEDURES

○M


Injury Management and Workers Compensation Policy and Procedures

http://deccnet/safetyemergency/resources/IMandWCPolicyAndProcedures.doc


INJURY MANAGEMENT AND WORKERS COMPENSATION

POLICY AND PROCEDURES

○M



OCCUPATIONAL HEALTH AND SAFETY CHECKLISTS �


The following Occupational Health and Safety checklists are accessible from the DECCW intranet at

http://deccnet/safetyemergency/FormsChecklists.htm

1. Managers OHS Self Assessment Checklist

2. DECCW Manual Tasks Risk Assessment and Control Checklist

3. Field Operations Risk Checklist - DECC (FieldOperationsRiskchecklistDECCSeptember07.doc

201KB)

4. Office Safety Checklist - DECC (OfficeSafetyChecklistFebruary08.doc 157KB)

5. Work Station Set-up Checklist

6. Contractor OHS Management Checklist (ContractorOHSChecklistJan07.doc 74KB)

7. OHS Checklist for Staff Working from Home (WSDWorkFromHomeOHSchecklist 26KB)

8. OHS Checklist for Staff Working From Home (Regular Instances for a Specified Period of

Time) (WSDWorkFromHomeOHSChecklistLP02 31KB)


OCCUPATIONAL HEALTH AND SAFETY CHECKLISTS �



OCCUPATIONAL HEALTH AND SAFETY CHECKLIST 1

MANAGERS OHS SELF ASSESSMENT

�


Managers OHS Self Assessment Checklist

http://deccnet/safetyemergency/resources/OHSselfAuditTool.xls



MANAGERS OHS SELF ASSESSMENT

�




DECCW MANUAL TASKS RISK ASSESSMENT AND CONTROL

�


DECCW Manual Tasks Risk Assessment and Control Checklist

http://deccnet/safetyemergency/resources/DECCManualTasksRiskAssChecklist.doc



DECCW MANUAL TASKS RISK ASSESSMENT AND CONTROL

�




FIELD OPERATIONS RISK

�


Field Operations Risk Checklist

http://deccnet/safetyemergency/resources/FieldOperationsRiskchecklistDECCSeptember07.doc



FIELD OPERATIONS RISK

�




OFFICE SAFETY

�


Office Safety Checklist

http://deccnet/safetyemergency/resources/OfficeSafetyChecklist.doc



OFFICE SAFETY

�




WORKSTATION SET-UP

�


Work Station Set-up Checklist

http://deccnet/safetyemergency/resources/DECCWorkstationSetupChecklist.pdf



WORKSTATION SET-UP

�




CONTRACTOR OHS MANAGEMENT

�


Contractor OHS Management Checklist

http://deccnet/safetyemergency/resources/ContractorOHSChecklistJan07.doc



CONTRACTOR OHS MANAGEMENT

�




STAFF WORKING FROM HOME

�


OHS Checklist for Staff Working from Home

http://deccnet/safetyemergency/resources/WSDWorkFromHomeOHSchecklist.doc



STAFF WORKING FROM HOME

�




STAFF WORKING FROM HOME (REGULAR INSTANCES FOR

A SPECIFIED PERIOD OF TIME)

�


OHS Checklist for Staff Working from Home (Regular Instances for a Specified Period of

Time)

http://deccnet/safetyemergency/resources/WSDWorkFromHomeOHSChecklistLP02.doc



STAFF WORKING FROM HOME (REGULAR INSTANCES FOR

A SPECIFIED PERIOD OF TIME)

�



ALCOHOL AND OTHER DRUGS IN THE WORKPLACE POLICY ○M


Alcohol & Other Drugs in the Workplace

Introduction

1. DECCW is committed to providing a safe, healthy and productive workplace. Alcohol and other drug use in the workplace can potentially create a range of problems. Individuals adversely affected by alcohol or other drugs can cause injury to themselves and others, as well as not being able to effectively carry out the duties of their position.

2. Fellow employees of an adversely affected alcohol and/or other drug user are faced with an increased risk of accidents, disputes, and having to carry out additional duties to compensate for poor work performance.

3. Causes for excessive alcohol and other drug use include genetic factors, and

stressors such as unemployment, boredom, relationship and financial problems,

poor physical work conditions, lack of control over work, dangerous work

conditions, shift work as well as many others.

4. This policy has been developed in consultation with staff and management and

reinforces DECCW’s commitment to establishing and maintaining a safe, healthy

and productive workplace.

Objectives of the Policy

5. DECCW is concerned about factors which affect an individual’s ability to perform

tasks safely and productively. It is recognised that the use of alcohol and other

drugs can affect work performance and the safety of staff.. Alcohol and other

drug use can cause injuries on the job, increase absenteeism, and affect job

performance and morale within DECCW.

6. The objectives of the policy are to:

• maintain a safe and healthy work environment




• reduce the negative impact of alcohol and other drug use upon DECCW and to individuals

• address the workplace factors which contribute to harmful alcohol and other drug use

• link action on alcohol and other drug issues with other occupational health and safety initiatives

• provide DECCW staff access to information on alcohol and other drug use and to encourage those with problems to seek assistance

Policy Statement

7. DECCW is committed to providing a safe, healthy and productive workplace. All

employees have a responsibility not to be affected by alcohol or other drugs to

the extent that the effects impact on the safety or work performance of any

person, work group or the public. DECCW has a legal duty of care (section 8 of

the Occupational Health and Safety Act 2000) for its employees and will take

action to control the consumption of alcohol or other drugs which compromises

workplace safety.

Definitions

8. Alcohol and other drugs: In this document the term alcohol and other drugs

includes alcohol, alcohol based products, illegal drugs, and medically prescribed

and non-prescribed substances, which can deprive an individual of their normal

mental or physical faculties.

9. Workplace: For the purposes of this policy, workplace means any place where

paid work is performed, whilst on duty, and includes vehicles, off-site areas and

places of paid stand-down. A workplace does not include an individual’s home,

on-park residences where DECCW staff are not on duty.

Scope

10. This policy will apply to all employees of DECCW and all DECCW workplaces.




Employer Responsibility

11. DECCW recognises that it has a responsibility to provide a safe and healthy

working environment.

12. DECCW does not wish to restrict any individual’s right to enjoy social activities,

however when workplace safety or work performance is negatively impacted,

then action will be taken.

13. DECCW will provide an alcohol and other drugs in the workplace awareness

program to management and staff to promote the effective management at both

an organisational and personal level.

14. DECCW will provide to any affected employee, or immediate family member, a

confidential alcohol and other drug counselling service via the Employee

Assistance Program.

15. Monitoring of Alcohol and Other Drugs Policy Implementation

DECCW will implement a monitoring program, which may include employee

alcohol and/or other drug testing at a DECCW workplace during working hours

to ensure this policy is being implemented effectively

16. Self Testing

DECCW will provide in the workplace equipment to enable employees to test

their own blood alcohol levels to promote self awareness of alcohol and its effect

on individuals.

17. In the interest of occupational health and safety, action will be taken when:




• an individual is, through the consumption of alcohol or other drugs, in such a state as to endanger their own safety or the safety of any other person

• an individual consumes or uses alcohol or other drugs whilst working - refer paragraph 8

• an individual is found in possession of Illegal drugs on DECCW premises

• an individual’s work performance is affected

Supervisor Responsibility

18. Supervisors must take all reasonable measures to ensure that employees

working under their supervision are not adversely affected by alcohol or other

drugs. Additionally, supervisors must take reasonable measures to ensure staff

under their control do not consume alcohol or Illegal drugs whilst on duty, in

uniform and on duty or whilst in a DECCW workplace, and on duty.

19. Reasonable measures include raising employee awareness of DECCW’s

Alcohol and other Drugs Policy, monitoring employees in the workplace, and

taking appropriate action when an employee is adversely affected by alcohol or

other drugs.

20. Supervisors must ensure that the provisions of the Alcohol & Other Drugs Policy

are implemented in their workplace.

Employee Responsibility

21. Except for the provisions included in 39, employees must not consume alcohol

or Illegal drugs:

a) Whist on duty (not including approved breaks e.g. lunch),

b) Whilst in a DECCW workplace and on duty (not including off-duty visitation to

DECCW parks and reserves or,

c) Whist in a DECCW uniform and on duty (i.e. PWD, BGT etc).




22. Employees have a responsibility to be fit for duty and to meet established

standards for safety and job performance.

23. Employees must not be adversely affected by alcohol or drug use during working

hours and must at all times carry out their duties and responsibilities in a safe

manner. Adverse affects include delayed after affects such as hangovers and

related fatigue.

24. Employees who consume or use alcohol or drugs to excess are in breach of

discipline under Part 2.7 of the Public Sector Employment and Management Act

2002.

25. Employees required to operate vehicles must comply with the relevant blood

alcohol limits for that vehicle as prescribed by the Roads and Traffic Authority,

regardless of whether they are operating on public roads. The current blood

alcohol limits are:

• heavy vehicles: less than 0.02%;

• all other vehicles: less than 0.05%

26. Additionally, employees working under the following conditions must have a

blood alcohol of less than 0.02%:

1. fire operations (including hazard reduction burns) 2. incident conditions, e.g. marine mammal rescue, search and rescue, Hazmat

response 3. operating heavy plant and equipment e.g. tractors, cranes, loaders, forklifts 4. other safety critical work as identified in safety procedures and job safety

analysis e.g. height work, chainsaw operation, designated emergency response function such as first aid officer or fire warden, remote and isolated work

5. regulation/law enforcement activities.

29. Employees who are adversely affected by alcohol or other drugs at work are in

breach of section 20 of the Occupational Health & Safety Act 2000.




30. People taking any prescription medication should ensure that their treating

doctor has full knowledge of their job requirements, and must advise their

supervisor if work performance or safety is likely to be affected to ensure

measures are taken to minimise the risk (refer to Job Demands and Health

Requirements under OHS Guidelines on DECCWnet).

31. Employees who have concerns about working with any other employee due to

possible alcohol or other drug use should consult with their supervisor.

Employee Assistance Program (EAP)

32. The EAP is a confidential counselling service available to all DECCW employees

and their immediate families at no cost.

33. Access to the service can be through either self referral, supervisor referral or

via a relevant employee representative.

34. Paid special leave up to a maximum of three days per year can be taken to

attend counselling.

35. Further information on the EAP can be found in the NPWS booklet - Employee

Assistance Program, available from Human Resource Management Unit.

Procedures

General

36. The same procedure for dealing with employees who may be affected by either

alcohol or other drugs is to be followed, even though different substances may

be involved. The reason for this is that managers are not qualified to make

medical diagnoses, and work safety and performance is the main focus. What




people do outside of work is not, in itself, the concern of DECCW. However, it is

a legitimate concern of DECCW if alcohol or other drugs affect a person’s work

performance or behaviour at work.

37. Alcohol will not be consumed during working hours or in the workplace unless in

accordance with section 39.

38. The consumption of Illegal drugs is illegal and where this occurs in a DECCW

workplace DECCW has a responsibility to report the matter to the police.




Workplace & Work Related Functions

39. The manager of the workplace must approve any provision or consumption of

alcohol in the workplace – such as for workplace functions. The definition of

manager of the work area is limited to Groups A, B, C, D, E & F of the HRM

Delegations Manual. The delegated manager must ensure the principles of the

Responsible Service of Alcohol are maintained as follows:

• No person who appears intoxicated shall be provided alcohol (refer to Observable Indicators of Impairment Checklist )

• Non-alcoholic beverages must be provided such as water and soft drinks

40. It is up to each individual to ensure that the consumption of alcohol is kept to a

small amount and that appropriate standards of behaviour are maintained.

Managing Employees Acutely Adversely Affected by Alcohol or Other

Drugs

41. Where an individual is acutely adversely affected by alcohol or other drugs at

work, including intoxication and hangovers, consideration must be given to the

safety of the individual and of others.

42. The supervisor does not have to guess how much has been drunk, what the

blood alcohol level is, or what drugs have been taken. The decision to take

action is based purely on considerations of safety, work performance and legal

requirements.

43. The following procedures must be followed when an employee is intoxicated at

work:

a. The individual’s supervisor should discreetly advise them that they are unsafe or that their performance is not up to standard. Refer to the DECCW Managing Alcohol and Other Drugs in the Workplace Guideline including the Preliminary Impairment Assessment Checklist.

b. The affected individual is given an opportunity to explain the observed behaviour or conditions. Mitigating factors may include:

• Fatigue

• Chemical exposure

• Heat and related heat stress




• Noise

• Stress

• Medical condition

• Poorly managed medication intake c. Where the mitigating factors identified do reasonably explain the observed

behaviours and a genuine safety concern remains, the supervisor should modify the duties undertaken to ensure workplace safety. This may include sending the employee home on sick leave and referring the employee for appropriate treatment.

d. Where the mitigating factors identified do not adequately explain their behaviour the affected individual is to be advised by the supervisor to cease work and that they shall not recommence work for at least ten hours, or when the next normal workday commences, whichever is greater

e. Suitable transport home is to be arranged at the cost of DECCW

f. The supervisor shall advise the affected individual that the matter will be discussed further when they return to work

g. The supervisor is to report the incident as an Accident/Near Miss as per the OHS Risk Management System

h. Failure of the affected individual to follow the supervisor’s direction constitutes a breach of the Public Sector Employment Act 2002 and may lead to disciplinary action.

Employees Required to Cease Duty at Incidents

44. If an employee on incident duties is required to cease duty due to the adverse

affects of alcohol or other drugs (as per 43. above) the employee will cease duty

on the incident and the incident controller shall refer the matter to the

employee’s substantive manager for follow-up action.

Procedures Following Return to Work

45. On return to work, an interview will be held between the employee and their

supervisor. The employee should be informed that they may have a union

representative present if desired. The following should be discussed at the

interview:

• Details of unsatisfactory conduct or work performance

• The standard of conduct or performance required

• Legal obligations of both the employee and the employer

• Any workplace factors contributing to poor conduct or work performance

• Offer of the EAP counselling service




• Where appropriate, the establishment of a return to work plan as per the DECCW Workplace Injury and Illness Program

46. An agreement should be reached about the time it will take for the employee to

return to satisfactory performance.

47. If, in reviewing the performance, it is found that the employee has regained

satisfactory performance, there is no need to go any further.

48. If performance continues to be affected, the normal disciplinary process will be

followed.

Illegal Drugs

49. Illegal drugs (e.g. marijuana, amphetamines and heroin) are not permitted in

DECCW workplaces or to be used during working hours under any

circumstances. An individual found in the possession of Illegal drugs will face

disciplinary action which may include police involvement.

50. Sale, transfer or manufacture of Illegal substances in the workplace will result in

disciplinary action which may involve dismissal. This includes the distribution of

prescription drugs.




Drug and Alcohol Rehabilitation

51. DECCW’s EAP program is available to assist in the initiation of a rehabilitation

program, however the individual is free to utilise a suitable health professional of

their choice.

52. A Return to Work Plan may be required where workplace modifications or a

staged return to work is required as part of the rehabilitation program.

53. All information will be treated in strict confidence.

54. Staff who participate in a program of rehabilitation may use existing sick leave or,

if it is appropriate, some leave without pay may be granted.

Further Information

• DECCW Code of Conduct

• DECCW has developed a support document titled A Guide to Managing Alcohol and Other Drugs in the Workplace. To obtain a copy refer to DECCWnet OHS

• Work-Related Alcohol and Drug Use – A Fit for Work Issue, Australian Safety and Compensation Council Report, 2007 www.ascc.gov.au

• For further advice, contact OH&S Section on 9585 6341.


ALCOHOL AND DRUGS IN THE WORKPLACE POLICY ○M


Observable Indicators of Impairment Checklist

Assessment of a person is to be made in accordance with this list of observable indicators in

the context of changes to a person’s behaviour.

At least 1 of the physical indicators must be satisfied by the supervisor for reasonable belief

of impairment to be considered.

Emotional effects (the second part of the checklist) should not be used as indicators of

reasonable belief of impairment but may be recorded as additional information.

Physical Indicator Observed

StStStStrong smell of alcohol on the breathrong smell of alcohol on the breathrong smell of alcohol on the breathrong smell of alcohol on the breath

Slurred, incoherent or disjointed speech

Unsteadiness on the feet

Poor coordination/muscle control

Drowsiness/sluggishness; sleeping on the job or during work

breaks

Inability to follow simple instructions; confusion

Nausea/vomiting

Reddened or bloodshot eyes

Jaw clenching

Sweating/hot and cold flushes

Emotion Effects (Not a basis for reasonable suspicion)

Decrease or loss of inhibitions


ALCOHOL AND DRUGS IN THE WORKPLACE POLICY ○M


Aggressive or argumentative behaviour

Intense mood swings (sad, happy angry)

Quiet and reflective

Talkative

Increased confidence

Appearance or behaviour is ‘out of character’

Name of observed staff member:

Supervisor:

Date:


EMPLOYEE ASSISTANCE PROGRAM �


Employee Assistance Program

Employee Assistance Programs (EAPs) are confidential, effective, early intervention programs

operating in the workplace. These programs address work-related and personal issues which

may affect productivity and safety. EAPs assist employees and where appropriate their

supervisors, family and peers to resolve personal or work related problems.

EAPs offer assistance with problems such as:

Family problems

Work related stress

Interpersonal conflict

Legal difficulties

Grief and loss

Relationship difficulties

Alcohol and other drug use

Work related problems

Career issues

Emotional stress or trauma

100% Confidentiality Assured

An EAP offers professional support and advice for all kinds of problems.

To make an appointment all you need to do is call and arrange a time that suits you.

Services are provided by registered and qualified Psychologists who have been specially

trained to assist working people. The EAP is available to you and your immediate family at no

cost.

Support and Advice

Your EAP offers support & advice or 'counselling'. Counselling is where one person attempts

to help another either cope with or change troublesome behaviour, feelings and aspects of

personality.

A professional EAP counsellor will help you make safe decisions about the goals and course of


EMPLOYEE ASSISTANCE PROGRAM �


treatment relative to seriousness of problems.

All the services for your EAP is provided by registered and qualified professionals. The

counselling is short term and effective. It is also totally confidential.

The EAP also offer a manager consult service which is available to support

managers with questions about how to manage staff.

Contact details

General counselling services

Phone: 1300 366 789

Trauma/critical incident stress debriefing/emergency

Phone: 1800 451 138 (24 hours)

If you are unable to keep your appointment please notify the IPS booking office on 1300 366

789 ASAP

Manager help line

Phone: 1800 451 138

Complaints/concerns about IPS service:

John Tutty

Phone: (02) 9221 1166

[email protected]

General contact

IPS Employee Assistance

Level 3, 85 Castlereagh St, Sydney NSW 2000, AUSTRALIA

Phone: (02) 9221 1166

[email protected]

DECCW EAP Coordinator:

Manager OHS Unit

Tel: 02 9585 6341

Mob: 0418 698 920

Fax: 02 9585 6352


EXIT PROCEDURES ○M


Once an employee advises their immediate supervisor of their intention to leave the CMA there are

a number of steps that must be taken prior to the staff member’s last day of duty. Essentially there

are three reasons for conducting an exit procedure:

1. Facilitate final entitlements for the individual staff member

2. Effectively transfer work activities, information/knowledge and equipment

3. Receive feedback from the staff member about what it is like working in the CMA

Facilitate final entitlements

Provide the employee with the Termination Checklist. This must be forwarded to ServiceFirst on the

staff members last day of duty

Advise Business Manager, General Manager and/or CMA Chair of resignation (as appropriate)

Provide signed copy of the staff member’s written resignation / retirement / termination to

ServiceFirst

Effectively transfer work activities, information/knowledge and equipment

Even though a staff member is leaving it is still important to conduct a review of the individuals

Work and Development Plan. This allows the opportunity for work and projects to be handed over

and also for the supervisor to give constructive feedback to the individual. This meeting should be

conducted in the week prior to the nominated last day of duty.

In advance of this meeting arrange for the departing staff member to:

• Prepare a written summary of the status of projects they are involved with, and identify

areas that need attention and/or remedial action

• Prepare written information on the next steps for projects they are involved with (if

different from the steps already identified in a project plan

Following the meeting the staff member should be asked to contact key stakeholders to inform them

that they are leaving, and advise them of the new contact/s

The supervisor will need to:

• Review the status summaries of each project and pass relevant information on to the Project

Sponsor

• Review the next steps for each project and reallocate urgent tasks and ensure that

information regarding each project is organised and accessible




It will be important to start thinking about a review of the position to determine ongoing need – if a

decision is made to retain the position, consider whether the duties and/or location of the position

should be changed, as well an appropriate process to fill the position

Following this review either action to amend the position should commence or alternatively action

to begin recruitment.

The Exit Interiew

Offer the employee an exit interview and arrange meeting time. The NSW Personnel Handbook

contains suggestions for conducting an Exit Interview. The following ideas are offered to stimulate a

constructive discussion. While these questions could be posed in a questionnaire, a face to face

meeting is preferred as it is more personal and offers opportunity for greater insight. In initiating this

meeting the manager is indicating their preparedness to openly and critically consider the feedback

received and if necessary use it to implement change in the workplace through appropriate

management strategies e.g. by reviewing work practices, conducting training/development.

What is your main reason for leaving?

Higher salary More interesting work

Better non-salary benefits Workplace culture and values

Career opportunities More convenient work location

Flexible work practices Temporary contract

Other (please specify):

Please comment on how satisfied you were with each of the following

OFFICE ENVIRONMENT

Physical layout

Parking facilities

Availability of equipment and resources

JOB ROLE

Opportunities for development and promotion




Nature and content of work

Work allocation and workload

Your ability to contribute to decisions affecting your

work

INTERPERSONAL RELATIONSHIPS

Relationship with immediate supervisor

Relationship with staff within the CMA

Relationship with staff within DECC and other agencies

TRAINING AND DEVELOPMENT

Induction (including initial training and development)

Training and development planning processes

Training and development opportunities

MANAGEMENT

Communication of CMA direction and policy

Feedback on your performance

Communication of decisions affecting you

WORKPLACE CULTURE

Does the workplace culture support all staff in reaching their full

potential?

Is the culture supportive of the needs of individual groups?

Does the culture respect individual difference?

Is the workplace free from harassment and bullying?

WORKING FOR THE CMA




Is the CMA a better organisation to work for than others you have been

employed by?

Would you recommend the CMA as an employer to your friends?

If circumstances permitted, would you consider returning to work for

the CMA?

If you could change anything about your role with the CMA, what would it be?

If you could change anything about the CMA, what would it be?

Do you have any other comments?


SERVICEFIRST EMPLOYEE TERMINATION CHECKLIST ○M



EXIT PROCEDURES CHECKLIST �



Timeframe*

Delegation /

Responsibility

Complete

Employee advises immediate supervisor of their intention to leave the CMA �

Provide employee with termination

paperwork (e.g. ServiceFirst Employee

Termination Checklist, etc.)

Within 24 hours CMA – Immediate

Supervisor �

Offer the employee an exit interview and

arrange meeting time


Supervisor �

Advise Business Manager, General

Manager and/or CMA Chair of resignation

(as appropriate)


Supervisor �

�

Provide signed copy of the staff

member’s written resignation /

retirement / termination to ServiceFirst

Within 1 week CMA – Business

Manager �

Undertake a review of the position to

determine ongoing need – if a decision is

made to retain the position, consider

whether the duties and/or location of the

position should be changed, as well an

appropriate process to fill the position

Within 10 days CMA – Business

Manager

�

Prepare appropriate paperwork regarding

the position (e.g. position description,

establishment variation request, EOI, job

advertisement, etc.)

RECRUITMENT ACTION COMMENCES –

REFER TO RECRUITMENT AND

SELECTION CHECKLIST

Within 10 days CMA – Business

Manager

�

Hold exit interview with staff member (if

appropriate)

1-2 days before

last day of duty

CMA – General

Manager �

�

Complete termination paperwork (i.e.

ServiceFirst Employee Termination

Checklist)

1-2 days before

last day of duty

Staff member

leaving the CMA �





Timeframe*

Delegation /

Responsibility

Complete

Hold handover meeting 1-2 days before

last day of duty

CMA – Immediate

Supervisor �

Review ServiceFirst Employee

Termination Checklist for completeness;

retain copy and forward to ServiceFirst

Staff member’s

last day of duty

CMA – Business

Manager �

Organise farewell (if appropriate)

Staff member’s

last day of duty

CMA – Immediate

Supervisor �

�

Arrange payment of final entitlements Staff member’s

last day of duty

ServiceFirst �

Take action to change security codes /

locks (if appropriate)

Within 1 day of

staff member’s

last day of duty

CMA – Business

Manager �

Take action to remove the staff member’s

access to the IT network

Within 1 day of

staff member’s

last day of duty

CMA – Business

Manager � � Review notes from exit interview and

take action to review and/or amend local

work practices

Within 1 week

of staff

member’s last

day of duty

CMA – Business

Manager �

* It should be noted that the above timeframes assume that the staff member provides two (2)

weeks notice regarding their intention to leave the CMA.




STAFF MEMBER TO COMPLETE:STAFF MEMBER TO COMPLETE:STAFF MEMBER TO COMPLETE:STAFF MEMBER TO COMPLETE:

Action Yes N/A

I have prepared a written summary of the status of projects I am

involved within, and have identified areas that need attention and/or

remedial action

� �

I have prepared written information on the next steps for projects I

am involved with (if different from the steps already identified in a

project plan

� �

I have contacted key stakeholders to inform them that I am leaving,

and have advised them of the contact details should they have

further inquiries

� �

I have copied any personal electronic data from the network and/or

local PC; this data has since been deleted � �

SUPERVISOR TO COMPLETE:SUPERVISOR TO COMPLETE:SUPERVISOR TO COMPLETE:SUPERVISOR TO COMPLETE:

Action Yes N/A

I have reviewed the status summaries of each project and passed

relevant information on to the Project Sponsor � �

I have reviewed the next steps for each project and have reallocated

urgent tasks � �

I have ensured information regarding each project is organised and

accessible � �


SAMPLE INTELLECTUAL PROPERTY POLICY �


1. Introduction

This document establishes Catchment Management Authorities’ (CMA’s) policy with respect to the

effective management of Intellectual Policy (IP). This document establishes a framework for

managing the IP created or used by CMA staff and contractors.

The IP management framework established by this policy is primarily based on the following factors:

� the NSW Government’s Intellectual Property Management Framework for the NSW Public

Sector (see below)

� Commonwealth legislation and common law (primarily the Copyright Act 1968)

� The institutional needs, obligations, perspectives, ethical considerations and other values

that CMAs wish to express

The areas of IP addressed in this policy include those covered under Commonwealth legislation and

the common law that are created (or have he potential to be created) and/or used by CMAs.

Specific IP areas addressed are copyright, trademarks, databases and IT software.

2. Policy Statement

In alignment with its objectives, CMAs disseminate the natural resource management information

and expertise they create as widely and freely as possible throughout NSW.

As a result, CMAs have not sought to commercialise and unnecessarily restrict access to most of the

IP it possesses.

CMAs do act to protect their reputation and prevent the misuse of any IP they create. Accordingly,

CMAs do claim copyright on all their publications and website material and may place restrictions of

the use of certain categories of information.

CMAs respect the IP rights owned by other others and act in accordance with licences and consents

for the use of such information.

3. NSW Government Requirements

The NSW Government requires all state government agencies to develop and implement a range of

Intellectual Property (IP) management practices that reflect ‘best practice” requirements, as

described within the Premier and Cabinet Department publication – Intellectual Property

Management Framework for the NSW Public Sector.

The Premier’s and Cabinet Department document establishes a number of Intellectual Property

principles to assist agencies to manage their IP effectively and responsibility.




These management principles cover the following areas:

� Policy and strategy – Agencies are to develop an IP policy based on the NSW Framework

that supports its core functions and service delivery outcomes. Agencies are to develop an

implementation strategy for their policy

� Creation and rights – That staff are aware of legal obligations in regard to the IP rights of all

parties, including moral rights. That there is clarity of ownership of all IP rights created

� Identification and recording – Mechanisms are in place to identify and record significant IP

� Publication – Policies and procedures are in place to manage publications and websites

� Commercialisation – Decisions to commercialise IP should be made on the basis of

maximising benefit to the people of NSW. Commercialisation decisions are to be made on

the basis of appropriate legal, financial and commercial IP advice

� Reporting – Information on the management of IP is to be provided on a timely manner by

agencies to their Executive, Board of management and any other appropriate stakeholders

All these requirements have been taken into account in the development of CMA’s IP Policy.

This IP Policy is based on establishing a broad and generic approach to the effective management of

the key IP categories. It does not focus closely on current specific items of IP material held or used

by CMAs. This approach will ensure that this document will remain relevant and current in the

future. It is the responsibility of management to identify their significant IP holdings and to manage

them in accordance with this policy.

4. Risk Management Approach

This IP policy and management framework is based on a risk management approach, with a view to

reducing identified risks to an acceptable level.

The main identified risks are:

� Misappropriation of IP owned or in the legal custody of CMAs

� Potential infringement of IP rights belonging to CMAs or third parties

� Loss of opportunity (potential revenue or status associated with attribution)

The main principle is that management systems and controls are commensurate to the risks involved.

Effective systems and controls, to minimise risks focus on:

� Identification of significant IP

� Recording (and registering when necessary) IP

� Monitoring the access, use and evolving status of IP

� Controlling key issues such as contractual commitments regarding IP




5. Scope of Application

This policy applies to all CMA staff and contractors engaged to perform services for CMAs.

This policy addresses both the ownership and use of IP at CMAs. This is considered from two

different perspectives: where the IP is developed and owned by a CMA and where the IP is created

by (or with) a third party.

6. What is intellectual property?

In general terms, IP is a generic term for the various rights which the law accords for the protection

of creative effort, by way of preventing others from using original ideas.

IP is protected by various Commonwealth statutes (listed below) and also at common law.

IP Type Governing Legislation

Copyright Copyright Act 1968

Trade Marks Trade Marks Act 1995

Patents Patents Act 1990

Designs Designs Act 2003

New Plant Varieties Plant Breeders Rights Act 1994

Circuit Layouts Circuit layouts Act 1989

The types of IP are briefly described below:

Copyright – protects the expression of ideas or information in any material form. Any work or object

created by people is automatically copyright. There is no process for registration, and copyright

arises without any formal steps being taken to claim it. Copyright protection gives the owner

exclusive rights, which may be licensed or assigned to others to copy, perform, communicate,

publish, or make an adaptation of their work.

Trade Marks – are signs which indicate that goods or services originate from a particular trader. A

trade mark can be registered and protected under the Trades Mark Act 1996. Trade marks are also

protected at common law.

Patents - are a right granted for any device, substance, method, or process, which is new, inventive,

and useful. A patent is legally enforceable and gives the owner the exclusive right to exploit the

invention commercially for the life of the patent. Patents are not granted automatically but must be

applied for.




Designs - comprises the visual features of shape, configuration, pattern, or ornamentation for the

visual presentation of commercial products that give an article its unique appearance. The Designs

Act 2003 establishes a system for the registration of new designs to prevent copying by others.

Circuit layout rights – protect original layout designs for integrated circuits and computer chips.

Circuit layouts are usually highly complex and the intellectual effort in creating an original layout

may be considerable and of great value. The owner does not need to apply for registration.

Protection is provided by the Circuit Layout Act 1989.

Plant breeder’s rights – Plant Breeder’s Rights are exclusive commercial rights to a registered variety

of plant and are administered under the Plant Breeder’s Rights Act 1994.

Confidential information – A duty of confidentiality arises when:

� Information has the necessary quality of confidence (or confidentiality)

� Information was imparted in circumstances importing an obligation of confidence; and

� An unauthorised use of the information would be detrimental to the source of the

information

Not all confidential information is IP, but IP may be treated as confidential information in order to

protect it. There are common law remedies for breaches of confidentiality.

7. IP within Catchment Management Authorities

The most significant categories of IP material either currently owned or used by CMAs are:

Publications:

� Research reports and papers produced for publication

� Photographs and other images

Trademarks:

� Catchment Management Authority logos

Databases (and information held on databases)

IT Software

� Various major multi-user sub-licensed software packages (e.g. Microsoft)

� Other software obtained via direct licensing agreements with IP rights owners

� Software created by employees, contractors or in collaborative projects with other agencies.




Confidential Information (may include trade secrets and other IP)

� Information provided by grant applicants

8. Significant IP

IP exists in most forms of information and images. In the majority of circumstances, IP is not

particularly significant or valuable and does not require any protections regarding its accessibility

and use. In accordance with a risk focussed approach, CMA’s IP policy focuses on the management

of ‘significant IP’ only.

Significant IP is defined as material which:

� Contributes to critical CMA functions

� Has a high public benefit

� Reflects on the reputation of CMAs

� Has been provided in confidence or conditionally by other parties

� Has a commercial value; or

� Is designated as such by the Board or General Manager

9. Creation and Rights

Creation of IP by CMA employees

In accordance with common law and section 35(6) of the Copyright Act 1968, IP created by CMA

employees, in the course of their employment, is owned by the CMA, unless there is an agreement

in place between the CMA and employee to the contrary.

Creation of IP by Contractors engaged by CMAs

Relationships with contractors are governed by contractual agreements. CMAs have a standard

clause for inclusion in contracts whereby the contractors warrant that CINSW will own all intellectual

property rights, including copyright and other protected rights in respect of all materials produced in

accordance with the contract.

The approval of the Board must be obtained prior to entering any contractual arrangements, with

contractors, that do not include CMA’s exclusive ownership of IP rights.

Collaborative Projects or Partnerships

Agreements will be negotiated with project partners, regarding the ownership of significant IP

arising from the partnership, prior to the commencement of the project.




IP Rights belonging to other parties

In many circumstances, CMAs use IP material, copyright or otherwise, that belongs to other parties.

More significant IP is obtained under licences or consents which set out the conditions for access

and use. CMAs have controls in place to ensure that they comply with those conditions. CMAs

agreements with contractors require that they will not infringe any intellectual property rights

belonging to other parties

10. Identification and Recording

CMAs have established IP Registers for the recording of all significant IP materials. The Register is

managed by the Business Manager (who is the designated IP Coordinator).

All managers are responsible for identifying all significant IP held within their areas. Information

concerning significant IP holdings is recording on IP Datasheets and is delivered to the Business

Manager for entering on the IP Register. The IP Register is updated as new issues arise and is

regularly monitored to ensure that required actions occur at crucial dates.

11. Publishing

CMAs claim copyright on all their publications including website content. All publications have

appropriate copyright notices and statements that explain the limits on usage by external parties.

CMAs determine whether they will acknowledge authorship on its publications. This applies to

employees, contractors and other parties who collaborated in the creation of the intellectual

property.

CMAs may agree to assign its ownership of copyright in scientific and research papers and articles to

proprietors of external journals in exchange for agreement to publish. However, CMAs insist that

they retain attribution rights. The General Manager must approve all agreements to assign CMA

copyright material.

CMAs register all significant logos and designs that are used to brand and promote its objectives and

activities. CMAs will consider requests by external parties to use its logo in prescribed circumstances.

CMAs may use trade marks and logos, belonging to other parties, in accordance with agreements to

delivery various resource management programs. CMAs comply with all aspects of sub-licensing

agreements that specify the usages of those trademarks and logos.

12. Commercialisation

CMAs has not, to date, commercialised any of its IP material. However, they reserve the right to do

so. If circumstances arise whereby potential commercialisation of IP material may be in the best

interests of the people of NSW, then relevant considerations and decisions will be made on the basis

of appropriate legal, financial and commercial IP advice.




13. Reporting

The Business Manager will regularly consult with the General Manager to discuss the management

of IP issues within the CMA. In turn, the General Manager will present significant issues to the Board

for its consideration. Periodic IP management reports should be produced for consideration by the

Board.

Possible issues for inclusion in IP management reports are:

� New trademarks or patents

� Significant collaborative agreements with IP implications

� Trends and issues with IP access requests from external parties

� Newly emergent IP with commercialisation potential

� Proposed acquisition or alienation of significant IP (including licence agreements)

� New developments in IP law that may have an impact on CMAs; and

� Unauthorised infringement or exploitation of CMAs IP rights.

14. Aboriginal Heritage and Traditional Knowledge

Traditional knowledge is the knowledge held by Aboriginal people about landcare and the properties,

care and uses of plants, animals and minerals

IP law is not adequate and comprehensive enough to address all the issues in relation to indigenous

materials and traditional knowledge. CMAs primarily encounter this material and knowledge in the

implementation of their natural resource management initiatives. As such, CMAs’ prime concern is

to protect such material by properly identifying it and then restricting access or maintaining security.

Wherever possible, CMAs should seek agreement with traditional Aboriginal landholders or

custodians if projects may impact on Aboriginal heritage and traditional knowledge. CMAs should

also notify DECCW’s Cultural Heritage Division which exercises a statutory management role in

relation to these issues.

Of particular note, is CMAs’ contractual obligation with the Commonwealth Government for Caring

for Our Country projects which state that the parties will not disclose any culturally sensitive

traditional Aboriginal knowledge without the written informed consent of the appropriate Aboriginal

custodians and communities.

The law in relation to copyright, moral rights, performers rights may apply to Aboriginal artwork,

images and recordings and must be considered.

For more information see DECCW’s Operational Policy: Protecting Aboriginal Cultural Heritage at

http://environment.nsw.gov.au/resources/culturalheritage/09122ACHOpPolict.pdf .




15. Funding Agreements with the Commonwealth Government

CMAs are recipients of Commonwealth Government funding for a range of natural resource

management projects. The bilateral agreements for this funding set out the relative rights regarding

IP. These rights are usually:

� For activities undertaken by a proponent, the IP created in the project vests on its creation

with the proponent. However, the State will ensure that proponents grant to the

Commonwealth an irrevocable, royalty-free, world wide, non-exclusive licence (including the

right to sub-licence) to use, reproduce, adapt and exploit the program material.

� The State must ensure that the Commonwealth is provided with a copy of all program

material upon request.

� Ownership of IP in any pre-existing material owned by the Commonwealth, the State,

proponent or a third party is unaffected, unless otherwise agreed by the State, the

Commonwealth and any relevant third party.

� Unless otherwise agreed, assets required for program implementation and acquired the

funding, shall be the property of the proponent, provided that they are used to advance the

objectives of the program.

� To the extent that program material or pre-existing material comprises traditional Aboriginal

knowledge that is culturally sensitive to Aboriginal groups, the parties agree that they will

not disclose such material to persons or bodies outside the Commonwealth or the State

without the written informed consent of the appropriate Aboriginal custodians and

communities.

16. Agreements with Universities

Contractual agreements with universities provide an exceptional circumstance as they often seek to

obtain sole rights to any IP created in the course of a project, despite it being funded by a CMA or

third party. In these circumstances, standard DECCW contracts are the first option when entering

into an agreement with a university (see the deccnet link below). They reflect the principles in this

IP Policy. The principles in the policy and the DECCW IP framework are to be used as the basis when

entering into a third party agreement. This approach provides a capacity, when entering into

contacts with universities, for negotiating shared copyright if it is not to be used for commercial

purposes.

17. Further Information

DECCW’s IP Policy and Framework provides more detailed procedural guidance material. In

particular, it provides standard IP clauses for use in a range of contractual circumstances. It is

located at http://deccnet/governance/IPMFFramework.htm .


WHAT ROLES ARE ASSOCIATED WITH OBJECTIVE? �



SAMPLE FREEDOM OF INFORMATION POLICY AND

GUIDELINE

�


1. Introduction

The NSW Freedom of Information Act 1989 (FOI Act gives Australian residents the right to:

� Access documents held by the Government; and

� Request amendments to records of a personal nature that are incomplete, incorrect, out of date or

misleading

The FOI Act applies to documents that are not otherwise available to the public. People do not need to

apply under FOI if they are seeking publicly available information, such as publications or policy documents.

Policy documents are defined in the FOI Act. A list of policy documents should be published in the agency’s

Summary of Affairs every six months in the Government Gazette in accordance with the FOI Act.

A "document" is defined in the FOI Act as:

� Any paper or other material on which there is writing or in or on which there are marks, symbols or

perforations having a meaning; or

� Any disc, tape or other article from which sounds, images or messages are capable of being

reproduced

Email messages, information held in databases, maps and photographs are also documents that can be

produced under FOI requests.

People may also request amendments to inaccurate records about their personal affairs under the FOI Act,

although these applications are very rare.

2. Responsibilities

FOI Administrator

All FOI applications are processed by the FOI Administrator who is responsible for day to day FOI

administration, communicating with applicants and preparing correspondence. This position advises

applicants on the interpretation of the FOI Act and the CMA’s FOI processes.

Operational Units holding documents requested

If an FOI application or inquiry is received elsewhere in the CMA, the FOI Administrator should be notified

immediately and the application forwarded to them the first instance, for action.

If you receive a request for a copy of a document and you don't know whether it is publicly available or

whether an FOI application may be necessary, contact the FOI Officer for advice.

The identity of FOI applicants is protected, unless permission is given to let their identity be known.

Accordingly, please do not give details of an FOI application to anyone who is not involved in the processing

of the FOI application. (Refer to the NSW FOI Manual for more detailed advice).

FOI Determination Officer



GUIDELINE

�


The FOI Determination Officer determines all decisions required to be made under the provisions of the FOI

Act and signs all original decision letters.

FOI Internal Review Officer

The FOI Internal Review Officer reconsiders original FOI decisions, when applications for review received,

and determines to either endorse the original decision or to substitute a new decision.

3. How applications are made

Application forms and information about the FOI process can be obtained from the NSW FOI Manual. FOI

access applications must be accompanied by an application fee. Applications require the applicant’s

signature and, as a result, can only be accepted in a format that includes a signature. As well as letters, this

includes facsimiles and scanned letters.

4. Receipt of requests

When an FOI application is received, the FOI Administrator will take the following actions:

� Register the application the document management system and request a that a file by created

� Send an acknowledgement of receipt to the applicant (use FOI Form 1)

� Identify the location/s in the CMA where the documents are likely to be found

� Send a message, by email, to the relevant Manager(s) of the areas concerned advising of the scope

of the FOI application (use the actual words provided by the applicant plus any additional clarifying

explanation if necessary), and the date by which the documents must be provided to the FOI

Administrator

5. Collection of relevant documents – Advice for Operational Areas

A formal request will be e-mailed by the FOI Administrator to the Manager(s) and other officers identified

as responsible for the documents that are the subject of the application. It is the responsibility of the

relevant staff to identify every document that is within the scope of the application, and to provide good

photocopies of those documents to the FOI Administrator by the due date. If you believe that further

documents are held in other areas of the agency, you must immediately alert the FOI Administrator

As the documents will need to be assessed and considered against the exemption criteria of the FOI Act

before the determination is made, they need to be identified and supplied to the FOI Administrator within

5 working days.

Key points to note:

� The terms of the application should be read carefully. Do not send documents that are outside the

scope of the application

� Only the category of documents covered by the request should be provided. For example, if an

applicant seeks access to ‘reports’, then memos and correspondence should not be sent



GUIDELINE

�


� Whole files should not be sent to the FOI Administrator unless this approach is first discussed with

that officer

� Flag documents for any contentious issues that the FOI Administrator should be aware of

6. Scope of applications

It is important to initially obtain a common understanding as to what the applicant is seeking in terms of

information. This will prevent subsequent problems and minimise possible processing time and resources.

The results of these communications should be documented and placed on file.

FOI applications are not always clear in defining the documents sought or may be larger than it is

reasonable to process. In this case, the FOI Administrator can ask for a clarification or refinement of the

scope of the application.

If staff in areas holding relevant documents believe it would be an unreasonable and substantial diversion

of the agency’s resources or it would otherwise involve a lot of work to process an application, they should

advise the FOI Administrator immediately.

7. Handling Large Applications

The CMA has the right to refuse to process very large applications, but it must first attempt to negotiate

with the FOI applicant to reduce the application to a reasonable size. (see Section 25 of the FOI Act).

For example an application for ‘all documents about revegetation’, is clearly too broad and it would be

unreasonable to expect the CMA to attempt to process it.

It is also important to explain to applicants the cost implications of processing large applications. Applicants

may be unaware that their application may cost hundreds of dollars or more in processing fees. This usually

acts as an incentive for applicants to agree to renegotiate the scope of applications. Use FOI Form 2 to

request applicant’s to review the terms of their applications.

8. Use of Advance Deposits

If it is anticipated that a large application will take more than 8 hours processing time, an advance deposit,

based on 50% of estimated processing time, should be requested prior to commencing to process the

application. This will minimise the potential problem of applicants failing to pay processing fees and collect

documents after they are notified of processing costs. It may also encourage applicants to refine their

applications to reduce their scope. Use FOI Form 3 to request an advance deposit.

The statutory processing time limit is suspended from the time an advance deposit is requested until

payment is received.



GUIDELINE

�


9. Scheduling Documents

The FOI Administrator should:

� Check all the photocopied documents received from operational units and decide whether they are

within the scope of the FOI application (if there is any uncertainty, then those documents should be

set aside for the FOI Determination Officer’s assessment)

� All photocopied documents ‘within scope’ should be allocated a number which is noted in pencil on

the top right hand corner of each document

� All the documents are then listed on the Schedule created for each application (FOI Form 4)

� The documents are then bundled in number order with the Schedule on top as a cover sheet

� The documents and the FOI application file are forwarded to the FOI Determination Officer.

10. Consultation with third parties

The FOI Act requires certain steps to be taken in determining an FOI application. It is important that these

steps be followed in order not to compromise the CMA’s compliance with the provisions of the legislation.

Where documents concern the personal or business affairs of a third party, intergovernmental affairs, or

the conduct of research, the FOI Administrator will arrange formal consultation with the third party to

provide the opportunity for them to comment on the release of documents.

The FOI Administrator will correspond with the third parties by using the third party consultation letter pro

forma plus the attachments explaining the rights of third parties and exemption clauses they may wish to

consider (FOI Form 5). Copies of the documents containing the information about the third parties will be

attached to the letter.

Third parties should not be contacted regarding FOI applications by officers other than the FOI

Administrator of the FOI Determining Officer; otherwise the statutory process may be compromised.

11. Timeframes

Timeframes for dealing with FOI applications are set by the FOI Act and not negotiable:

� 21 calendar days from date of receipt of an application, or

� 35 days if third party consultation is required)

A high priority must be placed on timely responses to requests for documents.

Staff must advise the FOI Administrator of the time taken in retrieving and copying the documents, so that

the FOI charges can be calculated. (Note: time taken to locate lost files or to conduct a managerial review

of the documents should not be included). If a file is to be retrieved from State Records, please advise the

FOI Administrator.



GUIDELINE

�


12. Sensitive applications

Sensitive applications are received from Members of the Opposition, media or key community

organizations/members. The subject matter of an application may also render an application sensitive.

Section 59A of the FOI Act states that a document cannot be exempted from release simply because that:

� Disclosure could cause embarrassment to the Government

� Loss of confidence in the Government, or

� The information would be misunderstood or misinterpreted by an applicant

Under no circumstances should documents considered sensitive or potentially embarrassing be excluded

from those provided to the FOI Administrator. Nor should they be removed from the file. Such documents

should be promptly identified to the FOI Administrator to assist in assessing their FOI status and to enable

preparation of appropriate briefings if access is granted.

When sensitive applications are received, the FOI Administrator should advise the FOI Determining Officer.

The FOI Determining Officer will decide whether a briefing should be prepared and forwarded to the

General Manager and the Minister’s Office.

13. Determination of applications

The FOI Act makes a presumption that documents held by an agency should be released when requested,

but acknowledges that some classes of document held by agencies should not be released. These include

documents prepared for Cabinet consideration, documents that attract legal professional privilege,

documents affecting the commercial interests of third parties, documents containing confidential

information and several other types of document.

Determining the status of documents requested under the FOI Act is the most difficult and complex issue

associated with FOI administration. Essentially, the FOI Determining Officer will have to decide whether

every document should be either be:

� ‘Released’ or

� ‘Exempted from release’.

Documents should only be exempted from release after careful consideration and the setting out of

supportable reasons for such a decision.

The possible reasons for exempting documents for release are set out in the Clauses contained in Schedule

1 to the FOI Act. The bulk of the NSW FOI Manual is devoted to the interpretation and application of those

Clauses and associated legal precedents. The FOI Determining Officer should have regard to the Manual

when necessary. In most cases, with the assistance of the guidance material contained in the NSW FOI

Manual, the CMA will be capable of determining the FOI status of documents. If there are any doubts or

concerns, external expert advice should be sought.



GUIDELINE

�


In practice, the exemption Clauses that the CMA will be most likely to consider, given the nature of its

business and the documents it possesses, relate to:

� Cabinet –in –Confidence (Clause 1)

� Personal Affairs (Clause 6)

� Business Affairs (Clause 7)

� Conduct of Research (Clause 8) and

� Confidential Information (Clause 13)

The FOI Determining Officer:

� Composes and signs FOI decision letters (by using FOI Form 6)

� The FOI file and signed letter is returned to the FOI Administrator who completes record

management system details, despatches the letter and notes the despatch date on the FOI Register

FOI Fees and Charges

The following current FOI fees are set by the Freedom of Information (Fees and Charges) Order 1989:

� $30 application fee

� $30 per hour processing fee

� $40 internal review request fee

Applications to records by natural persons about their personal affairs only attract processing fees after the

first 20 hours.

To ensure that the CMA receives the FOI fees it is entitled to, the following administrative procedures

should apply:

� No FOI processing work should commence until the $30 application fee is received

� All processing fees should be paid prior to documents being released

� If processing fees are estimated to be relatively large, for example in excess of $150, then

applicants should be informed prior to any processing commencing, i.e. applicants may then elect

to withdraw or reduce the scope of their applications and

� If processing fees are estimated to be relatively large, for example in excess of $250, and the CMA

has some concerns as to whether payment will be made, then it can request an advance deposit of

a proportion of the fees, i.e. 50% is recommended.

Fees are subject to 50% discounts in the following circumstances:

� Financial hardship (usually evidenced by possession of a pensioner health benefit card)

� If the application is in the public interest (usually lodged by public interest groups or other non-

profit organisations).



GUIDELINE

�


Accurate and detailed records of FOI processing hours should be kept on file to justify fee calculations.

Goods and Services Tax (GST) does not apply to FOI fees and charges (see Premiers Circular C2005-08).

14. Internal review

If an applicant or third party to an FOI application is dissatisfied with a decision, they may apply for an

internal review of that decision. Applications for internal review must be lodged by the applicant within 28

days from the time they receive the original decision letter.

There is a statutory 14-day time limit for conducting internal reviews. Internal reviews are conducted by the

Internal Review Officer who has had no involvement in the original decision. Forward all applications for

internal review received immediately to the FOI Administrator.

Since internal reviews can involve consideration of complex issues and/or large numbers of documents, any

request for assistance or information from the Internal Review Officer, or the FOI Administrator acting on

their behalf, should be given a high priority.

15. External review

A party to an application who is dissatisfied with an internal review decision may apply for an external

review of the decision, either by making a complaint to the Ombudsman or by lodging an appeal with the

NSW Administrative Decisions Tribunal (ADT). If this occurs the Ombudsman staff or the ADT will notify the

FOI Administration Officer and set out what they require and what their processes are.

16. Reporting on FOI

Statement of Affairs

Section 14(1)(a) of the FOI Act requires that agencies must publish an up-to-date Statement of Affairs every

12 months. A Statement of Affairs is a simple summary of an agency’s role and responsibilities. It must

include a description of:

� The agency’s structure and functions

� The way its functions affect the public

� How the public may participate in agency policy development

� The kinds of documents the agency holds

� How members of the public may access and amend agency documents

Most agencies publish this statement in their Annual Report, usually with their FOI application processing

summary section. Such a statement can refer to other sections of the Annual Report to satisfy this

requirement.

Summary of Affairs



GUIDELINE

�


Section 14(1)(b) of the FOI Act requires agencies to publish an up-to-date Summary of Affairs in a special

Government Gazette every June and December. A Summary of Affairs includes:

� A list of all policy documents (explained at paragraph 2.8.1 of the NSW FOI Manual)

� The most recent Statement of Affairs

� Contact arrangements for obtaining access to the agency’s documents

In recent years many agencies have been questioning the continued relevance of FOI Statement of Affairs

and Summary of Affairs reporting requirements, in light of the emergence of public agency websites

providing an array of information and transparency of activities. However, the statutory requirement to

publish the statements remains.

Annual Report

Section 68 of the FOI Act requires that agencies must report to Parliament annually about their FOI

application processing activities. This is done by including an FOI section in agencies’ Annual Reports.

The NSW FOI Manual sets out the complex statistical format for reporting FOI processing. This may be

modified if the CMA does not receive significant numbers of FOI applications.

The FOI Administrator should prepare a general statement, for inclusion to the Annual report, about FOI

processing activities and issues during the financial year. The following statistical information should also

be included:

� Number of applications received

� Number of applications processed:

• Number of applications released in full

• Number of applications where exemptions to release applied

� Number of internal reviews:

• Original decision maintained

• Original decision changed

• Total processing fees


FOI Form 1 – Acknowledgement

Address

Date

Dear ………….

I am writing to confirm that the …….Catchment Management Authority NSW received your request, in

accordance with the terms of the Freedom of Information Act 1989, for access to documents. Your request

was received on (insert Date of receipt).

You applied for (insert actual wording used by the applicant).

Your application has been allocated the following reference number (insert FOI reference number). Please

quote this reference number if you need to contact us.

The …………Catchment Management Authority will endeavour to process your application within the

required 28 day timeframe. We will contact you if any circumstances arise that may affect processing times.

If you have any questions about the FOI process, please contact me on (insert phone number).

Yours sincerely


FOI Form 2 – Refine Scope of Application

Date

Dear

I refer to your application under the Freedom of Information Act 1989 (FOI Act) received by ……….

Catchment Management Authority on […].

Unfortunately, your application cannot be processed as it is currently framed.

[Amend as appropriate] As discussed with you on […], it would involve a significant diversion of

the agency’s resources to process your application. [explain why]

Under section 25(1)(a1) of the FOI Act, the agency may refuse your request if the work involved in

processing your application would, if carried out, substantially and unreasonably divert the

agency’s resources away from their use by the agency.

However, section 25(5) of the FOI Act requires the agency to help you amend the application to

make it manageable. Some of the ways in which your application can be refined include:

• nominating specific documents, if known (e.g. report titled “…”)

• limiting the types of documents requested (“document” under the FOI Act includes anything

with writing or marks that have a meaning and includes letters, submissions, reports, emails,

maps etc)

• specifying a shorter period of time for which documents are sought

• restricting the documents to those retained by the […] Section of the agency [amend as

appropriate].

Restricting your request along these lines might meet your needs and also contain costs. Please

note that in addition to the $30 application fee, a $30 per hour processing fee is charged.

In order for this application to meet FOI deadlines, I will need your advice refining your request as

soon as possible. Work on your application will recommence once a manageable request is

received.

You are welcome to call me if you have any questions about the FOI process or require further

assistance in refining the request.

Yours sincerely

Address


FOI Form 3 – Advance Deposits

Date

Dear

I refer to your application under the Freedom of Information Act 1989 (FOI Act) received by ………Catchment

Management Authority on […].

A preliminary examination of our files indicates there is a [relatively] large volume of material that we need to

review to process your application. As a result, we estimate the processing time for your application to be

approximately [...] hours.

The hourly rate for processing applications is $30 (this is in addition to the application fee). Accordingly, the

cost of processing your application is likely to be in the order of $X. Please note this is a preliminary estimate

only. Let us know if you wish to be advised of ongoing expenditure. The estimate is calculated as follows:

Identify and retrieve files hours

Identify and copy the documents hours

Undertake third party consultation hours

Determine the application hours

Estimated total: hours ($ )

Under the FOI Act, an agency may ask an applicant to pay an advance deposit. Since the processing of your

application would involve a significant commitment of resources by the agency, please pay an advance deposit

of $X by […].

Please note that your application will not be processed until we receive the advance deposit. We will then

determine your application within X days. If we do not receive your advance deposit by […], we may close the

application.

If you anticipate any difficulty in paying the advance deposit by the due date, please contact me to discuss the

matter.

Yours sincerely

Address


FOI Form 4 – Schedule of Documents

FOI APPLICATION

SCHEDULE OF DOCUMENTS

Scope of request

Doc. No. Document Author Date Determination

1.

2.

3.

4.

5.

6.

7.

8.

9.


FOI Form 5 – Third Party Consultation

Date

Dear

The …….. Catchment Management Authority has received an application, under the Freedom of Information

Act 1989 (FOI Act), for access to documents relating to your personal/business (delete non-relevant) affairs.

The FOI Act provides a legal right of access to documents held by NSW government agencies. However, the

FOI Act does not allow access to all documents at all times. The agency may refuse access to a document if

it is exempt. Some of the exemptions concern documents that:

• affect a third party’s personal affairs (clause 6, Schedule 1 of the FOI Act);

• affect a third party’s business, professional, commercial or financial affairs (clause 7, Schedule 1 of the

FOI Act); or

• contain confidential material (clause 13, Schedule 1 of the FOI Act). (include other relevant exemption

clauses as appropriate)

Clauses 6, 7 and 13 are set out in the attached information sheets.

We are seeking your views to help the agency make the best decision possible about whether the

documents set out in the schedule below should be released [attach the schedule separately if there are

many documents].

Document Author Date

Please advise if you object to the document/s being released. If you object, you will need to explain how

and why the release of any or all of the document/s would have the effect described in the relevant

exemption. Please also explain why disclosure would, on balance, be contrary to the public interest,

where relevant. It would also help if you would advise whether deletion of sections of the document/s

would eliminate or substantially reduce your concerns.

While the CMA must take your views into account, we are required to make the final decision about

whether the document/s will be released. Please provide any objections by XXX 2008 (10 calendar days).

If a response is not received by then, the CMA must assume that you have no objection to the release of

the document/s.

Should a determination be made that is contrary to your advice, you have rights of review to the agency,

the NSW Ombudsman and the Administrative Decisions Tribunal. I will write to you if this is the case. The

applicant also has these review rights.

You are welcome to call me if you have any questions about the FOI process.

Yours sincerely

Address


Consultation and Documents affecting Personal Affairs

The purpose of this information sheet is to explain how and why people may be consulted and what their

rights are under the Freedom of Information Act 1989 (FOI Act).

You have received this because an application has been received by the ….. Catchment Management

Authority for documents which it believes may concern your personal affairs.

Your views are being sought to help the CMA to make the best decision possible about whether the

enclosed documents should be released.

What is the Freedom of Information Act?

The FOI Act provides a legally enforceable right of access to documents held by State government

“agencies”, e.g. departments, authorities and local councils. Similar legislation applies to Commonwealth

agencies.

The Act does not, however, allow access to all documents at all times. An agency may refuse access to a

document if it is exempt. One of the exemptions concerns documents affecting personal affairs.

What are the consultation requirements?

Where a request is received under the FOI Act for documents concerning the personal affairs of a third

party (i.e. someone other than the applicant), the CMA is required to take reasonable steps to consult with

the third party to obtain their views. The requirement exists so documents that contain sensitive personal

information are not disclosed without careful consideration.

What is the process?

The CMA’s duty, under the FOI Act, is to give access to documents where possible. Where access to

documents is refused, applicants must be provided with facts, reasons and details as to which exemptions

are relevant.

What information should I give the agency?

As you will see from the exemption that is set out over the page, a document is an exempt document if its

disclosure “would contain matter, if disclosed, would involve the unreasonable disclosure of information

concerning the personal affairs of any person.”

The purpose of this exemption is to protect the personal privacy of individuals. An important aspect

of the right to privacy is the right to control information concerning yourself.

The CMA would appreciate your views about how disclosure of the information would affect your privacy.

It may be that you do not object to the information in question being disclosed. Not all personal

information held by government is sensitive and some (names and addresses, for example) may be

available from other sources. If however, you have doubts about the release of the documents in question,

the more information you can give the better. In particular, it would be useful if you could provide advice

about:


♦ which documents/information may be released by the Institute

♦ which documents (or parts of documents) you are most concerned about releasing. Access to a

document cannot be denied if the exempt material can be deleted and access given to the rest of

the document

♦ whether the information concerning yourself is available by other means, and

♦ if you object to release, in what way would disclosure of the information be an unreasonable

disclosure of your personal affairs.

What is unreasonable?

This involves an objective evaluation of all circumstances e.g. the context in which the information was

provided, the nature of the information and the extent the information is known by others. Also, it involves

balancing the public interest in disclosure of information held by the government against the public interest

in protecting the privacy of individuals.

Does the CMA have to accept my views?

The CMA must take your views into account in making its decision about disclosure, but the CMA is

required to make the final decision about whether the documents are released.

If you do not object to disclosure, the information is released to the applicant.

If your view is that the information should not be released, but the CMA proposes to give access, the CMA

must advise you of its decision. You then have 28 days to appeal against its decision. The first level is to an

internal review by a more senior officer in the CMA. In most cases, there follows a right of complaint to the

NSW Ombudsman and appeal to the Administrative Decisions Tribunal.

Conversely, if the CMA agrees with you that the information should not be released, the applicant is

advised of this decision and has 28 days to appeal.

Further information

For further details, contact X. You may also refer to the FOI Act online at www.legislation.nsw.gov.au.

CLAUSE 6

Documents affecting personal affairs

(1) A document is an exempt document if it contains matter the disclosure of which would involve the

unreasonable disclosure of information concerning the personal affairs of any person (whether living or

deceased).

(2) A document is not an exempt document by virtue of this clause merely because it contains information

concerning the person by or on whose behalf an application for access to the document is being made.


Freedom of Information Act 1989

Consultation and Documents affecting Business Affairs

The purpose of this information sheet is to explain to individuals and organisations in business how and

why they may be consulted and what their rights are under the Freedom of Information Act 1989 (FOI Act).

You have received this because an application has been received by the ……Catchment Management

Authority for documents which it believes may concern your business, professional, commercial or financial

affairs.


enclosed documents should be released.



“agencies”, e.g. departments, authorities and local councils. Similar legislation applies to Commonwealth

agencies.

The Act does not, however, allow access to all documents at all times. An agency may refuse access to a

document if it is exempt. One of the exemptions concerns documents affecting business affairs.

What are the consultation requirements?

Where a request is received under the FOI Act for documents concerning the business affairs of a third

party (i.e. someone other than the applicant or the agency), the agency is required to take reasonable steps

to consult with the third party to obtain their views. The requirement exists so documents that contain

sensitive business information are not disclosed without careful consideration.



documents is refused, applicants must be provided with facts, reasons and details as to which exemptions

are relevant.

What information should I give the Institute?

As you will see from the exemption that is set out over the page, a document is an exempt document if its

disclosure:

� would disclose trade secrets, or

� would disclose commercial-in-confidence provisions of a government contract, or

� would disclose other information with a commercial value, and could reasonably be expected

to destroy or diminish the commercial value of that information, or

� would disclose other information about business, professional, commercial or financial

affairs of any agency or person and could reasonably be expected to have an unreasonable

adverse effect on those affairs or prejudice the future supply of such information to the

Government or an agency.


The CMA would appreciate your views about how disclosure of the information would affect your business.

It may be that you do not object to the information in question being disclosed. Not all business

information held by government is sensitive and some (e.g. names and prices of successful tenderers) is

available routinely, or is reproduced in Annual Reports to shareholders. In this case, you just need to tell

the CMA you have no objections to release.

If, however, you have doubts about the release of the documents in question, the more information you

can give the better. In particular, it would be useful if you could provide advice about:

� which documents may be released by the CMA

� which documents (or parts of documents) you are most concerned about releasing. Access to

a document cannot be denied if the exempt material can be deleted and access given to the

rest of the document

� whether the information is available through other means

� if you object to release, in what way would disclosure of the information have a substantial

adverse effect on your business

� in what way could it be said that the information has a commercial value and

� how could disclosure destroy or diminish the commercial value of the information.


This involves an objective evaluation of all circumstances e.g. the context in which the information was

obtained/provided, the nature of the information, the extent the information is known by others and its

current relevance. Also, it involves balancing the public interest in disclosure of information held by the

government against the public interest in protecting business, professional, commercial or financial

information.



required to make the final decision about whether the documents are released.

If you do not object to disclosure, the information is released to the applicant.

If your view is that the information should not be released, but the CMA proposes to give access, the CMA

must advise you of its decision. You then have 28 days to appeal against its decision. The first level is to an

internal review by a more senior officer in the CMA. In most cases, there follows a right of complaint to the

NSW Ombudsman and appeal to the Administrative Decisions Tribunal.

Further information



CLAUSE 7

Documents affecting business affairs

(1) A document is an exempt document:

(a) if it contains matter the disclosure of which would disclose trade secrets of any agency or any other person, or

(a1) if it contains matter the disclosure of which would disclose the commercial-in-confidence provisions of a

government contract (within the meaning of section 15A [of the FOI Act]), or

(b) if it contains matter the disclosure of which:

(i) would disclose information (other than trade secrets or commercial-in-confidence provisions) that has a

commercial value to any agency or any other person, and

(ii) could reasonably be expected to destroy or diminish the commercial value of the information, or

(c) if it contains matter the disclosure of which:

(i) would disclose information (other than trade secrets, commercial-in-confidence provisions or information referred

to in paragraph (b)) concerning the business, professional, commercial or financial affairs of any agency or any other

person, and

(ii) could reasonably be expected to have an unreasonable adverse effect on those affairs or to prejudice the future

supply of such information to the Government or to an agency.

(2) A document is not an exempt document by virtue of this clause merely because it contains matter concerning the

business, professional, commercial or financial affairs of the agency or other person by or on whose behalf an

application for access to the document is being made.


Consultation and Documents

Containing Confidential Material

The purpose of this information sheet is to explain to individuals and organisations in business how

and why they may be consulted and what their rights are under the Freedom of Information Act

1989 (FOI Act).

You have received this because an application has been received by the …… Catchment Management

Authority for documents that include documents issued by you and that are held by the agency.


enclosed documents should be released. You will be advised which documents the request relates to.

If you have any questions, please contact the CMA.



“agencies”, e.g. departments, authorities and local councils. Similar legislation applies to

Commonwealth agencies.

The Act does not, however, allow access to all documents at all times. An agency may refuse access

to a document if it is exempt. One of the exemptions concerns documents that contain confidential

material. While it is not compulsory for the CMA to consult you in relation to material that may be

confidential, the CMA would like the benefit of your comments so that documents that may contain

confidential material are not inappropriately disclosed.



documents is refused, applicants must be provided with facts, reasons and details as to which

exemptions are relevant.

How can I claim exemption?

Clause 13 of Schedule 1 of the FOI Act provides:

Documents containing confidential material

A document is an exempt document:

(a) if it contains matter the disclosure of which would found an action for breach of

confidence,

or

(b) if it contains matter the disclosure of which:

(i) would otherwise disclose information obtained in confidence, and could reasonably

be expected to prejudice the future supply of such information to the Government

or to an agency, and


would, on balance, be contrary to the public interest.

You can advise the CMA that you object to the release of some or all of your documents under

clause 13(a) or clause 13(b).

What information should I give the CMA?

The CMA would appreciate your views on how clause 13(a) or 13(b) would apply, if at all.

It may be that you do not object to the information in question being disclosed. Perhaps sufficient

time has lapsed since the document was produced or events have occurred so that confidentiality is

no longer an issue.

If however, you have doubts about the release of the documents in question, the more information

you can give the better. In particular, it would be useful if you could provide advice about:

� which documents may be released by the agency

� which documents (or parts of documents) you are most concerned about releasing.

Access to a document cannot be denied if the exempt material can be deleted and

access given to the rest of the document

� whether the information is available through other means, and

if you object to release, in what way would disclosure of the information establish a

legal case against the Institute for breach of confidence (clause 13(a)), or, if exemption

is claimed under clause 13(b), why you claim the information was provided in

confidence and why you think disclosure would prejudice the future supply of such

information to the Institute and would, on balance, be contrary to the public interest.


This involves an objective evaluation of all circumstances e.g. the context in which the information

was obtained/provided, the nature of the information, the extent the information is known by

others and its current relevance. Also, it involves balancing the public interest in disclosure of

information held by the government against the public interest in protecting confidential material.



required to make the final decision about whether the documents are released. If you do not object

to disclosure, the information is released to the applicant.

If your view is that the information should not be released, but the CMA proposes to give access, the

CMA must advise you of its decision. You then have 28 days to appeal against its decision. The first

level is to an internal review by a more senior officer in the CMA. In most cases there follows a right

of complaint to the NSW Ombudsman and appeal to the Administrative Decisions Tribunal.

Conversely, if the CMA agrees with you that the information should not be released, the applicant is

advised of this decision and has 28 days to appeal.



FOI Form 6 – Notice of Determination

Date

Dear

I refer to your application under the Freedom of Information Act 1989 (FOI Act) received

by …….Catchment Management Authority on [...].

Today I have determined (choose appropriate alternative)

that the CMA has been unable to locate any documents relating to your request despite a

thorough search of the records held by the agency. Accordingly, I must refuse your request.

that you may have access to all the documents you requested. The documents are listed below

/ in the attached schedule. (amend as required)

that you may have access to some/most (amend as required) of the documents you requested.

Access is refused to a number of documents / to documents #xyz on the basis they are exempt

under the FOI Act. Details of these documents and my decisions are set out below / in the

attached schedule. Where I determined to exempt part of a document, a copy of the document

will be released to you with the exempt material deleted. (amend as required and explain why

exemptions have been applied)

to refuse you access to all the documents you requested on the basis they are exempt under

the FOI Act. Details of these documents and my decisions are set out below / in the attached

schedule. (amend as required and explain why exemptions have been applied)

(NB. some useful paragraphs re specific exemptions are attached at the end of this document)

(When third parties object to the release of their documents)

The third party concerned objected to the release of documents numbered xyz. Consequently, I

cannot allow you access to these documents until the third party has had the opportunity to seek an

internal review against my determination. The third party has until [33 days if the letter is posted]

to lodge an internal review application. If an application is lodged, the agency has 14 days to make a

determination. You will be advised if and when the third party documents can be released.

In the meantime, the remaining non-exempt documents may be released to you….[proceed with

next paragraph re payment]

(When there is no third party objection)

The (non-exempt) documents may be released to you on payment of $x. This processing fee is

calculated at $30 per hour for […] hours. The processing time was spent retrieving, scheduling,

Address


reviewing and copying the documents, undertaking third party consultation, considering third party

objections, determining the matter and preparing correspondence.

If you disagree with my determination and/or the processing costs, you have rights of review which

are detailed in the attached brochure. You have until [33 days] if you want to lodge an internal

review application.

You are welcome to call me if you have any questions about the FOI process or my determination.

Yours sincerely

SOME USEFUL PARAGRAPHS

Clause 6 – personal affairs

Documents numbered […] are claimed as wholly or partially exempt under clause 6(1) of Schedule 1

of the FOI Act. Under clause 6(1), a document is an exempt document if it contains information

concerning the personal affairs of any person and it would be unreasonable to disclose that

information.

[explain the unreasonableness of disclosure]

Clause 10 – legal professional privilege

Documents […] contain a request for legal advice, legal advice provided by XX, confidential

communications between a legal adviser and their client for the purpose of providing legal advice, or

were created for preparing for, or use, in legal proceedings. They are subject to legal professional

privilege and are exempt or partially exempt from disclosure pursuant to clause 10(1), Schedule 1 of

the FOI Act. Under that clause, documents that contain matter that would be privileged from

production in legal proceedings on the ground of legal professional privilege are exempt documents.

Clause 10 - waiver of privilege

Under clause 10(1), a document is an exempt document if it contains matter that would be

privileged from production in legal proceedings on the ground of legal professional privilege. The

document is legal advice that was provided to XX by you/your client. You claim there has been no

waiver of the legal professional privilege in the legal advice as the provision of the advice to XXX

occurred on a private and confidential basis.

I am advised that XX asked that the advice not be released to another party when the document was

provided to the agency. I am advised this request has been respected. I agree that waiver of the

privilege has not occurred as the document was provided to XX for a limited and specific purpose

and on terms that XX would treat the document as confidential. As the elements of clause 10(1) of

Schedule 1 of the FOI Act are satisfied, I have determined the document is fully exempt from release

under this clause.


Clause 12 exemption – disclosure would be an offence under another Act

Documents […] are claimed as wholly or partially exempt under clause 12 of Schedule 1 of the FOI

Act. Under clause 12, a document is an exempt document if it contains matter the disclosure of

which would constitute an offence against an Act. The information contained in these documents

concerns [a third party’s industrial/agricultural/commercial secrets/working processes] and was

obtained in the course of the administration of the X Act. Section X of the Act prohibits the release

of such information without the consent of the provider. The provider did not consent to the release

of these documents.

Clause 13 exemption – confidential information

Documents […] are considered to be partially exempt under clause 13(b) of Schedule 1 of the FOI

Act. Under that clause, a document is an exempt document if it contains information obtained in

confidence where disclosure could reasonably be expected to prejudice the future supply of such

information to the Government or to an agency and whose release would, on balance, be contrary

to the public interest.

The documents relate to complaints received by the agency from members of the public about

alleged XX incidents. The agency does not release identifying details of complainants. If the agency

disclosed these details, people may not undertake the public-minded activity of alerting the agency

to such incidents. Any action that would discourage the making of such complaints would be against

the public interest in ensuring high standards of pollution control. The exempt portion of the

documents will be deleted from the documents that are partially exempt. The remainder of the

documents will be released.


FOI Form 7 – Fee Discount

Address

Date

Dear

I refer to your letter of […] requesting a fee reduction in relation to your application under the

Freedom of Information Act 1989 (FOI Act).

The agency may grant fee reductions to children, to people and non-profit organisations that can

demonstrate financial hardship, or for applications involving a State-wide public interest.

Financial hardship - individual

To qualify for reduced fees on the basis of financial hardship, we will accept a photocopy of a

Commonwealth Health Care Card, Pensioner Concession Card or evidence that your income is below

the following limits (the documents will be destroyed to protect your privacy and a file note made):

Status Weekly Income 8 weekly income

Single, no children $ $

Single, or couple combined, one child $ $

Partnered (combined), no children $ $

For each child, add $ $

For current rates, go to

http://www.centrelink.gov.au/internet/internet.nsf/payments/conc_cards_iat.htm

Financial hardship – non-profit organisation

To qualify for reduced fees on the basis of financial hardship, please submit documentation

demonstrating that […] is a non-profit organisation and would suffer financial hardship if fees are not

reduced.

[NB. this could include the organisation’s funding base and its available liquid funds]

Public interest

To qualify for reduced fees on the basis of the public interest, we will look at issues including:

� The intended use of the information;


� The public value of the intended use of the information;

� The significance of the public benefit involved; and

� The broad section of the public likely to benefit from the intended use of the information.

Please explain why you think your application meets the public interest criteria.

If the agency is not satisfied with the evidence presented, a $30 application fee and a $30 per hour

processing fee will be charged.

You are welcome to call me if you have any questions about the FOI process.

Yours sincerely


GOVERNMENT INFORMATION (PUBLIC ACCESS)

GUIDELINES

�


1. Introduction

Information on the Government Information (Public Access) Act 2009 (GIPA Act) is available on the

website of the Office of the Information Commissioner at www.oic.nsw.gov.au

These Guidelines have been drawn from Right to Information in NSW: a guide which is available at:

www.oic.nsw.gov.au/lawlink/oic/ll_oic.nsf/vwFiles/right_to_information_a_guide_v4.pdf/$file/right

_to_information_a_guide_v4.pdf

The website of the Office of the Information Commissioner also has presentations and training

modules. An important resource is the templates of forms and correspondence for each of the

following main stages of processing:

� Making an application

� Notices advising applicant

� Letters of consultation

� Notifications of decisions

� Review of decision

� Contractual clauses

These templates can be downloaded in Microsoft Word and adapted for use by your CMA from:

www.oic.nsw.gov.au/lawlink/oic/ll_oic.nsf/pages/information_commissioner_templatesforagencies:

2. Overview

The FOI Act is based on a ‘pull’ model of access rights, where documents that are not exempt must

be released in response to a formal application. The GIPA Act creates a ‘push’ model, requiring

agencies to publish certain information and encouraging the proactive release of government

information generally.

The objects of the GIPA Act include: “to maintain and advance a system of responsible and

representative democratic Government that is open, accountable, fair and effective”. To this end,

the Act establishes four ways to access government information:

Mandatory Disclosure

Obligatory publication of certain

information on an agency’s website,

free of charge.

Proactive Release

Release of information, in an

appropriate manner and free of

charge (or at lowest reasonable

cost).



GUIDELINES

�


Informal Release

Release of information in response to

a person’s informal request.

Formal Access

Release of information in response

to a formal access application.

2.1 Public interest test

A new public interest test is the key organising principle of the new right to information regime.7

Under the GIPA Act, all government information is to be released (whether under mandatory

publication, proactive release, informal release or formal application) unless there is an overriding

public interest against disclosure.

Presumption in favour of disclosure

This public interest test is based on a presumption in favour of disclosing government information.

Parliament has recognised that there is a general public interest in favour of disclosure and there is

no limit on the other sorts of considerations that agencies may take into account. Examples of

considerations in favour of disclosure, given in the note to s. 12(2), include that the information is

the applicant’s personal information or if the information’s disclosure could reasonably be expected

to:

� promote open discussion of public affairs, enhance Government accountability or contribute

to positive and informed debate on issues of public importance;

� inform the public about the operations of agencies and, in particular, their policies and

practices for dealing with members of the public;

� ensure effective oversight of the expenditure of public funds; or

� reveal or substantiate that an agency (or a member of an agency) has engaged in

misconduct or negligent, improper or unlawful conduct.

The Information Commissioner may issue guidelines on additional considerations favouring

disclosure.

Overriding public interest

There will only be an overriding public interest against disclosure where there are public interest

considerations against disclosure that, on balance, outweigh the considerations in favour of

disclosure. The GIPA Act exhaustively lists the public interest considerations against disclosure

(discussed in part 8.2 below) that agencies may consider. Agencies must apply the public interest

test in accordance with the following principles:

� agencies must exercise their functions so as to promote the Act’s objects and with regard to

any relevant guidelines issued by the Information Commissioner;

� it is irrelevant that the disclosure of information might cause embarrassment to, or loss of

confidence in, the Government;



GUIDELINES

�


� it is irrelevant that any information disclosed might be misinterpreted or misunderstood by

any person;

� for formal access applications, it is relevant to consider that any information released cannot

be subject to conditions as to its subsequent use or disclosure.

2.2 Information Commissioner

Independent and robust oversight of the new right to information regime has been given to the new

Information Commissioner, who will be responsible for leadership, advocacy and support to

promote change and compliance across the NSW public sector. The Information Commissioner roles

are discussed further in part 11 below.

2.3 Benefits and costs

Agencies and the public stand to benefit from the proactive publication of information, and the

capacity for informal release, without resorting to costly formal procedures. This will improve access

to government information and reduce costs for agencies and those who seek information. Benefits

are also likely from greater access to and use of government information for social and commercial

purposes.

Within government, the prospect of increased transparency and greater scrutiny of government

activities should emphasise the need for agencies to strive for high standards of professionalism in

their public functions, especially in their use of public money, stewardship of public assets,

regulatory enforcement, policy development and program management.

There will be some initial and additional ongoing costs for agencies under the new regime. The GIPA

Act will impact staff across areas of governance and policy, public affairs, records, IT, webmasters,

contract management and customer service. Revenue may be foregone as more information is to

be made publicly available, free of charge. Agencies will need to review and assess this impact and

adjust budgets accordingly. A significant effort by management and staff will be required to

reconsider disclosure policies and to develop new practices that reflect the new legislative

requirements.

2.4 Privacy and open government

…..The GIPA Act recognises privacy as a key public interest against disclosure (see part 8.2.6 below).

Rights under the FOI Act to amend records containing personal information will be transferred to the

Privacy and Personal Information Protection Act 1998, once the GIPA Act commences.

3. Agencies and government information

3.1 Agencies under the GIPA Act

The GIPA Act defines ‘agency’ to include government departments, public authorities and offices,

local councils and courts.…..



GUIDELINES

�


3.2 Contractors

Government information also extends to that held by private sector entities, who enter into a

contract to provide services to the public on behalf of an agency. In entering into a service contract,

agencies must ensure that they have an immediate right to access information:

� relating to the performance of services under the contract;

� collected by the contractor from members of the public; and

� received by the contractor from the agency to facilitate the provision of services.

3.3 Information not documents

The GIPA Act focuses on the broader notion of information, extending to that which is compiled,

recorded or stored in writing or electronically. In other words, agencies must look beyond written

‘documents’ when giving access to information.

3.4 Excluded information

Information about certain agency functions is ‘excluded information’ under the GIPA Act. These

include judicial and prosecutorial information; investigative and complaint-handling functions that

go beyond internal disciplinary matters; and competitive and market-sensitive information.

A formal access application for excluded information is invalid. For other types of publication or

release, there is an overriding public interest against disclosure of excluded information unless the

agency consents.

4. Mandatory disclosure

4.1 Obligation to publish ‘open access information’

Agencies are under a mandatory obligation to publish ‘open access information’ unless there is an

overriding public interest against disclosure.

Open access information must be published on the agency’s website, free of charge, unless to do so

would impose unreasonable additional costs to the agency. Agencies must keep a record of all open

access information that is not published because of an overriding public interest against disclosure.

Open access information, to which the mandatory publication requirement applies, is comprised of:

� information about an agency’s policies, structure and functions;

� documents tabled in Parliament on the agency’s behalf;

� policy documents;

� general details of unpublished open access information;

� publication guide;

� disclosure log;

� register of government contracts.



GUIDELINES

�


The last three documents are described in further detail below.

Local authorities are required to publish information about their operations, including development

and building matters. For the first time, they will also be required to publish information about

private-sector contracts.

4.2 Publication guides

Each agency (other than a Minister) must maintain a publication guide. The information to be

included is similar to that contained in a statement of affairs under the FOI Act. For example, it must

describe the agency’s structure and functions and the kinds of information that will be made publicly

available free or at a charge.

Agencies must issue their first publication guide within six months of the commencement of the

GIPA Act and must review it at least annually. They must also notify and, if requested, consult the

Information Commissioner before adopting or amending a publication guide.

The Commissioner can issue guidelines and model publication guides. Similarly, the Director-

General of the Department of Local Government (now incorporated into the Department of Premier

and Cabinet) may, in consultation with the Information Commissioner, mandate additional

requirements for councils’ publication guides.

4.3 Disclosure log

Where information released to an applicant under a formal access application would be of interest

to other members of the public, an agency must record the following details about the application in

its disclosure log:

� the date the access application was decided;

� a description of the information released;

� whether any of the information is available to other members of the public; and

� if so available, how it can be accessed.

Note: An applicant can object, when making an access application or subsequently, to information

concerning the application being included in the disclosure log.

4.4 Register of government contracts

Agencies, including local councils and state-owned corporations, are required to disclose

information about government contracts.

The GIPA Act excludes certain contracts, such as industry support contracts entered into by the

Department of State and Regional Development and contracts for the sale of land by Landcom.



GUIDELINES

�


Agencies must keep and publish a register of all contracts valued at $150,000 or more, which are

entered into with a private sector entity for a project, goods and services, or the sale, purchase or

lease of real property.

The information to be recorded in the register varies according to the class of contract:

� Class 1 ($150,000 or more) – certain particulars of the contractor and subject matter of the

contract.

� Class 2 (specific types of Class 1 contract) – further particulars of key elements of the

contract.

� Class 3 (Class 2 contracts greater than $5 million) – a copy of the contract.

Information must be entered in the register within 60 days after the contract, or contract variation,

becoming effective. Information for each contract must be made publicly available for 30 days or

the duration of the contract or its subject matter, whichever is the longer.

Each agency’s register of contracts is to be published on the NSW Government’s Tenders website,

except for that of state-owned corporations, local councils and universities, which may be published

on their respective websites.

5. Authorised proactive release

Agencies are encouraged to go beyond the minimum mandatory disclosure requirement, unless

there is an overriding public interest against disclosure. This is a discretionary power to release

information in any manner considered appropriate, free of charge or at the lowest reasonable cost.

Decisions to proactively release information must be made with general or specific authority of the

principal officer.

Where agencies wish to release information but part of it is subject to an overriding public interest

against disclosure, the agency may delete that matter from the copy of the information to be

released.

Each agency must review, at least annually, its proactive release program by identifying the kinds of

information it holds that should be released in the public interest.

A decision to proactively release government information is not reviewable. Agencies and officers

making such decisions in good faith are covered by statutory protections against liability (see part

10.2 below).

6. Informal release

Agencies may release information in response to an informal request, unless there is an overriding

public interest against disclosure. Information released in this way may be subject to conditions.



GUIDELINES

�


Agencies can delete from a copy of the information requested, any part that is subject to an

overriding public interest consideration against disclosure.

Informal release decisions can only be made with general or specific authority of an agency’s

principal officer and are not reviewable. As a matter of good practice, agencies should advise

persons to whom they will not informally release information that they are entitled to make a formal

access application.

Decisions to informally release government information are covered by the statutory protections

against liability.

7. Formal access

All agencies, including local councils and Ministers, are subject to the provisions concerning formal

access applications under the GIPA Act.

7.1 Making an access application

An access application must comply with the following formal requirements:

� be in writing;

� specify it is made under the GIPA Act;

� state an Australian postal address;

� be accompanied by the $30 fee; and

� provide sufficient detail to enable the agency to identify the information requested.

In making an application, a person may include any other additional information they think is

relevant to the public interest test and may request a discount of processing charges. An access

application may be amended or withdrawn at any time.

An application will be invalid if it seeks access to excluded information of an agency or does not

meet the formal requirements for an access application. Where an invalid application is made,

agencies must notify the applicant of the fact (with reasons) and assist the applicant in making it

valid.

7.2 Fees and charges

Fees and charges under the GIPA Act are the same as those that have applied to FOI Act applications

since 1989. An agency may waive, reduce or refund any fee or charge in any instance. Decisions

concerning charges, discounts and deposits are reviewable. The fees and charges are summarised

below.

Application fee $30



GUIDELINES

�


This covers the first hour of processing time.

If an applicant is entitled to a discount, the fee covers the first two hours of

processing time.

Processing charge $30 / hour

Any charge must be for time necessarily spent in dealing efficiently with the

application.

There is no charge where an access application is not decided in time.

The GIPA Act continues the right of applicants seeking their own personal

information to receive up to 20 hours processing without additional

charge.

Discount 50 per cent of processing charges

Applicants are entitled to a 50 per cent reduction of processing charges on

financial hardship grounds or if the information requested is of special

benefit to the public generally.

The Information Commissioner may issue guidelines on the ‘special benefit’

discount.

Advance deposit Up to 50 per cent of total processing time

Agencies may request an advance deposit, advising of the estimated

processing charge and giving at least four weeks for payment to be made.

7.3 Processing applications

Acknowledgment of receipt

Agencies must acknowledge receipt of an application within five working days and, if the application

is valid, acknowledge receipt to the applicant and advise as follows:

� the date by which a decision must be made;

� an application will be deemed to have been refused if not decided by that date;

� information about the disclosure log and rights to object to inclusion of details about the

application; and

� details of review rights, as directed by the Information Commissioner.

Time for deciding



GUIDELINES

�


Agencies must make a decision, and notify the applicant of it, within 20 working days. This time can

be extended by 10 to 15 days where consultation with a third party is required or information must

be retrieved from archived records. The decision can also be extended by agreement with the

applicant.

Authority and control

Reviewable decisions on access applications must be made with the authority of the principal officer.

This authority can be given generally or in a specific case. Agencies are not subject to the direction

and control of any Minister in dealing with access applications.

Reasonable search

Access applications only cover information held by the agency at the time it receives the application.

The agency must undertake a reasonable search for requested information, using the most efficient

means available and including searching electronically stored information. However, electronic

searches need not be conducted where this would involve a substantial and unreasonable diversion

of resources. A search of an electronic backup system is not required unless a record of the

information has been lost through a breach of the State Records Act or the agency’s record

management procedures.

Consultation

Agencies must consult with third parties where an application covers certain information, the person

may reasonably be expected to be concerned about the release of the information, and that concern

could reasonably be expected to be relevant to the public interest test.

The types of government information that require consultation are:

� personal information;

� business information of a third party (including another government agency);

� research commissioned by another person; and

� the affairs of a government of the Commonwealth or another state.

7.4 Decisions that can be made

In response to a valid access application, an agency may make one or more of the following

decisions:

(a) Provide access – see part 7.5 below.

(b) Information is not held or is already available to the applicant. Where this is the case,

agencies need not provide access to the information requested but must notify the applicant

of this decision and indicate how the information can be accessed.



GUIDELINES

�


(c) Refuse access – see part 8 below.

(d) Refuse to deal with the application. There are only four grounds for refusing to deal with a

valid application:

� where to do so would involve an unreasonable and substantial diversion of resources;

� where the applicant has previously sought the same information and there is no reason

to believe a different decision would be made;

� where the applicant has failed to pay an advance deposit, or

� where the information sought is or has been the subject of a subpoena or court order

and, as a result, is available to the applicant.

(e) Refuse to confirm or deny that information is held. This may be done where there is an

overriding public interest against disclosure of information confirming or denying that fact.

In deciding an access application, agencies are entitled to take into account personal factors of the

applicant, which include the applicant’s relationship with another person or motives in seeking the

information requested.

7.5 Granting access

Access under the GIPA Act must be provided by inspection, provision of a copy of the information,

access with facilities to read, view or listen, or by providing a written transcript.

Agencies are obliged to provide access in the form requested, unless this would interfere

unreasonably with its operations, involve unreasonable cost, would be detrimental to the

preservation of the record, infringe copyright, or there is an overriding public interest against

disclosure in the form requested.

Agencies are to grant applicants access unconditionally, except for the following limitations that may

be imposed:

� on how access may be exercised (e.g. by restricting the taking of notes or making of copies

of documents available for inspection), but only to avoid there being an overriding public

interest against disclosure of the information;

� releasing medical or psychiatric information to a medical practitioner nominated by the

applicant.

An agency may provide access by making a new record containing the information to be released or

to additional information beyond that sought in the application. In practice, this might occur where

data is extracted from an electronic database, where it is not held in any other form.

Applicants have six months to access released information, although this period may be extended by

the agency.



GUIDELINES

�


8. Grounds for withholding information

In deciding to release government information under a formal access application, or in any other

way permitted under the GIPA Act, agencies are required to apply the public interest test (see part

2.1 above). While agencies may consider any public interest considerations in favour of disclosure,

the GIPA Act restricts those against disclosure to:

(a) the conclusive presumptions of an overriding public interest against disclosure, described in

Schedule 1; and

(b) other public interest considerations listed in the Table in s. 14.

8.1 Conclusive presumptions against disclosure

Schedule 1 specifies 12 categories of government information for which it is to be conclusively

presumed that there is an overriding public interest against disclosure. These are summarised

below.

Agencies must refuse to provide access to any information falling within one of those categories.

1. Secrecy laws – There are 26 Acts containing secrecy provisions that, in effect, automatically

override the GIPA Act. All other secrecy provisions must be considered under the public

interest test.

2. Cabinet information – Documents prepared for the dominant purpose of submission to

Cabinet (whether or not actually submitted). There is also a protection for documents that

tend to reveal a particular position taken by a Minister on a matter in Cabinet.

3. Executive Council information – Corresponding documents of the Executive Council to those

containing Cabinet information.

4. Contempt of court – Information the disclosure of which would constitute contempt of court

or infringe parliamentary privilege.

5. Legal professional privilege – Information covered by legal professional privilege. Agencies

are required to consider waiving privilege before refusing access on this basis. However, a

decision not to waive privilege is not subject to external review.

6. Excluded information – Information relating to functions of agencies specified in Schedule 2,

unless the agency has consented to its disclosure.

7. Law enforcement and public safety – Documents containing information created by specified

law enforcement or related agencies (e.g. the NSW Police Force and ICAC). Other law

enforcement interests are only considerations to be taken into account in applying the public

interest test.



GUIDELINES

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8. Transport safety – Information relating to matters under investigation or inquiry concerning

rail or passenger transport safety.

9. Adoption – Information relating to matters under the Adoption Act 2000.

10. Care and protection of children – Information contained in reports under the Children and

Young Persons (Care and Protection) Act 1998.

11. Ministerial Code of Conduct – Information kept in the Register of Interests kept by the

Premier under the Ministerial Code of Conduct.

12. Aboriginal and environmental heritage – Information relating to the exercise of functions

under specified provisions of the National Parks and Wildlife Act 1974 and the Threatened

Species Conservation Act 1995. Also, information relating to the nature and location of a place

or item of Aboriginal significance under provisions of the Local Government Act 1993.

8.2 Other public interest considerations against disclosure

In applying the public interest test, agencies may only consider the public interest considerations

against disclosure listed in the Table in section 14. Most provisions require a reasonable expectation

of harm to the public interest described.

1. Responsible and effective government – Where disclosure would prejudice Ministerial

responsibility, the supply of confidential information to an agency, or its operations. That is,

the disclosure of information which could be expected to reveal a deliberation, consultation,

opinion, advice or recommendation that would prejudice a deliberative process.

2. Law enforcement and security

3. Individual rights, judicial processes and natural justice – Considerations include where

disclosure could be expected to:

� reveal an individual’s personal information or contravene a privacy principle;

� expose a person to a risk of harm or serious harassment or intimidation;

� reveal false or unsubstantiated allegations about a person that are defamatory; and

� in the case of a child’s personal information, the disclosure would not be in the best

interests of the child.

4. Business interests of agencies and other persons – This includes where disclosure would

“diminish the competitive commercial value of any information” or “prejudice any person’s

legitimate business, commercial, professional or financial interests”. Another consideration is

where disclosure would undermine the competitive neutrality of an agency competing in a

market or place an agency at a competitive advantage or disadvantage.



GUIDELINES

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5. Environment, culture, economy and general matters – These include disclosures that would

endanger protection of the environment, Aboriginal or Torres Strait Islander cultural heritage

or traditional knowledge, endanger protection of an animal or other living thing, expose a

person to unfair advantage or disadvantage, or prejudice the management of the economy.

6. Secrecy provisions – Where disclosure would contravene a secrecy provision in any Act (other

than those in clause 1 of Schedule 1) or a statutory rule of NSW or any other jurisdiction. This

consideration also extends to the policy underlying the secrecy provision.

7. Exempt documents under interstate Freedom of Information legislation – Information that is

received from the Commonwealth or another state, if the agency is notified that the

information is exempt under corresponding freedom of information legislation. This

consideration also extends to the policy underlying the exemption.

9. Review of decisions

There are three avenues of review: internal review, external review by the Information

Commissioner, and external review by the Administrative Decisions Tribunal (Tribunal). The

decisions that may be reviewed are set out specifically in s. 80 of the GIPA Act.

Agency decisions not to publish open access information or informally release information are not

reviewable. However, the Information Commissioner has broad powers to investigate complaints

concerning such decisions.

9.1 Internal review

A person (either an applicant or third party) aggrieved by a reviewable decision has a right to an

internal review of a decision, unless it is made by the agency’s principal officer or a Minister.

Applications for internal review must be made within 20 working days and accompanied by a $40

fee, except for the review of a “deemed refusal” where no fee is payable.

When the aggrieved person is the applicant, an internal review is not required before the

Information Commissioner or Tribunal may conduct a review.

An agency must complete its internal review within 15 working days of receiving the application,

which may be extended by up to 10 working days if further consultation is required.

9.2 Information Commissioner review

An aggrieved person is entitled to have the agency’s decision reviewed by the Information

Commissioner. Where the aggrieved person is the access applicant, internal review is not a

precondition for the Information Commissioner’s review; for all other persons it is. Application for

Information Commissioner review must be made within eight weeks of the person receiving notice

of the agency’s decision.



GUIDELINES

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In conducting a review, the Information Commissioner has broad investigative and some coercive

powers. On a review, the Commissioner may make recommendations as considered appropriate,

including that the matter be reconsidered by the agency. An agency may take up such a

recommendation and make a new decision, whether or not an internal review has been conducted.

The Information Commissioner may refuse to review a decision and cannot review a decision that is,

or has been, the subject of Administrative Decisions Tribunal (ADT) review. However, the

Commissioner may investigate a complaint into the circumstances of decision.

9.3 Administrative Decisions Tribunal review

An aggrieved person may seek review by the ADT within eight weeks of the decision or four weeks

after an Information Commissioner review (which is not required before external review may be

sought).

The Tribunal has the power to make the “correct and preferable decision” on the merits of the case.

Where access is refused because the application involved Cabinet or Executive Council information,

the Tribunal’s role is limited to considering whether there are reasonable grounds for the decision.

The Tribunal also has jurisdiction to review decisions that government information is not held by an

agency.

9.4 Unmeritorious access applications

The Tribunal has new powers to refuse to review an agency’s decision if it is satisfied that the

application is frivolous, vexatious, misconceived or lacking in substance. It also has powers to

restrain a person from making an access application without approval in certain circumstances. An

application for such orders may be made by an agency, Minister or Information Commissioner.

10. Other matters for agencies

10.1 Annual reporting

Each agency (other than a Minister) is to prepare an annual report for its Minister, a copy of which is

to be provided to the Information Commissioner. Each Minister must provide to the Minister

administering the GIPA Act any information he or she requires, concerning the Minister’s obligations

under the Act.

10.2 Protections

The GIPA Act contains protections against liability for the Crown, agencies and persons acting in

respect of actions for defamation, breach of confidence, certain criminal actions and any personal

liability. This statutory protection covers decisions made in good faith to disclose information under

the Act and applies to all publication and release of information, not only in dealing with formal

access applications.

10.3 Offences



GUIDELINES

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Five offences are introduced in relation to exercising functions under the GIPA Act, for the following

conduct:

� an officer knowingly deciding a formal access application contrary to the requirements of

the Act;

� a person directing an officer to make such a decision he or she knows is not permitted or

required by the Act;

� improperly influencing a decision on an access application;

� a person knowingly misleads or deceives an officer for the purpose of obtaining access to

government information;

� concealing, destroy or altering information for the purpose of preventing the release of

information.

Proceedings may only be taken by or with the authority of the Director of Public Prosecutions or the

Attorney General.

10.4 Transitional arrangements

After the commencement of the GIPA Act, any pending application under the FOI Act will continue

to be dealt with under that Act. Any access applications lodged under the FOI Act after the GIPA Act

commences will be dealt with under the GIPA Act.

11. Role of the Information Commissioner

The Government Information (Information Commissioner) Act 2009 creates the office of Information

Commissioner and confers general functions and powers. The Commissioner is strictly independent,

being answerable not to any Minister but to a Joint Committee of Parliament. That Committee

monitors and reviews the exercise of the Commissioner’s functions and may enquire as to whether

the policy objectives of the public interest provisions remain valid and appropriate.

Under the GIPA Act, the Commissioner is to promote public awareness and understanding of the

new laws, as well as provide information, advice, assistance and training to agencies and the public.

The Information Commissioner also has a monitoring role over agencies’ functions and may report

to the Minister administering the GIPA Act about proposals for legislative or administrative change.

11.1 Guidelines

The Information Commissioner may issue guidelines for agencies’ and the public’s assistance on

various matters, including in relation to:

� the public interest considerations in favour of disclosure;

� the public interest considerations against disclosure of government information, for

agencies’ assistance (but cannot add to those in the s. 14 Table);

� agencies’ functions;



GUIDELINES

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� the public’s rights, including rights of review;

� publication guides, including model publication guides; or

� reductions in processing charges.

Agencies must have regard to any relevant guidelines when applying the public interest test.

11.2 Complaints

Aside from the Commissioner’s review functions, discussed in part 9.2 above, the Commissioner may

take complaints about an agency’s conduct in exercising functions under the GIPA Act.

In handling such complaints, the Commissioner may undertake investigations and take appropriate

measures to assist in resolving the complaint. In so doing, the Commissioner must act informally

and avoid conducting formal hearings as far as possible.


DECCW POLICY AND GUIDELINES FOR THE RELEASE OF

INFORMATION UNDER THE GOVERNMENT INFORMATION

(PUBLIC ACCESS) ACT 2009

�


DECCW Policy and Guidelines for the Release of Information under the Government Information (Public Access) Act 2009

http://deccnet/governance/resources/PolicyGuidelinesGIPA.pdf


DECCW POLICY AND GUIDELINES FOR THE RELEASE OF

INFORMATION UNDER THE GOVERNMENT INFORMATION

(PUBLIC ACCESS) ACT 2009

�



SAMPLE PRIVACY MANAGEMENT PLAN FORMAT �


Privacy Management Plan Template

Privacy Management Plans can be brief and straightforward documents that address the following

key issues:

� Summary of Role of and Functions of the CMA

� Definitions of key privacy terminology

� How privacy principles apply to the CMA

� A detailed inventory of the CMA’s holdings of personal information and why it requires that

information

� Detail of policies, protocols and controls in place to ensure compliance with privacy

principles and an assessment of the effectiveness of those controls

� Systems for communication of existing privacy related policies, protocols and controls to

inform staff and the public

� Management of Public Registers (if applicable)

� Special provisions in place (e.g. Privacy Codes of Practice)

� The impact of other relevant legislation, e.g. FOI Act

� CMA’s personal information complaint handling systems and procedures

� Detail of workplace security arrangements to enhance compliance

� Future initiatives to improve privacy legislation compliance.


PROTOCOL FOR MINISTERIAL CORRESPONDENCE AND

BRIEFINGS

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CATCHMENT MANAGEMENT AUTHORITIES - DEPARTMENT OF ENVIRONMENT,

CLIMATE CHANGE AND WATER

PROTOCOL FOR MINISTERIAL CORRESPONDENCE AND BRIEFINGS

The Minister requires timely and accurate advice from Catchment Management Authorities (CMAs)

so that he can respond to issues raised by members of the community.

In the main, advice is provided in relation to possible Parliamentary questions, emerging issues,

contentious issues and replies to correspondence. Advice is also prepared in response to specific

requests from the Minister’s Office.

Ministerial and Parliamentary Services Branch

The Ministerial and Parliamentary Services Branch (MAPS) in the Department of Environment,

Climate Change and Water (DECCW) is responsible for:

� coordinating the efficient provision of high quality advice to the Minister; and

� ensuring efficient business processes between the Minister and the Department and the

CMAs.

While the CMAs are independent of DECCW, DECCW has the infrastructure and systems in place to

support CMAs’ advice to the Minister.

All advice from CMAs to the Minister is to be coordinated through MAPS. All advice should be

emailed directly to [email protected]. MAPS will register the documents

and provide CMAs with a TRIM Ministerial Document number.

Please advise MAPS of any meetings arranged between the CMA and the Minister’s Office in order

to facilitate the provision of briefings for the Minister and his staff.

Working with CMAs

In working with the CMAs on Ministerial documents, DECCW recognises that:

� the CMAs are independent of DECCW and prepare their own advice to the Minister;

� in all processes established for providing advice to the Minister, the integrity of CMA advice

must be maintained;

� advice should be in consistent formats across the organisations and meet the Minister’s

requirements; and

� advice to the Minister should be of the highest standard and accurately reflect the

circumstances.



BRIEFINGS

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Coordinated Advice from DECCW and CMAs

To ensure the Minister receives the best coordinated advice from DECCW and CMAs, all advice from

CMAs to the Minister will be reviewed by DECCW. Advice may be sought from across DECCW for this

purpose. Any DECCW advice will be provided in a separate briefing note.

Some changes to CMA documents, such as formatting and grammatical corrections, may be

undertaken by MAPS. CMAs will be advised of any such changes.

In the case of Parliamentary Housenotes, contentious issues briefings (eg for Regional Cabinet

meetings and Premier and Ministerial visits) and other documents where relevant, MAPS may

consolidate CMA advice and DECCW advice into the one document for the Minister. This is now the

established practice for all the agencies in the Minister’s portfolio.

Any questions about these protocols should be referred to the Director MAPS. Questions about the

presentation and content of documents submitted to the Minister and the procedures for

submitting Ministerial documents may be referred to the Manager Ministerial Support Team 2.

Contact details are provided at the end of this document.

Providing informative advice

It is important to remember that sufficient background is required in all Ministerial briefing notes to

ensure the reader – either a Policy Advisor or the Minister – can understand the issue and form a

view on the recommendations without any further information.

With this in mind, all briefing notes should include:

� a one sentence summary of the matter being considered;

� background information including brief details of the key developments, the legislative

context if relevant and key stakeholder groups;

� information about the current position, for example: what is the situation right now; why it

needs to be addressed; how it can be fixed; who will care about the decision and why; and

when does it need to happen.

� Clear recommendations about the action(s) the Minister is being asked to take.

Format of Correspondence and Briefs

Please submit all correspondence, briefs and other Ministerial documents in the correct format. The

Minister’s Office has approved templates for briefings, correspondence, housenotes, questions on

notice and other ministerial documents. These templates are available from MAPS.



BRIEFINGS

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Guidelines for the format of correspondence and briefs in accordance with Ministerial requirements

are as follows:

� Briefings must be concise and preferably one page in length, including signature blocks.

Include additional information as attachments and reference in the brief (e.g. Tab A, etc).

� The Minister will not sign a blank page that has only signature blocks on it and no indication

of the subject matter.

� All briefs must be dated on the day they are actually signed.

The Minister’s signature block for all correspondence, letters and legal documents is (unbolded and

no underlining):

Frank Sartor MP

Sign-off Delegations

� All advice to the Minister must be signed-off by at least the CMA General Manager.

� Any correspondence for the Minister’s signature, initiated by CMAs, must have a covering

brief signed-off by at least the CMA General Manager.

� Correspondence from the CMA Chairs’ Council must be signed off by the incumbent Chair.

� All advice to the Minister, after sign-off by the CMA, must be emailed to MAPS at

[email protected] to ensure consistency with Ministerial

requirements.

Timing of Responses

� The Minister’s Office sets various deadlines depending on the type of document/advice

required. MAPS will provide clear advice about the Minister’s deadline requirements.

� Every effort must be made to meet the deadlines.

� MAPS staff should be contacted prior to the deadline should an extension be necessary.

Tracking CMA Documents

� MAPS monitors the MAPS mailbox daily and will register CMA documents and provide a

TRIM Ministerial Document (MD) number within 24 hours.

� CMAs can track the progress of a registered ministerial document by contacting MAPS.

� CMA documents will be returned to the appropriate CMA for filing.

All CMA advice and responses to correspondence should be emailed to:

[email protected]



BRIEFINGS

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DECCW CONTACTS

Director Phone: (02) 9995 6492 Ministerial and

Parliamentary

Services Branch

(MAPS)

Manager Ministerial Support Team 2 Phone: (02) 9995 6482

Filing CMA Documents

Copies of CMA Ministerial correspondence and briefings will be returned to CMAs electronically for

filing.

Ministerial and Parliamentary Services Branch

Department of Environment, Climate Change and Water

Updated October 2009

(Minister’s signature block updated May 2010)


GUIDELINES FOR DEVELOPING FUNDING PROGRAMS AND

PROJECTS POLICIES AND PROCEDURES

�


Introduction

CMAs need to make sure that:

� Applications for funding or tenders for project work are assessed in a way that is fair,

impartial and accountable

� Decisions about how funds will be allocated are based on established criteria which are

stated in advance of the applications being called for, assessed and decided upon

� The processing of funding for projects should be through normal accounting processes

� The public service, benefit or project for which the funds were allocated is delivered

satisfactorily and meets its objectives

� The funds are spent as intended, according to the conditions specified

� No individual or organisation is improperly advantaged by the funding initiative

Different projects and funding programs will present different issues, but the following guidelines

should help managers develop and implement practical accountability mechanisms that can be

readily incorporated into program management.

Application and Approval

1. All funding programs and projects must have aims and objectives which clearly state the purpose

and desired outcomes of the project. The objectives should be specific enough to be useful without

being too prescriptive.

2. CMAs must develop selection criteria for awarding contracts or approving grants based on the

aims and objectives of the funding program or project.

The criteria specify the critical features that a proposal or tender must have to receive funding. They

should be used as a Checklist to assess each application. The more specific and objective the criteria

are, the more useful they are in helping staff make decisions and recommendations. The criteria can

also be used to help develop performance indicators to measure the effectiveness of the funding

program at a later stage.

3. Potential applicants or tenderers must be treated fairly and equally and given sufficient

information about the funding program or project.

The funding process should be as open and transparent as possible. This means that the same

information should be given to all interested applicants or invited tenderers. Providing a printed

package can help to ensure that everyone has access to the same information. This reduces the risk

of particular applicants getting special and individual help or information.




�


The information provided should include; the aims and objectives of the project, the criteria to be

used to make funding decisions, a timetable for and details of the decision-making process including

any appeal mechanisms, the general conditions and the consequences of breaching these

conditions. The amount of information will depend on the complexity of the funding project, but it

is important that the roles and responsibilities of all parties involved in the process are clear from

the start. Those involved in funding decisions should declare any actual or potential conflicts of

interest which may exist, and if they do not take part in the decision making process where possible.

4. Funding CMAs need to collect enough relevant information to assess each tender or application

adequately.

Using a standard application format can help make sure you get the range of information needed

such as; details of the proposed project and its feasibility, expected outcomes, costs to be incurred

and the financial viability and management capability of the organisation applying for funding.

You should also have a systematic and cost efficient way of checking that the information provided

by applicants is accurate.

5. Funding applications and tenders should be assessed and decisions made about funding

allocations according to pre-determined criteria and a publicly known timetable.

Recommendations and approvals for funding should be made on the basis of established criteria,

consistently applied by staff with no personal interest in the outcome.

There should be a distinct separation of duties between the appraisal of applications and tenders

and the approval process. If this is not always feasible, then CMAs need to build checks and

balances into their systems so that one person does not have an undue amount of discretion or

decision making power.

Unsuccessful applicants should be informed of the reasons for their lack of success. Larger funding

programs may need to have an appeals mechanism to enable unsuccessful applicants to have

funding decisions reviewed.

6. Funding recommendations and decisions should be fully documented and include details of the

procedures followed and selection criteria used.

Reasons for decisions must be included and the documentation made available for external scrutiny

if necessary.




�


Administration of Grant Funds

It is important that appropriate controls and accountability mechanisms are built into this stage of

the process, as once CMAs have expended funds it is difficult to withdraw them. You need to make

sure that funds are being spent appropriately and that the project is going as planned.

7. CMAs should prepare a written funding agreement or contract stating the conditions that apply.

The agreement or contract should be signed by both parties before any payments are made.

A funding agreement, usually a contract, should clearly spell out the conditions of the grant and

should ensure that both parties are clear about their respective roles and responsibilities and how

the money is to be spent.

In some cases, a letter containing all the relevant information may be enough, but more complicated

funding arrangements will need a separate and legally binding document. Even for small amounts of

funding, a document signed by both parties that details key aspects of the funding relationship and

accountability requirements should be an integral part of the sound management of the funding

program.

The agreement should include details such as:

� The purpose of the funding

� Anticipated outcomes

� Details of the project including starting and finishing dates

� Procedures for payment/receipt of funds

� Reporting requirements

� Monitoring/evaluation and audit requirements

� Procedures for contracting out work

� The consequences of misappropriation/mismanagement of funds.

8. Ongoing payments should only be made if all aspects of the project are going as planned.

CMAs need to ensure that the entities receiving funds or awarded contracts are; doing work,

providing a service or carrying out a project on schedule and to a satisfactory standard, are following

proper accounting procedures, and have actually incurred their stated costs. You may want to get

independently certified evidence of these costs before you make any further payments.

As well as monitoring costs, it is also important to monitor progress and results. The continuing

information you collect will also help you make the final assessment of the project as well as

providing data for the assessment of further funding.




�


Progress reports from the funded organisation, inspections by CMA staff, or an assessment by an

independent expert are all monitoring strategies that can improve accountability.

To ensure quality control CMAs may, in some cases, need to help staff or volunteers in funded

organisations to develop the skills and expertise needed to manage projects effectively, and

satisfactorily comply with the conditions of the funding.

Evaluation

9. CMAs should establish a process for the continuing and final assessment of each funded project.

The funding program outcomes also need to be assessed against identified performance indicators.

It may not be possible to assess each individual project comprehensively, but some level of

assessment should be carried out of individual projects and the program as a whole to check that

they have operated efficiently and effectively, have achieved their intended outcomes, and

represent value for money.

The final evaluation of a project should not just rely on an audited statement or a voucher certifying

that work has been completed. You may need to develop and use performance indicators or a

checklist of factors to make sure that the aims, objectives and conditions of the funding program

have been, and will continue to be, met and that appropriate procedures have been followed.

The development of performance indicators for the overall program provides an opportunity for

your CMAs to review the program objectives and outcomes and check that they are still appropriate,

relevant and able to be achieved with available resources.

10. A substantial review of the funding program should be done every 3-5 years or when priorities

change.

Funding programs need to be periodically reviewed because government priorities may change, the

particular needs the funding program was designed to meet may no longer exist, or other strategies

may now be more effective in achieving the desired outcomes.

An objective assessment is important, so it is better if the review is not done by those involved in the

management or administration of the funding program. Involving internal audit in the review may

help to make it more independent and objective.




�


Southern Rivers CMA Project Proposal/ Plan Format

Summary of Headings:

� Project Title

� Proponent

� CMA Project Manager (and contact details)

� Project Rationale or Justification or need for undertaking project

� Project Description

� Project Delivery Method

� Expected Start Date / Expected Finish Date

� Project Location Description

� Links to CMA Catchment Action Plan

� Links to CMA Sub-Regional Plans and other strategic documents

� Budget

� Standard Outputs

� Project Milestones

� Monitoring Activities that will be undertaken

� Evaluation Activities that will be undertaken

� Aim of Engagement / Stakeholder / Strategy or Method

� Risk Management Summary

� Risks of not undertaking the project

� Links to Other Projects and Sub-Projects

� Assumptions

� Project Partners

� Signatories




�
