PSC Policy Instrument Interpretation Workshop

1. PSC Policy Instrument Interpretation Workshop Discipline and Suspension

2. Session Overview Relevant instruments Discipline and suspension processes � from issue to outcome Key decision points and available options Pathway from different options Notable appeals decisions Guest speaker � Katie Holm, Appeals Officer Session is about interpreting the various provisions relating to discipline and suspension contained in PSC instruments. Session is about interpreting the various provisions relating to discipline and suspension contained in PSC instruments.

3. Relevant Instruments Public Service Act 2008 Chapter 6 � Disciplinary action for public service employees and former public service employees Chapter 7 � Appeals and reviews Discipline Guidelines Directive 23/10: Post separation discipline Directive 19/10: Appeals Code of Conduct Provisions relevant to discipline and suspension are contained in four PSC instruments (as per slide). Note � guidelines provides guidance; it is not binding but does need to be considered (s47(4) & (5) PS Act) There are also other PSC instruments that may precede or impact upon discipline and suspension processes incl. Directive 8/10: Managing Employee Complaints Directive 21/10: Employee Performance Management As well as agency policies and procedures. Provisions relevant to discipline and suspension are contained in four PSC instruments (as per slide). Note � guidelines provides guidance; it is not binding but does need to be considered (s47(4) & (5) PS Act) There are also other PSC instruments that may precede or impact upon discipline and suspension processes incl. Directive 8/10: Managing Employee Complaints Directive 21/10: Employee Performance Management As well as agency policies and procedures.

4. Who is covered? Public service officers General employees Temporary employees In Nov 2010, the PS Act was amended to expand the application of Ch 6. Chapter applies to public service employees and former public service employees. Section 9 (1) defines public service employees as: Public service officers General employees Temporary employees. Section 148 states that temporary employees include casual employees (s147 provides for casual general employees). Application to seconded employees � can discipline s18 of PSA - Public Service Officers' chief executive can discipline. Public Service Officer = person employed under the PS Act Second = temporary employment Chief Executive (10(3)) = chief exec of dept. In Nov 2010, the PS Act was amended to expand the application of Ch 6. Chapter applies to public service employees and former public service employees. Section 9 (1) defines public service employees as: Public service officers General employees Temporary employees. Section 148 states that temporary employees include casual employees (s147 provides for casual general employees). Application to seconded employees � can discipline s18 of PSA - Public Service Officers' chief executive can discipline. Public Service Officer = person employed under the PS Act Second = temporary employment Chief Executive (10(3)) = chief exec of dept.

5. Responding to workplace issues Broadly, performance or conduct issues can trigger a discipline or suspension process: refer ss137 and 187 Public Service Act 2008. Suspension and/or discipline processes are not always the appropriate response to performance or conduct issues. Alternative ? management action. Refer guidelines: Step 1 � Preliminary Assessment If the Preliminary Assessment indicates that management action is not a sufficient response need to consider: evidence gathering discipline Concurrent consideration ? suspension Need to consider the issues contextually (i.e. as part of the broader employment relationship) � consider the impacts of the process on the ongoing employment relationship. Broadly, performance or conduct issues can trigger a discipline or suspension process: refer ss137 and 187 Public Service Act 2008. Suspension and/or discipline processes are not always the appropriate response to performance or conduct issues. Alternative ? management action. Refer guidelines: Step 1 � Preliminary Assessment If the Preliminary Assessment indicates that management action is not a sufficient response need to consider: evidence gathering discipline Concurrent consideration ? suspension Need to consider the issues contextually (i.e. as part of the broader employment relationship) � consider the impacts of the process on the ongoing employment relationship.

6. Management action When should management action be utilised? Guidelines � Step 1: Preliminary Assessment What is management action? Notable case A7401 What happens next? Close process OR evidence gathering OR discipline s187 provides that a CEO may discipline an employee if they are reasonably satisfied a disciplinary ground exists. gives the CEO discretion. Guidelines encourage the consideration of management action (where appropriate) Guidelines � Part 1: Preliminary Assessment � matters to consider in determining whether management action may be appropriate: Whether the employee had an opportunity to improve their performance and if not, whether a performance improvement process would bring about a more effective resolution, Whether the employee would benefit from further training and development, Whether the employee was previously warned about their conduct or unsatisfactory performance, Whether the employee had been inducted into the workplace and received information about the code of conduct, relevant policies and procedures and expected standards of behaviour, Whether the alleged conduct or unsatisfactory performance has had an impact on the workplace or could adversely effect the public�s trust in the agency�s ability to perform its function. ?If the delegate determines management action is appropriate, what does / can this look like? Notable appeals case A7401 What happens next depends on whether the management action has resolved the issue: Y � close process, provide appropriate information to affected parties and return to business as usual N � options evidence gathering disciplines187 provides that a CEO may discipline an employee if they are reasonably satisfied a disciplinary ground exists. gives the CEO discretion. Guidelines encourage the consideration of management action (where appropriate) Guidelines � Part 1: Preliminary Assessment � matters to consider in determining whether management action may be appropriate: Whether the employee had an opportunity to improve their performance and if not, whether a performance improvement process would bring about a more effective resolution, Whether the employee would benefit from further training and development, Whether the employee was previously warned about their conduct or unsatisfactory performance, Whether the employee had been inducted into the workplace and received information about the code of conduct, relevant policies and procedures and expected standards of behaviour, Whether the alleged conduct or unsatisfactory performance has had an impact on the workplace or could adversely effect the public�s trust in the agency�s ability to perform its function. ?If the delegate determines management action is appropriate, what does / can this look like? Notable appeals case A7401 What happens next depends on whether the management action has resolved the issue: Y � close process, provide appropriate information to affected parties and return to business as usual N � options evidence gathering discipline

7. Suspension s137 � Suspension other than as disciplinary action s189 � Suspension of public service employee liable to discipline ?Public Service Act provides for two types of suspension. s137 � suspension other than as disciplinary action s189 � suspension of public service employee liable to discipline The suspension provisions are enlivened by different criteria. s137 � �proper and efficient management of the department might be prejudiced if the officer is not suspended� s189 � �if the chief executive reasonable believes the employee is liable to discipline under a disciplinary law� Appropriate suspension provision may differ for: management action evidence gathering discipline process?Public Service Act provides for two types of suspension. s137 � suspension other than as disciplinary action s189 � suspension of public service employee liable to discipline The suspension provisions are enlivened by different criteria. s137 � �proper and efficient management of the department might be prejudiced if the officer is not suspended� s189 � �if the chief executive reasonable believes the employee is liable to discipline under a disciplinary law� Appropriate suspension provision may differ for: management action evidence gathering discipline process

8. Suspension (cont�d) Considerations before suspending Guidelines � Step 2 Alternative duties must be considered With or without remuneration (s189 only) Section 191 Appeal rights ? Act requires that alternative duties must be considered before suspension (both 137 and 189) A risk assessment needs to be conducted to determine if alternative duties are appropriate. Risk factors to assess include: The safety or well-being of other employees, clients or members of the public may be adversely affected if the employee were to remain in the workplace; The alleged behaviour of the employee is so unacceptable that it is likely to cause loss or damage to the agency either physically or through public perception; The investigation would be compromised if the employee were to remain in the workplace e.g. is there a possibility that evidence will be destroyed or witnesses may be inappropriately approached or feel intimidated; There is a likelihood that the employee will continue with the alleged unacceptable conduct and the potential impact if this were to occur. (Guidelines � Step 2: Consideration of suspension) NB: guidelines � where OM is alleged, suspension should not occur prior to CMC notification Alternative duties can be quite broad: Temporary transfer to alternative duties within the employee�s existing workplace; or Temporary transfer to alternative duties in another workplace; or Directing that the employee work under close supervision or with another officer; or Working from home; or The employee agrees to take accrued recreation and/or long service leave. Essential practice to document the alternative duties that have been considered and why they were not considered suitable. Where a decision has been made to suspend under s189, consideration can also be given to suspension without remuneration. Suspension without pay requires natural justice and gives rise to appeal rights (refer to Appeals Guide) Notable case A7451 Guidelines provide that employee should not be suspended with pay when imprisoned (or provided with lengthy paid leave)? Act requires that alternative duties must be considered before suspension (both 137 and 189) A risk assessment needs to be conducted to determine if alternative duties are appropriate. Risk factors to assess include: The safety or well-being of other employees, clients or members of the public may be adversely affected if the employee were to remain in the workplace; The alleged behaviour of the employee is so unacceptable that it is likely to cause loss or damage to the agency either physically or through public perception; The investigation would be compromised if the employee were to remain in the workplace e.g. is there a possibility that evidence will be destroyed or witnesses may be inappropriately approached or feel intimidated; There is a likelihood that the employee will continue with the alleged unacceptable conduct and the potential impact if this were to occur. (Guidelines � Step 2: Consideration of suspension) NB: guidelines � where OM is alleged, suspension should not occur prior to CMC notification Alternative duties can be quite broad: Temporary transfer to alternative duties within the employee�s existing workplace; or Temporary transfer to alternative duties in another workplace; or Directing that the employee work under close supervision or with another officer; or Working from home; or The employee agrees to take accrued recreation and/or long service leave. Essential practice to document the alternative duties that have been considered and why they were not considered suitable. Where a decision has been made to suspend under s189, consideration can also be given to suspension without remuneration. Suspension without pay requires natural justice and gives rise to appeal rights (refer to Appeals Guide) Notable case A7451 Guidelines provide that employee should not be suspended with pay when imprisoned (or provided with lengthy paid leave)

9. Evidence gathering When, who and how? Guidelines: step 3 Informing the parties What the respondent needs to know and when What to tell complainants Directions to the parties ? 187 requires that the CEO be reasonably satisfied that the discipline grounds exist. ? Investigation may not be warranted where: There is sufficient information / evidence to enable the matter to be dealt with, or In the case of matters that are the subject of court proceedings, the agency obtains court transcripts which provide sufficient evidence to support a decision to initiate disciplinary action, or Management action is to be taken as an appropriate alternative ? Need also to consider the value of an early conversation � incorporating realistic information about possible outcomes (encouraging a non-adversarial / non-criminalised approach) ? taking responsibility at any early stage. Guidelines provide an overview of when evidence gathering may be required, but do not prescribe particular processes. What information needs to be given to the respondent and at what point? To provide them with natural justice, but not breach complainant�s privacy what should the complainant be advised of? process that is going to be undertaken advice about what they will and will not be told at the end of the investigation process (and any subsequent discipline process) � protecting the privacy of all parties Natural justice for the complainant what directions are appropriate to give the parties in regard to an investigation? e.g. direction to respondent to not discuss the matter with any one else in the workplace (contextualising � i.e. explaining they will have an opportunity to nominate any witnesses during the investigation process) need to understand that action taken against another party or a witness may constitute a further complaint directions to attend interviews (v directions to answer questions) support person (v representative) ? 187 requires that the CEO be reasonably satisfied that the discipline grounds exist. ? Investigation may not be warranted where: There is sufficient information / evidence to enable the matter to be dealt with, or In the case of matters that are the subject of court proceedings, the agency obtains court transcripts which provide sufficient evidence to support a decision to initiate disciplinary action, or Management action is to be taken as an appropriate alternative ? Need also to consider the value of an early conversation � incorporating realistic information about possible outcomes (encouraging a non-adversarial / non-criminalised approach) ? taking responsibility at any early stage. Guidelines provide an overview of when evidence gathering may be required, but do not prescribe particular processes. What information needs to be given to the respondent and at what point? To provide them with natural justice, but not breach complainant�s privacy what should the complainant be advised of? process that is going to be undertaken advice about what they will and will not be told at the end of the investigation process (and any subsequent discipline process) � protecting the privacy of all parties Natural justice for the complainant what directions are appropriate to give the parties in regard to an investigation? e.g. direction to respondent to not discuss the matter with any one else in the workplace (contextualising � i.e. explaining they will have an opportunity to nominate any witnesses during the investigation process) need to understand that action taken against another party or a witness may constitute a further complaint directions to attend interviews (v directions to answer questions) support person (v representative)

10. Evidence gathering (cont�d) Timeframes and complexities External investigations Sick leave What happens next? Close process OR management action OR discipline Suspension review Does the current suspension decision remain appropriate? Guidelines � Step 3: Gathering the evidence should be completed as a matter of priority and generally no longer than 3 months Consider strategies to manage complexities associated with timeframes Investigation / action by external organisation Sick leave � discuss discontinuation or suspension of process (QPSU v Queensland Corrective Services [2006] QIRComm 136) Matters involving former employees or employees who have changed employment Next action depends on whether the evidence supports the allegations: N � close process and/or management action Y � management action and/or discipline process 187A � delegate needs to consider whether they will retain delegation to make the finding or refer the matter to the new employer to make findings (and take any subsequent actions) Information to the complainant � what can be provided? Does the evidence obtained impact on a suspension decision? should suspension now be considered? should the suspension be ceased? should the suspension be changed from a s137 to a s189 suspension?Guidelines � Step 3: Gathering the evidence should be completed as a matter of priority and generally no longer than 3 months Consider strategies to manage complexities associated with timeframes Investigation / action by external organisation Sick leave � discuss discontinuation or suspension of process (QPSU v Queensland Corrective Services [2006] QIRComm 136) Matters involving former employees or employees who have changed employment Next action depends on whether the evidence supports the allegations: N � close process and/or management action Y � management action and/or discipline process 187A � delegate needs to consider whether they will retain delegation to make the finding or refer the matter to the new employer to make findings (and take any subsequent actions) Information to the complainant � what can be provided? Does the evidence obtained impact on a suspension decision? should suspension now be considered? should the suspension be ceased? should the suspension be changed from a s137 to a s189 suspension?

11. Discipline procedure Section 190 � compliance with: Requirements of PS Act Any relevant directive Principles of natural justice s187A � discipline action after changed employment Other than for s187A, the Act does not prescribe a process. The CCE has not issued a directive on discipline for current employees ? guidelines exist and must be considered Natural justice � defined in guidelines (bias / hearing rules) The Act doesn�t require a 2 step process, however the guidelines provide for a 2 step process Discipline finding Determination of discipline action Where a single step process is to be utilised (available to be utilised) this should be reflected in agency policy. NB ? 187A - disciplinary action after an employee changes employment. If previous Director-General retains authority � can only make finding unilaterally; cannot take disciplinary action without agreement. Refer to Directive 23/10: Post Separation discipline for process following changed employment or discipline action against former employees. Other than for s187A, the Act does not prescribe a process. The CCE has not issued a directive on discipline for current employees ? guidelines exist and must be considered Natural justice � defined in guidelines (bias / hearing rules) The Act doesn�t require a 2 step process, however the guidelines provide for a 2 step process Discipline finding Determination of discipline action Where a single step process is to be utilised (available to be utilised) this should be reflected in agency policy. NB ? 187A - disciplinary action after an employee changes employment. If previous Director-General retains authority � can only make finding unilaterally; cannot take disciplinary action without agreement. Refer to Directive 23/10: Post Separation discipline for process following changed employment or discipline action against former employees.

12. Discipline findings Making a discipline finding Assessment of accepted allegations against s187 grounds Misconduct Standards of conduct One allegation ? one finding Notable case A7423 Notable case A7454 For discipline action to occur the CEO (or their delegate) must be reasonably satisfied that the employee has met one of the discipline grounds set out in s187. This requires that the delegate make an assessment as to whether the allegations (facts) as determined fall within the circumstances prescribed in s187. E.g. if an investigation has occurred and the investigator has concluded (and the delegate has accepted) that there is information that supports the substantiation of certain factual occurrences, the delegate must then make the assessment against s187. Consider: reasonably satisfied � balance of probabilities may discipline (a substantiation of the allegations and a determination that they fit within the ambit of s187 does not necessitate that a discipline process occur and the commencement of a discipline process does not mean it needs to proceed to discipline action being taken). Note � meaning of misconduct � level of seriousness. Only the most serious allegations will fall within the meaning of �misconduct� for the purpose of s.187. It requires a deliberate departure from accepted standards, serious negligence or abuse of privilege, and not mere carelessness or even incompetence. Standards of conduct � a basis for discipline under s187(f)(ii) ? A disciplinary finding can be made even though the employee has changed employment to another department (s.187A) or against a former employee (s.188A). Notable case A7423 - One set of factual circumstances (i.e. one allegation) can only result in one finding (i.e. the same facts cannot result in findings of both misconduct and a contravention of a standard of conduct). Notable case A7454 � as per A7423; same facts cannot result in both breach of standards of conduct and breach of other listed provisions (e.g. absence from duty) For discipline action to occur the CEO (or their delegate) must be reasonably satisfied that the employee has met one of the discipline grounds set out in s187. This requires that the delegate make an assessment as to whether the allegations (facts) as determined fall within the circumstances prescribed in s187. E.g. if an investigation has occurred and the investigator has concluded (and the delegate has accepted) that there is information that supports the substantiation of certain factual occurrences, the delegate must then make the assessment against s187. Consider: reasonably satisfied � balance of probabilities may discipline (a substantiation of the allegations and a determination that they fit within the ambit of s187 does not necessitate that a discipline process occur and the commencement of a discipline process does not mean it needs to proceed to discipline action being taken). Note � meaning of misconduct � level of seriousness. Only the most serious allegations will fall within the meaning of �misconduct� for the purpose of s.187. It requires a deliberate departure from accepted standards, serious negligence or abuse of privilege, and not mere carelessness or even incompetence. Standards of conduct � a basis for discipline under s187(f)(ii) ? A disciplinary finding can be made even though the employee has changed employment to another department (s.187A) or against a former employee (s.188A). Notable case A7423 - One set of factual circumstances (i.e. one allegation) can only result in one finding (i.e. the same facts cannot result in findings of both misconduct and a contravention of a standard of conduct). Notable case A7454 � as per A7423; same facts cannot result in both breach of standards of conduct and breach of other listed provisions (e.g. absence from duty)

13. Discipline for breaches of standards of conduct Application of the Code of Conduct and how it works Disciplinary action for code contraventions Nature and purpose of codes s.10 (1) codes of conduct are to apply in the performance of official functions. (2) a code provides standards of conduct consistent with the ethics principles and values. �Application The PSEA differentiates between public service agencies covered by the Code of Conduct for the Q Public Service including departments and organisations that have applied to come under the single code by PSEA Regulation public sector entities required to have their own Code, aligned with the new public sector ethics and approved by their Minister by 1 July 2011(s.26) (responsible person definition) includes statutory organisations unless they have applied to come under the single code �Compliance with codes (including any standard of practice) is required s.12H for agencies and s 18 for entities (for entities)� this means that anything you need to be able to enforce within your entity�s code must be included in a standard of conduct. �Application of codes.11 for agencies and s.13 for entities applies to all public officials, contractors and their employees, volunteers , students on work experience �Code clarifies: permanent, temporary, full-time, part-time or casual, and anyone who works in any other capacity for a Queensland public service agency and at all times when we are performing official duties including conferences, training events, on business trips �. attending work-related social events. �Part 5 Disciplinary action 23A Application of pt 5 This part does not apply to� students and volunteers �24 Disciplinary action dealt with under the Public Service Act 2008Nature and purpose of codes s.10 (1) codes of conduct are to apply in the performance of official functions. (2) a code provides standards of conduct consistent with the ethics principles and values. �Application The PSEA differentiates between public service agencies covered by the Code of Conduct for the Q Public Service including departments and organisations that have applied to come under the single code by PSEA Regulation public sector entities required to have their own Code, aligned with the new public sector ethics and approved by their Minister by 1 July 2011(s.26) (responsible person definition) includes statutory organisations unless they have applied to come under the single code �Compliance with codes (including any standard of practice) is required s.12H for agencies and s 18 for entities (for entities)� this means that anything you need to be able to enforce within your entity�s code must be included in a standard of conduct. �Application of codes.11 for agencies and s.13 for entities applies to all public officials, contractors and their employees, volunteers , students on work experience �Code clarifies: permanent, temporary, full-time, part-time or casual, and anyone who works in any other capacity for a Queensland public service agency and at all times when we are performing official duties including conferences, training events, on business trips �. attending work-related social events. �Part 5 Disciplinary action 23A Application of pt 5 This part does not apply to� students and volunteers �24 Disciplinary action dealt with under the Public Service Act 2008

14. How the Code of conduct works Ethics Principles Values Standards of conduct 4 principles - equally important Standards of Conduct - examples to guide putting principles in practice How the code works The code is based on the principles and values contained in the PSEA. The document is intended to be aspirational in nature � to encourage the highest ethical standards The standards of conduct: do not cover every possible scenario include the following standards to address this: Integrity and impartiality 1.1 Committing to the highest ethical standards (d) meeting our obligations to report suspected wrongdoing, including conduct not consistent with the Code 1.5 Demonstrating a high standard of workplace behaviour and personal conduct including (a) demonstrating respect for all persons (d) ensuring our private conduct maintains the integrity of the public service and our ability to perform our duties, and (e) complying with legislative and/or policy obligations to report employee criminal charges and convictions. Commitment to the system of government 3.1 Committing to our roles in public service including (c) complying with the laws of State, Australian and local governments, (d) complying with all relevant awards, certified agreements, subsidiary agreements, directives, whole-of-government policies and standards, and **(e) adhering to the policies, organisational values and organisational documents of our employing agency. Accountability and transparency 4.1 Ensuring diligence in public administration **(d) complying with all reasonable and lawful instructions, whether or not we personally agree with a given policy direction. 4.5 Committing to innovation and continuous performance improvement including (c) actively participating in employee performance management processes, including induction, performance planning and development. � including managing unsatisfactory performance How the code works The code is based on the principles and values contained in the PSEA. The document is intended to be aspirational in nature � to encourage the highest ethical standards The standards of conduct: do not cover every possible scenario include the following standards to address this: Integrity and impartiality 1.1 Committing to the highest ethical standards (d) meeting our obligations to report suspected wrongdoing, including conduct not consistent with the Code 1.5 Demonstrating a high standard of workplace behaviour and personal conduct including (a) demonstrating respect for all persons (d) ensuring our private conduct maintains the integrity of the public service and our ability to perform our duties, and (e) complying with legislative and/or policy obligations to report employee criminal charges and convictions. Commitment to the system of government 3.1 Committing to our roles in public service including (c) complying with the laws of State, Australian and local governments, (d) complying with all relevant awards, certified agreements, subsidiary agreements, directives, whole-of-government policies and standards, and **(e) adhering to the policies, organisational values and organisational documents of our employing agency. Accountability and transparency 4.1 Ensuring diligence in public administration **(d) complying with all reasonable and lawful instructions, whether or not we personally agree with a given policy direction. 4.5 Committing to innovation and continuous performance improvement including (c) actively participating in employee performance management processes, including induction, performance planning and development. � including managing unsatisfactory performance

15. Discipline findings (cont�d) Natural justice One or two step process Assessment of response Timeframes Appeal rights Suspension review Once an assessment has been made that the facts appear to enliven s187, the subject officer must be provided with natural justice. Options: 2 step process (as per guidelines) - issue a first notice to show cause on the discipline finding 1 step process - proceed to make a discipline action assessment before the natural justice process Assessment of response (2 step process) Upon receipt of the response or at the end of the show cause period the delegate should review all the evidence available. Where there is more than one allegation there must be a separate finding for each allegation and a reason provided. The agency must consider: Whether the employee has a reasonable excuse; and Whether this excuse mitigated any potential responsibility for disciplinary action. ? The delegate must determine whether to: Confirm that the employee is liable for disciplinary action and consider imposing discipline action Confirm that the employee is liable for disciplinary action and consider both imposing discipline action and implementing management action Alter their finding that the officer is liable for disciplinary action and determine that management action is still required to satisfactorily deal with the matter Alter their finding that the officer is liable for disciplinary action and determine that no further action is required. and Consider what management actions may be needed in relation to the complainant. Maintain the privacy of all parties in determine and implementing actions arising out of the findings. ?Timeframes - 2 step process (guidelines) < =14 days from referral to delegate to make a determination =>14 days to respond to NTSC Need to consider information to be provided to subject officer where agency may not meet proposed timeframes (i.e. why) Appeal rights 194(1)(b) � appeal right enlivened by finding (do not have to wait until the discipline action is determined). Refer to Appeals Officer communiqu� 03/2011. Corresponding obligation to advise of appeal rights Does not prevent the continuation of the process Need to review appropriateness of suspension decisionOnce an assessment has been made that the facts appear to enliven s187, the subject officer must be provided with natural justice. Options: 2 step process (as per guidelines) - issue a first notice to show cause on the discipline finding 1 step process - proceed to make a discipline action assessment before the natural justice process Assessment of response (2 step process) Upon receipt of the response or at the end of the show cause period the delegate should review all the evidence available. Where there is more than one allegation there must be a separate finding for each allegation and a reason provided. The agency must consider: Whether the employee has a reasonable excuse; and Whether this excuse mitigated any potential responsibility for disciplinary action. ? The delegate must determine whether to: Confirm that the employee is liable for disciplinary action and consider imposing discipline action Confirm that the employee is liable for disciplinary action and consider both imposing discipline action and implementing management action Alter their finding that the officer is liable for disciplinary action and determine that management action is still required to satisfactorily deal with the matter Alter their finding that the officer is liable for disciplinary action and determine that no further action is required. and Consider what management actions may be needed in relation to the complainant. Maintain the privacy of all parties in determine and implementing actions arising out of the findings. ?Timeframes - 2 step process (guidelines) < =14 days from referral to delegate to make a determination =>14 days to respond to NTSC Need to consider information to be provided to subject officer where agency may not meet proposed timeframes (i.e. why) Appeal rights 194(1)(b) � appeal right enlivened by finding (do not have to wait until the discipline action is determined). Refer to Appeals Officer communiqu� 03/2011. Corresponding obligation to advise of appeal rights Does not prevent the continuation of the process Need to review appropriateness of suspension decision

16. Discipline action Determining appropriate discipline action Consistency Use of transfers: Notable case A7423 Impact of suspension / delay on discipline action: Notable case A7415 Changed employment Former employee Appeal rights S188 provides a list of possible discipline actions that may be taken. It is not exhaustive. Notable appeals cases provide an indication of what types of disciplinary action may (or may not) be appropriate in particular circumstances. s187A � Discipline action after change in employment If delegate from original agency retained delegation, has made a finding that disciplinary grounds exist and is considering imposing disciplinary action they need to then liaise with the delegate of the new agency to determine the appropriate action. If the delegation was referred to the new agency to make both findings and determine any action, the new delegate proceeds the same as a discipline matter involving any other employee. s188A � Discipline action against former employee only disciplinary action that can be taken is a disciplinary declaration (188A(7)) and this can only be made if the disciplinary action that would have otherwise been taken was termination or reduction of classification level. determination of appropriate disciplinary action applies the same standards as for a current employee, but the action is limited. Discuss appeal rights and implementation of appeal decision Directive 19/10: Appeals � Schedule B (2)(c) � action not implemented under 21 days with no appeal lodged (other than termination of employment) Genuine consideration of response to proposed actionS188 provides a list of possible discipline actions that may be taken. It is not exhaustive. Notable appeals cases provide an indication of what types of disciplinary action may (or may not) be appropriate in particular circumstances. s187A � Discipline action after change in employment If delegate from original agency retained delegation, has made a finding that disciplinary grounds exist and is considering imposing disciplinary action they need to then liaise with the delegate of the new agency to determine the appropriate action. If the delegation was referred to the new agency to make both findings and determine any action, the new delegate proceeds the same as a discipline matter involving any other employee. s188A � Discipline action against former employee only disciplinary action that can be taken is a disciplinary declaration (188A(7)) and this can only be made if the disciplinary action that would have otherwise been taken was termination or reduction of classification level. determination of appropriate disciplinary action applies the same standards as for a current employee, but the action is limited. Discuss appeal rights and implementation of appeal decision Directive 19/10: Appeals � Schedule B (2)(c) � action not implemented under 21 days with no appeal lodged (other than termination of employment) Genuine consideration of response to proposed action

17. Combining discipline findings and action One step process Natural justice When proposed findings are not confirmed Note: Guidelines section 6 and 7 If a one step process has been used need to consider the natural justice implications if not all of the proposed findings are confirmed. does this alter the proposed disciplinary action? if so, need to provide a further opportunity to respond to the new proposed actionNote: Guidelines section 6 and 7 If a one step process has been used need to consider the natural justice implications if not all of the proposed findings are confirmed. does this alter the proposed disciplinary action? if so, need to provide a further opportunity to respond to the new proposed action

18. Information about disciplinary action 188B � relevant to: Appointment / employment decisions Disciplinary findings / action / declarations 179A � disclosure of serious disciplinary action s188B provides that where a request is made by a CEO for disciplinary information to enable a decision about appointment/employment or disciplinary findings / action / declarations, then the CEO who holds the information must provide it unless it will prejudice the investigation of a suspected breach of the law. Disciplinary info defined to be info about: a current investigation into whether a person should be disciplined finding that discipline should occur possible disciplinary action being considered disciplinary action taken, incl. a disciplinary declaration s179A provides an obligation for an employee, who is requested, to disclose previous serious discipline action, if a CEO proposes to employ them. Serious disciplinary action is defined as: termination reduction in classification or rank transfer or redeployment reduction of remuneration level disciplinary declaration NOTE: disciplinary law means PS Act, disciplinary provision in an award or industrial agreement or a law prescribed under regulations188B provides that where a request is made by a CEO for disciplinary information to enable a decision about appointment/employment or disciplinary findings / action / declarations, then the CEO who holds the information must provide it unless it will prejudice the investigation of a suspected breach of the law. Disciplinary info defined to be info about: a current investigation into whether a person should be disciplined finding that discipline should occur possible disciplinary action being considered disciplinary action taken, incl. a disciplinary declaration s179A provides an obligation for an employee, who is requested, to disclose previous serious discipline action, if a CEO proposes to employ them. Serious disciplinary action is defined as: termination reduction in classification or rank transfer or redeployment reduction of remuneration level disciplinary declaration NOTE: disciplinary law means PS Act, disciplinary provision in an award or industrial agreement or a law prescribed under regulation

19. Closing the process Suspension Strategies to support a return to duty Notable case A7415 Retention of records Where an employee has been suspended need to consider what strategies are reasonable and appropriate to support the employees return to the workplace. Information to be provided to the complainant completion of the process outcome is personal information of the subject officer and therefore must be managed in accordance with the Information Privacy Act. Retention of records All aspects of the disciplinary process including any follow up action, should be recorded on a confidential discipline file and not placed on the officer�s personnel file. The personnel file is to contain a reference to the existence of the discipline file only and the outcome of the disciplinary process including any penalty that was imposed. Copy of action letter ok provided no details of the allegations, etc were included and only the discipline outcome and action were included. General Retention and Disposal Schedule for Administrative Records : QDAN249 v.6 � Section 11.4, 11.6 and 11.8 Where an employee has been suspended need to consider what strategies are reasonable and appropriate to support the employees return to the workplace. Information to be provided to the complainant completion of the process outcome is personal information of the subject officer and therefore must be managed in accordance with the Information Privacy Act. Retention of records All aspects of the disciplinary process including any follow up action, should be recorded on a confidential discipline file and not placed on the officer�s personnel file. The personnel file is to contain a reference to the existence of the discipline file only and the outcome of the disciplinary process including any penalty that was imposed. Copy of action letter ok provided no details of the allegations, etc were included and only the discipline outcome and action were included. General Retention and Disposal Schedule for Administrative Records : QDAN249 v.6 � Section 11.4, 11.6 and 11.8

20. Conduct as a complaints handler Code of conduct obligations on complaints handlers / case managers Important to remember the application of the Code of Conduct to complaints handlers/ case managers: Integrity and Impartiality 1.1 Committing to the highest ethical standards including (a) ensure any advice that we provide is objective, independent, apolitical and impartial (b) ensuring our decision making is ethical �1.2 Managing conflicts of interest: (a) disclosing a personal interest that could be seen as influencing the performance of our duties. 1.5 Demonstrating a high standard of workplace behaviour and personal conduct including (a) treating co-workers, clients and members of the public with courtesy and respect Promoting the public good �2.1 Committing to excellence in service delivery (a) delivering services fairly, courteously, effectively, and using resources efficiently and economically (c) treating complaints from clients and the community seriously Commitment to the system of government 3.1 Committing to our roles in public service (c) complying with the laws of State, Australian and local governments (d) complying with all relevant awards, certified agreements, subsidiary agreements, directives, whole- of-government policies and standards, and (e) adhering to the policies, organisational values and organisational documents of our employing agency. Accountability and transparency 4.1 Ensure diligence in public administration (a) applying due care in our work, and provide accurate and impartial advice to all clients (b) treating all people equitably and consistently, and demonstrate the principles of procedural fairness and natural justice when making decisions (c) exercise our lawful powers and authority with care and for the purpose for which these were granted, and 4.4 Ensure appropriate use and disclosure of official information (a) treat official information with care and use it only for the purpose for which it was collected or authorised (c) not use confidential or privileged information to further personal interests. Important to remember the application of the Code of Conduct to complaints handlers/ case managers: Integrity and Impartiality 1.1 Committing to the highest ethical standards including (a) ensure any advice that we provide is objective, independent, apolitical and impartial (b) ensuring our decision making is ethical �1.2 Managing conflicts of interest: (a) disclosing a personal interest that could be seen as influencing the performance of our duties. 1.5 Demonstrating a high standard of workplace behaviour and personal conduct including (a) treating co-workers, clients and members of the public with courtesy and respect Promoting the public good �2.1 Committing to excellence in service delivery (a) delivering services fairly, courteously, effectively, and using resources efficiently and economically (c) treating complaints from clients and the community seriously Commitment to the system of government 3.1 Committing to our roles in public service (c) complying with the laws of State, Australian and local governments (d) complying with all relevant awards, certified agreements, subsidiary agreements, directives, whole- of-government policies and standards, and (e) adhering to the policies, organisational values and organisational documents of our employing agency. Accountability and transparency 4.1 Ensure diligence in public administration (a) applying due care in our work, and provide accurate and impartial advice to all clients (b) treating all people equitably and consistently, and demonstrate the principles of procedural fairness and natural justice when making decisions (c) exercise our lawful powers and authority with care and for the purpose for which these were granted, and 4.4 Ensure appropriate use and disclosure of official information (a) treat official information with care and use it only for the purpose for which it was collected or authorised (c) not use confidential or privileged information to further personal interests.

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