Protected Disclosures Policy

This policy applies to anyone who is (or was formally) a Council employee, homeworker, secondee, contractor, volunteer, elected member or involved in the management or governance of the Council, this includes the CE, Mayor, Councillors, Community Board members and independent members of Council committees. 

All employees and elected members of the Council must facilitate the disclosure and investigation of matters of serious wrongdoing in or by the Council.

The Protected Disclosures (Protection of Whistleblowers) Act 2022 seeks to promotes public interest by facilitating the disclosure and investigation of serious wrongdoing in the workplace, and protections for individuals who make disclosures.

The Council’s policy reflects our commitment to protecting people who disclose serious wrongdoing in accordance with the Protected Disclosures (Protection of Whistleblowers) Act 2022(external link) (the Act).  

• The Council is committed to integrity, high standards and accountable conduct.
• The Council does not tolerate any form of serious wrongdoing and encourages reporting of serious wrongdoing by its employees.
• Everyone is encouraged to speak up about serious wrongdoing if they have reasonable concerns.
• All disclosers will be treated fairly and consistently.
• A discloser has the right to report a serious wrongdoing without possible negative repercussions affecting them.

This policy provides the internal procedures Council will follow to encourage, receive, and investigate protected disclosures. 

The Act provides protections for person(s) who make a protected disclosure.  A person makes a protected disclosure when they:

• believe on reasonable grounds that there is, or has been, serious wrongdoing in or by their organisation; and
• they disclose information about this in accordance with the Act, and 
• they do not disclose it in bad faith. 

A person who discloses information is known as a discloser. 

Under the Act a discloser is entitled to certain protections. 

Serious Wrongdoing can include:

• unlawful, corrupt, or irregular use of public money or resources.
• conduct that poses a serious risk to public health, safety, or the health and safety of any individual, or to the environment or the maintenance of the law.
• an offence.
• gross negligence or gross mismanagement by public officials.

The full definition of serious wrongdoing can be found in schedule one of this Policy.

A discloser is entitled to protection under the Act for making a protected disclosure to the Council’s Protected Disclosures Officer, the CE, or an appropriate authority. 

The Protected Disclosures Officer, CE, or the appropriate authority are the receiver. 

A discloser is entitled to protection even if:

1. they are mistaken and there is no serious wrongdoing. 
2. they do not refer to the name of the Act when making a disclosure. 
3. they also make the disclosure to another person, as long as they do so on a confidential basis; and for the purposes of seeking advice about whether or how to make a protected disclosure. 

A discloser can disclose to an appropriate authority (including the Ombudsman) at any time whether they have also disclosed the serious or suspected serious wrongdoing to the Council or to another appropriate authority.  

The Act provides a number of protections to a discloser, and these are set out in detail in sections 17 to 24 of the Act.  Protections include:

• the Council will use its best endeavours to keep information confidential that might identify the discloser.
• the Council cannot retaliate or threaten to retaliate against an employee because the employee intends to or has made a protected disclosure.
• the Council cannot treat or threaten to treat a discloser less favourably than others in the same or substantially the same circumstances because of a protected disclosure.
• no civil, criminal, or disciplinary proceedings can be taken against a person because of making a protected disclosure, or for referring one to an appropriate authority.

In terms of confidentiality, the Council may need to release information that identifies the discloser and will only do so if the discloser consents to the release of the information or there are reasonable grounds to believe the release of the information is essential:

• for the effective investigation of the disclosure.
• to comply with the principles of natural justice.

If this is required, the Council will consult with the discloser before the information is released.

Council may also need to release information that identifies the discloser if there are reasonable grounds to believe the release of the information is essential:

• to prevent serious risk to public health or safety, the health and safety of any individual, or the environment.
• to an investigation by a law enforcement or regulatory agency.

In such cases, the Council will consult with the discloser (if practicable) before the information is released and inform the discloser following the release.   

A discloser is not entitled to protections under the Act if:

• they know the allegations are false.
• they make the disclosure in bad faith.
• the information they are disclosing is protected by legal professional privilege.

If a person suspects any serious wrongdoing in or at the Council, they should make a protected disclosure.

The appointment of Council’s Protected Disclosures Officer is delegated to the CE in consultation with the Chair of the Audit and Risk Management Committee.  The person in this role can receive disclosures in line with this policy. Protected disclosures should be communicated formally by email to: 

• Email: SpeakUp@ccc.govt.nz or KooreroMai@ccc.govt.nz or any other channels as communicated by the Protected Disclosures Officer.

People considering making a protected disclosure may wish to have a confidential conversation with the Protected Disclosures Officer about their concerns. Any such conversations will be considered under this policy as confidential. 

If a discloser believes on reasonable grounds, it is not appropriate to make the protected disclosure to the Protected Disclosures Officer because the Officer might be involved in the serious wrongdoing or have a relationship or association with a person involved in the alleged wrongdoing, then a protected disclosure can be made to the CE.  

The Council will provide practical assistance and advice to the discloser, Such as:

• Access to Council’s Employee Assistance Programme. 
• Advice and support from the People and Culture Team.

A discloser can also get in contact with an appropriate authority at any time to make a protected disclosure. An example list of an appropriate authority is outlined in Schedule Two of this Policy.

A protected disclosure will be handled at the Council as outlined below.  

Acknowledge

The Council will acknowledge to the discloser the date the disclosure was received (and, if the disclosure was made orally, summarise the receiver’s understanding of the disclosure).

Consider

The Council will consider the disclosure and whether it warrants investigation.

Check

The Council will check with the discloser whether the disclosure has been made elsewhere. 

Deal with it

The Council will deal with the matter by doing one or more of the following:

1.  investigating the disclosure.
   1. an investigation into the suspected fraud or corruption may be carried out internally, or where appropriate, by overseeing a contracted specialist investigator.  
2. addressing any serious wrongdoing by acting or recommending action.
3. referring the disclosure to another appropriate authority (following consultation with the discloser and the other authority).  For example: this might happen if the information contains reference of criminal conduct which is better dealt with by the Police.
4. deciding that no action is required.

Inform

Inform the discloser (with reasons) about what the receiver has done or is going to do to deal with the matter.  

In line with the Act, the Council will aim to complete these actions within 20 working days of receiving the disclosure.  However, in some cases, more time may be needed, for example, if further investigation is warranted.  If this is the case, the Council will keep the discloser informed of progress and expected timeframes required to deal with the disclosure. 

The receiver of a disclosure may decide that no action is required. If this is the case the receiver will inform the discloser of their decisions and reasons for that decision.

If a person believes on reasonable grounds that the Council has not acted as it should or has not dealt with the matter, then the discloser can make a disclosure to:

• An appropriate authority, such as WorkSafe, the Ombudsman or Auditor General.
• A Minister; or
• the Speaker, (if the disclosure relates to serious wrongdoing in or by the office of an officer of Parliament, the office of the Clerk of the House of Representatives, or the Parliamentary Service).

Definitions

Example list of concerns and examples of appropriate authorities

Role of Ombudsmen in providing information and guidance

An Ombudsman may provide information and guidance to any person on any matter about the Act (either after a request or at the Ombudsman’s discretion).

If a discloser notifies an Ombudsman that the discloser has made, or is considering making, a protected disclosure, an Ombudsman must provide information and guidance to the discloser about the following (as relevant):

1. which disclosures are protected under the Act:
2.  the persons to whom information may be disclosed under the Act:
3. how to disclose information in accordance with sections 11 and 12 in order to be entitled to protection under the Act:
4. a summary of the role of each appropriate authority:
5. the protections available under the Act and under the Human Rights Act 1993:
6. how a disclosure may be referred under section 16 of the Act.

An Ombudsman may—

1. provide information and guidance to organisations and disclosers about the circumstances in which anonymous protected disclosures may be made; and
2. otherwise provide advice and assistance to organisations and other persons about the duty of confidentiality in section 17.

• Protected Disclosures (Protection of Whistleblowers) Act 2022.
• Privacy Act 2020.
• Employment Relations Act 2000.
• Local Government Official Information and Meetings Act 1987.
• Office of the Auditor-General: Putting integrity at the core of how public organisations operate.