Public sector whistleblowing: Ombudsman Victoria’s experience 10 June 2010 Glenn Sullivan, Director Ombudsman Victoria

Background The importance of whistleblowing The Whistleblowers Protection Act 2001 The Ombudsman’s experience in public sector whistleblowing – case studies

The role of the Ombudsman Central oversight role for whistleblower matters –Receive disclosures –Determine if a disclosure warrants investigation –Investigate disclosures –Monitor investigations referred to public bodies –Monitor actions taken by public bodies –Prepare whistleblower guidelines –Review written procedures established by public bodies –Education and training

The environment in Victoria The Whistleblowers Protection Act provides a mechanism for investigating improper conduct 60% increase in whistleblower disclosures to the Ombudsman this year Greater awareness of the Ombudsman through whistleblower reports – e.g. Brimbank City Council investigation

Failure to meet statutory obligations Poor knowledge of the Whistleblowers Protection Act Failure to protect whistleblowers from reprisals Poor whistleblower investigations

Poor knowledge of the Whistleblowers Protection Act Ombudsman’s whistleblower guidelines Agency whistleblower policies and procedures Survey results – local councils –Limited awareness of the Whistleblowers Protection Act –Inadequate policies and procedures –Misunderstanding of obligations

Case study 1 TAFE teachers allegedly accepted money from a student for recognition of prior learning The Ombudsman’s investigation established that the manager: –did not assess the complaint under the Whistleblowers Protection Act –conducted an investigation without appropriate investigation experience –accepted the teachers’ explanation without testing the evidence –failed to interview the student at the centre of the allegations –did not appropriately document the investigation process or produce a final report

Case study 1: Outcomes The Ombudsman was satisfied that the money was intended as a bribe The Ombudsman recommended that the TAFE: –revise its whistleblower and complaint-handling procedures –ensure that complaints are investigated by experienced and trained officers –consider disciplining the teacher who considered keeping the money –train all staff on conflict of interest and gift policies The TAFE accepted all recommendations

Case study 2 Whistleblower alleged inappropriate occupancy of residence by the CEO while his house was being renovated Chairman immediately informed the CEO of the allegations Chairman did not consider the Whistleblowers Protection Act

Case study 2: Outcomes The Ombudsman’s investigation substantiated the allegations against the CEO The CEO resigned following the investigation The Ombudsman’s report was critical of the Chair for not following the Whistleblowers Protection Act The agency has since implemented new procedures for handling whistleblower disclosures and staff received whistleblower training

Case study 3 Whistleblower alleged that a senior manager at a council pressured a junior officer to fabricate insurance audit Senior manager attempted to identify the whistleblower by an Confrontational approach left the whistleblower open to the risk of reprisals

Case study 3: Outcomes The council agreed to provide training to its entire management team about the Whistleblowers Protection Act The council also agreed to update its whistleblower policies and procedures

Case study 4 Whistleblower alleged that staff at a council operated tip: –theft of tip entry fees –received alcohol in exchange for entry –consumed alcohol during work hours The council took immediate steps to ensure the welfare of the whistleblower The council was aware of its obligations under the Whistleblowers Protection Act and consulted with Ombudsman Victoria

Case study 4: Outcomes The investigation substantiated several of the allegations and the council took disciplinary action against its staff The council implemented new procedures and controls at the tip designed to strengthen security The investigation was conducted in a professional and timely manner and the whistleblower felt supported throughout the investigation The whistleblower’s confidentiality was maintained and the whistleblower did not experience any reprisals

Failure to protect the whistleblower Protecting whistleblowers against reprisals is essential to ensuring the effective operation of the Whistleblowers Protection Act Detrimental action – serious offence Some agencies are still not taking adequate measures to protect whistleblowers against reprisals

Case study 5 Whistleblower raised concerns with their manager about the improper conduct of two staff in dealing with child welfare issues It was alleged senior management failed to investigate these allegations, instead investigating the whistleblower’s conduct

Case study 5: Outcomes The investigation identified senior management was biased against the whistleblower and failed to properly investigate the initial whistleblower report The Ombudsman concluded that the allegations were proven The department agreed to implement all the Ombudsman’s recommendations. The department provided the whistleblower with a formal letter of apology and paid the whistleblower compensation

Case study 6 Whistleblower alleged that: –two employees involved in unethical and unprofessional conduct involving the provision of professional services to family members and altering official records –the line manager was biased in failing to document, report and investigate critical incidents which involved the two employees –the line manager distributed material which identified the whistleblower –the two employees complained that the whistleblower had in turn breached their privacy, bullied and harassed them

Case study 6: Outcomes The investigation identified deficiencies and procedural flaws in the department’s grievance processes and problems with the way allegations were managed and investigated The Ombudsman recommended that the department: –review the conduct of the senior officers involved in the investigation –ensure conflict of interest issues are resolved before starting any investigation –review the way disciplinary matters are managed and delegated to ensure officers are accountable and processes are transparent –apologise to the whistleblower –consider taking disciplinary action against the manager for circulating material which identified the whistleblower –consider paying the whistleblower compensation for the unfair treatment The department accepted all recommendations

Poor whistleblower investigations Delay in finalising investigations Failure to consult the Ombudsman’s guidelines Confidentiality breaches Conflicts of interests Witnesses colluding

Suggested improvements 1.Whistleblower policies and procedures –Commitment to whistleblowing –Website information on whistleblowing 2.Whistleblower training and resources –Raise staff awareness 3.Whistleblower welfare –Pro-active approach

Questions?