Integrity in the ACT Public Service

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Integrityin the ACT Public Service
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What is covered

• Introduction
• Section 1 - Ethics
• Legislative obligations
• Key issues
• Accountability
• Section 2 - Fraud and corruption
• Prevention
• Handling of cases
• Section 3 Public Interest Disclosure

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Section 1 - Ethical framework

• Why it is important
• Legislation
• Some thoughts about ethics
• Key Issues
• General ethical matters
• Ethics in dealing with Government and Assembly
• Ethics in relations with the community
• Ethics in the way we work
• Ethics in working with each other
• Accountability

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Why it is important

• Because the community has ethical expectations of
  us, based upon our culture (Westminster system of
  democracy) and these are reflected in
  legislation.

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The legislative structure

• The core expectations set out in Part 2.1 of the
  Public Sector Management Act 1994
• Section 6 Values and Principles
• Section 7 General Principles of Public
  Administration
• Section 8 General Principles of Management in
  Employment Matters
• Section 9 General Obligations of Public Employees

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Lets focus on

• Section 6 Values and Principles
• service to the public
• responsiveness to the government and the needs of
  the public
• accountability fairness and integrity
• efficiency and effectiveness
• Section 9 General Obligations of Public Employees
• full text of Section 9 in workbook

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Other elements of the framework

• Legislative elements
• Public Interest Disclosure Act 1994
• Commonwealth Privacy Act 1988
• Discrimination Act 1991
• Government Procurement Act 2001
• Financial Management Act 1996
• Crimes (Offences Against the Government) Act 1989
  
• Recruitment provisions of Public Sector
  Management Act 1994

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More elements of the framework

• Guideline material
• Public Sector Management Standards
• Best Practice Notes
• Guide to Code of Ethics
• Guide to Public Interest Disclosure
• Integrity Policy
• Documents are available on the Industrial
  Relations and Public Sector Management Group
  website at http//www.psm.act.gov.au/legislation.h
  tm

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General ethical matters

• Impartiality
• Putting aside your personal beliefs and
  preferences in doing your job
• Efficiency and effectiveness
• Best use of community resources
• Procedural fairness decisions must be
• reasonable, fair, just, transparent, reasons for
  decisions to be explained, no bias, based on
  evidence and persons adversely affected can
  provide views

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More general ethical matters

• Avoidance of conflict of interest
• disclose, remove yourself from decision, divest
• Responsiveness
• be familiar with policies and aspirations of the
  government
• Avoidance of discrimination and harassment
• Safe harmonious workforce, avoid unlawful
  discrimination, treat colleagues and community
  with courtesy

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Ethics in dealing with Government and Assembly

• Serving the government
• free, frank, impartial, bipartisan
• Political activity and public comment
• party membership, maintaining public confidence,
  confidentiality
• Relations with Assembly, Ministerial Advisers and
  Opposition
• no comment on policy, contact with Opposition
  through Ministers offices
• Caretaker arrangements

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Ethics in relations with the community

• Delivery of service to community
• fair, consistent, courteous, responsive, duty of
  care, assist in understanding entitlements and
  obligations, sensitive to diversity
• Tendering
• high ethical standards, avoid conflict of
  interest, full documentation
• Gifts and benefits
• prohibited from using position to gain benefits,
  rules on gifts, sponsored travel, hospitality,
  frequent flyer points

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Ethics in the way we work

• Use of Territory Resources
• Avoid improper use, waste and extravagance
• Use of Internet and Email
• Strict agency policies, limited private use, not
  access or communicate offensive material
• Official and Personal Information
• Only disclose with authority, privacy, leaving
  the Service
• Reporting fraud and maladministration
• Outside employment
• Must seek approval

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Ethics in working with each other

• Courtesy and inclusiveness in dealing with
  colleagues
• Discrimination Act, equity in employment,
  sensitivity to diversity
• Use of alcohol
• Strict agency rules, consumption at social
  functions needs approval
• Avoidance of harassment and bullying
• Care in behaviour after hours and work-related
  functions
• Fairness in staffing decisions

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Accountability

• As a member of the ACT Public Service, we are
  accountable
• to the Minister for the responsibility and
  authority we exercise on his or her behalf
• for upholding the law and adhering to the
  policies and guidelines of the government
• ensuring that the programs agreed by the
  government are delivered effectively, impartially
  and courteously
• maintaining clear records of the reasons for our
  decision-making

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Defining accountability

• we can take (accountability) to refer to a
  relationship in which one party, the holder of
  accountability, has the right to seek information
  about, to investigate and to scrutinise the
  actions of another party, the giver of
  accountability.
• Accountability is a situational concept in that
  it needs to be specified in context who is
  accountable to whom and for what?
• Richard Mulgan 2002 Accountability Issues in the
  New Model of Governance Paper for Political
  Science Program seminar, RSSS, 3 April 2002

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Which is not the same as

• Responsibility which may include accountability
  but can also refer to the capacity for individual
  choice and action (acting responsibly)
  exercised without reference to any other persons
• Responsiveness which refers to the willingness
  of agents to meet the wishes of principals
• Systems of control and regulation often include
  accountability mechanisms, as when people are
  held accountable for breaking the law or for
  acting unprofessionally. But they are not
  identical to these mechanisms

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Layers of accountability

• We are accountable to our Minister through the
  supervisory structure
• We are accountable to the Assembly through
  Assembly Committees
• We are accountable to the Assembly through the
  Auditor-General and the Ombudsman
• We are accountable to the community through the
  review of decisions by the courts

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Section 2 Dealing with fraud and corruption

• Legislative framework
• Definition and examples of fraud
• Definition and examples of corruption
• Management responsibilities
• Employee responsibilities
• Initial steps when a case is suspected
• Investigating cases
• Reporting obligations

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Framework for fraud and corruption control

• Crimes (Offences Against the Government) Act 1989
• Public Sector Management Act 1994
• Public Sector Management Standards.
• Integrity Policy
• Chief Executive Financial Instructions.
• Department or agency Fraud and Corruption
  Prevention Plan.

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What is fraud?

• 'fraud' means taking or obtaining by deception,
  money or another benefit from the government when
  not entitled to the money or benefit, or
  attempting to do so - this includes evading a
  liability to government

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Elements of fraud

• Unlawful
• Deliberate/intentional
• Deceptive
• Objective of obtaining a personal benefit from
  the Government to which the person is not
  entitled
• Committed by members of the public service, the
  community or external providers
• Includes attempts and evasion of liability

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Examples of fraud

• Theft of money or assets owned by the Government
• Using Government owned equipment for personal
  benefit
• Misusing/leaking information for personal benefit
• Manipulation of, or unauthorised access to, IT
  databases for personal gain

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More examples of fraud

• False claims for petty cash
• Payment of travel and other allowances without
  entitlement or in excess of entitlement
• Selection of suppliers /consultants other than by
  merit
• Contract management
• Misuse of credit card/Cab Charge

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Even more examples of fraud

• False claims for payments/payroll transactions.
• False claims for promotion or recruitment.
• Misuse of leave/flex-time.
• Theft of revenue.
• Theft/misuse of grant funding/scholarships.

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What is corruption?

• 'corruption' in relation to an employee means
  that the employee seeks, obtains or receives any
  benefit, other than lawful salary and allowances,
  on the understanding that the employee will do or
  refrain from doing anything in the course of
  their duties or will attempt to influence any
  other employee on behalf of any person

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Elements of corruption

• An officer
• Seeks, obtains or receives a benefit
• Agreement to do or abstain from doing an act that
  is part of officers duties or
• Attempts to influence another officer in relation
  to that officers duties.

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Examples of corruption

• Lack of impartiality in performance of duties
• Using your position to harass the public
• Unlawful coercion
• Failing to declare conflicts of interest
• Taking improper advantage of your position
• Taking improper advantage of official information
• Unauthorised disclosure of official information
• Improper use of official comment
• Improper use of Territory property

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Management responsibilities for integrity

• Promoting ethical behaviour and standards.
• Raising awareness of fraud and corruption
  management.
• Preventing, detecting, investigating and
  reporting suspected fraud and corruption

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More management responsibilities for integrity

• Recovering money or property lost through
  fraudulent activity.
• Ensuring appropriate systems of control
• Conducting an integrity risk assessment and
  developing a fraud and corruption prevention plan
  every 2 years

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Employee responsibilities for integrity

• Section 9(q) of the PSM Act requires
• "A public employee shall, in performing his or
  her duties
• report to an appropriate authority -
• any corrupt or fraudulent conduct in the public
  sector that comes to his or her attention.
• any possible maladministration in the public
  sector that he or she has reason to suspect."

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Reporting suspected fraud and/or corruption

• Suspected fraud should be reported to your
  supervisor or manager
• Or, if this isnt considered appropriate in the
  circumstances then report to
• the Senior Executive Responsible for Business
  Integrity Risk (SERBIR) or
• the Chief Executive Officer or
• the Auditor General

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Initial steps to be taken when fraud or
corruption is suspected

• Do not confront suspect
• Be discrete
• Make notes of your reasons for suspicion
• Notes should include reference to all material
  events, documents, conversations and things that
  tend to raise your suspicion
• Note relevant actions that you may have taken

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More initial steps

• Retain any documents that relate to the incident
  taking care
• Not to alter the documents in any way
• To retain any attachments as found
• To protect them from any damage
• To minimise handling and to avoid the addition of
  further fingerprints
• Report the matter as soon as possible

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Management responsibilities for dealing with
suspected cases of fraud or corruption

• SERBIR takes primary responsibility
• A decision will be taken
• In the most serious cases, the matter is referred
  to the Australian Federal Police
• For other complex cases a qualified investigator
  (perhaps from the private sector) will be
  assigned to the case
• For minor cases an experienced officer will
  undertake an enquiry

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Section 3 Public interest disclosure (PID)

• Public Interest Disclosure Act 1994
• Who to disclose to
• What can be disclosed
• Protections under the Public Interest Disclosure
  Act 1994

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The Public Interest Disclosure Act 1994

• Act provides procedures for
• Making Disclosures
• Assisting and providing information about making
  disclosures
• Protection for persons making disclosures from
  unlawful reprisals
• Confidentiality
• Acting upon disclosures

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Using the Public Interest Disclosure Act 1994

• If the matter you are thinking about reporting
• involves serious wrongdoing and
• you believe reporting it could possibly involve
  some negative impact upon you or
• you are worried about breaching confidentiality
  provisions,
• you will be covered by protections in the Public
  Interest Disclosure Act 1994.
• Do not hesitate to use your rights under this
  legislation

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Who to disclose to

• If you wish to use the protections offered by
  the PID Act you may report the issue to
• any ACT Government agency
• the Ombudsman's Office or
• the Auditor-General.

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What can be disclosed

• What is disclosable conduct?
• Criminal offences
• Disciplinary offences
• Conduct adversely affecting impartial performance
  of official functions
• Dishonest or partial conduct in official
  functions
• Conduct on the part of current or past public
  officials or agencies amounting to a breach of
  public trust
• Misuse of official information

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More of what can be disclosed

• Examples of disclosable conduct
• bias
• misuse of information
• dishonesty at work
• negligent or improper management of government
  funds
• victimising a person because they have made a
  public interest disclosure (this is called
  unlawful reprisal)
• trying to influence a public sector employee to
  act improperly

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Protections under the PID Act

• When a person has made a disclosure under the PID
  Act
• it is a criminal offence to take reprisal action
  against that person
• an employee can be relocated
• the person can seek an injunction to stop
  reprisal action
• the person can seek damages
• confidentiality provisions may be waived

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Any questions?