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Last updated: 19 February 2007
Handling Misconduct : A human resources practitioner's guide to the reporting and handling of suspected and determined breaches of the APS Code of Conduct
This good practice guide has been developed to assist human resource practitioners in agencies to review and improve their guidance material and procedures for reporting and dealing with suspected breaches of the Code. Actions that are suspected breaches, or determined to be breaches of the Code, are referred to as suspected misconduct or misconduct in this guide.
The material in this document is provided for guidance and should not be relied upon as a substitute for detailed advice when making decisions in Code of Conduct cases. See specifically the material under the heading 'Limitations to this guide', for further information.
Contents
- Acknowledgement
- Outline
- How to use this guide
- Further advice/sources of information
- Legal issues
Part 1: Framework and overview for handling misconduct
- Framework
- Legislative framework
- Handling misconduct
- Terminology
- Overview of the process for handling misconduct
- Misconduct in the APS
- Agency-based codes of conduct/expected behaviours
- Relationship between misconduct and performance management processes
- The connection between work and misconduct
- Misconduct that may also be a criminal act
- The process for handling misconduct
- Roles and responsibilities in handling misconduct
- Key points for agency guidance material
Part 2: Main steps in handling misconduct
- Reporting suspected misconduct
- Whistleblowing provisions and reporting of misconduct
- Encouragement to report misconduct
- Employees reporting or witnessing misconduct—protection from retribution
- Key points for agency guidance material
- Considering a report of suspected misconduct
- Consistency of approach
- Whether to start a misconduct action
- Alternatives for addressing conduct-related concerns
- Deciding whether to reassign duties or suspend
- Key points for agency guidance material
- Investigative process
- Selecting a decision maker
- Deciding on the scope of the investigation
- Advising an employee of the commencement of misconduct proceedings
- Investigating whether misconduct has occurred
- Investigation report
- Evidence does not support a case of misconduct
- Key points for agency guidance material
- The determination and sanction
- Role of the decision maker
- Employee moves to another APS agency before a determination or sanction
- The appropriate sanction
- Key points for agency guidance material
Part 3: Administrative issues and quality assurance
- Recordkeeping and access to records
- Recordkeeping
- Access to misconduct records
- Key points for agency guidance material
- Review of actions
- The review process
- Key points for agency guidance material
- Quality assurance and streamlining the process
- Quality assurance
- Avoiding unnecessary delay
- Avoiding common pitfalls
- Key points for agency guidance materials
Appendix 1: Legislative instruments
Appendix 2: Suggested agency procedures under section 15(3) of the Public Service Act 1999
Appendix 3: Employees suspension checklist
Appendix 5: Checklist of key points for agency guidance material
Appendix 7: Sample letter advising complainants on the outcome of an investigation
