Professional Conduct Guidelines - B. Misconduct, October 2006

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• A decision will be made by the Chief Executive based on the facts and available information contained in the Investigation Report. • That the employee will be notified in writing of the outcome and where misconduct is established, the proposed action to be taken. Subject to any legislative or confidentiality requirements precluding disclosure, if disciplinary action is being considered the employee will receive a copy of the Investigation Report. If the matter concerns a Protected Disclosure, the identity of the person who made the disclosure is only to be disclosed if it is essential having regard to the principles of procedural fairness – that is, essential for the person to be able to respond to the allegations. If the matter does not concern a Protected Disclosure the identity of the person who made the disclosure should be revealed. • That he/she will be given an opportunity to make submissions to the Chief Executive in relation to any proposed action before it is implemented – the submission may also include comments on the Investigation Report. • That, prior to a decision on penalty, he/she may request an interview with the Chief Executive accompanied by a representative. • When a copy of the record of interview/statement will be available for signature. Investigators must advise the witness: • When a copy of the record of interview/statement will be available for signature. • That the matters discussed at interview are confidential and should not be discussed with any other person. • That following the completion of the investigation that an Investigation Report will be provided to the Chief Executive. Obligations post interview Following interview, the investigator/s must: • Prepare the record of interview/statements as soon as possible. • Provide the employee and other witnesses with a copy of his/her record of interview/statement and invite him/her to read and sign all copies. 16
• Any issues about the content of the record of interview/statement should be discussed and resolved between the parties. The record of interview/statement should be altered to reflect the agreed changes. • If the record of interview/statement is not agreed to and if the issues cannot be resolved, the employee or witness should be asked to submit a statement outlining their reasons for not signing the record of interview/statement. The investigators should also record their reasons for not agreeing to requested changes. These reports must be included in the Investigation Report. Victimisation or harassment If a witness informs the investigator that he/she is being victimised or harassed by the employee who is the subject of a misconduct investigation, The investigator should: • inform the witness that they are not required to speak to the employee and that the alleged victimisation/harassment should be reported to the Chief Executive, • not attempt to inquire into any such allegation because it is a separate allegation and requires independent consideration, and report the allegation in writing to the Chief Executive, or other senior employee delegated to such a role, so that the complaint can be dealt with. 8.3.3 Opportunity to respond to the allegations as required by clause 17(2)(b) of the Regulation Where a response is to be made orally, the employee is provided with a letter from the investigator detailing the nature of the allegations and advising the time and place of the proposed interview (usually at least 7 days – the period will depend however upon the complexity and details of matter). Where a written response is called for, a minimum of 7 to 10 days is given. Again, the period will depend on the complexity and details of the matter. The letter (see Sample letter 5) must: • specify in detail the issue/s alleged – this requires clarity with sufficient detail to enable an accurate response. • give such relevant information that will fairly enable the employee to respond – this might include the date, time, location, and details of the alleged incident. 17
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Page 5 and 6: 6.2 Misconduct - employee resigns o
Page 7 and 8: 8.3.3 Opportunity to respond to all
Page 9 and 10: the employee may continue working,
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Page 13 and 14: consideration by the Chief Executiv
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Page 19 and 20: Further Inquiries following receipt
Page 21 and 22: • To maintain appropriate standar
Page 23 and 24: However, if any further inquiry res

Professional Conduct Guidelines - B. Misconduct, October 2006

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